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What the Toolkit is for?The guiding principle in the People In Aid Code of Good Practice is that 'People are central to theachievement of the organisation's mission'. This Toolkit is designed to help managers evaluate theextent to which that is the case - it enables an organisation to audit its HR and peoplemanagement systems, policies and practices, and identify priorities for action. It will work in mostcontexts, and has been designed specifically to be used in head office, regional office or local /field office environments.
It comprises a set of diagnostic questionnaires, guidelines and tips that enable organisationsinvolved in humanitarian relief and development programmes to measure and evaluate theeffectiveness of their HR / people management policies and practices, and address any gaps orshortcomings. In other words, it's an HR audit.
The HR audit is built around six core categories of people management, namely:
Why use the Toolkit?An HR audit enables an organisation to get an accurate and thorough picture of the effectivenessof its HR systems, policies and practices.Over time, audit data can be tracked and trends monitored. Where appropriate, benchmarking withpeers can help bring about performance improvements and facilitate organisational learning anddevelopment. The key benefits associated with this tool include:
• Objective and systematic review of HR systems, policies and practices• Indicates levels of employee engagement• Highlights issues or gaps and identifies priorities for action• Encourages participation by managers on HR issues
Who would use it and when?People In Aid encourages all organisations committed to good practice in the management andsupport of their staff and volunteers to measure the effectiveness of their HR systems, policies andpractices. Using this toolkit will help you gather the evidence you need to be awarded the firstPeople In Aid 'Quality Mark' and it can also be used as part of the People In Aid Codeimplementation process. Further information on the Code implementation process can be found onour website www.peopleinaid.org/code
The toolkit can be used by individuals or teams, according to respective needs or drivers. Forexample:
• an individual within the HR department might use it to provide a quick overview of theorganisation's 'health'
• an HR team might use it to facilitate internal diagnosis, discussion and action planning
• the senior executive team might use it to assess how HR policies and practices impactindividual and organisational performance.
The toolkit can be used at any stage in an organisations life cycle; it is equally applicable to neworganisations in the start up phase and to mature well-established organisations.
How to use itThe real power behind the toolkit does not lie in the diagnostic instruments themselves, it is in thesubsequent discussion, prioritisation and action planning that results. The recommended approachis therefore as follows:
The HR audit can be carried out at 3 different levels (basic, full and enhanced), depending on thetime available, the particular needs of the organisation and the depth of insights that they wish toobtain.
Basic audit (Level 1)The basic audit provides the organisation with an overview of HR effectiveness across the sixcategories and identifies the priority categories for attention.
Full audit (Level 2)The full audit can either follow on from the basic audit (Level 1) and explore issues within prioritycategories in more detail, or it can be used in its own right as a stand-alone audit that provides agreater depth of insight. As before, priority areas for attention are highlighted.
Enhanced audit (Level 3)The enhanced audit is designed to be used in conjunction with the full audit and enables anorganisation to gain a deeper understanding of issues by identifying underlying causality in termsof capability, resource or infrastructure problems.
This can be used on its own as a high level audit or can form a precursor to more detailed insightsthat can be obtained through moving to the full and enhanced audits.
Who Would Use It?HR Director / Manager, HR team or senior leadership team
When to Use It?When a quick assessment is needed in order to assess the health of people practices at a highlevel
How to Use It?The audit comprises two questionnaires / checklists:
The HR Policies, Processes and Practices Checklist (Appendix 1) provides insight into theextent to which key policies processes and practices exist, the level of understanding of themwithin the organisation and the extent to which they are up to date and 'fit for purpose'.
The Basic HR Effectiveness Questionnaire (Appendix 2) comprises 6 statements that broadlyalign to the stages in the employee life cycle and provides an opportunity to rate the effectivenessof systems, policies and practices.
Step 1The individual manager, or team, completes the HR Policies, Processes and Practices Checklist(Appendix 1) and the Basic HR Effectiveness Questionnaire (Appendix 2) by rating the extent towhich they agree with the statement (high level of agreement (H); moderate level of agreement(M); low level of agreement (L)). The more respondents that complete this process, the morerobust the data will be.
Step 2Review the results from the completion of both the checklist and the questionnaire. If more thanone person is carrying out the diagnostic then collate results and compare similarities anddifferences in perceptions. A scoring sheet is provided in Appendix 3 to help summarise individualscores, if required.
Discuss the findings and:? Clarify why different perceptions exist? Review the gaps? Agree a 'collective rating'? Undertake a risk assessment to determine the implications in terms of impact on service
delivery i.e. which issues, if addressed, would have the greatest impact on theorganisations ability to recruit, retain and motivate staff and improve service delivery. Riskshould be categorised as high (H), medium (M) or low (L). The agreed risk assessmentshould be recorded on the questionnaire.
Step 3 ? Determine the level of priority that should be attached to each statement. This can be done
by reviewing the perception and risk assessments and determining a priority rating foreach statement as follows: high priority (Red), medium priority (Amber), low priority(Green) and very low priority (Blue). The following table can be used to assist in thiscategorisation:
Perception Risk PriorityHigh High Green
Medium High AmberLow High RedHigh Medium Green
Medium Medium GreenLow Medium RedHigh Low Blue
Medium Low GreenLow Low Amber
? Attention should be focussed firstly on those activities that fall into the red category andsecondly on those in the amber. It is also worth considering any activities that fall into theblue category in order to explore whether too much resource / focus is being given to theseactivities at the expense of others.
? The results can be represented visually if desired by plotting a matrix on a flip chart asfollows:
H
M
L
L M H
? Identify the top (no more than 5) issues to focus attention on.? Develop and agree action plans, including how other key stakeholders will be engaged
Step 4 ? Implement changes and monitor progress - a list of possible performance metrics is shown
in Appendix 4.
In the course of carrying out the above exercise it is possible that specific business units, functions,locations and employee groups may be identified for particular attention or where the ratings wouldbe expected to differ from the norm, either because they are more strategically critical or becausethe perception of the impact on these groups might differ. Where this is the case the exerciseshould be repeated for these specific groups.
? An understanding of how different members of the team view existing people managementpractices and the extent to which consensus exists
? Where specific policies and procedures may be missing or where improvements incommunicating and implementing are required
? Identification of priorities and where attention needs to be focussed? Insights into specific employee groups / locations / functions where attention may need to
be focussed? The formulation of action plans and a process for monitoring progress
The full audit can be used as a stand alone 'diagnostic tool' or can follow on from the basic audit(Level 1) in order to gain greater insight into the priority areas for attention.
Who Would Use It?HR team or senior leadership team with the option to modify the approach in order to capturebroader stakeholder opinions.
When to Use It?When a more detailed assessment is needed and more comprehensive insights into all or specificpeople practices are required.
How to Use It?
Step 1Complete the Full HR Effectiveness Questionnaire (Appendix 5). There are a set of 35 statementsgrouped into six categories. Respondents are required to provide perception (H,M,L) ratings andscore them as with the basic audit.
Step 2As with the basic audit the distribution of responses from all respondents should be collated,discussed, differences in perception explored and a risk assessment carried out. A scoring sheet isprovided in Appendix 6 to help in the collation of responses, if required.
Step 3Agree priorities, record on the diagnostic and develop action plans and how best to engage keystakeholders
Step 4Implement changes and monitor progress
As before, the exercise can be repeated for specific employee groups, functions or locations
OutcomesThe above process will provide detailed insights into a wider range of people managementpractices and as such will enable much more detailed prioritisation and action planning to takeplace.
Enhanced audit (Level 3)The enhanced audit enables managers to gain a deeper understanding of the issues that underpinthe high priority areas for attention
Who Would Use It?HR team with an option to involve a broader range of stakeholder groups in the diagnosis
When to Use It?When there is a need to understand the extent to which capability, resources and infrastructureissues are the limiting factors underlying priority areas for attention
How to Use It?The enhanced audit focuses on the extent to which the HR function and Line Management havethe capability (skills, knowledge and expertise), resources (manpower, time money) andinfrastructure (information, processes, technology and support) to enable them to deliver.
Step 1Create a template comprising the statements that are the high priority (Red) areas for attention asidentified during the full audit (alternatively the exercise could be carried out on all 35 statements ifa more comprehensive analysis was required).
Example Statement HR Function Line Management Risk Priority
Capability Resources Infrastructure
Capability Resources Infrastructure
PlanningWe have a clearlydefined, integratedpeople managementstrategyOur people strategy isaligned to our mission,values and strategicobjectives
Our people strategyenables us to maximisethe return on ourinvestment in people.
Our people strategysupports a culture oflearning and continuousimprovement throughoutthe organisationWe provide people withgood careerdevelopmentopportunities
Step 2Individuals rate perception on a H/M/L scale as before for each of the six areas: HR and linecapability, resources and infrastructure. Consolidate and review and discuss the distribution ofresponses. Undertake a risk assessment as before.
Step 3Agree priorities and action plans and how best to engage key stakeholders
PlanningOrganisation charts which reflect thecurrent organisationContracts of different types andlengths which reflect the requirementsof the organisationTerms and conditions of employment,including non cash and cash benefitsin local currenciesPolicy governing annual,compassionate and home leaveentitlementsPolicy covering working hours, thelength of the working week andstandards governing the workingenvironmentPolicy covering living / accommodationarrangements including adequateprivacy provisions
Insurance arrangements
Rest and Recuperation policy
Expected standards of behaviour andcode of conductUnderstanding of labour laws in thecountries in which the organisationoperates
RecruitmentJob descriptions
Person specifications
Diversity and Equality policyApplication forms and selection / shortlisting processesTesting and interviewing tools andproceduresProcedures for obtaining references,conducting health checks and carryingout criminal records checks
DeploymentTravel arrangements inc vaccinations,visas, insurance, work permits etcInduction programmeTraining needs analysis for newstarters
ManagementGrievance, disciplinary and whistleblowing proceduresPerformance management / appraisalprocessPeriodic salary reviews andbenchmarking against relevant localorganisationsHealth and Safety policy includingsecurity, stress and individualcounselling supportConfidential and secure personalrecords
DevelopmentTraining needs analysis for all staffAvailability of range of differentlearning methodologies including selfhelp, training courses, mentoring,shadowing etcArticulated career paths and periodiccareer development discussionsMethodologies /approaches forcommunicating and managing change
TransitionPolicies for handling resignation,redeployment and redundancyEvacuation / suspension of operationsproceduresDismissal procedureExit procedures including exitinterviews, hand over, references,health checks, ongoing support,payments
PlanningWe have a clearly defined, integrated people managementstrategy, aligned to our mission, values and strategicobjectives, which enables us to maximise the return onour investment in people and which supports a culture oflearning and continuous improvement throughout theorganisation.RecruitmentWe are able to attract and select a diverse workforce withthe skills and capabilities we need to meet our current andfuture needsDeploymentWe rapidly assimilate new starters into the organisation inorder to make them feel 'part of the family', help themunderstand how the organisation, and the sector works,clarify organisational values and cultural norms, andidentify and provide on-going support during theirprobationary periodManagementWe manage our people in a way that energises andmotivates them to perform to the best of their ability andprovide rewards and recognition that are fair and equitableand where appropriate, reflective of individual contribution.DevelopmentWe actively help our people to realise their full potentialthrough by enabling appropriate training and learninginterventions and through the provision of careerdevelopment opportunities
TransitionWe manage the exit of people from the organisation in ahumane and sensitive manner that reinforces ourreputation as a good employer and which enables us tolearn how best to adapt existing people managementpractices.
PlanningWe have a clearly defined, integrated peoplemanagement strategy, aligned to our mission,values and strategic objectives, which enables usto maximise the return on our investment inpeople and which supports a culture of learningand continuous improvement throughout theorganisation.
RecruitmentWe are able to attract and select a diverseworkforce with the skills and capabilities we needto meet our current and future needs
DeploymentWe rapidly assimilate new starters into theorganisation in order to make them feel 'part of thefamily', help them understand how theorganisation, and the sector works, clarifyorganisational values and cultural norms, andidentify and provide on-going support during theirprobationary period
ManagementWe manage our people in a way that energisesand motivates them to perform to the best of theirability and provide rewards and recognition thatare fair and equitable and where appropriate,reflective of individual contribution.
DevelopmentWe actively help our people to realise their fullpotential through by enabling appropriate trainingand learning interventions and through theprovision of career development opportunities
TransitionWe manage the exit of people from theorganisation in a humane and sensitive mannerthat reinforces our reputation as a good employerand which enables us to learn how best to adaptexisting people management practices.
Category MeasurePlanning Segmentation of workforce and the extent to which HR practices are tailored to suit
different needsKey people measures regarding recruitment, retention and motivation analysed bykey talent group% of senior leadership time devoted to people issues and reviewing people metrics% of senior management time spent in identifying key talent and in planningappropriate deployment and developmentRetention rates - overall and for key employee groupsEngagement scores - overall and for key employee groups
Recruitment Reputation as an employer from external surveysElapsed time to fill vacanciesNumber of failed recruitments (& reasons)% offers accepted% candidates retained after 1 yearDiversity mix of applicants
Induction % new starters receiving full induction within specified timescale% new starters receiving mentoring and coachingPerception of new starters after first 3 months% of new starters whose training and development needs have been met withinspecified timescale
Deployment Accuracy and relevance of person specifications% of employees who feel that their role plays to their strengths% of employees who feel that they are trusted to use their judgement% of employees who feel that their role is stretching and challengingCapture and sharing of information regarding individual strengths across theorganisation
Management % of employees who trust and respect their manager% of employees who have had motivational performance review discussions withtheir manager% of employees who are clear about what is expected of them% of employees who receive prompt recognition and praise% of employees who receive regular constructive feedback% of employees who believe they are treated fairlyLevel of investment in employee welfare and heath and safetyNumber of flexible working and work / life balance initiatives% of employees fully engaged within team
Development Level of training and development investment% of employees who have individual training and development plans % of employees who have had a meaningful career planning discussion with theirmanager% of employees who feel that their manager understands their aspirations andneeds
Transition % of leavers who feel that they have been well treatedLevel of time spent analysing and taking action on exit interview dataNumber of referrals generated by former employees