UNIT 6 JOB ANALYSIS

Objectives

After going through this unit, you should be able to understand:

l the concept of job analysis and its significance to the organisations,

l the different methods of collecting information for job analysis, and

l job-anlaysis and its relationship vis-a-vis job description and job specification.

Structure

6.1 Introduction

6.2 Job Analysis

6.3 Some Considerations

6.4 Method of Collecting Information

6.5 Job Analysis: Process

6.6 Steps in the Job Analysis Process

6.7 Job Description

6.8 Design of Job Description

6.9 Uses of Job Description

6.10 Job Specification

6.11 Summary

6.12 Self-Assessment Questions

6.13 Further Readings

6.1 INTRODUCTION

Organisation is described as a rational coordination of the activities of employees

through division of labour, responsibility, authority and accountability. Built in this

description is the realisation that organisations perform a series of activities and that

to perform these activities different kinds of skills are required. Each activity carries

its own set of responsibilities and the employees are given appropriate authority to

perform these activities. Not only this, they are also accountable to the organisation

through their immediate supervisors for accomplishing these activities according to

specifications. Hence, a clear understanding of what they are supposed to do becomes

a pre- requisite for effective utilisation of organisational resources. Job analysis helps

us to achieve this objective.

6.2 JOB ANALYSIS

There exists a wide range of job evaluation methods. The choice of an evaluation

method is dependent on the number and kind of jobs to be evaluated, the cost of the

operation, available resources, the degree of precision required and the organisations’

environments- both internal and external. However, whatever be the chosen method,

systematic gathering and analysis of information about jobs is a prerequisite. The job

analysis process involves gathering of such information.

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Approaches to

Analysing Job

Job analysis is the process by which data, with regard to each job, is systematically

observed and noted. It provides information about the nature of the job and the

characteristics or qualifications that are desirable in the jobholder. The data from job

analysis could be used for a variety of purposes. The job analysis study attempts to

provide information in seven basic areas:

1. Job Identification or its title, including the code number, if any.

2. Distinctive or significant characteristics of the job, its location setting, supervision,

union jurisdiction, and hazards and discomforts, if any.

3. What the typical worker does: Specific operations and tasks that make up the

assignment, and their relative timing and importance; the simplicity, the routine,

or complexity of tasks, responsibility for others, for property, or for funds.

4. What materials and equipment the worker uses: Metals, plastics, grain, yarns;

and lathes, milling machines, electronic ignition testers, corn huskers, punch

presses, and micrometers are illustrative.

5. How the job is performed: The emphasis here is on the nature of operations, and

may specify such operations as handling, feeding, removing, drilling, driving,

setting up, and many others.

6. Required personnel attributes: Experience, training apprenticeship, physical

strength, coordination or dexterity, physical demands, mental capabilities,

aptitudes, and social skills are some attributes.

7. The conditions under which the work is performed: Working conditions and

work environments is a major contributing factor in the performance of the job,

and the satisfaction of the employee. A dimly highlighted, poorly ventilated and

crowded place of work hampers efficiency. The workers are forced to spend

more energy to accomplish tasks, which they can do, in much lesser efforts in

otherwise conditions. Poor working conditions have been found to cause greater

fatigue, negligence, absenteeism, indiscipline and insubordination among the

employees.

Each of these piece of information is essential; it is not sufficient to merely list a

series of tasks or duties, because each piece of information is used in determining the

level of work and responsibility and the knowledge, skill and abilities needed to

perform them to an acceptable level of proficiency.

The process of assembling and recording information on such essential

characteristics of jobs is known as job analysis. In other words, jobs are subjected to

analysis to find out precisely what the duties, responsibilities, working environment

and other requirements of a job are and to present these in a clear, concise and

systematic way. Job analysis should be undertaken by trained job analyst working in

close collaboration with managers and jobholders.

Before proceeding further, certain terms used in job analysis and related stages in the

job evaluation process need to be clarified.

Element: The smallest unit into which work can be divided.

Task: A distinct identifiable work activity, which comprises a logical, and

necessary step in the performance of a job.

Duty: A significant segment of the work performed in a job, usually

comprising several tasks.

Post (or): One or more duties, which require the services or activities of one

worker for their performance;

Job: A group of posts that are identical or involve substantially similar tasks.

Occupation: A group of jobs similar in terms of the knowledge, skills, abilities,

training and work experience required by workers for their successful

performance.

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Job Analysis 6.3 SOME CONSIDERATIONS

Job analysis might give the impression that while identifying components of job, we

are looking at everything that concerns the job. However, in analysing the job,

following considerations must be kept in mind:

1. Job analysis is not a one-time activity. Jobs are changing continuously. What

was a job yesterday is not the same job today and would not remain the same in

future. These changes are caused by changing technology, competition, changing

profile of the workforce, changing expectations of end users and a host of

other factors. Hence, analysis must be continuously done to update the nature of

job.

2. The Job and not the person—an important consideration in job analysis is

conducted of the job and not of the person. While job analysis data may be

collect from incumbents through interviews or questionnaires, the product of the

analysis is a description or specifications of the job, not a description of the

person doing the job.

3. All activities relating to job analysis give us only the minimum requirements of

the job. No analysis can identify either the ultimate or full and complete requirements.

What it does is simply highlights what are minimum activities that are

entailed in a job. The reason is simple. No one can foresee the final outcome

because of changes taking place in the nature of job.

6.4 METHOD OF COLLECTING INFORMATION

There are several ways in which information about a job can be collected. In order to

have a full understanding of the job contents, a number of sources should be

explored. By and large, the following sources are generally used.In all the following

three methods, verification of the information collected from the holder of the job is

necessary. Very often, while collecting information people tend to describe those

aspects of the job that they are not doing or would like to do. Hence, after the

information has been collected from the employee, an interview with immediate

supervisor must be conducted to verify the authenticity of the information.

1. Job Questionnaire

To make a start, a job questionnaire could be administered to all concerned

employees asking them about the job, its various components, time spent on each of

them, and so forth. The completed questionnaire could be given to the supervisors for

their comments. In some cases, job-reviewing committees are formed, consisting of

union representatives and specialists from the personnel, work-study, or industrial

engineering department.The questionnaire has the following advantages:

1. First of all, it is the most cost effective method, since it can elicit information

from a wide number of workers and their immediate superiors in a relatively

short period of time. The main task of the analyst becomes one of planning the

questionnaire well and checking the responses provided.

2. Secondly, workers take an active part in completing the questionnaire providing

intimate detailed knowledge of their jobs, which is not available elsewhere.

3. Thirdly, the questionnaire has to be structured in advance, and this facilitates the

processing of the results.

4. In some cases, once the responses to the questionnaire have been verified, they

can conveniently be used with little further processing to prepare a job

description.

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Approaches to

Analysing Job

The questionnaire method however has the following disadvantages:

1. To start with, the people required to complete it must have a certain level of

education; and even then, questions may be interpreted in different ways so that

the answers may be beside the point.

2. Furthermore, not everyone is able to describe fully and exactly the task that

constitute their job. One may, for example, over-emphasise some features of it

and completely ignore others when they are important.

3. There is less risk of this with a detailed questionnaire that includes a checklist of

points, questionnaire suited to all jobs is not easily drawn up and may be unduly

long.

In practice, while a well-structured questionnaire can get essential information

quickly, it is virtually impossible to get complete comparable information solely by

questionnaire, and this method is generally used in combination with interviews and

direct observation.

2. Interview

In practice, an interview is almost always necessary in order to obtain precise,

complete and comparable information. The interview conducted by the analyst is an

effective way of checking on the information already available on job. The analyst

asks the jobholders questions on the duties and main tasks of their job, generally

working from a previously prepared list of questions as with a questionnaire. After

the interview, the analyst draws up a report, which is shown, to the jobholder and his

immediate superior for their approval. The analyst usually drafts the report in the

form of a job description, which effectively speeds up the preparatory work of job

evaluation.

Following are some of the disadvantages of this method:

1. Interviews are time consuming. At least an hour or two may be necessary for

each case, plus the time spent by the analyst in drawing up his report and by the

jobholder and his immediate superior in checking it. In a large enterprise a team

of analysts would be necessary.

2. The main difficulty of the interview lies in finding high quality analysts who

can win the jobholder’s confidence. As has been noted, “ too many imagine

interviewing to be relatively simple whereas nothing could be farther from the

truth.” Obtaining information from a jobholder about his job is difficult.

3. Many workers show a natural distrust of the analyst who comes to examine their

work, while others will give a lot of information, much of it useless. It is

accordingly essential to have a well trained and experienced team of analysts if

the interview is to be the only method used.

However interview has some advantages:

1. Interview does provide in- depth information, which cannot be achieved through

any other method.

2. It also helps in collecting data about tasks that are not part of the job and yet the

jobholder has to do it.

3. At the same time it can also help in finding ways and means to simplify some of

the operations involved in the job.

3. Observation

For jobs of a simple and repetitive nature, the observation technique could provide

adequate information on the job being performed. A clear picture may be obtained

regarding the working conditions, equipment used, and skills required. Although all

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jobs could be usefully observed, this technique alone is not enough for more complex Job Analysis

jobs, especially those that have many components or interactions.

Some advantages of this method are:

1. It is most suitable for simple and repetitive jobs.

2. Direct observation by the analyst can clear up points left unclear by other

methods.

At the same time, some of the disadvantages of this method are:

1. The presence of analyst causes stress. The workers may dislike being observed.

2. The jobholders may purposely reduce the pace of activity to justify overtime.

3. Observation cannot be a suitable method where the job calls for considerable

personal judgment and intellectual ability.

4. It may not take into account all the tasks in a work cycle stretched over a week

or a month.

4. Independent observers

In addition to the employees themselves providing information about the jobs they

are doing, trained observers could also be used to supplement the employees’ data

and to discover inadequate performance in “ crucial tasks”, which would lead to job

failure.

In addition there are some not so often used method of job analysis. Some of them

are presented here:

1. Diary: One or more incumbents are asked to keep a diary of duties noting the

frequency of the tasks performed. These diaries then become the basis for doing

job analysis.

2. Critical incidents: Ask one or more incumbents to brainstorm (if there is only

one person you will have to participate in the brain storming) about critical

incidents that happen routinely and infrequently while working. Separate these

into two lists. Generate one list of incidents indicating good or excellent performance

and one, which indicates poor performance. This approach is excellent

for determining training and selection strategies. The results lend themself to

meeting discrimination complaints concerning selection choices where the

person chosen clearly possesses the skill and knowledge to perform the most

critical duties indicating success on the job. The analyst will have to extrapolate

a list of duties to be performed from the incidents.

3. Photo tape recording of job performance: This is a good approach because it

can be watched over and over again to perform analysis and because it can be

pulled out later to re-evaluate. Having such a tape is excellent source for

undertaking job analysis.

4. Review of records: Records of work such as maintenance requests is reviewed

and a list of requested repairs is made. In this situation it is important to take

representative samples so that seasonal variations in work requests do not

mislead. This is a good approach for such jobs as mechanic or electrician. The

kinds of repairs being performed and, thus, the duties being performed most

often can be itemized. However, this approach could also be used for computer

programming and computer trouble-shooting jobs in which incumbents have

records of work requests or work competed.

The data to be gathered by all these methods is dependent in large part on the purpose

the analysis is to be put to. Information about training needs requires information

about the transaction of the work so that the trainer can determine the critical skills

and knowledge that must be improved. Selection decisions require the same

information usually on a broader scale. A lot of information can be inferred from

well-written task statements.

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Approaches to

Analysing Job

Some of the examples of the kind of data, which can be gathered for job analysis, are

given below.

l List of tasks

l List of decisions made

l Indication of results if decisions are not made properly

l Amount of supervision received

l Supervision exercised

l Kind of personnel supervised

l Diversity of functions performed by supervised staff

l Interactions with other staff (description of the staff interacted with)

l Physical conditions

l Physical requirements (For instance how heavy are the objects that are lifted.

How much stooping and bending is conducted and under what conditions)

l Software used

l Programming language used

l Computer platform used

l Interpersonal contacts with outsiders (customers)

l Interpersonal persuasive skills or sales skills

l Amounts of mental or psychical stress

l Necessity to work as a team member

l Needed contributions to a work group

l Authority or judgment exercised

l Customer service skills

Generally, it is preferable to use a combination of several methods to get information

about the job. One method could well supplement the other, where the objective is to

gain as much information as possible about the job, the crucial tasks, and the

essential qualifications required to perform them satisfactorily. An objective data

gatherer would avoid introducing his own ideas, and also avoid describing the

employees performing the job, rather than the “job” itself, for many of the

employee’s personal traits may have little or no relevance to the job.

6.5 JOB ANALYSIS: PROCESS

To be meaningful and useful for personnel related decision-making, job analysis must

be carried more at frequent intervals. Jobs in the past were considered to be static and

were designed on the basis that they would not change. While people working on

these jobs were different, the jobs remained unchanged. It is now realised, that for

higher efficiency and productivity, jobs must change according to the employees who

carry them out. Some of the major reasons leading such change are:

Technological Change: The pace of change in technology necessitates changes in the

nature of job as well as the skills required. Word processing has drastically changed

the nature of secretarial jobs. Computerization and automation likewise give rise to

new requirements of certain jobs while older requirements become redundant.

Union- Management Agreements: The agreements entered between management and

the union can bring about change in the nature of job, duties and responsibilities. For

example, under employees participation scheme, the workers are encouraged to

accept wider responsibilities.

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People: Human beings are not robots; each employee brings with him his own Job Analysis

strengths and weaknesses, his own style of handling a job and his own aptitude.

There is a saying that the job is what the incumbent makes of it.

Thus, the job analysis process must take into account the changing nature of job on

account of the factors listed above. Often, role analysis techniques are used in dealing

with the dynamic nature of job requirements.

6.6 STEPS IN THE JOB ANALYSIS PROCESS

The major steps to be followed in carrying out job analysis in an on-going

organization are given below:

1. Organization Analysis: The first step is to get an overall view of various jobs in

the organisation with a view to examine the linkages between jobs and the

organisational objectives, interrelationships among the jobs, and the contribution

of various jobs towards achieving organisational efficiency and effectiveness.

The organisation chart and the work flow or process charts constitute an

important source of information for the purpose.

2. Uses of Job Analysis Information: Depending on organisational priorities and

constraints, it is desirable to develop clarity regarding the possible uses of the

information pertaining to job analysis. In the previous pages it has been already

indicated that such information could be utilised practically for all personnel

functions. Nevertheless, it is important to focus on a few priority activities in

which the job analysis information could be used.

3. Selection of Jobs for Analysis: Carrying out job- analysis is a time- consuming

and costly process. It is, therefore, desirable to select a representative sample of

jobs for purposes of analysis.

4. Collection of Data: Data will have to be collected on the characteristics of job,

the required behaviour and personal attributes needed to do the job effectively.

Several techniques for job analysis are available. Care needs to be taken to use

only such techniques, which are acceptable and reliable in the existing situation

within the organisation.

5. Preparation of Job Description: The information collected in the previous step

is used in preparing a job description for the job highlighting major tasks,

duties, and responsibilities for effective job performance.

6. Preparation of Job Specification: Likewise, the information gathered in step (4)

is also used to prepare the job specification for a job highlighting the personal

attributes required in terms of education, training, aptitude and experience to

fulfil the job description.

Job Analysis thus carried out provides basic inputs to the design of jobs so that it is

able to meet the requirements of both the organization (in terms of efficiency and

productivity) as well as the employees (in terms of job satisfaction and need

fulfilment). Developing appropriate job design is then the outcome of the job analysis

process.

The most important use of job analysis is to produce a basic job description of what

the job is to facilitate basic human resource problem solving. The second is to

provide employees and supervisors with a basic description of jobs describing duties

and characteristics in common with and different from other positions or jobs. When

pay is closely associated with levels of difficulty these descriptions will help foster a

feeling of organisational fairness related to pay issues. Other important uses of job

analysis are given below:

l Indicate training needs

l Put together work groups or teams

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Approaches to

Analysing Job

l Provide information to conduct salary surveys

l Provide a basis for determining a selection plan

l Provide a basis for putting together recruitment

l Describe the physical needs of various positions to determine the validity of

discrimination complaints

l As part of an organisational analysis

l As part of strategic planning

l As a part of any human relations needs assessment

l As a basis for coordinating safety concerns

Job analysis is indeed an essential part of any modern human resource management

system. The kind of information gathered through job analysis varies considerably

depending upon the specific uses to be made of it. Accordingly, job analysis

programmes are usually tailor-made for the specific purpose.

Activity A

“Smaller organisations do not need job analysis for their jobs because most of their

employees conduct a myriad of activities, too far-reaching for a standard job

analysis”. Give your view point.

.............................................................................................................................................

.............................................................................................................................................

.............................................................................................................................................

Activity B

Discuss the sources of errors in your own organisation or any organisation you are

familiar with, that can distort or render job analysis information inaccurate.

.............................................................................................................................................

.............................................................................................................................................

.............................................................................................................................................

6.7 JOB DESCRIPTION

Data collected for job analysis provides the basis for preparing job description. It

refers to the job contents and the expectations that an organisation has from its

employees. Job descriptions usually outline the minimum requirements of jobs for

many reasons:

1. First, despite all the attempts, a perfect and fully inclusive job description is not

possible. In fact, as one moves up in the hierarchy of an organisation, a detailed

job description becomes very difficult.

2. Secondly, most organisations would prefer not to describe the job fully, if it is

possible, because employees would then stick to what has been described and

would not do anything beyond it.

3. Thirdly, if a job were fully described, supervision would automatically be taken

care of by the duties performed, making some of the duties of the supervisory

staff redundant.

4. Fourthly, technology is changing fast and hence the nature of job is also changing.

Unless an organisation continuously updates the job description, it would

be difficult to monitor the performance of the employees.

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Job Analysis 6.8 DESIGN OF JOB DESCRIPTION

A primary output or result of job analysis is job description. Information obtained by

job analysis is shifted and recorded concisely, clearly and fully in the job description.

The job description must assemble all the important elements of a job, such as

essential tasks, responsibilities, qualifications required and the functional relation of

the job to other jobs.

There is no universally accepted standard format for job descriptions for the reason

that the form and structure of the job descriptions must depend on the kind of work

being analysed and the job evaluation plan being used. For example, if the job

evaluation form comprises factors such as physical and intellectual effort,

knowledge, skills, responsibilities and working conditions, it follows that job

description should be structured to reflect these factors so as to facilitate factor by

factor comparison and evaluation of the jobs. With non- analytical methods, job

description may be more flexible and simpler but most specify the title of the job and

its position in the organisation, summarises the tasks performed and list the skills and

abilities required.

It is helpful to follow the following guidelines when writing a job description:

1. Always be accurate about what is expressed.

2. Omit expressions which are attributes— such as uninteresting, distasteful, etc.

3. Personal pronouns should be avoided— if it is necessary to refer to the worker,

the word “ operator” may be used.

4. Do not describe only one phase of the job and give the impression that all

phases are covered.

5. Generalized or ambiguous expressions, such as ‘prepare’, ‘assist’, ‘handle’ etc.

should be omitted unless supported by data that will clarify them.

6. All statements should be clearly defined and simply set down- promiscuous use

of adjectives only reflects one’s own opinion.

7. Describe the job as is being done, by the majority of workers holding the

designation.

8. Write in simple language— explain unusual technical terms.

9. Description of a job, which is part of teamwork, should establish the team

relationship.

10. The length of description is immaterial; it is not expected even with printed

forms that all job descriptions should be of equal length but write concisely.

11. When the job analyst finds that the data he has to work with is insufficient, s/he

should stop until sufficient data is available.

12. Put the date of completion of each description and revise it as often as changes

in jobs and occupation require.

13. Job description should have the concurrence of the concerned supervisor.

14. Description should contain the initials of the persons who compile them.

6.9 USES OF JOB DESCRIPTION

Apart from being a basis for job evaluation, the job descriptions can be put to many

uses. They are as under:

1. Supervisor- Employee Communication: The information contained in the job

description outlines the work, which the incumbent is expected to perform.

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Approaches to

Analysing Job

Hence, it is an extremely useful document for both the supervisor and the

subordinate for purposes of communication. Furthermore, it helps employees to

understand just what work their associates are expected to perform, thus,

facilitating integration of efforts at the work site by the employees themselves.

2. Recruitment, Selection, Promotion, Transfer: Information pertaining to the

knowledge, skills and abilities required to perform the work to an acceptable

standard, can be used as a sound basis on which to base standards are

procedures for recruitment, selection, promotion and transfer.

3. Work Performance Appraisal: To be sound and objective, a performance

appraisal system must be rooted in the work performed by the employee; such

work is indicated by the duties in the job description. In such an approach, using

each duty as the basis for discussion, the employee and the supervisor agree on

work performance goals for the period to be covered by the subsequent

evaluation report; they also agree on the criteria to be used to determine the

extent to which the goals have been attained. The reports resulting from this

methodology minimize subjectivity by focusing attention on the job, as distinct

from the personality traits, habits or practices of the employee. As a consequence,

the results are more factual; valid and defensible than is the case in

other types of systems.

4. Manpower Planning, Training and Development: These three processes are

closely interrelated. The job description showing, in specific terms, the

knowledge, skill and ability requirements for effective performance of the

duties, is a sound and rational basis for each of these processes. Analysis of

various types of jobs at progressively more senior levels will indicate logical

sources of supply for more senior posts, as part of manpower planning. It will

also indicate the gap to be bridged in terms of knowledge, skill and ability, thus

providing a sound basis for preparing job- related training and development

programmes.

5. Industrial Relations: Frequently, issues arise in the industrial relations field,

which have their origin in the work to be undertaken. In these instances the job

description may be used to form a factual basis for discussion and problem

resolution.

6. Organization and Procedure Analysis-The duties and responsibilities outlined in

the job description may be used to a great advantage by management in

analysing organisation and procedures, because they reveal how the work is

organised, how the procedure operate and how authority and responsibility are

appointed.

A Job Description should include a:

1. Job Title: It represents a summary statement of what the job entails.

2. Job Objective or Overall Purpose Statement: This statement is generally a

summary designed to orient the reader to the general nature, level, purpose and

objective of the job. The summary should describe the broad function and scope

of the position and be no longer than three to four sentences.

3. List of Duties or Tasks Performed: The list contains an item-by-item list of

principal duties, continuing responsibilities and accountability of the occupant

of the position. The list should contain each and every essential job duty or

responsibility that is critical to the successful performance of the job. The list

should begin with the most important functional and relational responsibilities

and continue down in order of significance. Each duty or responsibility that

comprises at least five percent of the incumbent’s time should be included in the

list.

4. Description of the Relationships and Roles: the occupant of the position holds

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within the company, including any supervisory positions, subordinating roles Job Analysis

and/or other working relationships.

6.10 JOB SPECIFICATION

Workload analysis helps in identifying the minimum qualification needed to perform

a particular job. These may include academic qualifications, professional

qualifications, age, years of experience, relevance and nature of previous experience,

and other skills and attitudes. They form the minimum eligibility requirements, which

the candidate must have, for the appointment to a job. A clear indication of

specifications helps in generating eligible applications, because of self-selection. The

candidates who do not possess those qualifications do not apply. On the other hand,

lack of clear- cut specifications may generate a large number of applications, leading

to high costs, in terms of man-hours, in processing them.

There is a great deal of disagreement with regard to developing complete and correct

job specification unlike the job description, which provides more objective

assessment of job requirements. The decision to specify minimum human

requirements for a job is a difficult one as it involves considerable degree of

subjectivity. There is a general feeling that organisations generally tend to establish

relatively high requirements for formal education and training, resulting in a situation

where highly qualified people end up doing jobs of routine nature. Particularly, in

India, highly qualified personnel are recruited for jobs where their abilities, skills and

knowledge are under- utilized.

Despite these problems, however, minimally acceptable human requirements need to

be specified for various jobs and category of jobs. The format for job specification

should include the following items:

l Position Title

l Education/ Training

l Experience

l Knowledge

l Abilities

l Skills

l Aptitude

l Desirable Attributes

l Contra-indicators, if any.

From job analysis to jobless world

Job enrichment means redfining in a way that increases the opportunities for workers

to experience building of responsibility, achievement, growth and recognition by

doing job well.

l Analysing together the job

l Establishing client recognition

l Vertical loading

l Job-Sharing

l Flexible job doing pattern etc.

l Open feedback channels.

Whether specialised, enlarged or enriched, workers skill generally like to have

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Approaches to

Analysing Job

specific job to do and the job require job descriptions. But in the emerging

organisation today jobs are becoming more amorphous and more difficult to define.

In other words the trend is towards “do-jobbing in many modern organisation.

6.11 SUMMARY

Job Analysis is the process of job-related data. The data collected will be useful for

preparing job description and job specification. Job description lists job title, duties,

machines and equipment involved, working conditions surrounding a job and the

like. Job specification lists the human qualifications and qualities necessary to do the

job.

Job analysis is useful for HRP, recruitment and selection, training and development,

job evaluation, remuneration, performance appraisal, personnel information and

safety and health programmes. It also aides analysis of the organisation structures and

the work systems/procedures and contribute towards improving the productivity of

the organisation.

A logical sequence to job analysis is job design which is nothing but organisation of

tasks, duties and responsibilities into a unit of work.

6.12 SELF-ASSESSMENT QUESTIONS

1. What do you mean by job analysis? Explain the process of job analysis.

2. Explain various methods of collecting information for job analysis.

3. Define job description. Explain the uses of job description.

6.13 FURTHER READINGS

Aswathappa, A. (2002) Human Resource and Personnel Management: New Delhi:

Tata McGraw.

Beddoe Robin Forbes (1988). How to prepare a job evaluation: Job Description,

Working Time Analysts.

Burns, M (1978). Understanding Job Evaluation, Institute of Personnel Management,

London, IPM.

ILO (1986), Job Evaluation, ILO, Geneva.

Morris, J. Walker (1973). Principles and Practice of Job Evaluation, London,

Heinemann Halley Court, Jordan Hill, Oxford.

Peterson T.T(1972). Job Evaluation: A manual for Peterson Method. Vol 2, London,

Business Books.

Saiyadain, M.S(2003) Human Resource Management (3rd ed), New Delhi: Tata

McGraw

US Civil Service Commission (1976): Job An

4123-15-03 Standards of conduct.

(A) Purpose.

It is the policy of the industrial commission and the bureau of workers' compensation to

carry out its mission in accordance with the strictest ethical guidelines and to ensure that

commission and bureau employees conduct themselves in a manner that fosters public

confidence in the integrity of the commission and the bureau, its processes, and its

accomplishments.

The commission and the bureau hereby adopt the provisions of the Ohio ethics law,

including but not limited to the provisions of Chapters 102. and 2921. of the Ohio

Revised Code, and as interpreted by the Ohio ethics commission and Ohio courts.

(B) Prohibited Conduct.

(1) No industrial commission member, the administrator of workers'

compensation, bureau of workers' compensation board of directors member,

commission employee, bureau employee, ombudsperson, or employee of the

office of ombudsperson shall do any of the following acts:

(a) Solicit or accept anything of value from anyone doing business with

the commission or the bureau;

(b) Solicit or accept employment from anyone doing business with the

commission or the bureau, unless the member or employee completely

withdraws from any commission or bureau discretionary or decisionmaking

activity regarding the party offering employment, and the

commission or the bureau approves the withdrawal;

(c) Use his or her public position to obtain benefits for the member or

employee, a family member, or anyone with whom the member or

employee has a business or employment relationship;

(d) Be paid or accept any form of compensation for personal services

rendered on a matter before, or sell goods or services to the commission or

the bureau;

(e) Be paid or accept any form of compensation for personal services

rendered on a matter before, or sell (except by competitive bid) goods or

services to, any state agency other than the commission or the bureau, as

applicable, unless the member or employee first discloses the services or

sales and withdraws from matters before the commission or the bureau

that directly affect officials and employees of the other state agency, as

directed in section 102.04 of the Revised Code;

(f) Hold or benefit from a contract with, authorized by, or approved by the

commission or the bureau, (the ethics law does accept some limited

stockholdings, and some contracts objectively shown as the lowest cost

services, where all criteria under section 2921.42 of the Revised Code are

met);

(g) Vote, authorize, recommend, or in any other way use his or her

position to secure approval of a commission or bureau contract (including

employment or personal services) in which the member or employee, a

family member, or anyone with whom the member or employee has a

business or employment relationship, has an interest;

(h) Solicit or accept honoraria (see division (H) of section 102.01 and

division (H) of section 202.03 of the Revised Code) except that employees

who are not financial disclosure filers may receive an honorarium only if

the honorarium is paid in recognition of a demonstrable business,

profession, or esthetic interest of the employee that exists apart from

public office or employment, and is not paid by any person or other entity,

or by a representative or association of those persons or entities, doing

business with the commission or the bureau, as applicable;

(i) During public service, and for one year after leaving public service,

represent any person, in any fashion, before any public agency, with

respect to a matter in which the member or employee personally

participated while serving with the commission or the bureau, as

applicable;

(j) Use or disclose confidential information protected by law, unless

appropriately authorized;

(k) Use, or authorize the use of, his or her title, the name of the

commission or the bureau, or the agencies logos in a manner that suggests

impropriety, favoritism, or bias by the commission or the bureau, or by a

member or employee;

(l) Solicit or accept any compensation, except as allowed by law, to

perform his or her official duties or any act or service in his or her official

capacity; and

(m) Sponsor parties or other entertainment for the personnel of their

agencies, the costs of which are covered in whole or in part by donations

or receipts from the sale of tickets to individuals or entities, who are doing

or seeking to do business with the commission or bureau.

(2) For purposes of this rule, these phrases have the following meanings:

(a) "Anything of value" includes anything of monetary value, including,

but not limited to, money, loans, gifts, food or beverages, social event

tickets and expenses, travel expenses, golf outings, consulting fees,

compensation, or employment. "Value" means worth greater than de

minimis or nominal.

(b) "Anyone doing business with the commission or the bureau" includes,

but is not limited to, any person, corporation, or other party that is doing

or seeking to do business with, regulated by, or has interests before the

commission or the bureau, including anyone who is known or should be

known to be an agent or acting on behalf of such party, including any

person or entity marketing or otherwise attempting to secure business with

the commission or the bureau.

(C) Conflict of interest.

No employee of these agencies shall engage in outside employment that results in a

conflict or apparent conflict with the employee's official duties and responsibilities.

(1) Outside employment or activity in which an employee with or without pay

represents a claimant or employer in any matter before the industrial commission,

or the bureau of workers' compensation is prohibited.

(2) Outside employment with an attorney, representative or entity that involves

work concerning industrial claims, whether filed or to be filed, or which is in any

way related to workers' compensation matters is prohibited.

(D) Professional code of ethics.

In the event there is any conflict between a professional code of ethics governing any

employee of these agencies and this code of ethics for employees, the professional code

of ethics shall take precedence over the code of ethics for employees but the conflict shall

be promptly reported to the employing agency. In such case the agency shall promptly

determine the degree of conflict and take such further action as may be indicated.

(E) An employee shall not use state property of any kind for other than approved

activities. The employee shall not misuse or deface state property. The taking or use of

state property for the private purposes of an employee is prohibited. The employee shall

protect and conserve all state property, including equipment and supplies entrusted to or

issued to the employee.

(F) Diligence and impartiality in work.

Employees are encouraged to avoid absenteeism and tardiness, to not use sick leave

unless necessary and to abide by rules of the Ohio civil service. Recognizing that the

industrial commission and bureau of workers' compensation serve many people whose

interests are divergent, employees should work in a speedy and efficient manner, strive to

be courteous, fair and impartial to the people they serve, and responsive to the problems

that come before them. All segments of the public are to be treated equally, without

regard to age, race, sex, religion, country of origin, or handicap.

(G) It is understood that standards of ethical conduct may involve a myriad of situations.

The good conscience of individual employees shall remain the best guarantee of the

moral quality of their activities. The overall intent of this code of ethics is that employees

avoid any action, whether or not prohibited by the preceding provisions, which result in,

or create the appearance of:

(1) Using public office for private gain, or

(2) Giving preferential treatment to any person, entity, or group.

(H) Confidential information.

The confidentiality of all information which comes into possession of commission and

bureau employees shall be respected. In order to properly discharge this duty, all

employees must acquaint themselves with those areas of information that are designated

as confidential by statutes, by the courts and by the attorney general. Furthermore, they

must become familiar with the circumstances under which and the persons to whom such

information can be released.

(I) Every member or employee required to file a financial disclosure statement must file a

complete and accurate statement with the Ohio Ethics Commission by April fifteen of

each year. Any member or employee appointed, or employed in a filing position after

February fifteen of each year, and required to file a financial disclosure statement must

file a statement within ninety days of appointment or employment.

Effective: 2/15/08

Prior Effective Dates: 1/1/78, 8/15/07

Marketing Management 1)

Facility information, progress reports & USDA-APHIS reports

For links to copies of this facility's U.S. Department of Agriculture (USDA)-Animal Plant Health Inspection (APHIS) reports, other information and links, see also Facility Reports and Information: Proctor & Gamble, Cincinnati, Ohio. [3]

For links to copies of this facility's USDA-Animal Plant Health Inspection (APHIS) reports, other information and links, see also Facility Reports and Information: The IAMS Company, Dayton, OH.[4]

USDA AWA reports

As of May 26, 2009, the USDA began posting all inspection reports for animal breeders, dealers, exhibitors, handlers, research facilities and animal carriers by state. See also USDA Animal Welfare Inspection Reports.

This information does not include animal testing contracted out to contract research organizations (CRO)s nor testing done outside of the U.S. Firms hire CROs to conduct animal toxicity tests for agrochemicals, petrochemicals, household products, pharmaceutical drugs and toxins. See also pharmaceutical industry, section 9 on contract research organizations.

Huntingdon Life Sciences

P&G is a former client of Huntingdon Life Sciences (HLS).[5]

Animal cruelty & welfare violations

Iams investigation (United States)

PETA investigation of Sinclair Research Center. - 2002 - 2003

For nearly 10 months in 2002 and 2003, People for the Ethical Treatment of Animals (PETA) conducted an undercover investigation at Sinclair Research Center, a contract laboratory for Iams pet food. The investigation found dogs had gone crazy from intense confinement in barren steel cages and cement cells. Dogs were left piled on a filthy paint-chipped floor after chunks of muscle had been hacked from their thighs. They had also been surgically debarked. Severely ill dogs and cats were languished in cages without veterinary care. Iams representatives toured the facility and witnessed dogs circling their cells and sweltering in the summer heat, yet did nothing about it. The USDA investigated PETA's complaint and cited the laboratory for failure to provide veterinary care and pain relief; adequate space; and employee training; along with almost 40 other violations of the Animal Welfare Act. [6], [7] Sinclair paid a penalty of $33,000.

After intense pressure from PETA and its supporters, Iams agreed to sever its ties with Sinclair Research Center and end invasive and terminal experiments on dogs and cats. Iams also agreed to begin conducting in-home tests for food and nutrition experiments. However, they still keep up to 700 dogs in their Dayton, Ohio laboratory for non-invasive nutritional studies, which they have refused to give a PETA representative access to. Iams has also refused to end invasive experiments on non dog and cat studies. Iams funded an almost $200,000 two-year study at Purdue University that consisted of taping the tails of mice to the tops of cages to keep their hind legs suspended and cause muscular atrophy. They also fought the release of information from another university study in which a painful disease was induced in dogs. Animal groups have pressured Iams to conduct 100% non-invasive, cage free in-home tests only. [8]

Iams investigation (United Kingdom)

Shocking cruelty was also exposed in the United Kingdom in 2001. IAMS/Eukanuba's experiments on hundreds of animals caused kidney failure, obesity, malnutrition, liver damage, severe allergic reactions, stomach inflammation, diarrhoea, severe skin disorders, lesions, skin wounds and other painful illnesses.[9] In May of 2001, the Sunday Express revealed "damning evidence of gruesome tests performed on dogs and cats".[10]

The UK laboratory watchdog group, Uncaged Campaigns, uncovered documents describing Iams' "horrific research" on 460 cats and dogs. The front page story was based on the groups' investigation. Many of the animals endured painful, invasive and lethal tests. After the story broke, the Royal Society for the Protection of Cruelty to Animals (RSPCA) vowed to sever its ties with the company. In a January of 2002 letter responding to Uncaged Campaigns' concerns, the RSPCA acknowledge that "allegations" which appeared in the Express "were indeed well-founded", in spite of the company's denials. The RSPCA described P&G's policy statement that "we do not use cats and dogs in research or testing for non-drug products" as "deficient". Several other welfare groups and rescue societies vowed "not to give IAMS a platform in future." Many other animal welfare, animal rights and companion animal groups pledged their support.[11] See also links to Iams pages.[12]

P&G product testing

P&G uses many other species of animals, including guinea pigs, rabbits, hamsters, ferrets, rats and mice for "product safety research", in addition to using cats and dogs in pet food experiments. Investigations by Uncaged Campaigns revealed disturbing examples of P&G’s ongoing painful and lethal animal testing:

"P&G test on animals because of their desire to get new chemical ingredients on to the market. This allows them to claim that their new hair dye, skin cream or washing powder etc. is ‘new, improved’, in the hope of increasing sales. But with many companies producing similar consumer products without carrying out animal tests, it shows that P&G’s cruelty is motivated by greed." ..instead of reforming, P&G invest enormous amounts in PR and spin that aims to give a rosy impression of their testing practices. P&G have even been lobbying governments to try to block bans on animal testing for cosmetics that have public support."[13]

Their investigations uncovered the company's plans for massive animal testing programs for new cosmetics and household product ingredients. See also descriptions of experiments.[14] According to In Defense of Animals (IDA), P&G claims to no longer use dogs in product testing and to have reduced animal testing by 90%. However, they refuse to release numbers, species and specific information about tests, even to their own shareholders. P&G still kills thousands of animals a year in cruel, painful tests for trivial, unnecessary ingredients. See also Recent Procter & Gamble animal testing [15] & animal testing, section 3 on product (toxicity) testing.

Over 90% of the animals used in experimentation are excluded from the Animal Welfare Act (AWA), the only federal law which over sees animal testing. Rats, mice, birds, reptiles, amphibians and fish are expressly eliminated from all safeguards. Species not covered under the AWA do not even have to be reported. [16] See also USDA.

Global Boycott Proctor & Gamble Day

Global Boycott Proctor & Gamble Day is sponsored by Uncaged Campaigns. It is usually held on the third Saturday of May as part of a worldwide campaign to publicize P&G's animal testing policies and educate consumers about cruelty-free shopping.

Corporate Social Responsibility



At IndianOil, corporate social responsibility (CSR) has been the cornerstone of success right from inception in the year 1964. The Corporation’s objectives in this key performance area are enshrined in its Mission statement: "…to help enrich the quality of life of the community and preserve ecological balance and heritage through a strong environment conscience."



We at IndianOil have defined a set of core values for ourselves – Care, Innovation, Passion and Trust – to guide us in all we do. We take pride in being able to claim almost all our countrymen as our customers. That’s why, we coined the phrase, “IndianOil – India Inspired", in our corporate campaigns. Public corporations like IndianOil are essentially organs of society deploying significant public resources. We, therefore, are aware of the need to work beyond financial considerations and put in that little extra to ensure that we are perceived not just as corporate behemoths that exist for profits, but as wholesome entities created for the good of the society and for improving the quality of life of the communities we serve.



As a constructive partner in the communities in which it operates, IndianOil has been taking concrete action to realise its social responsibility objectives, thereby building value for its shareholders and customers. The Corporation respects human rights, values its employees, and invests in innovative technologies and solutions for sustainable energy flow and economic growth. In the past five decades, IndianOil has supported innumerable social and community initiatives in India. Touching the lives of millions of people positively by supporting environmental and health-care projects and social, cultural and educational programmes.



Besides focusing primarily on the welfare of economically and socially deprived sections of society, IndianOil also aims at developing techno-economically viable and environment-friendly products & services for the benefit of millions of its consumers, while at the same time ensuring the highest standards of safety and environment.

Social responsibility

We live in a world where more than 50 of the biggest economies are corporations, where General Motors' turnover is bigger than Denmark's GDP, and where footloose capital and the rising power of corporations are seen to be eclipsing the sovereignty of nation states. So it's no surprise that people now demand big business be more accountable.

As ethicist Attracta Lagan writes in her book 3-D Ethics (eContent Management, 2005): "Business will determine the quality of the air we breathe, the fuel we burn, the food we eat and the water we drink. So too, it is business that will shape the emergence of a global society by determining who is included, who is informed, who gets what and which human rights are enshrined in the global workplace. Business now has to have the potential to enhance or destabilise social progress in equal measure."

The growing power of capital is another force pushing the change. During the past decade, we have witnessed the rise of the so-called universal owners - global financial institutions that have holdings across the entire economy.

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Their holdings encompass most sectors, markets and asset classes, making their interests largely the same as the public's. Significantly, these institutions have been pushing companies to disclose more about their greenhouse gas emissions.

The force of these institutions, and the investment money they represent, simply cannot be overestimated.

All over the world, money is sloshing about as more people put it away for their retirement. In Australia alone, the superannuation pool has reached $1 trillion, making this country one of the top five pension savings pools in the world.

An increasing number of institutions controlling these investments are starting to judge companies on their performance on environmental, social and governance issues. Put simply, companies will discover that they ignore issues such as environmental damage and social dislocation at their peril.

Another reason why more companies are taking corporate social responsibility seriously is the threat of reputational damage.

Consider, for example, the way oil company Exxon's reputation was trashed after the 1989 Exxon Valdez oil spill.

Locally, James Hardie still has to fix the damage to its reputation over its battle with asbestos victims, even though the company is still going well as a business concern.

The other force driving the change is the pressure for increasing accountability in a world where information is just a click away.

The compartmentalisation of business - where companies are responsible only for what they produce - is no longer acceptable. Young people are now growing up in a networked world. The world of electronic messaging, email, and internet and intranet relationships makes it harder for companies to get away with having a large gap between what they claim they are about and their actions.

While more companies are taking corporate social responsibility seriously, they seem no closer to understanding what it means.

For some, it's about compliance and philanthropy; for others it's sustainability, and some talk about the company's impact on society and its relationships with the community. Others just focus on the environment.

What's badly needed is a broader framework, one that has 10 basic rules.

The first five set out what corporate social responsibility is, and the next five define how the organisation should deal with it so it is more than lip-service and public relations window-dressing:

1. Corporate governance and accountability: the company is accountable to shareholders, government, employees, customers and community. The hard part: setting targets that would make it accountable to all these stakeholders.

2. Sustainability and environment: this takes in a huge area including greenhouse gas emissions, water, paper, degradation, impact of supply chains, green investment, salinity, agricultural practices and cultural heritage.

3. Workforce: this covers areas such as fair pay and conditions, women and minorities in management roles, maternity leave and re-entry, people with disabilities, mature-aged workers, disadvantaged youth, long-term unemployed and indigenous communities. It also includes occupational health and safety, training and work-life balance.

4. Human rights: takes in supply-chain issues, fair trading, alliances and partnerships with certain governments and the impact of products.

5. Community involvement: this covers all sorts of areas including meaningful volunteering programs, staff lending their skills to the boards of non-profit organisations and philanthropy.

For the organisation, there are five key issues that need to be addressed. If they fail to do all of these, corporate social responsibility becomes a meaningless exercise.

1. Companies need to demonstrate corporate social responsibility as a value proposition to the board.

2. They need to find ways of getting support from shareholders and consumers.

3. It is critical for the organisation to develop audit tools so that they can place a dollar value and conduct a cost-benefit analysis of all their corporate social responsibility expenditure.

4. They need to approach it in a business-like way. Good corporate social responsibility should be good business.

5. The programs need to be run at a senior level. There is no point fobbing it off on to the corporate affairs or marketing departments because that creates silos and prevents any impact on the corporate culture.

Still, there are limits to what corporate social responsibility can do. The biggest mistake businesses can make is to assume they are responsible for fixing the world's environmental and social problems.

Much of it comes down to government policies.

However, businesses are in a position to provide leadership and guidance.

The benefits will flow when businesses, government and communities work together

MANG ECONOMICS

A business cycle is a sequence of economic activity in a nation's economy that is typically characterized by four phases—recession, recovery, growth, and decline—that repeat themselves over time. Economists note, however, that complete business cycles vary in length. The duration of business cycles can be anywhere from about two to twelve years, with most cycles averaging about six years in length. In addition, some business analysts have appropriated the business cycle model and terminology to study and explain fluctuations in business inventory and other individual elements of corporate operations. But the term "business cycle" is still primarily associated with larger (regional, national, or industrywide) business trends.

STAGES OF A BUSINESS CYCLE

RECESSION A recession—also sometimes referred to as a trough—is a period of reduced economic activity in which levels of buying, selling, production, and employment typically diminish. This is the most unwelcome stage of the business cycle for business owners and consumers alike. A particularly severe recession is known as a depression.

RECOVERY Also known as an upturn, the recovery stage of the business cycle is the point at which the economy "troughs" out and starts working its way up to better financial footing.

GROWTH Economic growth is in essence a period of sustained expansion. Hallmarks of this part of the business cycle include increased consumer confidence, which translates into higher levels of business activity. Because the economy tends to operate at or near full capacity during periods of prosperity, growth periods are also generally accompanied by inflationary pressures.

DECLINE Also referred to as a contraction or downturn, a decline basically marks the end of the period of growth in the business cycle. Declines are characterized by decreased levels of consumer purchases (especially of durable goods) and, subsequently, reduced production by businesses.

FACTORS THAT SHAPE BUSINESS CYCLES

For centuries, economists in both the United States and Europe regarded economic downturns as "diseases" that had to be treated; it followed, then, that economies characterized by growth and affluence were regarded as "healthy" economies. By the end of the 19th century, however, many economists had begun to recognize that economies were cyclical by their very nature, and studies increasingly turned to determining which factors were primarily responsible for shaping the direction and disposition of national, regional, and industry-specific economies. Today, economists, corporate executives, and business owners cite several factors as particularly important in shaping the complexion of business environments.

VOLATILITY OF INVESTMENT SPENDING Variations in investment spending is one of the important factors in business cycles. Investment spending is considered the most volatile component of the aggregate or total demand (it varies much more from year to year than the largest component of the aggregate demand, the consumption spending), and empirical studies by economists have revealed that the volatility of the investment component is an important factor in explaining business cycles in the United States. According to these studies, increases in investment spur a subsequent increase in aggregate demand, leading to economic expansion. Decreases in investment have the opposite effect. Indeed, economists can point to several points in American history in which the importance of investment spending was made quite evident. The Great Depression, for instance, was caused by a collapse in investment spending in the aftermath of the stock market crash of 1929. Similarly, prosperity of the late 1950s was attributed to a capital goods boom.

There are several reasons for the volatility that can often be seen in investment spending. One generic reason is the pace at which investment accelerates in response to upward trends in sales. This linkage, which is called the acceleration principle by economists, can be briefly explained as follows. Suppose a firm is operating at full capacity. When sales of its goods increase, output will have to be increased by increasing plant capacity through further investment. As a result, changes in sales result in magnified percentage changes in investment expenditures. This accelerates the pace of economic expansion, which generates greater income in the economy, leading to further increases in sales. Thus, once the expansion starts, the pace of investment spending accelerates. In more concrete terms, the response of the investment spending is related to the rate at which sales are increasing. In general, if an increase in sales is expanding, investment spending rises, and if an increase in sales has peaked and is beginning to slow, investment spending falls. Thus, the pace of investment spending is influenced by changes in the rate of sales.

MOMENTUM Many economists cite a certain "follow-the-leader" mentality in consumer spending. In situations where consumer confidence is high and people adopt more free-spending habits, other customers are deemed to be more likely to increase their spending as well. Conversely, downturns in spending tend to be imitated as well.

TECHNOLOGICAL INNOVATIONS Technological innovations can have an acute impact on business cycles. Indeed, technological breakthroughs in communication, transportation, manufacturing, and other operational areas can have a ripple effect throughout an industry or an economy. Technological innovations may relate to production and use of a new product or production of an existing product using a new process. The video imaging and personal computer industries, for instance, have undergone immense technological innovations in recent years, and the latter industry in particular has had a pronounced impact on the business operations of countless organizations. However, technological innovations—and consequent increases in investment—take place at irregular intervals. Fluctuating investments, due to variations in the pace of technological innovations, lead to business fluctuations in the economy.

There are many reasons why the pace of technological innovations varies. Major innovations do not occur every day. Nor do they take place at a constant rate. Chance factors greatly influence the timing of major innovations, as well as the number of innovations in a particular year. Economists consider the variations in technological innovations as random (with no systematic pattern). Thus, irregularity in the pace of innovations in new products or processes becomes a source of business fluctuations.

VARIATIONS IN INVENTORIES Variations in inventories—expansion and contraction in the level of inventories of goods kept by businesses—also contribute to business cycles. Inventories are the stocks of goods firms keep on hand to meet demand for their products. How do variations in the level of inventories trigger changes in a business cycle? Usually, during a business downturn, firms let their inventories decline. As inventories dwindle, businesses ultimately find themselves short of inventories. As a result, they start increasing inventory levels by producing output greater than sales, leading to an economic expansion. This expansion continues as long as the rate of increase in sales holds up and producers continue to increase inventories at the preceding rate. However, as the rate of increase in sales slows, firms begin to cut back on their inventory accumulation. The subsequent reduction in inventory investment dampens the economic expansion, and eventually causes an economic downturn. The process then repeats itself all over again. It should be noted that while variations in inventory levels impact overall rates of economic growth, the resulting business cycles are not really long. The business cycles generated by fluctuations in inventories are called minor or short business cycles. These periods, which usually last about two to four years, are sometimes also called inventory cycles.

FLUCTUATIONS IN GOVERNMENT SPENDING

Variations in government spending are yet another source of business fluctuations. This may appear to be an unlikely source, as the government is widely considered to be a stabilizing force in the economy rather than a source of economic fluctuations or instability. Nevertheless, government spending has been a major destabilizing force on several occasions, especially during and after wars. Government spending increased by an enormous amount during World War II, leading to an economic expansion that continued for several years after the war. Government spending also increased, though to a smaller extent compared to World War II, during the Korean and Vietnam wars. These also led to economic expansions. However, government spending not only contributes to economic expansions, but economic contractions as well. In fact, the recession of 1953-54 was caused by the reduction in government spending after the Korean War ended. More recently, the end of the Cold War resulted in a reduction in defense spending by the United States that had a pronounced impact on certain defense-dependent industries and geographic regions.

POLITICALLY GENERATED BUSINESS CYCLES

Many economists have hypothesized that business cycles are the result of the politically motivated use of macroeconomic policies (monetary and fiscal policies) that are designed to serve the interest of politicians running for re-election. The theory of political business cycles is predicated on the belief that elected officials (the president, members of congress, governors, etc.) have a tendency to engineer expansionary macroeconomic policies in order to aid their re-election efforts.

MONETARY POLICIES Variations in the nation's monetary policies, independent of changes induced by political pressures, are an important influence in business cycles as well. Use of fiscal policy—increased government spending and/or tax cuts—is the most common way of boosting aggregate demand, causing an economic expansion. Moreover, the decisions of the Federal Reserve, which controls interest rates, can have a dramatic impact on consumer and investor confidence as well.

FLUCTUATIONS IN EXPORTS AND IMPORTS The difference between exports and imports is the net foreign demand for goods and services, also called net exports. Because net exports are a component of the aggregate demand in the economy, variations in exports and imports can lead to business fluctuations as well. There are many reasons for variations in exports and imports over time. Growth in the gross domestic product of an economy is the most important determinant of its demand for imported goods—as people's incomes grow, their appetite for additional goods and services, including goods produced abroad, increases. The opposite holds when foreign economies are growing—growth in incomes in foreign countries also leads to an increased demand for imported goods by the residents of these countries. This, in turn, causes U.S. exports to grow. Currency exchange rates can also have a dramatic impact on international trade—and hence, domestic business cycles—as well.

KEYS TO SUCCESSFUL BUSINESS CYCLE MANAGEMENT

Small business owners can take several steps to help ensure that their establishments weather business cycles with a minimum of uncertainty and damage. "The concept of cycle management may be relatively new," wrote Matthew Gallagher in Chemical Marketing Reporter, "but it already has many adherents who agree that strategies that work at the bottom of a cycle need to be adopted as much as ones that work at the top of a cycle. While there will be no definitive formula for every company, the approaches generally stress a long-term view which focuses on a firm's key strengths and encourages it to plan with greater discretion at all times. Essentially, businesses are operating toward operating on a more even keel."

Specific tips for managing business cycle downturns include the following:

Flexibility—According to Gallagher, "part of growth management is a flexible business plan that allows for development times that span the entire cycle and includes alternative recession-resistant funding structures."
Long-Term Planning—Consultants encourage small businesses to adopt a moderate stance in their long-range forecasting.
Attention to Customers—This can be an especially important factor for businesses seeking to emerge from an economic downturn. "Staying close to the customers is a tough discipline to maintain in good times, but it is especially crucial coming out of bad times," stated Arthur Daltas in Industry Week. "Your customer is the best test of when your own upturn will arrive. Customers, especially industrial and commercial ones, can give you early indications of their interest in placing large orders in coming months."
Objectivity—Small business owners need to maintain a high level of objectivity when riding business cycles. Operational decisions based on hopes and desires rather than a sober examination of the facts can devastate a business, especially in economic down periods.
Study—"Timing any action for an upturn is tricky, and the consequences of being early or late are serious," said Daltas. "For example, expanding a sales force when the markets don't materialize not only places big demands on working capital, but also makes it hard to sustain the motivation of the sales-people. If the force is improved too late, the cost is decreased market share or decreased quality of the customer base. How does the company strike the right balance between being early or late? Listening to economists, politicians, and media to get a sense of what is happening is useful, but it is unwise to rely solely on their sources. The best route is to avoid trying to predict the upturn. Instead, listen to your customers and know your own response-time requirements.

hr

NATIONAL AUDIT OFFICE

GUIDE TO

OPEN STAFF PERFORMANCE

APPRAISAL SYSTEM

Guide to National Audit Office Open Staff Performance Appraisal System

2

Foreword

It gives me pleasure to issue the open staff performance appraisal system that will be used for

appraisals of staff in the National Audit Office starting from 2005. All members of staff will

from now on be appraised on an annual basis.

The aim of the newly developed staff performance appraisal system is to carry out a fair and

transparent assessment of the work done by all members of staff at the National Audit Office.

The performance appraisals will in turn be used to identify staff training needs, to identify room

for improvements where shortfalls are observed, and to correct wayward attitudes of members

of staff. In due course, when the National Audit Office is expected to become an autonomous

institution that is independent from the Malawi Civil Service, the appraisals will also be the

main tool for identifying high performing staff for promotions, salary adjustments etc.

In order for a Staff Appraisal System to be successful, it is my firm belief that it must be fair,

transparent and made applicable to all members of staff. To ensure that this goal is achieved,

we have put in place procedures to ensure that all members of staff are adequately sensitized on

how to use the appraisal system. The sensitization includes the production of this Guide to the

Open Staff Performance Appraisal System, as well as courses that will be delivered at all NAO

Offices in due course. In terms of transparency and fairness, the appraisal system ensures that

appraisees will always be shown the written appraisals, and that there is a possibility of making

a formal appeal if one feels the appraisal has been unfair or based on the wrong criteria’s. As

part of the annual appraisals, all members of staff will also be asked to appraise their closest

manager (typically section head).

The NAO Open Staff Performance Appraisal System has been developed as part of the

Institutional Cooperation Project between NAO and SNAO. It has been developed using a

number of sources from home and abroad. The system has among other things been based on

the similar systems in a number of other well reputed Supreme Audit Institutions around the

world, as well as those used in other Malawi government institutions.

H.B. Kalongonda

Auditor General

Guide to National Audit Office Open Staff Performance Appraisal System

3

Table of Contents

Foreword ....................................................................................................................................... 2

Table of Contents .......................................................................................................................... 3

Chapter 1 Introduction ............................................................................................................... 4

Chapter 2 Organization of Staff Appraisals ............................................................................... 5

2.1 When shall Annual Staff Appraisals be performed ? .................................................... 5

2.2 Who are subject to annual staff appraisals ? ................................................................. 5

2.3 What does the appraisal consist of ? ............................................................................. 5

2.4 How will the appraisals be conducted ? ........................................................................ 6

2.5 Storage of appraisal files ............................................................................................... 6

2.6 Role of Human Resource Manager ............................................................................... 7

2.7 Establishment of NAO Appraisal Committee ............................................................... 7

Chapter 3 Rating System ........................................................................................................... 8

3.1 Interpretation of Ratings ................................................................................................ 8

3.2 Distribution of Ratings ................................................................................................ 10

Chapter 4 Management Appraisal ........................................................................................... 11

Chapter 5 Introduction to Appraisal Forms ............................................................................. 12

5.1 Form A - Preparatory Form/ Self Assessment ............................................................ 12

5.1.1 Basic Data about the Appraisee .......................................................................... 12

5.1.2 Self Evaluation of Results and Development in previous review period and Plans

and Goals for next review period ........................................................................................ 13

5.2 Form B – Evaluation of Members of Staff in the National Audit Office .................... 16

5.2.1 Staff work effectively and efficiently, have the necessary technical skills, good

work habits and produce high quality work ........................................................................ 16

5.2.2 Staff have good communication skills ................................................................ 19

5.2.3 Staff conduct themselves with a high degree of integrity and loyalty ................ 20

5.2.4 Staff show initiative and have desirable personal characteristics ....................... 21

5.3 Form C - Evaluation of Management in the National Audit Office ............................ 23

5.3.1 Managers at the NAO are goal and result oriented ............................................. 23

5.3.2 Managers motivate staff ...................................................................................... 25

5.3.3 Managers at the NAO contribute to cooperation, open communication and a

good work environment ...................................................................................................... 27

5.4 Form D – Summary, Goal and Development Plan ...................................................... 29

Chapter 6 Guidance on Appeal Procedure ............................................................................... 31

Chapter 7 Questions & Answers .............................................................................................. 32

Appendix 1 Form A ................................................................................................................ 35

Appendix 2 Form B ................................................................................................................. 39

Appendix 3 Form C ................................................................................................................. 43

Appendix 4 Form D ................................................................................................................ 47

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Chapter 1 Introduction

To deliver our work, to improve the quality of our products and our reputation, and to meet the

challenges that we face in an increasingly complex and demanding environment, we need to

maximize the calibre and contribution of our work force. We must therefore, manage and

improve our performance and that of our teams, and our efforts to get the best from each other

will help maximize everyone’s contribution to our success.

The aim of the appraisal system is to contribute to the successful development of the NAO

through establishing a system for fair, open, objective and transparent appraisals of all members

of staff in the National Audit Office.

It is hoped that the introduction of the newly developed system for staff appraisals will bring a

number of tangible benefits to the organization. These include:

1) Increased motivation of members of staff

2) Clarification to members of staff of what is expected of them

3) A system for better identifying individual, and office wide training needs

4) A method for giving fairer evaluations of the work done by both management and

members of staff

5) A method for identifying, documenting and correcting wayward attitudes and

underperformance

6) Recognition of achievements and encouragement of further success

7) A system for assigning promotions, wage salaries and new tasks to high performing

members of staff.

The annual staff appraisals are applicable for all members of staff working on behalf of the

National Audit Office

To ensure that the appraisals are carried out in a proper, efficient and correct manner, this

document has been developed as a Guide to explain how the appraisal system is to be used.

This first chapter has given a brief introduction to the perceived benefits of the National Audit

Office Open Appraisal System.

Chapter 2 explains all issues concerning the organization of the annual staff appraisals.

The third chapter looks briefly at the appraisal rating system that is to be used, before we in

chapter four look specifically at appraisals of management.

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In the fifth chapter, we explain in some detail all of the different forms that are to be used in the

appraisal process. The actual forms can be found in the annexes to the Guide.

Chapter 6 deals with the procedures for appeals, before the last chapter is a “Questions &

Answers” chapter, which contains questions you might have regarding the system with answers

to these.

Chapter 2 Organization of Staff Appraisals

2.1 When shall Annual Staff Appraisals be performed ?

Staff appraisals are to be carried out annually. All staff appraisals are to be completed and

submitted to the Human Resource Manager by the end of January each year.

2.2 Who are subject to annual staff appraisals ?

All members of staff in the National Audit Office who have worked in the NAO for more

than 3 months are subject to annual staff appraisals.

All auditors in audit sections are to be appraised by their Section Heads

All members of support staff, except for those in IT and Accounts are to be appraised by the

Human Resource Manager

Members of the IT Unit are to be appraised by the Head of IT

Staff in Accounts are to be appraised by the Head of Accounts

Section Heads are to be appraised by their Divisional Heads/ Regional Heads

Divisional Heads / Regional Heads are to be appraised by the Deputy Auditor General

The Deputy Auditor General will be appraised by the Auditor General

All appraisals are to be communicated to the Human Resource Manager within 5 days of the

appraisal, and within the month of January.

2.3 What does the appraisal consist of ?

The appraisal consists of 4 standardized and obligatory forms.

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The following forms will be used:

Form A- Preparatory Form/ Self Assessment

Form B- Evaluation of Members of Staff in the National Audit Office

Form C- Evaluation of Management in the National Audit Office

Form D- Summary, Goal and Development Plan

2.4 How will the appraisals be conducted ?

Members of staff will be appraised by their closest superior manager, in a one-on-one appraisal

meeting. A minimum of 2 hours should be set aside for each appraisal. Prior to the appraisal,

the appraisee is responsible for preparing Forms A (Preparatory form/ Self Assessment) and C

(Evaluation of Management in the National Audit Office). The appraiser on the other hand, is

responsible for preparing Form B (Evaluation of Members of Staff in the National Audit

Office) prior to the appraisal meeting.

The appraisal meeting will start with the appraisee presenting Form A to the appraiser. This

will be followed by a presentation of Form B by the appraiser. Care should be taken to clearly

explain the reasons behind the assessment. Both participants must sign Form B to verify that

the appraisee has seen the completed form.

Following this, the appraisee will present Form C to the appraiser. Care should again be taken

to clearly explain the reasons behind the assessment. Both participants must sign Form C to

verify that the manager has seen the completed form.

Form D sums up the appraisal and sets goals and targets for the forthcoming review period.

This form shall always be completed together in the course of the evaluation. The form shall be

signed by both parties.

2.5 Storage of appraisal files

All annual appraisals are to be placed on the personal employee files. It is the responsibility of

the Human Resource Manager to ensure that all personal files are stored securely.

After an appraisal has been carried out, it is the responsibility of the appraiser to hand over all

the appraisal files from his/her section.

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The Human Resource Manager shall not allow managers access to files for the purpose of

checking appraisal ratings in previous years before completing the appraisal in the current year.

This is so to ensure a fair, objective and fresh appraisal every time.

2.6 Role of Human Resource Manager

The Human Resource Manager is responsible for following up that all appraisals are carried out

on-time and in the manner prescribed in this Guide.

Other duties of the HR Manager include the safe storage of appraisals on employee files and the

development of an Annual Appraisal Report for submission to the NAO Appraisal Committee.

The Annual Appraisal Report shall be completed within 1 month of the deadline and should

contain the following information:

1) Information on the general timeliness and quality of the appraisal

2) The average grades given by each appraiser to his/her section

3) A list of high performing and underperforming managers

4) A list of members of staff in the top and bottom brackets

5) A list of identified training needs for each section

6) A summarized list of training needs for the whole office

7) All appeals that have been submitted

Any other relevant information or problems encountered

2.7 Establishment of NAO Appraisal Committee

The NAO will establish a Staff Appraisal Committee. The Committee will consist of eight

members, namely: 1 representative for Top Management (Assistant Auditor General level and

above), the Human Resource Manager, the Training Manager, 1 representative from audit staff

in headquarters, 1 representative from support staff in headquarters and 1 representative from

each of the Regional Offices. The Appraisal Committee is accountable to, and reports to the

Deputy Auditor General.

The NAO Appraisal Committee will have the following tasks:

1) Review and recommend the Annual Appraisal Report for approval by the Deputy

Auditor General

2) Compare the average ratings submitted for each section/unit with the guidelines

concerning distribution of ratings. Follow up on appraisers who grade too high/ too low

3) Consider disciplinary action towards those who fall within the bottom bracket

4) Discuss measures regarding managers who have received weak ratings

5) Consider possible rewards for those falling within the top bracket

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6) Discuss the identified training needs that have resulted from the appraisal, and ensure

that the Training Manager takes account of these when organising future training

7) Discuss and resolve any appeals that may have been submitted. This process shall

include interviews with both parts. The Committee must then establish whether they

approve the rating that has been given or if it should be changed.

Make necessary amendments to the appraisal forms based on the experiences from the

appraisals and feedback received

Chapter 3 Rating System

Ratings are used for Forms B (evaluation of appraisees) and C (evaluation of appraisees closest

manager). The grade system encompasses five possible ratings for each question asked.

1- Poor

2- Unsatisfactory

3- Satisfactory

4- Exceeds expectations

5- Exceptional

A rating shall be assigned to each question raised within the different categories.

At the end of Forms B and C respectively, there is a box for “Overall Performance” where the

average grade shall be entered. The average grade is reached through adding all the scores and

dividing it by the number of questions. The higher the average score, the higher the rating.

3.1 Interpretation of Ratings

It is important that all members of staff have a uniform perception of how each rating should be

interpreted. The following thus provides broad guidelines on how the various grades should be

interpreted.

1- Poor

The appraisee has delivered poor performances in all, or most of, the categories he/she has been

evaluated in.

Showed serious lack of reliability, performance and effort during the review period

Need much more management support and supervision than his/her colleagues in order to

perform and deliver

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Has shown minimal or no personal and professional development during the last review period

Has committed a serious breach of the Code of Ethics or other rules and regulations (not

necessary to be evaluated as poor, but any serious breach should automatically lead to a “poor”

rating.)

2- Unsatisfactory

The appraisee has delivered an acceptable performance in some of the categories while

performing poorly in others, or has performed unsatisfactory across all or most of the categories

Has not shown the expected dedication to duty, reliability, performance or efforts

Needs more management support and supervision than most of his/her colleagues in order to

perform and deliver

Has shown some, although very limited, personal and professional development during the

review period

3- Satisfactory

The appraisee has consistently delivered a reliable and acceptable performance across the

categories he/she has been assessed on.

Has consistently delivered a standard and quality of performance that is acceptable, and has

shown the expected reliability and efforts in the conduct of his/her work.

Delivered a standard and quality of performance similar to the majority of his/her colleagues

Has shown visible personal and professional development during the review period

4- Exceeds Expectations

The appraisee has consistently delivered good performances across all the categories he/she

has been assessed on

He/She has excelled in some of the categories

Consistently delivered a good performance against a wide range of challenging objectives such

as quality and timeliness of work, contribution to the team, communication skills and integrity

and loyalty

Needs little management support and supervision in carrying out tasks

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Has shown strong personal and professional development during the review period

Has generally exceeded the expectations in terms of work for his/her grade

Has the potential for promotion

5- Exceptional

The appraisee has consistently delivered an impressive performance across all the categories

he/she has been assessed on

He/She has excelled in all, or almost all, of the categories.

Consistently delivered an impressive performance against a wide range of challenging

objectives such as quality and timeliness of work, contribution to the team, communication

skills and integrity and loyalty

Needs minimal or no management support and supervision in carrying out tasks

Has shown exceptional personal and professional development during the review period

Has generally performed much better than what should be expected from his/her grade

Is a very strong candidate for promotion

3.2 Distribution of Ratings

In order for an Appraisal System to be fair and to be carried out equally within different parts of

the organization, there is a need for guidelines on the proportions of staff who receive particular

ratings. Even though there will be natural variations according to the distribution of talent,

training and performance, generally the proportion of staff receiving the rating should fall

roughly within the following pattern:

Average Rating Rating Classification Expected % to fall within range

1.0-1.5 Poor 5-10%

1.6-2.5 Unsatisfactory 25-35%

2.6-3.5 Satisfactory 40-50%

3.5-4.5 Exceeds Expectations 25-35%

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4.6-5.0 Excellent 5-10%

This means that for the NAO as a whole, and for each individual section, it is for instance

expected that between 40 and 50% of appraisees receive a rating of “Satisfactory” and between

25 and 35% receive the rating of “Very Good” etc.

This distribution will not be applicable to the assignments assigned to closest superior managers

by appraisees. This is so due to the fact that there is only one manager appraised for each

section. Developing an expected distribution rating for one person is impossible.

Chapter 4 Management Appraisal

Management, in both this Guide and in the actual appraisal forms, refers to all Heads of Units,

Sections, Divisions and the Deputy Auditor General.

The appraisal of management is viewed as particularly important, as skilled and high

performing managers that motivate their staff are essential for the success of the NAO.

The appraisal of managers is however somewhat different from the appraisal of other members

of staff, as managers both get appraised by their subordinates and superiors. This is opposed to

other members of staff that only are appraised by their closest superior manager.

The main reason for this is that managers both manage upwards and downwards in the

organization and must interact and work closely with both superior managers and subordinate

staff. It is also seen as important, that also subordinate members of staff have an opportunity to

advise their manager on how he/she should improve the performance, as the manager’s

performance strongly affects the performance of the section as a whole.

As such, both superior managers and subordinate staff should be in a very good position to

point out the managers strong points and areas that need improvements. The two sets of

appraisals should therefore be seen to be complimentary, as they come from two different, but

equally important, sources.

Appraisals of all members of management by their superiors should be carried out after the

manager has appraised all members of his/her section (but within the deadline)

The manager shall bring copies of all the management appraisals from the section (Form C) to

the appraisal with his/her closest superior manager. The same forms will be used for

management in their appraisals as in all other appraisals, but the feedback from the managers

subordinates (Form C) shall also be discussed during the meeting.

When giving an overall rating to the manager in Form D, both the appraisals from the superior

manager and those from subordinate staff shall be used. The final rating on Form D shall be

derived at by adding the average rating received by his/her section (Form C) and that received

form the superior manager (Form and dividing this by two. The score shall be entered in the

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box titled “Total Management Score”. This box shall not be used for appraisals of members of

staff other than managers. Managers have the same right of filing an appeal as other members

of staff.

Chapter 5 Introduction to Appraisal Forms

In this chapter, the forms that are used in the appraisal process will be explained.

The following forms are used during this process:

Form A- Preparatory Form/ Self Assessment

Form B- Evaluation of Members of Staff in the National Audit Office

Form C- Evaluation of Management in the National Audit Office

Form D- Summary, Goal and Development Plan

5.1 Form A - Preparatory Form/ Self Assessment

The Preparatory Form/ Self Assessment is to be completed by the appraisee prior to the

Annual Appraisal. The content shall be explained in detail to the appraiser.

The form serves two purposes:

1) establishes basic data about the appraisee

2) includes a self assessment of performance over the last review period and plans and

goals for the next review period

Form A can be found in Annex 1

5.1.1 Basic Data about the Appraisee

The following information has to be completed:

Surname:

First Name(s):

Title of Post: (e.g. Assistant Auditor or Principal Auditor)

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Grade of Post: (e.g. EO or SEO or P8)

Date 1st appointment NAO: (information on when you joined the NAO)

Date for appointment to current post: (information on when you were appointed to your current

position)

Academic/ Professional Qualifications: This refers to all studies/ professional courses

undertaken that have led to the attainment of a degree, diploma or equivalent. If you are

currently undertaking academic/ professional qualifications this should be included (but include

that this has not yet been completed).

Courses undertaken: This should refer to relevant courses undertaken. Examples include: Train

the trainer courses, subject specific courses on auditing/ human resources, courses on IT etc.

Period of review: This is the period your performance appraisal is based upon. It should

typically be the last year (for instance 01.01.05 – 31.12.05). If you joined the NAO less than a

year ago, the appraisal period should be from your time of joining until the appraisal date

Name of appraiser: Here you state the name of the person conducting the appraisal. This is

your closest superior manager (typically Head of Section/Unit or Division)

5.1.2 Self Evaluation of Results and Development in previous review

period and Plans and Goals for next review period

This part of Form A should be used by the appraisee to give an honest account of how he/she

views the efforts, results and development achieved during the review period, and to outline the

goals and wishes for the forthcoming year. This will, in combination with Form B, form the

basis for the Goal and Development Plan in Form D.

The appraisee is expected to fill in the form comprehensively and to explain the content clearly

to the appraiser during the Annual Appraisal.

The first part refers to evaluation of tasks, results and development during the review period.

Outline major duties performed during the review period

This will typically include information on work carried out over the last year, it should among

other things include information on what assignments you have carried out, if tasks outside the

job description have been undertaken, if you have had any team leader roles, if you have been

involved in any particularly challenging assignments (such as a highly complex audit), if you

have performed new tasks (such as IT, Investigative and Performance Audits), if you have had

to deputize for superiors etc.

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Did you reach your work goals during the previous period? If not, why?

This refers to among other things if you managed to successfully complete your assignments

the last year, if they were completed on time, whether you attained the expected results and

improvements identified in Form D from last years appraisal, whether you managed to perform

your duties in line with or exceeding the expectations outlined in your job description.

If the answer to any of these questions is no, outline the reason why this was the case.

How do you evaluate your own effort and quality of work during the review period?

Here you should give a frank evaluation of whether you during the last period have made the

necessary personal effort to perform your job in the best possible manner, and to evaluate

whether the products you have produced (such as audits that have been carried out and reported

on) have been of the expected quality.

If you feel that your own effort and quality of work has been weaker than you would like,

please outline the reasons for this.

Did you have the necessary competence to carry out the tasks assigned to you? If not, what

areas need improvement?

Here you must make a self-assessment of whether you had the skills needed for the assignments

you carried out during the review period. There could for instance be cases where you were

expected to perform analysis that you felt unqualified for, that you did not have the necessary

competences to develop an audit report to the required standards, or that a lack of computer

skills slowed down the progress of your work.

If you feel that you lacked necessary competence to do the required job, you should list the

areas that need improvement in order for you to perform at the expected level.

Did you undertake any initiative to improve your performance during the review period (formal

or informal) ?

This refers to whether you during the last year have taken any active steps to improve your

skills and performance. This could cover a wide range of initiatives such as: formal training,

self study, seek feedback on areas for improvement by superiors, becoming more familiar with

using computers, actively sought to learn from more senior team members etc

Have there been any specific office or domestic disturbances that have affected your

performance during the period under review?

If you feel that your performance has been below your expectations, there might be a number of

reasons for this. Some of the reasons could be within your control (such as effort made) while

other factors could be outside of your control. Here you should state any (if there are any)

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office or domestic disturbances that has adversely affected your performance during the last

period. These factors could for example encompass such things as disagreement with

colleagues in your section, harassment or discrimination from superiors, marital problems,

personal problems with alcohol etc. Only if such problems are identified, can steps be taken to

try to solve them.

Have you made any special contributions to the NAO during the review period ?

This refers to achievements that are outside the expectations outlined in your job description. It

could include both subject specific issues and/or more general issues. Examples of subject

specific issues could be: Deputising in an impressive manner for your Section Head, deliver

courses on subject specific issues, contribute to the development of new types of auditing in

the NAO, training new entrants into the NAO etc. General issues could include active

participation in welfare initiatives and initiatives that improve the work environment (such as

active contributions on the HIV/AIDS Committee, the Training Committee etc)

What parts of your job do you enjoy the most and least, and why?

Here you should outline your favourite and least favourite parts of the job, and give reasons for

this. For an auditor for example, the favourite part might be the planning and carrying out of the

audit, while he/she might dislike performing interviews of clients. For staff working with

transport, they might enjoy driving the vehicles and dislike performing minor repairs.

You should also state the reasons for this. For instance, a member of transport staff might feel

that he/she does not have the skills to perform the repairs in an adequate manner and therefore

dislikes or avoids that part of the job.

Part two of the self-evaluation refers to the appraisees plans, goals and wishes for the

forthcoming review period.

Would you like to change your current work tasks (work methods, area of work, degree of

independence in performing the task, job rotation etc) and why?

Changes in work could include changes in the field of work (e.g. work with Performance

Auditing or Parastatal Auditing rather than Financial Auditing of Ministries), changing location

of work (e.g. from Lilongwe Office to Mzuzu Office), if you feel a different approach should be

taken to the current tasks (for instance using more innovative audit approaches), if you feel you

should have a different role in the audit team, and if you think you should be involved in the

audit of different entities. Again, make sure you include reasons for your answer.

Is there a need for further training in order to perform your current job or prepare for new

tasks? If so, what type of training?

Here you should outline what, if any, type of training you feel is necessary for you to raise your

performance. Any needs expressed must be explained.

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What are your professional objectives for the forthcoming review period?

Here you should outline which areas of performance you aim to improve, and how you plan to

go about it. One example could be that you want to improve your ability to use computers in

your daily work, and the way you want to improve on it is to practice daily on using Word and

Excel. Another example could be that an auditor wants to improve his skills in sampling, and

tries to get information on this through either using the internet, sourcing books or asking more

experience staff members to teach him sampling techniques. The professional objectives could

also be more general, such as improving the timelines of submission of reports, or to generally

increase the efforts made in the job.

5.2 Form B – Evaluation of Members of Staff in the National Audit

Office

This form shall be completed by the appraiser prior to the appraisal. If necessary, the appraiser

can make amendments to the form during the appraisal. The form shall be signed by both

parties, to verify that it has been discussed and that the appraisee has seen his/her ratings.

The appraisee shall also be allocated a copy of the finalized Form B.

Form B can be found in Annex 2

The appraiser should assign a rating on each of the 15 questions by ticking the box

corresponding to the grade he/she wants to assign.

All marks should be accompanied by an explanation for that particular rating. This is

particularly important if very high or low ratings are assigned.

The appraiser must ensure that the ratings given, and the reasons thereof, are explained orally in

a clear and honest manner to the appraisee.

Form B includes 4 categories on which all members of staff will be assessed.

Each category starts with a statement on how the NAO would like their staff to conduct

themselves. The questions in that category then seeks to establish the degree to which the

apraisee in his/her work and conduct act in accordance with the given statement.

5.2.1 Staff work effectively and efficiently, have the necessary technical

skills, good work habits and produce high quality work

This category of questions seeks to measure the actual work that has been conducted by the

appraisee during the review period. It seeks to measure the quality of work, the timeliness of

submissions of work, the effort and productivity of the employee and the attitude shown

towards work.

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It goes without saying, that this category is important, and that compliance with the principles

of good work habits, high quality of work and effectiveness and efficiency are vital components

in improving the performance of the National Audit Office.

Does the appraisee plan and organize the work in an effective manner, so as to contribute to

effectiveness and timeliness of work?

The score given should among other things include an assessment of:

Does he/she

- recognize the critical issues to cover in the assignment ahead?

- develop realistic and high quality assignment plans?

- identify key priorities and realistic and appropriate deadlines in planning?

- manage to realistically estimate the workload?

- manage to create audit objectives and audit criteria and develop audit programme?

- seek feedback on plans from management and colleagues?

- act promptly so that plans are put into practice?

- carry out the tasks within the scheduled time?

- monitor progress and give early warnings of possible time overruns?

- avoid time and cost overruns which are not due to unforeseen circumstances?

- organize assignments to keep costs to a minimum?

- organize work to keep time spent on a task to a minimum without compromisi