writing and implementing hrm policies

WRITING AND IMPLEMENTING HUMAN RESOURCES MANAGEMENT

(HRM) POLICIES

CHARLES COTTER

FOCUS ROOMS, SUNNINGHILL

21-22 SEPTEMBER 2015

PRESENTATION OVERVIEW – DAY 1

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• Defining policy and related theoretical concepts

• Understanding the different levels of policy

• Understanding the nature, typology and characteristics of HRM policydevelopment

• HRM Policy as a managerial process:

Step 1: Agenda-setting/issue (problem) identification Step 2: Policy analysis Step 3: Policy instruments Step 4: Stakeholder engagement, consultation and co-ordination

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INTRODUCTORY LEARNING ACTIVITY

• Individual activity:

• Complete the following statement by inserting one word only. Inorder to be an efficient and effective HRM Policy writer, I needto/to be………………………………………………

• Jot this word down and find other learners who have writtendown the same word.

• Write this word down on the flip-chart.

• Each learner will have the opportunity to explain their choice ofword.

INTRODUCTION

• HR Managers need to regard policy formulation, development andimplementation as embedded in the traditional management functions(P-O-L-C)

• Effective policy management requires a diverse range of managementskills (e.g. conceptual-thinking; problem-solving; people/interpersonalskills & technical skills)

• Policy is part-and-parcel of any HR manager’s responsibility and requires asystematic, managed and coordinated approach.

• In the modern business environment, all organizations can be regarded asan open system.

• To understand the influence of all these levels on organizations, HRManagers need to apply a holistic management view.

DEFINING THE FUNDAMENTAL CONCEPTS

• Policy

• Types of policy

EducationalPublicHRM

• Functions of policy

• Procedure

DEFINITION OF POLICY

• A policy is typically described as a principle or rule to guide decisions and achieverational outcome/s.

• Policy can be defined as a purposive course of action based on societal values,followed in dealing with a matter/concern, and predicting the outcome that wouldresult from the achievement of the purpose.

• The term, policy, is not normally used to denote what is actually done - this isnormally referred to as either procedure or protocol.

• Policy can be considered as a "Statement of Intent" or a "Commitment". For thatreason at least, HR managers can be held accountable for the "Policy“

• Policy differs from rules or law. Policy merely guides actions toward those that aremost likely to achieve a desired outcome.

• The intended effects of a policy vary widely according to the organization and thecontext in which they are made.

FUNCTIONS OF POLICY

• Communicate values and expectations for how things are done at yourorganization

• Keep the organization in compliance with legislation and provideprotection against employment claims

• Document and implement best practices appropriate to the organization

• Support consistent treatment of staff, fairness and transparency

• Help management to make decisions that are consistent, uniform andpredictable

• Protect individuals and the organization from the pressures of expediency

PROCEDURE

• A procedure tells members of the organizationhow to carry out or implement a policy.

• Policy is the "what" and the procedure is the"how to".

• Policies are written as statements or rules.

• Procedures are written as instructions, in logicalsteps.

ILLUSTRATION: CASCADING OF POLICY AND PROCEDURAL LEVELS

CASCADING LEVELS OF POLICY DEVELOPMENT

• Government levels - implemented through executivegovernment structures

• Strategic levels – policy which is directive in nature andwhich has its origin at national or strategic level. It providespractitioners with broad guidelines

• Operational levels - stems from strategic policy andattempts to put broad policy directives into hands-onpolicy actions

• HRM Policy levels

DEFINITION OF HRM POLICY

• HRM policies are the formal rules and guidelines that businessesput in place to hire, train, assess and reward the members of theirworkforce.

• These policies can serve to preempt many misunderstandingsbetween employees and employers about their rights andobligations in the business place.

• When issues concerning employee rights and company policiescome before the courts, it is standard practice to assume that thecompany's human resource policies are a part of an employmentcontract between the employee and the company.

• Without clearly written policies, the company is at a disadvantage.

ADVANTAGES OF FORMAL HRM POLICIES

• Those businesses that are able to administer theirHR policies in an intelligent and consistentmanner, benefits can accrue in several areas:

Communication with employees, with managers and supervisors

Time Savings

Curbing litigation

SCOPE OF HRM POLICIES

CHARACTERISTICS OF EFFECTIVE HRM POLICIES

• Authoritative

• Enforceable

• Flexible and adaptable

• Feasible

• Clear

• Transparent

MAP OF HRM TERRITORY

KEY COMPONENTS OF HRM TERRITORY MAP

• Policy influencers/determinants:

Stakeholder interests Situational factors

• HRM Policy choices

• HRM Policy outcomes (4 C’s):

Competence Commitment Congruence Cost effectiveness

• Long-term consequences:

Individual well-being Societal well-being Organizational effectiveness

LEARNING ACTIVITY 1

• Group Discussion:

By referring to the distinctive characteristics ofpolicy, as well as the Map of the HRM territory, howeffective would you rate the current level of HRMpolicy management performance at Umalusi?

Identify gaps and recommend improvementstrategies.

Provide feedback of a summary of group discussion

HRM POLICY TRIANGLE

HRM POLICY AS A MANAGERIAL PROCESS

• Step 1: HRM Agenda-setting/issue (problem) identification

• Step 2: HRM Policy analysis

• Step 3: HRM Policy instruments

• Step 4: Stakeholder engagement, consultation and co-ordination

• Step 5: HRM Policy formulation, decision-making and policy drafting

• Step 6: HRM Policy implementation

• Step 7: HRM Policy monitoring and evaluation

LEARNING ACTIVITY 2


What HRM policy adjustments/amendments have taken place recently atUmalusi? What initiated this HRM policy change i.e. the reason and/orsource?

What has been the impact at strategic, operational and functional levelswithin Umalusi?

From your management experience, outline/sketch the HRM policydevelopment process at Umalusi. Would you regard these processes asefficient and effective i.e. do you as a HR manager foresee any proceduralshortcomings – both during HRM policy development (drafting) andimplementation stages?


STEP 1: HRM AGENDA-SETTING/ISSUE IDENTIFICATION

• Identification and sensitization - process of identifyingHRM policy issues/problems, which require attention andthere is a need to place these issues on the HRM agendafor deliberation

• Origin/source of the various organizational HRM policy-related issues:

HRM Policy demandsHRM Policy decisionsHRM Policy statementsPolicy as an outputPolicy as an outcomePolicy as a programme

HRM POLICY DEMANDS

• HR Managers want to be sure that any policiesthey bring into the organization:

Address a real need

Are in line with what the company values and howwork should be accomplished

• HR Managers also need to ensure that linemanagers have the skills and resources to beable to implement and monitor the policy

STEP 2: HRM POLICY ANALYSIS

• The importance and value of continual HRM policy analysis

• The reasons for policy analysis

• The necessity and benefits of HRM policy analysis

• Role of the HRM policy analyst

• Pre-requisites for HRM policy analysis

• Steps in analyzing HRM policy

THE NECESSITY AND BENEFITS OF HRM POLICY ANALYSIS

• HRM Policy analysis has the following advantages:

• Policy analysis contributes towards the making of rational choices inpolicy

• Policy analysis assists the stakeholders in policy to comprehend theimportance of values, particular interests and business considerations inchoosing a desired course of action

• Policy analysis provides tangible facts

• A good policy analysis compares not only objectives or resources, but alsoalternative programmes, it makes errors easy to identify by working withhistorical contexts and bears in mind that HR managers must implementpolicies and that employees are involved.

ROLES OF THE HRM POLICY ANALYST

• The primary role of the HRM policy analyst is to analyze and evaluate theHRM policies.

• It is the responsibility of the policy analyst to advise the HRM policy-makeron the best course of action to resolve HRM policy inadequacies.

• The HRM policy analyst is performing both a policy analysis and a policyadvocacy function. In doing so, the policy analyst will follow one of threecourses of action or a combination thereof:

Objective technician (SCIENTIST)

Issue and Client's (ADVOCATE)

Viable, feasible and organizational-fit policy (POLITICIAN)

ROLES OF THE HRM POLICY ANALYST

6-STEP PROCESS IN ANALYZING HRM POLICY

• Step 1: Identify the underlying values and aspirations

• Step 2: Understand the problem in its context

• Step 3: Identify the alternative courses of actions

• Step 4: Decide which dimensions of the problem are most important

• Step 5: Predict the likely outcomes of different courses of action

• Step 6: Measure the chosen courses of action against important valuesand aspirations

LEARNING ACTIVITY 3


By referring to step 1 of the HRM policy developmentprocess, identify a current and/or imminent HRM-relatedissues and/or problems at Umalusi that requires HRMpolicy review of formulation. Prioritize these issues inorder of their relative importance.

By referring to step 2 of the HRM policy developmentprocess, conduct a thorough HRM policy analysis of themost pressing issue identified in the preceding step.


STEP 3: HRM POLICY INSTRUMENTS

• Policies find their way on to the agenda of HRM policy-makers by different routes – external and internal:

Legislation and government policy and prioritiesTaxation (the budget)Persuasion (and public pressure) Inspection and HRM auditsMinutes of HRM and operational meetings Legislative recordsProvision of servicesNewsletter, media briefings and community meetingsEmployee grievances (and complaints)HRM Analytics and other Business Intelligence

STEP 4: STAKEHOLDER ENGAGEMENT, CONSULTATION AND CO-ORDINATION

• HRM Policy-makers must ensure accountability, responsivenessand openness when consulting with stakeholders

• Right to access to any information

• Extensive consultation and co-ordination between the variousstakeholders is paramount to the effective adoption, approval andimplementation of policy within any organization

• Workers' or employers' associations

• Stakeholder Analysis and Prioritization

POWER-INTEREST MATRIX

LEARNING ACTIVITY 4


By referring to step 3 of the HRM policy developmentprocess, identify the most relevant policyinstruments/sources for the identified HRM policydevelopment issue.

By referring to step 4 of the HRM policy developmentprocess, identify the most prominent internal andexternal stakeholders. As an Umalusi HR manager,describe how you will engage and what methods will beused to consult with these stakeholders.


PRESENTATION OVERVIEW – DAY 2

• HRM Policy as a managerial process:

Step 5: Policy formulation, decision-making andpolicy drafting

Step 6: Policy implementation

Step 7: Policy monitoring and evaluation

STEP 5: HRM POLICY FORMULATION AND ADOPTION (DECISIONS AND POLICY DRAFTING)

• It is a HRM policy-maker’s responsibility to formulate an appropriate response tothe identified needs, desires and demands of the stakeholders. HR managers aretasked to formulate policy recommendations to the decision makers.

• These factors that should be taken into consideration before adopting a policy,include inter alia:

Conditions of establishment Political, financial, organizational, human, operational, legal and technical considerations

• HRM policy recommendations are normally drafted by HR managers and then referred to higher management authority for deliberation, approval and adoption.

• It is important to note that HR managers only make policy recommendations, but it remains the responsibility of the highest decision-making authority (executive powers) to approve or reject a particular HRM policy recommendation.

• A HRM policy-maker or decision maker has to be sure of the ability of officials to actually execute a policy. Before adopting or approving a policy, a HRM policy-maker or decision maker has to be convinced of the administrative, operational and managerial capacity to implement the decision.

HRM POLICY CONTENT

• A purpose statement

• An applicability & scope statement

• Background

• Definitions

• An effective date

• A responsibilities section

HRM POLICY CONTENT

• Policy statements - indicating the specific regulations,requirements, or modifications to organizationalbehaviour that the policy is creating. The statement isthe actual rule or standard the policy needs tocommunicate.

• Questions

• References

• Approval

TIPS FOR DRAFTING THE HRM POLICY

• Use straightforward clear language and avoid jargon and legal speak

• Check that the content and wording is unbiased and encourages fair, consistent treatment.

• Use terms consistently and define any special terms

• Be sure that there is only one possible meaning to the standard or rule set by your policy

• Consider a few “what if” scenarios and see if the policy still fits, keeping in mind that mostpolicies will not, and should not, cover every possible circumstance

• For most policies you will want to allow for exceptions to the rule. Use terms like “generally”,“usually”, and “typically” and avoid terms like “always” and “never”

• Include a statement like “this is intended as a guide only”

• There are a few situations where you want to be absolutely clear that the standard set by thepolicy will apply in all situations.

• If using a sample policy or draft, tailor the policy for your specific workplace

LEARNING ACTIVITY 5


By referring to the content items of a HRM policydocument and by following the guidelines, draft a policyfor the identified HRM policy issue at Umalusi, discussedin the preceding learning activity.


STEP 6: HRM POLICY IMPLEMENTATION

• The implementation of the policy will have to be overseen and managed by HR management

• Every functional field will employ appropriate technology for the implementation of such policy

• Every official concerned with the making and the implementation of policy will always have to beon the look-out for techniques which could be used to improve the performance of the functionsinvolved

• It is necessary to mention that the institutions and functionaries concerned with theimplementation of a policy should market their implementation plans, programmes/projects

• The marketing activities should be approached as a continuous process and adapted to answer thequestions asked about the implementation activities.

• An effective information service should be available to the functionaries charged with the policyimplementation.

• After the executive authority has accepted a particular recommendation, the HRM policy has to betranslated into action. A HRM policy-maker should never get involved in the physical execution ofpolicies, because it is the responsibility of the line management/officials to implement thesepolicies.

LEARNING ACTIVITY 6


Describe how the adopted HRM policy will beimplemented at Umalusi. Focus on the methods that willbe used.

Also explain how HR and line management will ensurethat the organization has the administrative, operationaland managerial capacity for HRM policy implementationat Umalusi.


STEP 7: HRM POLICY MONITORING AND EVALUATION (M&E)

• Policy-makers should however, request periodical feedback as to monitor theimplementation of its decision

• It is important for HR managers to ensure that they receive regular and accuratefeedback on the perceived success of organizational HRM policies from officials inthis particular department.

• HR Managers would be able to adhere to the accountability and transparencyprerequisites required of all HRM governance action.

• After physical implementation, it is important for a HR manager to evaluate theefficiency and effectiveness of a HRM policy.

• In order to determine if a policy has any shortcomings or to determine if there isroom for improvement, officials should be requested to submit quarterly reportson the performance aspects of all HRM policies, programmes and projects.

• These reports will determine if corrective steps should be taken. If so, these will bechanneled into the policy process and the process will repeat itself.

LEARNING ACTIVITY 7


Describe how the implemented HRM policy willbe monitored and evaluated at Umalusi. Focuson the methods, systems and processes that willbe used.

Provide feedback of a summary of groupdiscussion

CONCLUSION

• SUMMARY OF KEY POINTS

• LEARNING “TAKE-AWAYS"

• QUESTIONS

• TRAINING ADMINISTRATION

• CERTIFICATION

• THANK YOU!

CONTACT DETAILS

• CHARLES COTTER

• +27 84 562 9446

• [email protected]

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