GUIDELINES FOR USING THE INTERVIEWS, OBSERVATIONS AND

DOCUMENTATION ARE GIVEN UNDER EACH OF THE SUBSYSTEMS.

HRD SYSTEM
A.

Career System

A1.

Manpower Planning and Recruitment ;

A2

What is the process of manpower planning and recruitment.

How do the line managers participate in it?
What has it resulted in.
Are there differences in the workload of different departments? How is
manpower being rationalized.
Is the manpower planning being done scientifically.
Are there adequate mechanisms to ensure the availability of the right
competencies
Is the competency listing appropriate to ensure the availability of the right
competencies
Is the competency listing appropriate and given adequate attention.
What are the strengths, weaknesses and suggestions for improvement.
Potential appraisals and Promotions

A3.

Is there a system of potential appraisal?

How is it being implemented
Is it scientific
Is there a promotion policy
Is it widely shared with all employees
Are the promotions based on competency assessment
What is the thinking on assessment centres
What are the strengths, weaknesses and suggestions for improvement
Career Planning and Development

How is the system of career planning and development operating.

What is the process of succession planning
Are there well laid out career paths
If the organization has made structural changes, in the recent past, have the
implications for careers being explained? Have they been thought over.
Are people aware of the implications of the structures? Do they see the
advantages and link in with careers.


B.
B1.

Work Planning
Role Analysis

B2

B3

What is being done to clarify roles on a continuous basis.

Is role clarity an objective of the performance management system
Are there mechanisms for periodic dialogue between the seniors and juniors to
give directions.
Are there mechanisms of sharing performance expectations between senior
managers and their juniors.
Is the goal setting and performance planning process in place?
What are the strengths, weaknesses and suggestions for improvement in work
planning systems. ( Key performance Areas (KPAs), KRAs, Key Result Areas.
Contextual Analysis
Are there mechanisms to inform employees about the performance of the
company.
Are there mechanisms of formulating and communicating annual or periodic
performance plans and thrust areas to all employees.
Do these communications help employees planning their work and give them a
sense of direction.
Do heads of departments and other senior managers take pains to communicate
organizational plans and ensure that they are translated into work plans at the
individual level.
What are the strengths, weaknesses and suggestions for improvement.
Performance Appraisal

C
C1.

What are the strengths, weaknesses and suggestions for improvement in the career
planning and development.

What is the current system of performance appraisal?

What are the components?
What is it currently being used for?
How is it linked to other systems.
Are the line managers taking it seriously.
What are the roles being played by the system
Are the line managers adequately trained by it, are there efforts made to
constantly keep educating the line managers. Are the objectives clear to all.
Are there too many perceived biases if it linked to rewards.
What are the strengths, weaknesses and suggestions for improvement.
Development System
Training and Learning

C2.

C3.

What are the suggestions for improvement in the training?

What is the training budget.
Do line managers take the training seriously.
What is the process of sponsoring employees for training.
What are the other learning mechanisms being used for competency building
What are the new learning mechanisms that can be used.
What are the attitudes of the line managers and the top management for training.
What are the strengths and weaknesses of the training as it is being managed.
Performance Coaching/Counselling.
What is the system of giving performance feedback and counseling.
Are the feedback and counseling sessions conducted seriously
Do line managers take it seriously and give it the importance that is due.
Are there adequate time, infrastructure ( e.g. meeting rooms) and other facilities
provided for the feedback and preview sessions.
Is research done and the data utilized for bringing about improvement.
What are the strengths, weaknesses and suggestions for improvement of the
system.
Is there a 360 degree feedback system in operation in the company? For how
long?
What has been the experience of managers with the system?
Others like job rotation, mentoring.
What are the other noticeable mechanisms being used for competence building
and commitment building in the company.
How is job rotation being used.
How is mentoring being used? Are people trained adequately.
Is the success experienced communicated to others to enhance the effectiveness
Of the system.
What are the strengths, weaknesses and suggestions for improvement in job
rotation and the mentoring system.

C4 Staff ( Worker) development

What is the seriousness attached to worker and staff development
Is there a separate person in charge? What are the competency levels of the
persons dealing with worker and staff development.
What is the range and appropriateness of the training and other development
activities undertaken for the workers and the staff.
Do they go beyond the statutory requirements
How seriously are the statutory requirements of training system taken up by the
company.
Is there a special training budget for the workers and the staff.

What are the strengths, weaknesses and suggestions for improvement in the
system of training and worker development.

D. Self-renewal system
D1.
Role efficacy
Are there mechanisms of periodically examining the effectiveness with which
employees are performing their roles.
Are there any role efficacy programmes conducted in the company? What is the
level of role efficacy? Is there adequate decentralization and delegation.
Are there periodic review of roles and efforts made to improve the scope for role
effectiveness.
What are the strengths, weaknesses and suggestions for improvement of role
efficacy mechanisms.
D2 Organisation Development

What OD exercises have been undertaken in the past? What have been the
results.
Is the diagnosis shared widely.
What are the interventions used in the past and how did they work.
What are some of the top management attitudes to OD interventions.
What is the scope for OD exercises.
What should be the focus in future.
What are the priority areas for OD work.
What are the strengths, weaknesses and suggestions for improvement in relation
to OD activities.

D3 Action oriented research

Is there a research orientation.

Have there been any researches in the past? What is the scope for action research
in the company.
What is the level of HR research orientation in the company? What are the
competency levels of employees in the company to conduct such research?
What are the strengths, weaknesses and suggestions for improvement in action
research and research based interventions.

E. Culture Systems
E1. HRD Climate

What are the main characteristics of the HRD climate.

How do the line managers characterize the learning environment in the company.
What are the salient features.
What is the level of OCTAPACE in the company?
How free, frank and open are people with each other?
What is the level of trust? Are people generally reliable and counted upon to say
what they feel and do what they say.
Is there a lot of chasing and monitoring to be done of each other? Is there a
collaboration spirit and we feeling.
What are the strengths, weaknesses and suggestions for improvement of the HRD
climate.

E2 Values;

Are there some stated values? What are these values?

How are these communicated ? Monitored and Practised
How related are these values to the organizational goals or to larger level
community or country-related goals?
What are the strengths, weaknesses and suggestions for improvement in the
process of articulation and practice of values.

E3 Quality Orientation

E4

What efforts have been made in the past to improve the quality of products and
services.
How extensive is the quality related efforts.
Have all employees become quality conscious
Is ISO 9000 or such other systems followed only for certification purposes or also
for genuine improvement of quality.
What is the level of tolerance of poor quality of internal customer services.
What are the various quality related systems in use.
How are they being taken? What are the attitudes of line managers to these.
Have these systems been focusing on continuous competence building of the
employees.
Are these enhancing the commitment of employees to quality and other
dimensions.
What are the strengths, weaknesses and suggestions for improvement for each of
these systems.
Reward and Recognition

What are the various reward systems in use?

What impact have they made in the past?

E5a

E5b

E6

Are people happy with these?

Are the negative effects or side effects of these systems and mechanisms small
enough and do the positive effects outweigh these.
What do people feel about these
What aspects often go unrecognized unrewarded
Are the reward systems adequate and appropriate.
What are the strengths, weaknesses and suggestions for improvement.

Information
What are the informational need of employees at the various levels given the
nature of business or business plans of the company.
Is the information given up to the desired level?
What more information needs should be taken care of.
What are the strengths, weaknesses and suggestions for improvement in the
information needs of employees and the way they are being met?
Communication
What are the communication needs of the people?
Do they get regular communication about the company, groups etc and their
performance?
Are the communication needs being met effectively.
Are there efforts made to use information as a developmental, context-providing
and commitment building tool?
What are the strengths, weaknesses and suggestions for improvement.
Empowerment

What is the level of empowerment?

Are the line managers and particularly the seniors turned in terms of their
attitudes to empowering their subordinates.
What are some of the practices or efforts made in the past to empower
employees? ( eg; delegation of powers, use of committees and task force etc)
What are the strengths, weaknesses and suggestions for improvement.

WHAT TO OBSERVE FOR AUDITING

A. Career System;
A1.
Manpower Planning and Recruitment;
A2.
Potential Appraisals and Promotions
A3.
Career Planning and development
B. WORK Planning
B1.
Role analysis
B2.
Contextual Analysis
B3.
Performance Appraisal
C
C1.
C2.
C3.
C4.

Development System
Training and Learning
Performance Coaching and Counselling
Others Like job rotation, mentoring
Staff ( worker development )

D
D1.
D2.
D3.

Self renewal System

Role efficacy
Organisation development
Action Oriented research

E
E1.
E2.
E3.
E4.
E5a.
E5b

Culture Systems
HRD Climate
Values
Quality Orientation
Rewards and RECOGNITION
Information
Communication

E6

Empowerment

HR related documents and facilities to be observed

A.
A1.
A2.
A3.
B.
B1
B2
B3

Career System
Manpower Planning and Recruitment
Potential appraisals and Promotions
Career Planning and development
Work Planning
Role Analysis
Contextual Analysis
Performance Appraisal

C
C1.
C2.
C3.
C4.

Developmental System
Training and Learning
Performance coaching/counseling
Others such as job rotation, mentoring
Staff (Worker) development

D.
D1.
D2.
D3.

Self-renewal system
Role Efficacy
Organisation development
Action Oriented Research

E
E1
E2
E3
E4.

Culture Systems
HRD Climate
Values
Quality Orientation
Rewards and Recognition

E5a.
E5b

Information
Communication

E6

Empowerment

CHALLENGES
Challenge 1. Globalisation- new markets, mind sets, competencies, ways of thinking
Challenge 2. Value Chain for global competitiveness and HR services-innovation faster
decision making, effectively linking with suppliers and vendors to build a value chain
Challenge 3. Profitability through cost and growth- Leveraging growth through
customers
Challenge 4 Capability focus- what capabilities currently exist within the firm.

What capabilities will be required for the future success, how we can align with
capabilities with business strategies, how we can design HR practice, how we measure
accomplishment.
Challenge5 Change, Change and Change Some More
How do we unlearn What we have learned?
How do we honor the past and adapt to the future
How do we encourage the risk taking necessary for change with out putting the firm in
jeopardy
How do we change the hearts and minds of everyone to change.
How do we change and learn more rapidly.
Challenge 6. Technology How to make technology a viable and productive
part.
Challenge 7 Attracting , retaining and measuring competence and intellectual capital.
Challenge 8 Turnaround is not transformation
PROFESSIONALISM IN HR
-

Focus on defined outcomes

A shared body of knowledge
Essential competencies
Ethical standards
Clear Roles
Outcome definition

EIGHT MYTHS ABOUT HRD

HRD Means training

HRD Means promotion
HRD Means salaries
HRD means planning the careers of people
HRD means rewards
HRD means having a good time
HRD depends on the top management
HRD is the job of HRD department alone

THE HRD REALITY

HRD Means learning

HRD means self-development
HRD means creating conditions for others to develop and remain motivated
HRD means creating new development tools and their use
HRD means accountability

HRD means more initiative, teamwork and collaboration

HRD means trusting and trustworthiness and creation of a trusting environment
HRD means autonomy and experimentation
HRD means effort
HRD is contextual

HRD Audit Methodology ;

Interviews
Individual
Group Interviews

Observation
Physical facilities
Meetings, Discussions and Transactions
Celebrations and events
Questionnaires
Item wise analysis
Dimension wise analysis
Dimensions
A. Career System
B. Work Planning
C. Development System
D. Self-renewal System
E. HRD
F. HRD Function

Overall HRD score

Analysis of Assets and Liabilities
Analysis of Open-ended questions