Human Resource Management: Discipline

DISCIPLINE:
Discipline in a more progressive,positive and inclusive sense refers to the state of employee self control,character,orderliness and effectiveness at work and overall smooth environment and coordination at work.
 In its negative aspect discipline implies punishment. However, satisfactory results cnannot be obtained if discipline is perceived only in terms of control and punishment.

Discipline may be corrective or pre-emptive.

PROGRESSIVE DISCIPLINE METHODS:
1. Oral reprimand
2. Written reprimand
3. Second written warning
4. Temporary suspension
5. Dismissal or Discharge

REQUIREMENTS OF EFFECTIVE DISCIPLINE:
1. Should be constructive viz. it should emphasise on work efficiency and not mere compliance of rules and regulations.
2. Should not be initiated unless there is imperative need for it and there are not other alternatives.
3. Not to be administered unthinkingly and specifics of each case to be taken into account completely.
4. All facts regarding a case to be collected for a proper appreciation of the same.
5. Employee should be given fair chance to explain his/her side of story and know the worker's perception and admission of mistake should be encouraged.
6. Emplyee should not be disciplined in the presence of his or her colleagues/subordinates.
7. Right timing of action is important.
8. Corrective measure should be adequately served in order to be effective.
9. Consistency in disciplinary action.
10. After disciplinary action is taken, the normal behaviour should be resumed towards the offening emplyees by other workers of the organisation.
11. Auditing of the disciplinary action should be done regularly to gauge and judge its efficacy.


REASONS OF INDISCIPLINE:
1. Non-cordial or manipulative and stressful working conditions,company policies or behaviour of co-workers/superiors.
2. Social,Economical,personal background and illiteract of the worker.
3, Corrupt practices being allowed to carry on in the organisation.

Human Resource Management: Capacity Building - Organisational and Human

CAPACITY BUILDING DEFINITION (UNDP):

• Individual level - Community capacity-building on an individual level requires the development of conditions that allow individual participants to build and enhance existing knowledge and skills. It also calls for the establishment of conditions that will allow individuals to engage in the "process of learning and adapting to change."

• Institutional level - Community capacity building on an institutional level should involve aiding pre-existing institutions in developing countries. It should not involve creating new institutions, rather modernizing existing institutions and supporting them in forming sound policies, organizational structures, and effective methods of management and revenue control. 
• Societal level - Community capacity building at the societal level should support the establishment of a more "interactive public administration that learns equally from its actions and from feedback it receives from the population at large." Community capacity building must be used to develop public administrators that are responsive and accountable.

 OBJECTIVES OF CAPACITY BUILDING:
National AHEC Leadership Conference in 2003 declared the objectives of Capacity Building as follows:
1. Prioritising the areas for improvement
2. Developing specific outcomes to achieve along with strategies and tactics
3. Identifying resources required to achieve identified outcomes
4. Implementing
5. Evaluating what worked and what did not and what was learnt in the process
6. Beginning again including suitable modifications

SIGNIFICANCE OF CAPACITY BUILDING:
1. Optimum utilisation of resources through consistent application of Research and Development
2. Preparation of the organisation to face the future through assessment of prevailing logistics and the wherewithal of augmenting the same
3. Helping the organisation acquire competitive advantage in identified fields
4. Facilitating long term decisions in the organisation
5. Providing training and guidance to facilitate development of individual careers
6. Developing a database to measure and evaluate the current working capacity of the organisation


PROCESS OF CAPACITY BUILDING:
1. Preparing information material to promote the organisation's work
2. Developing and implementing job descriptions
3. Developing a formal organisational chart
4. Preparing and maintaining a core operating budget
5. Developing a routine for strategic planning and work plan management
6. Developing fund raising strategies and building a donor database
7. Developing a database to measure,trend and evaluate working activities

STEPS IN CAPACITY BUILDING:
a) Promoting overall Human Capacity Building:
1. Human capacity building within overall social and economic development strategy,recognising the critical importance of human capital by developing more integrated approaches to capacity building
2. Develop relevant programmes to enhance entrepreneurial and management skills,particularly among small and medium enterprises to meet the new demands from globalisation and new economy
3. Develop policies to provide needed incentives for business sector to participate in the development of human capacity building such as providing facilities and infrastructure ensuring that access is maintained for the development of e-commerce,etc.
4. Facilitate mutual recognition of professional qualifications in respective countries, which should be based on standard of achievement and outcomes that are mutually agreed between economies
5. Enhance industry-academic partnership between businesses as end users of the workforce as well as providers of financial resources and universities,educational institutions, and vocational training institutions as suppliers of workforces so that they produce an IT workforce that is readily available to high-tech businesses.
6. Establish mutual linkages between sectoral networks including business,education,training sectors and govt. to draw out synergy effect to the human capacity building
7. Encourage trade unions to develop and implement relevant training programmes and motivate and mobilise workers to undertake life long learning
8. Setting up life long education and learning society

STRATEGIES OF CAPACITY BUILDING:
The Agenda 21 of the UNDP Capacity 21 Trust Fund states he following strategies:
1. Participation of all stakeholders in programme development,implementation,monitoring and learning
2. Integration of economic,social and environmental priorities within national and local policies plans and programmes.
3. Information about sustainable development to help people make better decisions.

Human Resources Management - Employee Benefits

DEFINITION:
Employee benefits and  benefits in kind (also called fringe benefits, perquisites,perks,etc.) are various non-wage compensations provided to employees in addition to their normal wages or salaries.

It helps in keeping the employees contended,well balanced and physically,mentally,socially as well as at times spiritually happy as well, and all this is essential for success both on the organisational as well as individual level.

 BENEFITS OF EMPLOYEE BENEFIT PROGRAMS:
1. Efficiency in administration.
2. Commitment among employees.
3. Promotes productivity
4. Happy families
5. Harmonious relationships at the work place

EXAMPLES OF EMPLOYEE BENEFITS:
1. Legally Required Payments:-
a) Old age, survivors,disability and health insurance/social security
b) Workers compensation
c) Unemployment compensation

2. Contingent and Deferred Benefits:-
a) Pension plans
b) Group life Insurance
c) Group health insurance ( viz. Medical expense for hospitalization and surgical & Disability income for short term and long term)
d) Guaranteed annual wage
e) Prepaid legal plans
f) Military leave and pay
g) Jury duty and bereavement paid leave
h) Maternity leave
i) Child care leave
j) Sick leave
k) Dental benefits
l) Tuition aid benefits
m) Suggestion awards
n) Service awards
o) Severance pay

3. Payments for Time Not Worked:-
a) Vacations
b) Holidays
c) Voting pay allowances

4. Other benefits:-
 a) Travel allowances
b) Company cars and subsidies
c) Moving expenses
d) Uniform and tool expenses
e) Employee meal allowances
f) Discounts on employer's goods and services
g) Child care facilities


PURPOSE OF EMPLOYEE BENEFITS
1) identification and development of personal interest with the interest of the organisation.
2) Achieving integration in organisational functioning
3) Creating will and determination among members of the services for work improvement and innovation.
4) Mobilising the available manpower for productive and useful activities in the organisations
5) Keeping members of the organisation informed of latest developments in sphere of employee benefits
6) Organising informal clubs of youth,women, to serve as centers of discussion and expression of innovative ideas.
7) Providing an open forum for employees to discuss problems and find indigenous solutions which may be efficient and economical for the organisations.
8) Encourage the employee to adopt modern changes which can accelerate the efficiency of the organisation.
9) Arranging extra curricular activities t generate social awareness through publicity.

Human Resource Management - Performance Appraisal Process In The Indian Public Services

PERFORMANCE APPRAISAL:

Performance Appraisal is the entire exercise of assessment of an employee's performance on the job.

OBJECTIVES OF PERFORMANCE APPRAISAL: Performance Appraisal can be done with following objectives in mind:

1. To maintain records in order to determine compensation packages, wage structure, salaries raises, etc. 
2. To identify the strengths and weaknesses of employees to place right men on right job.
3. To maintain and assess the potential present in a person for further growth and development.
4. To provide a feedback to employees regarding their performance and related status.
5. To provide a feedback to employees regarding their performance and related status.
6. It serves as a basis for influencing working habits of the employees.
7. To review and retain the promotional and other training programmes. 

ADVANTAGES OF PERFORMANCE APPRAISAL:

It is said that performance appraisal is an investment for the company which can be justified by following advantages:

1. Promotion: Performance Appraisal helps the supervisors to chalk out the promotion programmes for efficient employees. In this regards, inefficient workers can be dismissed or demoted in case.
2. Compensation: Performance Appraisal helps in chalking out compensation packages for employees. Merit rating is possible through performance appraisal. Performance Appraisal tries to give worth to a performance. Compensation packages which includes bonus, high salary rates, extra benefits, allowances and pre-requisites are dependent on performance appraisal. The criteria should be merit rather than seniority.
3. Employees Development: The systematic procedure of performance appraisal helps the supervisors to frame training policies and programmes. It helps to analyse strengths and weaknesses of employees so that new jobs can be designed for efficient employees. It also helps in framing future development programmes.
4. Selection Validation: Performance Appraisal helps the supervisors to understand the validity and importance of the selection procedure. The supervisors come to know the validity and thereby the strengths and weaknesses of selection procedure. Future changes in selection methods can be made in this regard.
5. Communication: For an organization, effective communication between employees and employers is very important. Through performance appraisal, communication can be sought for in the following ways:
   1. Through performance appraisal, the employers can understand and accept skills of subordinates.
   2. The subordinates can also understand and create a trust and confidence in superiors.
   3. It also helps in maintaining cordial and congenial labour management relationship.
   4. It develops the spirit of work and boosts the morale of employees.
   All the above factors ensure effective communication.
6. Motivation: Performance appraisal serves as a motivation tool. Through evaluating performance of employees, a person’s efficiency can be determined if the targets are achieved. This very well motivates a person for better job and helps him to improve his performance in the future. 

TECHNIQUES AND METHODS OF PERFORMANCE APPRAISAL:

Numerous methods have been devised to measure the quantity and quality of performance appraisals. Each of the methods is effective for some purposes for some organizations only. None should be dismissed or accepted as appropriate except as they relate to the particular needs of the organization or an employee.

Broadly all methods of appraisals can be divided into two different categories.

• Past Oriented Methods

• Future Oriented Methods

Past Oriented Methods

1.    Rating Scales: Rating scales consists of several numerical scales representing job related performance criterions such as dependability, initiative, output, attendance, attitude etc. Each scales ranges from excellent to poor. The total numerical scores are computed and final conclusions are derived. Advantages – Adaptability, easy to use, low cost, every type of job can be evaluated, large number of employees covered, no formal training required. Disadvantages – Rater’s biases

2.    Checklist: Under this method, checklist of statements of traits of employee in the form of Yes or No based questions is prepared. Here the rater only does the reporting or checking and HR department does the actual evaluation. Advantages – economy, ease of administration, limited training required, standardization. Disadvantages – Raters biases, use of improper weighs by HR, does not allow rater to give relative ratings

3.    Forced Choice Method: The series of statements arranged in the blocks of two or more are given and the rater indicates which statement is true or false. The rater is forced to make a choice. HR department does actual assessment. Advantages – Absence of personal biases because of forced choice. Disadvantages – Statements may be wrongly framed.

4.    Forced Distribution Method: here employees are clustered around a high point on a rating scale. Rater is compelled to distribute the employees on all points on the scale. It is assumed that the performance is conformed to normal distribution. Advantages – Eliminates Disadvantages – Assumption of normal distribution, unrealistic, errors of central tendency.

5.    Critical Incidents Method: The approach is focused on certain critical behaviors of employee that makes all the difference in the performance. Supervisors as and when they occur record such incidents. Advantages – Evaluations are based on actual job behaviors, ratings are supported by descriptions, feedback is easy, reduces recency biases, chances of subordinate improvement are high. Disadvantages – Negative incidents can be prioritized, forgetting incidents, overly close supervision; feedback may be too much and may appear to be punishment.

6.    Behaviorally Anchored Rating Scales: statements of effective and ineffective behaviors determine the points. They are said to be behaviorally anchored. The rater is supposed to say, which behavior describes the employee performance. Advantages – helps overcome rating errors. Disadvantages – Suffers from distortions inherent in most rating techniques.

7.    Field Review Method: This is an appraisal done by someone outside employees’ own department usually from corporate or HR department. Advantages – Useful for managerial level promotions, when comparable information is needed, Disadvantages – Outsider is generally not familiar with employees work environment, Observation of actual behaviors not possible.

8.    Performance Tests & Observations: This is based on the test of knowledge or skills. The tests may be written or an actual presentation of skills. Tests must be reliable and validated to be useful. Advantage – Tests may be apt to measure potential more than actual performance. Disadvantages – Tests may suffer if costs of test development or administration are high.

9.    Confidential Records: Mostly used by government departments, however its application in industry is not ruled out. Here the report is given in the form of Annual Confidentiality Report (ACR) and may record ratings with respect to following items; attendance, self expression, team work, leadership, initiative, technical ability, reasoning ability, originality and resourcefulness etc. The system is highly secretive and confidential. Feedback to the assessee is given only in case of an adverse entry. Disadvantage is that it is highly subjective and ratings can be manipulated because the evaluations are linked to HR actions like promotions etc.

10.  Essay Method: In this method the rater writes down the employee description in detail within a number of broad categories like, overall impression of performance, promoteability of employee, existing capabilities and qualifications of performing jobs, strengths and weaknesses and training needs of the employee. Advantage – It is extremely useful in filing information gaps about the employees that often occur in a better-structured checklist. Disadvantages – It its highly dependent upon the writing skills of rater and most of them are not good writers. They may get confused success depends on the memory power of raters.

11.  Cost Accounting Method: Here performance is evaluated from the monetary returns yields to his or her organization. Cost to keep employee, and benefit the organization derives is ascertained. Hence it is more dependent upon cost and benefit analysis.

12.  Comparative Evaluation Method (Ranking & Paired Comparisons): These are collection of different methods that compare performance with that of other co-workers. The usual techniques used may be ranking methods and paired comparison method.

• Ranking Methods: Superior ranks his worker based on merit, from best to worst. However how best and why best are not elaborated in this method. It is easy to administer and explanation.

• Paired Comparison Methods: In this method each employee is rated with another employee in the form of pairs. The number of comparisons may be calculated with the help of a formula as under.

N x (N-1) / 2

Future Oriented Methods

1.    Management By Objectives: It means management by objectives and the performance is rated against the achievement of objectives stated by the management. MBO process goes as under.

• Establish goals and desired outcomes for each subordinate

• Setting performance standards

• Comparison of actual goals with goals attained by the employee

• Establish new goals and new strategies for goals not achieved in previous year.

Advantage – It is more useful for managerial positions.

Disadvantages – Not applicable to all jobs, allocation of merit pay may result in setting short-term 

goals rather than important and long-term goals etc.

2.    Psychological Appraisals: These appraisals are more directed to assess employees potential for future performance rather than the past one. It is done in the form of in-depth interviews, psychological tests, and discussion with supervisors and review of other evaluations. It is more focused on employees emotional, intellectual, and motivational and other personal characteristics affecting his performance. This approach is slow and costly and may be useful for bright young members who may have considerable potential. However quality of these appraisals largely depend upon the skills of psychologists who perform the evaluation.

3.    Assessment Centers: This technique was first developed in USA and UK in 1943. An assessment center is a central location where managers may come together to have their participation in job related exercises evaluated by trained observers. It is more focused on observation of behaviors across a series of select exercises or work samples. Assessees are requested to participate in in-basket exercises, work groups, computer simulations, role playing and other similar activities which require same attributes for successful performance in actual job. The characteristics assessed in assessment center can be assertiveness, persuasive ability, communicating ability, planning and organizational ability, self confidence, resistance to stress, energy level, decision making, sensitivity to feelings, administrative ability, creativity and mental alertness etc. Disadvantages – Costs of employees traveling and lodging, psychologists, ratings strongly influenced by assessee’s inter-personal skills. Solid performers may feel suffocated in simulated situations. Those who are not selected for this also may get affected.

Advantages – well-conducted assessment center can achieve better forecasts of future performance and progress than other methods of appraisals. Also reliability, content validity and predictive ability are said to be high in assessment centers. The tests also make sure that the wrong people are not hired or promoted. Finally it clearly defines the criteria for selection and promotion.

4.    360-Degree Feedback: It is a technique which is systematic collection of performance data on an individual group, derived from a number of stakeholders like immediate supervisors, team members, customers, peers and self. In fact anyone who has useful information on how an employee does a job may be one of the appraisers. This technique is highly useful in terms of broader perspective, greater self-development and multi-source feedback is useful. 360-degree appraisals are useful to measure inter-personal skills, customer satisfaction and team building skills. However on the negative side, receiving feedback from multiple sources can be intimidating, threatening etc. Multiple raters may be less adept at providing balanced and objective feedback.

PERFORMANCE APPRAISAL OF PUBLIC SERVICES IN INDIA:

The performance of civil servants is commented upon by the controlling authority which normally is the head of the department. Incumbents are rated on several parameters like competence,punctuality,efficiency,capability,ability to work with the team,leadership qualities,etc. by means of Outstanding,very good,good or fair. 

A consistent outstanding grades is given special weight for promotions.

The assessing authority rates integrity as Totally beyond reproach, of unquestionable integrity,beyond doubt or as nothing adverse has come to notice.

More concentration is given to efficiency than Integrity in Public service performance appraisals in India which needs to be changed and equalised in order to ensure probity and root out corruption.

WEAKNESSES OF PERFORMANCE APPRAISAL OF PUBLIC SERVICES IN INDIA:

1. There is a high degree of subjectivity and is used as a means to make subordinates not ethical or efficient by the superiors but "subservient".

2. Employees especially if they are due for promotion have to run after the concerned reporting,reviewing and accepting authorities to ensure that their appraisal report is written on time.

3. Appraisal reports are never written on time causing great distress and demotivating to the employees.

4. Frequently transferred employees are denied a just and proper assessment for obvious reasons.

5. Desk work officials like the secretariat employees find it difficult to write meaningful reports of theirs due to lack of targets and achievements.

6. Only adverse remarks are communicated to employees and even then it is not done on time or not done at all in many departments.

7. Number of Annual Confidential Reports being reported or reviewed should be limited to span of control test lest it become a meaningless,routine activity.

8. A uniform format is used for ACRs regardless of the job performed by the employee and his nature of functions. There are wide variations in grading of civil servants between the states and the linking of empanelment of civil servants to ACRs has led to politicisation of the process. This should be revised and updated/changed accordingly.

RECOMMENDATIONS AND PROPOSED REFORMS FOR BETTER OBJECTIVITY OF APPRAISAL:

The Karnataka Administrative reforms Commission in its interim report in 2001 proposed the following:

1. Computerisation of all ACRs to ensure there are no missing reports or level jumping in the process.

2. Different formats for ACRs for Secretariats,field and public sector employees.

3. Confidentiality should be done away with and a full copy of the ACR should be provided to the 

employee so that he is motivated with his/her good points and works on his.her bad points.

4. As done in the armed forces and central police organisations, a grading system on a 10 or a 7 point scale to assess individual traits and attributes of the employee could be introduced as a necessary facet of the ACR exercise.

5. Proper training of objectivity should be given to all levels of officers who have to write ACRs.

6. Counseliing should be introduced for employees who get repeated adverse remarks.

7. Time frame to be decided for ACR submission/writing and Action to be taken against officers and Ministers delaying ACRs.

8. Comments in ACR to be used as inputs for training,job assignments and career development planning.

Human Resources Management - Recruitment, Selection, Appointment And Promotion

RECRUITMENT -
It covers the entire gamut of activities relating to entertainment, acceptance, selection and approval for appointment and not the actual Appointment itself or posting in service.

Once there is clarity about the organisational objectives then there is a sound Manpower Planning done which the moves to its implementation stage out of which Recruitment is the first step.

The net for recruitment should be cast wide to reach out widest in pursuance of the best available talent to the extent practicable, keeping in mind the cost and time.


SOURCES OF RECRUITMENT:

1. Direct Recruitment - Sourced fresh from outside the organisation

2. Indirect Recruitment- Sourced from existing employees viz. internal promotions, deputation, delegation, transfer, reemployment, short term contract, etc.

Advantages Of Direct Recruitment:

1. Provides equal opportunity to all.

2. Induction of fresh energy into the organisation.

3. Widens the ambit of selection and makes possible to tap wider market for supply of desired human resource.

4. Motivates existing employees to keep themselves efficient and updated with latest trends lest they lose out on higher positions to outside players.
Disadvantages of Direct Recruitment:
1. New recruits lack experience and practical know-how thus leading to cost increase of the organisation on training them.

2. Kills initiative of internal candidates.

3. Places inexperience over experienced.

4. Older employees cannot compete successfully with new entrants as they are out of touch with studies,etc.

In India, both the sources of recruitment are used at the right mix for overall benefit of the organisation. Direct recruitment is done and along with that a certain proportion of posts are reserved for indirect recruitment so that there is balancing out of experience and fresh talent that keeps the organisation efficient and mobile.

STEPS IN RECRUITMENT,SELECTION,APPOINTMENT AND PROMOTION:
1. Job requisition
2. Designing the Application forms for applicants
3. Advertisement
4. Scrutiny of applications
5. Selection of candidates from applications received
6. Communication to selected candidates
7. Appointment & Placement of candidates


CIVIL SERVICE RECRUITMENT IN INDIA:
Article 309 of the Indian Constitution empowers the Central Government and State Governments to regulate recruitment and conditions of service of persons appointed to public services and posts through an act of appropriate legislature that is subject to limitations that it cannot override constitutional provisions else it would be declared null and void and struck down.
The Parliament passed the All India Staffing Patterns Services Act 1951 that governs the conditions of service of All India Service Officers.

EXAMINATIONS CONDUCTED OF SELECTION TO CIVIL SERVICES:
1. Essay type test.
2. Short Answer objective test.
3. Aptitude tests
4. Personality tests
5. Performance test
6. Interview.

RECRUITING AGENCY FOR THE CIVIL SERVICES:
1. Union Public Service Commission: Refer - http://en.wikipedia.org/wiki/Union_Public_Service_Commission

FUNCTIONS OF THE UPSC:
i. To conduct examinations for appointment to the services of the Union and conduct interviews for direct recruitment.
ii. To advise on any matter referred to them and on any matter which the president may refer to the appropriate commission;
iii. To exercise such additional functions as may be provided for by an Act of Parliament regarding the services of the Union and also with respect to the services of any local authority constituted by law; and
iv. It shall be the duty of the Union Public Service Commission if requested by any two or more states, to assist those States in framing and operating schemes of joint recruitment for any service.

Further, UPSC shall be consulted:
i. On all matters relating to methods of
recruitment to Civil service and for Civil Posts.
ii. On the principle to be followed in making promotions and transfers form one service to another
iii. On all disciplinary matters affecting a person serving under the Government of India in a civil capacity including petitions relating to such matters.
iv. On any claim for the award of pension in respect of injuries sustained by a person while serving under the government of India in a civil capacity and on any question as to the amount of any such award.


 OTHER AGENCIES OF RECRUITMENT:
1. Respective State Public Service Commissions for State Civil Services recruitment.
2.Staff Selection Commission  - To conduct examinations and/or interviews to make recruitment to Group “B” and Group “C” posts for the various Ministries and Departments of the Government of India.
3. Railway Recruitment Board
4. CSIR(Council of Scientific and Industrial Research)


PROMOTION:
Promotion is "an appointment from a given position to a position of higher grade, involving a change of duties to a more difficult type of work and greater responsibility,accompanied by change of title and usually an increase in pay" - L.D. White

PROMOTION IN CIVIL SERVICES:
1. Promotion from State Civil Services to All India Services - To the tune of 33% of the total vacancies. The promotions are made by a committee instituted for each state that comprises of the Chairman of the UPSC or his representative, a senior officer of the govt. of India,the Chief Secy to the govt. of that particular state in question, the senior Financial Commissioner in the state civil secretariat, the Development Commissioner and the Senior most Divisional Commissioner.

2. Promotion in State Civil Services From Allied Services - Promotion to the respective State Civil Services from tehsildars,persons holding ministerial appointments,block development and panchayat officers,etc. For this a committee is appointed consisting of the chief secy as chairman and two such officers as members nominated by the state government which makes a selection out of the eligible officials and then forwards to the State PSC for its views on the names of candidates thus selected for the posts to be filled. This procedure has curtailed the powers of the Commission and made it rather a rubber stamp that only endorses the decision of the state govt. This needs to be reviewed.

PRINCIPLES OF PROMOTION:
1. Merit - It is applied in cases of promotion to higher level posts.

2. Merit cum Seniority - In cases of promotion to middle level posts, here merit comes first.

3. Seniority - Promotions in lower rung posts, but even here it is ensured that exceptional merit is rewarded by quick promotion.