Writing, formulating, implementing and monitoring and evaluating Human Resources Management (HRM) policies - 7-step process

1. WRITING AND IMPLEMENTING
HUMAN RESOURCES MANAGEMENT
(HRM) POLICIES
CHARLES COTTER
FOCUS ROOMS, SUNNINGHILL
21-22 SEPTEMBER 2015

2. PRESENTATION OVERVIEW – DAY 1
• www.slideshare.net/CharlesCotter
• Defining policy and related theoretical concepts
• Understanding the different levels of policy
• Understanding the nature, typology and characteristics of HRM policy
development
• HRM Policy as a managerial process:
 Step 1: Agenda-setting/issue (problem) identification
 Step 2: Policy analysis
 Step 3: Policy instruments
 Step 4: Stakeholder engagement, consultation and co-ordination

3. INTRODUCTORY LEARNING ACTIVITY
• Individual activity:
• Complete the following statement by inserting one word only. In
order to be an efficient and effective HRM Policy writer, I need
to/to be………………………………………………
• Jot this word down and find other learners who have written
down the same word.
• Write this word down on the flip-chart.
• Each learner will have the opportunity to explain their choice of
word.

4. INTRODUCTION
• HR Managers need to regard policy formulation, development and
implementation as embedded in the traditional management functions
(P-O-L-C)
• Effective policy management requires a diverse range of management
skills (e.g. conceptual-thinking; problem-solving; people/interpersonal
skills & technical skills)
• Policy is part-and-parcel of any HR manager’s responsibility and requires a
systematic, managed and coordinated approach.
• In the modern business environment, all organizations can be regarded as
an open system.
• To understand the influence of all these levels on organizations, HR
Managers need to apply a holistic management view.

5. DEFINING THE FUNDAMENTAL
CONCEPTS
• Policy
• Types of policy
Educational
Public
HRM
• Functions of policy
• Procedure

7. DEFINITION OF POLICY
• A policy is typically described as a principle or rule to guide decisions and achieve
rational outcome/s.
• Policy can be defined as a purposive course of action based on societal values,
followed in dealing with a matter/concern, and predicting the outcome that would
result from the achievement of the purpose.
• The term, policy, is not normally used to denote what is actually done - this is
normally referred to as either procedure or protocol.
• Policy can be considered as a "Statement of Intent" or a "Commitment". For that
reason at least, HR managers can be held accountable for the "Policy“
• Policy differs from rules or law. Policy merely guides actions toward those that are
most likely to achieve a desired outcome.
• The intended effects of a policy vary widely according to the organization and the
context in which they are made.

8. FUNCTIONS OF POLICY
• Communicate values and expectations for how things are done at your
organization
• Keep the organization in compliance with legislation and provide
protection against employment claims
• Document and implement best practices appropriate to the organization
• Support consistent treatment of staff, fairness and transparency
• Help management to make decisions that are consistent, uniform and
predictable
• Protect individuals and the organization from the pressures of expediency

9. PROCEDURE
• A procedure tells members of the organization
how to carry out or implement a policy.
• Policy is the "what" and the procedure is the
"how to".
• Policies are written as statements or rules.
• Procedures are written as instructions, in logical
steps.

10. ILLUSTRATION: CASCADING OF
POLICY AND PROCEDURAL LEVELS

11. CASCADING LEVELS OF POLICY
DEVELOPMENT
• Government levels - implemented through executive
government structures
• Strategic levels – policy which is directive in nature and
which has its origin at national or strategic level. It provides
practitioners with broad guidelines
• Operational levels - stems from strategic policy and
attempts to put broad policy directives into hands-on
policy actions
• HRM Policy levels

12. DEFINITION OF HRM POLICY
• HRM policies are the formal rules and guidelines that businesses
put in place to hire, train, assess and reward the members of their
workforce.
• These policies can serve to preempt many misunderstandings
between employees and employers about their rights and
obligations in the business place.
• When issues concerning employee rights and company policies
come before the courts, it is standard practice to assume that the
company's human resource policies are a part of an employment
contract between the employee and the company.
• Without clearly written policies, the company is at a disadvantage.

13. ADVANTAGES OF FORMAL HRM
POLICIES
• Those businesses that are able to administer their
HR policies in an intelligent and consistent
manner, benefits can accrue in several areas:
Communication with employees, with managers and
supervisors
Time Savings
Curbing litigation

14. SCOPE OF HRM POLICIES

15. CHARACTERISTICS OF EFFECTIVE HRM
POLICIES
• Authoritative
• Enforceable
• Flexible and adaptable
• Feasible
• Clear
• Transparent

16. MAP OF HRM TERRITORY

17. KEY COMPONENTS OF HRM
TERRITORY MAP
• Policy influencers/determinants:
 Stakeholder interests
 Situational factors
• HRM Policy choices
• HRM Policy outcomes (4 C’s):
 Competence
 Commitment
 Congruence
 Cost effectiveness
• Long-term consequences:
 Individual well-being
 Societal well-being
 Organizational effectiveness

18. LEARNING ACTIVITY 1
• Group Discussion:
By referring to the distinctive characteristics of
policy, as well as the Map of the HRM territory, how
effective would you rate the current level of HRM
policy management performance at Umalusi?
Identify gaps and recommend improvement
strategies.
Provide feedback of a summary of group discussion

19. HRM POLICY TRIANGLE

20. HRM POLICY AS A MANAGERIAL
PROCESS
• Step 1: HRM Agenda-setting/issue (problem) identification
• Step 2: HRM Policy analysis
• Step 3: HRM Policy instruments
• Step 4: Stakeholder engagement, consultation and co-ordination
• Step 5: HRM Policy formulation, decision-making and policy drafting
• Step 6: HRM Policy implementation
• Step 7: HRM Policy monitoring and evaluation

21. LEARNING ACTIVITY 2
• Group Discussion:
 What HRM policy adjustments/amendments have taken place recently at
Umalusi? What initiated this HRM policy change i.e. the reason and/or
source?
 What has been the impact at strategic, operational and functional levels
within Umalusi?
 From your management experience, outline/sketch the HRM policy
development process at Umalusi. Would you regard these processes as
efficient and effective i.e. do you as a HR manager foresee any procedural
shortcomings – both during HRM policy development (drafting) and
implementation stages?
 Provide feedback of a summary of group discussion

22. STEP 1: HRM AGENDA-SETTING/ISSUE
IDENTIFICATION
• Identification and sensitization - process of identifying
HRM policy issues/problems, which require attention and
there is a need to place these issues on the HRM agenda
for deliberation
• Origin/source of the various organizational HRM policy-
related issues:
HRM Policy demands
HRM Policy decisions
HRM Policy statements
Policy as an output
Policy as an outcome
Policy as a programme

23. HRM POLICY DEMANDS
• HR Managers want to be sure that any policies
they bring into the organization:
Address a real need
Are in line with what the company values and how
work should be accomplished
• HR Managers also need to ensure that line
managers have the skills and resources to be
able to implement and monitor the policy

24. STEP 2: HRM POLICY ANALYSIS
• The importance and value of continual HRM policy analysis
• The reasons for policy analysis
• The necessity and benefits of HRM policy analysis
• Role of the HRM policy analyst
• Pre-requisites for HRM policy analysis
• Steps in analyzing HRM policy

25. THE NECESSITY AND BENEFITS OF HRM POLICY
ANALYSIS
• HRM Policy analysis has the following advantages:
• Policy analysis contributes towards the making of rational choices in
policy
• Policy analysis assists the stakeholders in policy to comprehend the
importance of values, particular interests and business considerations in
choosing a desired course of action
• Policy analysis provides tangible facts
• A good policy analysis compares not only objectives or resources, but also
alternative programmes, it makes errors easy to identify by working with
historical contexts and bears in mind that HR managers must implement
policies and that employees are involved.

26. ROLES OF THE HRM POLICY ANALYST
• The primary role of the HRM policy analyst is to analyze and evaluate the
HRM policies.
• It is the responsibility of the policy analyst to advise the HRM policy-maker
on the best course of action to resolve HRM policy inadequacies.
• The HRM policy analyst is performing both a policy analysis and a policy
advocacy function. In doing so, the policy analyst will follow one of three
courses of action or a combination thereof:
 Objective technician (SCIENTIST)
 Issue and Client's (ADVOCATE)
 Viable, feasible and organizational-fit policy (POLITICIAN)

27. ROLES OF THE HRM POLICY ANALYST

28. 6-STEP PROCESS IN ANALYZING HRM
POLICY
• Step 1: Identify the underlying values and aspirations
• Step 2: Understand the problem in its context
• Step 3: Identify the alternative courses of actions
• Step 4: Decide which dimensions of the problem are most important
• Step 5: Predict the likely outcomes of different courses of action
• Step 6: Measure the chosen courses of action against important values
and aspirations

29. LEARNING ACTIVITY 3
• Group Discussion:
By referring to step 1 of the HRM policy development
process, identify a current and/or imminent HRM-related
issues and/or problems at Umalusi that requires HRM
policy review of formulation. Prioritize these issues in
order of their relative importance.
By referring to step 2 of the HRM policy development
process, conduct a thorough HRM policy analysis of the
most pressing issue identified in the preceding step.
Provide feedback of a summary of group discussion

30. STEP 3: HRM POLICY INSTRUMENTS
• Policies find their way on to the agenda of HRM policy-
makers by different routes – external and internal:
Legislation and government policy and priorities
Taxation (the budget)
Persuasion (and public pressure)
Inspection and HRM audits
Minutes of HRM and operational meetings
Legislative records
Provision of services
Newsletter, media briefings and community meetings
Employee grievances (and complaints)
HRM Analytics and other Business Intelligence

31. STEP 4: STAKEHOLDER ENGAGEMENT,
CONSULTATION AND CO-ORDINATION
• HRM Policy-makers must ensure accountability, responsiveness
and openness when consulting with stakeholders
• Right to access to any information
• Extensive consultation and co-ordination between the various
stakeholders is paramount to the effective adoption, approval and
implementation of policy within any organization
• Workers' or employers' associations
• Stakeholder Analysis and Prioritization

32. POWER-INTEREST MATRIX

33. LEARNING ACTIVITY 4
• Group Discussion:
By referring to step 3 of the HRM policy development
process, identify the most relevant policy
instruments/sources for the identified HRM policy
development issue.
By referring to step 4 of the HRM policy development
process, identify the most prominent internal and
external stakeholders. As an Umalusi HR manager,
describe how you will engage and what methods will be
used to consult with these stakeholders.
 Provide feedback of a summary of group discussion

34. PRESENTATION OVERVIEW – DAY 2
• HRM Policy as a managerial process:
Step 5: Policy formulation, decision-making and
policy drafting
Step 6: Policy implementation
Step 7: Policy monitoring and evaluation

35. STEP 5: HRM POLICY FORMULATION AND
ADOPTION (DECISIONS AND POLICY DRAFTING)
• It is a HRM policy-maker’s responsibility to formulate an appropriate response to
the identified needs, desires and demands of the stakeholders. HR managers are
tasked to formulate policy recommendations to the decision makers.
• These factors that should be taken into consideration before adopting a policy,
include inter alia:
 Conditions of establishment
 Political, financial, organizational, human, operational, legal and technical considerations
• HRM policy recommendations are normally drafted by HR managers and then
referred to higher management authority for deliberation, approval and adoption.
• It is important to note that HR managers only make policy recommendations, but
it remains the responsibility of the highest decision-making authority (executive
powers) to approve or reject a particular HRM policy recommendation.
• A HRM policy-maker or decision maker has to be sure of the ability of officials to
actually execute a policy. Before adopting or approving a policy, a HRM policy-
maker or decision maker has to be convinced of the administrative, operational
and managerial capacity to implement the decision.

36. HRM POLICY CONTENT
• A purpose statement
• An applicability & scope statement
• Background
• Definitions
• An effective date
• A responsibilities section

37. HRM POLICY CONTENT
• Policy statements - indicating the specific regulations,
requirements, or modifications to organizational
behaviour that the policy is creating. The statement is
the actual rule or standard the policy needs to
communicate.
• Questions
• References
• Approval

38. TIPS FOR DRAFTING THE HRM POLICY
• Use straightforward clear language and avoid jargon and legal speak
• Check that the content and wording is unbiased and encourages fair, consistent treatment.
• Use terms consistently and define any special terms
• Be sure that there is only one possible meaning to the standard or rule set by your policy
• Consider a few “what if” scenarios and see if the policy still fits, keeping in mind that most
policies will not, and should not, cover every possible circumstance
• For most policies you will want to allow for exceptions to the rule. Use terms like “generally”,
“usually”, and “typically” and avoid terms like “always” and “never”
• Include a statement like “this is intended as a guide only”
• There are a few situations where you want to be absolutely clear that the standard set by the
policy will apply in all situations.
• If using a sample policy or draft, tailor the policy for your specific workplace

39. LEARNING ACTIVITY 5
• Group Discussion:
By referring to the content items of a HRM policy
document and by following the guidelines, draft a policy
for the identified HRM policy issue at Umalusi, discussed
in the preceding learning activity.
Provide feedback of a summary of group discussion

40. STEP 6: HRM POLICY IMPLEMENTATION
• The implementation of the policy will have to be overseen and managed by HR management
• Every functional field will employ appropriate technology for the implementation of such policy
• Every official concerned with the making and the implementation of policy will always have to be
on the look-out for techniques which could be used to improve the performance of the functions
involved
• It is necessary to mention that the institutions and functionaries concerned with the
implementation of a policy should market their implementation plans, programmes/projects
• The marketing activities should be approached as a continuous process and adapted to answer the
questions asked about the implementation activities.
• An effective information service should be available to the functionaries charged with the policy
implementation.
• After the executive authority has accepted a particular recommendation, the HRM policy has to be
translated into action. A HRM policy-maker should never get involved in the physical execution of
policies, because it is the responsibility of the line management/officials to implement these
policies.

41. LEARNING ACTIVITY 6
• Group Discussion:
Describe how the adopted HRM policy will be
implemented at Umalusi. Focus on the methods that will
be used.
Also explain how HR and line management will ensure
that the organization has the administrative, operational
and managerial capacity for HRM policy implementation
at Umalusi.
Provide feedback of a summary of group discussion

42. STEP 7: HRM POLICY MONITORING AND
EVALUATION (M&E)
• Policy-makers should however, request periodical feedback as to monitor the
implementation of its decision
• It is important for HR managers to ensure that they receive regular and accurate
feedback on the perceived success of organizational HRM policies from officials in
this particular department.
• HR Managers would be able to adhere to the accountability and transparency
prerequisites required of all HRM governance action.
• After physical implementation, it is important for a HR manager to evaluate the
efficiency and effectiveness of a HRM policy.
• In order to determine if a policy has any shortcomings or to determine if there is
room for improvement, officials should be requested to submit quarterly reports
on the performance aspects of all HRM policies, programmes and projects.
• These reports will determine if corrective steps should be taken. If so, these will be
channeled into the policy process and the process will repeat itself.

43. LEARNING ACTIVITY 7
• Group Discussion:
Describe how the implemented HRM policy will
be monitored and evaluated at Umalusi. Focus
on the methods, systems and processes that will
be used.
Provide feedback of a summary of group
discussion

44. CONCLUSION
• SUMMARY OF KEY POINTS
• LEARNING “TAKE-AWAYS"
• QUESTIONS
• TRAINING ADMINISTRATION
• CERTIFICATION
• THANK YOU!

45. CONTACT DETAILS
• CHARLES COTTER
• +27 84 562 9446
• charlescot@polka.co.za
• LINKED IN
• TWITTER: Charles_Cotter