• TABLE OF CONTENTS
HIDE
 Front Cover
 Title Page
 Copyright
 Foreword
 Acknowledgement
 Table of Contents
 Module 5: Managing human resou...
 Session 1: Recruiting and maintaining...
 Session 2: The professional...
 Session 3: Human resource management...
 Session 4: Performance apprais...
 Session 5: Performance appraisal...
 Annex 1
 Annex 2
 Annex 3
 Back Cover














Group Title: Management of agricultural research : a training manual
Title: Management of agricultural research
ALL VOLUMES CITATION THUMBNAILS PAGE IMAGE ZOOMABLE
Full Citation
STANDARD VIEW MARC VIEW
Permanent Link: http://ufdc.ufl.edu/UF00084651/00006
 Material Information
Title: Management of agricultural research a training manual
Physical Description: 11 v. : ; 30 cm.
Language: English
Creator: Asopa, V. N
Beye, Gora
Food and Agriculture Organization of the United Nations
Publisher: Food and Agriculture Organization of the United Nations
Place of Publication: Rome
Publication Date: 1997
 Subjects
Subject: Agriculture -- Research -- Management -- Developing countries   ( lcsh )
Agricultural research managers -- Developing countries   ( lcsh )
Genre: international intergovernmental publication   ( marcgt )
bibliography   ( marcgt )
non-fiction   ( marcgt )
 Notes
Bibliography: Includes bibliographical references.
Statement of Responsibility: prepared by V.N. Asopa and G. Beye.
 Record Information
Bibliographic ID: UF00084651
Volume ID: VID00006
Source Institution: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: oclc - 39160428
lccn - 98210567
isbn - 9251040915 (module 1)

Table of Contents
    Front Cover
        Front Cover
    Title Page
        Page i
    Copyright
        Page ii
    Foreword
        Page iii
    Acknowledgement
        Page iv
    Table of Contents
        Page v
        Page vi
        Page vii
        Page viii
    Module 5: Managing human resources
        Page 1
        Page 2
    Session 1: Recruiting and maintaining staff in the research environment
        Page 3
        Page 4
        Session guide
            Page 5
            Page 6
            Page 7
            Page 8
        Exhibits
            Page 9
            Page 10
            Page 11
            Page 12
            Page 13
            Page 14
            Page 15
            Page 16
            Page 17
            Page 18
            Page 19
            Page 20
            Page 21
            Page 22
            Page 23
            Page 24
    Session 2: The professional staff
        Page 25
        Page 26
        Session guide
            Page 27
            Page 28
        Exhibits
            Page 29
            Page 30
            Page 31
            Page 32
            Page 33
            Page 34
        Handouts
            Page 35
            Page 36
            Page 37
            Page 38
            Page 39
            Page 40
            Page 41
            Page 42
            Page 43
            Page 44
            Page 45
            Page 46
            Page 47
            Page 48
            Page 49
            Page 50
    Session 3: Human resource management excercise
        Page 51
        Page 52
        Session guide
            Page 53
            Page 54
    Session 4: Performance appraisal
        Page 55
        Page 56
        Session guide
            Page 57
            Page 58
            Page 59
            Page 60
        Exhibits
            Page 61
            Page 62
            Page 63
            Page 64
            Page 65
            Page 66
            Page 67
            Page 68
            Page 69
            Page 70
            Page 71
            Page 72
        Reading note
            Page 73
            Page 74
            Page 75
            Page 76
            Page 77
            Page 78
            Page 79
            Page 80
            Page 81
            Page 82
            Page 83
            Page 84
    Session 5: Performance appraisal case
        Page 85
        Page 86
        Session guide
            Page 87
            Page 88
        Case study
            Page 89
            Page 90
            Page 91
            Page 92
            Page 93
            Page 94
            Page 95
            Page 96
            Page 97
            Page 98
    Annex 1
        Page 99
    Annex 2
        Page 100
        Page 101
    Annex 3
        Page 102
        Page 103
        Page 104
        Page 105
        Page 106
        Page 107
        Page 108
        Page 109
    Back Cover
        Page 110
Full Text


























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Module

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Food
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Prepared by
V.N. Asopa
Indian Institute of Management
and
G. Beye
Research and Technology Development Service
Research, Extension and Training Division, FAO























FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 1997





















































M-67
ISBN 92-5-104095-8








All rights reserved. No part of this publication may be reproduced, stored in a
retrieval system, or transmitted in any form or by any means, electronic,
mechanical, photocopying or otherwise, without the prior permission of the
copyright owner. Applications for such permission, with a statement of the
purpose and extent of the reproduction, should be addressed to the Director,
Information Division, Food and Agriculture Organization of the United Nations, Viale
delle Terme di Caracalla, 00100 Rome, Italy.


FAO 1997


The designations employed and the presentation of material in this
publication do not imply the expression of any opinion whatsoever
on the part of the Food and Agriculture Organization of the United
Nations concerning the legal status of any country, territory, city or
area or of its authorities, or concerning the delimitation of its
frontiers or boundaries.









FOREWORD


There has been a tremendous development of agricultural research in developing countries
over the past few decades, during which time investment in agricultural research from both
national resources and international assistance has increased markedly. However, agricultural
research institutions are generally managed by veteran agricultural research workers promoted
for seniority rather than for management training and skills. Further, there are few courses
available on the management of agricultural research, and solutions and models used in the
developed world may not be appropriate for developing countries.
FAO has actively participated in strengthening the national agricultural research
systems of developing countries, and has stressed the importance of effective organization and
management for efficient research systems. The need for training in this area is great, and
resources particularly trained human resources are limited. FAO has therefore developed
a training programme on agricultural research management to support the training of trainers,
with the expectation of a multiplier effect, and to facilitate a common perception of the
structure and terminology of management, thus enhancing communication and understanding
among agricultural research managers in discussing management problems, solutions and
opportunities.
This training manual has been prepared as a basic reference resource for national
trainers, to help them structure and conduct their own courses on management at the institute
level. A separate manual will cover project and programme management. This manual is
based on the four structural functions of management: planning, organizing, monitoring and
controlling, and evaluating, each of which is covered in individual modules. Within each
module, the manual addresses pervasive management functions, including motivating,
leading, directing, priority setting, communicating and delegating, which are at all times a
concern to all managers. Topics such as leadership, motivation, human resources
management, policies and procedures are treated separately in individual sessions.
This manual as been designed for participatory learning through case studies, group
exercises, presentations by the participants and participatory lectures. Throughout the
manual, particular effort has been made to use the cases studied to capture the unique and
rich experience of developing country research managers in tackling policy, programme and
the day-to-day problems of managing research institutions and systems.
This publication is intended primarily for managers of agricultural research institutes
in developing countries and for higher education institutions interested in launching in-service
training courses on research management. However, it is hoped that agricultural research
managers everywhere will also find it useful. The manual provides a course structure with
contents that can be built upon and enriched. Users are therefore encouraged to send
suggestions for its improvement.


Louise 0. Fresco
Director


Research, Extension and Training Division







iv Module 5 Managing human resources


ACKNOWLEDGEMENTS



The task of preparing a training manual on Agricultural Research Institute Management began
with the FAO Expert Consultation on Strategies for Research Management Training in
Africa, held at the International Livestock Centre for Africa (ILCA), Addis Ababa, Ethiopia,
12-16 December 1983. Following the recommendations of the consultation, and on the basis
of the curriculum design adopted, FAO embarked upon the preparation of this manual. In
the process of its preparation, many agricultural research managers and management
specialists have contributed. Besides the two main consultants, namely Dr Ronald P. Black,
Denver Research Institute, University of Denver, USA, who prepared the first draft, and Dr
V.N. Asopa, Professor at the Indian Institute of Management, Ahmedabad, India, who
prepared the current version of the manual, the contribution of the following specialists in
various fields must be singled out: Ramesh Bhat, J. Casas, A.K. Jain, F.S. Kanwar,
V. Martinson, Gopal Naik, P. Nath, R.K. Patel, T.P. Rama Rao, S.K. Sharma,
E.S. Tayengco, and J.S. Woolston. FAO expresses its gratitude to them all.


Special thanks are due to the International Service for National Agricultural Research
(ISNAR), which has willingly made available its valuable experience and relevant materials
throughout the preparation of the manual.


FAO also thanks all those authors and publishers who have allowed the use of
copyright material from their publications, even though the courtesy is recognized in each
case.


This manual has been prepared under the responsibility of the Research Development
Centre, Research and Technology Development Division, FAO, with the guidance of:
Mohamed S. Zehni, former Director; and J.H. Monyo, E. Venezian and B. Miiller-Haye,
past Chiefs of the Research Development Centre. Scientific supervision was provided by
G. Beye, Senior Officer, now Chief, Research Technology Development Service.







Training manual for institute management v


TABLE OF CONTENTS


The previous Modules were:

INTRODUCTORY MODULE
INTRODUCTION TO THE MANUAL AND ITS PURPOSE
Appendix 1 Management orientation and decision making
Appendix 2 Case method
Appendix 3 Summary of course contents
Appendix 4 Illustrative schedule for a workshop on agricultural research institute
management
Appendix 5 Management training
Appendix.6 Planning and management of short-duration, executive development
programmes

Module 1 INSTITUTIONAL AGRICULTURAL RESEARCH:
ORGANIZATION AND MANAGEMENT
Session 1. MANAGEMENT: THOUGHT AND PROCESS
Session 2. OBJECTIVES AND ORGANIZATION OF AGRICULTURAL RESEARCH
Session 3. ORGANIZATION OF INTERNATIONAL RESEARCH
Session 4. ORGANIZATION OF NATIONAL AGRICULTURAL RESEARCH SYSTEMS

Module 2 RESEARCH PLANNING
Session 1. PRINCIPLES OF RESEARCH PLANNING
Session 2. THE INSTITUTE-LEVEL PLANNING PROCESS
Session 3. SETTING GOALS AND OBJECTIVES
Session 4. FROM OBJECTIVES TO AN OPERATIONAL PLAN
Session 5. PARTICIPATORY PLANNING EXERCISE
Session 6. CASE STUDY: PLANNING AGRICULTURAL RESEARCH IN MUGIIAL
SULTANATE

Module 3 ORGANIZATIONAL PRINCIPLES AND DESIGN
Session 1. ORGANIZATIONAL THEORIES
Session 2. STRUCTURE OF AN ORGANIZATION
Session 3. ORGANIZATIONAL DESIGN AND CHANGE
Session 4. CASE STUDY: ESTABLISHMENT OF A DIRECTORATE OF RESEARCH AT
SORONNO UNIVERSITY OF AGRICULTURE
Session 5. CASE STUDY: ORGANIZATIONAL CHANGE AT SAMARU, NIGERIA

Module 4 LEADERSHIP, MOTIVATION, TEAM BUILDING AND
CONFLICT MANAGEMENT
Session 1. LEADERSHIP
Session 2. MOTIVATION
Session 3. TEAM BUILDING
Session 4. THE IRRI AGRICULTURAL EQUIPMENT PROGRAMME CASE STUDY: IRRI
MANAGEMENT COMPARES IRRI WITH DEVELOPING COUNTRY RESEARCH
INSTITUTES
Session 5. CONFLICT MANAGEMENT
Session 6. CONFLICT MANAGEMENT CASE STUDY: DR AGADIR






vi Module 5 Managing human resources


This Module comprises:

Module 5: MANAGING HUMAN RESOURCES
Page
Session 1. RECRUITING AND MAINTAINING STAFF IN THE RESEARCH ENVIRONMENT 3
Session guide: Recruiting and maintaining staff in the research environment 5

Session 2. THE PROFESSIONAL STAFF 25
Session guide: The professional staff 27
Hand-out 1: Coffee research Institute: Job descriptions, qualifications and
promotion criteria 35
Hand-out 2: Coffee Research Institute: appointment and promotion of
scientific staff 39
Hand-out 3: Coffee Research Institute: appointment and promotion of
administrative and other staff 43

Session 3. HUMAN RESOURCES MANAGEMENT EXERCISE 51
Session guide: Human resources management exercise 53

Session 4. PERFORMANCE APPRAISAL 55
Session guide: Performance appraisal 57
Reading note: Performance appraisal 73
Performance appraisal 73
Performance appraisal system: the concept 73
Objectives of performance appraisal 74
Use of an appraisal system 74
Characteristics of an appraisal system 75
Performance appraisal system: the process 76
Communication 78
Approaches and techniques in performance appraisal 78
Appraisal techniques 78
Components of the appraisal format 81
Attributes considered in evaluating performance 82
Management problems in evaluating performance 83
Identification of appraisal criteria 83
Assessment problems 83
Policy problems 83
References 84






Training manual for institute management vii


Session 5. PERFORMANCE APPRAISAL CASE STUDY: SUZENE KOPEC 85
Session guide: Suzene Kopec 87
Case study: Suzene Kopec 89
Cocoa research Institute of Savana 90
Ms Suzene Kopec 90
Promotion to TA grade II 91
Promotion to TA grade I 92
Stoppage of increment 92
Denial of promotion 93
Changed assessment procedure 94
Appeal to the Promotions Committee 95
Communication from the Head of Department 95
Decision of the Promotions Committee 96
Executive Director's dilemma 97
Annex 1: Categorization of scientific and technical staff in CRIS 99
Annex 2: Summary evaluation report of Ms Suzene Kopec 100
Annex 3: CRIS assessment reports 102

Session 6. EXERCISE IN DESIGNING PERFORMANCE EVALUATION FORMATS 111
Session guide: Exercise in performance evaluation 113



The other Modules are:

Module 6 MANAGEMENT INFORMATION SYSTEMS, COMPUTERS AND
NETWORK TECHNIQUES
Session 1. MANAGEMENT INFORMATION SYSTEMS (MIS)
Session 2. MIS EXERCISE
Session 3. COMPUTERS AS MANAGEMENT TOOLS
Session 4. NETWORK TECHNIQUES
Session 5. PERT AND CPM EXERCISE

Module 7 FINANCIAL MANAGEMENT
Session 1. FINANCIAL MANAGEMENT 1: COMPONENTS AND INFORMATION NEEDS
Session 2. FINANCIAL MANAGEMENT 2: PLANNING AND BUDGETING
Session 3. FINANCIAL MANAGEMENT 3: PROJECT DESIGN AND IMPLEMENTATION
Session 4. CASE STUDY: FARO ARROYA
Session 5. GENERATING FUNDS THROUGH CONSULTING AS AN INSTITUTIONAL
ACTIVITY. CASE STUDY: FOOD TECHNOLOGY RESEARCH INSTITUTE OF DONGAL

Module 8 RESEARCH-EXTENSION LINKAGE
Single Session: RESEARCH-EXTENSION LINKAGE






viii Module 5 Managing human resources




Module 9 INFORMATION SERVICES AND DOCUMENTATION
Session 1. SCIENTIFIC AND TECHNICAL INFORMATION IN A DEVELOPING-COUNTRY
RESEARCH INSTITUTION
Session 2: INFORMATION AS AN INPUT TO RESEARCH
Session 3: INFORMATION AS AN OUTPUT OF RESEARCH
Session 4: COOPERATION IN NATIONAL PROGRAMMES
Session 5: EXERCISE ON BARRIERS TO THE FLOW OF INFORMATION

Module 10 INSTITUTE EVALUATION
Single Session: INSTITUTE EVALUATION






Training manual for institute management 1


This module comprises six sessions devoted to the management of human resources in a
research institute:


1. RECRUITING AND MAINTAINING STAFF IN THE RESEARCH ENVIRONMENT.
2. THE PROFESSIONAL STAFF.
3. HUMAN RESOURCES MANAGEMENT EXERCISE.
4. PERFORMANCE APPRAISAL.
5. PERFORMANCE APPRAISAL CASE STUDY: SUZENE KOPEC.
6. EXERCISE IN DESIGNING PERFORMANCE EVALUATION FORMATS.


To begin with, some general observations on human resources management (HRM) as
distinct from personnel management should be made. The components of a HRM system
- planning, recruiting, appraisal, reward system and training should be identified. These
will be discussed in this module.
Issues in recruitment, induction and promotion of staff at various levels in the
organization are discussed during the first two sessions.
The exercise in HRM in the third session provides an opportunity for application of
concepts discussed in the previous two sessions, and draws on participants' experience.
The overall focus of this module is on performance appraisal, as discussed in the fourth
session. The concepts of performance appraisal provide a theoretical basis for discussing the
case presented in the fifth session. The fifth session involves a performance appraisal case
study, which provides an opportunity for participants to apply the concepts learnt in earlier
sessions.
The sixth session is devoted to an exercise in designing performance evaluation formats
for various levels. If time is a constraint, this session could be dropped and the relevant
issues covered during the case discussion in the fourth session.


MODULE 5


MANAGING HUMAN
RESOURCES













Training manual for institute management 3


DATE


TIME


Plenary participatory lecture


OBJECTIVES
At the end of this session, participants should be able to:
1. Recognize the special characteristics of the agricultural research environment
that pose problems in staff recruitment and motivation.
2. Understand basic techniques for recruitment and orientation.


Module 5 Session 1

Recruiting and maintaining staff
in the research environment


FORMAT


TRAINER







4 Module 5 Session 1 Recruiting and maintaining staff


INSTRUCTIONAL MATERIALS


Exhibit 1
Exhibit 2A
Exhibit 2B
Exhibit 2C
Exhibit 2D
Exhibit 3
Exhibit 4
Exhibit 5

Exhibit 6
Exhibit 7
Exhibit 8
Exhibit 9
Exhibit 10
Exhibit 11
Exhibit 12
Exhibit 13


Human resources management (HRM) system
Components of the HRM system 1: Human resources planning
Components of the HRM system 2: Reward system
Components of the HRM system 3: Performance appraisal system
Components of the HRM system 4: Career management system
Characteristics of research institutions related to personnel
Centralization of authority and de-centralization of responsibility
Characteristics of a positive work environment for research institution
personnel
Techniques used in participatory management in research institutions
Why no human resources planning?
Why research institutes are overstaffed
Various methods to advertise positions
Standard steps for personnel selection
Advertising in a newspaper 1
Advertising in a newspaper 2
Orientation methods and issues


BACKGROUND READING

Ahmad, Aqueil. (ed) 1980. Management of Agricultural Research: Problems and
Perspectives. New Delhi: Allied. Read pages 75 to 130.




SPECIAL EQUIPMENT AND AIDS

Exhibits 1 to 9 should be prepared as overhead projector transparencies, flannel boards,
flip charts or on chalkboard.






Training manual for institute management 5


RECRUITING AND MAINTAINING STAFF IN THE RESEARCH
ENVIRONMENT


Initiate the discussion by asking participants whether they are familiar with human resources
management (HRM). How different it is from personnel management? Observe that
personnel management is characterized by bureaucratic processes and procedures, and largely
confined to administrative issues. HRM encompasses personnel management and much more.
It focuses on the individuals in an organization, seeing them as a productive resource
contributing to organizational growth in response to various stimuli. Show EXHIBIT 1 and
give an overview of the components of HRM, covering planning, reward system,
performance appraisal system and career management system. Using EXHIBITS 2A to 2D,
each of these components should be discussed in order to familiarize participants with these
concepts. Observe that each of these will be discussed in detail during the sessions in this
module in the context of the environment in an agricultural research institute.
Initiate discussion in terms of an overview of the agricultural research environment as
it relates to human resources (HR) in a research institute. Characterize the institutes) that
participants are familiar with in descriptive terms, giving a realistic picture of the
environment that the institute personnel will work in. Use EXHIBIT 3 as a guide. Have
participants build on this list.
Many research institutions have an organizational structure that centralizes authority at
the top. This centralization may produce negative side effects, particularly in terms of HRM.
Show EXHIBIT 4, which lists negative effects of centralization and positive effects of de-
centralization. Have participants add to these exhibits during the discussion.
Relate the previous two contrasting discussion points centralization of authority versus
de-centralization to the characteristics of a positive work environment for HR in a research
institution. Note that, based on the concept of positive work environment characteristics, the
centralized authoritarian model does not compare well in comparison with the de-centralized
model. Therefore the issue is how to either change the structure or how to create an
environment within the structure within which research personnel can thrive. Use EXHIBIT 5
for this discussion.
There are several management techniques used in a participatory environment. Refer to
EXHIBIT 6. Introduce these techniques as a prerequisite for the procedural and policy


Module 5 Session 1

Session guide






6 Module 5 Session I Recruiting and maintaining staff


development activities that institutions go through prior to (or soon after) hiring staff. (This
assumes that a research institution is either starting up, undergoing change or reviewing
current standards and practices.)
Ask participants if HR planning is undertaken in their NARS. If not, why not? Show
EXHIBIT 7 and discuss why HR planning is not done.
Enquire from the participants whether their research institute is understaffed or
overstaffed. Overstaffing may be due to a combination of external and internal pressures
(EXHIBIT 8). Observe that overstaffing means a larger proportion of budget going towards
staff salaries, leaving only a small sum available for actual scientific work. At the same
time, it must be recognized that most research institutes tend to be top heavy, with too many
scientists, while the matter of technicians is not given adequate attention. Consequently, the
ratio of technicians and other scientific support staff to researchers may be highly
imbalanced.
Emphasize that, before initiating any recruitment, the role which the person will be
expected to play in the organization in both the short as well as the long term must be clearly
understood. Hiring may not be difficult; firing may be impossible because of government
regulations, labour laws or other reasons. Therefore, before recruitment, it is desirable to
undertake an overall research planning assessment, looking to the future to determine the
optimum balance of practical skills and academic qualifications needed. The research
programme will determine the tasks to be accomplished, and these tasks have then to be
classified into their various categories to provide a firm basis for planning recruitment.
The preceding discussion lays the groundwork for an examination of recruitment
procedures. Encourage participants to describe the recruitment procedures in their
institutions. Define recruitment as the process by which the applicants with the required
abilities, skills and attitudes are matched with the needs of the organization.
Recruitment involves:
establishing minimum hiring qualifications;
designating the technical disciplines needed and estimating the numbers of staff in various
disciplines;
setting objective decision criteria for selection; and
managing all the activities necessary to hire personnel.
Use EXHIBITS 9, 10, 11 and 12 for this discussion. EXHIBITS 11 and 12 provide examples
of vacancy announcements. These exhibits could also be distributed as hand-outs.
Prior to finalizing recruitment, it is often necessary to generate objective as well as
subjective information about the applicants. Their past record will provide objective
information; subjective information will come from personal references given by the
candidates. When seeking a personal reference for a candidate, make sure that you
(i) describe your institution, giving details of its main activities, the client groups, and
supporters and sponsors, (ii) give details of what the candidate would do be expected to do
if he or she joins the institution, (iii) provide organizational considerations with respect to
selection for the particular job, and (iv) give selection criteria, particularly with respect to
individual skills and expertise, as well as desirable personality traits, viewed purely from the
point of view of the particular position. The personality trait considerations may include
capability as a strong leader without being aggressive or abrasive, innovation ability, energy







Training manual for institute management 7




and ability to gain the confidence of the client groups. A personal interview would enable
an overall assessment.
The last issue to discuss briefly during this session is orientation of personnel. This is
an important part of personnel administration, for it is the introduction of a new staff member
to the institution's professional development programme. Induction into a research
organization is both easy and difficult: it is easy because of the prior familiarity which the
newly recruited scientist has with the environment of a research organization; it is difficult
because peer culture may not necessarily promote independence and creativity, particularly
during early stages in the career of a scientist. There are various methods for conducting the
orientation, and an institution usually uses a variety of these. Ask participants to describe
various induction methods used in their organizations and to assess how effective they are.
Could they be made more effective? Use EXHIBIT 13 as a basis for a discussion on
orientation methods.










TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 1


1. Human resources planning system


2. Reward system


3. Performance appraisal system


4. Career management system











TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 2A


COMPONENTS OF THE HRM SYSTEM
1: HUMAN RESOURCES PLANNING SYSTEM


Source: Badway, M.K. 1988. Managing human resources. Research and Technology
Management, Sept.-Oct. 1988.










TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 2B


COMPONENTS OF THE HRM SYSTEM
2: REWARD SYSTEM





Scientists demand special treatment because:
they are professionals
they are engaged in creative work
scientific work is categorized by being unknown and uncertain
scientific research is difficult to monitor and control


Motivation through manipulation is detrimental to scientific work
because:
it disregards individual differences
it introduces ambiguity and uncertainty, reinforcing insecurity
it is motivation by fear
it is overly paternalistic management
there is overemphasis on external rewards (e.g., security, salary,
compensation, prestige, etc.), ignoring internal rewards (e.g.,
skill perfection, problem solving, achievements, discovery of
new methods, etc.)
the rewards system is 'across-the-board' according to job
classification, seniority and pay scale rather than linked to
performance and responsibility
it implies a low level of trust and confidence in the employee
there are ill-defined performance expectations


Source: Badway, M.K. 1988. Managing human resources. Research and Technology
Management, Sept.-Oct. 1988.











TRAINING MANUAL FOR INSTITUTE MANAGEMENT E IIT
Module 5 Session 1





COMPONENTS OF THE HRM SYSTEM
3: PERFORMANCE APPRAISAL SYSTEM



Purpose:
evaluation (for salary increases, promotion, etc.)
development (planning, future performance, etc.)

Considerations:
Who will be evaluated?
What will be evaluated?
How will it be evaluated?
Who will evaluate?

Experience:
supervisors have a difficult role as both evaluator and counsellor
bias is introduced through personal relations, unclear job
definitions, recent incidents, value judgements, subjectivity, etc.
performance appraisal and salary actions should be separate,
although performance appraisal must have a reward and
punishment component, coupled with planning for the future
while criticism could have a negative effect, praise has little effect
either one way or the other
Performance improves when specific goals are mutually
established

Criteria
written work
productivity
recent achievements
originality
recognition
judgement of actual work output
creativity ratings by supervisors
ability to work in a team
personal qualities (visibility, organizational contributions)

Source: Badway, M.K. 1988. Managing human resources. Research and Technology
Management, Sept.-Oct. 1988.






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 2D


COMPONENTS OF THE HRM SYSTEM
4: CAREER MANAGEMENT SYSTEM


Source: Badway, M.K. 1988. Managing human resources. Research and
Technology Management, Sept.-Oct. 1988.


* Career planning
* Career counselling
* Career pathing







TRAINING MANUAL FOR INSTITUTE MANAGEMENT EXHIBIT 3
EXHIBIT 3
Module 5 Session 1



PERSONNEL-RELATED CHARACTERISTICS OF RESEARCH
INSTITUTIONS





Primary goals and objectives include:
meeting social and community obligations
satisfying personal objectives of the members of the organization
creating and distributing research services


Typically, research institutions provide:
research on basic or applied topics
development of products and processes
confirmation of processes and user needs
information services
quality control and testing
technical assistance
economic development and planning
technical and economic feasibility studies
general management control
training
extension services


Research institutions employ a range of personnel, from administrative
and maintenance to professional technical staff. Professional staff are
characterized by:
sound technical background and education
high standard of ethical behaviour
eagerness for work and a spirit of cooperation
independent work styles
operating well in a free and open environment which encourages
self-motivation, and where subject or project work takes
precedence over administrative work


The organizational structure of projects is often informal, leading to an
effective client-researcher relationship







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 4


De-centralization Negative effects of
of responsibility centralization


* promotes creation of coherent discourages initiative
and coordinated team networks among researchers
* maximizes the effective use of time is wasted by
talents waiting for approval to
pursue new research
* encourages emotional pursue new research
leads
commitment to the institutional
* improves morale
* increases pride in workmanship
* creates time for senior
management to do long-range
planning and to increase
contacts with programme and
project recipients and sponsors


CENTRALIZATION OF AUTHORITY AND
DE-CENTRALIZATION OF RESPONSIBILITY






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


F EXHIBIT 5


CHARACTERISTICS OF A POSITIVE WORK
ENVIRONMENT FOR RESEARCH PERSONNEL




Policies and procedures encourage exploration
and do not punish non-success
Senior members facilitate a professional
environment and encourage junior team members
The reward system values the effort of
individuals
Salaries and rewards should foster achievement
of institutional goals as well as meet staff needs
Participatory management encouraged at all
levels
Clear delineation of responsibilities and authority
Freedom for individuals to contribute significantly
to technical work assignments







TRAINING MANUAL FOR INSTITUTE MANAGEMENT E
Module 5 Session 1 EXHIBIT 6







TECHNIQUES USED IN PARTICIPATORY MANAGEMENT
IN RESEARCH INSTITUTIONS





Frequent meetings between staff and senior management to
review technical and fiscal aspects of programmes
(scheduled programme staff meetings)


Information discussions between staff and management on
future directions for activities


Circulation, to all professional staff, of documents denoting the
institution's goals and plans, or changes to them


Discussion of differences of opinions regarding work priorities


Publication and circulation to all staff members of a newsletter
or progress report


Exposure of senior management to views and opinions of
researchers (possibly through a researcher advisory committee
mechanism)


Executive committee meetings (including Heads of programmes)
to discuss operational needs, problems and accomplishments,
cross-programme cooperation and similar topics








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 7


Source: Bennue, P., and Zuidema, L. 1988. Human resources management for
agriculture research: Overview and issues. ISNAR Working Paper, No. 15


1. Low level of overall programme planning for
the NARS and research institutions
2. Lack of control over personnel recruitment
3. Excessive programme and personnel
fragmentation due to heavy reliance on donor
projects
4. Rigid civil service regulations interfering with
personnel deployment and reward
5. Limited human resources planning expertise
6. Inadequate human information system
7. Heavy reliance on donor funding for staff
development interventions










TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 1


EXHIBIT 8


.1


WHY ARE RESEARCH INSTITUTES
OVERSTAFFED?


Source: Nickel, L.J. 1989. Research Management for Development: An Open
Letter to a New Agricultural Research Director. San Jose, Costa Rica: ICCA


1. Poor management and lack of proper
prioritization of research activities
2. National policy to absorb university graduates
in agriculture and science
3. Tendency for large recruitment during easy
financial times and for sponsored project work
4. Internal pressure to recruit more and more
persons without a rational future plan for
institutional development
5. Lack of a proper balance between support
staff (technicians, etc.) and scientific staff


I







TRAINING MANUAL FOR INSTITUTE MANAGEMENT E T
Module 5 Session 1T













VARIOUS METHODS TO ADVERTISE AND
FILL POSITIONS





Notices posted in government offices
Advertisements in local newspapers
Announcements in college departments
Announcements through scientific society
channels
Advertisements in business and technical
publications and professional journals
Word of mouth
Employment agencies for professionals
Sponsoring selected students
Search process







TRAINING MANUAL FOR INSTITUTE MANAGEMENT T
Module 5 Session 1













STANDARD STEPS FOR PERSONNEL
SELECTION





GOAL: MATCHING PERSONS WITH POSITIONS


Step 1 Draft a specific job description and job
requirements
Step 2 Advertise the position within and outside the
institution
Step 3 Review applicants' resumes and qualifications
Step 4 Interview
Step 5 Make background and reference checks
Step 6 Medical examination
Step 7 Employment decision









TRAINING MANUAL FOR INSTITUTE MANAGEMENT EXIT 1
Module 5 Session 1 1


ADVERTISING IN A NEWSPAPER 1


Applications are invited for the following vacant posts:


1. Scientific Secretary
Applicants must hold a second degree in any of the natural or applied
sciences, OR a good first degree in any of the natural or applied sciences
with at least 5 years relevant post-graduate experience.
Applicants must be highly motivated and able to communicate concisely.
The successful candidate will be responsible to the Director for the
scientific administration of the institute, and will assist, inter alia, with
planning, monitoring and evaluating research projects; convening and
organizing scientific meetings, preparation of the reports of such
meetings, and implementation of decisions and recommendations
therefrom.


2. Principal Accounting Assistant
Applicants must hold the Final Examination Certificate of CIS or AIA, OR
Professional Section 1 of ACA, OR Professional Section 1 of CMA, OR
Intermediate CA (Savana) with at least 3 years post-qualification
experience. Applicants with Foundation Parts A & B of ACA or ICMA, and
at least 6 years post-qualification experience, may be considered.
Applicants must have a high standard of integrity, precision and initiative.
The successful candidate will be required to take full charge of and direct
the work of the Accounting Division and will be expected to perform all
work pertaining to the control of expenditure, efficient collection of
revenue and maintenance of detailed accounts of the institute.


3. Accounting Assistant
Applicants must either hold the Final CIS, the Final AIA or Foundation
parts A & B of ICMA, or Intermediate CA (Savana); OR hold Intermediate
CIS, Intermediate AIA or Foundation Part A of ACA or ICMA, with at least
3 years experience as Senior Accounts Clerk or an analogous grade in a
higher educational institution, commerce, industry or public service, and
have a practical knowledge of the preparation of final accounts.


Salary: The salaries attached to these posts are attractive and also carry fringe benefits.
Application forms may be obtained from: The Director, Food Research Institute,
P.O.Box M.20, Ervallaland, to whom the completed forms should be returned no later
than 31st March 1997. Two stamped, self-addressed A4 envelopes should accompany
the request for application forms.









TRAINING MANUAL FOR INSTITUTE MANAGEMENTHIIT 1
Module 5 SessionEXHIBIT 12
Module 5 Session 1


ADVERTISING IN A NEWSPAPER 2



FOOD RESEARCH INSTITUTE, CSIR
Applications are invited for the following posts:

1. Research Officers (Mechanical, Electrical, Chemical and Refrigeration
Engineering)
Applicants must hold an MSc degree in the relevant discipline, OR a good BSc degree
with recognized post-graduate or professional qualification. In addition, applicants
should be corporate members of the Savana Institute of Engineers. Applicants with
only a first degree may be considered for the post of Assistant Research Officer.

2. Research Officer (Economist)
Applicants must have an MSc degree in Agricultural Economics or in Economics with
Statistics, and have considerable experience in economic surveys and data analysis.
The successful candidate will undertake studies on food production and marketing
economics, feasibility studies, and analysis and economic assessment of products
developed at the Institute. Applicants with a good first degree may be considered
for the post of Assistant Research Officer.

3. Research Officer (Fruit and Vegetables)
Applicants must hold an MSc degree in Food Science or Food Technology, with
considerable experience in processing and preservation of fruit and vegetables.
Applicants with a good first degree in an appropriate discipline may be considered for
the post of Assistant Research Officer.

4. Research Officer (Fish Microbiology)
Applicants must hold an MSc degree in any of the biological sciences or in Food
Science/Technology, with experience in fish microbiology.

5. Assistant Research Officer (Nutrition)
Applicants must hold a BSc degree in Food Science/Nutrition from a recognized
university. Experience in the formulation and quality evaluation of weaning foods
based on legumes and cereals would be an advantage.

6. Senior Technical Officer/Assistant Technical Officer (Electrical and mechanical)
Applicants must hold the full Technical Certificate of the City and Guilds of London,
or Higher National Certificate or Diploma in Electrical or Mechanical Engineering, with
relevant post-qualification experience.

Salary: The salaries attached to these posts are attractive and also carry fringe benefits.
Application forms may be obtained from: The Director, Food Research Institute,
P.O.Box M.20, Ervallaland, to whom the completed forms should be returned no later
than 31st March 1997. Two stamped, self-addressed A4 envelopes should accompany
the request for application forms.






TRAINING MANUAL FOR INSTITUTE MANAGEMENT T
Module 5 Session 1





ORIENTATION METHODS AND ISSUES





1. Group orientation by administrative staff giving
details of job expectations, and criteria and
procedures for performance evaluation


2. Individual orientation by supervisor or divisional
administrator


3. Issuing the new member with a handbook of
information, covering the daily routine, employee
compensation, benefits and services, personnel
policies and practices, safety measures and
regulations, institute organization and operation,
institution programmes and projects both current
and past, institution history, and business policy


4. The orientation process is very important in forging
an appropriate attitude and appreciation in the new
member


5. A well planned and comprehensive orientation
dispels many new-employee fears and
apprehensions, and save time and headaches in the
long run. It orients then to the organization's
mission, goals, mandate and work culture


6. Orientation creates acquaintance and facilitates
social integration







Training manual for institute management 25


DATE


TIME


Plenary participatory lecture


OBJECTIVES
At the end of this session, participants should be able to:
1. Draw up a job description.
2. Understand techniques for technical and managerial development.
3. Understand the pros and cons of performance evaluation.


Module 5 Session 2


The Professional staff


FORMAT


TRAINER







26 Module 5 Session 2 The Professional staff


INSTRUCTIONAL MATERIALS


Exhibit 1
Exhibit 2
Exhibit 3
Exhibit 4
Exhibit 5
Exhibit 6


Hand-out 1

Hand-out 2
Hand-out 3


Job description of an agricultural researcher
Characteristics of a job description
Limitations of job description
Benefits of job descriptions
Transition from specialist to manager
'Do's' and don'tt' in professional motivation


Coffee Research Institute: Job descriptions, qualifications and promotion
criteria
Coffee Research Institute: Appointment and promotion of scientific staff
Coffee Research Institute: Appointment and promotion of administrative
and other staff


BACKGROUND READING

1. Bayton, J.A., & Chapman, R.L. Making managers of scientists and engineers.
The Bureaucrat, 1(4): 407-425.
2. Ahmad, Aqueil (ed) 1980. Management of Agricultural Research: Problems and
Perspectives New Delhi: Allied Publishers. Read pages 131-154.




REQUIRED READING

None.




SPECIAL EQUIPMENT REQUIRED

Overhead projector; chalkboard.







Training manual for institute management 27


THE PROFESSIONAL STAFF


Begin the session with a discussion of the problems facing management in terms of
developing staff. Ask participants what their most difficult problem is concerning matching
staff skills to the organization's needs. Tell participants you wish to focus on developing
useful job descriptions. While issues in developing technical and managerial staff are
mentioned here, they are discussed in greater detail in the session on performance evaluation.
Show EXHIBIT 1 and acknowledge that a job description accomplishes several purposes.
Show EXHIBIT 2 and discuss characteristics of a good job description. Refer back to
EXHIBIT 1 and examine whether it has the required description. Before the institution can
turn to research, it has to know what employees it has, their characteristics and
responsibilities. Good job descriptions can allow those who are responsible for personnel
development to plan good programmes. HAND-OUTS 1, 2 and 3 provide examples of general
job descriptions, (entry) qualifications, mode of recruitment and promotion criteria.
Remember that job descriptions have their limitations. Ask participants whether it is
desirable to provide formal job descriptions, and, if so, should they be specific or broad?
Also ask participants about their organization's policy for job descriptions. Add participants'
suggestions to the benefits and limitations listed in EXHIBITS 3 and 4.
Technical and managerial development is the next aspect of professional development to
discuss. One problem that is prevalent in research institutions throughout the world is the
promotion of technical personnel to managerial posts. A greater challenge is how to turn
specialists into managers.
Most institutions recognize that the transition from a scientist or engineer to a manager
is not accomplished in one step, but is an evolutionary process (EXHIBIT 5).
Discuss the issue in detail to arrive at a consensus as to the best approach to make this
transition easier and more beneficial to employees. Devise a model with the help of
participants. Draw this on the chalkboard and subsequently copy and distribute it to
participants.
A major part of professional development is the provision of an environment that fosters
growth. EXHIBIT 6 lists some 'Do's' and 'Don'ts' for a positive work environment. Review
these with participants and discuss how important each item is to various representatives of


Module 5 Session 2

Session guide







28 Module 5 Session 2 The Professional staff




the institution. If an item is not important, establish the reason why, and find out if the
institution replaces that item with something else.
Performance evaluation is an oft-used technique. This is usually an annual evaluation
where the supervisor and employee meet to review progress toward a set of goals and set new
goals for the next period. Properly designed, a performance evaluation programme has
several benefits. Note that performance evaluation will be discussed in detail later.
Before concluding the session, suggest to participants that they should analyse HAND-
OUTS 1, 2 and 3 in the context of the discussion which has taken place during the session.
Such analysis will be useful in the group exercise to be conducted in the next session.







TRAINING MANUAL FOR INSTITUTE MANAGEMENT E T
Module 5 Session 2T


JOB DESCRIPTION FOR AN AGRICULTURAL
RESEARCHER



The researcher will be expected to:

Identify new research opportunities, prepare research
proposals and initiate activities

Respond to problems identified by research leaders

Collaborate in research teams and contribute specific skills
needed for the particular project

Supervise other scientific, technical and support personnel

Train other scientific, technical and support personnel

Maintain familiarity with professional literature and interests in
broader scientific fields

Plan, design and conduct experiments, including collecting
background information

Analyse results, determine their significance, and draw
conclusions

Present research results in a timely fashion in the form of
reports and papers for publication where suitable

Communicate the results to other scientists, extension
workers and end-users, using the most appropriate media

Perform other tasks as the Director may require



Based on: Bennell, P., and Zuidema, L. 1988. Human resources management for agricultural
research: Overview and issues. ISNAR Working Paper, No. 15.







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 2


EXHIBIT 2


CHARACTERISTICS OF A JOB DESCRIPTION


* A job description outlines in as much detail as is appropriate
the responsibilities, tasks and expectations the employee is to
fulfil in order to master a certain job


* A job description enables the employee to understand the
range of activities that are to be fulfilled

* A job description allows the employee to have a concrete idea
of others expectations (i.e., the role the employee will be
expected to play)


* A job description facilitates the hiring process


* Often, for complicated and less tangible jobs, a job description
is not written. Lower-level jobs usually have a clear job
description


* A job description functions as a standard against which an
employee can measure attainment and growth










TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 2


EXHIBIT 3


LIMITATIONS OF JOB DESCRIPTIONS


* Often out of date

* Do not correspond to the actual job

* Used by some employees to hide behind when they do not
want new responsibilities

* Cannot cover in adequate detail all aspects of a job,
particularly complex jobs requiring the synthesis of many skills

* Time consuming to prepare properly

* Could be a source of industrial strife







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 2


BENEFITS OF A JOB DESCRIPTION


* Make managers take time to consider and verbalize what they
expect an employee in a particular post to accomplish

* Increase initial employee-employer communications

* Promote uniformity for the same job title across divisions

* Help in proper performance evaluation


EXHIBIT 4







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 2


Transition begins early in a career (e.g., supervision of
laboratory assistants and technicians, leadership in project
task forces, etc.)

Increasing association with management tasks (selection of
non-professional staff for laboratory work; planning work
schedules; personnel tasks; developing cost estimates for
laboratory projects)

Management functions are adopted easily by the scientist as
they are seen as providing opportunities for the individual to
have an influence on the organization

Several negative reactions often occur, including:
personal work in their speciality is disrupted;
a person questions aptitude or training to perform tasks;
too great a demand for the individual to make subjective
judgements.




Source: Bayton, J.A., and Chapman, R.L. Making managers of scientists and engineers.
The Bureaucrat, 1(4):


FEXHIBIT 5







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 2


EXHIBIT 6


* Start providing for the psychological as well as for the
physical (salary, fringe benefits) needs of employees


* Stop over-organizing jobs or fragmenting jobs into
meaningless tasks. Fit the job to individual talents


* Attitudes of managers at all levels can affect productivity.
Managers should encourage participative management with all
employees, encouraging their suggestions and thoughts. This
allows an employee to relate personal goals to those of the
institute


* Make sure pay increases (including bonuses and profit-sharing
if appropriate) are for merit and not just for time serving


* Allow those at the lower levels of the job pyramid more
authority and responsibility. Enlarge their jobs so they have
more opportunity to see a task through to completion, rather
than being just a cog in a machine and dependent on others
for 'approval' of each task aspect. Provide the opportunity
for people to get out of a job rut


Source: Based on: Motivating people: Money isn't everything. Newsweek, 1974.


I


DO'S AND DON'T'S FOR PROFESSIONAL
MOTIVATION






Training manual for institute management 35


COFFEE RESEARCH INSTITUTE:
JOB DESCRIPTIONS, QUALIFICATIONS AND PROMOTION CRITERIA


Note: For convenience, the male epithet is used generally in these descriptions. In
all applicable cases it is to be construed to include the equivalent female epithet. The
use of the male epithet implies no gender bias on the part of the relevant authorities.


1. Duties of the Executive Director
Subject to the policy laid down by the Management Committee and to its decisions on
programmes, budgets and policy, the Director shall be responsible for day-to-day
management. This responsibility shall include:
(i) day-to-day management of the estate and properties of the Institute;
(ii) the direction of research staff and other staff in the carrying out of their functions;
(iii) staff discipline and the institution of a machinery for this purpose, in accordance with
any regulation that may be prescribed;
(iv) responsibility for selection and appointment of candidates for junior posts, in
accordance with regulations approved by the Committee;
(v) arrangements for the recruitment of senior staff, in accordance with procedures
approved by the Committee;
(vi) the preparation of research programmes, projects and the annual report;
(vii) the preparation of draft estimates of the Institute and such supplementary estimates as
may be required;
(viii) operation of the budget, including approval for expenditure within the allocations under
each item;
(ix) preparation of the annual accounts; and
(x) responsibility for ensuring that accounts are audited annually.


Module 5 Session 2

Hand-out 1






36 Module 5 Session 2 The Professional staff


In exercising his responsibilities, the Director shall be responsible to the Management
Committee of the Institute.


2. Responsibilities of the Deputy Executive Director (Administration)
The Deputy Executive Director (Administration) (DED (Admin.)) will be responsible to the
Executive Director for the administration of research matters to facilitate the formulation and
execution of research programmes on coffee and shea nut.
He will also be responsible to the Executive Director for specific administrative duties
to facilitate close supervision of the Head of the Coffee and Shea nut Research Division
(crops other than cocoa); Works and Estate; Transport; and Extension.
Major responsibilities include:
(i) bringing up to date the coffee and shea nut research programmes of different research
divisions, suggesting areas of coordination and advising against duplication through the
research committee;
(ii) assisting the editorial committee to examine conference papers as well as representation
at and applications for attendance at seminars and conferences outside the Institute to
ensure the relevance of the conference to the Institute's work and a fair opportunity for
all research officers;
(iii) establishing linkages between the Institute and other local research organizations on
matters relating to research on crops other than cocoa;
(iv) in addition, he will carry out research duties (not as head of division), working with
research assistants as and when necessary.
Other responsibilities include:
(i) control over the mechanical workshops through the Works and Estate Officer;
(ii) assisting the Estates Officer in solving transport problems;
(iii) Home Ownership Scheme; and
(iv) welfare and disciplinary matters.


3. Responsibilities of the Deputy Executive Director (Research)
The Deputy Executive Director (Research) (DED (Res.)) will be responsible to the Executive
Director for the administration of research matters to facilitate formulation and execution of
research programmes on cocoa and other crops except coffee and shea nut.
He will also be responsible to the Executive Director for specific administrative duties
to facilitate close supervision of the work of the Heads of the Coffee Research and the
Service Divisions (i.e., General Administration and Accounts).
Major responsibilities will include:
(i) bringing up to date the coffee research programmes of the different research divisions,
suggesting areas of coordination and advising against duplication through the Research
Committee;







Training manual for institute management 37




(ii) arranging the evaluation by an internal Editorial Committee for Publications of
scientific papers proposed for publication;
(iii) assisting the Editorial Committee to examine conference papers as well as
representation at and application for attendance at seminars and conferences outside the
Institute to ensure the relevance of the conference to the Institute's work and a fair
opportunity for all research officers;
(iv) establishing linkages between the Institute and other local research organizations on
matters relating to coffee research;
(v) in addition, he will carry out research duties (not as Head of Division), working with
research assistants as and when necessary.
Other responsibilities include:
(i) controlling local purchases through the Local Purchasing Committee;
(ii) ensuring preparation and defence of budget and other financial matters;
(iii) upgrading of the Institute's durable assets and the supervision of an annual board of
survey through the Accountant and the relevant Committee;
(iv) staff recruitment, training and promotions through the Research and Administrative
Secretaries;
(v) representing the Institute on the CRIS Research Fund, the Management Committee, and
on tender boards; and
(vi) other duties as may be required from time to time by the Executive Director.


4. Head of General Administration
The Administrative Secretary is the Head of General Administration. He is Secretary to the
Institute's Management Committee. He is responsible to the Executive Director through
DED (Admin.) for the general administration of the Institute and may be assigned such other
duties as may be prescribed by the Executive Director.


5. Heads of Research Divisions
They are responsible to the Executive Director through DED (Res.) for day-to-day
administration of the research divisions. They are responsible for organizing and executing
research programmes as approved by the Executive Director.


6. Head of Plantation/Station Management Division
Responsible to the Executive Director through DED (Admin.) for the day-to-day
administration of the Plantation/Station Management Division. He is responsible for proper
maintenance of the Institute's experimental plots, the compounds of the residential areas, and
sanitation at the station.







38 Module 5 Session 2 The Professional staff


7. Head of Works and Estate Division
The Head of this Division is the Chief Estate Officer. He is responsible to the Executive
Director through DED (Admin.) for day-to-day administration in the Works and Estate
Division. He is responsible for supervision of building contracts at the Institute, ensuring
compliance with drawings and specifications and the use of approved quality materials. He
also supervises reports on proper utilization of loans granted to employees under the Home
Ownership Scheme. He is responsible for proper maintenance of the Institute's buildings,
vehicles and machinery.


8. Head of Accounts Division
The Accountant is the Head of the Accounts Division. He is responsible to the Executive
Director through DED (Admin.) for the overall financial administration of the Institute,
including preparation of the Draft Annual Estimate of Expenditure and final accounts.






Training manual for institute management


COFFEE RESEARCH INSTITUTE:
APPOINTMENT AND PROMOTION OF SCIENTIFIC STAFF


Note: For convenience, the male epithet is used generally in these descriptions.
In all applicable cases it is to be construed to include the equivalent female
epithet. The use of the male epithet implies no gender bias on the part of the
relevant authorities.


1. Categories of Officers
The categories of officers governed by the conditions laid down in Section 22 (i-iv) of the
Revised Conditions of Service include (i) Assistant Research Officer, (ii) Research Officer,
(iii) Senior Research Officer, (iv) Principal Research Officer, and (v) Chief Research Officer.
The conditions governing their appointment and promotion are described below.


2. Assistant Research Officer
(i) Recruitment and Probation
(a) The minimum entry qualification for a Assistant Research Officer shall normally be
a second-class degree or its equivalent from a recognized university.
(b) All appointees to this grade shall serve a probationary period of one year. They
shall be assigned specific projects under supervision during the probation period and
be required to submit a written report at the end of the period. The topic of the
project shall be communicated by the Director to the Management Committee within
three months of the appointment of the probationer.
(ii) Confirmation
(a) At the end of their probation period, Assistant Research officers shall be interviewed
on their work by a competent panel. If found suitable, their appointments shall be
confirmed; otherwise their appointments shall be terminated. In marginal cases the
probationary period may be extended by one year, at the end of which the candidate
shall be interviewed again.
(b) Every effort shall be made to get confirmed Assistant Research Officers to pursue
post-graduate courses leading to at least a master's degree or its equivalent. Where


Module 5 Session 2

Hand-out 2







40 Module 5 Session 2 The Professional staff


suitable facilities exist locally, every effort shall be made for the post-graduate
training to be organized locally.
(iii) Promotion
(a) The normal minimum qualification for promotion from Assistant Research Officer
to Research Officer grade is a master's degree or its equivalent. However,
Assistant Research Officers who, having reached the end point of the scale, have
had no opportunity for post-graduate training shall be eligible for consideration for
promotion to the grade of Research Officer on the basis of their performance and
work output.
(b) For in-service candidates, the procedure for promotion from Assistant Research
Officer grade to Research Officer grade shall be as follows:
All officers who reach the end point of the Assistant Research Officer scale shall
be put forward by their Heads of Division for consideration for promotion.
Serving officers who would have reached the end point of the scale on the
acquisition of their post-graduate degree shall, where appropriate, be considered for
incremental credits on merit.
A candidate shall name three referees, being persons of grades not lower than a
Research Officer or its equivalent. For serving, first-degree candidates, two of the
referees shall be from the Institute while the third, if selected from outside the
Institute, must be a person who has some knowledge of the candidate's project and
has the requisite background to pronounce on the candidate's competence. For
serving officers who have obtained a second degree, at least two of the referees
shall be from the university where the candidate pursued his post-graduate studies,
while the third referee shall be a person with the requisite knowledge in the
candidate's field of competence.
The Director shall provide a comprehensive report on the candidates to the
Management Committee.
The Management Committee shall consider candidates on the basis of the
documentary information supplied to them. However, the Committee may at their
discretion summon any candidate for interview should such a course of action be
deemed desirable.
(c) For external candidates with the requisite post-graduate degree (i.e., at least an MSc
or its equivalent) the procedure shall be as follows:
Candidates should normally apply in response to an advertisement, but they shall
be free to apply for consideration for appointment into an appropriate Division
depending on the availability of vacancies.
Candidates shall complete the proper application forms. They shall name three
referees, two of whom shall be from the institution where the candidates concerned
pursued their post-graduate studies.
Candidates shall be interviewed by a competent Appointment Panel within 90 days
of the closing date of the advertisement. The Panel shall include at least two
persons who have expert knowledge in the candidates' field of specialization.







Training manual for institute management 41


3. Progression from Research Officer to Principal Research Officer
(i) All appointments to the Research Officer or Senior Research Officer grade shall be
five-year contracts, renewable subject to the satisfactory performance of officers in
their respective grades. Appointments to the grade of Principal Research Officer and
above shall be on tenure.
(ii) A Research Officer who at the end of 10 years (i.e., on the expiry of his second
contract appointment) fails to satisfy the Appointment and Promotion Panel regarding
his suitability for promotion to Senior Research Officer grade shall not have his
contract renewed.
(iii) The minimum qualification for promotion from the grade of Research Officer to that
of Senior Research Officer is a master's degree or its equivalent.
(iv) Every effort shall be made for to enable a Research Officer who possesses only a first
degree to pursue post-graduate courses leading to a master's degree or its equivalent.
(v) Candidates for promotion to Senior Research Officer grade will be expected to have
served a minimum period of five years at Research Officer grade in the Institute or in
an equivalent institution. In cases of exceptional merit, shown by distinguished
research work and distinguished contribution to the Institute's work, promotion may
be made earlier.
(vi) Promotion to Senior Research Officer grade shall be based on significant research
output, publications and an officer's general performance and contribution to the work
of the Institute.
(vii) For purposes of promotion, technical reports may count as publications and may be
submitted for assessment for all the research grades covered by these regulations.
(viii) For promotion from the grade of Senior Research Officer to that of Principal Research
Officer, candidates shall have served for a minimum period of four years at Senior
Research Officer grade at this Institute or in an equivalent Institution. Promotion from
Senior Research Officer to Principal Research Officer grade shall be based largely on
substantial research output, publications, professional competence, contribution to the
Institute's work, and ability to lead a research team.


4. Promotion from Principal Research Officer to Chief Research Officer
(i) No time limit shall be imposed for progression from Principal Research Officer grade
and above.
(ii) To qualify for the grade of Chief Research Officer, a candidate must have attained the
rank of Principal Research Officer or its equivalent, and gained such experience as
would enable him to discharge the full responsibilities of a Director should the need
arise. Thus a prospective candidate must have had considerable experience in the
conduct of research and in research management, demonstrated not only by the quality
and output of research but also demonstrated ability in a position of responsibility,
involving leadership of a divisional research and development programme of an
Institute.







Module 5 Session 2 The Professional staff


5. External assessors
(i) For posts at Senior Research Officer level and above, the views of two external
assessors shall be sought.
(ii) External assessors shall be appointed by the Director. The criteria which external
assessors should satisfy shall be spelt out clearly by the Director. The Director,
depending on the circumstances in each case, may at his discretion decide to request
persons of proven competence who satisfy the criteria laid down for external assessors
to undertake the evaluation of candidates.
(iii) External assessors should neither have been
directly connected with the undergraduate or post-graduate studies of the candidate;
nor
at any time a working colleague of the candidate. (For example, the candidate should
not have previously engaged in a joint research project with the external assessor or
co-authored a publication.)
(iv) An external assessor should be an authority in the main field of competence of the
candidate, and should normally be of a grade higher, and in any case not lower, than
the grade for which the candidate is being considered for promotion.
(v) In the selection of external assessors, where suitable local specialists of the requisite
seniority exist, they should be given preference over overseas assessors so as to
forestall possible delays and communications problems.
(vi) Should there by any fundamental disagreement between the views of the two external
assessors, and, furthermore, if the Promotion Panel is unable to arrive at a firm
decision on the suitability of a candidate, the Panel may seek the views of a third
external assessor.






Training manual for institute management 43


COFFEE RESEARCH INSTITUTE:
APPOINTMENT AND PROMOTION OF ADMINISTRATIVE AND OTHER
STAFF


Note: For convenience, the male epithet is used generally in these descriptions. In
all applicable cases it is to be construed to include the equivalent female epithet. The
use of the male epithet implies no gender bias on the part of the relevant authorities.



1. Secretary
Duties: The Secretary is the Chief Administrative Officer of the Institute. He is responsible
for the general administration of the Institute.
Qualifications: An honours degree, preferably with a second degree, of a recognized
university, or equivalent professional qualification, with considerable administrative
experience.
Entry: By advertisement and interview, or by promotion from Principal Administrative
Officer.

2. Principal Administrative Officer
Duties: Responsible to the Secretary for general administrative duties.
Qualifications: An Honours degree, preferably with a second degree, of a recognized
University, or equivalent professional qualification, with considerable administrative
experience; or must have had a minimum of three years experience at Senior
Administrative Officer grade and have shown clear evidence of ability to hold a schedule
without supervision.
Entry: By advertisement and interview, or by promotion.


Module 5 Session 2

Hand-out 3






44 Module 5 Session 2 The Professional staff


3. Senior Administrative Officer
Duties: Responsible to the Secretary for administrative duties.
Qualifications: Candidates must be confirmed officers with not less than three years
continuous and satisfactory service as Administrative Officer; or must have served in a
governmental or non-governmental organization of good repute for not less than five
years in the administrative grade;
and must possess a minimum educational qualification of either School Certificate, with
credit in English language; General Certificate of Education 'O' Level, with passes in at
least five subjects, including English language; or an equivalent educational qualification;
or have attained the Final Certificate of the Chartered Institute of Secretaries or the Final
Certificate of the Corporation of Secretaries;
or an equivalent qualification, such as a university degree.
Entry: By advertisement and interview, or by promotion.


4. Administrative Officer
Duties: Responsible to the Secretary for administrative duties.
Qualifications: Must be a confirmed officer with not less than three years continuous and
satisfactory service as Office Assistant; or must have served in a governmental or
non-governmental organization of good repute for not less than five years at executive
or analogous level;
and must possess a minimum educational qualification of School Certificate with credit
in English language; the General Certificate of Education 'O' Level with passes in at
least five subjects, including English language; or an equivalent educational qualification
or have attained the Final Certificate of the Chartered Institute of Secretaries or the Final
Certificate of the Corporation of Secretaries;
or an equivalent qualification, such as a university degree.
Entry: By advertisement and interview, or by promotion.


5. Private Secretary
Duties: Private Secretaries will be required to perform high-speed shorthand and typing,
including the preparation of minutes of proceedings of conferences and meetings of a
classified nature. They may be required to be responsible for custody of confidential
files and exercise supervision over others in the secretarial category. They will be
employed on both secretarial and executive duties.
Qualifications: Candidates must possess as minimum the educational qualification of School
Certificate, with credit in English language; the General Certificate of Education 'O'
Level with passes in at least five subjects, including English language; or an approved
equivalent; and must be able to type at a speed of 60 words per minute for 10 minutes,
and take shorthand at a speed of 120 words per minute for 5 minutes.






Training manual for institute management


In addition, they must have passed an examination in (a) Advanced Secretarial Practice
and (b) General Knowledge, and possess a certificate to that effect issued by the Principal
of the Government Secretarial School;
and must have a highly developed sense of responsibility, display initiative, accuracy,
integrity and discretion, and show a good working knowledge of office management;
and must have at least three years experience as Stenographer/Secretary.
Entry: By advertisement and interview.


6. Accountant
Duties: Be responsible to the Director for the overall financial administration of the Institute,
including preparation of the final accounts.
Qualifications: A minimum of Intermediate ACCA, Intermediate ACA, or ICWA Part III,
with not less than five years of accounting experience in a governmental or industrial
organization.
Entry: By advertisement and interview.


7. Principal Accounting Officer
Duties: Be responsible to the Accountant, and will be required to take full charge of the
Accounts and be able to perform all work pertaining to the control of expenditure,
efficient collection of revenue, and maintenance of detailed accounts of the Institute.
Qualifications: Must have had a minimum of three years in the grade of Senior Accounting
Officer; and must have shown clear evidence of ability to hold a schedule without
supervision;
or must possess Final RSA, Institute of Bookkeepers, LCC or equivalent qualification,
with a minimum of ten years post-qualification experience.
Entry: By advertisement and interview, or by promotion.


8. Senior Accounting Officer
Duties: Staff in this grade will be required to perform work relating to the control of
expenditure, efficient collection of revenue, and maintenance of detailed accounts of all
such financial transactions. They will be required to take charge of and direct the work
of Accounting Sections. They will also be expected to instruct, supervise and train junior
staff under them. They will be expected to prepare statements of accounts, check and
verify current accounts, bank accounts, etc., and attend to correspondence connected with
accounts.
Qualifications:
Must have a minimum of five years as Accounting Officer,
or must hold the Final RSA, Institute of Bookkeepers, LCC, or equivalent qualification,
with a minimum of seven years post-qualification experience.
Entry: By advertisement and interview, or by promotion.






46 Module 5 Session 2 The Professional staff


9. Accounting Officer
Duties: Staff in this grade will be required to prepare statements of accounts, check and
verify current accounts, reconcile Bank Statements, attend to correspondence and
supervise the work of lower grades, and to take responsibility for overall control of trial
balances, consisting of subsidiary control, control of work-flow to machine operators and
checking controls, and agreeing pre-lists with summary sheets.
Qualifications:
Final RSA, Institute of Bookkeepers, LCC, or equivalent qualification, with a minimum
of five years experience in financial organization;
or School Certificate, with credit in English language; or the General Certificate of
Education 'O' Level with passes in at least five subjects, including English language; and
with a minimum of ten years experience in financial organization;
or Middle School Leaving Certificate, with a minimum of 15 years experience in a
financial organization.
Entry: By advertisement and interview, or by promotion.


10. Senior Stores Superintendent
Duties: General supervision of stores; buying, custody and control of stores; preparation of
estimates and indenting of stores; stores accounting; and bookkeeping. General
correspondence on all connected matters, including short-falls and insurance claims;
expeditious handling of all cases of loss and damage; application and interpretation of
stores regulations and instructions; and training and supervision of stores staff.
Qualifications: Must have had a minimum of three years in the grade of Stores
Superintendent; and must have shown clear evidence of ability to hold a schedule with
supervision;
or must possess Final RSA, Institute of Bookkeepers, LCC, or equivalent qualification,
with a minimum of ten years post-qualification experience;
or have Associateship of the Institute of Public Suppliers or Purchasing Officers'
Association, with at least three years experience in the grade of Stores Superintendent;
or must have worked in a reputable organization as Stores Officer for a minimum period
of 15 years.
Entry: By advertisement and interview, or by promotion.


11. Stores Superintendent
Duties: To be prescribed by Senior Stores Superintendent. Staff in this grade will perform
the duties of Senior Stores Superintendent where no such grade exists.
Qualifications: Must have a minimum of five years as Assistant Stores Superintendent;
or possess Final RSA, Institute of Bookkeepers, LCC, or equivalent qualification, with
a minimum of seven years post-qualification experience;
or Associateship of the Institute of Public Suppliers or Purchasing Officers' Association,
with a minimum of seven years post-qualification experience;






Training manual for institute management 47


or must have worked in a reputable organization as Stores Officer for a minimum period
of 15 years.
Entry: By advertisement and interview, or by promotion.


12. Assistant Stores Superintendent
Duties: To be prescribed by Senior Stores Superintendent.
Qualifications: Must possess Final RSA, Institute of Bookkeepers, LCC, or equivalent
qualification, with a minimum of five years in financial organization;
or School Certificate, with credit in English language; or the General Certificate of
Education 'O' Level with passes in at least five subjects, including English language; and
with a minimum of ten years experience in financial organization;
or Middle School Leaving Certificate with a minimum of 15 years experience in a
financial organization;
or Associateship of the Institute of Public Suppliers or Purchasing Officers' Association;
or must have worked in a reputable organization as Stores Officer for a minimum period
of ten years.
Entry: By advertisement and interview, or by promotion.


13. Principal Works Superintendent
Duties: As prescribed by the Director. These may include supervision of building contracts
and works in the Institute; ensuring compliance with drawings and specifications, and the
use of approved quality materials. He will also ensure that directions by engineers and
architects are carried out by contractors.
Qualifications: Diploma in Building or Civil Engineering Technology; Higher National
Certificate; or an equivalent qualification, with at least five years post-qualification
experience, three years or more of which should have been spent on reasonably large
construction projects in the capacity of Clerk of Works or in parallel posts.
Candidates may be considered without the certificate of proficiency in Building or Civil
Engineering Technology if they have not less than ten years experience as Works
Superintendents (Civil) or in an equivalent capacity, of which not less than five years of
which have been spent on reasonably large construction projects, performing the duties
of Principal Works Superintendent. Preference will be given to candidates who, in
addition, have the Final Certificate of the City and Guilds of London Institute, or other
equivalent certificate or who have followed a regular course of instruction in Building or
Civil Engineering Technology.
Entry: By advertisement and interview, or by promotion.







48 Module 5 Session 2 The Professional staff


14. Senior Works Superintendent
Duties: Will be responsible for overall supervision and training of subordinate grades in the
particular trade, and perform such other duties as may be assigned.
Qualifications: For direct entry, candidates must possess either the Final Certificate of the
City and Guilds of London Institute, or the Ordinary National Certificate, and must
normally have served at least three years at Works Superintendent grade.
Entry: By advertisement and interview, or by promotion.


15. Assistant Works Superintendent/Assistant Maintenance Officer
Duties: Responsible to the Head of the Department for the supervision and training of
subordinate grades in the particular trade, and perform other duties as may be assigned.
Qualifications: For direct entry, candidates must possess either the Final Certificate of the
City and Guilds of London Institute, or the Ordinary National Certificate. They must
normally have served at least three years in a supervisory grade (i.e., Foreman).
Other candidates are required to have served for five years in a supervisory grade before
qualifying for construction.
Entry: By advertisement and interview, or by promotion.


16. Chief Technician
Duties: General construction, repair and maintenance of scientific equipment.
Qualifications: Relevant Final or Advanced Certificate of the City and Guilds of London
Institute;
or the Associate Certificate of the Institute of Medical Laboratory Technologists;
or such relevant experience or skill as may be judged to be equivalent to these
qualifications;
and at least seven years experience as Senior Technician.
Entry: By advertisement and interview, or by promotion.


17. Senior Technician
Duties: General construction, repair and maintenance of scientific equipment.
Qualifications: Final or Advanced Certificate of the City and Guilds of London Institute,
with at least three years experience as Technician or in an analogous grade;
or the Associate Certificate of the Institute of Medical Laboratory Technologists, with
at least three years post-qualification experience;
or such relevant experience or skill as may be judged to be equivalent to these
qualifications;
and a minimum of four years experience as technician.
Entry: By advertisement and interview, or by promotion.






Training manual for institute management 49


18. Technician
Duties: To assist in the construction, repair and maintenance of scientific equipment.
Qualifications: Final or Advanced Certificate of the City and Guilds of London Institute;
or the Associate Certificate of the Institute of Medical Laboratory Technologists;
or such relevant experience or skill as may be judged to be equivalent to these
qualifications;
and must have been employed at level of Senior Technical Assistant or equivalent grade
for at least four years.


19. Librarian
Duties: To be responsible for the general running of the Institute's libraries. To implement
policy matters regarding libraries and technical information services within the Institute.
Qualifications: Fellowship of the Library Association; a good degree plus Associateship of
the Library Association; or other relevant qualification;
and to have considerable professional and administrative experience.
Entry: Advertisement and interview, or promotion.


20. Principal Library Officer
Duties: Responsible to the Librarian and undertakes duties as may be prescribed by
Librarian. Training of subordinate staff.
Qualifications: Associateship of the Library Association or equivalent qualification, with at
least six years post-qualification experience in a public or university library.
Entry: By advertisement and interview, or promotion.


21. Senior Library Officer
Duties: As for Principal Library Officer.
Qualifications: Associateship of the Library Association or equivalent qualification, with at
least three years post-qualification experience in a public or university library.
Entry: By advertisement and interview, or promotion.


22. Library Officer
Duties: As prescribed by the Librarian or the officer-in-charge of the Institute's library.
Qualifications: Associateship of the Library Association or equivalent qualification.
Entry: By advertisement and interview.






50 Module 5 Session 2 The Professional staff


23. Headmaster/Headmistress
Duties: Supervision of the staff (teaching and ancillary) and children; the administration and
organization of the school, and its welfare generally. Shall perform such other duties as
may be required by the Director.
Qualifications: Candidates must be experienced teachers with Associateship Certificate or
other approved professional training.
Entry: By advertisement and interview, or by promotion from Principal Teacher.


24. Principal Teacher
Duties: Responsible for a class and may be required to accept responsibility also for a
particular subject such as games, swimming, music or needlework. Shall perform such
other duties as may be required by the Headmaster/Headmistress.
Qualifications: Post-Secondary Certificate 'A' with Institute of Education Associate
Certificate or equivalent.
Must be a Senior Teacher with at least five years experience in that grade.
Entry: By advertisement and interview, or by promotion from Senior Teacher.


25. Senior Teacher
Duties: Responsible for a class and may be required to accept responsibility also for a
particular subject such as swimming, music, games or needlework. He shall perform
such other duties as may be required by the Headmaster/Headmistress.
Qualifications: Post-Secondary Certificate 'A' with Institute of Education Associate
Certificate or appropriate educational qualification;
or must be a Teacher, with at least six years experience in that grade.






Training manual for institute management 51


DATE


TIME


Small group exercise


OBJECTIVES
At the end of this session participants will be able to:
1. Develop guidelines for management of human resources at a small agricultural
research station where staff have residential and non-residential status in the
local community.
2. Develop guidelines for human resources management in a large international
research centre with mixed nationalities and diverse salary scales and loyalties.


Module 5 Session 3


Human resources management
exercise


FORMAT


TRAINER







52 Module 5 Session 3 HRM exercise


SPECIAL EQUIPMENT AND AIDS

Overhead projector, and each small group should have blank transparencies and a flip
chart.






Training manual for institute management


HUMAN RESOURCES MANAGEMENT EXERCISE


The purpose of this group exercise is to have participants develop a set of documents for
professional job description, recruitment, orientation and development of personnel for a
specific position.
Divide participants into four groups.
Two of the groups should provide the information requested below for a small
agricultural research station where staff have residential and non-residential status in the local
community. Because of time limitations, ask one of the two groups prepare (i) and (ii), and
the other group should prepare (iii) and (iv).
The other two groups should prepare the same information, but for a large international
agricultural research centre with mixed nationalities and diverse salary scales and loyalties.


The groups should develop the following documents for presentation:
(i) A professional job description.
(ii) A recruitment plan, including a detailed list of methods to be followed for
recruiting, plans for interviewing, and selection criteria.
(iii) An orientation plan, i.e., a detailed plan for orienting the new staff member.
(iv) Staff development guidelines, i.e., list the policies for professional development,
including incentives, benefits, etc., that will be explained to the new staff member
on hiring.


Each group should present the results of their group work during the last 45 minutes of the
session.


Module 5 Session 3

Session guide









Training manual for institute management 55


DATE


TIME


FORMAT Plenary participatory lecture


TRAINER






OBJECTIVES
At the end of this session, participants should be able to understand and appreciate:
1. The concept of performance appraisal.
2. The objectives, uses and characteristics of an appraisal system.
3. Important considerations in designing an appraisal system.
4. The appraisal process, approaches and techniques.
5. Attributes considered when evaluating performance.
6. Designing appraisal formats.
7. Performance evaluation of researchers.


Module 5 Session 4


Performance appraisal







Module 5 Session 4 Performance appraisal


INSTRUCTIONAL MATERIALS

Exhibit 1 What should a performance appraisal system be?
Exhibit 2 The performance appraisal process.
Exhibit 3 Standards and indicators of performance appraisal.
Exhibit 4 How the performance appraisal system can help?
Exhibit 5 Approaches in performance appraisal.
Exhibit 6 Techniques of performance appraisal.
Exhibit 7 During performance appraisal distinguish between ...
Exhibit 8 Components of the appraisal format.
Exhibit 9 Attributes considered in evaluating performance.
Exhibit 10 Performance appraisal systems.
Exhibit 11 Appraisal interview.
Exhibit 12 Measuring the performance of researchers.




REQUIRED READING

Reading note: Performance appraisal




BACKGROUND READING

None.




SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard.






Training manual for institute management 57


PERFORMANCE APPRAISAL


Start the session by asking participants for their understanding of performance appraisal in
their organizations. Is it a traditional approach, characterized by
(i) mere evaluation, excluding the planning and development function,
(ii) being linked with financial rewards and sanctions, and
(iii) being impersonal, bureaucratic, top down, secretive and centralized, which excludes
participation of the employee being assessed?
If the approach is traditional evaluation, then it can hardly be motivating to an employee.
Instead, it must focus more on filling a form giving quantitative rather than qualitative
information. What influence would such a system have on an employee's future
performance? Observe that a performance appraisal system is a management tool which can
help motivate and effectively utilize human resources. It includes performance planning,
appraisal and counselling.
Show EXHIBIT 1 and discuss desirable features of a performance appraisal system.
Emphasize the linkage between (i) past performance and future planning, and (ii) individual
and organizational goals.
Using EXHIBIT 2, discuss the process of appraisal and the various stages involved. To
begin with, realistic standards and measures have to be established to differentiate between
different levels of performance. Then employees have to be informed as to what is expected
of them and how their performance will be measured against the set standards and targets.
Next comes planning for realization of performance expectation through use of resources and
monitoring. Monitoring is to help remove difficulties rather than to interfere. Performance
is documented in various ways during the appraisal stage and thereafter feedback is given.
Emphasize that feedback should involve planning for the future as well. On the basis of
appraisal and feedback, evaluation decisions have to be made, which include rewards or
punishments. The final stage is development of performance.
The performance appraisal system has to be based on clearly specified and measurable
standards and indicators. Show EXHIBIT 3 and discuss important standards and indicators.


Module 5 Session 4

Session guide






58 Module 5 Session 4 Performance appraisal


Goals have to be consistent and mutually decided by the employee and management. If
necessary, the appraisal system could be directed towards a particular client. The appraisal
system has to be reliable and consistent, and should include both objective and subjective
ratings. The appraisal format should be practical and simple. The process should be
participatory and open. It should be linked with rewards. Feedback is an important part of
appraisal, and has to be timely, impersonal and noticeable. Observe that an appraisal system
can be effective only if it is accepted by employees and if management is fully committed.
Performance appraisal has different objectives for management and for the employees.
Employees are interested in having an assessment of their work from the viewpoint of
personal development, work satisfaction and involvement in the organization. Management
assesses the performance of employees to maintain organizational control and disburse
rewards and punishments to further organizational goals. Thus, a spirit of mutuality is
essential in an effective performance appraisal system. Show EXHIBIT 4 and discuss how a
performance system can be useful. For employees, it can impart a better understanding of
their job, skills and limitations, and provides an opportunity for self-reflection. It can help
identify development needs. It can increase mutuality and strengthen communication between
employees and management.
Show EXHIBIT 5 and discuss different approaches to performance appraisal. The intuitive
approach uses perceptions. The self-appraisal approach relies on self-evaluation. The group
approach uses evaluation by a group of persons. The trait approach uses the conventional
method of evaluation against certain traits. Last is achievement-based appraisal, which
compares achievements against goals set mutually during the planning process.
There are several techniques for performance appraisal. Show EXHIBIT 6 and discuss
each of these techniques. In the essay appraisal method, evaluation is based on an essay type
report from a rater who is familiar with the work of the employee being appraised. The
graphic rating scale uses either quality of work or personal traits. In the field review
method, effort is made to synchronize different ratings. The rater chooses the best-fit and
worst-fit statements from a group of statements in the force choice rating method. The
critical incident appraisal method uses critical incidents in evaluating performance.
Management by objectives involves evaluation against mutually set, realistic goals. In the
work standard approach, appraisal is for achievements against targets based on mutually
agreed output standards.
The ranking method involves several techniques. In the alteration ranking method,
individuals are ranked in a descending order of performance. Paired comparison involves
comparison of every individual in the group with other individuals. In the man-to-man rating
system, standards are set against actual individuals and then other individuals are matched
with them. The checklist method involves a pre-scaled checklist of behaviour. Behaviourally
anchored rating scales use a set of behaviourial statements relating to qualities important for
performance. The assessment centre is a technique used to predict future performance of the
employee and involves performing higher-level duties.
Performance appraisal should help in clearly distinguishing between more specific crucial
issues and broad concerns often expressed as perceptions (EXHIBIT 7).
Show EXHIBIT 8 and discuss various components of an appraisal format. Inform
participants that later on they will be required to design an appraisal format. In designing
this format, one must seek information on the attributes to be considered in evaluating
performance. These may include personal qualities as well as demonstrated performance.






Training manual for institute management 59




Show EXHIBIT 9 and discuss various personal qualities and demonstrated performance
attributes which should be considered in designing an appraisal format. Note that there are
problems relating to assessment, identification of appraisal criteria, and policy for
performance evaluation.
Show EXHIBIT 10 and discuss various problems in a performance appraisal system. These
problems may relate to measurement, judgement, policy or organization.
Show EXHIBIT 11 and discuss the importance of the performance appraisal interview,
during which focus is on future planning while giving feedback on past performance. A
performance appraisal interview should be properly planned and conducted skilfully. It
should be used to efficiently communicate feedback on performance during the previous year.
Conclude the session by asking the participants for their criteria for evaluating scientists.
Write their responses on the chalkboard and compare them with EXHIBIT 12.










TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4E







WHAT SHOULD A PERFORMANCE SYSTEM BE?





Correlated with the organization's philosophies and mission


Cover assessment of performance as well as potential for
development


Look after the needs of both the individual and the
organization


Help create a clean environment


Rewards linked to achievements


Generate information for personnel development and career
planning


Suggesting appropriate person-task matching




Performance appraisal should evaluate, audit, motivate, identify
training needs, develop the individual and plan for future
performance








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


I EXHIBIT 2


THE PERFORMANCE APPRAISAL PROCESS


8. DEVELOP
Organizing
Planning
Training
S e* Coaching
S Counselling
Creativity
Monitoring


7. PERSONNEL DECISIONS
* Decision making
* Leadership
* Prioritizing
* Personnel practices
knowledge
* Strategic thinking


3. PLAN
Leadership
Planning
Decision making
Problem solving
Organizing
Budgeting


4.MONITOR, ASSIST & CONTROL
* Problem solving
* Observing
* Coaching
SCounselling
* Instructing
* Verbal communication
* Controlling
* Training
* Technical job knowledge
* Giving feedback


Source: Craig, E., Schneiier, R., Beatty, W., and Baird, L.S. 1986. Training and Development
Journal, May


1. MEASURES AND STANDARDS
Strategic thinking
Technical job knowledge
Written communication
S Setting standards
@ Writing and setting objectives
Prioritizing
Identifying competencies


2. COMMUNICATE EXPECTATIONS
* Verbal communications
* Listening
* Negotiating
* Empathy
* Reaching agreement


6. FEEDBACK
* Verbal communication
* Listening
* Empathy
* Problem solving
* Planning
* Negotiating
* Compromising
* Conflict resolution
* Reaching consensus


5. APPRAISE
* Observing
S* Recalling
Evaluating
Written communication
Judgement
Data analysis







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 3


STANDARDS AND INDICATORS OF
PERFORMANCE APPRAISAL


* Mutual goal
* Reliable and consistent
* Accurate and equitable
* Practical and simple format
* Regular and routine
* Participatory and open
* Rewards
* Timely feedback
* Impersonal feedback
* Noticeable feedback
* Relevance and responsiveness
* Commitment





I






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 4


* Promote better understanding of an employee's role
and clarity about his or her functions


* give a better understanding of personal strengths
and weaknesses in relation to expected roles and
functions


* Identify development needs of an employee


* Establish common ground between the employee
and the supervisor

* Increase communication


* Provide an employee with the opportunity for self-
reflection and individual goal setting


* Help an employee internalize the culture, norms and
values of the organization. This helps develop an
identity with and commitment to the organization
and prepares an employee for higher-level positions
in the hierarchy


* Assist in a variety of personnel decisions


HOW CAN THE PERFORMANCE APPRAISAL
SYSTEM HELP?


I






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 5


* Intuitive

* Self-appraisal

* Group

* Trait


* Achievement of results







TRAINING MANUAL FOR INSTITUTE MANAGEMENT EXHIBIT 6
Module 5 Session 4








TECHNIQUES OF PERFORMANCE APPRAISAL





Easy appraisal method


Graphic rating scales


Field review method


Forced choice rating method


Critical incident appraisal method


Management by objectives


Work standard approach


Ranking methods
Alteration methods
Alteration ranking
Paired comparison
Person-to-person rating
Checklist
Behaviourally anchored rating scales
Assessment centres







TRAINING MANUAL FOR INSTITUTE MANAGEMENT HIIT 7
Module 5 Session 4














DURING PERFORMANCE APPRAISAL,
DISTINGUISH BETWEEN ...





Accomplishments and Activity


Working efficiently and Working effectively


Work and Important work


Working hard and Working smart




Source: Nickel, L.J. 1989. Research Management for Development: An Open
Letter to a New Agricultural Research Director. San Jose, Costa
Rica: ICCA.







TRAINING MANUAL FOR INSTITUTE MANAGEMENT E T
Module 5 Session 4X


COMPONENTS OF THE APPRAISAL FORMAT


* Identification of key performance areas


* Identification of qualities for job performance


* Self-appraisal


* Analysis


* Discussion


* Identification of training needs


* Action plan and goal settings for the future


* Final assessment








TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 9


ATTRIBUTES CONSIDERED IN EVALUATING
PERFORMANCE





Personal qualities Demonstrated performance


Adaptability Professional knowledge
Appearance and bearing Administrative ability
Decisiveness Responsibility for staff development
Dependability Foresight
Drive and determination Delegation
Ingenuity Motivation
Initiative Morale
Integrity Control
Loyalty
Maturity
Stamina
Tenacity
Verbal expression
Written expression












TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 10


PERFORMANCE APPRAISAL SYSTEMS



PROBLEMS

Measurement Judgement Policy Organization
Deciding what to Appraising Using the results of Recognizing how
evaluate performance the appraisal managers work and
the organization
culture

SYMPTOMS

Ambiguity in roles Disagreement on Top management Appraisal forms
and responsibilities ratings fails to reward not completed
of each job Official review managers who are Managers com-
Job performance is changes ratings excellent in staff plain about time
difficult to quantify Appeals, griev- assessment and needed
No clear statement ances, accusations development System seen as
of overall objec- of bias, discrim- Marginal perfor- belonging to the
tives of units or nation mers receive designers, not the
the organization promotions or users
Appraisal contains salary increases Personnel/HR
only numerical specialists take
indices enforcer not
adviser role
system revised
frequently

POTENTIAL CURES

Job analysis and Observable, Top management Implement perfor-
credible job des- behaviourally based actually uses mance appraisal
cription criteria performance using the Perfor-
Outcomes of each Performance appraisal itself mance Manage-
job identified documented over Polices for perfor- ment (PM) model
Overall goals set time mance appraisal
for units and the rater training and consistently applied
organization practice performance-con-
Train managers to Effective communi- tingent reward
make documented cation of perform- system operates
judgements ance expectations




Source: Craig, E.S., Beatty, R.E., and Baird, L.S. 1986. How to contract a successful performance
appraisal system. Training and Development Journal, April: 38-42






TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


APPRAISAL INTERVIEW


* Planning an interview
tell and sell
tell and listen
problem solving

* Conducting an interview as planned

* Applying good questioning techniques

* Listen intelligently and without prejudice while someone less
senior does most of the talking

* Communicating effectively verbally and non-verbally


Source: J. Davies, AFP, FAO, Rome.


EXHIBIT 11







TRAINING MANUAL FOR INSTITUTE MANAGEMENT
Module 5 Session 4


EXHIBIT 12


* Overall performance
* Quality of output
* Productivity
* Quantity of written work
* Originality of written work
* Recent reports
* Membership in professional societies
* Recognition for organizational contribution
* Status-seeking tendencies
* Current organizational status
* Creativity rating from high-level supervisors
* Overall quality rating by immediate supervisors


I I







Training manual for institute management 73


PERFORMANCE APPRAISAL


Effective human resources management (HRM) is essential for optimally utilizing creativity
and attaining individual as well as organizational goals. Leadership has to ensure proper
integration of various activities and harmonious functioning directed towards organizational
goals. High motivation is essential for ensuring commitment of human resources to the given
objectives. The key to motivation lies in integrating organizational and individual goals.
Therefore, a manager has to concentrate on basic HRM tasks such as planning, development,
compensation and evaluation. Evaluation includes performance planning, appraisal and
counselling. These are critical in effective HRM.


PERFORMANCE APPRAISAL SYSTEM: THE CONCEPT


Performance appraisal is a management tool which is helpful in motivating and effectively
utilizing human resources. Assessment of human potential is difficult, no matter how well
designed and appropriate the performance planning and appraisal system is.
The performance appraisal system should:
be correlated with the organizational mission, philosophies and value system;
cover assessment of performance as well as potential for development;
take care of organizational as well as individual needs; and
help in creating a clean environment by
linking rewards with achievements,
generating information for the growth of the employee as well as of the organization,
and
suggesting appropriate person-task matching and career plans.
Feedback is an important component of performance appraisal. While positive feedback is
easily accepted, negative feedback often meets with resistance unless it is objective, based
on a credible source and given in a skilful manner.


Module 5 Session 4

Reading Note







74 Module 5 Session 4 Performance appraisal


OBJECTIVES OF PERFORMANCE APPRAISAL


Employees would like to know from a performance appraisal system:
concrete and tangible particulars about their work; and
assessment of their performance.
This would include how they:
did;
could do better in future;
could obtain a larger share of rewards; and
could achieve their life goals through their position.
Therefore an employee would desire that the appraisal system should aim at:
their personal development;
their work satisfaction; and
their involvement in the organization.
From the point of view of the organization, performance appraisal serves the purpose of:
providing information about human resources and their development;
measuring the efficiency with which human resources are being used and improved;
providing compensation packages to employees; and
maintaining organizational control.
Performance appraisal should also aim at the mutual goals of the employees and the
organization. This is essential because employees can develop only when the organization's
interests are fulfilled. The organization's main resources are its employees, and their interest
cannot be neglected. Mutual goals simultaneously provide for growth and development of
the organization as well as of the human resources. They increase harmony and enhance
effectiveness of human resources in the organization.


USES OF AN APPRAISAL SYSTEM


A properly designed performance appraisal system can (Rao, 1985):
help each employee understand more about their role and become clear about their
functions;
be instrumental in helping employees to better understand their strengths and weaknesses
with respect to their role and functions in the organization;
help in identifying the developmental needs of employees, given their role and function;
increase mutuality between employees and their supervisors so that every employee feels
happy to work with their supervisor and thereby contributes their maximum to the
organization;







Training manual for institute management


act as a mechanism for increasing communication between employees and their
supervisors. In this way, each employee gets to know the expectations of their superior,
and each superior also gets to know the difficulties of their subordinates and can try to
solve them. Together, they can thus better accomplish their tasks;
provide an opportunity to each employee for self-reflection and individual goal-setting,
so that individually planned and monitored development takes place;
help employees internalize the culture, norms and values of the organization, thus
developing an identity and commitment throughout the organization;
help prepare employees for higher responsibilities in the future by continuously
reinforcing the development of the behaviour and qualities required for higher-level
positions in the organization;
be instrumental in creating a positive and healthy climate in the organization that drives
employees to give their best while enjoying doing so; and
assist in a variety of personnel decisions by periodically generating data regarding each
employee.


CHARACTERISTICS OF AN APPRAISAL SYSTEM


Performance appraisal cannot be implemented successfully unless it is accepted by all
concerned. There should be a common and clear understanding of the distinction between
evaluation and appraisal. As Patten (1982) argues, evaluation aims at 'objective'
measurement, while appraisal includes both objective and subjective assessment of how well
an employee has performed during the period under review. Thus performance appraisal
aims at 'feedback, development and assessment.' The process of performance appraisal
should concentrate on the job of an employee, the environment of the organization, and the
employee him- or herself. These three factors are inter-related and inter-dependent.
Therefore, in order to be effective, the appraisal system should be individualized, subjective,
qualitative and oriented towards problem-solving. It should be based on clearly specified and
measurable standards and indicators of performance. Since what is being appraised is
performance and not personality, personality traits which are not relevant to job performance
should be excluded from the appraisal framework.
Some of the important considerations in designing a performance appraisal system are:
Goal The job description and the performance goals should be structured, mutually
decided and accepted by both management and employees.
Reliable and consistent Appraisal should include both objective and subjective ratings to
produce reliable and consistent measurement of performance.
Practical and simple format The appraisal format should be practical, simple and aim at
fulfilling its basic functions. Long and complicated formats are time consuming, difficult
to understand, and do not elicit much useful information.
Regular and routine While an appraisal system is expected to be formal in a structured
manner, informal contacts and interactions can also be used for providing feedback to
employees.







76 Module 5 Session 4 Performance appraisal


* Participatory and open An effective appraisal system should necessarily involve the
employee's participation, usually through an appraisal interview with the supervisor, for
feedback and future planning. During this interview, past performance should be
discussed frankly and future goals established. A strategy for accomplishing these goals
as well as for improving future performance should be evolved jointly by the supervisor
and the employee being appraised. Such participation imparts a feeling of involvement
and creates a sense of belonging.
Rewards Rewards both positive and negative should be part of the performance
appraisal system. Otherwise, the process lacks impact.
Feedback should be timely Unless feedback is timely, it loses its utility and may have
only limited influence on performance.
Impersonal feedback Feedback must be impersonal if it is to have the desired effect.
Personal feedback is usually rejected with contempt, and eventually de-motivates the
employee.
Feedback must be noticeable The staff member being appraised must be made aware of
the information used in the appraisal process. An open appraisal process creates
credibility.
Relevance and responsiveness Planning and appraisal of performance and consequent
rewards or punishments should be oriented towards the objectives of the programme in
which the employee has been assigned a role. For example, if the objectives of a
programme are directed towards a particular client group, then the appraisal system has
to be designed with that orientation.
Commitment Responsibility for the appraisal system should be located at a senior level
in the organization so as to ensure commitment and involvement throughout the
management hierarchy.


PERFORMANCE APPRAISAL SYSTEM: THE PROCESS


Performance appraisal involves an evaluation of actual against desired performance. It also
helps in reviewing various factors which influence performance. Managers should plan
performance development strategies in a structured manner for each employee. In doing so,
they should keep the goals of the organization in mind and aim at optimal utilization of all
available resources, including financial. Performance appraisal is a multistage process in
which communication plays an important role.
Craig, Beatty and Baird (1986) suggested an eight-stage performance appraisal process:
(i) Establishing standards and measures
The first step is to identify and establish measures which would differentiate between
successful and unsuccessful performances. These measures should be under the control
of the employees being appraised. The methods for assessing performance should be
decided next. Basically, management wants to:
know the behaviour and personal characteristics of each employee; and
assess their performance and achievement in the job.







Training manual for institute management 77


There are various methods available for assessing results, behaviour and personal
characteristics of an employee. These methods can be used according to the particular
circumstances and requirements.
(ii) Communicating job expectations
The second step in the appraisal process is communicating to employees the measures and
standards which will be used in the appraisal process. Such communication should clarify
expectations and create a feeling of involvement.
(iii) Planning
In this stage, the manager plans for the realization of performance expectations, arranging
for the resources to be available which are required for attaining the goals set. This is
an enabling role.
(iv) Monitoring performance
Performance appraisal is a continuous process, involving ongoing feedback. Even though
performance is appraised annually, it has to be managed 'each day, all year long.'
Monitoring is a key part of the performance appraisal process. It should involve
providing assistance as necessary and removing obstacles rather than interfering. The
best way to effectively monitor is to walk around, thus creating continuous contacts,
providing first-hand information, and identifying problems, which can then be solved
promptly.
(v) Appraising
This stage involves documenting performance through observing, recalling, evaluating,
written communication, judgment and analysis of data. This is like putting together an
appraisal record.
(vi) Feedback
After the formal appraisal stage, a feedback session is desirable. This session should
involve verbal communication, listening, problem solving, negotiating, compromising,
conflict resolution and reaching consensus.
(vii) Decision making
On the basis of appraisal and feedback results, various decisions can be made about
giving rewards (e.g., promotion, incentives, etc.) and punishments (e.g., demotion). The
outcome of an appraisal system should also be used for career development.
(viii) Development of performance
The last stage of performance appraisal is 'development of performance,' or professional
development, by providing opportunities for upgrading skills and professional
interactions. This can be done by supporting participation in professional conferences or
by providing opportunities for further study. Such opportunities can also act as incentives
or rewards to employees.







78 Module 5 Session 4 Performance appraisal


COMMUNICATION


It is obvious that communication is at the core of an appraisal system. Communication can
be either upward or downward. Downward communication is from upper management levels
to lower levels, and passes on a judgement of how the employees are doing and how they
might do even better. As the information flows downward, it becomes more individualized
and detailed. Upward communication is from lower to higher levels. Through this process,
employees communicate their needs, aspirations and goals. As information flows upward,
it has to become brief and precise because of the channels through which it has to pass.


APPROACHES AND TECHNIQUES IN PERFORMANCE APPRAISAL


Performance appraisal is a multistage process involving several activities, which can be
administered using a variety of approaches. Some of these approaches are considered below,
based on Einstein and LeMere-Labonte, 1989; and Monga, 1983:
Intuitive approach In this approach, a supervisor or manager judges the employee based
on their perception of the employee's behaviour.
Self-appraisal approach Employees evaluate their own performance using a common
format.
Group approach The employee is evaluated by a group of persons.
Trait approach This is the conventional approach. The manager or supervisor evaluates
the employee on the basis of observable dimensions of personality, such as integrity,
honesty, dependability, punctuality, etc.
Appraisal based on achieved results In this type of approach, appraisal is based on
concrete, measurable, work achievements judged against fixed targets or goals set
mutually by the subject and the assessor.
Behaviourial method This method focuses on observed behaviour and observable critical
incidents.


APPRAISAL TECHNIQUES
There are several techniques of performance appraisal, each with some strong points as well
as limitations. Oberg (1972) has summarized some of the commonly used performance
appraisal techniques.
(i) Essay appraisal method
The assessor writes a brief essay providing an assessment of the strengths, weaknesses
and potential of the subject. In order to do so objectively, it is necessary that the
assessor knows the subject well and should have interacted with them. Since the length
and contents of the essay vary between assessors, essay ratings are difficult to compare.
(ii) Graphic rating scale






Training manual for institute management 79


A graphic scale 'assesses a person on the quality of his or her work (average; above
average; outstanding; or unsatisfactory).' Assessment could also be trait centred and
cover observable traits, such as reliability, adaptability, communication skills, etc.
Although graphic scales seem simplistic in construction, they have application in a wide
variety of job responsibilities and are more consistent and reliable in comparison with
essay appraisal. The utility of this technique can be enhanced by using it in conjunction
with the essay appraisal technique.
(iii) Field review method
Since individual assessors differ in their standards, they inadvertently introduce bias in
their ratings. To overcome this assessor-related bias, essay and graphic rating techniques
can be combined in a systematic review process. In the field review method, 'a member
of the HRM staff meets a small group of assessors from the supervisory units to discuss
each rating, systematically identifying areas of inter-assessor disagreement.' It can then
be a mechanism to help each assessor to perceive the standards uniformly and thus match
the other assessors. Although field review assessment is considered valid and reliable,
it is very time consuming.
(iv) Forced-choice rating method
Unlike the field review method, the forced-choice rating method does not involve
discussion with supervisors. Although this technique has several variations, the most
common method is to force the assessor to choose the best and worst fit statements from
a group of statements. These statements are weighted or scored in advance to assess the
employee. The scores or weights assigned to the individual statements are not revealed
to the assessor so that she or he cannot favour any individual. In this way, the assessor
bias is largely eliminated and comparable standards of performance evolved for an
objective. However, this technique is of little value wherever performance appraisal
interviews are conducted.
(v) Critical incident appraisal method
In this method, a supervisor describes critical incidents, giving details of both positive
and negative behaviour of the employee. These are then discussed with the employee.
The discussion focuses on actual behaviour rather than on traits. While this technique
is well suited for performance review interviews, it has the drawback that the supervisor
has to note down the critical incidents as and when they occur. That may be impractical,
and may delay feedback to employees. It makes little sense to wait six months or a year
to discuss a misdeed, a mistake or good display of initiative.
(vi) Management by objectives
The employees are asked to set or help set their own performance goals. This avoids the
feeling among employees that they are being judged by unfairly high standards. This
method is currently widely used, but not always in its true spirit. Even though the
employees are consulted, in many cases management ends up by imposing its standards
and objectives. In some cases employees may not like 'self-direction or authority.' To
avoid such problems, the work standard approach is used.
(vii) Work standard approach
In this technique, management establishes the goals openly and sets targets against
realistic output standards. These standards are incorporated into the organizational







Module 5 Session 4 Performance appraisal


performance appraisal system. Thus each employee has a clear understanding of their
duties and knows well what is expected of them. Performance appraisal and interview
comments are related to these duties. This makes the appraisal process objective and
more accurate. However, it is difficult to compare individual ratings because standards
for work may differ from job to job and from employee to employee. This limitation can
be overcome by some form of ranking using pooled judgment.
(viii) Ranking methods
Some of the important forms of ranking for performance appraisal are given below, based
on Oberg, 1972; and Monga, 1983:
(a) Alteration ranking method The individual with the best performance is chosen as
the ideal employee. Other employees are then ranked against this employee in
descending order of comparative performance on a scale of best to worst
performance. The alteration ranking method usually involves rating by more than
one assessor. The ranks assigned by each assessor are then averaged and a relative
ranking of each member in the group is determined. While this is a simple method,
it is impractical for large groups. In addition, there may be wide variations in
ability between ranks for different positions.
(b) Paired comparison The paired comparison method systematizes ranking and enables
better comparison among individuals to be rated. Every individual in the group is
compared with all others in the group. The evaluations received by each person in
the group are counted and turned into percentage scores. The scores provide a fair
idea as to how each individual in the group is judged by the assessor.
(c) Person-to-person rating In the person-to-person rating scales, the names of the
actual individuals known to all the assessors are used as a series of standards. These
standards may be defined as lowest, low, middle, high and highest performers.
Individual employees in the group are then compared with the individuals used as
the standards, and rated for a standard where they match the best. The advantage
of this rating scale is that the standards are concrete and are in terms of real
individuals. The disadvantage is that the standards set by different assessors may
not be consistent. Each assessor constructs their own person-to-person scale which
makes comparison of different ratings difficult.
(d) Checklist method The assessor is furnished with a checklist of pre-scaled
descriptions of behaviour, which are then used to evaluate the personnel being rated
(Monga, 1983). The scale values of the behaviour items are unknown to the
assessor, who has to check as many items as she or he believes describe the worker
being assessed. A final rating is obtained by averaging the scale values of the items
that have been marked.
(e) Behaviourally anchored rating scales (BARS) This is a relatively new technique.
It consists of sets of behaviourial statements describing good or bad performance
with respect to important qualities. These qualities may refer to inter-personal
relationships, planning and organizing abilities, adaptability and reliability. These
statements are developed from critical incidents collected both from the assessor and
the subject.
(f) Assessment centres This technique is used to predict future performance of
employees were they to be promoted. The individual whose potential is to be






Training manual for institute management


assessed has to work on individual as well as group assignments similar to those they
would be required to handle were they promoted. The judgment of observers is
pooled, and paired comparison or alteration ranking is sometimes used to arrive at
a final assessment. The final assessment helps in making an order-of-merit ranking
for each employee. It also involves subjective judgment by observers.


A performance appraisal system could be designed based on intuition, self-analysis,
personality traits, behaviourial methods and result-based techniques. Different approaches
and techniques could be blended, depending on the goals of performance appraisal in the
organization and the type of review. For example, management by objectives, goal-setting
and work standard methods are effective for objective coaching, counselling and motivational
purposes. Critical incident appraisal is best suited when supervisor's personal assessment and
criticism are essential. A carefully developed and validated forced-choice rating can provide
valuable analysis of the individual when considering possible promotion to supervisory
positions. Combined graphic and essay form is simple, effective in identifying training and
development needs, and facilitates other management decisions.


COMPONENTS OF THE APPRAISAL FORMAT


Key performance areas, self-appraisal, performance analysis, performance ratings and
counselling are the important components of a performance appraisal system oriented to
development of human resources in an organization. The appraisal format should be designed
in consonance with the objectives of the performance appraisal system, and generate
information on a number of important aspects, including (Rao, 1985):
Identification of key performance areas The first step in an appraisal process is
identifying key performance areas and setting targets for the next appraisal period. This
may be done either through periodic discussions or at the beginning of the year, as in
research institutions.
Self-appraisal by the subject At the end of the appraisal period, employees appraise their
own performance against the key performance areas, targets and pre-identified behaviour.
Information on these issues is provided in an appraisal format. The employees also write
their self-evaluation reports and hand them to their supervisors.
Analysis The supervisor reflects on the performance of the employee, and identifies the
factors which facilitated or hindered the employee's performance. The manager then
calls the employee for a discussion to better understand his or her performance and
provide counselling on further improvements. During this discussion, appraisal records
(such as notes, observations, comments, etc.) are exchanged. The manager then gives
a final rating and recommendations regarding the developmental needs of the individual.
These are shown to the subject and his or her comments are recorded on the appraisal
form. The appraisal form is then transmitted to the personnel department for the
necessary administrative action. The personnel or human resource development
department uses these forms for identifying and allocating training, rewards and other
activities.








82 Module 5 Session 4 Performance appraisal


Identification of training needs The use of a development-oriented performance appraisal
system is based on a good understanding of the concept of human resources development.
The need for developing employee capabilities, the nature of capabilities to be developed,
and the conditions under which these capabilities can be developed have to be
appreciated. During the discussion between the supervisor and the employee, the
development needs of the subject are identified and goals set for the next period.

Identification of qualities The supervisor may also identify the qualities required for
current as well as future tasks, and assess the employee's potential and capabilities to
perform jobs at higher responsibility levels in the organization.



ATTRIBUTES CONSIDERED IN EVALUATING PERFORMANCE



There are many personality traits which could be considered when evaluating performance,
and methods to facilitate such consideration include scaling methods that differentiate
employees on a series of given traits. The important personality traits fall into two
categories: personal qualities and demonstrated qualities (Table 1).

Table 1 Personal and demonstrated personality traits

Personal Qualities Demonstrated Performance Qualities


Adaptability: Adjustment with new or changing situations or people.
Appearance and bearing: Having good bearing and appearance.
Decisiveness: Ability to arrive at conclusions promptly and to decide
on a definite course of action.
Dependability: Ability to consistently accomplish allocated jobs
without supervision.
Drive and determination: Ability to execute job vigorously and
resolutely, and induce others to do so.
Ingenuity: Resourcefulness and ability to creatively devise means to
solve unforeseen problems.
Initiative: Ability to take necessary and appropriate action
independently.
Integrity: Ability to maintain an honest approach in all dealings.
Loyalty: Ability to faithfully, willingly and loyally support superiors,
equals and subordinates.
Maturity: Understanding and balance commensurate with age and
service.
Stamina: Ability to withstand and perform successfully under
protracted physical strain.
Tenacity: Ability to preserve in face of odds and difficulties.
Verbal expression: Ability to express oneself clearly and concisely.
Written expression: Ability to express oneself clearly and concisely
in writing.


Professional knowledge: Ability to
apply professional knowledge to
assigned duties so as to achieve a
high standard of performance.
Administrative ability: Having
administrative ability to use resources
economically and judiciously.
Responsibility for staff development:
Ability to fulfil responsibilities in the
development and training of staff.
Foresight: Ability to display foresight
and plan beyond immediate needs.
Delegation: Ability to delegate
responsibilities and exercise required
degree of guidance and supervision.
Motivation: Ability to motivate
subordinates effectively to produce
desired results.
Morale: Ability to maintain morale and
look after the management of staff.
Control: Ability to exercise control
over subordinates and gain their
confidence.


Source: Adapted from an appraisal form of an organization illustrated in Monga, 1983.







Training manual for institute management 83


MANAGEMENT PROBLEMS IN EVALUATING PERFORMANCE


Some of the important problems faced by managers in evaluating performance are
identification of appraisal criteria, problems in assessment, and policy-related problems.


IDENTIFICATION OF APPRAISAL CRITERIA
It is usually quite difficult to decide the criteria for evaluating performance, particularly the
performance of those engaged in research activities. Initiative, appearance, tact or
organizational skills of researchers are very difficult to assess. While deciding the
performance criteria, it is important to simultaneously decide how well people should
perform. The aim of the appraisal system is to make informed, accurate and fact-based
judgments, although some of these judgments may not be quantifiable.
Conventionally, the number of contributions accepted for publication in refereed
professional journals has been a useful measure for evaluating the performance of scientists.
This is perhaps an appropriate measure for those who are engaged in basic research.
However, publication numbers do not adequately measure performance of those engaged in
adaptive and applied research, which are aimed at meeting practical and critical needs of
users. The performance of such researchers has to be measured differently, taking due
consideration of their success with the user system. On the whole, qualitative assessment
may be more appropriate for researchers because of difficulties in quantitative assessment,
as research is relatively non-repetitive, requires creativity, usually takes a longish time, has
unpredictable outcomes, and could result in multi-dimensional outputs. Therefore, outputs
of research and researchers should not be measured by one criterion. Instead, performance
of a researcher has to be measured in toto, as an integral part of the research programme.


ASSESSMENT PROBLEMS
It is difficult to observe behaviour and interpret it in terms of its causes, effects and
desirability. Rating behaviour on an appraisal form is quite difficult. The human element
plays a significant role in the appraisal process and introduces subjectivity and bias. This can
be minimized by:
documenting performance from time to time;
basing criteria for evaluation on observable behaviour;
training the supervisors; and
effectively communicating the expectations which management has of staff.


POLICY PROBLEMS
The results of the appraisal system should be followed up through a set of well designed and
enforced policies, and translated into rewards and punishments. Performance of researchers
is sometimes difficult to assess. A research manager has to balance between researchers'
creativity and organizational goals. Researchers do not like others passing judgment on
qualitative or quantitative aspects of their work, yet the need for an effective performance
planning and appraisal system in a research organization is well accepted.







Module 5 Session 4 Performance appraisal


REFERENCES


Einstein, W.O., & LeMere-Labonte, J. 1989. Performance appraisal: dilemma or desire?
Sam Advanced Management Journal, 54(2): 26-30.
Monga, M.L. 1983. Management of Performance Appraisal. Bombay: Himalaya
Publishing House.
Oberg, W. 1972. Make performance appraisal relevant. Harvard Business Review,
January-February 1972: 61-67.
Patten, T.H., Jr. 1982. A Manager's Guide to Performance Appraisal. London: Free
Press.
Rao, T.V.. 1985. Performance Appraisal Theory and Practice. New Delhi: Vikas
Publishing House.
Craig, S.E., Beatty, R.W., & Baird, L.S. 1986. Creating a performance management
system. Training and Development Journal, April: 38-42; May: 74-79.







Training manual for institute management 85


DATE


TIME


Small group discussion and plenary session.


OBJECTIVES
At the end of this session, participants will have applied and analysed concepts
underlying performance appraisal in a real-life situation. This will help in designing
performance appraisal formats in the next session.


Module 5 Session 5


Performance appraisal case:
Suzene Kopec


FORMAT


TRAINER







Module 5 Session 5 Performance appraisal case: Suzene Kopec


INSTRUCTIONAL MATERIALS

None.


REQUIRED READING

Case study: Suzene Kopec


BACKGROUND READING

None.




SPECIAL EQUIPMENT AND AIDS

Overhead projector and chalkboard







Training manual for institute management 87


SUZENE KOPEC


This case relates to a good employee who has become recalcitrant over time for various
reasons. The deteriorating performance of Suzene Kopec was continuously reflected in her
performance appraisal, but not much was done to help her improve her performance. The
important question is whether the performance appraisal system was designed appropriately.
Could it have been really used to help Suzene Kopec improve her performance? A thorough
scrutiny of the performance evaluation forms and the information contained in them should
be undertaken by participants to ascertain whether the form need redesigning in case they are
not generating the required information.


Module 5 Session 5

Session Guide










Training manual for institute management 89


SUZENE KOPEC


"We would not like our work to be jeopardized, hence our insistence on assigning
only competent, diligent and reliable staff to this post. If, in spite of all our
explanations, the Committee wishes to overrule the Division's observation, they are
free to do so. However, in view of our first-hand knowledge of her poor work and
conduct, the Division could do without her services as it would be unable to entrust
her with work that would be commensurate with her new position in our Division
after promotion. If she were promoted, the Division would wish that the
Committee find a more suitable Division for her."


Thus ended the letter from Dr H.W. De Jong, Head of the Plant Breeding Division,
addressed to the Chairman of the Promotions Committee, Cocoa Research Institute of Savana
(CRIS).
Notwithstanding a very strong protest from the Division, the Promotions Committee
recommended promotion of Ms Kopec to the post of Senior Technical Assistant, and
forwarded the matter to the Executive Director.
Dr Grace Stevenson, the Executive Director, CRIS, had a frown on her face as she
closed the personal file of Ms Suzene Kopec. She had to either endorse the recommendation
of the Promotions Committee or overrule it. Even though she had handled several personnel
problems in her ten years as Executive Director of the Institute, Ms Kopec's case was
different. While the Plant Breeding Division was strongly opposed to her promotion, the
employee was being solidly backed by the trade union. Ms Kopec's case also had political
overtones. It was a difficult case.
Dr Stevenson decided to sleep on the matter for a day or two. She was in no hurry.
Either way, Ms Kopec's case was going to adversely affect the work environment of the
Institute. It had already damaged the cordial relations which had existed between the
scientific and technical staff.


Module 5 Session 5


Case study







90 Module 5 Session 5 Performance appraisal case: Suzene Kopec


COCOA RESEARCH INSTITUTE OF SAVANA
CRIS is undoubtedly the oldest research organization in the country. Founded in 1938, it
started as the Central Cocoa Research Station of the Department of Agriculture. In April
1944, it became the headquarters of the inter-territorial Cocoa Institute of Coastal States
(CICS). When Savana became independent, CICS was dissolved in October 1962, being
replaced by CRIS. CRIS then became part of the National Research Council, which became
the Savana Academy of Sciences and, in 1968, the Council for Scientific and Industrial
Research. In October 1973, CRIS was placed under the management of the Savana Cocoa
Board. In 1976 it was placed under the Ministry of Cocoa Affairs, until that Ministry was
dissolved in July 1979, when CRIS reverted to management of the Board. As a result of the
re-structuring exercise within the cocoa industry, CRIS is now a Division of the Savana
Cocoa Board.
CICS is headed by an Executive Director. There are six scientific divisions:
agronomy, entomology, physiology/biochemistry, plant breeding, plant pathology and soil
science. In addition, there are four support divisions: general administration, plantation and
station management, works and estates, and accounts.
The main research station of the Institute is located at Tofa, in an area of just over
400 ha. There are three substations, at Suafa and Nobsu in the Eastern Region and at Belo
in the Northern Region. The Belo substation is exclusively for shea nut research. The Suafa
substation occupies an area of about 228 ha, while the Belo station has an area of about
6 504 ha. The labour force in the Institute numbers about 1 700, including those at the sub-
stations.
CRIS investigates problems related to cocoa, cola, coffee, shea nut and tallow tree
cultivation. It also studies cocoa by-products, with emphasis on utilizing the husk for animal
feed, fertilizer and soap production, and the seatings for pectin and alcohol production.
Much of the work is started in the laboratories, making use of specialized equipment
and skilled technical staff working under research scientists. CRIS employs about 26
Savanian scientists, who are assisted by skilled technical staff. The progression of technical
and scientific staff grades is shown in Annex 1. Field experiments under farm conditions are
performed to test the validity of results from laboratories and controlled field experiments and
their agronomic and economic effects. CRIS also conducts field experiments jointly with the
Cocoa Services Division.
Despite a number of problems, CRIS is one organization that was not hit by a brain
drain in the 1980s. The country was undergoing a major economic crisis, but CRIS was
always able to attract local scientists who were prepared to stay on the job and work for the
ultimate good of the cocoa industry.


MS SUZENE KOPEC
Ms Suzene Kopec had applied for a job as a Technical Assistant (TA) in CRIS in response
to an advertisement. Although she had cited three referees in her application, only one
provided a reference. Mr Adim Wilsali, principal of the State Secondary School, stated that
Ms Kopec was admitted to the Umed Secondary School after passing GCE '0' level. She
was a diligent student, always among the few top students of her class, well-disciplined,
respectful and obedient. For a while she was also the overseer of one of the girl's hostels.
Mr Wilsali recommended her appointment.






Training manual for institute management


Ms Kopec joined CRIS on 21 June 1971, as a TA Grade III, with an initial salary of
NSC 450 per annum, on a scale of NSC 450 to NSC 630 by NSC 30 increments. Her
appointment was governed by the conditions of service for junior staff of the Council for
Scientific and Industrial Research, which included a six-month probation period. Even after
confirmation, her services were liable to be dismissed on one month's notice at the discretion
of the Director.
Her duties included providing assistance in field data retrieval, including statistical
computations, and assistance in laboratory work.
Mr P. Waterford, her immediate supervisor, made a favourable confidential report
on Ms Kopec four months after she joined the Institute. Her services were to be continued
and her salary also reviewed, since she had been appointed at a lower level in the salary scale
than Ms Aneta. Both Ms Kopec and Ms Aneta were appointed as TA Grade III at the same
time. They had same qualifications. The recommendation was that unless there was some
good reason, Ms Kopec should also be given the same salary.
Dr Johnson, Head, Plant Breeding Division, had endorsed these recommendations,
noting that Ms Kopec's work and conduct had been satisfactory. These recommendations
were accepted and her service was confirmed. Her salary scale was revised upward, to
NSC 540, from December 1, 1971, on par with Ms Aneta. At the same time, the probation
period of Ms Aneta was extended by three months as she lacked application and tended to
disappear when not under close supervision. However, Ms Aneta's services were not
discontinued since she had shown some improvements by way of more initiative and better
dependability.


PROMOTION TO TA GRADE II
Ms Kopec received another favourable report from the Head of the Plant Breeding Division
during her annual assessment in September 1971. She was reported to be very hard working,
both in the field and in the laboratory, but particularly so when under the supervision of the
senior officer. The negative part of the report was that she was inclined to be chatty when
supervision was relaxed and she visited the hospital rather frequently.
According to the scientific staff with whom she has been working all along, her
performance started deteriorating soon after she married in January 1973. On October 17,
1973, she was given a warning letter by the Head of the Plant Breeding Division, citing late
arrivals with fancy excuses and loitering. This letter noted previous verbal warnings given
by her immediate supervisor. Ms Kopec responded to the warning letter by improving her
performance. Her annual performance review was due in another month. It was reported
that she was doing well, but required more experience. Her overall performance was rated
average (satisfactory), but not yet ready for promotion.
Her annual assessment for 1974-75 was quite favourable. She was reported to be
very hard working, had good control of subordinate staff, and her punctuality had improved.
In September 1976, she was recommended for promotion in the normal way. She
was promoted with effect from 1 October to TA Grade II, after having spent five years in
Grade III. This was the normal time taken for progression from Grade III to Grade II.




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