PROCEDURE FOR OBTAINING CHANGE OF USE OF PROPERTY IN KENYA

 

The power to control land use and development in Kenya is vested in the County Governments and therefore the owner or the legal entity of any property, who intends to develop his/her land for any purpose other than that earmarked in the approved Master Plan, will make an application, along with relevant documents, to the respective County Governments’ Department of Physical Planning for consideration through a registered physical planner.

PROCEDURE

The process includes:

 

1.  Placing an advertisement and getting recommendations from members of the public and line- ministries, which are obtained by the County Government. The application is often combined with one for a construction permit.

2.  The investor, through a registered physical planner will make application for the change of user through filling in PPA 1 form, which must be duly signed by the physical planner.

3.  The planner and the investor will then publish public notices regarding the proposed change of user in two daily newspapers, inviting objections from the public within a period of not less than fourteen (14) days. A site notice will also be placed on the site indicating intention to change its use within the same duration.

4.  Planning brief/report for the site is prepared by the physical planner. The process of preparing and implementing a planning brief/report provides a framework for collecting information about a site, and investigating and evaluating different interests in it. The brief will explain why the change of use is in line with the policy and why it will not have any negative effects on the land and the neighboring properties. The process could take from one day to 7days depending on the scale of the project

5.  The requisite fee will be paid to the respective County Governments and the receipt annexed to the planning brief/report prepared by the physical planner.

6.  The brief will then be submitted to the County Government's Department of Physical Planning for approval.

7.  The County Government then receives submissions from the general public on any opposition to the change of use. This process could take up to 14 working days:-

8.  The County Government will then review the Change of Use proposal/brief with the public objections received if any and will pass a resolution, recording reasons, regarding its consideration or non-consideration for the change. This process takes a minimum of 20 days and could extend depending on the requirements the County Government wants fulfilled.

9.  The authority shall, if it finds that the changes sought are relevant to planning principles and are in public interest and are not in contravention to any other statute, give permission for the same by issuing a PPA2 form.

REQUIREMENTS

In summary, below are the requirements for application for a change of user.

 

·       Two dully filled P.P.A 1 forms in triplicate submitted and signed by a registered physical Planner

·       Planning Brief prepared by a Registered Physical Planner (signed accordingly)

·       Ownership documents (Title Deeds)

·       Comprehensive Location Plan

·       Advertisement of proposal on: a) Two local dailies, b) On site

·       Application fee receipt

·       Latest Rates payment receipts

LEGAL PRACTICE AND MANAGEMENT (DETAILED) NOTES

 

CHAPTER 1: INTRODUCTION TO OFFICE ADMINISTRATION & MANAGEMENT

 

1.       INTRODUCTION TO THE OFFICE

 

THE OFFICE	·       The office is a place, room or building set aside for clerical communications and administrative functions – i.e. receiving, recording, sorting, processing, distributing and storing information ·       It comprises of departments where various officers are responsible for different functions ·       It acts as a centre of communication – incoming, outgoing and internal communication take place within an office
ADMINISTRATION	·       This is the management of the affairs of an organisation, and involved achievement of set goals and objectives
OFFICE ADMINISTRATION	·       This is the planning and coordinating of activities of an enterprise so as to achieve the set goals and objectives ·       It involves ensuring that policies and procedures are followed to improve efficiency and reduce costs
OFFICE MANAGEMENT	·       This is the planning, directing, coordinating and controlling functions of the activities in the office ·       It involves supervising and screening for complete and quality work

 

1.1    FUNCTIONS OF THE OFFICE

(i)       To direct and coordinate the organised work

(ii)     To aid in the implementation of the organisation policies

(iii)    To prepare and maintain records for the organisation

(iv)    To ensure efficiency at the place of work

(v)     To act as a centre of communication

 

1.1.1         CLERICAL/BASIC FUNCTIONS

(i)       Receive information – i.e. through letters, phone calls, emails, fax, visitors, etc.

(ii)     Record information – so that it can be acted upon by the relevant officer

(iii)    Sorting information – personal information is handed to the addressee while official information is handed to the relevant department

(iv)    Distributing information – once information is sorted, it is distributed to relevant addressee’s and departments

(v)     Sending information – i.e. all correspondence out of the organisation is channelled through the office

(vi)    Preparing and processing information – information is to be arranged and prepared in a manner that is valuable to management and stakeholders, e.g. accountants must be hired to prepare and arrange books of account

(vii)  Storing information – i.e. retention of information for future reference

 

1.1.2         ADMINISTRATIVE FUNCTIONS

(i)       Controlling and safeguarding company assets – assets are prone to misuse, and so this function entails setting up an asset register to control the use and movement of assets

(ii)     Personnel functions – staffing/recruitment, training and motivation of office personnel is the responsibility of the personnel manager

(iii)    Developing and implementing policies and procedures – these are to be binding on all employees of an organisation

(iv)    Forms design and control

(v)     Selecting office appliances – e.g. furniture, office equipment, etc.

(vi)    Preparation of budgets and forecasts

(vii)  Preparation of budgets and forecasts

(viii) Preparation of financial and cost accounts

 

2.       CENTRALIZATION v DECENTRALIZATION OF OFFICE FUNCTIONS

2.1    CENTRALIZATION OF OFFICE FUNCTIONS

·       This is where common functions are provided in a central office that is located in a central space

·       This means that certain key and common service such as filing, mail, dispatch, typing pool, etc. are all located within one central place in the office and all departments use the same central service

·       The advantages of centralization of the office functions include:

(i)            Economic use of office equipment and machinery

(ii)          Equal distribution of work, reducing the need for overtime

(iii)         Encourages specialisation

(iv)         Uniformity of work as tasks are done in a standardised way

(v)          Economy in staffing as fewer workers are required

(vi)         No duplication of work

(vii)       Easier to cater for staff absenteeism as work is distributed among present staff

(viii)      Easy supervision

(ix)         Easier training of workers as they learn from each other

(x)          Better communication and smooth flow of work

(xi)         Job flexibility is possible due to job rotation

(xii)       Better control of office resources and records

 

·       However, the disadvantages of centralization of office functions are:

o     Too much movement from one department to another trying to locate the centralized office

o     Unsuitable for confidential work

o     No accountability in case of mistake

o     Possibility of misplacement of records due to high volume of records

o     Lack of flexibility in how work is done due to uniform procedures

o     High risk of loss in case of disaster like fire

o     Noise disturbance from noisy machines

o     Lack of exposure to other departments and senior executives

o     Boredom and monotony

 

·       Factors to consider when deciding to centralise office services include:

o     Cost of operating a centralised office, i.e. machines, salary, etc.

o     Volume of work – for work to be centralised, it has to be high in volume

o     Space available to create a centralised office

o     Nature of work

o     Amount of training needed to operate the office

o     Need for tight control over information and resources

o     Need for close supervision which should be centralized always

o     Need for confidentiality (confidential records should be decentralized)

o     Company policy regarding centralization and organization structure

o     Effects on staff morale, efficiency and accuracy

 

2.2    DECENTRALIZATION OF OFFICE FUNCTIONS

·       Decentralization of office functions is where each department provides its own services like filing, typing, etc.

 

·       The advantages of decentralization of office functions are:

o     Suitable for work of a confidential nature

o     No delays in retrieving information

o     Spreading of risks in case of a disaster

o     Minimises movement of workers from one office to another

o     Less noise as compared to a centralized office

o     Reduces boredom and monotony due to variety of tasks

o     Economy in use of messengers as work does not need to be distributed

o     Each department can cater for its specialized needs

o     Opportunity to exploit new talents as employees are exposed to different tasks

·       The disadvantages of decentralization of office functions are:

o     Uneconomical in the use of machines and equipment

o     There is duplication of work

o     Difficult to supervise because each worker has different tasks

o     Hinders smooth slow of work as people doing similar tasks are not located together

o     Difficult to train new workers

o     Hinders specialisation

o     Difficult to handle staff absenteeism

o     Uneconomical staffing as each department requires a duplication of staff

o     Lack of flexibility in terms of job rotation

o     Unequal distribution of work, leading to overtime

 

3.       OFFICE MANAGER

·       This is the person who guides, co-ordinates, directs and motivates the employees in order to achieve the desired objectives of the organisation

·       The office manager coordinates all the activities of the employees to achieve the set objectives

 

3.1    QUALITIES OF A GOOD OFFICE MANAGER

(i)           Loyalty – loyal to the organisation and committed to his work

(ii)          Smart appearance – presentable and smart

(iii)        Sound judgment – capable of making good decisions and handling difficult situations

(iv)        Diplomatic – polite and able to convince the customers and employees tactfully

(v)          Impartial – not to ever take sides and favour some parties

(vi)        Good leadership skills – able to manage and motivate workers

(vii)       Well organised – organise department to meet objectives of the organisation

(viii)     Strong character – confident and firm when making decisions

(ix)        Time conscious – be punctual and do not waste time

(x)          Forward looking/future oriented – plan for the future of a department

(xi)        Good etiquette – i.e. good manners

(xii)       Good tempered – not short tempered or impatient

 

4.       OFFICE SECRETARY

·       This is the individual who conducts administrative and typing work

·       This individual works directly for his/her boss and acts on his/her behalf in their absence

 

4.1    QUALITIES/ATTRIBUTES OF AN OFFICE SECRETARY

(i)           Professional skills – should be trained in secretarial work

(ii)          Well organised – should be able to organise office and boss’s schedule

(iii)        Polite/diplomatic

(iv)        Time conscious

(v)          Loyal

(vi)        Smart appearance

(vii)       Discreet – should be able to conceal confidential information and make small decisions

(viii)     Pleasant personality

(ix)        Adaptable – ready to work at different times and in different situations

(x)          Knowledgeable about organisation and its activities

(xi)        Good communication skills – both written and oral

 

4.2    RESPONSIBILITIES OF AN OFFICE SECRETARY

(i)           Attend meetings and record minutes

(ii)          Receive dictation from boss and type documents

(iii)        Order stationary for boss and for typist

(iv)        Supervise typists and messengers

(v)          Organise travelling arrangements and activities for boss

(vi)        Organise his/her office and that of the manager

(vii)       Undertake filing of confidential work

(viii)     Make simple decisions on behalf of boss

(ix)        Receive telephone calls, take messages, transfer calls

(x)          Make telephone calls on behalf of boss or manager

(xi)        Maintain executive diary – note down important engagements

 

5.       MANAGEMENT OF OFFICE PERSONNEL

5.1    KEY FUNCTIONS OF PERSONNEL MANAGEMENT

(i)           Planning – done through implementing policies and procedures

(ii)          Coordinating – different activities are coordinated to achieve company objectives

(iii)        Controlling – the manager monitors personnel to ensure work is done properly

(iv)        Organising – work is organised using timetables

(v)          Directing – instructions are given to execute work

(vi)        Evaluating – manager assesses the work of employees to check that they are performing according to set standards

 

5.2    SPECIFIC FUNCTIONS IN PERSONNEL MANAGEMENT

(i)           Proper allocation of duties and delegation of work to the right people

(ii)          Proper definition of duties by preparing a job description

(iii)        Motivation of workers by rewarding them for good work

(iv)        Effective communication through regular meetings

(v)          Promoting good industrial relations between workers and management

(vi)        Providing a conducive working environment for employees

(vii)       Providing confidential counselling and resolving conflict among employees

 

6.       OFFICE ORGANISATION

6.1    FEATURES OF AN ORGANISATION

(i)           Unity of objective – all employees should have a common objective

(ii)          Division of work – fair distribution of work and specialisation

(iii)        Plurality of persons – groups of people working together

(iv)        Chain of command – each employee should know who to report to

(v)          Effective communication and coordination

(vi)        Clearly defined hierarchy of authority and/or responsibility

 

6.2    IMPORTANCE OF A WELL ORGANISED OFFICE

(i)           Facilitates effective administration as it provides a good framework of operating business

(ii)          Provides optimum use of resources without wastage or idleness, i.e. efficiency

(iii)        Enhances specialisation of employees who are assigned duties in their area of talent

(iv)        Boosts morale of workers as their needs are catered for

(v)          Encourages good industrial relations between employees and management

(vi)        Promotes effective communication with employees and clients

(vii)       Promotes effective coordination of activities to achieve company goals

(viii)     Promotes overall productivity

 

6.3    SYMPTOMS OF POOR OFFICE ORGANISATION

(i)           Poor industrial relations between workers and management

(ii)          Delays and wastage of time

(iii)        Poor quality of work due to lack of coordination

(iv)        Low morale of workers because their needs are not being met

(v)          Misuse and mismanagement of resources, e.g. money, labour and equipment, due to poor leadership

(vi)        Unequal distribution of work due to poor delegation

(vii)       Low profits/huge losses due to inefficiency

(viii)     Corruption and theft due to fraud and lack of control

(ix)        Poor communication among workers and management

(x)          Stress in the office due to poor working conditions

(xi)        Poor office environment, e.g. untidiness and unhygienic

 

6.4    STEPS INVOLVED IN RE-ORGANISING AN OFFICE

(i)           Obtain an organisation chart, and create one if it is not available

(ii)          Obtain the job description of each worker, and create such a job description if not available

(iii)        From the job description, analyse the duties that each worker performs, e.g. time taken, degree of difficulty, etc.

(iv)        Identify the organisational faults from the organisation chart, e.g. unequal distribution of work, lack of clear authority, poor delegation, etc.

(v)          Review the company objectives and assess if the activities and jobs are meeting the objectives

(vi)        Consider alternative ways of re-organising the office, e.g. reducing the number of workers or introducing new machines

(vii)       Make recommendations to management for approval

(viii)     Implement changes by preparing a new organisational chart and new job descriptions

(ix)        Communicate to workers and conduct trainings where necessary

(x)          Review and evaluate to assess if the new policies are effective

 

7.       ORGANISATION STRUCTURE

·       The organisation structure defines the flow of authority in an organisation from the top to the bottom

·       It also describes the various functions and departments of an organisation

·       Principles in a good organisation structure include:

o   Unity of objectives

o   Equal distribution of work

o   Clear chain of command/lines of authority

o   Clear lines of communication

o   Wide span of control

o   Well defined responsibilities for all workers

 

7.1    FORMS OF ORGANISATION STRUCTURES

 

LINE ORGANISATION/ MILITARY	·       This is the traditional method where authority and responsibility flow in a straight line from the top to the bottom ·       Each department is independent and autonomous and it is headed by a line manager who may or may not be a qualified specialist (as he has risen through the ranks to become a manger)
STAFF/FUNCTION ORGANISATION	·       Under this system the organisation is divided into specific functions and experts are appointed to manage or advise that function ·       Such an expert can also advise different departments ·       The functions include: auditors, engineers, consultants, etc.
LINE      AND      STAFF ORGANISATION	·       This is also known as a matrix organisation structure ·       This is where line and staff organisation are combined to get benefits of both systems
ORGANISATION                               BY COMMITTEE	·       A committee is a group of people within an organisation who are assigned to perform a specific task, e.g. finance committee, safety committee, etc. ·       A committee pay be permanent, temporary, ad hoc, etc.

 

8.       ORGANISATION CHART

·       This is a visual/diagrammatic representation of the organisational structure of a company

·       It shows the following: lines of authority, lines of communication, relationship between line & function staff; and the chain of command in an organisation

·       A vertical organisational chart shows the organisation structure in form of a pyramid – the lines of command proceed from top to bottom in a vertical manner

·       A circular organisational chart shows the levels of responsibility and authority from the centre of the sphere outwards

8.1            FUNCTIONS OF AN ORGANISATION CHART

(i)           Shows the complete picture of the organisation structure at a glance

(ii)          Clearly shows the levels of authority from top to bottom

(iii)        Clearly shows the communication lines in an organisation

(iv)        Clearly shows the chain of command, i.e. who reports to who

(v)          Clearly shows the relationship between line and function staff

(vi)        Clearly shows the grades and job groups of employees

(vii)       It is normally used in restructuring of a company in case of organisational changes

(viii)     It shows the responsibilities of each worker

 

8.2            ADVANTAGES OF AN ORGANISATION CHART

(i)           It makes it easy to understand the organisation structure at a glance

(ii)          It is used for training and induction of new employees because it is easily understood

(iii)        Improves internal communication as communication lines are well defined

(iv)        Minimises organisational conflicts because everyone knows their responsibilities

(v)          Facilitates job grading and setting of salary scales

(vi)        Assists departments in an organisation to develop more efficient methods of working in the organisation

(vii)       Allows organisational weaknesses to be easily identified and rectified

 

8.3            DISADVANTAGES OF AN ORGANISATION CHART

(i)           Shows only limited information about a company – e.g. does not reveal salaries, benefits and other information

(ii)          Individuals at the bottom of the chart may feel demoralised (inferiority complex)

(iii)        It is rigid and flexible – i.e. does not respond quickly to organisational changes

(iv)        It may lead to misunderstanding in terms of status

(v)          It shows only the formal relationship in an organisation and not the informal relationships

(vi)        It dilutes team spirit among employees due to separation in different departments

(vii)       It is expensive to keep preparing new organisation charts to accommodate organisational charges

CHAPTER 2: OFFICE ENVIRONMENT

 

1.       FACTORS AFFECTING OFFICE LOCATION

(i)           Security – should be a secure location for employees, customers, assets, etc.

(ii)          Accessibility – it should be easy to reach

(iii)        Good communication network – telephone and internet services should be accessible

(iv)        Good access to auxiliary services – e.g. banks, post office, etc.

(v)          Good access to social amenities, e.g. shops, hospitals, schools, restaurants, etc.

(vi)        Affordable cost of rates and tax

(vii)       Space should be adequate for office activities and future expansion

(viii)     Should be located away from noisy areas to enhance worker concentration

(ix)        Should be good physical facilities – e.g. proper ventilation, lighting, sanitation, etc.

(x)          Access to the market – it should be close to customers

(xi)        Should be located at a place where labour is accessible, e.g. urban centres

(xii)       Should have access to basic utilities like power and water, as well as parking space

 

2.       RENT VERSUS PURCHASE OF PREMISES

 

TYPE OF OWNERSHIP	ADVANTAGES	DISADVANTAGES
FREEHOLD              – Organisation owns the property, either through buying or construction	(i)            Save on rental payments (ii)          Freedom to design or modify layout of office (iii)         More preference of location (iv)         Wise investment for long term savings (v)          Can obtain premises suitable for activities (vi)         More revenue through subletting part of premises (vii)       Privacy – no interference from outsiders (viii)      More prestigious than rental or leasehold	(i)          Expensive to construct or purchase (ii)        Expensive in terms of rates and tax (iii)       Expensive maintenance and repair (iv)       Expensive insurance to cover all risks of building (v)        Possibility of disputes with tenants (vi)       Degree of inflexibility – cannot change from one office to another
LEASING/RENTING	(i)            Save on rates and tax (ii)          Save on maintenance and repair (iii)         Tenant does not require high capital to start a business (iv)         No problem of disputes with tenants (v)          More flexibility if tenant intends to move (vi)         Tenant does not have to pay insurance for building	(i)          High cost of rent payable monthly (ii)        Restrictions on modifying office (iii)       Landlord may terminate lease agreement at their discretion (iv)       Lack of privacy (other tenants) (v)        Premises may be unsuitable for meeting needs of organisation (vi)       May be restrictions on sub-letting

 

3.       SPACE ALLOCATION WITHIN AN OFFICE

·       After acquiring the building, the manager has to decide how to allocate the rooms within an office for the smooth flow of work. The following factors should be considered:

o   Reception – should be located at front entrance for access to visitors and security purposes

o   Offices with heavy machinery – should be located on ground floor for easy movement of machines

o   Offices doing similar jobs – should be located next to each other to enhance coordination

o   Washrooms/cloak rooms – should be located with easy access to all the offices

o   Conference room – should be located at the back of the office where there is minimum disturbance

o   Chief Executive Office – should be located in a quiet place next to the conference room

o   Offices with noisy machines – should be isolated to enhance worker concentration

o   High security offices, e.g. cash office – should be located at the back with extra security reinforcement

o   Secretary’s office – should be located near the manager/boss

o   Drawing room – should be on top floor where there is natural light

o   Centralised office – should be in a central location to serve all user departments

4.       FACTORS TO CONSIDER FOR GOOD OFFICE LAYOUT

(i)              Wide gang ways – to facilitate easy movement of staff

(ii)            Pleasant appearance – office should look attractive and well decorated

(iii)           Economy in floor space utilisation – i.e. floor space should not be wasted

(iv)           Easy flow of work – departments doing similar work should be located next to each other

(v)            Easy access to machines and equipment by workers

(vi)           Neatness and tidiness – no disruption of floor or gangways to hinder movement

(vii)         Effective lighting – should be adequate natural and artificial light

(viii)        Ventilation and heating – should be adequate natural ventilation as well as artificial fans and air conditioners

(ix)           Hygiene – layout should provide for easy cleaning of the office

(x)             Proper management of desks and chairs – promotes smooth flow of work and communication

(xi)           Easy supervision should be facilitated by layout

(xii)          Security and safety of workers assets and information should be protected

 

4.1    IMPORTANCE/BENEFITS OF GOOD OFFICE LAYOUT

(i)           Allows easy supervision because supervisor can monitor workers

(ii)          Promotes smooth flow of work and easy communication – people performing similar tasks are seated together

(iii)        Attractive office provides good image to visitors and prestige for workers

(iv)        Well planned office promotes comfort and well-being of workers

(v)          Lean office promotes health of workers and reduces chances of accidents

(vi)        Promotes safety and security of employees

(vii)       Enhances efficient use of machines and equipment as they are available to workers

(viii)     Reduces cost of lighting and ventilation due to natural facilities

(ix)        Promotes economy in use of office space

(x)          Enhances concentration of workers by reducing noise

(xi)        Promotes efficiency and productivity of workers

 

5.       OFFICE FURNITURE

·       It is important for the manager to provide suitable, high quality furniture

·       This enhances the comfort and safety, as well as performance of workers and security of documents

 

5.1    TYPES OF FURNITURE

 

GENERAL PURPOSE FURNITURE	·       Normally used by junior staff members ·       Can be used for a variety of tasks and is also known as multi-purpose furniture
EXECUTIVE FURNITURE	·       Normally used by managers and supervisors ·       They are larger than normal, of high quality and very comfortable, e.g. swivel chairs
BUILT IN FURNITURE	·       Permanently attached to the walls or floor ·       E.g. benches, wall units, etc. – they are space saving but flexible enough to change
MODULAR FURNITURE	·       This is specially designed furniture with connecting parts which can be used together or used as separate parts to suit the needs of the company ·       It can be dismantled and re-assembled

 

5.2    FACTORS TO CONSIDER WHEN BUYING FURNITURE

(i)           Cost – the furniture should be affordable

(ii)          Size – it should be space saving, i.e. not bulky furniture which occupies too much space

(iii)        Suitability – it should suit the purpose of which it was intended

(iv)        Durability – it should be long lasting

(v)          Quality and finish – should be of good quality and have a good finish

(vi)        Attractive appearance – should look pleasant and prestigious

(vii)       Comfort – should ensure comfort and well-being of workers

(viii)     Hygiene – it should be easy to clean

(ix)        Weight/portability – it should be easy to carry around

(x)          Design – it should be the right colour, shape, size, etc.

(xi)        Fire resistant – it should not catch fire easily, and in case of a fire outbreak, it should be able to resist the same

(xii)       Security and safety – it should be safe to use, not have sharp edges, etc.

 

5.3    BENEFITS OF USING METAL FURNITURE

(i)           Fire resistant and thus safe for storing documents

(ii)          Durable and can be used for a long period of time

(iii)        Easy to clean and hence hygienic

(iv)        High quality and good finish because of materials they are made of

(v)          Multi-purpose since they can be used for storing many office documents

(vi)        Maintenance cost is lower compared to that of wooden furniture

(vii)       Safe and secure since they are strong cabinets and lockable

(viii)     Economics of space since most are modular

(ix)        Protection against insects, hence documents are safe

(x)          Good for environmental purposes as it helps conserve wood

(xi)        They do not shrink, crack or warp

(xii)       Easy to carry around, and so are portable

 

6.      

DIFFERENT TYPES OF OFFICE LAYOUT

6.1    OPEN PLAN

·       This is where the office layout is open and free of any partitioning

·       Instead of dividing the office into smaller rooms, it is kept as one large room where employees work

 

ADVANTAGES OF OPEN PLAN	DISADVANTAGES OF OPEN PLAN
(i)            Maximum utilisation of space, hence economical (ii)          Effective internal communication (iii)         Effective supervision (iv)         Easy to set up (v)          Reduced movement of staff (vi)         Easy flow of work as compared to closed plan	(i)            Increases level of noise, especially where machines are put together in one room (ii)          Increases conflict levels in office (iii)         Lack of privacy and confidentiality (iv)         A lot of distraction that reduces concentration of employees

 

(vii)       Office machines can be shared, and so there is maximum utilisation (viii)      Common services can be shared, e.g. lighting, telephones, air conditioning, etc. (ix)         Employees    feels    equally    rated    due   to   sitting arrangement, and this boosts morale

(v)          May    create    impersonal atmosphere      that may demotivate employees (vi)         Reduces the status of seniors (vii)       Easy spread or transmission of contagious diseases (viii)      Office security is compromised  – higher chances of petty theft and pilferage

 

6.2    CLOSED/PRIVATE/PARTITIONED

·       This is also known as fully partitioned or private office layout

·       This is where the offices are subdivided into small rooms that are connected by corridors – each room is meant for one employee and has a separate lockable door

·       This layout is most common in private companies as well as government offices

 

ADVANTAGES OF CLOSED PLAN

DISADVANTAGES OF CLOSED PLAN

(i)       Private and confidential – suitable for work of a sensitive nature (ii)          Noise reduction from ringing telephones and chatting (iii)         Prestigious – improves the status of employees and thus boosts their morale (iv)         Transmission of contagious and infectious diseases is reduced (v)          Greater security and safety because the doors are lockable (vi)         Authority is differentiated and maintained more easily (vii)       Enables maximum concentration of employees and thus increases productivity – minimum disturbance and distraction (viii)      Gives a personal atmosphere to the office

(i)       Not flexible for modification, especially where partitioning is in concrete (ii)          Hinders effective internal communication (iii)         Does not allow for easy flow of work (iv)         Supervision is not easy (v)          Increases movement of staff as they move from one office to another (vi)         Expensive to set up (vii)       Space is wasted due to partitioning (viii)      More office machines and equipment are required (ix)         May facilitate the doing of personal work during office time or conducting illegal activities

 

6.3    LANDSCAPE/PANORAMA

·       Office landscaping is the introduction of green plants and flowers in the office to reduce its openness

·       It is also known as office panorama

·       The features of this type of office layout are: carpeted floors, decorative curtains on windows; wall paintings and hangings; green plants; high quality furniture; air conditioners, etc.

 

ADVANTAGES OF PANORAMA	DISADVANTAGES OF PANORAMA
(i)       Prestigious and pleasing to the eyes (ii)          Tidy and gives a serious business environment (iii)         Motivates employees because of carpeted floors	(i)             Expensive to set up due to carpets and indoor plants (ii)          Occupies a lot of space (iii)         A lot of distraction of employees due to movement of one place to another (iv)         Lack of privacy and confidentiality

 

6.4    MODIFIED

·       This seeks to consolidate the advantages of both open and closed layout while avoiding their disadvantages

·       It is a closed layout, but the partitioning is done using glass so that from one office, it is possible to see what is going on in other offices without necessarily hearing what is being said

·       This layout is suitable for firms whose employees work individually without the need for consultation

 

ADVANTAGES OF MODIFIED PLAN	DISADVANTAGES OF MODIFIED PLAN
(i)            Confidentiality is enhanced (ii)          Security as office machines and equipment are secured (iii)         Reduces levels of noise	(i)            Expensive due to use of class (ii)          Uneconomical in partitioning (iii)         Increases movement

 

(iv)     Is healthy

(iv)     Does not allow easy flow of work

 

6.5    WORKSTATION

·       This is where the office is subdivided into small working stations meant for one employee

·       It is a closed layout with small, lockable rooms; however, this partitioning is half high so that from a sitting position one is hidden but while standing, one has a full view of the other part of the office

 

ADVANTAGES OF WORKSTATION LAYOUT	DISADVANTAGES OF WORKSTATION LAYOUT
(i)            Easy supervision (ii)          Security – reduces risk of petty theft and pilferage (iii)         Facilities can be shared (iv)         Easy flow of work (v)          Easy communication	(i)              Lack of privacy (ii)            Expensive to maintain equipment and partition (iii)           Uneconomical in terms of space (iv)           Noisy (v)            Encourages a lot of movement from one partition to another

CHAPTER 3: FRONT OFFICE SERVICES

 

1.       INTRODUCTION

·       This is the first space or room encountered from the door of a business premises and is referred to by several names, e.g. lobby, reception area, etc.

·       It refers to the company’s department that comes in contact with the client, including the marketing, sales and service

departments

·       The different departments in the front office include: customer service; sales; finance; and technical service – these departments are collectively the image of the company

·       In formal instances, the front office allows the client to get a feel of the services rendered by the organisation and thus decide whether or not their interests will be best served there

·       A front office should be: warm, well decorated and welcoming, well aired, neat and tidy, have effective lighting, etc.

·       The furniture used has to be of good quality and comfortable, to make the reception warm and hospitable

 

2.       ROLES AND FUNCTIONS

2.1    ROLES OF THE FRONT OFFICE MANAGER

(i)         Coordinates the management practice of the employees, equipment and sales equipment – coordinating these basic elements will achieve the profit goals of the company

(ii)        Evaluates the outcome of work done and the performance of workers

(iii)       In charge of all the information – takes information and evaluates work people are doing (i.e. supervisor)

(iv)       In charge of budget development

(v)        Trains personnel in the technical aspects of property management and customer satisfaction

(vi)       Is a problem solver

 

2.2    FUNCTIONS OF THE FRONT OFFICE

(i)          Making reservations/appointments

(ii)        Maintaining a professional appearance

(iii)       Answering and making phone calls

(iv)       Processing special requests

(v)        Responding to customers’ or clients’ complaints

(vi)       Recording and delivering messages

(vii)     Ordering office supplies

(viii)    Filing documents

(ix)       Making photocopies, sending and receiving faxes

(x)        Observing all persons entering and/or departing the premises

(xi)       Offering advisory services and guidance to visitors

(xii)     Acting as a facilitator between guests and other departments of the office

(xiii)    Answering questions from guests (i.e. acting as an information desk)

(xiv)    Helping in petty cash management

(xv)     Supporting the security function by filtering the people walking in and accessing the main offices in the organisation

 

3.       FRONT OFFICE LOCATION & LAYOUT

·       A front office serves as the image of the organisation – it is the first and sometimes the only office that guests and clients of the business or firm get to interact with, and so is strategically placed at the entry of the organisation

·       The front office being the first point of contact with a potential client means it should be well within the easy reach or access of clients upon entering an office

·       The front office design can include a colour scheme, a basic set up, and often a place set aside for refreshments – the design is important as it determines the capacity of guests the lounge can host at a time

·       E.g. where organisations have many frequent visitors, they can opt for a more spacious design, allowing more accommodation for the clientele, in disregard for a huge front desk

·       The reception area should create a positive image for your company and should be appealing through its layout, as well as be a functional place for you and your receptionist to perform the everyday duties of the job

·       Various design elements, e.g. colour, materials, layout and branding can make a statement about the values of your company

·       Make the reception desk the centrepiece of the front office – its style, shape and size will determine many of your other décor choices (look for originality and an eye-catching design to make a statement)

 

4.       RECEPTION DESK

5.1    HOW TO ATTEND TO VISITORS

(i)          Welcome the visitor with a smile and greet him politely

(ii)        Enquire politely about his name and ask how you can be of assistance – try and solve the problem as quickly as possible

(iii)       Ask the visitor to sign the callers register and give him a badge

(iv)       If he needs to see an officer, ask if he has an appointment

(v)        Call the officer concerned and inform him about the visitor

(vi)       If the officer is available, ask the messenger to escort the visitor to his office

(vii)     If the officer is unavailable or unwilling, ask the visitor to leave a message

(viii)    If the visitor wishes to make an appointment, record it in the diary

(ix)       When the visitor is departing, find out if he was attended to and wish him a good day

 

5.2    CHALLENGES AT THE RECEPTION OFFICE & HOW TO OVERCOME THEM

(i)          Receiving too many visitors – should be dealt with by ensuring there is adequate staff to deal with the visitors

(ii)        Receiving too many phone calls – should make use of automated answering machines

(iii)      Inadequate material – care should be taken to avoid misuse, misplacement and theft of material and stationery should be replenished during consistent intervals

(iv)       Insufficient waiting bay – attend to the visitors immediately so they are not kept waiting too long

(v)        Idlers – deploy security staff to vet individuals at the entrance, encourage visitors to record their details and purpose of visiting, ensure there is not too much unutilised space, etc.

(vi)       Boredom – ensure that each visitor is attended to as soon as they arrive & provide reading material at the reception

(vii)     Unnecessary delays – encourage visitors to leave messages in case it is not possible for them to be attended to

(viii)    Hostile visitors – the security personnel should be called

 

5.       FRONT OFFICE MANAGEMENT

·       Office management involves the preparation, institution and control of clerical aspects of the organisation

·       It therefore includes the planning, communication, management and storage of data to support production and other important undertakings of an establishment

·       It is therefore a human resource function that entails administrative management – i.e. controlling and maintaining a balanced process of work inside the organization, which is necessary to achieve administrative goals

·       Office management has four main elements: personnel, means, environment and purpose

 

PERSONNEL	·       This relates to the staff and employees of the firm ·       Office management goes to ensure that the staff are properly selected and trained to carry out the duties allocated to them ·       Effective and proper guidance ensures that the office makes proper use of time and available resources
MEANS	·       These are the tools that enable an office to undertake its operations ·       It therefore involves the use of office forms, machines and equipment’s, methods and techniques used in the performance of these operations ·       Office management involves a comprehensive understanding of the office practice design to ensure that there is proper use of time and economies of scale
ENVIRONMENT	·       This includes the surroundings and conditions under which various jobs are being carried out, as well as the external environment under which the business as a whole is operating ·       Office work has to be carried out under the particular conditions of the business which it serves, which again are determined by the nature of the business, while the business has to settle with the general customs, practices and laws of the community within which it operates

 

·       Office management requires a fair understanding of these circumstances to ensure the establishment retains a competitive edge

PURPOSE

·       The staff in the office must be clear about the purpose which the business is seeking to achieve ·       Unless they are fully aware of this purpose, as well as their individual role in the achievement of this purpose, the office cannot economically and productively achieve its objectives ·       Office management therefore involves the coordination, administration and controlling of the office resources – both human and structural – to ensure proper service delivery and achievement of the company’s objects

 

6.       CUSTOMER SERVICE MANAGEMENT

·       Customer service management includes organisation, supervision, running and administration of services offered to a client, purchaser, buyer, user, shopper or patron by the seller or provider of goods and services

·       It is the strategy that a company enacts to help guide the business’s interactions with its customers

·       It is about building relationships between a company and its customers, finding the best ways to serve both, and making sure everyone is happy with the products and services

·       It uses technology to help organise and prioritise business processes, allowing a company to efficiently reach its customers

·       An efficient customer management system makes it possible for an organisation to identify gaps with respect to the services they offer, bearing in mind the customer is always right

·       Customer Service Management is very similar to Customer Relationship Management (CRM), which refers to the model

for manging a company’s interaction with current and future customers

·       CRM uses technology to organise, automate and synchronise sales, marketing, customer service and technical support

·       To catch the attention of the customer, the front office staff is required to maintain a high degree of standards, including:

o   Good attitude – being courteous, helpful and knowledgeable; offering a welcoming smile at the beginning and end of the meeting, etc.

o   Maintain professionalism – e.g. do not answer personal phones when with a customer

o   Presentability and maintaining good hygiene

o   Listening to the customer – this helps identify the customer’s needs and learn how the customer feels about the

service being offered

·       Customer Support is a range of customer services to assist customers in making cost effective and correct use of a product

– e.g. advice, assistance in planning, upgrading, etc.

·       It is hence the responsibility of every organisation to ensure that its employees are equipped with the necessary skills to

handle customer’s demands and provide solutions

·       Customer service is pegged on giving good service the client is seeking

 

6.1    BENEFITS OF TRAINING EMPLOYEES IN CUSTOMER SERVICE SKILLS

(i)          Employees who are properly trained can improve customer satisfaction and customer loyalty

(ii)        Employing good listening skills and questioning techniques can shorten the interaction time with customers, which in exchange allows an organisation to serve more customers in less time

(iii)      Teaching customer service skills to all personnel allows them to have a common process and language for dealing with customers

(iv)      Investing in employees through trainings makes employees feel values and improves motivation. In addition, when employees treat customers well by using proper customer service skills, they are more likely to be treated well in return

 

6.2    SKILLS AND STANDARDS OF A FRONT OFFICE STAFF

(i)          Should be courteous, helpful and knowledgeable

(ii)        Offer a welcoming smile at the beginning and at the closure of the deal, regardless of whether it was successful

(iii)       Maintain professionalism and respect at all times

(iv)       Be presentable and maintain good hygiene

(v)        Always listen to the customer

(vi)       Be polite and well mannered

(vii)     Be a good communicator and employ inter-personal skills

CHAPTER 4: STANDARDS, POLICIES, PROCEDURES AND SYSTEMS

 

1.       INTRODUCTION

·       An office is among the essential units of an organisation – it is the place of business where professional or clerical duties are performed, and connects outsiders with different departments and management

·       For an office to be effective, the standards, policies, procedures and systems have to operate in coherence in the realisation of the goals and objectives of an organisation

·       The office brings about coordination of different tasks and jobs to meet the firm’s overriding objectives

·       It is a great duty of the personnel to act in a timely and effective manner to ensure that the results of the office reflect the standards and policies of the office

 

2.       OFFICE STANDARDS

·       A standard is defined as a model accepted as correct by custom, consent or authority – it is the ideal in terms of which something can be judged

·       Standards involve thing such as the requirements for office layout and design, space or even ventilation, e.g. an office standard may be that all offices be arranged in an open plan manner for ease in supervision and communication

·       Standards may thus be viewed as values and modes of operation drawn by the office management, and thereafter agreed upon by the office personnel

·       An office is made up of different personnel who live and coexist as a ‘community’ – it is therefore necessary to note that they have to live by the standards of the office

 

2.1    TYPICAL PROCEDURES AND STANDARDS

(i)       Indication of rank, positions, duties and responsibilities

(ii)     Maintenance of confidentiality and discreetness (i.e. gossip, rumour, grapevine, document control)

(iii)    Cultivation of organisational culture and image (ambassadorship, teamwork, dress code, etc.)

(iv)    Advocates are required to practice excellence, observe client care and display the highest standards of professional conduct

(v)     Advocate are expected to display good office etiquette and self-discipline

o   This is a display of ‘good manners’ both professionally and socially

o   Hence, basic courtesy, respect and consideration for others should drive behaviour and actions by all

o   Always respect both your supervisor and your subordinates

o   Never argue with colleagues, especially in the presence of clients

o   Use the ‘magic words’ – please, thank you, sorry, etc.

o   Avoid chewing hum

o   Personal hygiene is paramount

o   Keep your interruptions of others to a minimum

o   Speak clearly without shouting – loud people are a vexation

o   Be discreet and compassionate in your criticism of a co-worker

o   Show consideration for other people’s feelings, and so not get personal in your remarks in the event of a conflict

o   Do not arrive late for meetings

o   Do not dominate meetings – communicate through the Chairperson

o   Pay attention to all proceedings quietly

 

3.       OFFICE POLICIES

·       A policy is a statement giving guidance in decision making to ensure standardised, uniform and consistent action across the diverse areas of work, i.e. they are considered a line of argument rationalising the course or plan of action adopted by an individual or a social group

·       Black’s Law Dictionary defines ‘policies’ to mean generic principles which guide the management of affairs

·       Definitive office policies are he prerequisites for running a smooth and efficient practice, however, the personnel must work hard to ensure that the goals are achieved

·       Office policies vary widely depending on the size of the practice, staff abilities and the personal philosophy of the company involved

·       Policies may be categorised as overall policies or functional policies:

o   Typical overall policies: environment, social responsibility, harassment, etc.

o   Typical functional policies: human resources, marketing, production, etc.

·       Policies may be written (explicit) or unwritten (implicit), and written policies are normally referred to as ‘policy manuals’

 

3.1    BASIC POLICIES

 

EMPLOYMENT AND TERMINATION	·       A policy should be generated to cover the basic terms of accepting employment with the organisation and standard reasons for termination ·       The policy should be written to all office employees and be addressed by providing a document of the agreement the employee is required to sign ·       Factors to be included in the policy are: start dates, terms of compensation and benefits, scheduled pay dates, etc. ·       Standard termination reasons should be included to promote a safe work environment, e.g. harassment and substance abuse policies
CONFIDENTIALITY	·       Internal business processes, product designs and clients cannot be compromised to ensure the success of the business ·       A confidentiality policy should be administered to ensure the organisation’s integrity ·       If employees leave the organisation for any reason, ensure they do not share internal information, such as industry secrets or client information that may compromise the organisation’s success
ATTENDANCE AND ABSENCE NOTIFICATION	·       For small businesses to ensure successful operations on a daily basis, attendance and absence policies should be administered to allow the organisation to continue to function normally if an employee is absent or requires time off ·       This policy should include required time frames to request time off, as well as sick, personal, vacation and grievance policies
COMPUTER                         AND INTERNET USE	·       Technology security should be addressed, along with employee’s rights to use technology for personal reasons – including computers, internet, telephones and cellular phones ·       This policy should consider employer and employee rights, as well as the employee’s need to use these technologies during work hours ·       Not only do these policies assist in ensuring the integrity of an organisation’s business data, they also allow for employee performance monitoring
WORK ENVIRONMENT	·       Although office etiquette seems like common knowledge, policies should be administered to enforce office etiquette ·       This will not only ensure that a positive image is presented to clients and other employed, but also provide a sense of fairness to employees at all levels within the organisation ·       This policy should include: proper work attire, hours of operation, when employees should report to and leave the office, requirements for lunch and standard breaks, etc.

 

 

3.2    POLICY FORMULATION

 

 

3.2.1       PROBLEM IDENTIFICATION

·       This is a need-based analysis – i.e. what is the desired area of change?

·       Consider also who the implementers of the change would need to be

3.2.2       POLICY DRAFTING

·       A generic policy framework must comprise of: introduction, situation analysis, challenges or problem or issues to be addressed, analysis of existing legal framework, strategies for its implementation, actors/implementers including their roles and responsibilities, target audience and their roles and responsibilities, have a monitoring and evaluation mechanism, have review measures and a conclusion

·       Ensure any policy drafted covers as many contingencies as you can reasonably be aware of at the time of drafting, and leave it flexible enough that it may be amended with future changes

 

3.2.3       NEGOTIAION AND STAKEHOLDER PARTICIPATION

·       After the initial draft, the same must be subjected to negotiation and stakeholder participation

·       The process may take different forms, e.g. departmental meetings, interviews, workshops, memoranda, etc.

·       The idea is to get a broader consensus from the stakeholders and actors before the final draft is produced

 

3.2.4       POLICY APPROVAL

·       The policy has to be approved by the leadership of the organisation

·       It becomes operational after approval and adoption by the Board (and the like)

 

4.       OFFICE PROCEDURES

·       The jobs in the office are interrelated and interdependent

·       Additionally, the function of policies and procedures may be quite similar – the difference, however, lies in the fact that

policies inform how the procedures are outlined

·       Procedure is a particular course of action intended to achieve results while policies rationalise the course of action – policies, in other words, describe how activities are to be conducted

 

5.       OFFICE SYSTEMS

·       An office system is an office process for obtaining an objective

·       The operational capacity of an industry or business organisation depends on the systems established at different levels

·       The system approach concentrates attention on the dynamics of the organisation – it gives management the opportunity to consider not just how the organisation functions in formal or informal terms, but also what it reacts to and how change may affect it

·       Basic systems include rules on: telephone usage, the functioning of the reception area, receiving and recording appointments, managing case and administrative records and records maintenance

 

5.1    EXISTING SYSTEMS OF ORGANISATION

 

MANAGERIAL SYSTEM	·       This includes the form of management within the organisation and the techniques employed to ensure that work is carried out effectively and efficiently ·       It includes: budgeting, management by objectives, work-study and quality control ·       The managerial imperatives can also exert their own requirements on other aspects of the organisation
TECHNICAL SYSTEM	·       The technology used in an organisation is an important determinant of the organisation ·       It prescribes to a considerable extent the way the work is done, the organisational form, and the relationships between people ·       It includes the following sub-systems:
Internet	·       The world is becoming a ‘global village’ due to the increased use of web and internet communication ·       E.g. information needs to be mailed and money has to be wired without going to a bank
Telephone	·       Each organisation has an address and phone number for the purposes of communication ·       It is important to ensure that there is a proper means of receiving and answering calls from clients, different departments within the organisation and other partners in a business ·       An organisation has to keep abreast with developing technology for the benefit of the organisation
Structural	·       This is concerned with the means by which an organisation employs technologies and people in order to get the work done, by assisting in processing inputs and outputs

 

Information recording	·       Information which is received and given out must be kept neatly ·       This requires that information be filed and records kept in accordance with their nature
Psycho-social	·       The goals, values, aspirations and modes of behaviour of the members of the organisation will also be an important determinant of the way work is done and the relationships between people in the organisation ·       This is why most organisations have introduced team building sessions and recreational activities to help maintain the psychological stability of the personnel

 

5.2    CRITICAL AREAS FOR SYSTEMS

·       To operate an efficient office, you need systems to manage the following:

(i)       Visitors to your office – reception/front office system;

(ii)     Information that comes into or goes out of your office through telephone, fax, email, correspondence, etc.

(iii)    Work and development of workers – i.e. departments, sections and units;

(iv)    Use of resources, e.g. phones, fax, computer, printer, copier, overhead projector, etc.

(v)     Money – i.e. accounting, book keeping, petty cash, etc.

 

5.3    TYPICAL OFFICE SYSTEMS

 

 

RECEPTION SYSTEM

BASIC INFORMATION SYSTEM

EMPLOYEE MOVEMENT SYSTEM

 

 

5.3.1           THE RECEPTION SYSTEM

·       All visitors to your office should be properly received and served – the receptionist and everyone else should immediately and promptly greet the visitor and find out what they need

·       The utmost goal is to ensure the visitor feels welcome and needed, therefore is treated with respect

·       Demarcate a space where visitors can be received, and if need be, relax and wait. This should ideally be a room or some seats in an appropriate area of the front of the office

·       All workers (especially the ones who work in the reception area) should be friendly and polite, even if/when they are busy

·       Have relevant reading material on current affairs, brochures, magazines, etc. and provide refreshments (especially water)

·       If it will take a while for them to be attended to, inform the visitor accordingly à if they cannot wait, take a message for the person they wanted to see

·       Make sure you set up a proper case file system for visitors and record each visit in a diary (and visitors’ book)

 

5.3.2           THE BASIC INFORMATION SYSTEM

 

5.3.2.1             MESSAGES

·       A duplicate message book, message pads or appropriate paper

·       Get the right information on the message and ensure the message gets delivered

·       Loose paper messages on spikes or in pigeonholes

·       At the end of each day someone should check which messages have not been passed on à if the message seems important, make sure the message gets to the right person or phone the one who left the message back and try to help them

 

5.3.2.2             DIARY FOR IMPORTANT EVENTS AND DATES

(i)       Everyone should know your future important events

(ii)     Keep a calendar of important dates on the wall for everyone to see

(iii)    Have a diary that records all the dates for work of the organisation, days off for staff, meetings, deadlines and important things like AGMs and annual audits

(iv)    The diary should stay in one place in the office so that anyone who wants to book an event can look in the diary to check that the date does not clash with other work

 

5.3.2.3             CORREPONDENCE

(v)     One person responsible for collecting and sorting mail

(vi)    Incoming correspondence directed or sent to the right person for action, then filed away (i.e. use of in and out trays)

(vii)  Have a ‘correspondence received’ and a ‘correspondence sent’ file

(viii) Indicate (date stamp) date received and who responded to each document

 

5.3.2.4             FILING SYSTEM

(ix)    In every section/department you should have staff responsible for filing

(x)      This involves the separation or sorting of all information/documents into logical and easy to find/identify categories

(xi)    All important documents should be filed: letters, reports, minutes, funding proposals, accounts, invoices, budgets, work plans, service contracts, job descriptions, etc.

(xii)   Note: a filing system is useful only if one can easily and promptly find documents

(xiii) Set up an index (filing key) which indicates all files and where to find them, and note that tiling should be done daily

 

A.       ELEMENTS OF AN EFFECTIVE FILING SYSTEM

(i)       Filing units:

o   Parts of names are divided into filing units which indicates the order of uniqueness in the name of a document

o   The key is the primary filing unit à others are numbered as unit 2, unit 3, unit 4, etc. in the order of importance

o   Words, letters, abbreviations and symbols are all annexed

(ii)     Basic indexing rules:

o   Personal names: assign the surname (last name) as the key, the acquired/Christian name (first name) becomes the second unit, and any middle initial becomes the third unit (Wilhelmina v Imara)

o   Institutional names: as written on letterhead or trademarks à the first word is the key, the second word is the second unit, and so on (Macadamia Nuts Ltd)

o   Numerical units are filed before alphabetical units (123 Safaris Ltd.)

(iii)    Minor words:

o   When article ‘The’ appears as the first word of a name, it is to be considered as the last indexing unit

o   The words ‘the’ and ‘and’ when appearing in the middle of a name, they are not capitalised, e.g. Isaac and Son Roofers, indexed as: Isaac (key), and (unit 2), Son (unit 3), Roofers (unit 4)

o   All symbols except ‘and’ begin with a capital letter, e.g.:

§  ‘$ A Day Video’ is indexed as: Dollar (key), A (unit 2), Day (unit 3), Video (unit 4)

§  ‘Inwood & Ellis Realtors’ is indexed as: Inwood (key), and (unit 2), Ellis (unit 3), Realtors (unit 4)

(iv)    Punctuation marks:

o   Commas, periods, hyphens and apostrophes are disregarded when indexing names and the spacing is removed

o   E.g. ‘Air-Sea Rescue Training’ would be indexed as: AirSea (key), Rescue (unit 3), Training (unit 3)

(v)     Letters and abbreviations:

o   Initials in names are considered separate indexing units, for example: R.L. Thomas is indexed as: Thomas (key), R. (second unit), L. (third unit)

o   Abbreviations of names are indexed as written, e.g. ‘Wm. Jas Smith’ is indexed as: Smith (key), WM (unit 2), Jas (unit

3)

(vi)    Acronyms and titles:

o   Acronyms and abbreviations are indexed as one unit regardless of punctuation or spacing, e.g. ‘A.S.P.C.A’ is indexed as: ASPCA (key)

(vii)  Titles:

o   Personal titles (‘Miss, Mr, Mrs, Ms), when appearing in a name, are considered the last unit (and remember that punctuation is ignored)

o   Royal and religious titles followed by a given or surname (Princess Diana, Mother Teresa, Father Maratelli) are indexed and filed as written

(viii)   Articles, Particles and Prefixes:

o   Foreign articles and particles are combined with the part of the name following it to form a single indexing unit, e.g.

a la, De, De, Del, De la, Della, etc. (‘Carmelita De La Cruz)

(ix)    Identical names:

o   When identical names are being filed, the address must be considered for determining further indexing à addresses are ordered by city, state or province, street name house or building number, e.g. ‘Hilton Hotel Mombasa, Hilton Hotel Nairobi, etc.’

 

B.       MAIN FILING CLASSIFICATIONS

(i)       Alphabetical

(ii)     Numerical

(iii)    Alpha-Numerical

(iv)    Geographical

(v)     Subject

(vi)    Chronological

 

C.       MAIN FILING METHODS

(i)       Vertical filing

(ii)     Horizontal/lateral filing

(iii)    Flat filing

(iv)    Microfilming

(v)     Electronic filing

 

D.       FILING EQUIPMENT AND ACCESSORIES

(i)       Shelves – stand alone or on walls

(ii)     Drawers – attached to tables or cabinets

(iii)    Cabinets – can be vertical or horizontal

(iv)    Folders – for cabinets or shelves

(v)     Ring Binders – used with shelves

(vi)    Box files – used with shelves

(vii)  Concertina files – used inside vertical cabinets

(viii) Filing trays – used for cards

 

5.3.2.5             IMPORTANT INFORMATION AT A GLANCE

·       For easy access to certain important information, put visual aids/charts on the walls or visual boards. Examples of these include:

a.        A list of executive members and their contact deals

b.       A map of your area

c.        A list of contact people and numbers for all useful organisations and services

d.       A chart that shows main plans and the dates for big events

e.       A chart that maps progress of things like projects or fundraising

f.         Ring-binders for other information to be left in an accessible place and never put in the filing cupboard

CHAPTER 5 : INFORMATION COMMUNICATION TECHNOLOGY (ICT)

 

1.       INTRODUCTION

·       ICT is an umbrella term that includes all technologies for the manipulation and communication of information

·       Offices today involve a lot of high-level documentation and information processing, storage, retrieval and sharing – tools and technologies that would speed up the management of this information are not only important, but mandatory

·       ICT systems support the values of accuracy, correctness, completeness, relevance and timeliness

·       It is generally thought that there is a direct relationship between ICT and productivity improvements, which include:

o   Better customer service;

o   Greater product variety;

o   Shorter response time;

o   Enhanced product quality; and

o   Better customisation of products and services

·       In some instances, staff have had to be let go to give way for the new advances in ICT that can keep up with the modern, fast paced work place

 

2.       WHAT IS ICT?

·       ICT encompasses the role of unified communications and the integration of telecommunications, computers as well as necessary enterprise software, middleware, storage, and audio-visual systems, which enable users to access, store, transmit and manipulate information

·       Simply: it uses equipment like telephones, communication lines, etc. to enhance communication between employers and employees, businesses and customers, and businesses and businesses across physical boundaries

·       ICT is used to refer to the infrastructure and product development that facilitates the collecting, storing and analysis of information that may be transmitted electronically

·       ICT aims at providing a stable communication infrastructure and efficient service delivery

·       There are 3 types of systems for using ICT:

 

DATA                             PROCESSING (TRANSACTION PROCESSING)	These are computer and electronic based systems used for recording, processing and reporting on a day-to-day basis the activity of the organisation, e.g. payroll, ledger keeping, ATMs
OFFICE SUPPORT SYSTEMS	These systems provide day to day assistance with the functions of the office, e.g. word processing, electronic mail, telephone and tax
END USER SYSTEMS	These systems eek to provide management with direct assistance with their work, e.g. decision support systems, expert systems and executive information systems

 

·       ICT combines information, knowledge, processes and technology to provide a foundation for driving efficiencies and fuelling innovation

·        It is the key to helping organisations of all sizes connect, collaborate and compete more effectively

·       It is generally felt that there is a direct correlation between investment in ICT and productivity improvements, e.g.:

o   Better customer service;

o   Greater product variety;

o   Shorter response time;

o   Enhanced product quality; and

o   Better customisation of products and services

 

3.       ICT FOR OFFICE ADMINISTRATION

·       The modern office today is managed and systems integrated for ICT service

·       ICT is used in the office to create, collect, store and communicate data amongst the various departments in the organisation and customers. ICT is being used in the office to enhance:

o   Business transactions – makes them faster;

o   Data handling and management;

o   Management of administrative documents;

o   Communication – in terms of exchange of information; and

o   Business development

 

4.       SOCIAL AND ETHICAL ISSUES IN ICT

·       In most online transactions, customers are required to reveal personal information

·       It is the responsibilities of businesses to ensure that customer information is safe and secured from any ‘third parties’

·       Identity theft is one of the main crimes in online transactions – criminals obtain enough information about a person and their credit account before using it for their own gain

·       Threats to privacy and anonymity are the most contentious social and ethical issues raised by the spread of ICT

·       However, the basic principles of protecting privacy are:

o   Consumers must be informed when information is being collected about them, how it is being collected and how it will be used

o   Consumers must be allowed to choose whether or not they want to divulge the requested information and choose the uses that are made of such information

o   Consumers must be allowed to delete information about themselves from marketing and other databases

 

5.       BENEFITS OF ICT TO ORGANISATIONS

(i)           It leads to improved business performance, productivity and profitability

(ii)          It enables and improves the quality, quantity and access to services from any location by allowing remote access

(iii)        It improves customer satisfaction, loyalty and service through safe and secure deployment of customer-facing solutions

(iv)        Reduced cost of operation, e.g. companies save money that would otherwise be used on paper or the manual transfer of information

(v)          It simplifies data storage and minimises on the space required to store data

(vi)        It simplifies the information transfer and sharing process

(vii)       Accuracy in the working process, e.g. payroll software’s can make the process easier and more accurate if such systems

are well programmed and users trained properly

(viii)     It simplifies marketing

 

6.       DISADVANTAGES OF ICTY TO ORGANISATIONS

(i)           Possibility and risk of security breaches

(ii)          Increased unemployment due to technology replacing the function of humans

(iii)        Risk of loss of valuable information (if not backed up physically)

(iv)        Additional investment in training, leading to higher operating costs

(v)          Reduced productivity as employees use the internet to engage in social networking

 

7.       OFFICE AUTOMATION

·       Office automation refers to the practical use of electronic systems to provide general clerical office support – i.e. the use of machines to do work that was previously done by people

·       The aim of automation is simplifying and improving the organisation of activities of an office

·       Office automation is intended to provide elements which make it possible to simplify, improve and automate the organisation of the activities of a company or a group of people

·       Office automation aims to automate office procedures, i.e. a self-regulated process with continuous flow of information and minimum human intervention

 

7.1    REASONS FOR AUTOMATION

(i)           Facilitates efficient and detailed information through the use of mechanical aids like computers

(ii)          Ensures speedy recording, processing and presenting of information

(iii)        It is necessitated by the increased volume of work, scarcity of time and slow manual processes

(iv)        Facilitates better quality work by reducing errors created on manual work

(v)          Work is handled with greater accuracy and speed due to automation

(vi)        Automation increases the goodwill and reputation of the firm because it adds to the prestige and status symbol of the enterprise

7.2    ADVANTAGES OF AUTOMATION

(i)          Automation can get many tasks accomplished faster

(ii)        Less storage space is required to store data and the retrieval of data is also much faster

(iii)      The company will save on the expenses incurred in archiving and saving physical documents, e.g. instead of buying file cabinets, the company can buy one computer with a central database

(iv)       Automation reduces involvement in clerical tasks and leaves one to concentrate on parts of business that are important

(v)        It eliminates the need for large staff

(vi)       It enables people with low skill levels to perform higher-level tasks

(vii)     Allows several employees to access the same data at the same time

(viii)    Helps the company minimise the use of paper, hence contributing to welfare of the environment

(ix)      Enables one employee to perform the tasks of many because that one employee can operate a machine whose output is equivalent to what would have been done by a number of people

 

7.3    DISADVANTAGES OF AUTOMATION

(i)          The initial cost of acquiring machines and software to automate the office is high

(ii)        Cost of training staff and/or acquiring skilled staff to use the necessary equipment is high

(iii)       Power outages can greatly affect work output as most of these equipment’s need power to function

(iv)       Need to keep up to date with machines and software to enhance business performance is expensive

 

8.       OFFICE AUTOMATION APPLICATIONS

 

WORD PROCESSING	·       Designed for creating textual documents ·       Permits users to create, format, modify and print documents electronically ·       Employee can perform functions such as: adding, copying, correcting, deleting, moving text, check documents for errors, add page numbers, etc.
ELECTRONIC SPREADSHEET	·       It is used extensively for accounting and financial purposes ·       Designed for maintaining, manipulating and calculating numerical data ·       The user can add, delete or modify the numerical records maintain in these spread sheets
DATABASE MANAGEMENTS	·       DBM software provides capability for organised electronic storage of information in general categories or files ·       It allows the user to rearrange the order and number of items of information in printed form, and to search for and display specific items of information

 

9.       INTERNET

·       This is an international network of computers that allows users to communicate with each other and share information resources

·       Users can get connected by connecting to an Internet Service Provider

 

ADVANTAGES OF INTERNET

DISADVANTAGES OF INTERNET

(i)           Reduces communication cost – cheaper than telephone or postage (ii)          Gives user access to information resources for research (iii)        Better customer service – information is accurate and quick (iv)        Companies can become more competitive globally (v)          Convenient as one can communicate from home or office (vi)        Enhances local and international communication (vii)       Facilitates learning through e-learning (viii)      Gives company more prestige when it advertises on the internet

(i)            Pornography is uncontrolled (ii)          Expensive equipment and installation (iii)         Subject to network failure and congestion (iv)         Unsuitable for computer illiterate people (v)          Subject to power failure and equipment breakdown (vi)         Unwanted advertising, SPAM mail (vii)       Security problems, e.g. internet fraud and hacking (viii)      Legal complications when transacting on the internet (ix)         High telephone costs

 

(ix)     Facilitates trading or shopping at the convenience of your home or office

 

10.    ELECTRONIC MAIL (EMAIL)

·       This is a message service that allocates each user a mail box in which mail in the form of electronic signals can be placed for subsequent display or printing out

·       It is a telephone-based communication service in which each user is allocated a mail box in the central computer or service provider

·       The contents of each mail box are private and accessible only to the user by use of a password

 

ADVANTAGES OF EMAIL

DISADVANTAGES OF EMAIL

(i)       It is very fast (ii)     Clarifications can be sought and additional information offered immediately (iii)        Information can be sorted, amended and sent to other parties (iv)        It can be used to send information to a large group of people at the same time (v)          It is confidential due to the use of passwords (vi)        It allows for accuracy – e.g. spell check (vii)       A message can be stored for future reference (viii)      It is secure – information is not misplaced unlike when using postage (ix)        It is cheaper than telephone or postage

(i)            Initial cost is high (ii)            Installation cost is high (iii)         Requires skilled personnel to use it (iv)         It is prone to power failure and equipment breakdown (v)          Cannot be used by computer illiterate people (vi)         It is prone to virus infection (vii)       It is prone to misuse by employees

 

11.    ACHIEVEMENTS OF JUDICIARY WITH REFERENCE TO ICT

·       Installation of the tele-conferencing court system – e.g. accused persons may be dealt with without remanded persons being physically brought to court

·       Installation of networking facilities

·       Installation of a data centre and important ICT devices

·       Leasing of ICT hardware devices and bar coding of purchased devices

·       Digitisation of the court records

·       Efficient record management – i.e. voluminous records are available in soft copy and virtually stored

·       Efficient management of the courts

·       Automation and diversification of revenue and deposits

 

12.    EFFECT OF ICT ON ADVOCATES

·       Online application for practicing certificates

·       More/higher availability of job opportunities for lawyers

·       Easier and farther-reaching advertising opportunities

·       Revolutionization of research process

·       Effective communication between various stakeholders

·       Enhanced proper documentation and record keeping

·       Electronic evidence at the disposal of advocates

CHAPTER 6: RECORD MANAGEMENT AND FILING

 

A.       INTRODUCTION

·       Organisations produce and process vast amounts of information daily – such information is preserved in the form of records, both textual and electronic

·       Records can be defined as:

o   Written data or documents that are maintained and preserved for possible future use/reference; or

o   Information created or received and then maintained as evidence by an organisation in the course of its business, or to meet legal obligations

·       Records may be classified into: personnel records, accounting records, legal records or general correspondence records

 

B.       RECORD MANAGEMENT

·       This is the practice of maintaining the records of an organisation from the time they are created up to their eventual disposal – it is the systematic and effective control of records throughout their life cycle

·       Record management aims to ensure that:

o   Records are accurate and reliable;

o   They can be retrieved speedily and efficiently; and

o   Are kept for no longer than necessary

 

1.       RECORD LIFE CYCLE

 

PHASE 1   –   COLLECTION AND CREATION	Creation of records involves capture of records in order to provide adequate and proper documentation of activities
PHASE 2 – MAINTENANCE AND USE	Using and maintaining records includes document control, files and filing equipment, identification and maintenance of vital records. Matters of disaster recovery and security are also addressed
PHASE 3 – DISPOSAL	Record disposal includes appraising, scheduling, storing, preserving and retrieving of records

 

2.       OBJECTIVES OF RECORD MANAGEMENT

(i)         Accurately and completely document transactions of an organisation

(ii)        Control the quantity and quality of records produced by an organisation

(iii)      Prevention of the creation of unnecessary records

(iv)      Simplify the activity and processes of record creation, maintenance and use

(v)        Preserve and dispose of records in accordance with governing statutes

(vi)      Direct continuing attention to records from their initial creation to their final disposition

(vii)     Establish a system necessary to maintain an effective and efficient record management programme

 

3.       PURPOSES OF MAINTAINING RECORDS

3.1           FUTURE REFERENCE

·       Records are maintained to be available for future reference

·       E.g. criminal records are maintained by the Bureau of Statistics for tracking criminal activities of an individual

 

3.2           HELPS IN PRECISE AND EFFICIENT BUSINESS DECISIONS

·       The benefits of keeping accurate records are as follows:

(i)       To determine the financial progress of an office – i.e. whether it is making a profit or loss, as well as what its expenditure is;

(ii)     To maintain proper financial control of the office in order to maximise profit – record keeping helps determine whether the resources of the office are being managed efficiently; and

(iii)    To be able to provide financial information about the office is important to assist management, potential investors, creditors, etc. make informed decisions about the office

 

3.3           DECISION MAKING

·       Information gathered from a review of the record-keeping system can indicate past trends in a company’s operating

effectiveness

·       This historical data can be used to answer specific questions about the change in profitability over time, the volume of sales at different times of the year, the level of employee turnover, etc. which provides a baseline for setting future goals and directions

 

3.4           GOVERNMENT REGULATION

·       Some records are maintained to satisfy government regulations

·       Well-designed record keeping systems will provide an audit trail in addition to serving the information needs of the owner

 

3.5           FOR OTHER PEOPLE

·       Many small businesses are essentially one-person enterprises – i.e. a single individual is the catalyst for most activity

·       It is thus imperative that this type of business maintain complete and detailed records, or else if something happens to the key individual, no one else will be able to decipher what happened in the past

·       With no record system, the business may need to be sold (at a lower cost than it’s worth) or be forced to close

 

3.6           MAINTENANCE OF EVIDENCE

·       Record and information management allows for the efficient and systematic control of creation, receipt, maintenance, use and disposition of records

·       This includes processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records

 

3.7           PLANNING AND BUDGETING

·       Past records can be used for comparison, planning, budgeting and forecasting the future

·       Accounting records can be used to assess the financial position of a business

 

3.8           LEGAL REQUIREMENT

·       It is a legal requirement that certain documents are maintained for a certain period of time

·       The Record Disposal Act requires that judicial civil records relating to title to property, matters of succession, inheritance and easements shall be maintained permanently

 

3.9           SETTLEMENT OF DISPUTES

·       Managers often need to refer to records when settling disputes

·       Records provide the historical background and facts of a case, both being important elements to consider before arriving at a meaningful decision

 

3.10        POLICY AND DECISION MAKING

·       Records are used as a point of reference when making important management decisions or formulating policies affecting the organisation

 

4.       PRINCIPLES OF GOOD RECORD MANAGEMENT

(i)             Records are maintained to verify the accuracy of a transaction

(ii)            Records should be maintained for a justified period, and thereafter may be destroyed to create room for newly generated records

(iii)            Records should be classified according to name, number, location, etc.

(iv)            Records should be flexible and allow for future expansion

(v)            Records should be maintained in a manner that ensures utmost secrecy and safety of information

(vi)            The cost of maintaining records should be minimal

(vii)            Records should be updated to provide the most current information

 

·       In addition to the above, the International Standard on Records Management (ISO 15489) was launched in October 2001 at the Association of Records Management and Administrator’s (ARMA) International Conference at Montreal

·       The ISO standard for record management is divided in to two parts: general framework and guidelines

·       The principles governing these guidelines are:

(i)               Principle of accountability – someone should be held accountable for record management within an organisation

(ii)             Principle of integrity – the system of record keeping must be authenticated and that which can be relied upon by the organisation in planning, budgeting, settling of disputes, etc.

(iii)            Principle of retention – records are to be maintained for a justified period and thereafter may be destroyed to create room for new records

(iv)            Principle of protection – a reasonable level of protection for records and information that is private, confidential and privileged should be exercised

(v)             Principle of disposition – an organisation shall provide secure and appropriate disposition for records and information that are no longer required to be maintained

(vi)            Principle of transparency – records are to be documented in an open and verifiable manner

(vii)          Principle of compliance – the information governance program should comply with legal, regulatory and standard requirements

(viii)         Principle of availability – records should be maintained in a manner that ensures timely, efficient and accurate retrieval of the information needed

 

5.       ADVANTAGES OF A GOOD RECORD MANAGEMENT SYSTEM

(ix)    Improved accessibility and retrievability of information by authorised users

(x)      Increased productivity with less time used accessing records to attain information

(xi)    Improved accountability

(xii)   Improved strategic integrity and preservation of organisation memory

(xiii) Increased compliance with legal obligations, e.g. document maintenance for auditing purposes

 

6.       FORMS

·       Forms are printed documents with marked headings on which entries are made, e.g. application forms, requisition forms, registration and stock record cards, etc.

·       The importance of using forms are numerous:

(i)          Enhances reduction of errors by guiding the user on how to fill in the information

(ii)        Promotes simplification through easy to fill forms

(iii)       Promotes uniformity of work since forms are made in a standardised and consistent manner

(iv)       Promoted economy in the use of stationary because it avoids unnecessary details

(v)        Reduces duplication of records by using one form procedure

(vi)       Saves time in data processing as unnecessary details are eliminated

(vii)     Promotes efficiency because relevant information is entered into forms

(viii)    Provides accurate records

(ix)       Good control method – especially when forms have serial numbers

 

C.       FILING

·       Whereas record management is concerned with the organisation and administration of records for future references, filing is the process of classifying, arranging and sharing those records for ease of retrieval when so required

·       Filing can be defined as the systematic arrangement and preservation of business correspondence and records in a manner which enable quick retrieval and reference whenever needed

·       A file is the physical unit of information contained within a paper or electronic folder

 

1.       PURPOSE OF FILING

(i)              Enhances security of information

(ii)            Guarantees availability of records for future reference

(iii)           Promotes accuracy and neatness in record keeping

(iv)           Promotes the protection and fortification of documents from dust, dampness and fire

(v)            Ensures records are readily available for reference and quickly accessible when required

 

2.       GENERAL RULES FOR FILING

(i)              Records should be filed daily to ensure that they are up to date

(ii)            Records to be filed should be authorised for filing by having them stamped by the person responsible

(iii)           Records should be filed carefully to maintain the documents

(iv)           Always make sure records are correctly punched (middle of margin)

(v)            When a file is full, close it and open a new one so as to avoid using bulky files

(vi)           Use an out-guide in removing records from a file when necessary

(vii)         If a whole file has been removed from a shelf, there should be an ‘absent marked’ to indicate where the file has been

(viii)        For security purposes, the filing cabinet should always be locked

(ix)           For easy and proper identification, all files should be clearly labelled

(x)             Record should be filed correctly to avoid misplacement

 

3.       PRINCIPLES OF A GOOD FILING SYSTEM

 

COST EFFECTIVE	·       The system adopted in an office should not be too expensive or costly to operate ·       The cost incurred on the installation of the system and operating it should be commensurate with the benefits accruing from it
COMPACTNESS	·       The system adopted in an office should use as little space as possible ·       This is especially important for small organisations with limited office space
SIMPLICITY	·       Any practical filing system must be free from complication – i.e. it should be easy to understand and to operate ·       It should be simple for every staff member to use – including new staff members
ACCESSIBILITY	·       The system should be easy to access and to retrieve files from ·       A good filing system must enable everything filed away to be consulted without needless expenditure of time
FLEXIBILITY	·       The filing system should be capable of future expansion and contraction according to business conditions, e.g. expansion physically towards the ceiling and contraction by using online storage
ACCURATE	·       Records should be filed accurately to avoid misplacement ·       This can be achieved with the use of various classification systems which help with the proper classification of records
CLASSIFICATION	·       Records should be categorised and grouped in an organised manner by use of the various classification systems which are: alphabetical, numerical, alpha-numerical, geographical, subject and chronological classification
SUITABILITY	·       The system should suit the special needs of the organisation and should be adequate for the purpose in view, e.g. a small office should not install a complex and sophisticated filing system
UP TO-DATE	·       Files should contain up to-date records to serve the purpose of filing and easy access
SAFETY                         AND SECURITY	·       The filing system should provide maximum protection and security of documents ·       It is extremely important that documents are protected from dust, insects, theft, fraud, bad weather and mishandling
CROSS REFERENCE	·       A good filing system should have a cross reference which guides the users on where to find a particular record ·       If the number of files is large, it should be supplemented by a good indexing system
OUT GUIDES	·       There should be control by use of a register to show where borrowed filed have been taken ·       This serves the purpose of security and avoids misplacement of files

 

4.       FILING METHODS

·       A filing system is a set of policies and procedures for organising and identifying files or documents to speed their retrieval, use and disposition

·       In other words, filing methods refer to the different ways in which files can be stored in an organisation – the horizontal method, vertical method or lateral method

 

4.1       HORIZONTAL METHOD

·       This is where documents are kept in a flat position on top of each other, mostly using shelves

·       In horizontal filing, documents are placed in a horizontal position, one on top of the other, in order of date (and the latest document is kept at the top) – e.g. flat files and arch

 

ADVANTAGES OF HORIZONTAL FILING	DISADVANTAGES OF HORIZONTAL FILING
(i)         This system of filing is simple and easily understood by anyone (ii)        The papers are kept in the order in which they were filed as well as punched through a metal hinge so they cannot be replaced (iii)      It is easy to operate – facilitates speedy reference of documents as they are arranged chronologically	(i)           It is difficult to remove a document from the bottom of the heap (ii)         The document might get damaged or toned when pulling the same forcefully from the bottom of the files (iii)        It is difficult to return or replace a document to its original position (as to do this, all documents that would be on top of it must be removed and re-filed)

 

(iv)      It is space saving because files are kept one on top of the other (v)        It is economical to operate – saves the cost of using suspension folders as a small space will accommodate many files (vi)      It maximises the safety and protection of documents in cabinets and shelves

(iv)        It is difficult to recover, retrieve or get back the documents because the system is ‘blind’ and one cannot see the label – this is also time consuming (v)         There is limited space for expansion once the files have reached the topmost cabinet or shelf

 

4.2       VERTICAL METHOD

·       Files are kept in an upright position, lying on their spines

·       The labels appear on the top edge of the file for easy identification

·       A vertical filing cabinet is used and this has many advantages, including less space consumption, easier organisation and accommodation for variant filing systems

 

ADVANTAGES OF VERTICAL FILING

DISADVANTAGES OF VERTICAL FILING

(i)         Space saving – vertical filing cabinets are far smaller in width than lateral filing cabinets (ii)        Easier organisation – users arrange folders in a vertical position, from which the label on the file can be seen and so the folder is easily identifiable (iii)      Hang files – a vertical filing system allows for the suspension method of file and folder management. Files handing on their open ends makes it easier for users to insert papers into a file without removing it from its position (iv)      Open shelf arrangement – in a vertical filing system folder can be arranged in the open shelf order commonly found in libraries (v)        It is economical because spring files can be used and they are cheap in terms of price (vi)      It is easy to identify files because labels can be clearly seen (if the file is labelled) (vii)     Files are safe and secure because cabinets can be locked and are not easily accessible by strangers (viii)   A cabinet can accommodate many files and is therefore space friendly (ix)      It is quick and easy to operate in terms of identification labels

(i)         It causes fatigue when opening the drawers because it involves pulling and pushing of the cabin (ii)       It utilises a lot of space because it requires extra room or space for opening the drawers (iii)      Only one person can operate the cabinet at a time because a person or persons cannot open two cabins at ago because the cabins were made in a way that each is opened at one time (iv)      The filing cabinets are expensive, especially the metal ones

 

4.3       LATERAL METHOD

·       This is a method whereby files are placed side by side with their spines facing outwards

·       This method uses lateral filing cabinets or shelves

 

ADVANTAGES OF LATERAL FILING	DISADVANTAGES OF LATERAL FILING
(i)         Economy in the use of floor space because the shelves do not have drawers (ii)       Easy identification because the labels are on the spine and are therefore clearly visible (iii)      Easy retrieval and replacement of files in their correct position (iv)      Shelves can accommodate many files and it is therefore convenient for large companies	(i)         Lateral filing cabinets are expensive since they are big in size (ii)       Lack of safety and security because the files are exposed to thieves and dust (iii)      It is difficult to obtain files that are in a high position and it may lead to accidents

 

(v)       Many people can operate the system at one time (vi)      There is no fatigue since there are no drawers

 

5.       FILING CLASSIFICATION SYSTEM

5.1           ALPHABETICAL FILING (COLOUR BY LETTER)

·       This is a method where files are arranged according to the letters of the alphabet, i.e. A – Z order

 

ADVANTAGES OF ALPHABETICAL FILING

DISADVANTAGES OF ALPHABETICAL FILING

(i)         It is simple to understand as it does not require specialised knowledge (ii)       No separate index is required, i.e. it is self-indexing (iii)      It enables direct filing as one does not need to refer to an index (iv)      It is flexible in that it can be used alongside other methods (v)       There is a wider application because the method can be used to classify a wide range of information

(i)         Some letters are more widely used, which may lead to some files being bulkier than others (ii)       It has limited usage/capacity since the alphabet only has 26 letters (iii)      It is difficult to estimate space requirements for different letters of the alphabet (iv)      The person filing must have a thorough knowledge of the filing rules

 

5.2           NUMERICAL CLASSIFICATION

·       This is a system where filing is done according to numbers or a numerical code

·       E.g. ‘001 – Accounts’; ‘002 – Human Resources’; ‘003 – Production’

 

ADVANTAGES OF NUMERICAL CLASSIFICATION

DISADVANTAGES OF NUMERICAL CLASSIFICATION

(i)         It is flexible for future expansion – i.e. unlimited expansion (ii)       It is suitable for large companies with many customers and employees (iii)      It is easy to locate and identify records if the index is clear (iv)      It is possible to add new records (v)       It is suitable and convenient for filing records that have serial numbers (vi)      The file number can be quoted as a file reference when writing official mail

(i)         It requires a separate index which is expensive and time consuming to prepare (ii)       There may be delays when fling or retrieving records as one has to refer to the index (iii)      It requires training on how to use the index (iv)      There might   be   misfiling   due   to   the   error   of transposition, e.g. ‘102’ is read as ‘201’

 

5.3           GEOGRAPHICAL FILING: this generally operates as per province or country, and the files could be arranged numerically or alphabetically

 

5.4           CHRONOLOGICAL FILING: this is usually done by date, and is usually used when little or no reference is made to the documents once the transaction is complete. It is common in filing copies of freight bills and cancelled cheques

 

5.5           ALPHA-NUMERIC FILING: use of both numbers and letters to organise your files

 

5.6           THE AGBOR SYSTEM: it breaks down files into smaller groups, thus making it easier to find them. It is typically used in

conjunction with the alphabetical system and is based on the second letter of the file’s name

 

5.7           NUMERICAL FILE SYSTEM (COLOUR BY NAMES): this is the ideal system for trying to store thousands of files in sequential order and it makes file retrieval faster

 

5.8           TERMINAL DIGIT FILING (2 TERMINAL DIGITS): instead of reading numbers from right to left, they are read from left to right

 

5.9           SUBJECT FILING SYSTEM/ADMINISTRATIVE FILING: this is arranging documents in given subjects, i.e. filing by descriptive features of the file as opposed to the name or number

 

5.10        MISCELLAENOUS FILING: this is a great way of holding miscellaneous files that have documents received and either need to be stored for a short time or are not important enough to warrant their own file

 

6.       FACTORS TO CONSIDER WHEN CLASSIFYING RECORDS

(i)              Cost – the company should choose a system that is affordable to them

(ii)            Accessibility and ease of reference – the system should allow quick and easy access to records as this eases the workload and helps minimise time wastage

(iii)           Availability of space – the system chosen should not take up too much space, especially in smaller offices

(iv)           Flexibility – the system should be capable of future expansion, as office documents increase daily

(v)            Volume of records – i.e. if the volume of documents is high, then numerical and alpha-numerical systems will be appropriate

(vi)           Ease of use – the system should be easy to operate and understand, especially in an office with people of different backgrounds

(vii)         Nature of records

(viii)        Availability of skilled labour to operate the system – it is important to adopt a system that can be easily repaired by available labour in case of a breakdown (i.e. no need for a technician)

(ix)           The training required to operate the system – it is important to employ people trained in that field to ensure proper and efficient record keeping

(x)             Suitability of filing system depending on the filing equipment available

(xi)           Safety/security of records – this is the core and so one should use a safe and secure system (loss of a document may cost a corporation)

(xii)          Level of technology available in the office

7.       INDEXING

·       A good filing system is helpful when preserving files and documents and retrieving them at the time of need

·       It is also helpful to provide the document quickly and easily, but for such quick and easy reference, an index is required

·       The lateral meaning of an index is an ‘indicator’ or ‘guide’, and so indexing refers to the guide which helps to search through information or for information

·       The main objective of indexing is to make it easier to find files or necessary information

 

7.1       PURPOSE OF INDEXING

·       The main purpose of indexing is to provide records in a proper way at the time of need

·       It increases the utility of filing by providing an indicator for the file management

·       The main purposes of indexing may be summarised as:

(i)       To facilitate easy and quick location of required files, letters and other documents;

(ii)     To serve as an essential add to the filing system;

(iii)    To facilitate reference and cross reference to a number of files in the office;

(iv)    To support clerical efforts and executive time in managing records;

(v)     To increase general efficiency of office work; and

(vi)    To present an orderly list of files and records

 

7.2       QUALITIES OF A GOOD INDEXING SYSTEM

(i)              Simplicity – it should be simple and easy to operate, i.e. it must enable one to locate files without much difficulty

(ii)            Economical – it should not require vast investment

(iii)           Flexible – it should be able to manage records as they increase in size and volume

(iv)           Minimum space – indexing should be adjusted in such a manner that it occupies minimum space

(v)            Quick reference – it should facilitate quick and easy reference of locating files, documents and records

(vi)           Safety – it should be same enough to avoid pilferage and damage

7.3       TYPES OF INDEXING

 

BOOK INDEXING	·       This is the simplest method of indexing ·       A bound book is divided into alphabetical sections with every page allotted a letter on the right edge of the paper ·       The letters are adjusted so that the alphabetical letter can be seen at a glance or the information can be written on the related alphabetical page ·       Pages cannot be lost or disordered because they are bound
CARD INDEXING	·       Under this method of indexing, each subject, customer or document is allotted a card on which information related to that subject, customer or document is recorded ·       These cards are small in size and can be classified alphabetically, numerically or graphically ·       Each card is placed into the rod and hung vertically or horizontally in the drawer ·       The cards are arranged such that all cards in a row are visible simultaneously
VISIBLE                     CARD INDEXING	·       This is an improved version of the basic card indexing ·       While under the basic card indexing only one card can be seen at a time, under visible card indexing, we can see 50 cards at a time ·       Cards are laid flat in a shallow tray or metal frame and placed in such a manner that name, address and other information is clearly visible
STRIP INDEXING	·       This is a variation of visible card indexing ·       In every office there is need for a list of names, telephone numbers, addresses, etc. and so the strip indexing method has been designed to meet this objective ·       Under this system, a one-line entry is made in a narrow strip of cardboard or wood and these strips are put in a frame in a way that they can be taken out or replaced with ease
WHEEL             OR ROTARY INDEX	·       This system uses equipment known as a Rotadex ·       Under this system, the cards are inserted around the hub of a wheel and can be easily taken ou or inserted into the equipment, and a single wheel can hold as many as 5000 cards

 

8.       DOCUMENT RETENTION

·       Vital records are records that are irreplaceable, such as original copies of agreements, copyrights, corporate seals, deeds, formulas, franchises, leases, mortgages and trademarks

·       These records should be storied in fire-resistant vaults or fireproof fire cabinets

·       Important records could be replaced or reproduced, but generally at a considerable expense

·       Useful records can be readily replaced or reproduced, such as purchase orders, sale agreements, names of officers, list of suppliers, etc. and so they need no fire protection since obtaining duplicates is not difficult

·       Records that are of importance to the company should be maintained permanently and can only be destroyed after thorough evaluation, and any document that could be required in the future should be retained

·       Documents that may be used in evidence in the future should be maintained for at least 12 years

·       Documents that are required on a regular basis for reference should be retained where they are easily accessible

·       Document destruction in Kenya is governed under the Record Disposal Act

 

8.1 FACTORS TO CONSIDER IN DOCUMENT/RECORD RETENTION

(i)              Importance/effectiveness of a record – i.e. to what extent will a company be affected if a record is destroyed

(ii)             Need for future reference – e.g. for an ongoing matter or one anticipating an appeal being filed

(iii)           Need for legal reference – i.e. for use in evidence

(iv)           Cost of storage – the higher the cost, the less likely that unnecessary records will be retained

(v)             Legal requirement – the law requires that certain documents should be retained, and/or displayed within the premises

(vi)           Volume of records – if the volume is low, there is no need to destroy the records

(vii)          Frequency of reference – the more frequent the reference to a document, the higher the chance of its retention

(viii)        Nature of the document, e.g. receipts can be thrown away easily but original title documents cannot be destroyed

(ix)           Existence of duplicate records – one copy can be destroyed

(x)             Company policy regarding retention of records

CHAPTER 7: PROCUREMENT

 

1.       INTRODUCTION

·       Procurement is the process of purchasing or buying goods and services for use by a company from an external supplier

·       It encompasses the process by which an organisation enters into a contract with an external contractor who deal with the supply of goods and services to carry out certain works or supply to the company the required goods and services

·       There are basic rules which must be observed during the procurement process to protect all parties involved, including: transparency, equal treatment, non-discrimination, value for money and thresholds

·       Procurement is essential as:

(i)       It forms the basis of planning and budgeting for the organisation, especially with regard to acquisition of goods and services required on a day to day basis; and

(ii)     It ensures a constant and/or steady supply of goods and services as and when they are required

·       It is mainly concerned with procuring the services at the best possible price so as to be cognisant of economies of scale

 

2.       BASIC CONCEPTS OF PROCUREMENT

·       To balance the competing interests of customers and suppliers of goods and services, the commercial world has developed minimum requirements which must be observed by the parties involved in the procurement process

 

TRANSPARENCY	·       This is the key pillar in the procurement process and links to other factors such as accountability, fairness and equal treatment ·       Transparency requires the company to supply full and accurate information to prospective tenderers regarding the said contract and the procedures that the company would use to select tenderers and award contracts ·       This avoids disqualification of tenders based on technicalities as opposed to the quotations given
EQUAL TREATMENT	·       All tenderers must receive equal treatment so as to promote fair competition and attain the prospect of being supplied by the best contractor in the market ·       This obliges companies to ensure that competition for contracts is open, honest and unbiased
NON- DISCRIMINATION	·       Discrimination entails the segregation of tenderers at different stages of the procurement process in a manner that makes it difficult for some of the suppliers to tender their contracts ·       Thus, at each stage of the procurement process, the persons involved must not do anything which would make it more difficult for some suppliers to tender their contracts
VALUE FOR MONEY	·       The requirement that the lowest bidder gets the award is not always followed, especially in instances where the organisation feels that the supply of goods and services from such a low price is not commensurate with the company’s expectations in terms of quality or quantity ·       Thus, companies have employed the practice of having an expert fix the benchmark price for the goods or services and successful bidders must fall within 10% higher or lower range to qualify as a successful bidder
THRESHOLDS	·       Most companies have set the minimum value of money from which goods or services may be procured through the tendering process ·       E.g. a company may set in its policies that goods or services whose value is beyond Kshs. 500,000/= are to be procured by a tendering process

 

3.       THE PROCUREMENT PROCESS

(i)              Get requirements/reacquisitions from user departments

(ii)            Come up/formulate a procurement plan, including setting a budget and the criteria applicable

(iii)           Send inquiries to the potential supplier s- i.e. request quotations

(iv)           Receive the quotations

(v)            Make comparisons and evaluate each quotation based on the designed criteria (done by the evaluation committee)

(vi)           Choose the supplier based on the designed criteria

(vii)         The evaluation report is presented to the tender committee for the consideration and/or approval of the choice of supplier

(viii)        Negotiate the price as well as terms and conditions with the chosen supplier

(ix)           Place the order

(x)             Follow up with the order

(xi)           Receive and inspect the goods/services once received

(xii)          Storage and record keeping

(xiii)        Receive the invoice for the goods/service and procure payment of the same

 

DIRECT SOURCING	·       This is obtaining goods directly from a single supplier ·       E.g. where there is only a single supplier who supplies to the company’s expectations and there are therefore no compatible substitutes in the market ·       Direct sourcing may also be sued in the case of complex technical items which would attract different results if procured from different contractors, hence the need for uniformity and universal application – i.e. to avoid being supplied with goods of different standards
RESTRICTED TENDER	·       This involves obtaining goods or services from a list of suppliers for a common supply that may have been pre-qualified by the organisation ·       Should there be an advertisement for the tender, only those who have been prequalified would qualify to apply
OPEN TENDER	·       This is an open process whereby adverts are placed in a newspaper to have sellers who are capable to respond by submitting their tenders without necessarily going through the process of pre- qualification

 

4.       BASIC PROCUREMENT PRINCIPLES

·       The new Public Procurement Act as well as the Public Procurement Oversight Authority provides a good framework for effective procurement

·       The following principles make this up:

(i)               Accountability – both personal and professional

(ii)             Competitive supply or bidding – inviting all potential suppliers for the best interests of all

(iii)            Consistency – same policy across the sector for all suppliers

(iv)            Effectiveness – vision, mission goals and objectives of the public are to be met

(v)             Efficiency – ensures cost effectiveness by all public entities

(vi)            Fair dealing – fairness, equity and utmost good faith for all suppliers and stakeholders

(vii)          Integration – procurement policy must align with other policies

(viii)         Integrity – no corruption or collusion with suppliers

(ix)            Informed decision making – based on accurate information and monitoring

(x)             Legality – confirm to all local and international legal requirements

(xi)            Responsiveness – meet the aspirations, expectations and needs of the community served

(xii)          Transparency – openness and clarity on the procurement policy and its delivery

 

5.       FACTORS TO CONSIDER IN THE PROCUREMENT PROCESS

·       Before an organisation chooses to engage in the procurement process, the management must consider a number of factors, for example:

(i)       The expected income and expenditure of the company from which availability of funds may be measured;

(ii)     The quantity and quality of goods and services required in the market; and

(iii)    The demand and supply of the said products

·       This transforms the procurement process from a simple managerial function into a purchasing decision that involves all the departments in the organisation

·       Procurement generally involves buying under conditions of scarcity in terms of internal resources or suppliers in the market, and so the company must make use of economic analysis techniques and methods such as cost-benefit analysis and cost- utility analysis

 

6.       RELATIONSHIP BETWEEN PROCUREMENT AND TECHNOLOGY

·       ICT has been employed in several stages of procurement to cover areas such as advertisement, evaluation, ordering, stock control and stock monitoring

·       Organisations have now employed dedicated technology tools to effectively monitor and carry out essential parts of the procurement process, e.g. stock monitoring, evaluation and general analysis of the in-flow and out-flow of goods and services in the organisation

·       In addition, technology has reduced the cost of shopping for services, hence achieving search-cost efficiency

·       To this end, there are several ways technology has improved the procurement process, including:

(i)       Increase of procurement velocity through technology-assisted standardisation and automation;

(ii)     Increase in talent retention and performance;

(iii)    Identification and storage of knowledge and information necessary for effective future success, use and re-use;

(iv)    Making the procurement process cheaper and faster, hence boosting economies of scale for the company; and

(v)     Access to goods and services from a wide scope of suppliers, hence a chance to make a choice of the best goods available at the best price budgeted by the organisation (without compromising on quality)

 

7.       STOCK CONTROL

·       Stock is the total merchandise kept on hand by a merchant, commercial establishment, warehouse or manufacturer for production or sales, and can be categorised as: raw materials and components, finished goods, work in progress and consumables

·       Stock control is the activity of checking an undertaking’s stock and includes various aspects of controlling the amount of stock on shelves and in the stock room, and also how reordering is done

·       To do this, there should be a management report indicating what has been sold, how quickly it was sold and its prices

·       Some typical features of a stock control system are:

(i)       Ensuring the products on the shelf in the shops are in the right quantity;

(ii)     Recognising when a customer has bought a product;

(iii)    Automatically establishing when more products should be put on the shelf from the stockroom;

(iv)    Reordering stock at the appropriate time from the main warehouse; and

(v)     Coming up with management information reports

·       The aim of stock control is to minimise the cost of holding the stock while ensuring that there are enough materials for production to continue to be able to meet consumer demands

·       In addition, the benefits of reduced warehouse costs must be balanced against the cost of more frequent deliveries and lost economies of scale from bulk-buying discounts

 

7.1    ADVANTAGES OF STOCK CONTROL

(i)              Records are kept in a compact manner and so reference to them is facilitated

(ii)            Division of labour between record keeping and actual material handling is possible

(iii)           Ensures that only the right amount of stock is on the shelves – e.g. where there is too much stock on the shelves, the company might be incurring unnecessary warehouse charges and posing a risk of expiry with perishable products

(iv)           Save a lot of staff time, thereby reducing the number of staff needed and improving profits

 

7.2    DISADVANTAGES OF STOCK CONTROL

·       Poor stock control leads to problems associated with overstocking and these effects include:

(i)       It increases costs for businesses as holding stocks are an expense for the firm

(ii)     Increases warehouse space needed

(iii)    Higher insurance costs

(iv)    Higher security costs

(v)     Danger of damage in relation to perishables

(vi)    Danger of running out of stock

(vii)  Potential loss of sales or missed orders which can harm the company’s reputation

 

8.       INVENTORY MANAGEMENT

·       Inventory is the stock of any item or resource kept on hand for use – i.e. the value of materials and goods held by an organisation to support production of raw materials, for support activities like repair and maintenance, or for sale and customer service for merchandise, finished goods and spare parts

·       Not all goods and equipment required to carry out a project are utilised immediately and so some goods are kept in a warehouse or store from where project team members can obtain them for utilisation when required

·       Importance of keeping inventory stock includes:

(i)       To maintain independence of operations

(ii)     To meet variation in product demand

(iii)    To allow flexibility in production scheduling

(iv)    To provide a safeguard for variation in raw material delivery time

(v)     To take advantage of economic purchase time

 

8.1 NEED TO HOLD INVENTORIES

 

TRANSACTION MOTIVE	·       Emphasises the need to maintain inventories to facilitate the smooth running of the firm and/or facilitate the smooth production and sales operation in a factory
PRECAUTIONARY MOTIVE	·       Necessitates holding of inventories to guard against the risk of unpredictable changes in demand and supply forces and other factors
SPECULATIVE MOTIVE	·       Influences the decision to increase or reduce inventory levels to take advantage of price fluctuations: o   A company should maintain adequate stock of materials for continuous supply to the factory for an uninterrupted production o   The procurement of materials may be delayed because of factors such as strikes, transport disruption, etc. and so the firm should maintain a sufficient stock of raw materials at a given time to streamline the production o    The firm may purchase large quantities of raw materials to obtain quantity discounts of bulk purchasing

 

9.       STATIONARY CONTROL

·       Stationary refers to all the office supplies like pens, paper, envelopes, pins, staples, etc. (‘office consumables’)

·       Stationary is essential for the smooth running of the office activities

·       It is important for the manager to control the quantity of stationary in the store to avoid over or under stocking, which may lead to shortages and/or stock outs that interfere with office operations

 

9.1    STATIONARY PURCHASING PROCEDURE

(i)              Purchase budget – this influences the number of items of stationary to be purchased for the year

(ii)            Centralised purchasing – there should be a centralised department for purchasing stationary in order to get quantity discounts for bulk purchases

(iii)           Purchase requisition – this is a written request from user departments asking the purchasing department to buy more stationary (i.e. document authorising the purchase)

(iv)           Inquiry – the purchasing manager makes an inquiry for quotations from several suppliers

(v)            Quotations – these are received from suppliers stating the current prices

(vi)           Selection – the best quotation is selected depending on the price, quality, terms of payment, discount, etc.

(vii)         Purchase order – the official document requesting the supplier to deliver specific goods at a specific price

 

ADVANTAGES OF CENTRALISED PURCHASING	DISADVANTAGES OF CENTRALISED PURCHASING
(i)          Quantity discounts from bulk buying (ii)         More efficient purchasing methods (iii)       Enhanced specialisation as purchasing clerks are employed (iv)       Uniformity of purchasing procures and uniform items obtained (v)         More accountability for purchasing decisions (vi)       Saving in terms of labour – few purchasing clerks required	(i)         Boredom and monotony of work (ii)        High risk of losses in event of disaster (iii)      Lack of flexibility due to uniform procedures (iv)      Delays in obtaining stationary items from centralised department (v)       Inconvenient for user departments as special needs are not met (vi)      Lack of contact with senior executives (vii)      No opportunity to exploit new talent

 

(vii)      Better supervision of purchasing and store staff (viii)    Avoids duplication of purchasing work (ix)       Better control of stationary (no wastage) (x)         Better training of new staff who can learn from skilled workers

(viii)   Too much movement from one office to another (ix)      High cost of messengers to distribute stationery and documents (x)        Misplacement of records due to large number of records in one office

 

 

9.2    STATIONARY RECEIVING PROCEDURE

(i)              Centralised receiving – i.e. there should be a central place for receiving stationary

(ii)            Responsibility – one receiving clerk should be in charge of receipt of stationary

(iii)           Inspection – incoming stationery should be inspected for quantity, quality and position

(iv)           Delivery note – the supplier delivers goods using a delivery note which is signed in acceptance of the goods

(v)            Returns – items which are defective or in excess should be returned to the supplier accompanied by a goods returned note

(vi)           Goods received note – all goods received are recorded using a goods received note

(vii)         Invoice – the supplier sends an invoice requesting for payment

 

9.3    STORAGE OF STATIONARY

·       Centralisation – central store for the effective control and protection of stationary

·       Responsibility – one storekeeper should be in charge of the stationary store

·       Accurate record – all stationary items should be recorded in the bin card

·       Safety – stationary should be protected against fire, floods and other hazards

·       Proper management – items should be arranged in the store according to the way they are issued (frequently used items placed near the entrance)

·       Heavy items – should be place on pullets on the floor for ease of movement

·       Correct labelling – all bins and shelves should be labelled for easy identification of stationary

·       Cleanliness and sanitation – in the store

·       Correct layout – including wide gangways, natural light and ventilation and other layout features

·       Isolation of hazardous items – flammable items should be kept in a separate, well ventilated store

·       Economical space utilisation – space should be used in the most economical way

·       Security – store should be kept locked when not in use and no unauthorised person should be allowed entry

 

9.4    ISSUE OF STATIONARY

·       Centralisation – one central place for making stationary issues to other departments

·       Responsibility – one person in charge of issuing stationary

·       Timing – there should be a specific time for stationary issuance (e.g. a storekeeper time)

·       Recording – all stationary issuance should be recorded in the bin card

·       First in, first out method – to avoid deterioration of stationary

·       Recycling – user departments should be encouraged to recycle stationary

·       Unit of issue – standard units of issue should be used, e.g. boxes, dozens, etc.

·       Store requisitions should be used – i.e. a demand note from the user department requesting for stationary from the store

·       Signing – should be a signature of the receipt for any issuance

·       Tight monitoring – to avoid misuse of stationary

 

9.5    GUIDELINES TO REDUCE COST OF PURCHASING STATIONARY

(i)             Minimum stock – stationary should be maintained at a minimum so that capital is not tied up unnecessarily

(ii)            Efficient storage – storage of stationary should ensure that it does not get spoilt or damages due to poor storage

(iii)            Issuing system – the system of issuing stationary should be designed in such a way that it saves time, energy and materials

(iv)            Efficient purchasing – timely purchasing should ne encouraged so ensure that the office is able to take advantage of any discounts

(v)            Devising proper forms – to avoid any wastage in usage of stationary

(vi)            Centralised buying

(vii)            Budgeting

(viii)            Competitive tendering

(ix)            Use of requisition

(x)             Proper record keeping

(xi)            Tight monitoring

CHAPTER 8: SAFETY AND SECURITY

 

1.       INTRODUCTION

·       Safety and security in the workplace are issues of utmost importance

·       Such issues have been addressed by both international and national laws in order to ensure that everyone’s rights in the course of employment have not been infringed upon and to lay down the rules and procedure to ensure safety and security in the working environment

o   International law: the ICCPR, ICESCR, UDHR, UN Charter and UN Guidelines have come up with rules and laid out procedures which have been aimed at ensuring that the rights of individuals have not been infringed upon, either due to safety or security concerns

o   National law: The Constitution, Occupational Health and Safety Act, the Work Injury Benefits Act and the Employment Act all have thorough provisions which are aimed at ensuring the rights of citizens are well protected in the working environment

 

2.       SAFETY

·       Safety is defined as ‘the condition of being protected from danger or risk or anything likely to cause danger, risk or injury’

·       In other words, safety is something designed to prevent injury or damage

·       It is the control of recognised hazards to achieve an acceptable level of risk, which is done by either being protected from the event likely to cause the risk or from exposure to something that causes loss

·       It is the duty of the manager/employ to ensure that safety standards in the modern working environment have been improved

·       Safety at the workplace is fundamental as accidents occurring at the work place incur enormous costs – not only in human suffering but also in terms of productivity

·       Organisations should ensure they have safety programs which entail:

(i)            Extensive investigation of accident occurrences

(ii)            Constant review of accident prevention measures

(iii)            Conducting careful selection of employees to eliminate unsuitable persons

(iv)            Provision of protective clothing to the employees

(v)            Installation of safety devices

(vi)            Provision of first aid equipment and proper medical services

(vii)            Conducting safety trainings for the employees, e.g. fire drill procedures

 

2.1    SAFETY HAZARDS

·       A hazard is something that poses as a risk of harm or danger in a specified environment

·       Every office has its fair share of hazards depending on the activities being carried out therein, including:

(i)            Using defective equipment;

(ii)            Handling equipment, machines and tools recklessly;

(iii)            Operating machinery without wearing protective clothing;

(iv)            Overloading and failing to balance materials being lifted;

(v)            Unsanitary health conditions in the workplace; and

(vi)            Inadequately guarded workplaces

 

2.2    TYPES OF SAFETY HAZARDS

 

TYPICAL CAUSES OF ACCIDENTS	(i)         Defective machines (ii)        Unguarded moving parts of a machine (iii)      Exposed electrical wires
PHYSIOLOGICAL CAUSES	(i)         Fatigue (ii)        Disabilities (iii)      Poor health (iv)      Lack of fitness
PSYCHOLOGICAL CAUSES	(i)     Stress

 

	(ii)        Emotional instability (iii)      Stimulants, e.g. drug abuse (iv)      Carelessness (v)        Mental disability
REPRODUCTIVE CAUSES	(i)         Biological agents (ii)        Chemical substances (iii)      Allergenic agents

 

2.3    METHODS TO DETECT SAFETY HAZARDS

 

The Job Hazard Analysis [Job Safety Analysis Technique]

·       This technique focuses on job tasks as a way to identify hazards before they occur ·       It focuses on the relationship between the worker, the task, the tools and the work environment ·       Once the uncontrolled hazards are identified, steps to eliminate them or reduce them to an acceptable level are taken ·       By enhancing work place operations, establishing the proper job procedures and ensuring that all employees are properly trained, an organisation is able to reduce workplace injury and enhance safety

The       Technique             of Operations Review

·       This technique works as an investigatory technique for the identification of root causes associated with incidents and accidents ·       It focuses on system failures and seeks to identify management failures as opposed to blaming the employees involved

 

2.4    THE OCCUPATIONAL HEALTH AND SAFETY ACT

·       The OHSA is to apply to all work places where any person is at work, whether temporarily or permanently, and aims to protect persons at work against risks to safety and health arising out of, or in connection with, the activities of persons at work

·       The act is divided into two primary sections: general duties and general provisions concerning health

 

2.4.1         GENERAL DUTIES

·       This deals with the duties and obligations of employers

·       It provides that the occupier shall ensure the safety and health of all persons working in his workplace, and without prejudice, some of his duties shall include:

(i)            Provision and maintenance of systems and procedures at work that are safe and do not cause risk to health;

(ii)            Arrangements for ensuring safety and absence of risk to health in connection with the use, handling, storage and transport of articles and substances;

(iii)            Provision of such information, training and supervision as is necessary to ensure the safety and health at work of everyone employed;

(iv)            Maintain the workplace in a condition that is safe and without risks to health, and provide/maintain necessary means of access and egress that are safe and without risks to health;

(v)            Provide a safe working environment for all persons and adequate facilities/arrangements for the employees’

welfare at work;

(vi)            Inform all employees of risks imminent in new technology and the dangers involved therein;

(vii)            Ensure every employee participates in the application and review of safety and health measures;

(viii)            Carry out appropriate risk assessments in relation to the safety and health of employees and rely on the results thereof to come up with preventative and protective measures to ensure safety and risk-free conditions;

(ix)            Take immediate steps to stop imminent danger to safety and health and evaluate all persons as appropriate;

(x)            Register the workplace under the OHSA; and

(xi)            Report any accidents to the director as soon as practical, and in any event not later than 7 days after having received notice of the accident

·       The employer must also prepare a Health and Safety Policy Statement and bring the policy statement and any revision of it to the attention of the employees

·       In addition, the OHSA also provides for the duties of employees in ensuring their safety and health in the workplace:

(i)            Ensure their safety and health in the workplace and also of all other persons that may be affected by their acts or omissions;

(ii)            Co-operate with their employer or any other person in the discharge of any duty or requirement imposed on the employer or that other person by this Act;

(iii)            At all times wear or sue protective equipment provided by the employer for the purpose of preventing risk to their safety and health;

(iv)            Comply with safety and health procedures, requirements and instructions given by a person having authority over them for their own safety;

(v)            Report to the supervisor all situations where they have reason to believe the action will cause risk to their safety and health and that of others;

(vi)            Report to their supervisors any accidents or injury that arises in the course of or in connection with their work; &

(vii)            Co-operate with the employer to able any duties to be performed

 

2.4.2         GENERAL HEALTH PROVISIONS

 

Cleanliness	·       Every workplace shall be kept in a clean state and free from effluvia arising from any drain, sanitary convenience or nuisance
Overcrowding	·       The occupier shall ensure that his workplace shall not, while work is carried on, be so overcrowded as to cause risk of injury to the health of persons employed ·       The workplace shall be of sufficient size for work to be carried out with ease and shall have an adequate amount of space, having regard to an adequate amount of air for each employee
Ventilation	·       The employer shall ensure effective and suitable revision is made for securing and maintaining the adequate ventilation of each room
Lighting	·       An occupier shall ensure that effective provision is made for securing and maintaining sufficient and suitable lighting, whether natural or artificial, in every part of his workplace in which persons are working or passing ·       All windows and skylights shall be kept clean on both the inner and outer surface
Drainage of floors	·       Where any process is carried on which renders the floor liable to be wet to such an extent that the wet is capable of being removed by drainage, effective means shall be provided and maintained for draining off the wet floor
Sanitary conveniences	·       Sufficient and suitable sanitary conveniences for the persons employed in the workplace shall be provided, maintained and kept clean ·       Where persons of both sexes are intended to be employed, such conveniences shall afford proper separate accommodation for the persons of each sex
Safe      use      of      plants, machinery and equipment	·       All plant, machinery and equipment – whether fixes or mobile, for use either at the workplace or as a workplace – shall only be used for work for which they are designed for and operated by a competent person
Fencing of prime movers to enhance safety	·       It also provides for the fencing of transmission machinery and other dangerous parts of any machinery
Handheld     and                    portable machinery	·       All employers shall be responsible for the safe condition of tools and equipment used by employees, including tools and equipment which may be furnished by the employees

 

·       In order to ensure that only those trained to handle different kinds of work do so (to minimise injury), the Act has made provisions for employers to issue a permit to work to any employee likely to be exposed to hazardous work processes or hazardous working environment

·       The Act also provides for supervision of apprentices to ensure that no one is employed to work in an area that he or she does not have knowledge of

·       No person shall be employed at a machine or in any process that is liable to cause ill health or bodily injury unless he or she has been fully instructed as to the dangers likely to arise in connection therewith and the precautions to be observed

à such individuals must receive sufficient training on the machines or in the process, which training is to be repeated periodically and adapted to take into account new risks

·       Such trainings shall not be at the expense of the employee and shall take place during working hours

·       The Act further provides for the need and use of protective clothing and appliances for the purpose of protection of the eyes, the skin and the body in general from any injury that may arise in the workplace

 

3.       SECURITY

·       Security refers to all measures taken to prevent access to a place, material, person or information by unauthorised persons

·       The main reason for this is that if such information, material or person is accessed then it will have a negative impact on the organisation

·       Security measures may include:

(i)            Locking sensitive or personal data in filing cabinets;

(ii)            Establishing data software’s security password which should be modified any time there is a breach;

(iii)            Setting up cameras/CCTVs to ensure surveillance over the said premises; and

(iv)            Daily search of those getting in and out of the premises

 

3.1    TYPES OF SECURITY ISSUES

 

Workplace violence	·       Office workers everywhere experience acts of workplace violence ·       This comes in the form of: physical and verbal assaults; threats; coercion; intimidation among employees, etc. – this may cause security risks in an organisation
Insufficiency in security	·       This can arise in a number of ways: (i)             Cyber criminals – i.e. interference with data stored in the computers at the workplace (ii)            Poor surveillance systems – can arise as a result of not being able to inspect people coming in and out of the organisation & their baggage (iii)            Poor manning of entrances and exists at the workplace
Poor             delegation           of duties	·       Where there is no clear delegation and delineation of duties, every employee has access to every place in the workplace and this may lead to security issues such as: (i)             Having too many workers with access to the cash box and safe (ii)            Lack of control over the keys to the stores
Human error	·       This arises through the various mistakes that employees make while at the workplace, e.g.: (i)             Misplacing information (ii)            Opening spammed emails (iii)            Failure to properly process information (iv)            Improper disposal of documents (v)            Sending emails to someone other than the intended persons
Disgruntled employees	·       They can be a security threat in instances where they harbour negative emotions towards the workplace caused by poor treatment or lack of satisfaction ·       Some threats posed by such employees include: leaking confidential information, property theft, property destruction, etc.
Accessibility	·       Where there is no control of the movement in and out of the premises and where there is no record of the employees and tags to identify them, this creates a loophole for insecurity
Social media	·       This can be a major source of insecurity where: (i)             Employees can exchange information via Facebook and Twitter (ii)            Employees can use this as a platform to link with outsiders to sabotage the organisation

 

3.2    WAYS TO ENSURE OFFICE SAFETY

(i)             Even distribution of responsibilities in the workplace

(ii)            Training, instruction and techniques

(iii)            Hazard assessment and correction/control

(iv)            Security surveillance systems

(v)            Ensuring awareness of security issues

(vi)            Controlling accessibility of the workplace

4.       BUSINESS INSURANCE

·       This is a contract in writing whereby he insurer, in return for a fee, agrees to protect or indemnify the insured against unforeseeable contingencies

·       It is the responsibility of the office manager to ensure that all the company assets and personnel are insured

·       The importance of insurance includes:

(i)            Protection of property

(ii)            Spreading of risks

(iii)            Capital formation

(iv)            Continuity of business

(v)            Protection of employees

(vi)            Protection against fraud

(vii)            Improved credit status

(viii)            Better utilisation of funds

(ix)            Division of labour

(x)            Gives confidence to entrepreneurs to start a business

 

4.1 TYPES OF INSURANCE

·       Burglary insurance – insurance for loss/damage through breaking in, entering and stealing property

·       Fire insurance – insurance against loss suffered during a fire accident, e.g. an electrical fault (fire accidents due to riots and Acts of God are not covered)

·       Workmen’s compensation insurance – insurance to protect employees against accidents for occupational hazards or illnesses that occur during the course of employment

·       Fidelity insurance – insurance against fraud, theft or damage to property by an employee

·       Professional indemnity cover – professionals protect themselves against liability that may occur as a result of professional negligence

·       Business interruption insurance - e.g. due to power failure, machine breakdown, strikes, etc.

CHAPTER 9: DISASTER MANAGEMENT

 

1.       INTRODUCTION

·       Disasters can be defined as natural or human disruption of the function of a community or society which causes intensive negative impacts on people, goods, and services and/or the environment, exceeding the affected community’s capability to respond

·       It is impossible to foresee or anticipate all disasters as they often come without any warning – the very essence of a disaster is that they are spontaneous

·       For effective disaster management, organisations must first identify possible disasters that may occur at the work place and then craft a well-developed disaster-management plan

·       The lack of a disaster plan may expose an employer to administrative penalties and claims of negligence in the event of a disaster in which employees are injured or killed

 

2.

CLASSIFICATION OF DISASTERS

 

3.       EXAMPLES OF POSSIBLE DISASTERS AT THE WORKPLACE

(i)             Fire

(ii)            Explosion and electrical faults

(iii)             Robberies

(iv)             Work-related injuries Disaster management is the discipline of

(v)            Earthquakes and floods dealing with and avoiding these risks.

(vi)             Destructive storms and hurricanes It refers to the actions taken by an organisation

(vii)            Toxic gas or chemical spills in respect to unexpected events that adversely

(viii)            Radiation affect people or resources and threaten the

(ix)            Explosions continued operation of the organisation.

(x)             Civil disturbances

(xi)            Violence resulting in bodily harm and trauma, etc.

 

4.       DISASTER MANAGEMENT PLAN

·       Despite some disasters being inevitable, it is mandatory to plan for response strategies

·       Organisations should also realise that disaster management plans should not be considered in isolation

·       In other words, adequate safety measures should be enacted and observed by every employee in an organisation to reduce the occurrence of disasters

·       Generally, the following 5 phases are involved in an emergency situation:

 

 

 

 

 

 

 

 

DISCOVERY               & NOTIFICATION	·       An event with an imminent threat of turning into an accident must first be discovered and the discoverer must quickly notify the same to the safety officer
CONTAINMENT        & COUNTER MEASURES	·       Action is first taken to contain and control the accident by eliminating the causes which may lead to the spread of the accident ·       Measures are then taken to minimise the damage to personnel, property and the environment
CLEANUP                            AND DISPOSAL	·       After the accident is effectively contained and controlled, the clean-up of the site of the accident and safe disposal of waste generated due to the accident are undertaken
DOCUMENTATION	·       All aspects of the accident, including the way it started, how it progressed, steps taken to contain it, the extent of the damage and injury, etc. must be documented for subsequent analysis, future prevention, damage estimation, insurance recovery and compensation payment

 

4.1      HOW TO EFFECTIVELY DEAL WITH A DISASTER

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

5.       DISASTER MANAGEMENT CYCLE

·       The Disaster Management Cycle contains four phases:

(i)            Prevention/Mitigation

(ii)            Preparedness

(iii)            Response

(iv)            Recovery

 

 

5.2    MITIGATION

·       Mitigation efforts are attempts to prevent hazards from developing into disasters altogether, or to reduce the effects of disasters – it focuses on the long-term measures for reducing or eliminating risk

·       Mitigation measures can be structural or non-structural:

o   Structural measures use technological solutions, e.g. flood levees

o   No-structural measures include legislation, land-use planning, and insurance

·       Mitigation is the most cost-efficient method for reducing the effect of hazards, although not always the most suitable

·       It also includes providing regulations regarding evacuation, sanctions against those who refuse to obey the regulations and communication of risks to the public

 

5.3    PREPAREDNESS

·       This is a continuous cycle of planning, organising, training, equipping, exercising, evaluation and improvement activities to ensure effective coordination and the enhancement of capabilities to prevent, protect against, respond to, recover from and mitigate the effects of natural disasters, acts of terrorism and other man-made disasters

·       In this phase, emergency managers develop plans of action to manage and counter their risks

·       Common measures include:

o   Communication plans with easily understandable terminology and methods;

o   Proper maintenance and training of emergency services;

o   Development and exercise of emergency population warning methods, combined with emergency shelters and evacuation plans; and

o   Develop organisations of trained volunteers among civilian populations

 

5.4    RESPONSE

·       The response phase includes the mobilisation of the necessary emergency services and first respondents in the disaster area, e.g. fire fighters, police and ambulance crew

·       A well-rehearsed emergency plan enables efficient coordination of rescue

·       There is need for both discipline and agility in responding to a disaster – i.e. structure, process, creativity, improvisation, adaptability, etc.

·       The team should be able to move out of the disaster situation in a coordinated and disciplined manner and be able to adapt to new information and changing circumstances along the way

5.5    RECOVERY

·       The aim of recovery is to restore the affected area to its previous state

·       It differs from the response phase in that its focus is on decisions that must be made after immediate needs are addressed

·       Recovery efforts are primarily concerned with actions involving re-building destroyed property, re-employment, repair of other essential infrastructure, etc.

·       Efforts should be made to ‘build back better’ – i.e. reduce the pre-disaster risks inherent in the community and infrastructure

·       The organisation should have in place general support services as well as specific services. If a disaster occurs and employees are affected, the organisation should take steps to help employees with recovery. The following are the possible steps:

(i)            Continue paying wages;

(ii)            Continue paying benefits;

(iii)            Provide the basics, e.g. food, water, housing;

(iv)            Relax internal administration requirements for medical coverage and leaves of absence;

(v)            Offer flexible working arrangements;

(vi)            Provide resources and emotional support through an Employee Assistance Program (EAP)

 

6.       STEPS TO MANAGE DISASTERS OCCURING AT THE WORKPLACE

(i)          Identify potential risks

(ii)        Analyse the impact of these risks

(iii)       Develop an action plan

(iv)       Evaluate, monitor and update the action plan

(v)        Establish evacuation routes, meeting places and shelter areas

(vi)       Provide distinct alarm sounds

(vii)     Conduct regular drills with employees

(viii)    Establish a Crisis Response Team

(ix)       Train workers on how to coordinate with the CRT and other emergency services

(x)        Provide First Aid Kids, fire extinguishers, medical assistance, etc.

 

7.       GOALS OF DISASTER MANAGEMENT

(i)       To keep the business running uninterrupted after a disaster

(ii)     To protect assets and information against possible disasters

(iii)    To develop a plan which will reduce risks and uncertainties

 

8.       DISASTER PREVENTION MECHANISMS

(i)       Installing an Uninterrupted Power System to avoid data loss due to power failure

(ii)     Having a back-up of all important records in the office

(iii)    Developing a data back-up centre in a different location from the office (for security in the event of a disaster)

(iv)    Use of fire proof cabinets to protect documents

(v)     Having in place a comprehensive business insurance policy that covers fire, accidents, theft, etc.

(vi)    Regular training of employees on disaster awareness and management

(vii)  Having security guards and alarms for extra security management

(viii) Secret passwords for computers to protect information from illegal access

(ix)    Good office layout and planning, e.g. natural lighting, ventilation and fire-proof materials

CHAPTER 10: COMMUNICATION

 

1.       INTRODUCTION

·       Communication is the giving, receiving or exchange of information, opinions or ideas by writing, speech or visual means – or any combination of the three – so that material communicated is completely understood by everyone concerned

·       The process of communication is what allows us to interact with other people – it is therefore the meaningful exchange of conveying of information through written, oral, visual or non-verbal means

 

2.       THE ACT OF COMMUNICATION

·       Transmission of a message is not communication

·       Communication is only complete when the message has reached the receiver and a response is received

 

3.       IMPORTANCE OF COMMUNICATION SKILLS FOR LEGAL PRACTITIONERS

(i)             Communication skills are cross-disciplinary and essential to all lawyers

(ii)            Lawyers are problem solvers and clients come to lawyers with a specific legal problem, expecting a solution which may involve lengthy legal analysis and a long-term plan of action;

(iii)            Lawyers are expected in all circumstances to communicate a clear, understandable and legally sustainable answer to the

client’s specific problem;

(iv)            A lawyer cannot be a useful problem solver if he or she cannot effectively communicate ideas and solutions in writing and/or orally

 

4.       COMMUNICATING WITH STAFF

·       Committed and helpful staff creates a good image

·       If you communicate well with your staff, it increases their turnover and boosts their morale

·       Committed and helpful staff creates a god image

·       Staff communication should be nurtured through effective communication involving genuine dialogue

·       Employees need to know what is going on in their organisation and should be kept informed at an early stage of developments that will affect them

·       Poor communication in the workplace can lead to a lot of misunderstanding and delays which can prove to be a barrier in the overall growth and achievement of the organisation

·       To create genuine dialogue with staff:

(i)            Recognise the benefits of sharing information and create a genuine, open, two-way communication channel between staff and management;

(ii)            Present information in a way that is easy to understand; and

(iii)            Avoid using euphemism in an attempt to dilute bad news

5.       CONSIDERATIONS FOR A PROPER COMMUNICATION AUDIT

(i)             What are the information blockages?

(ii)            What are the different categories of employees?

(iii)             What does each group need to know?

(iv)             Are you telling staff too much or too little?

(v)            What is the preferred manner of communication?

(vi)             Do the staff understand and believe in the corporate messages?

(vii)            Demonstrate to staff that their views are important

(viii)            Set out a questionnaire, phrasing questions so that you can identify where the problems are

(ix)            Act on the findings of your questionnaire

(x)             Draw up an action plan and share it with staff (then implement it)

 

6.       CHOOSING A COMMUNICATION MEDIUM

·       The relationship between what is intended by a message and how that message is to be conveyed is one which is very close and very important

·       The communication medium must be selected with great care and only after considering all the factors involved

 

RELIABILITY	·       Reliability of the communication medium is of fundamental importance ·       Unless you know that the message will be received, it is pointless sending it
THE RECEIVER	·       The ‘receiver’ is the term used to refer to anyone who is given a message or communicated with ·       When deciding how best to communicate with the receiver, consider things such as: would they be happy to receive a letter or a phone call? Would a series of personal meetings be better or one main group discussion?
RELATIONSHIP WITH                       THE RECEIVER	·       In most business activities, we tend to work with people in a variety of relationships – some are subordinate to us, others are our colleagues and some are in senior levels of authority ·       The exact relationship you have with each member of the organisation will influence the kind of communication you use
FORMALITY	·       Some kinds of communication are very formal – they may overlook the personal touch which is so often needed to encourage people and make them feel that they are a necessary member of the organisation ·       However, some communication must be formal, e.g. promotion matters, disciplinary procedures, advertisement for new staff, etc.
SUITABILITY                         TO PURPOSES	·       Determine: what you want you communicate to achieve and what kind of contact will encourage people to do what you want them to do ·       E.g. will a formal letter be more persuasive than a personal visit in persuading someone not to resign in protest to a particular decision?
CONFIDENTIALITY	·       Some messages are confidential and should be read or heard only by the intended recipient ·       E.g. information about someone’s pay will usually be confidential, but the date and time of a meeting may not be ·       If something is confidential, it should be communicated in a letter or some other document which is seen only by those authorised to do so

 

7.      

THE 7 C’S OF EFFECTIVE COMMUNICATION

8.       ORAL COMMUNICATION

·       Oral communication is communication by word of mouth – it may be direct when two or more people meet and talk, or remote when the telephone is used

·       It is called ‘oral communication’ and not ‘verbal communication’ as the latter denotes communication through words and

is thus a description of written as well as spoken communication

 

FORMS OF ORAL COMMUNICATION
UNPLANNED EXCHANGE	·       This is simply a chance meeting at which a few words are exchanged by two or more people about a matter of common interest. However, since the meeting is unplanned, it is possible to leave out important points
PLANNED INFORMAL TALK	·       This has more formality but is still fairly relaxed as no major decision or conclusion is likely to be reached
INTERVIEW	·       An interview is a formal exchange between two people or between one person and a small group of people ·       If carefully prepared for, interviews can be very effective in allowing those involves to exchange ideas and reach a conclusion ·       However, interviews tend to take up a lot of time and they are not recorded properly, making future reference to decisions made difficult
TELEPHONE CALL	·       The advantage of telephone calls is speed and directness – i.e. if you needed an immediate answer, you would use a telephone ·       However, there are also disadvantages: no written record of the call, the receiver may misunderstand what it said, etc.
GROUP MEETING	·       This allows many people to come together to share their skills and to reach a conclusion agreeable to the majority ·       Group meetings need careful planning and direction
COMMITTEE MEETINGS	·       This is a special kind of meeting as the committee meets at prescribed intervals and its meeting follows a clearly defined line ·       The advantage is that there will be a full discussion on a range of items by a range of different people, and the proceedings will be well recorded using minutes ·       However, the wide array of views aired may cause uncertainty and delay in agreement
AGM	·       Board meetings have to have an AGM every year where the Board presents an overview of the company’s financial performance
FULL STAFF OR EMPLOYEE MEETINGS	·       At such meetings, all the workers of an organisation or department are brought together to discuss the organisational performance during the year ·       If properly organised, it can be the best way of getting the views of all those involved

 

8.1            ADVANTAGES AND DISADVANTAGES OF ORAL COMMUNICATION

 

ADVANTAGES OF ORAL COMMUNICATION

DISADVANTAGES OF ORAL COMMUNICATION

(i)         There is no element of rigidity – there is flexibility for allowing changes in decisions previously taken (ii)       Decisions are made quickly without delay (iii)      Group energy (iv)      Promotes and boosts morale among organisational employees

(i)           Relying on oral communication may not be sufficient – business communication is formal and very organised (ii)         It is less authentic than written communication as it is informal and not as well organised (iii)        In case of meetings, long speeches consume a lot of time and they are unproductive (iv)        It is not easy to steadily maintain (v)         There may be misunderstandings as this information is not complete and may lack essentials (vi)        It required attentiveness and great receptivity on part of the audience

8.2            LISTENING

·       Listening is the absorption of the meanings of words and sentences by the brain, and it leads to the understanding of facts and ideas

·       The various stages of listening can be summarised as:

 

 

 

 

 

 

 

 

 

 

 

·       Techniques of active listening involve:

(i)            Paraphrasing – restate what was said in your own words

(ii)            Summarising – identify and sequence the main points of the speaker

(iii)            Question – challenge the speaker to think further, clarify your understanding vis-à-vis theirs, etc.

 

9.       WRITTEN COMMUNICATION

·       Effective writing generally transmits a clear, concise message that is easily understood, well-organised and to the point

·       Most audiences will understand what message you are trying to convey without difficulty of interpretation

 

9.1            GENERAL WRITING GUIDELINES

(i)             Write because you have to (if you can accomplish your purpose with a telephone call instead, then opt for that)

(ii)            Make sure you have a clear, defined purpose for your writing (e.g. to inform or persuade the client)

(iii)             Write so that the average reader understands

(iv)             Write to express your ideas and not to impress the reader

(v)            Write the way you speak

(vi)             Use short, conversational words

(vii)            Do not waste your reader’s time

(viii)            State your main message in the first sentence

(ix)            Use active and not passive voice

(x)             Use standard punctuation, spelling and grammar

(xi)            Maintain a consistent point of view by continuing to use one subject, one tense, one mood, etc.

(xii)             Use personal pronouns

(xiii)            Use proper contractions to avoid wordiness

(xiv)            Do not be repetitious just for the sake of sounding more important

(xv)            Avoid starting sentences with ‘It is’, ‘There is’ and ‘There are’

(xvi)            Avoid the words ‘that’ and ‘which’

(xvii)            Do not use nominals

(xviii)             Rely on active verbs in the present tense, e.g. avoid ‘will’, ‘will be’, and ‘must be’

 

9.2            FORMS OF WRITTEN COMMUNICATION

 

INFORMAL NOTE

·       Informal note is the simplest kind of writing – rather like a letter to a friend ·       These notes are only used for small, simple matters ·       They have the advantage of speed and immediacy but the disadvantage is that no copy is kept by the sender, and since the message is written quickly, errors may be made and some essential parts may be omitted

 

MEMO	·       A memo is a much more formal note sent between members of the same organisation for a wide range of purposes ·       It is typed and a copy is kept by the sender ·       However, it is usually in short form allowing room only for the barest of details (this is not to say that is cannot be longer)
LETTER	·       A letter is effective where a person wants to put across a number of issues clearly and in detail ·       The advantages of letters include: (i)             Both the sender and the receiver will have a copy of the contents of a letter (ii)            A letter gives the receiver time to consider what they say in reply as opposed to a telephone call (iii)            It can be marked ‘confidential’ ·       On the other hand, a letter is disadvantageous because: (i)             There are costs incurred in typing, stationery and stamp making (ii)            Letters normally take a few days to be delivered and so are unsuitable for urgent messages (iii)            Some matters are better handled by discussion
CIRCULAR LETTER	·       This is a letter sent to a large number of people at the same time ·       Their advantage is that they are a simple and inexpensive way to communicate with a large group ·       On the other hand, they can often appear impersonal, thus discouraging the receiver from reading them ·       In addition, such letters only allow information to flow in one direction and so cut out an exchange of views, a meeting, etc.
PRESS RELEASE	·       Press releases are used by companies when they wish to publicise an event ·       It takes the form of a short message – usually not more than a page or two in length, giving details of whatever is being publicised and adding contact information in case someone wants more details ·       The release will be sent to the local or national newspapers for broadcasting
FORMS	·       Forms are normally used when quickly collecting information in a manner that is easy to read and interpret ·       The disadvantage is that many people dislike completing forms or they complete them inaccurately ·       Forms also allow the reader a very limited chance to express their own opinions
NOTICES	·       Notices are simply and effective ways of conveying public messages ·       However, there is no guarantee that they can be seen by the intended people and acted upon
REPORTS	·       Reports take many forms – ranging from a single document recording a department’s weekly output to volumes of documents ·       The disadvantages are with their sheer bulkiness coupled with the time they take to research and compile
ELECTRONIC MEANS	·       The advances in technology have made communication available in a written form conveyed in much quicker form than other means of written communication

 

9.3            ADVANTAGES AND DISADVANTAGES OF WRITTEN COMMUNICATION

 

ADVANTAGES OF WRITTEN COMMUNICATION

DISADVANTAGES OF WRITTEN COMMUNICATION

(i)          Serves as evidence of events and proceedings (ii)         Provides permanency of record for future reference (iii)       Reduces the possibility of misunderstanding and misinterpretation (iv)       Can save time when many persons must be contacted (v)         Reliable for transmitting lengthy statistical data (vi)       Appears formal and authoritative for action (vii)      Helps in laying down principles, policies and rules (viii)    Useful where record maintenance is required (ix)       Assists in proper delegation of responsibilities (x)         It is more precise and explicit (xi)       Develops and enhances an organisation’s image (xii)      Provides ready records and references

(i)          It is more expensive than oral communication – it costs huge amounts in terms of stationery and manpower (ii)         The responses are not spontaneous (iii)        It is time consuming as feedback is not immediate (iv)       It requires great skill and competencies in language and vocabulary use (v)         Too much paper work and emails burden is involved

10.    NON-VERBAL COMMUNICATION

·       This is communication that relates to behaviour of the individual, rather than the written or spoken communication

·       According to experts, a substantial portion of our everyday communication is non-verbal

·       Non-verbal cues involve behaviour such as posture, facial expression, eye gaze, gestures, tone of voice, etc. – these non- verbal cues act as a revelation of who we are and impact on how we relate to other people impliedly

 

10.1        TYPES OF NON-VERBAL COMMUNICATION

(i)             Expression

(ii)            Gestures

(iii)             Paralinguistic

(iv)             Body language and posture

(v)            Proxemic

(vi)             Eye gaze

(vii)            Haptics

(viii)            Appearance

 

10.2        ADVANTAGES AND DISADVANTAGES OF NON-VERBAL COMMUNICATION

 

ADVANTAGES OF NON-VERBAL COMMUNICATION

DISADVANTAGES OF NON-VERBAL COMMUNICATION

(i)              You can communicate with someone who is hard of hearing and/or deaf (ii)            Can communicate at a place where you are supposed to maintain silence (iii)           You can communicate something which you do not want others to hear or listen to (iv)           You can communicate if you are far away from a person (v)            It makes conversation short and brief (vi)           You can save on time and use it as a tool to communicate with people who do not understand your language

(i)         You cannot have long conversations (ii)        Cannot discuss the particulars of your message (iii)      Difficult to understand and requires a lot of repetition (iv)      Cannot be used as a public tool of communication (v)        It is less influential and cannot be used everywhere (vi)      Not everybody prefers to communicate through non- verbal communication (vii)     Cannot create an impression upon people/listeners

CHAPTER 11: DISCRIMINATION AND SEXUAL HARASSMENT

 

1.       INTRODUCTION

·       Discrimination is the unfair conduct towards some employees by employers, senior staff members or peers

·       It creates dissatisfaction among employees which demoralises them and affects their efficiency and performance

·       The term discrimination can be defined as unjust or prejudicial treatment of different categories of people, especially on the grounds of race, age and sex

·       The Constitution of Kenya, 2010, prohibits discrimination – it categorically states that a person shall not discriminate directly or indirectly against another person on any ground

·       In addition, Section 5(3), Employment Act 2007 clearly stipulates that no employer shall harass or discriminate directly or indirectly, against any employee or prospective employee, on grounds of gender, race, colour, sex, language and religion

 

2.       FORMS OF DISCRIMINATION

·       Workplace discrimination occurs when an individual is adversely discriminated against due to various factors

·      

In practice, it is illegal to discriminate in any facet of employment, therefore, workplace discrimination extends beyond hiring and firing

2.1    GENDER/SEX DISCRIMINATION

·       Discrimination based on gender is arguably the most common and is usually directed against women

·       However, this does not mean that men do not pass through a similar predicament – increasingly, vases of men being the victim of sexual discrimination are being reported

·       It is arguable that the reason the cases in women are higher is due to the fact that men rarely report such cases when they are the victims

·       Sex discrimination may be categorised into:

(i)            Direct discrimination

(ii)            Indirect discrimination

(iii)            Victimisation

 

2.1.1         DIRECT DISCRIMINATION

·       This occurs when a person of one sex is treated less favourably than a person of another sex, and the sex of that person is the reason for the unfavourable treatment

·       Batisa v Say: the court held that it was direct discrimination where an employer refused to employ a woman because it

was a ‘man’s job’

 

2.1.2         INDIRECT DISCRIMINATION

·       This occurs where a person applies a condition or requirement to another, but which is such that the proportion of persons from one sex who can comply with that condition or requirement is considerably smaller than that of the other sex, and it cannot be shown that the condition is justified

·       E.g. advertising for ‘Male or Female Clerk, must have a large beard’

 

2.1.3         VICTIMISATION

·       This arises where a person is discriminated against because they have given evidence in relation to a discrimination claim

·       It must be shown that the person was treated less favourably and the reason for the less favourable treatment was the doing of the protected act

·       In some situations, gender discrimination occurs at the recruitment stage where advertisements are set up in such a way as to deny an equal opportunity to both sexes

·       Gender discrimination can also be manifested in the terms of the employment, e.g. where the terms offered to one sex are less favourable than those offered to the other

·       However, it does not amount to discrimination of the employer can prove that the variation in the treatment of the two genders is due to a genuine material difference other than their gender

 

2.2    AGE DISCRIMINATION

·       Age discrimination is a practice specifically protected by law

·       Nonetheless, age discrimination is rampant in many countries, e.g. during recruitment, companies more often than not specify their age preference in the job advertisement, as a result leaving a certain category of people jobless

 

2.3    RACIAL DISCRIMINATION

·       Racial discrimination at work involves treating an employee unfairly based on race, colour or ethnicity

·       Racial discrimination can affect any aspect of employment, including hiring, firing, promotions, benefits, compensation and even the general work environment

 

2.4    DISCRIMINATION BASED ON ABILITY

·       This is where an individual is discriminate against due to their condition

·       An employer can assist an employee with a disability in performing his/her duties more efficiently and effectively by employing some of the examples stated below:

(i)            Trained communicators and translators should be employed to assist the deaf in communication;

(ii)            Employing guides and purchasing braille’s for the visually impaired employees;

(iii)            Light adjustments to assist the poor-sighted employees;

(iv)            Provision of a wheelchair and providing its access to the office;

(v)            Structural changes with regard to widening of doors for the wheelchair, tap adjustments, furniture adjudgments and stairs re-modelling, e.g. by provision of a ramp

(vi)            The transport and other facilities should be adjusted so as to have easy access

(vii)            Special training methods

(viii)            Actively discouraging any form of discrimination

 

3.       ENFORCEMENT OF LABOUR AND CONSTITUTIONAL PROVISIONS ON DISCRIMINATION

·       For any organisation, prevention of discrimination is more important (and sufficiently easier) than dealing with the discrimination cases (should they arise)

·       Prevention of discrimination can be through:

(i)            Ensuring the company policies as well as the HR procedures do not inculcate any discriminatory elements;

(ii)            The organisation should adopt an anti-discrimination policy which should be given to every employee once they are hired as they are signing the employment contract;

(iii)            The organisation should adopt participation in on-site training through delivering courses and customised programmes on anti-discrimination laws;

(iv)            Management should lead by example – they should treat all employees and staff members equally and respectfully, and hire/promote employees regardless of their age, race or gender;

(v)            Management should take all complaints seriously any time an issue of workplace discrimination arises

 

4.       SEXUAL HARASSMENT

·       This refers to any actions directed to another party, thus creating a hostile work environment for employees

·       It can be defined as ‘unwelcome sexual advances, requests for sexual favours, and other verbal or physical conduct of a sexual nature that tends to create a hostile or offensive work environment’

 

Section 23, Sexual Offences Act 2006

Sexual harassment is “any person who, being in a position of authority, or holding a public office, who persistently makes any sexual advances or requests which he or she knows, or has reasonable grounds to know, are unwelcome, is guilty of the offence of sexual harassment and shall be liable to imprisonment for a term of not less than three years or to a fine of not less than one hundred thousand shillings or to both”

 

Section                          7, Employment Act 2007	An employee is sexually harassed if the employer of that employee or a representative of that employer or co-worker directly or indirectly requests the employee for sexual intercourse, sexual contact or any other form of sexual activity that contains an implied or express form of sexual harassment
Recommendation 19, CEDAW	This provides that sexual harassment includes such unwelcome sexually determines behaviour as physical contact and advances, sexually coloured remarks, showing pornography and sexual demand, etc.

 

4.1    FORMS OF SEXUAL HARASSMENT

·       Section 6(1), Employment Act provides that the following constitute sexual harassment if the employer of the concerned employee, or a representative of the employer, or a co-worker:

(i)            Directly or indirectly requests that employee for sexual intercourse, sexual contact or any other form of sexual activity that contains an implied or express:

§  Promise of preferential treatment in employment;

§  Threat of detrimental treatment in employment; or

§  Threat about the present or future employment status of the employee

(ii)            Uses language, whether written or spoken, of a sexual nature;

(iii)            Uses visual material of a sexual nature; or

(iv)            Shows physical behaviour of a sexual nature which directly or indirectly subjects the employee to behaviour that is unwelcome or offensive to that employee, and that by its nature has a detrimental effect on that employee’s employment, job performance or job satisfaction

 

4.2    CAUSES OF SEXUAL HARASSMENT

(i)               Lack of awareness by employees of their legal rights

(ii)               Lack of a code of ethics, especially regarding dressing

(iii)               Poor relationship in the office, especially between junior and senior staff

(iv)               Poor leadership and weak management in the organisation

(v)               Poor channels of communication for employees to express their grievances

(vi)               Social evils, e.g. alcohol and drug abuse

(vii)              Negative social and cultural factors

(viii)               Lack of a policy on sexual harassment, e.g. investigations and punishment

(ix)               Poor supervision in the office

(x)               Absence of penalties to the offenders

(xi)               Indecent dressing in the office

 

4.3    ENFORCEMENT OF LABOUR PROVISIONS ON SEXUAL HARASSMENT

·       Section 6(2), Employment Act 2007 provides that an employer who employs 21 or more employees shall, after consulting with the employees or their representatives if any, issue a Policy Statement on sexual harassment

·       The Policy Statement shall be formulated according to the said provision and shall contain certain mandatory provisions, such as:

(i)            The definition of sexual harassment as specified in the Act

(ii)            A statement to the effect that –

§  Every employee is entitled to employment that is free of sexual harassment;

§  The employer shall take steps to ensure that no employee is subjected to sexual harassment;

§  The employer shall take such disciplinary measures as the employer deems appropriate against any

person under the employer’s direction, who subjects any employee to sexual harassment

§  Explains how complaints of sexual harassment will be dealt with

 

4.4    PREVENTION OF SEXUAL HARASSMENT

(i)             Staff members must respect colleagues and maintain the highest standards of respect in the workplace

(ii)            Staff members must maintain a harmonious relationship with colleagues, by behaving in a manner free of hostility, intimidation or any form of harassment, including sexual harassment

(iii)             Staff members must familiarise themselves with the UNHCR Policy on Sexual Harassment

(iv)            Staff members must act as role models and uphold the highest standards of behaviour to promote a harassment-free work environment

(v)            Staff members must communicate UNHCR’s Policy Statement on sexual harassment to all other staff members and provide

guidance on the manner in which to prevent and deal with incidents on sexual harassment

(vi)            Staff members must ensure that cases of sexual harassment are promptly and adequately addressed – supervisors should ensure impartiality at all times

 

4.5    DISCIPLINARY PROCESS FOR SEXUAL HARASSMENT COMPLAINTS

·       Staff members may solve complaints of sexual harassment by either formal or informal steps

·       The formal process allows parties to solve the complaint in an open, honest, non-threatening manner. This may involve:

(i)            Approaching the alleged offender and asking him to cease the offensive behaviour;

(ii)            Involving a neutral third party in the discussions, which third party has to be aware of the UNHCR Policy Statement on sexual harassment; and

(iii)            Involving a mediator

·       Under the formal process, the victim files a complaint with the Inspector General’s Office and investigations are thereafter

conducted

·       The offender may face disciplinary action and criminal proceedings may be instituted against him/her under the Sexual Offences Act

CHAPTER 12: HUMAN RESOURCE MANAGEMENT

 

1.         NATURE, SCOPE AND STRATEGIES

·       There are 4 types of resources in a firm, namely:

(i)            Humans;

(ii)            Finance;                                            Of these four, humans cause the other resources to achieve the objectives of

(iii)            Machines; and                                  the firm – underscoring the fact that human resources are the most important

(iv)            Materials

·       However, the achievement of a firm’s objectives can only be guaranteed if the humans are carefully selected and treated

to meet the following criteria:

(i)            Optimal number of staff in the firm;

(ii)            Have relevant competencies (i.e. skills, knowledge and attitudes);                                                                                               The functions of HMR arm of

(iii)            Organisation structured with staff correctly deployed;                                                                                                   a firm is to ensure that these

(iv)            Motivation correctly addressed;                                                                                          criteria are met – i.e. ensuring

(v)            Compensation adequately addressed;                                                                                                the firm has the right quantity

(vi)            Staff capacity continuously improved; and                                                                                               and quality of employees

(vii)            Performance correctly managed

 

2.       INTRODUCTION TO HUMAN RESOURCE MANAGEMENT

·       Armstrong, 2001: Human Resource Management (HRM) is the strategic and coherent approach to the management of an organisation’s most valued assets – the people working there who individually and collectively contribute to the achievement of the objectives of the business

·       HRM is the organisational function that deals with issues related to people, e.g. compensation, hiring, performance management, organisation development, safety, wellness, benefits, employee motivation, communication, administration and training

 

 

 

MANAGERIAL FUNCTIONS

[Functions required of

any Manager]

OPERATIVE FUNCTIONS

[Department-specific functions which ensure the firm has the right people for the right jobs]

 

 



FUNCTIONS OF HUMAN RESOURCE MANAGEMENT

 

 

 

 

 

MANAGERIAL FUNCTIONS
PLANNING	This is the process of determining the firm’s goals and formulating policies and strategies of achieving them
ORGANISING	This is the process of drawing up an organisation’s chart and allocating specific roles to specific positions
DIRECTING	This is  the process of activating group or individual efforts to achieve the desired goals, e.g. getting subordinates to get the job done, maintaining morale, etc.
CONTROLLING	This is the process of setting performance standards and monitoring the same to ensure these standards are met, as well as taking corrective action in case the standards are not met
LEADING	This is the art of making people undertake tasks or functions as provided by the leader, for the achievement of the communicated vision

 

OPERATIVE FUNCTIONS
PROCUREMENT	This is a function normally called recruitment/selection and includes manpower planning job analysis recruitment, selection, induction and placement
DEVELOPMENT	This includes all strategies put in place to ensure that the knowledge and skills of the staff are continuously aligned to the changing needs of the firm
COMPENSATION	This involves determination of salary and wage levels to ensure equity and competitiveness of the firm in the job market
MAINTENANCE	This function is concerned with protecting and promoting employees while at work by availing benefits, e.g. medical insurance, housing, education, transport, social securities, etc.

 

3.       STRATEGIC HUMAN RESOURCE MANAGEMENT [SHRM]

·       Strategic Management entails formulating, implementing and evaluating cross-functional decisions that will enable an organisation to achieve its objectives

o   It is the process of specifying the organisation’s objectives, developing policies and plans to achieve those

objectives and allocating resources to implement the policies to achieve the organisation’s objectives

o   It combines the activities of the various functional areas of a firm to achieve its objectives

o   It is the highest level of managerial activity, usually formulated by the Board of Directors and performed by the

organisation’s CEO and executive team

o   It provides overall direction to the enterprise and is closely related to the field of organisation studies

·       The strategic process has two phases:

 

 

 

 

 

STRATEGY FORMULATION

This involves decisions about the vision and mission of the firm, establishing long anf short term objectives and selecting the strategies and activities to be implemented to achieve these objectives

STRATEGY IMPLEMENTATION

This involves alignment of the firms resources, structures, systems, processes wih the strategies. it involves providing leadership pertinent to the strategy and monitoring the effectiveness of the strategy in achieving the organisational objectives

 

 

 

 

 

3.1 DESCRIPTION OF SHRM

·       Strategic Human resource Management is a branch of HRM – it is a fairly new field which has emerged out of the discipline of HRM

·       It is the initiation and implementation of human resource policies and plans aimed at aligning the human resource function with the overall business strategy

·       It can be defined as the linking of human resources with strategic goals and objectives in order to improve business performance and develop organisational culture, as well as foster innovation, flexibility and a competitive advantage

·       It essentially involves incorporating the organisation’s HR function as a strategic partner in the formulation and implementation of the company’s strategies, e.g. through recruitment, training and rewarding personnel

·       SHRM focuses on long-term HR programs, i.e. addressing and solving problems that will affect the organisation in the long run and often globally

·       The primary goal of SHRM is to increase employee productivity by focusing on business obstacles that occur outside of HR

4.       HUMAN RESOURCE PLANNING

·       Human resource Planning (HRP) is the comparison of an organisation’s existing human resources with forecast demands, then putting in place activities that will ensure adequate quantity and quality of human resources deployed in the right jobs at the right time

 

4.1    ACTIVITIES COMPRISING THE HRP PROCESS

 

FORECASTING	·       This entails forecasting future personnel requirements, including: (i)             Mathematical projections; (ii)             Trends in the economy and developments in the industry; and/or (iii)             Estimates based on future plans of the company
INVENTORYING	·       This entails reflecting on the present human resource skills, experience and potential ·       It involves deciphering what the optimal use of these skills, experience and potential is
ANTICIPATING	·       This entails anticipating HR problems by projecting present resources into the future and comparing them with the forecast of requirements ·       This determines the adequacy, both quantitatively and qualitatively, of the present HR sources ·       It is important to bear in mind staff movement, i.e. retirement, resignations, leave, peak of learning curve, etc.
PLANNING	·       This entails planning for recruitment, selection, training, transfers, promotions, motivation and compensation so that future human resource requirements will be duly met

 

4.2    MANPOWER PLANNING VIS-À-VIS HUMAN RESOURCE PLANNING

·       Manpower Planning is concerned with the power of people to make positive contributions

·       On the other hand, Human Resource Planning is interested in the people, not merely the people’s power – i.e. it is interested in the more humane aspects

 

4.3    OBJECTIVES OF HUMAN RESOURCE PLANNING

(i)             To ensure adequate supply of human resources when required

(ii)            To ensure proper use of existing human resources within the organisation

(iii)             To forecast future requirements of human resources with different skills

(iv)             To assess surplus or shortage of human resources over a period of time

(v)            To anticipate the impact of technology on jobs and prepare for the same

(vi)            To provide adequate lead time to recruit, select and train the required additional human resources over a specified period of time

 

4.4    NEED AND IMPORTANCE OF HUMAN RESOURCE PLANNING

·       Despite the growing trend towards unemployment, there is a shortage of human resources with the required skills

·       Human Resource Planning is needed to:

(i)            Ensure smooth supply of workers without interruption due to natural attrition;

(ii)            Prepare for a rise in the workforce turnover;

(iii)            To adapt to changes in technology and globalisation, which both change the skills and number of human resources required;

(iv)            Meet the expansion and diversification needs of an organisation;

(v)            Rationalise staff distribution;

(vi)            Provide the right quality and quantity of people at the right times;

(vii)            Make optimum use of human resources;

(viii)            Avoid any shortfalls and surpluses in human resources; and

(ix)            Create and develop training and succession plans

4.5    LEVELS OF HUMAN RESOURCE PLANNING

(i)         At the national level by the Government: this covers population projections; programs of economic development, educational and health facilities; occupational distribution and growth; mobility of personnel across industries and geographical regions, etc.

(ii)        At the sector level: this covers manpower requirements of the legal sector, agricultural sector, etc.

(iii)      At the industry level: this would forecast manpower needed for specific industries, e.g. engineering industries, textiles, plantations, etc.

(iv)       At the industrial unit (i.e., firm) level: this relates to the manpower needs of a particular enterprise

 

4.6    HUMAN RESOURCE PLANNING PROCESS

 

4.7    HUMAN RESOURCE INFORMATION SYSTEM

·       This is a computerised system that aids the processing of information relating to human resources

·       The advantages of such a system include:

(i)            It is both a time and money saving decide

(ii)            It gives accurate information relating to human resources

(iii)            It makes information readily available

(iv)            It acts as a decision-support system

(v)            It establishes strong management control, e.g. career planning development, skill, morale, etc.

 

(i)	4.8	PROBLEMS/BARRIERS TO HUMAN RESOURCE PLANNING People are not convinced of the need to spend time and money in forecasting human resources
(ii) (iii) (iv) (v)		The demand for and supply of human resources has not been accurately projected HRP may be unreliable due to changes in technology, market fluctuations, etc. Sometimes HRP suffers conflict between quantitative and qualitative approaches used for it Human resource needs as estimated by non-experts are not necessarily realistic
(i)	4.9	HOW DO WE MAKE HUMAN RESOURCE PLANNING EFFECTIVE? View HRP as an integral part of corporate planning
(ii) (iii) (iv) (v)		Ensure that the commitment and support of top management is secured before beginning the process Staff records must be complete, up-to-date and readily available The time limit of the plan should be reasonable to accommodate changing needs of the organisation Quantitative and qualitative aspects of human resources should be balanced

CHAPTER 13: JOB ANALYSIS AND DESIGN

 

A.       JOB ANALYSIS

1.       CONCEPT AND NEED FOR JOB ANALYSIS

·       Job analysis refers to the systematic investigation of a job, and it includes:

(i)            The physical circumstances surrounding a job; and

(ii)            The attributes needed to competently perform the tasks in a job

·       A job, on the other hand, is defined as:

o   A collection of tasks, duties and responsibilities which are assigned to an employee

o   Each job has a definitive title based on the profession, trade or specialisation associated with the job

·       An impactful job analysis will result in:

(i)            Job descriptions

(ii)            Job specifications

 

1.1    JOB DESCRIPTIONS

·       A job description (‘JD’) is a written narrative that describes the general tasks, or other related duties, and responsibilities of a position, including:

(i)              Overall purpose – why the job exists

(ii)            Job content – the nature and scope of the job in terms of tasks and operations to be performed

(iii)           Key result areas – the results or outcomes for which the job-holder will be accountable/responsible

(iv)           Technological dimensions – the physical working conditions, tools, equipment and machines that will be used on the job

(v)            Organisational factors – the reporting relationships, i.e. who are those reporting to the job-holder and to whom will the job-holder report

(vi)           Motivating factors – the particular features of a job that are likely to motivate or demotivate job holders

(vii)         Development factors – the promotion and career prospects of a job

 

1.2    JOB SPECIFICATIONS

·       These are the minimum qualifications, competencies and attributed which a job holder must have in order to perform a given job effectively, including:

(i)            Minimum academic qualifications

(ii)            Experience (relevant to the field)

(iii)            Age (sometimes and in some fields)

(iv)            Gender

(v)            Ethnicity, race and/or religion

(vi)            Salary

 

2.       METHODS OF JOB ANALYSIS

·       This essentially determines how job-related data is collected

·       The traditional method for job analysis was observation, supplemented by interviews, but in recent years several other methods have also emerged

 

OBSERVATION

·       This involves observing employees at work – e.g. what the worker does, how the worker does it, how much time is needed for completion of a task, etc. ·       This method is suitable only for jobs that consist of primarily visible activities, and it not suitable for jobs that require mental synthesis since they are not visible for observation, e.g. it is suitable for a secretary role but not for the role of a judge ·       The process is more reliable if done by a fair and impartial observer with expertise in that field

QUESTIONNAIRE

·       This is suitable where the number of people doing the same job is large and so to personally interview each worker would be time consuming and impracticable ·       It is also appropriate where giving employees enough time is desirable to enable them divulge in detail special aspects of their job

 

	·       However, information collected in questionnaires is often inaccurate since employees’ lack training and skill to divulge related information in a clear and meaningful fashion
INTERVIEW	·       This method is suitable for jobs where direct observation is not possible, e.g. managerial and professional jobs ·       The job analyst directly interviews the job holder through a structured interview to elicit information about the job ·       However, this is time consuming and costly and there is the possibility of bias by either the respondent or the interviewer (depending on how questions are asked and answered)
CHECKLISTS	·       Checklists are prepared according to job information obtained from various sources, e.g. personnel records, supervisors, etc. ·       It is a form of questionnaire containing a few subjective questions to be answered in form of ‘yes’ or ‘no’, and the job holder is asked to tick the tasks that are related to his job, the time spent on each task, the type of training and expertise required to do each task, etc. ·       The method is suitable in large organisations where a number of workers are assigned one job
DIARIES OR LOG RECORDS	·       In this method, the job holder is required to maintain a diary recording in detail his job-related activities everyday so as to overcome memory lapses by the job-holder

 

3.       USES/BENEFITS OF JOB ANALYSIS

(i)            Human Resource Planning – i.e. information from job analysis is necessary in planning for quantity and quality of staff required in the future

(ii)            Training and Development – i.e. by providing information on what skills and knowledge are required to perform a job, job analysis enables management to design training and development programmes to acquire the needed skills

(iii)            Recruitment and Selection – job analysis serves as a basis for recruitment and selection of employees. It precedes recruitment since it is only after analysing the jobs needed to be filled that recruitment and selection can follow

(iv)            Placement and Orientation – as job analysis provides information about qualities and skills needed for a job, it enables management to place employees on jobs best suited for them

(v)            Job evaluation – job analysis provides information from which relative worth of jobs can be evaluated, and this job evaluation in turn helps designing compensation systems

(vi)            Performance appraisal – this involves comparing actual performance and expected standards of performance, i.e. helps in formulating standards to be compared with actual performance

(vii)            Health and safety – job analysis helps in uncovering and identifying hazardous conditions and unhealthy environmental factors, e.g. heat, noise, dust, fumes, etc.

 

B.       JOB DESIGN

1.       INTRODUCTION

·       Job design is defined as the process of deciding on the contents of a job in terms of:

(i)            Duties and responsibilities;

(ii)            The methods to be used in carrying out the job (i.e. techniques, systems and procedures); and

(iii)            The relationship that should exist between the job holder and his/her superiors, subordinates and colleagues

·       It is the process of determining how specific tasks are combined to form complete jobs

·       Job design has two primary aims:

(i)            To satisfy the requirements of the organisation for productivity, operational efficiency and quality of products or services offered by the organisation;

(ii)            To satisfy the needs of an individual for interest, challenge and accomplishment to ensure job satisfaction and improve performance and productivity

·       The overall objective of the organisation is to integrate the needs of the individual with those of the organisation as well as to fulfil the social responsibilities of the organisation to the people who work for it by improving their quality of life

 

2.       PRINCIPLES OF JOB DESIGN

·       To influence skill variety by providing opportunities for people to combine tasks

·       To influence task identity by combining tasks and forming natural work units

·       To influence autonomy by giving people responsibility for determining their own working systems

·       To influence feedback by establishing good relationships and open feedback channels

 

3.       FACTORS AFFECTING JOB DESIGN

 

ORGANISATIONAL FACTORS	·       These relate to factors that are unique to the organisation, e.g. task features, work flow, work practices, etc. ·       Ergonomics refers to designing a job in order to strike a fit between the job and job holder’s physical abilities to perform the job effectively
ENVIRONMENTAL FACTORS	·       These include social and cultural expectations, employee abilities and availability ·       Due to increased levels of literacy and awareness, people are no longer ready to do any job under any conditions – i.e. people have expectations for their jobs and their jobs are designed in a certain way
BEHAVIOURAL FACTORS	·       These are based on the fact that people are influenced to satisfy their needs ·       One’s behaviour and work are governed by the following factors, namely: (i)             Autonomy – jobs giving autonomy to workers increases their sense of responsibility, self- esteem and commitment to the job (ii)            Use of abilities – workers find interesting, challenging jobs that offer them the opportunity to utilise their abilities (iii)             Feedback – job design should be done in such a way that facilitates meaningful feedback, which in turn helps workers to improve their performance (iv)             Variety – variety in a job diminishes boredom, fatigue and mistakes, thus promoting efficiency

 

4.       TECHNIQUES OF JOB DESIGN

 

WORK SIMPLIFICATION	·       This involves simplification of a job by breaking it down into smaller parts – each part of the job is then assigned to one designated worker who does the same task over and over again ·       While this simplification allows the worker to gain proficiency in the job and increases productivity, it also creates boredom and low morale on workers ·       Boredom overtime leads to mistakes and accidents which in turn affect quality and quantity of output
JOB ROTATION	·       This implies the movement of employees from one job to another without any change in the job ·       An employee performs different jobs of the same nature, e.g. clerical officers moving from one section of a department to another ·       This is a solution to the issue of boredom in job simplification and broadens the employee’s knowledge and skills by making the employee competent in several jobs rather than one
JOB ENLARGEMENT	·       This involves expanding a job horizontally – adding more tasks to a job to give it more variety and a wider scope, thereby removing boredom and monotony in jobs and creating interest in work and efficiency ·       It enhances employee motivation (for at least a limited time)
JOB ENRICHMENT	·       This is expanding a job vertically – giving the job holder more responsibility, independence and greater control over his work ·       It is a redesign that improves job context and content to give the worker more of a challenge, more authority, responsibility, opportunity for growth and more chance to contribute his ideas in the management of the organisation ·       It increases job depth which refers to the degree of control employees have over their work ·       It improves the quality of work output, employee motivation and satisfaction

CHAPTER 14: RECRUITMENT & SELECTION

 

A.       RECRUITMENT

1.       GENERAL OVERVIEW

·       Recruitment is the ‘process of finding and attracting capable applicants for employment. The process begins when new recruits are sought and ends when their applications are submitted. The result is a pool of applicants from which new employees are selected’

·       Recruitment is a fundamental function of HRM, especially in large organisations – i.e. once an organisation has established through HRP the number and quality of staff required in an organisation, either immediately or in the near future, the recruitment and selection process can begin

·       Recruitment is the first step to filing a vacant position, i.e. the search for qualified people to sufficiently create their interest to see the need to apply for existing job positions or newly created ones

·       Ideally, recruitment should be preceded by job analysis so that the essential features or main tasks of the job to be filed are known and reduced into a job description

·       Persons in charge of recruitment and selection should know what tasks the prospective employee is expected to perform and what skills, competencies and attributes he/she should possess

·       Simply put, recruitment is a set of activities whose end result is creating a pool of applicants from whom the best is selected

and it is meant to reduce the number of people applying for jobs when they do not have the required qualifications

 

2.       INTERNAL FACTORS AFFECTING RECRUITMENT

 

SIZE        OF              THE ORGANISATION	·       The size of an organisation affects the recruitment process ·       Large organisations find recruitment less problematic than small firms because of their organised structures, possible good image and availability of financial resources needed for recruitment activities ·       Small organisations grapple with issues related to inadequate financial resources and image
RECRUITING POLICIES	·       Most organisations have recruitment policies, the most significant being the following three: (i)            Policy on either internal or external recruitment – internal policy of recruitment is preferred because existing employees know the organisation and fit well within the organisation’s structure (ii)            Lead market pay strategies – some companies, as a policy, have higher pay packages than their competitors in order to attract the best candidates in the labour market to their organisation (iii)             Employment at will versus due process – this means that there are no restrictions on exit, i.e. either party can terminate the employment at will
IMAGE                 OF ORGANISATION	·       Good image of an organisation earned by a number of overt and covert actions by management helps attract potential and competent candidates ·       This is why firms invest heavily in public relations and Corporate Social Responsibility (CSR) ·       CSR helps an organisation create a positive image and goodwill among its creditors or customers, and this is what helps blue-chip companies attract large numbers of applications

 

3.       EXTERNAL FACTORS AFFECTING RECRUITMENT

 

LABOUR MARKET	·       This refers to the labour market conditions, i.e. supply of and demand for human resources ·       If the demand for a particular skill is high compared to its supply, the recruitment process will need to be more elaborate and involve more effort than if supply of the skill is higher than demand
LEVELS                 OF UNEMPLOYMENT	·       When unemployment is high in a given area, the recruitment process tends to be easier and simpler ·       This is because the number of applicants is high which makes it easier to attract the best qualified applicants (and the converse is true for a low unemployment rate)
GOVERNMENT POLICY	·       Depending on the state of unemployment, the government may develop policies that direct organisations in the public or formal sectors to recruit a certain percentage of people per certain duration to cope with levels of unemployment

4.       RECRUITMENT ACTIVITIES

 

 

EXAMINATION OF VACANCY

OBTAINING AUTHORISATION TO HIRE

IDENTIFICATION OF SOURCES OF SUITABLE CANDIDATES

COMMUNICATION

 

 

·       Examination of vacancy – this entails studying the job descriptions and personal specifications, and the Human Resources team should ensure that the current job description fits the current status of the job to be filed after successful recruitme nt

·       Obtaining authorisation to hire – the Human Resources Manager must obtain authorisation to hire from top management, mainly due to the financial implications of recruitment and selection

·       Identification of sources of suitable candidates for the job – to be able to attract the right candidate for the job, you must target the correct labour market. The labour market is wide and you need to know where to direct the communication/advertisement for vacant positions

·       Communication – this must be as attractive as possible in order to attract a large pool of qualified applicants from which the best will be chosen when the selection decision is made. Once responses are received, the recruitment process stops and the selection process begins

 

5.       INTERNAL SOURCES OF RECRUITMENT

·       If an organisation has as its policy recruitment from internal sources, it uses techniques like promotions and transfers of existing employees –

o   Promotion entails upgrading of an employee to a higher position carrying higher status, pay and responsibilities

o   Transfer refers to shifting an employee from one job to another without any change in the position, pay, status or responsibilities (quite frequent in public service)

 

USE        OF              FORMER EMPLOYEES	·       Retired or retrenched employees may be interested to come back and work for an organisation if there is need for their special skill and capabilities
EMPLOYEE REFERALS	·       This is the most effective internal source of recruitment compared to others ·       Existing employees refer their family members, friend and relatives to the company as potential candidates for vacancies to be filed ·       Referrals are effective because the person making the referral knows the candidate from personal experience and so he/she guarantees that the candidate will perform in the job, and the candidate once selected works hard to avoid hurting the integrity of his/her proposer ·       It is a good way of recruiting staff since it creates loyalty with employees
UNSOLICITED                               OR PREVIOUS APPLICATIONS	·       This is considered an internal source in the sense that applications from interested candidates are already in the custody of the organisation ·       The disadvantage with using this method is that it limits its choice to talent available within the organisation, i.e. denies the organisation the opportunity to tap talent available in the cast labour market outside the organisation

 

6.       EXTERNAL SOURCES OF RECRUITMENT

 

ADVERTISEMENTS	·       This is the most widely used method of generating interest to work for organisations as its reach (catchment area) is very high ·       To be effective, advertisements must be clear and precise in order to ensure that job requirements and the job specification is understood within the aim of encouraging only the qualified candidates to apply
PUBLIC    AND                PRIVATE RECRUITMENT AGENCIES	·       This becomes appropriate where the recruitment function is outsourced ·       Examples of private recruitment agencies are Deloitte, Manpower Services, KPMG, Preferred Personnel, etc.
EDUCATIONAL INSTITUTIONS	·       Mainly used when an organisation is looking for skilled manpower without expertise, e.g. management trainees, whose use is limited to entry-level positions

 

HEAD-HUNTING/ RAIDING	·       When a job position falls vacant, especially in top management, the organisation itself through its HR or through a recruitment agent starts searching in the labour market for the right candidate to fill the position ·       There are usually people in the same industry who have demonstrated expertise and competence in a similar job
ELECTRONIC RECRUITMENT	·       E-recruiting is internet based – organisations create websites in which they post advertisements for jobs which fall vacant from time to time ·       The selection process can also be done electronically through the internet by making use of video conferencing

 

B.       SELECTION

1.       MEANING AND DEFINITION

·       Selection starts where recruitment ends – i.e. having identified the potential candidates, the next logical step in the human resource process is selection of the qualified and competent candidates in the organisation

·       Due attention needs to be given to selection as it establishes the ‘best fit’ between job requirements and the candidate’s

qualification, and a mismatch between the two can have far-reaching impacts on the organisational functioning

·       Essentially, selection refers to the process of offering jobs to one or more candidates from the applications received through recruitment – i.e. the process of picking the suitable candidates from the pool of job applications to fill various job vacancies in the organisation

 

2.       DIFFERENCE BETWEEN SELECTION & RECRUITMENT

 

RECRUITMENT	SELECTION
Recruitment technically precedes selection	Selection follows recruitment
Recruitment refers to the process of identifying and encouraging potential candidates to apply for jobs in the organisation	Selection involves choosing the best out of those who have been recruited
Recruitment is positive as it aims at increasing the number of job seekers (applicants) for wider choice, or increasing the selection ratio	Selection, on the other hand, is said to be negative in its application as it rejects a large number of unqualified candidates in order to identify those who are suitable for the job
Recruitment involves searching	Selection involves comparing those already searched

 

3.       NEED FOR SCIENTIFIC SELECTION

·       There is no denying that people working in the organisation make all the difference, hence, choosing the right person for the job is critical to the organisation’s success

·       Wrong or inappropriate selection proves costly to the organisation, demoralises the employee put in the wrong job, and also demotivates the rest of the work force

·       Finding a perfect match between an employee and the job is not possible, nonetheless, scientific methods of selection for establishing better fit between the two are of immense importance

 

4.       SELECTION METHOD/PROCESS

·       There is no universally accepted selection process followed by all organisations

·       The selection process is likely to vary from organisation to organisation depending upon the nature of the job and the organisation

·       That notwithstanding, the follow steps are involved in the standard selection process:

4.1           PRELIMINARY INTERVIEW

·       The preliminary interview follows screening, and the purpose is to eliminate unsuitable or unqualified candidates from the selection process

·       At the screening stage, unqualified candidates are eliminated on the basis of the information given in the application form, while the preliminary interview rejects misfits for reasons which do not appear in the application form

·       Due care needs to be taken to ensure that the ‘weeding out’ process does not lead to elimination of desirable candidates

o   Preliminary interviews should be conducted by someone who inspires confidence, is genuinely interested in people, and whose judgment in the adjudging of candidates is fairly reasonable

o   The interviewer should be courteous, kind and receptive – he/she should not appear brusque or impatient

 

4.2           APPLICATION FORMS (BLANKS)

·       An application form is the most common device for getting information from a candidate

·       Many organisations require job seekers to fill out application forms, and this serves as a personal record of the candidate bearing his personal history profile, detailed personal activities, skills and accomplishments

·       The following data is generally required from the candidate through an application form:

(i)       Biographical information – name, parent’s name, age, sex, nationality, height, marital status, etc.

(ii)     Educational information – covers the candidate’s academic qualification, course, year of passing, subjects offered, percentage of marks, division, names of educational institutions, training acquired, scholarships, etc.

(iii)    Work experience – includes positions held, name of employer, nature of job, salary, duration of various assignments, reasons for leaving present job, membership of professional bodies, etc.

(iv)    Salary – refers to the minimum salary acceptable and minimum joining period required

(v)     Extra-curricular information – covers information like participation in games, level of participation, prizes won, dramas, debates, etc.

(vi)    References – includes names of referees who know the character, work and abilities of the candidate

 

4.3           SELECTION TESTS

·       Individuals differ in many respects, including job-related abilities and skills

·       In order to select the right person for the job, individual differences in terms of abilities ad skills need to be adequately and accurately measures for comparison and this is done through a device known as a selection test

·       The selection test uncovers information about the candidate now known through the application form and interview, and so is adjunct to another selection method

·       It is considered standardised because the procedure of administering the test, the environment in which the test is conducted, and the method of calculating individual scores are uniformly applied

 

ABILITY TESTS	·       Aptitude tests ·       Achievement tests ·       Intelligence tests ·       Judgment tests
PERSONALITY TESTS	·       Interest tests ·       Projective tests ·       Attitude tests ·       Personality tests
GRAPHOLOGY TESTS	·       This is a handwriting and personality test ·       It is said that an individual’s handwriting can suggest the degree of energy, inhibitions and spontaneity to be found in the writer, disclosing elements of balance and control from which many personality characteristics may be inferred
POLYGRAPH TESTS	·       This test is designed to confirm the accuracy of information given on the application forms and so may be considered as a form of an employment test ·       Polygraph tests are useful for organisations that are highly vulnerable to theft or swindling, e.g. banks
PHYSIOGNOMY TESTS	·       These tests suggest a definite correlation between facial features, physiological functions and behaviour ·       According to these tests, structure of features is reflective of personality traits and characteristics ·       E.g. thin lips signify determination, broad jaws signify tenacity, etc.

4.3.1      ADVANTAGES OF TESTING

(i)       Predicts future performance – a well-designed test can predict the future performance of an individual, and so the test can be used for hiring personnel, transfer or promotion of the personnel for higher positions

(ii)     Diagnoses the situation and behaviour – knowing why people behave the way that they do requires understanding the particular variables or situations that cause such behaviour, and well-planned tests help understand these situations

(iii)    Other benefits of economy of scale – conducting tests on the whole serves cost effective as it offers the benefits of economy of scale when tests are administered to a group (i.e. saves both time and cost)

(iv)    Uncover what was not detected by other devices – one important advantage of conducting tests is that they uncover qualifications and talents of the testee that cannot be detected by application forms and interviews

(v)      Serve as unbiased tools – based on reliability and validity norms, tests do also serve as unbiased tools of the selection process

(vi)    Quantify the test results – above all, tests being quantifiable yield themselves to scientific and statistical analysis and so serve as a basis for research into personnel issues and matters

 

4.3.2      DEVELOPING A TEST PROGRAMME

(i)            Deciding the objectives of testing programme – the objectives of the test programme may be hiring, promoting or counselling of people. Initially, test programmes may be designed for a few jobs and then may be gradually expanded to cover all jobs in the organisation

(ii)            Analysing jobs – jobs are duly analysed to identify which human traits and skills are necessary for effective performance

(iii)            Choosing tests to measure characteristics – tests may be chosen keeping in view such factors as reliability, validity, ease of administration, level of difficulty, the cost involved, etc. The choice of tests is generally based on certain parameters like experience, previous research and guesswork

(iv)            Administering the tests – once the tests are chosen, they are administered to candidates under consideration to measure the predetermined skills and traits

(v)            Establishing criteria of job success – success criteria are laid down in terms of output in both quantity and quality, attendance record, rate of accidents, rate of promotion, professional achievements, etc.

(vi)            Analysing the results of tests – the tests scores of candidates are carefully analysed in light of the success criteria, and based on this, the final decision is taken either to select the candidate for further processing or rejection

 

4.3.3      LIMITATIONS OF TESTS

(i)         Tests should be used as supplements rather than as substitutes for any method of selection

(ii)        Tests are better at predicting failure than success – i.e. they often determine which candidates cannot perform a job satisfactorily instead of who can perform the job in an efficient manner

(iii)      Tests are not precise measures of one’s skills and traits, but only samples of one’s total behaviour

(iv)      Tests should be validated in the organisation in which they are administered, and here validity means the degree to which a test actually measures what it is meant to measure

(v)        In order to make tests comparable, tests should be administered to all candidates under standard conditions

 

4.4    SELECTION INTERVIEW

·       The next step in the selection process is the employment interview

·       The interview is a widely used selection method and entails a face-to-face interaction between the interviewee and interviewer

·       If handled carefully, it can be a powerful technique in having accurate information of the interviewee that is otherwise unavailable. At the same time, if not handled carefully, it can be a source of bias, restricting or distorting the flow of communication

·       Interviews are an attempt to secure the maximum amount of information from the candidate concerning his or her suitability for the job under consideration

 

 

4.4.1         OBJECTIVES OF THE INTERVIEW

(i)             Verifies the information obtained through the application form and tests

(ii)            Helps obtain additional information from the candidate, not otherwise available

(iii)             Gives the candidate the necessary facts and information about the job and the organisation

(iv)             Helps establish mutual understanding between the company and the candidate and build the company’s image

 

4.4.2         TYPES OF INTERVIEWS

 

PRELIMINARY VIEW	·       Interviews conducted to screen candidates, before deciding whether a further more detailed interview will be necessary, are called ‘preliminary interviews’ ·       The candidate is given freedom by giving job details during the interview to decide whether the job will suit him ·       However, preliminary interviews may lead to the elimination of many desirable candidates in case interviewers do not have proper experience in evaluating candidates
PATTERNED INTERVIEW	·       In this interview, the pattern of the interview is decided in advance ·       What kind of information is to be sought or given, how the interview is to be conducted, how much time will be allotted to the interview, etc. are all factors that are worked out in advance ·       In case the interviewee drifts, he/she is swiftly guided back to the structured questions
DEPTH INTERVIEW	·       Depth interviews try to portray the interviewee in depth and detail ·       It covers the life history of the candidate along with his/her work experience, academic qualifications, health, attitude, interest and hobbies
STRESS INTERVIEW	·       Such interviews are conducted for jobs which are to be performed under stressful conditions ·       The objective is to deliberately create stressful or strained conditions for the interview to observe how the candidate behaves under stressful conditions ·       The purpose is to observe how the candidate behaves under stressful conditions ·       However, stress inducing must be done very carefully by trained and skilled interviewers otherwise it may be dangerous

 

4.4.3         LIMITATIONS OF THE INTERVIEW

(i)            Interviewers may not have a clearly defined technique developed, and this results in lack of validity in evaluation of the candidate

(ii)            There is always variation in offering scoring points to the candidate by the interviewers

(iii)             Interviews can help judge the personality of the candidate but not his ability to do the job

(iv)             A single characteristic of the candidate found out on the basis of the interview may affect the judgment of the interviewer

on other qualities of the candidate (‘the halo effect’)

(v)            The biases of interviewers may cloud the objectivity of the interview

(vi)             Interviews are time consuming and may be an expensive device of selection

 

4.4.4         GUIDELINES FOR EFFECTIVE INTERVIEWING

(i)          The interview should have a definite time schedule known to both the interviewers and the interviewee

(ii)        The interview should be conducted by competent, trained and experienced interviewers

(iii)       The interviewers should be supplied with a specific set of guidelines for conducting the interview

(iv)       The interviewers should ensure an element of privacy for the interviewee

(v)        A resume for all the candidates to be interviewed should be prepared and made available to the interviewers before the interview starts

(vi)       The interview should not end abruptly – it should come to close tactfully, providing satisfaction to the interviewee

(vii)     The interviewers should show their sensitivity to the interviewee’s sentiments and also sympathetic attitude to him or her

(viii)    The interviewers should show emotional maturity and a stable personality during the interview session

 

4.5    REFERENCE CHECKS

·       The reference checks are another selection process used for the purpose of verifying information and also for obtaining additional feedback on an application

·       The candidate is asked to supply two to three names of persons, i.e. referees who are known to him/ her personally

·       E.g. previous employees, university professors, neighbours and friends can act as referees

·       However, references are treated as a mere formality and hardly ever influence a decision because:

o   References are normally those who only speak well about the candidate

o   Sometimes the referee does not know much about the candidate or does not want to divule the truth about the candidate because it might adversely affect the selection or promotion of the concerned candidate

 

4.6    PHYSICAL EXAMINATION

·       The last tool used in the selection process is physical examination – it is used to match the job requirements with the physical ability of the candidate

·       The major objective of the physical test is to detect if the individual is carrying any infectious diseases, to identify any health defects of an individual for undertaking certain works detrimental to his/her health, and to protect companies from employees filing compensation claims for injuries and accidents caused by pre-existing ailments

 

4.7    FINAL CHECKS

·       The last step in the selection process is the final selection of the candidate for the job

·       The candidates who have cleared all the above hurdles are finally selected and a letter of job offer is issued to them

·       The job offer (ordinarily a letter of appointment) contains details like:

o   The pay scale;

o   Allowances;

o   Whom the job holder should report to when joining the company, etc.

CHAPTER 15: PLACEMENT, INDUCTION AND SOCIALISATION

 

1.       PLACEMENT

·       Placement is understood as assigning jobs to the selected candidates – i.e. it is ‘the determination of the job to which an accepted candidate is to be assigned, and his/her assignment to that job. It is a matching of what the supervisor has reason to think the recruit can do with the job demands, and what he offers in the form of pay, companionship with others, promotional possibilities, etc.’

·       Placement may include initial assignment of a job to a new employee, or to an existing employee on transfer, promotion or demotion

·       Placement involves assigning a specific job to each one of the selected candidates and it requires striking of a balance between the requirements of a job and the competencies (i.e. skills, knowledge and attitudes) of the candidate

·       Proper placement of employees reduces employees’ turnover, absenteeism, accidents and dissatisfaction

·       It is customary for most large organisations to put employees on a probation period initially with a view to adjudge their suitability for the job in the organisation

 

2.       INDUCTION

·       Induction is also sometimes referred to as ‘orientation’

·       Introduction of a new entrant into any existing group of people is a common feature we come across in our daily lives

·       Similarly, when a person joins a new job, he/she also needs the same type of introduction to his/her job and the organisation

·       Induction is a well-orchestrated event designed to socialise the new entrant with the people and the work environment in a particular organisation – ‘the process of receiving and welcoming an employee when he/she first joins a company and giving him/her basic information needed to settle down quickly and happily and start work’

 

2.1    OBJECTIVES OF INJUNCTION

·       A new entrant to an organisation might feel insecure, shy, nervous and sometimes lost

·       Induction helps reduce such anxieties and dispels any doubts and nervousness from the mind of the new entrant

·       An induction programme is designed to achieve the following objectives:

(i)       To reduce the initial anxiety all new entrants, feel when joining a new organisation

(ii)     To familiarise the new employees with the job, people, work-place, work environment and organisation

(iii)    To facilitate an outsider-insider transition in an integrated manner

(iv)    To reduce exploitation by unscrupulous co-workers

(v)     To reduce the cultural shock faced in a new organisation

 

2.2    BENEFITS OF INDUCTION

(i)             A well-designed induction programme reduces anxiety, nervousness, absenteeism and employee turnover

(ii)            Induction helps minimise the reality or cultural shock new employees undergo on joining a new organisation

(iii)            Effective induction also helps integrate the new employees into the organisation and fosters the feeling of belongingness to the organisation

(iv)             Induction binds the newcomer and present employees in a team

 

2.3    INFORMAL INDUCTION

·       This is an unplanned induction programme – it may be simply an introduction to the new entrant about the job and organisation

·       Usually, informal induction programmes tend to be brief – lasting for one hour or so, and may take the following two versions:

(i)            Supervisory induction – the immediate job supervisor conducts the induction programme for the new entrant. The supervisor briefs the newcomer about the job, department, introduces him/her to the colleagues, and takes him/her around the sections or divisions related to the job

(ii)            ‘Buddy’ or sponsor system – the immediate supervisor assigns the responsibility of induction of the new entrant to an old employee. The old employee acts as a friend, philosopher and guide to the newcomer. In order to introduce the newcomer to the job and organisation, the old employee arranges meetings with other persons

and departments and also supplies him with relevant documents and literature regarding rules, regulations and other details of the organisation

 

2.4    FORMAL INDUCTION

·       Formal induction is a planned programme carried out to integrate the new entrant into the organisation and is usually conducted by the larger organisations

·       A comprehensive induction programme is carefully designed to introduce the new entrant to his job, colleagues and the organisation in general

·       A formal induction programme thus includes the following contents:

(i)            Brief history of the organisation;

(ii)            Organisational mission, vision, objectives and philosophies;

(iii)            Policies and procedures of the organisation;

(iv)            Rules and regulations of the organisation;

(v)            Organisational structure and authority relationship;

(vi)            Terms and Conditions of the job, including remuneration, working hours, holidays, promotional avenues, etc.;

(vii)            Welfare measures like subsidised canteen, transport, health and recreational facilities; and

(viii)            Safety measures

 

2.5   

PHASES OF INDUCTION PROGRAMME

 

 

GENERAL INDUCTION	·       This is the induction given by the Human Resources Department ·       The focus of the induction is to expose the new entrant to the organisation by explaining the mission, objectives, history and philosophy of the organisation ·       The new employee is briefed about his service conditions, pay and perks, promotion procedure, personnel policies and grievance handling mechanisms practiced in the organisation ·       This phase inculcates pride for the employee to work in the organisation
SPECIFIC INDUCTION	·       This is the induction given by the employee’s direct supervisor ·       The focus is the overall exposition of the new employee to his job, and so the employee is introduced to the job, shown places of work and around the premises, introduced to his co- workers and briefed about the procedures, methods, customs, routines, rules and regulations regarding his job ·       This helps the new employee adjust to his new work environment
FOLLOW-UP INDUCTION	·       The main objective is to determine whether the new employee is getting himself adjusted with the work and organisation or not ·       This is given by the employee’s supervisor or a qualified specialist on industrial psychology ·       The employee’s suggestions on the adequacy or otherwise of the already conducted induction programmes and on any other related aspects, if any, are duly taken into consideration to make the induction more effective ·       Such feedback can be used to assess the guidance and counselling for new entrants

 

 

2.6    HOW TO MAKE AN INDUCTION EFFECTIVE

(i)       Receive the new employees personally

(ii)     Determine the new employee’s need for information (i.e. what information do they want/need)

(iii)    Determine how best to present the information

(iv)    Choose the right instructor to deliver the induction training

(v)     Evaluate the induction programme and build on any comments and/or feedback

3.       SOCIALISATION

·       Some people consider induction and socialisation as synonymous, however, while induction covers the new recruits only, socialisation covers transfer and promotion of employees as well

·       In simple words, socialisation is the process of adaption – i.e. the adoption of skills and abilities, adoption of appropriate role behaviours and adjustment to the norms and values of the work group

 

3.1   

PHASES OF SOCIALISATION PROCESS

 

 

PRE-ARRIVAL	·       This phase recognises that all new recruits arrive at the organisation with a set of values, attitudes and expectations, and therefore this phase covers the learning that occurs before a new member joins the organisation
ENCOUNTER	·       Upon entry into organisations, the new member is in the encounter stage ·       The member starts comparing expectations, which are the image of the organisation which he had formed during pre-arrival phase, with reality ·       If expectations and reality concur then the encounter is smooth, but this seldom happens ·       When the two differ, it is common for stress and frustration to set in ·       What follows after is the mental process of adjudgment, whereby the individual tries to replace his/her own values and norms with those of the organisation
METAMOTPHOSIS	·       At this stage, the member masters the skills required for the organisation’s norms and values ·       This is a stage of going through changes ·       It is a voluntary process and a conscious decision a new member makes to become compatible with the organisation

CHAPTER 16: CAREER PLANNING AND DEVELOPMENT

 

1.       GENERAL OVERVIEW

·       Career planning falls within the context of career management and management succession

·       It shapes the progression of individuals within the organisation depending on the organisation’s needs and the

performance, potential and preferences of individual employees. This is because:

o   Organisations recruit and select employees to achieve their objectives of production, service delivery and profit maximisation; and on the other hand

o   Employees want to fulfil their work-related expectations and desires, such as career progression, with the attendant responsibilities and perks

·       Both organisational requirements and employee expectations are new constant – they change with time

·       However, it often happens that the organisation’s capacity to meet the employee’s unique expectations is limited by

organisational constraints

·       In general terms, career planning and management ensures that individual employees are provided with training and experience that enables them to utilise their full potential

·       It also aims at giving employees with potential the guidance and encouragement they need to exploit their full potential and achieve a successful career in the organisation, taking into account their talents and aspirations

 

2.       DEFINITION OF CONCEPTS

·       A career is a series of properly sequenced role experiences leading to an increasing level of responsibility, status, power and rewards

o   It is a series of separate but related work activities that provide continuity, order and meaning in a person’s life

o   Some careers are characterised by an early exit (e.g. sportsmen) while others have late entry points (e.g. judges)

o   A career is shaped by many factors, including: education, personal experiences, physical and mental characteristics, influence by parents/peers, age, etc.

·       Career planning, on the other hand, can be seen from two perspectives:

o   From an individual’s point of view, career planning is a systematic process by which one decides his or her career

goals and the path to reach these goals

o   From an organisation’s standpoint, career planning involves the process of uniting organisational HRP with

individual career needs

 

3.       CAREER MANGEMENT

·       Career management involves deliberate efforts to integrate individual employee’s career goals and career planning

activities with the career opportunities and career development programmes designed by the organisation

·       This helps strike a balance between realisation of the employee’s career goal and the business needs of the organisation

·       Hence, individual career planning and career planning by the organisation compliment each other such that none can be effective without the other

 

4.       NEED FOR CAREER PLANNING

(i)             Helps to attract competent persons and retain them in the organisation

(ii)            Helps to provide sustainable promotional opportunities

(iii)             Maps out careers of employees suited to their ability and willingness to be trained and developed for higher positions

(iv)             Ensures better utilisation of managerial reserves within an organisation

(v)            Reduces employee dissatisfaction and turnover

(vi)              Improves employee morale and motivation by matching their skills to job requirements

(vii)            Provides guidance and encouragement for employees to fulfil their potential

(viii)            Achieves higher productivity and organisational development

 

5.       CAREER STAGES

·       Just as human beings pass through a certain life-cycle from birth to death, so does a person on joining an organisation

·       There are 5 stages that every employee must got through in his or her career

 

 

EXPLANATORY	·       This is the stage at which a person explores possible career options ·       It happens usually in the very early years of adulthood when one makes a transition from being a student to being an employee ·       Several factors, e.g. career of parents, interests, aspirations for children, friends and financial resources are all facts that shape an individual’s career options ·       This stage has little relevance for the organisation itself
ESTABLISHMENT	·       This stage begins with choosing a career for oneself and is marked by first experiences on the job, acceptance and evaluation by peer groups ·       During this stage, one commits mistakes, learns from those mistakes, and gradually assumes increased responsibilities ·       One does not reach the ‘summit’ or peak productivity at this stage, but spends a lot of time and effort in establishing the chosen career path
MID-CAREER	·       This is marked by improved performance, stagnation or change in career ·       At this stage, one is no longer viewed as a learner and so mistakes committed are viewed seriously and invite serious penalties ·       For many, this is a time of reassessment, job changes, adjustment of priorities or the pursuit of an alternative lifestyle
LATE CAREER	·       This is usually a pleasant phase for people who continued to grow during the mid-career stage ·       During this stage, the senior employee becomes a mentor to junior employees, giving them guidance and encouragement to perform at expected levels ·       However, for those who stagnated or deteriorated during the mid-career stage, this stage usually acts as an indication that they should progress towards retirement
DECLINE	·       This is the final stage in one’s career in which preparations for retirement are made

 

6.       THE CAREER PLANNING PROCESS

·       Employees join organisations to fulfil their career goals and aspirations, while organisations provide them with the opportunities and resources to achieve them

·       If there is a difference between the employee’s aspirations and the organisational opportunities, employees may experience dissatisfaction and low morale, thus reducing their productivity levels

·       Career planning is a process meant to assist employees to achieve a better match between their career goals and the opportunities available in the organisation

 

Analysing                         employee needs and aspirations	·       An analysis of the employee’s career aspirations and goals must be done through an objective assessment based on personnel inventory ·       For this to work, employee’s need to be provided with as much information about what constitutes career anchors and their significance ·       It would also be important to inform employees what kind of work would suit them most, considering their skills, experience and aptitude
Analysing                               career opportunities	·       Once career aspirations and goals of an employee are known, there is need to analyse various career opportunities available for offer under prevailing career paths in the organisation ·       Since many employees may not be aware of their own career progression path, they need to be educated about them ·       Recognising varying kinds of career aspirations with two different types of employees, organisations need to outline career paths by striking a balance between internal employees with experience but no professional qualifications, and new recruits with excellent professional qualifications but lacking relevant experience
Identifying                      congruence and incongruence	·       At this stage, the mechanism for identifying compatibility between the employee career aspirations and organisational career systems has developed ·       This helps to identify specific areas where a mismatch or lack of compatibility exists ·       Such a mechanism of match and mismatch between career aspirations and opportunities enables the organisation to develop realistic career goals, both long-term and short-term
Action plans and periodic review	·       Having identified a mismatch, plans are formulated to harmonise the two ·       Some of the strategies adopted by several organisations include: (i)            Changes in career systems by creating new career paths, new incentives and new rewards by redesigning jobs for lateral movement (ii)            Changes in the employee’s hopes and aspirations by creating new needs, new goals and new aspirations (through mentoring) (iii)            Seek new basis of integration through problem solving, negotiations, compromises, etc.

 

7.       CAREER DEVELOPMENT PROGRAMME

·       Strictly speaking, career plans are of no use without career development programme as these are the tools used to actualise the career plan

·       A properly designed career development programme needs to involve the following main actions:

 

7.1    CAREER NEED ASSESSMENT

·       A career is a highly personal and extremely important element of one’s life and so there is need to undertake a career

assessment to ensure selection of the right career choice

·       It is the role of the HRM to assist the employees in their career decision making process by providing as much information as possible about all the career opportunities and career paths available in the organisation

·       In recent years, formal assessment workshops have become quite popular where small groups of employees are subjected to psychological testing, simulation exercises and depth interviewing. The objective of these workshops is to assist employees conduct their own career planning

 

7.2    CAREER OPPORTUNITIES

·       Realising that employees all have different career needs, it becomes necessary for organisations to chart specific career paths and make the same known to the employees

·       The availability of such information will help employees plan their own career movement and progression

 

7.3    NEED-OPPORTUNITY ALIGNMENT

·       When employees have assessed their career needs and have become aware of organisational career opportunities, the next step in the career development programme is one of alignment

·       For this, the organisation needs to develop such developmental programmes as will help the employees align their career needs with organisational opportunities

·       Various developmental programmes can be used to ensure an effective alignment of employee’s career needs with career

opportunities available in the organisation, e.g.:

(i)            Performance appraisal;

(ii)            Management by objectives;

(iii)            Career counselling;

(iv)            Job rotation;

(v)            Job enrichment, etc.

·       In case appropriate career opportunities are not available for some employees in the organisation, they may be assisted by the organisation to find suitable positions in other organisations

·       However, an effective career development programme must take into account the following factors:

(i)            Employees must be made to believe that their superiors genuinely care for their career development;

(ii)            Individual strengths and weaknesses of employees must be assessed and brought to their attention, as well as organisational constraints; and

(iii)            Career plans must be developed with necessary support systems to provide a fair and equal opportunity to all employees within and among different job families

CHAPTER 17: TRAINING AND DEVELOPMENT

 

1.       INTRODUCTION

·       Among the objectives of an organisation is to attract and retain competent staff that will help it meet its present and future goals

·       In order to achieve this aim, the organisation must ensure that the competences of its staff are incrementally enhanced through planned training and development interventions

·       Training is the learning experience that seeks a relatively permanent change in an individual that will improve his or her ability to perform his job

·      

It is a deliberate effort, planned and implemented to change (improve) skills, knowledge and attitudes of an employee towards his or her job. There are two types of skills required of an employee:

 

2.       DIFFERENCE BETWEEN TRAINING, DEVELOPMENT AND EDUCATION

·       Whereas training is narrow in scope (as it is designed to improve efficiency and productivity of the employee), development is broader and is geared towards the general improvement of the employee as a person

o   Development is intended to give the employee a broader picture of the organisation and the industry, as well as improve themselves as people

o   Development is a continuous process that focuses on non-technical functions of the job, e.g. decision-making, problem solving and interpersonal relationships

o   Development enables individuals to become not only good employees but better men and women

o   Accordingly, development covers not only the activities and skills which improve job performance, but also those activities which bring about growth of the personality, help individuals progress towards maturity and actualisation of their potential

 

LEARNING AIM	TRAINING	DEVELOPMENT
WHAT?	Technical/Operational	Theoretical/Conceptual
WHO?	Geared towards operational/technical staff	Geared towards Managerial/Supervisory staff
WHY?	To solve specific job-related problems	To gain general understanding
DURATION?	Short term	Long term

 

 

·       Education is even wider and broader in scope when compared to training and development

o   Education is the life-long process of increasing the general knowledge and understanding of the total environment

o   Education is both person and theory based

o   Its main purpose is to improve the conceptual understanding of a subject or theme or environment

o   Education is imparted through schools, universities, colleges (and other learning institutions)

o   Whereas an employee may get some education in a workplace, this happens as a matter of course and is seldom planned

o   Development and training will be planned and deliberately executed in the workplace

 

3.       NEED FOR TRAINING

·       The need for training arises due to the ever-present gap between job demands and employee competencies

·       The degree to which this gap exists between an employee and his job needs to be identified and a relevant training intervention instituted to bridge the gap for each employee

·       The need for training includes:

(i)               Sub-optimal performance of organisations in government, public and private sectors;

(ii)             The ever-widening gap between planning, implementation and completion of projects;

(iii)            Technological change, necessitating acquisition of new knowledge, ability and skills;

(iv)            Increasing demand for managers and workmen to improve quality;

(v)             Increasing uncertainties and complexities in the total environment, necessitating flexible and adaptive responses from organisations;

(vi)            Need for both individuals and organisations to grow at a rapid pace;

(vii)          To meet challenges posed by global competition;

(viii)         To harness the human potential and give expression to their creative urges;

(ix)            To enable employees to move from one job to another;

(x)             To bridge the gap between what an employee has in terms of knowledge and skill and what his/her job actually demands

 

4.       AREAS OF TRAINING

 

KNOWLEDGE	·       Training aimed at imparting knowledge to employees provides for facts, information and principles related to his/her job ·       Training in the knowledge area considers three aspects: job context, job content and quality of work ·       Professional employees join organisations with knowledge already acquired from university or college
TECHNICAL SKILLS	·       Training in this area aims at teaching the employees the physical acts associated with performing the job, e.g. courtroom presentation as a defence lawyer, organisation of client files, etc.
SOCIAL SKILLS	·       Training aims at the development of individuals and team work ·       It concentrates on behavioural and interpersonal relationship skills necessary for teamwork, good customer care and effective leadership
TECHNIQUES	·       Training teaches employees how and when to apply the various skills learned
ATTITUDES	·       This involves orientation or induction programmes that help change the employees’ attitudes (in terms of making them more favourable) towards achievement of organisational goals

 

5.       STEPS IN DEVELOPING TRAINING PROGRAMMES

(i)              Identification of training needs – job descriptions are analysed and compared with employees’ outputs in relation to targets. The gap between job demands and employee capabilities are documented as the obstacles to meeting job targets. The obstacles that require training intervention are then isolated as the training needs

(ii)            Setting training objectives – these are set in terms of behavioural changes of the employee

(iii)           Content – this is what is to be covered during the training, and the content must be arranged such that there is a logical flow to the training

(iv)           Length – the training duration must be decided in advance and must take into account factors such as content, resources, time available for the trainer, etc.

(v)            Follow up and evaluation – to ensure the training programme is effective, it must be evaluated to see if the objectives have been met at the end of the period

CHAPTER 18: INTERNAL MOBILITY AND SEPARATION

 

1.       INTRODUCTION

·       It is normal for people to move – in an organisation, such movement can take the form of a promotion, demotion, transfer or job rotation

·       There are numerous reasons for employees’ movement within an organisation:

(i)       To improve the effectiveness of the employees to the organisation;

(ii)     To satisfy both employee & organisational needs;

(iii)    To provide for career and succession planning;

(iv)    To effect changes in jobs and organisational structures; and

(v)     To ensure discipline and make organisational rewards contingent on employee performance

 

2.       PROMOTION

·       Promotion is the vertical movement of an employee within the organisation

·       It takes the form of movement from one job to another one, usually of higher status, perks and responsibilities

·       Promotion may be temporary (in an acting capacity) or permanent, and may be with a salary increment or not

 

2.1    TYPES OF PROMOTION

 

HORIZONTAL PROMOTION	·       This happens when an employee is promoted to a senior position within the same job ·       This kind of job may not have a change in responsibilities or a change in supervisory powers over other employees, e.g. where Legal Officer I is promoted to Legal Officer II
VERTICAL PROMOTION	·       This is the kind of promotion where an employee is moved from one job category to a higher job category involving an increase in salary, authority and responsibility ·       This is the ‘ordinary meaning’ of the term ‘promotion’
DRY PROMOTION	·       A promotion without a resultant increase in salary is called a ‘dry promotion’ ·       Such promotion is made when there is a resource or fund crunch in the organisation, or when some employees hanker more for status or authority than money ·       It has built-in motivational value as it elevates the authority, power and status of an employee within an organisation ·       It is considered good personnel policy to fill in vacancies in higher positions through promotions from within because such promotions provide an inducement and motivation in employees and also remove feelings of stagnation and frustration

 

2.2    PURPOSES OF PROMOTION

(i)              To recognise an employee’s skill and knowledge and utilise it to improve the organisational effectiveness

(ii)            To reward and motivate employees to higher productivity

(iii)           To develop competitive spirit and inculcate the zeal in the employees to acquire skills, knowledge, etc.

(iv)           To promote employee’s satisfaction and boost their morale

(v)            To build loyalty among the employees toward organisation

(vi)           To promote good human relations

(vii)         To increase sense of belongingness

(viii)        To retain skilled and talented people

(ix)           To attract trained, competent and hardworking people

(x)             To impress the other employees that opportunities are available to them too if they perform well

 

2.3    CHARACTERISTICS OF A SOUND PROMOTION POLICY

(i)              It must provide equal opportunities for promotion across the jobs, departments and regions

(ii)             It must be applied uniformly to all employees irrespective of their background

(iii)           It must be fair and impartial

(iv)           The basis of the promotion must be clearly specified and made known to the employees

(v)             It must be correlated with career planning – both quick and delayed promotions must be avoided as these adversely affect the organisational effectiveness;

(vi)           Appropriate authority must be entrusted with the task of making final decisions

(vii)          Promotion must be based on the progress of an employee

(viii)        The policy must be a good blend of promotions from inside the organisation and recruitments from outside

 

3.       TRANSFER

·       A transfer refers to the horizontal (lateral) movement of employees within the same grade – i.e. from one job to another

·       It is a change in the job (usually accompanied by a change in the place of the job) of an employee without a change in the responsibilities or remuneration

·       Transfer differs from promotion as the latter involves a change of job involving an increase in salary, authority, status and responsibility while all these factors remain unchanged in the case of the former

·       In addition, transfers are frequent and regular whereas promotions are infrequent, if not irregular

·       A transfer can be initiated by the company or by the employee him/herself, and it could be permanent, temporary or ad hoc to meet emergencies

·       Usually, permanent transfers are made due to changes in work load, death, resignation, etc. of some employees and temporary transfers arise from ill health, absenteeism, etc.

 

3.1       NEED FOR TRANSFER

 

To meet organisational needs	·       Changes in technology, volume of production, production schedule, product line, quality of products, organisational structure, etc. necessitate an organisation to reassign jobs among employees to that right employees are placed on the right jobs
To    satisfy        employee needs	·       Employees may request for a transfer to satisfy their desire to work in a particular department, place or under some superior ·       Personal problems of employees’, e.g. health, family circumstances, interpersonal conflicts, etc. may also necessitate a transfer
The better utilisation of employees’	·       When an employee is not performing satisfactorily on one job and management thinks that his/her capabilities would be utilised better elsewhere, he/she may be transferred
To make the employee more versatile	·       After employees’ work on a job for a specified period, they may be transferred to another job with a view to widening their knowledge and skill, as well as reducing monotony ·       This is also called ‘job rotation’
To adjust the workforce	·       Workforce can be transferred from the departments where there is less work to the departments where there is more work
To provide relief	·       Transfers may be made to give relief to the employees who are overburdened or doing hazardous work for long periods of time
To punish employees	·       Management may use transfers as an instrument to penalise employees who are indulged in undesirable activities – e.g. as a disciplinary action, employees are transferred to remote areas

 

3.2       CHARACTERISTICS OF A SOUND TRANSFER POLICY

(i)              Should specify the circumstances under which transfers will be made – this should be in writing and should be communicated to the employees

(ii)            Should specify the basis for the transfer, i.e. whether the transfer will be made on the basis of seniority or skill and competency, or any other basis

(iii)           Should decide the authority which would handle the transfers

(iv)           Should communicate the fact of transfer to the person concerned well in advance

(v)            Should specify the jobs to which transfers will be made, as well as duties and salary on assumption of new jobs should also be clarified

(vi)           Should clarify whether transfer is permanent or temporary

(vii)         Should indicate whether transfers can be made within a department or between departments or between units

(viii)        Should not be made frequent or for the sake of a transfer only

3.3      

TYPES OF TRANSFERS

 

 

PRODUCTION TRANSFER	·       Such transfers are made when the labour requirements of one division or branch are declining ·       The surplus employees from such division are transferred to those divisions or branches where there is shortage of employees, which helps to avoid layoffs and stabilise employment
REMEDIAL TRANSFER	·       Such transfers are effected to correct the wrong selection and placement of employees ·       A wrongly placed employee is transferred to a more suitable job to protect his interests
REPLACEMENT TRANSFER	·       Replacement transfers are affected when labour requirements are declining and are designed to replace a new employee with one who has been in the organisation for a sufficiently long period of time ·       The purpose of these transfers is to retain long-service employees and give them some relief from the heavy pressure of work
VERSATILITY TRANSFER	·       These transfers are also known as ‘job rotation’ – employees are made to move from one job to another to gain varied and broader experience of work ·       This benefits both the employee and the organisation by reducing boredom and monotony and giving job enrichment to the employee
SHIFT TRANSFER	·       These transfers are affected in the organisation where work progresses for 24 hours or in shifts ·       Employees are transferred from one shift to another, usually on the basis of mutual understanding and convenience
PENALTY TRANSFER	·       Management may use transfers as an instrument to penalise employees involved in undesirable activities in the organisation

 

4.       DEMOTION

·       Demotion is the opposite of promotion – it is the downward movement of an employee in the organisational hierarchy with lower rank/status and pay

·       Demotion affects the status, pride, career and income of the employee

·       It is a punitive measure in cases of serious breaches of duty on the part of an employee and is often used as a preliminary to dismissal of the said employee

·       Since demotion causes insult and emotional jolts, however, it should be used very tactfully and only when it is absolutely necessary

4.1    CAUSES OF DEMOTION

(i)       Incompetence

(ii)     Adverse business conditions

(iii)    Disciplinary measures

 

4.2    CHARACTERISTICS OF A SOUND DEMOTION POLICY

(i)       A clear and reasonable list of rules should be framed, violation of which would subject an employee to demotion

(ii)     This information should be clearly communicated to employees

(iii)    There should be a competent investigation of any alleged violation

(iv)    Once violations are proved, there should be a consistent and equitable application of the penalty, preferably by the immediate supervisor

(v)     There should be provisions for review

 

5.       SEPARATIONS

·       As studied in the previous section, the function of human resource management starts with hiring employees from the society for the employee to render services to the organisation

·       It is therefore only logical that employees go back to the same society when they no longer wish to give their service to the organisation or the organisation no longer requires their services

·       Separation is a situation where the service agreement of an employee with his/her organisation comes to an end and the employee leaves the organisation

 

5.1    RETIREMENT

·       Retirement is the major cause of separation of employees from the organisation – it can be defined as the termination of service of an employee on reaching the age of superannuation

·       E.g. the superannuation age for civil servants is 55 and for the judiciary it is 70 years

·       There are two forms of retirement:

 

COMPULSORY RETIREMENT	This is the retirement when employees retire compulsorily from service on attaining the age of superannuation
VOLUNTARY RETIREMENT	This is when organisations give options to their employees to retire even before superannuation. This may be used in their efforts to downsize the employees by providing certain incentives, e.g. a Golden Hand Shake

 

5.2    RESIGNATION

·       Resignation is the termination of service by an employee by serving notice on the employer

·       Resignation may be voluntary or involuntary:

o   Voluntary resignation is when the employee themselves decides to resign on grounds of ill health, marriage, better job prospects in other organisations, etc.

o   Resignation is considered involuntary when the employer directs the employee to resign on grounds of duty and indiscipline, or else to face disciplinary action

·       However, even in the case of involuntary resignation, a domestic inquiry must be conducted before asking the employee to resign

 

5.3    DEATH

·       Some employees may die in service before reaching the age of retirement

·       When death occurs due to occupational hazards, the employee gets compensation as per the Workmen’s Compensation Act – some organisations have provisions to give this compensation to the spouse/child/dependent of an employee who dies in service

·       The normal separation of employees from an organisation owing to resignation, retirement and death is known as ‘attrition’

 

5.4    LAYOFF

·       Layoff implies denial of employment to the employees for reasons beyond the control of the employer

·       Breakdown of machinery, seasonal fluctuations in demand, shortage of power, shortage of raw materials, economic downturn, etc. are the examples of reasons leading to layoffs

·       It is important to note that the employer-employee relationship does not come to an end – it is merely suspended for some time

·       When a layoff becomes permanent, this is referred to as ‘retrenchment’

 

5.5    RETRENCHMENT

·       Retrenchment is the permanent termination of an employee’s services for economic reasons

·       It occurs on account of surplus staff, poor demand for products, general economic slowdown, etc. and it is worth noting that termination of services on account of retirement, illness or on disciplinary grounds does not constitute retrenchment

 

5.6    DISMISSAL

·       Dismissal is termination of service of an employee as a punitive measure

·       This may occur either on account of unsatisfactory performance or misconduct

·       Persistent failure on the part of employee to perform up to the expectations or specified standard is considered as unsatisfactory performance

·       Wilful violation of rules and regulation by the employee is treated as misconduct

·       Dismissal is a drastic step seriously impairing the earnings and image of the employee. Therefore, dismissal as a measure should be resorted to with great care and caution. It must be justified and duly supported by just and sufficient cause. Before an employee is dismissed, he must be served advance notice to explain his position. The reasons for dismissal must be clearly made known to the employee