The Health and Family Planning Manager’s Toolkit

HUMAN RESOURCE DEVELOPMENT (HRD)

ASSESSMENT INSTRUMENT
FOR
NON-GOVERNMENTAL ORGANIZATIONS (NGOS)
AND PUBLIC SECTOR HEALTH ORGANIZATIONS

Developed by

Family Planning Management Development

Technical Unit
Management Sciences for Health
1998
HUMAN RESOURCE DEVELOPMENT (HRD) ASSESSMENT INSTRUMENT FOR NON-GOVERNMENTAL ORGANIZATIONS (NGOs)
and PUBLIC SECTOR HEALTH ORGANIZATIONS
Developed by Management Sciences for Health

INTRODUCTION

Human Resource Development (HRD) plays a critical role in creating and sustaining high performance organizations. A large percentage of the
operating budgets of NGOs and Ministries of Health is devoted to staff salaries and wages. In an era of health sector reform, HRD issues must be
addressed if organizations are to successfully manage decentralization, public/private partnerships, downsizing and expansion, as well as the drive
toward organizational sustainability. As more and more NGOs and government organizations face these challenges, they are looking for HRD
technical assistance and support. This instrument is designed to help organizations assess their HRD capacity. It can also serve as a basis to develop
strategies to improve the HRD system and make it as effective as possible.

Benefits Of Human Resource Development To Your Organization:

< Systematic planning to support organizational mission

< Increased capacity to achieve the organization’s goals
< Clear definition of each employee’s work responsibilities and link to organization mission
< Greater equity between compensation and level of responsibility
< Defined levels of supervision and management support
< Increased level of performance and efficient utilization of employees skills and knowledge
< Cost savings through improved efficiency and productivity
< Increased ability to manage change

Management Sciences for Health (MSH), an organization dedicated to providing management development assistance and training to health and
family planning NGOs and public sector health organizations, has developed a series of organizational self-assessment tools that focus on various
management issues. While HRD is a management issue, MSH defines it from the more positive perspective of “development”. In other words: how
can your organization develop a set of policies, practices, and systems that advance the skills and motivation of staff in order to achieve the highest
possible level of performance over time? The answer to this question is within your organization, in both the dynamics, knowledge and level of staff
commitment, as well as reflected in the current HRD system, policies, and procedures.

Human Resource Development is important in all organizations regardless of their size, purpose and degree of complexity. The components
assessed by this tool are relevant in any organization from small and medium-sized NGOs to large government bureaucracies.

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CONTENT OF THE INSTRUMENT

Working Definition of HRD

Human Resource Development, as assessed by this instrument, is defined as the integrated use of systems, policies and practices to recruit, maintain
and develop employees in order for the organization to meet its desired goals. HRD is most effective in an organization when its authority is located
at the senior management level. In a decentralized system the HRD function should be located at a senior level.

HRD Components Assessed By This Instrument

HRD Capacity: HRD Data:

Budget Employee Data
HRD Staff Computerization of Data
Personnel Files
HRD Planning:
Mission and Goals Performance Management:
HRD Planning Job Descriptions
Supervision
Personnel Policy and Practice: Performance Planning and Evaluation
Job Classification System
Compensation and Benefits System Training:
Recruitment, Hiring, Transfer and Promotion Staff Training
Orientation Program Management/Leadership Development
Policy Manual Links to External Pre-Service Training
Discipline, Termination, Grievance
Procedures
Other Incentive Systems
Union Relationships
Labor Law Compliance

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Importance of the HRD Components

HRD Capacity
Budget Allows for consistent HRD planning and relating costs to results.
HRD Staff Staff dedicated to HRD are essential to policy development and implementation

HRD Planning
Mission and Goals Mission provides direction to HRD activity and to the work of the staff.
HRD planning Allows HRD resources to be used efficiently in support of organization goals.

HRD Data
Employee Data Allows for appropriate allocation and training of staff, tracking of personnel costs.
Computerization of Data Accessible and accurate and timely data is essential for good planning.
Personnel Files Provide essential data on employee’s work history in organization.

Personnel Policy and Practice

Job Classification System Allows organization to standardize the jobs and types of skills it requires.
Compensation and Benefits System Allows for equity in employee salary and benefits, tied to local economy.
Recruitment, Hiring, Transfer and Promotion Assures fair and open process based on candidates’ job qualifications.
Orientation Program Helps new employees to identify with the organization and its goals/values.
Policy Manual Provides rules and regulations that govern how employees work and what to expect.
Discipline, Termination and Grievance Procedures Provides fair and consistent guidelines for addressing performance problems.
Union Relationships Promotes understanding of common goals and decreases adversarial behaviors.
Labor Law Compliance Allows organization to function legally and avoid litigation.

Performance Management
Job Descriptions Defines what people do and how they work together.
Staff Supervision Provides a system to develop work plans and monitor performance.
Performance Evaluation Provides information to staff and organization on level of performance

Training
Staff Training A cost-effective way to develop staff and organizational capacity.
Management/Leadership Development Leadership and good management are keys to sustainability.
Links for External Pre-Service Training Pre-service Training based on skills needed in the workplace is cost effective.

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PURPOSE OF THE HRD ASSESSMENT INSTRUMENT

The HRD assessment instrument is intended to provide users with a rapid assessment tool to identify the organization’s characteristics with respect
to the core functions of a Human Resource Development system. The instrument is organized according to these HRD components in a matrix with
four levels of indicators. There is no scoring involved. Each level describes an organizational phase of development and provides information that is
useful in developing a plan of action for your organization to improve those HRD areas that need strengthening.

For newly formed organizations, the instrument can serve as a guide for developing an optimal HRD system. For established organizations facing
changes (i.e. contracting out services, decentralizing, downsizing or expansion), the tool can serve as a reference for the types of HRD issues that
must be addressed in order to manage change successfully. For optimal benefit to the organization, it is important that this assessment be supported
by the executive director of the NGO or top decision makers in a government organization. Units within an organization can also benefit from using
this instrument as a guide for improving HRD components that they can influence directly. This instrument can also serve as a basis for focusing
discussions, brainstorming, and strategic planning.

USING THE INSTRUMENT

This instrument is best administered by a committee of staff internal to the organization (e.g., Executive Director and representatives from senior
staff, Board of Directors). It is often useful for an external consultant to facilitate the process.

Organizational Self-Assessment and Action Plan

Together the group should assess each HRD component on the attached graph. Following this, the group should discuss the results, agree on the
areas which need strengthening, and formulate an action plan that includes specific activities, with time lines, to address these areas. A paper review
of the documents listed below will help to inform the discussion.

It is important that the results are reviewed and analyzed by a variety of staff and board members, and that a consensus is reached on HRD areas
within the organization that should be targeted for improvement. The criteria specified for each component in this HRD Assessment will provide
the organization with data on which to base improvement action plans. The tasks required for improvement are not necessarily costly, but if
resources are limited, think strategically. Which actions will have the biggest impact on the effectiveness of the organization? Whatever the amount
of time and resources that are required, an investment in HRD will reap many benefits for your organization.

Complementing the Self-Assessment with a Review of Documents

In each case, the assessment work should be complemented by direct observation of the organization’s HRD practice and a review of all relevant
HRD and personnel documents. The following documents are recommended for review:
Ë Personnel Files and Reviews Ë Employee Policy Statements or Manual
Ë Job Descriptions and Work Plans Ë Organizational Mission Statement
Ë Financial/Payroll Records Ë Strategic Plans
Ë Labor Law

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HRD Assessment and Volunteer Staff
The HRD components assessed by this instrument are part of a comprehensive HRD system, designed to enhance the performance of permanent
staff and support the goals of the organization. Paid staff represent a direct cost to your organization and as such are the appropriate focus of formal
HRD policy. However, many of the components described here are relevant to utilizing volunteer staff effectively. They can be used by your
organization as a basis for policy and procedures for people who provide service to the organization in this capacity. Regardless of whether people
receive a salary for their services, it is important both to the organization and to the volunteer to be clear about what the individual will contribute to
the goals of the organization and on what terms they will do so.

Components that are particularly relevant to volunteer staff and that can serve as the basis for policy and procedures include:

Ë HRD Planning: To what extent does your organization rely on volunteers to contribute to your mission and goals? Are volunteers
engaged in work that is central to the success of your mission? If so, then it is critical that you account for this in your
annual work and staffing plan.

Ë Recruitment: Regardless of the work that volunteers do in your organization, it is important to specify what skills and experience are
required. These should become the criteria on which you base your selection of volunteers. It does not add value to
your organization to recruit volunteer staff who require a great deal of training.

Ë Job Descriptions: Job descriptions define what people do and as such are relevant to volunteer staff and help to avoid confusion over their
role in the organization.

Ë Supervision: As volunteer staff represent your organization, it is important that a system of accountability and performance
standards be in place as well as a person designated to solve problems, provide resources, equipment, and support to
volunteers.

Ë Compensation: While volunteers do not receive a salary, they may be able to charge certain expenses to your organization. These
expectations should be clarified as part of an overall policy.

Ë Orientation: An orientation to the organization, its mission and goals, as well as its policy and procedures, will help volunteer staff
to work more effectively and avoid unnecessary problems.

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 HRD ASSESSMENT TOOL FOR NGOS AND PUBLIC SECTOR HEALTH ORGANIZATIONS

INSTRUCTIONS

For each of the HRD components on the grid below, circle the statement that best applies to the current status of your organization. If only part of the statement
applies, circle the previous statement. In the “comments” box beside each HRD component, please record the indicators (or reasons) that led you to select this box
and any additional key information related to this component. Refer to the glossary attached at the end of the tool for definitions of key terms used in the grid.

HRD 1 2 3 4 Comments
COMPONENT
HRD Capacity
HRD Budget There is no budget There is limited Budget is allocated for Money for HRD staff
allocated for HRD money available to HRD staff and related and related activities is
staff or HRD activity fund an HRD activities. Allocation is a permanent budget
within the position or to conduct irregular and cannot item, reviewed
organization. HRD activities (e.g., be relied on for any annually and adjusted
training, systems useful long range if possible.
development, planning or the
performance development of HRD
planning and systems.
evaluation).
HRD Staff There are no staff There are HRD staff There are trained There are experienced
specifically charged in the organization, HRD staff in the org., HRD staff in the org.
with responsibility for but they have limited but only at a level to who maintain HRD
HRD functions. experience related to maintain basic functions. They
this field (personnel, procedures and record participate
recruitment, keeping functions. in long range planning
management) and/or for the organization.
have other functions
in the organization as
well as HRD.

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HRD 1 2 3 4 Comments
COMPONENT
HRD Planning
Organization No formal mission Mission/goals exist Mission/goals linked Mission/goals linked to
Mission/Goals statement or but are not formally in a formal way to annual HRD planning
organization goals linked to HRD HRD planning (e.g., and also for forecasting
exist. planning (e.g. staffing plan, training). long range staffing and
staffing, job recruitment needs.
classifications).

HRD Planning No annual HRD plan Annual HRD plan Annual HRD plan Annual HRD plan
exists. exists, but it is not exists, based on based on
based on a formal organizational goals, organizational goals
assessment of the staffing needs, and training outputs
mission, training, and employee exists. It is
organizational goals, data, but it is not implemented,
staffing needs, further evaluated for evaluated, and used for
training outputs or effectiveness. long-range strategic
existing employee planning.
data.

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HRD 1 2 3 4 Comments
COMPONENT
HRD Data
Employee Data None of this data is Most of this data is All of this data is All of this data is
No. of staff collected on any kind collected, but not available and up-to- available and up-to-
Location of systematic basis. maintained or kept date, but data is not date. Systems are in
Skill/Ed. levels up-to-date. formally used in HRD place. Data is formally
Gender/age planning or used in HRD planning
Year of hire forecasting. and forecasting.
Salary level

Computerization There are no There are computers Computers and data Computers and data
of Data computers or data in place, but no management systems management systems
systems available to resources to develop are available, but staff are in place and data
Note: the organization, systems for data not trained and data files up to date, staff
(this component is externally or management. files are incomplete. receives training.
more relevant for internally.
larger
organizations)

Personnel Files No individual Limited employee Personnel files for all Updated personnel
Individual employee records personnel files are employees are files for all employees
Employee Records exist. maintained, but not maintained and kept exist and also policies
regularly updated. up to date, but there is for appropriate use,
no policy for employee e.g. confidentiality,
access or use of this employee access.
data.

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HRD 1 2 3 4 Comments
COMPONENT
Personnel
Policy and
Practice
Job Classification No formal system There is some A job classification A job classification
System exists to classify jobs attempt to classify system exists, but it is system exists and is
title/qualifications and the skills and jobs, but it is uneven not used as a basis for used in a formal
for : qualifications and incomplete. other HRD functions manner for other HRD
professional required for each (e.g. job descriptions, planning and staffing
clinical classification. hiring, functions.
technical salary/benefits).
support staff
Compensation and No formal system A formal system A formal system A formal system exists
Benefits System exists for determining exists, but it not used exists, is understood and used consistently.
the salary scale and in a routine manner. by all employees and It is also used to
benefits provided to used in a consistent determine salary
each job manner. upgrades and merit
classification. awards.

Recruitment, No formal process There are systems for There are formal There are formal
Hiring, Transfer exists for recruiting, hiring, etc. but they systems, based on systems, monitored
and Promotion hiring transfer and are not followed. established criteria, and used in all hiring,
Procedures promotion according but they are not used transfer and promotion
to job descriptions. consistently. decisions.

Orientation There is no formal There is a program, Orientation is offered Orientation is offered

Program orientation program but it is not in a routine manner, to all new employees,
for new employees. implemented on a but does not emphasizes the
regular basis. emphasize the mission, goals, and
mission, goals, performance standards
performance standards expected and also
expected by the makes people feel
organization. welcomed and valued.

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HRD 1 2 3 4 Comments
COMPONENT
Policy Manual No policy manual Policy manual does A current policy An updated policy
exists. exist, but it is out of manual does exist but manual does exist and
Org. Chart date and does not it is not available to all is available to all
Work hours include all of the employees and is not employees. It serves as
Time sheets relevant information. always used as a basis a reference guide to all
Policy for personnel questions about
Discipline decisions. employment in the
Grievances organization and is
Benefits reviewed and updated
Legal regularly.
Travel
Discipline, No formal procedures Formal procedures Formal procedures Formal procedures
Termination, exist. do exist, but they are based on performance based on performance
Grievance not clearly related to standards exist, but standards are known to
Procedures performance they are not followed all employees and used
standards. in any consistent consistently.
manner.
Relationship with There is no link Links exist between Management involves Management, HRD
Unions between HRD, HRD, management, HRD in union issues, and the union work
(if appropriate) management and the and union, but roles but on an irregular together to resolve
union. are not clear. basis. issues and prevent
problems.

Labor Law There is no review of There is some effort A review of the labor HRD policy and
Compliance HRD policies to to review labor law, law is done regularly practice is adjusted as
ensure compliance but it is not done on a as a formal part of the needed to be in
with local and/or regular basis. HRD function, but compliance with the
national labor law. policy is not always local and/or national
adjusted to ensure labor law.
compliance.

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HRD 1 2 3 4 Comments
COMPONENT
Performance
Management

Job Descriptions No job descriptions Some staff have job All staff have job Complete job
job title are developed. descriptions, but they descriptions, but they descriptions exist for
qualifications are not always up-to- are not all complete or every employee and
responsibilities date and/or are very up to date with are kept up-to-date
supervisor general lacking job specific duties and through a regular
responsibilities and lines of supervision. process of review.
supervision. Specific duties and
lines of supervision are
clearly stated.

Staff Supervision There is no clear There are established Supervisors Supervisors increase
system of supervision. lines of authority, but understand their roles staff performance by
Lines of authority are the supervisor’s role and lines of authority assisting staff with
unclear. Staff are not and function is not and meet regularly professional
recognized for their understood and little with their employees development plans and
achievements. supervision takes to develop work encouraging them to
place. Limited staff plans, evaluate, learn new skills.
recognition. performance, and Supervisors receive
publicly recognize skills training
staff for their periodically.
achievements.

Performance There is no formal A Performance There is a formal Supervisors and

Evaluation Performance Planning Planning and Review system and employees develop
and Review (PP&R) System is in place, supervisors are work plans jointly and
A Formal system in place. but it is informal and required to develop performance reviews
Performance does not include work plans and are conducted on a
Planning and jointly developed performance regular basis.
Review System work plans and objectives with each Orientation sessions
(PP&R) performance employee and evaluate and a manual are
objectives with staff. performance in the provided to all staff.
past, but this is not Reviews are used for
done on a consistent personnel decisions.
basis.

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HRD 1 2 3 4 Comments
COMPONENT
Training

Staff Training There is no Training is offered on Training is a formal Training is a valued

established training an ad-hoc basis but it component of the part of the organization
program. is not based on a organization and and opportunities are
formal process of linked to staff and developed for staff
assessing staff needs organizational needs, based on their needs
nor is it linked to the but it is not available and also on those of
organization’s key for all staff, nor is it the organization.
priorities and evaluated for results.
changes in the health
sector and health
practices.

Management and There is no policy or There is an emphasis The organization A program for
Leadership philosophy regarding on developing makes an effort to management and
Development the importance of management capacity develop managers and leadership
developing strong but it is not done on a future leaders through development is in
management capacity regular basis. training, and also place and there is
and future leaders for through mentoring and equal opportunity for
the organization. challenging job everyone to participate
assignments, but based on performance
participation is and other established
selective. criteria.

Links to External There is no formal There is a loose The organization and The organization and
Pre-Service link with the pre- relationship between pre-service training pre-service training
Training service training the organization and institutions work institutions also offer
institutions which pre-service training together to ensure that regular in-service
(This HRD train employees for institutions, but it is the curriculum is training for staff
component may be the health sector. not used in any based on skills, already in the
more relevant for formal way for knowledge and workplace to upgrade
Government workforce training attitudes required in their skills and
organizations) and development. the workplace. knowledge,(e.g.
management training).

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DEVELOPING AN ACTION PLAN

Following the assessment of the HRD components in this instrument, the group should discuss the results and agree on areas which need strengthening.
Once these are identified and agreed to, an Action Plan is developed. The criteria specified for each component in this HRD Assessment Instrument will provide data
on which to base your Action Plan. Successful change is a gradual process, so it is better to set realistic goals and try to move from one stage to the next in incremental
steps. If many areas need to be addressed, focus on what is most practical and achievable given the available human and financial resources. Consider where you can
have the biggest impact. For example, updating job descriptions can also provide a basis for performance evaluation, supervisory roles and staff training. Your Action
Plan should specify activities, time lines and identify the persons responsible. Other elements to consider include:

< Securing commitment of leadership: The leadership of your organization should lead the effort and actively support your activities, especially in regard to
potentially difficult decisions regarding the use of human and financial resources.
< Allowing sufficient time: Realistic expectations are often the key to success. Improvements are often incremental and cumulative and sustained change takes
time.
< Managing change: Organizational change is often met with resistance. Use the addendum on the following page to assess your organization’s capacity to
manage and implement change.

Sample Action Plan:

Targeted Area Recommendations Time Frame Person(s) Responsible Resources needed Indicators

Job Descriptions Undertake a Over the next months. Executive Director and Staff time and Current job descriptions
comprehensive review HRD Director. assistance. No additional are on file for all staff
of all job descriptions, resources required. including
compare them with specific duties and lines
employees’ current and of supervision. A
anticipated job procedure to maintain
responsibilities. Update them is in place.
as necessary.

Performance Evaluation Revise existing system 6 months to review to Staff responsible for External consultant to Revised performance
to include a process of develop a process and 6 HRD and Director of assist in training all staff. evaluation system is in
joint work planning months to train staff and Training with a working place. Staff are trained
between the employee implement it. committee and a system has been
and the supervisor representative of all developed to monitor
which is based on levels of the implementation.
employee’s job organization.
description and linked to
organizational goals. .

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ADDENDUM
This addendum is intended to assess your organization’s capacity to implement change successfully. A score of ‘one’ indicates limited experience and/or capacity to
implement and adapt to change, a score of ‘four’ indicates maximum capacity. If you assess your organization at a one or two, it is suggested that you focus your action
plan, initially, on activities that can be realistically achieved. As you succeed with these, the Action Plan can be expanded to include more challenging goals.

ORGANIZATIONAL CAPACITY TO CHANGE

CHANGE 1 2 3 4 COMMENTS
FACTOR

Organizational Organization has a Organization has an Organization is built on Organization sees itself
Philosophy traditional philosophy, interpersonal humanistic values and as a change agent and
top management is philosophy and views supports HRD activities, values input from all
isolated, expects work two-way but it does not fully employees.
to get done using one- communication integrate HRD into its HRD is a partner in
way communication. between staff and strategic planning. strategic planning.
Responsibility falls on management as HRD is expected to Change is viewed as an
mid-level management. important, but does respond to directives on-going process.
HRD is not valued. not budget adequate rather than to facilitate Teamwork is the
resources to HRD. them. norms.

Organizational Organizational structure Organizational Organization Organization has a

Flexibility is based on a hierarchy structure is more encourages new ideas history of self-
which is rigid and open. It takes and recognizes the need assessment and
difficult to change. recommendations for for change, but is fearful adapting to change.
Management and staff changes under of moving forward. Planned risk taking is
do not believe that they advisement but there Implementing change supported, innovation
have the capacity to is a strong value on can take too long and is encouraged. Staff are
implement changes tradition and people the ‘pay-off’ valued and given the
successfully. resist any efforts to uncertain. It is hard for tools and training to
Changes are very change. the organization to move the organization
difficult to achieve. accept the risk factors. ahead.

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GLOSSARY of HRD TERMS

Compensation and Benefits The annual base salary paid to the employee for a particular job including the added benefits that are
customarily allowed (i.e., health, vacation, housing, loans).

Human Resource The integrated use of systems, policies, and practices to recruit, develop, and maintain employees in order for
Development the organization to meet its desired goals.

HRD Plan The document which results from annual (or longer term) planning, describing the goals and priorities for
staffing, training, and other HRD activities and how they are related to the organization’s mission. It includes
the budget for achieving these goals.

Incentives Rewards, generally monetary, that are used to reward high performance, the achievement of objectives, and/or
to motivate employees to improve program quality. Incentives, in addition to salary and benefits
can be a planned part of total compensation.

Job Classification System The system that the organization develops to classify jobs according to their function and level of
responsibility. It includes job descriptions for each of the job classifications.

Job Description A document that states the job title, describes the responsibilities of the position, the direct supervisory
relationships with other staff and the skills and qualifications required for the position.

Mission A brief statement that describes the type of organization, its main purpose and its values. The mission
provides the rationale for defining goals and objectives.

Performance Evaluation A summary of the employee’s performance, both positive and negative, based on jointly established work
plans and performance objectives.

Recruitment Activities undertaken by the organization to attract quality candidates as applicants for their jobs.

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