Archive for April, 2016

The Four capitals of Organisational Development

Overview: The development of organisations relates to improvement to the four inter-connected forms of capital: i) Tangible Capital, ii) Human Capital, iii) Organisational Capital, iv) Social or Political Capital.

This text deals primarily with Organisational Capital. Human resource development and management is the subject of a separate report in this series and therefore deals with most issues relating to Human Capital. Important lessons regarding the status of this capital are highlighted herein as this underpins advancement of other capitals. None of the evaluations draw lessons on social/political capital.

Figure 2: Four Forms of Capital

Tangible

Land, research stations, libraries, laboratories, offices, equipment and financial assets.

Human/Intellectual

The skills, professionalism motivation creativity degree of problem-orientation of the staff.

Organisational

The appropriateness of the institution’s mandate, the quality of its internal management procedures, and its policies and decision-making procedures assessed in terms of their contribution to the creation and improvement of research outputs.

Social or Political

The political and economic support the institution is able to muster, which in turn is largely a function of its reputation and prestige in the eyes of its stakeholders.

Tangible Capital

Lessons Learnt

  • Computerisation represents a significant organisational gain, but it will be sustainable only if it there is reasonable assurance of adequate post-project provision for repair, maintenance and eventual replacement. Otherwise it could be seriously counter-productive, since it erodes traditional systems and skills. Since many projects (including those reviewed) now provide support for computerisation this lesson may be of general relevance.

  • The provision of equipment, refurbishment of facilities and infrastructure development is still regarded by many government officials as the most significant attribute of a project. If projects support this development a solid platform for senior decision-makers may be formed to engage influential persons in the reform debate but is dependent on the nature of linkage and individuals engaged and involved with both (e.g. compare PETRRA with FFP)

  • As staff become more computer literate they are able to access more information for their own self-development which indirectly contributes to human resource capacity building; likely to lessen necessity for expensive formal training intervention. Supporting computer literacy in organisations may reduce capacity building costs over the longer term.

Key Findings

  • ASIRP provided computers and software to a large number of DAE offices and set up computerised systems to handle a range of management and other tasks, so that many of the Department’s field offices are now quite computerised. This is also the case for FFP and the DoF.

  • Equipment procurement and infrastructure development is successfully completed in most RLP projects. DAE staff criticised ASIRP for not providing books and material on technical issues (not a project function).


Human or Intellectual Capital


This section highlights lessons from the institutionalising or internalising the process of building human capital.

Lessons Learnt

  • The human capital building process is still strongly linked to project prescribed activities (by the very nature of project design) and cannot be formalised into an organisational human resource development plan. Thus the development of institutionalised HRM/D structure cannot be achieved through an isolated project located at Department level.

  • With support from HRM/D specialists and commitment to overall organisational reform departments can institutionalise effective HRM/D reform because facilities, resource persons (for technical training), training resources are already available and accessible. If an overarching reform process in place this organisational component may be the easiest to reform.

  • Specific training programme and courses may be easily internalised and sustained within already existing course curricula and programmes.

Key Findings

  • Whilst the development of strategic HRM/D plans were completed successfully in DAE and DoF and exposure to the process was beneficial to staff involved, the plans were never implemented because these were not supported by overall organisational plans and Ministerial backing.

  • As part of the reform process significant time and effort was invested to establish central HRM/D coordinating and planning units (Training or HRD Wings) in both DAE and DoF. Without full organisational ownership (mainly tacit support) the Wings never fulfilled their intended roles as strategic HRD planning units and HRM components remain documented plans only. The DoF training Wing has continued to operate semi-autonomously but mainly through a FFP mandate.

  • A fully autonomous Divisional HRD strategy was implemented successfully (although guided by the FTEP-2 project) and demonstrated that DoF could implement the principles of the HRD process at certain staff levels. However this was not internalised as a sustainable process in the absence of an overarching organisational strategic HRD reform programme.

  • Most human capital building was linked to project activities and prescribed objectives. One livelihoods course was successfully sustained by integration into fisheries related courses at one university through the SUFER programme. This was achieved through personal commitment by key individuals in the university rather than a formal institutional process led by the apex body, University Grants Commission.

Organisational Capital

Turning to organizational capital, this is without doubt the most difficult of the four forms of capital to enhance, as attempts to do so tend to challenge a potent mixture of tradition, vested interest and inertia. However, it is also the most important form of capital an agency can possess and the one that will largely determine success of efforts to enhance the other three forms. Few public sector R&D institutions in the least developed countries (LDCs) are organised in such a way as to produce a stream of relevant high quality outcomes. The agencies themselves tend to blame their deficiencies on chronic lack of funding, but others, while accepting that funding has been scarce and getting scarcer, have identified a number of failings that have contributed to the situation. Prominent among these is a chronic inability to prioritise the allocation of scarce resources. Generally speaking they lack most or all of the following:

  • independent governance and management structures

  • an agenda that is client orientated and demand driven

  • a list of R&D issues that is based on national and sectoral development priorities

  • transparency and professionalism in project selection, management and evaluation procedures

  • mechanisms to decentralise decision making

  • remuneration levels that permit professional staff to work full-time

  • procedures for recruitment, promotion termination and selection for training that are transparent and merit-based, and that reward good performance and penalize underperformance

  • funding mechanisms that link financial flows to organisational performance.

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Staffing

Staffing involves finding the right people, with the right skills, abilities, and fit, who may be hired or already working for the company (organization) or may be working for competing companies.

Staffing is the systematic approach to the problem of selecting, training, motivating and retaining professional and non professional personnel in any organization.

Staffing is a logical operation that consists of several interdependent actions as given below:

  • Identifying the type and amount of service needed by agency client

  • Determining the personnel categories that have the knowledge and skill to determine the needed service measures.

  • Predicting the number of personnel in each job category that will be needed to meet anticipated service demands.

  • Obtaining, budgeted positions for the number in each job category needed to service for the expected type and number of client.

  • Recruiting personnel from suitable applicants.

  • Combining personnel into desired configurations by unit and shift.

  • Orienting personnel to fulfill the assigned responsibilities.

  • Assigning responsibilities for client services to available personnel.

Staffing involves the manpower planning:

Manpower planning may be defined as a strategy for the acquisition, utilization, improvement, and preservation of the human resources of an organization. it is a technique for procurement , development, allocation, and utilization of human resources in an organization.

The following are the number and types of personnel needed to fulfill the philosophy, met fiscal planning responsibilities and carryout the chosen patient care management organization.

  • Recruit, interview, select and assign personnel based on established job description performance standards.

  • Use organizational resources for induction and orientation.

  • Ascertain that each employee is adequately socialized to organizational values and unit norms.

  • Use creative and flexible scheduling based on patient care needs to increase the productivity and retention.

  • Develop a program of staff education that will assist employees meeting the goals of the organization.

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Organisational Culture and Management Structures

The culture of an organisation is often referred to as the norms of an organisation, the way things are done and management structures relate to the more formal structures and processes in place (which are influenced by the ‘culture’). Projects try to influence changes in the way things are done to deliver outcomes more effectively; essentially to enhance organisational performance.

Key ‘best practice’ lesson

All RLP projects successfully demonstrated that organisational culture and management structures can be modified and improved but only within the formal project boundaries and duration (e.g. research management and partnerships in PETRRA, REFPI and SUFER, strategic HRD at Divisional level by FTEP-2, extension approaches and community management developed by ASIRP, FFP and CBFM2). Best results were with administrations based at the District or Divisional level e.g. District Partnership Initiative Funds and Divisional HRD strategy. The RLP experience reiterates the notion that working at the meso-level at the same time as a coordinated approach to reform at the macro-level is possibly the better practice lesson for influencing organisational culture and management structures.

Lessons Learnt

  • The clustering of projects in an organisation, particularly one whose organisational capital is largely exogenously determined, in itself hampers prospects for reform. Therefore donors and partners need to take stock and at the very least redefine the roles of projects working at this level in GoB and identify more realistically their most appropriate locus and function to support organisational development, especially when complementing a higher-level multi-donor policy forming initiative.

  • While a full sectoral approach is inappropriate for institutions with the mandates of DAE and DoF and must await action at higher government levels, major progress towards a more programmatic approach is still possible, but the issue needs to be prioritised. To this end, donor agencies must make clear their own policies by offering direct support to encourage organisational reform and sector strategies.

  • Organisational development and reform projects can take a lot longer, cost a lot more, and have much less effect than the donors may expect and where changes are achieved in organisational set-ups, doubts often remain as to their post-project sustainability.

  • Embedding cultural reform in the organisational context (which will influence management structures) may only be realised over a much longer timeframe as individuals most involved in today’s RLP project activities become future senior players in the development and implementation of the ‘rules of the game’. But government will need to set the enabling environment.

  • Where changes are achieved in organisational set-ups, doubts often remain as to their post-project sustainability.

Key Findings

  • Government departments are host to a multitude of projects supported by a wide range of donors with different rules and expectations.

  • Project culture is embedded in government Departments to such an extent that they focus on a set of activities unrelated to or duplicating with other projects.

  • Multi-project departments are fragmented with little coordination and lack of consistency in strategy and methodology.

  • Projects are often seen within departments as opportunities for a selected few rather than institutional functions.

  • Projects attract key staff away from the development and implementation of new policy processes, thus reducing the influencing potential of an organization’s greatest asset; its people.

  • Even where projects are multi-donor funded, inconsistencies between these donors’ rules can lead to sub-optimal performance on the ground (e.g. synchronising the funding of CG schemes under ASIRP, interpretation of institutional development in FFP).

  • Despite its best efforts, ASIRP’s attempts to improve DAE’s institutional capital have largely failed, for reasons connected with the organisational culture of the Department. The DAE itself admits to failings in this area in its SP 2002-2006 (ASIRP).

  • Reports on numerous interventions involving DoF have highlighted the need for change within the organisation if desired outputs are to be achieved in a sustainable manner. The current organisational structure of DoF is around projects, funded from both the development budget and from external donors. This structure does not permit the DoF to provide a standard core of extension services in a continuous manner (FTEP2).

  • The management structures within DoF are not appropriate to take over the extension programme developed by the project (FTEP2). The extension capacity building process should have been initiated after the reform of extension management structures through the FFP led National Aquaculture Extension Strategy (NAES), although implementation of the action plan for this strategy remains stalled.

  • What is seen from outside as organisational inertia may be regarded from within the system as a merit. Senior management at the DoF have a sense of being responsible custodians of natural resources and feel that it is their role to consolidate on good practice uninfluenced by outside fashions, which experience suggests are often ephemeral (FFP).

  • The closest thing to organizational reform is that achieved under FTEP 2 and FFP, where a Training Wing was initiated with the mandate to develop and implement a Human Resource Development strategy that cuts across project boxes within DoF. The EoP review of FTEP2 project (June 2003) noted the strategic importance of this change, but questioned the sustainability of the new arrangements. FFP has continued this work developing a training policy but evidence The attitudinal change necessary to support such reform is, as yet, limited at the Headquarters level, but this is not necessarily the case outside Dhaka (FTEP2).

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Strategic Planning

This relates to what an organisation wants to become, where it wants to go and, broadly, how it means to get there. Projects with outputs relating to organisational reform have tackled the issue of more detailed strategic planning to attain national and organisational development goals.

Key ‘best practice’ lesson

Lengthy developmental process for strategic planning involving many groups and working committees (meetings, workshops, discussion groups) consisting of individuals maintaining key posts throughout the departments (and not just project personnel) is important best approach to stimulate forward analytical thinking, provide exposure to strategic planning and promote ownership [However without requisite organisational backing, support at Ministerial level strategies are not implemented].

Lessons Learned

  • Strategic planning exercises can be of immense help in the process of “de-projectisation” in particular and re-integration of organisational capital, but to date even the most advanced and self-critical of these (DAE’s SP 2002-2006) is weak on implementation specifics, illustrating the need for reinforcement from a higher level in order to make reforms effective.

  • Evidence is clear that there is little commitment or even resources to implement the plans, and thus the development of such plans must be part of a wider reform process with wider sectoral linkages. Also projects do not have the necessary timeframe to successfully develop and implement the plans.

  • Efforts to promote collaboration among organisations must pay serious attention to the reasons people collaborate. Incentives and rewards must be considered, although this does not necessarily mean that people need to be paid extra in order to motivate them to work together.

  • If contrasts between goals of host organizations and donors were acknowledged at the outset and interventions designed to address or accommodate these then implementation of strategic initiatives would be easier and less likely to fall foul of rumours and suspicions of ‘alternative agendas’.

  • If the whole process is kept simple and implementers ensure that the processes of organizational analysis and subsequent reform are well understood by all (especially the most senior) stakeholders then there is increased likelihood of making sustained progress.

Key Findings

  • DAE has the most advanced system of strategic planning, however the language in SP 2002-2006 is tentative, with words like ‘should’ instead of ‘must’ or ‘will’ and suffixes the directives with ‘where possible’ (emphasis added). This clearly allows for alternative arrangements and is non-committal i.e. the status quo may persist.

  • The timeframe for strategic planning is too long for projects such that completion is close to project end e.g. SP 2002-2006 took 22 months; NAES for DoF has still not been approved more than one year after completion of the final draft document; the FTEP2-supported HRM/D 2020 vision and 5 year plan were never formally approved by the Ministry.

  • The lengthy but inclusive process of strategic plan development introduces a new departmental- wide dialogue from which all middle ranking to senior staff support appear to benefit. This may contribute to more meaningful strategic initiatives in the future.

  • The capacity for change management is scarce, and high quality external advice will be essential to any reform process.

  • A clear understanding of incentives and how incentives may be directed are critical to fostering sustained organisational change. Improving the personnel performance will only happen if staff have incentives to improve. This will require changes in the way organisations reward staff performance (ASIRP, SUFER).

  • Organisations find it very difficult to change from within. There is a need to identify key change agents which will create demand for meaningful reform from both higher up the hierarchy (e.g. Ministry level) and lower down the system (farmers/fishers organizations) (ASIRP, FTEP2, CBFM2).

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Pro-Poor Governance

Many donor agencies now embrace poverty reduction/alleviation/elimination as their overarching goal. This is often reflected in their efforts to assist in the process of organisational reform, but experience indicates that the extent to which this has impacted on organisational capital of host institutions is variable.

Key ‘best practice’ lesson

Projects’ work in empowering the poor to demand a better level of service may be their most significant contribution to sustainable rural livelihoods, particularly when they help local civil society organisations to emerge and become stronger. However there are opportunity costs to the poor in organising, because for them more than most time is money, and they will see these costs as worthwhile only if the organisations are structured around activities that raise returns to labour (e.g. by improving and augmenting human capital) so as to deliver economic benefits.


Lessons Learnt

  • Decentralisation can be achieved on a small scale in the short term but it is not clear to what extent this can be scaled-up and mainstreamed. Greater emphasis from project and programmes is needed to define workable mechanisms for scaling up and mainstreaming initiatives like the decentralisation process.

  • Inter-agency collaboration improves service delivery and increases access to services for communities in closer contact with local NGOs and private sector agents. Ways need to be found to sustain collaborative arrangements.

  • The use of Competitive Grant Scheme or Value Based Research, applied field-based research in partnership with other agencies is effective, under certain conditions, in targeting benefits towards poor people and women but the lessons on overall socio-economic impact are incomplete and sustainability by implementing agencies unclear.

  • Agriculture provides an effective entry point for developing and empowering self-help groups. Pond farming, homestead gardening and poultry rearing enable programmes to focus attention towards women. The demand of services has greater impact and more likely to succeed if from a group.

  • If pro-poor drivers for organizational change are identified from within the entire stakeholder community (farmers groups, government officials to politicians), evidence suggests that the more effort invested into this part of the process then greater returns for driving change are likely but the fragmented nature of projects and donors make it difficult to coordinate this.

Key Findings

  • Decentralisation of research funding processes and the promotion of Competitive Grant Schemes (CGS) through GoB agencies has encouraged demand-led, participatory and livelihood research in collaboration with partner organizations (NGOs and private sector). Similarly, decentralization of extension processes (fund, plan and implement) driven by projects (FTEP, FFP and ASIRP). More autonomy through the ASIRP UPIF approach.

  • The implementation of field-based pro-poor research has stimulated popular reform (among the research fraternity) in implementation of university research programmes (SUFER and REFPI) but does require increased funding and collaboration with local NGOs and private sector agents. More emphasis on social development impact of technical-based research is required.

  • The CARE RLP has demonstrated that field level governance exemplified by developing empowerment of self-help groups to demand better services from national service providers. A rights-based activity promoted by the project is part of empowerment process.

  • Cluster committees established across CBFM2 project sites, appear to be regarded as important, needs-driven institutions that add clear value to problem-solving processes.

  • PPG REFPI stakeholder participation (inclusive of community level) has resulted in relevant outcomes focused on real needs of the poor (REFPI).

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SOCIETY FOR HUMAN RESOURCE MANAGEMENT CODE OF ETHICS

6 Core Principles

  • Professional responsibility: HR professionals are responsible for adding value to the organizations they serve and contributing to the ethical success of those organizations. They accept professional responsibility for their individual decisions and actions and are advocates for the profession, engaging in activities that enhance its credibility and value.

  • Professional development: HR professionals must strive to meet the highest standards of competence and commit to strengthen their competencies on a continuous basis.

  • Ethical leadership: HR professionals are expected to exhibit individual leadership as a role model for maintaining the highest standards of ethical conduct.

  • Fairness and justice: HR professionals are ethically responsible for promoting and fostering fairness and justice for all employees and their organizations.

  • Conflicts of interest: HR professionals must maintain a high level of trust with stakeholders. In the interest of professional integrity, they must protect the interests of stakeholders and should not engage in activities that create actual, apparent or potential conflicts of interest.

  • Use of information: HR professionals consider and protect the rights of individuals, especially in the acquisition and dissemination of information while ensuring truthful communications and facilitating informed decision-making.

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Introduction to Human Resource Management

Authority– the right to command action from others

Effective – delivering the right services in a way that citizens fell is appropriate

Efficient – delivering of services at the lowest cost

Human Resource Management– deals with the designs and implementation of systems in an organization to insure the efficient and effective use of human talent to accomplish organizational goals. HRM is a proactive approach

Job Analysis is the systematic investigation of work content and worker qualifications

Line Management– those units that are directly involved with the production of the organization’s goods and services. Manufacturing, service, and governmental organizations all have line units

Organization – a group of people working together in a coordinated effort to achieve a set of objectives. The organization’s success in achieving objectives is a function of how well resources are managed. They improve by using their resources more efficiently and effectively

Productivity-ratio of output (services) to inputs (people, revenue, equipment, etc.)

Staff -functions in an advisory capacity to serve the line units of an organization. Primary function of staff departments is to provide support to line departments in attaining objectives efficiently and effectively

Theory Z – is a component of TQM. It is a style of management that involves participative management, employee empowerment, and focuses on customer satisfaction

Total Quality Management– (TQM) employs statistical methods and benchmarking of products and services against industry standards to ensure continuous quality improvement of organizational activities. This management approach is based on the postwar Japan works of W. Edwards Deming. It is a set of principles and practices whose core ideas include understanding customer needs, doing things right the first time, and striving for continuous improvement. Human resources is integrated with the TQM process in the selection and placement of employees based on problem-solving skills, cross-functional training, autonomous work teams, team-based performance appraisal, group incentives, and horizontal career paths.

MAJOR CATEGORIES OF ORGANIZATIONAL RESOURCES

  1. Financial

  2. Physical

  3. Information

  4. Human resources

ROLE OF HR MANAGEMENT IN PARTNERSHIP WITH LINE MANAGEMENT

  1. Service

  2. Advisory

  3. Policy Control

  4. Employee Advocacy

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CODE OF ETHICS FOR GOVERNMENT SERVICE

This Code of Ethics for the members of the Society for Human Resource Management has been adopted to promote and maintain the highest standards among its members. By joining the Society, a member espouses this Code, thereby assuring public confidence in the integrity and service of human resource management professionals.

Any person in Government service should:

1. Put loyalty to the highest moral principals and to country above loyalty to Government persons, party, or department.

2. Uphold the Constitution, laws, and legal regulations of the United States and of all governments therein and never be a party to their evasion.

3. Give a full day’s labor for a full day’s pay; giving to the performance of his duties his earnest effort and best thought.

4. Seek to find and employ more efficient and economical ways of getting tasks accomplished.

5. Never discriminate unfairly by the dispensing of special favors or privileges to anyone, whether for remuneration or not; and never accept for himself or his family, favors or benefits under circumstances which might be construed by reasonable persons as influencing the performance of his governmental duties.

6. Make no private promises of any kind binding upon the duties of office, since a Government employee has no private word which can be binding on public duty.

7. Engage in no business with the Government, either directly or indirectly which is inconsistent with the conscientious performance of his governmental duties.

8. Never use any information coming to him confidentially in the performance of governmental duties as a means for making private profit.

9. Expose corruption wherever discovered.

10. Uphold these principles, ever conscious that public office is a public trust.

(Passed July 11, 1958.)

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Historical Development of the Human Resource Function

TERMINOLOGY

Industrial Psychology– The primary concerns of industrial psychology is which the basic relations in industry between worker and machine and the organization. It is the application of the concepts and methods of experimental, clinical, and social psychology to industry.

Industrial Welfare Movement-attempts by employers during the late 1800’s to improve conditions for employees, both in the workplace and in their lives away from the job.

Laissez-faire Capitalism– capitalistic philosophy holding that business owners were entitled to complete control over employees.

Merit System-appointments to government jobs based on character and fitness, with removals made only for cause.

Pendleton Act of 1883- political and personal favoritism are the basis for determining the duties and pay of public employees- merit system employment. It established the US Civil Service Commission which was composed of three bipartisan commissioners appointed by the president. It required open competitive examinations, probationary periods, and protection from political pressures (merit system procedures). Authorized the commission to supervise the conduct of examinations. Authorized the president to extend merit system coverage by executive order.

Reform Movement-was a political movement during the mid- to late-1800’s designed to end the Spoils System of appointing people to government jobs.

Spoils System– also known as a Patronage System is the practice of giving appointive offices to loyal members of the party in power. The political party winning the election rewards its campaign workers and other active supporters by appointment to government posts and by other favors. The corruption and inefficiency bred by the system reached staggering proportions in the administration of Ulysses S. Grant, and reaction against this helped bring about civil service form, which was inaugurated by creation of the Civil Service Commission in 1871. The spoils system has continued for many federal offices and is even more prevalent in state and local governments.

Welfare Secretaries– Members of business firms who helped workers with education, housing, medical care, and other personal matters.

MERIT SYSTEM PRINCIPLES

  1. Recruitment from all segment of society based on knowledge, skills, and abilities

  2. Fair and equitable treatment

  3. Equal pay for the work of equal value

  4. High standard of ethical conduct

  5. Efficient utilization of the work force

  6. Retention and separation based on performance

  7. Education and training

  8. Protection from political pressures

  9. Protection of “whistle blowers”

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HISTORICAL EVOLUTION OF THE U.S. CIVIL SERVICE SYSTEM

  1. The Era of “Gentlemen,” 1789 – 1827

    • Limited to the “gentry”

    • Nepotism

    • Patronage

  2. The “Spoils Era,” 1827 – 1883

    • Andrew Jackson and populist politics

    • Full blown patronage

    • Strong executive leadership

    • The Pendleton Act of 1883

  3. The New Civil Service System, 1883-1978

    • Corruption incompatible with government efficiency

    • Separation of politics and administration in keeping with Frederick Taylor’s theories of scientific management

    • Expansion of the merit system

    • American Society for Public Administration founded in 1939

    • Federal Service Entrance Exam established in 1955

  4. The Reformed Civil Service System, 1978 – Present

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