INTRODUCTION TO THE HUMAN RESOURCES MANUAL

The Government of India (GOI) and the United States Agency for International Development (USAID), in collaboration, have designed the ‘‘Innovations in Family Planning Services’’ (IFPS) project to serve as a catalyst in reorienting and revitalizing the contry’s Family Planning program The IFPS project has selected the state of Uttar Pradesh (U.P.) as the primary site and testing ground for program innovations. The IFPS project proposes to assist the state of U.P. to significantly reduce the total fertility rate through comprehensive improvement and expansion of Family Planning services. To achieve this purpose, the project has three objectives which are as follows : 1. Increase access to family planning services 2. Improve the quality of family planning services 3. Promote family planning services The IFPS project, as anticipated currently, will have a life of 10 years State Innovations in Family Planning Services Project Agency (SIFPSA) registered as a society in Lucknow (U.P.), will be responsible for implementation of the IFPS project. It will function as a facilitator, stimulator and initiator in strengthening family planning services delivery in the public sector as well as in the private sector. The Human Resources manual, which follows, lays down the objectives, policies and procedures of the various aspects of Human Resources Management and Development for SIFPSA. In most organizations, the Human Resources (HR) manual evolves over the years through prevailing practices and statutory requirements. However, such an evolution leads to ambiguities in the initial phases and causes much distress to the management and employees. By preparing this manual in the early phases of the society, it is hoped that such ambiguities in terms and conditions of employment will be minimized as both, the management and the employees, can refer to the manual wherever in doubt. The manual will help to establish all Human Resources polices and systems. The rules outlined in the manual regarding terms and conditions of employment and service, and disciplinary procedures will aid the management in taking decisions in these matters. Moreover, it will also ensure uniformity of justice in disciplinary matters. Personal and professional development of the employees is important to motivate them and ensure efficient functioning of the society. The HR manual covers this area by providing suitable guidelines. Objectives of the Manual The following are the objectives of this manual : 1. To assist the management of the society in the effective management and development of their human resources.
-1 -

2.

To help the Human Resources (HR) department in taking decisions and to guide them on rules and regulations governing the employees and their employment. To facilitate all departmental heads in taking expeditious decisions within the powers delegated to them in all matters relating to Human Resources Management and Development. To serve as a guide for the society’s policies, systems, and procedures to be followed by the employees.

3.

4.

Usage and Circulation This manual will be used by the managerial staff to aid them in decision making and by all employees as a guide for the rules and regulations related to their employment and service. For circulation and usage the manual will be distributed as follows : 1. 2. 3. 4. One copy for the use of the Executive Director (ED) One copy for the use of the Additional Executive Director (AED) One copy each for the use of the various departmental heads One copy for the use of the HR department.

Responsibility for implementation and Revision of the Manual It will be the joint responsibility of the HR department and other departments to make use of the policy guidelines and implement the procedures, rules and regulations given in this manual. For interpretation of any rule/order etc. the matter should be referred to the HR department. It will be the responsibility of the HR department to ensure that this is flexible document that keeps pace with the changing needs of the society. It would be the responsibility of the HODHR to make the necessary amendments in this manual from time to time. The approval of the state governing body has to be obtained for all amendments made to the manual. Suggestions on any aspect related to this manual are welcome them all the employees of the society Suggestions may be forwarded to the HOD HR. Salient Features of the Manual The rules and regulations in this manual are based on standard practices in India. Some of them have been modified keeping in view the nature of the society. These rules and regulations will govern the terms of employment and conditions of service of all the employees of the society, unless mentioned otherwise. Nothing contained in these rules and regulations will supersede, alter or modify any express terms of contract of employment between the society and any employee. The management of the society reserves the right to interpret the meaning of these rules and any supplementary rules or orders issued thereunder and such interpretation will be final and binding upon all employees.

-2 -

The society also reserves the right to add, delete, amend, modify or change, or suspend the operation of any or all of these rules (and orders issued thereunder) it will be the responsibility of the head of the Department – Human Resources to notify the employees of any changes made in this Manual. The rules contained in this Manual are not exhaustive. The management of the society reserves the right to frame rules or take decisions as may be necessary from time to time on all matters, whether such matters are covered in this Manual, or not. Every major topic is discussed under a separate Chapter in this Manual Suitable notes have been added wherever appropriate. All efforts have been made to include the rules which are required for day-to-day functioning. All employees are requested to take note of the circulars/office orders, etc. issued from time to time. The policies and the procedures outlined in the manual will be implemented over a period of time. The manual is prepared keeping in mind the long term requirements of SIFPSA. Definitions Unless there be something repugnant in the meaning, subject or context, the terms used in this manual are generally used in the sense explained below : Employee : Employee is a person engaged for anticipated continuous work for a normal continuing function, activity or assignment of the society. ‘‘Society’’ means The State Innovations in Family Planning Services Project Agency, (SIFPSA) , Uttar Pradesh. ‘‘Dependents’’ includes children, (including adopted children) parents, brothers and sisters of an employee and the spouse of the employee when such persons are unemployed and/ or are solely dependent on the employee economically. ‘‘Family’’ means spouse and dependent unmarried children of an employee ‘‘Management’’ includes the Executive Director and the Additional Executive Director of SIFPSA. Management Staff includes all employees of the society from Grade V to Grade X (both grades inclusive). Non - Management Staff includes all employees of the society from grade I to Grade IV (both grades inclusive). ‘‘Salary’’ means the basic pay and dearness allowance for employees recruited from the open market. For employees on deputation from government, salary would also include any other head of income which is taken into consideration by the parent department for calculating allowances and subsidies. HOD (Head of the Department) means any person in charge of a Department. Office means the Head Office of SIFPSA at Lucknow.
-3 -

Notes : The definition indicated above are for general guidance only. Human Resources Department may be consulted for clarifications regarding interpretation of any provision in the Manual.

-4 -

CHAPTER 1 MANPOWER PLANNING To survive and prosper, an organization needs well qualified and motivated employees. This involves careful advance planning - Manpower Planning - which integrates the many diverse parts of the organization’s overall manpower system. 1.1 Definition

Manpower Planning is the process of reviewing and acquiring manpower resources, in a preplanned manner and on a continuous basis, to support the organization’s activities and tasks. It is also a strategy for the acquisition, utilization, improvement and retention of an organization’s human resources. 1.2 Objective

The objective of Manpower Planning is to see that at any point of time, the organization’s manpower requirements are fully satisfied, with little or no surplus or deficit. SIFPSA can fill up the identified positions, initially, in a phased manner. This could be done by finding out which activities, functions and departments need to be started immediately and with how many positions. 1.2.1 Organisation Chart

The organisation chart depicting sanctioned post is provided in the Organisation Structure Manual of the society. 1.3 Procedure

The manpower needs of the society should be reviewed annually. The responsibility of the Manpower Planning is that of the HOD- HR. The HOD-HR needs to coordinate with the other HOD’s for undertaking Manpower Planning. Successful Manpower Planning requires forecasting the number of job vacancies that will occur every year and foreseeing how to fill them. Following are the steps that the society will follow for undertaking Manpower Planning: Step 1: Analysis of Existing Positions

An analysis of all post needs to be done with respect to the requirement of these posts for the current and future functioning of the society. This would also bring forth some posts which have become redundant over a period of time. In case such redundancy is identified, retrenchment proceedings can be started after taking approval of the ED. Step 2 Estimation of Job Vacancies

The number of job vacancies that will occur in the coming year will be estimated after considering the following :
-5 -

a. b. c. d. Step 3

Promotions Demotions Separation due to Retirement, Resignation and / or Dismissal Creation of a new position due to increased work load. Taking stock of the existing manpower skills

The next step is to take stock of the existing skills. A skill inventory will have to be prepared, which is, in its simplest from a list of data about each employee like his/her name, educational qualifications, experience in each trade/position, area of specialization, special awards received, outstanding achievements etc. This must include, in addition, capabilities of individuals in terms of tasks/activities one can perform independently, under guidance after certain amount of training. It should cover each individual in the organization in each department/section. Step 4 Arriving at the net manpower requirements and initiating further acti

The gross manpower requirements, assessed as per Step 2 can be compared with the availability of existing skills arrived at Step 3. The comparison will lead to the one of the following situations: a. all vacancies may be filled up by the redeployment of existing manpower. The redeployment can be done based on the skills identified in the Performance and Potential appraisals of every employee. The options before the management are Promotion. Transfer, Retraining, Reallocation of work and Job Rotation. These will be resorted to when it is found that there is surplus manpower in certain departments/sections and deficit of similar skills in other department/sections. The decisions regarding redeployment will be taken jointly by the HOD - HR, the concerned HOD, and the AED, and would need the final approval of the ED deficit manpower skills: if inspite of redeployment of personnel, deficit of skills remains in the society the action would be recruitment. The policy and procedure guidelines for recruitment are given in the following chapter in case of surplus manpower, retrenchment action will be resorted to after approval from the ED.

b.

c.

Based on the above steps the HOD – HR will prepare a detailed Manpower Plan for the coming year. A copy of the Manpower Plan would then be forwarded to all the Competent authority and the AED. It would be the responsibility of the AED to get the necessary approval of ED. Once the approval is obtained, this will be the Manpower Plan for the coming year. It will be the responsibility of the HOD – HR to institute necessary subsequent actions based on the Manpower Plan i.e. Promotions, Transfers, Job rotation, Recruitment, Retraining etc. After carrying out the above Manpower Planning exercise if new positions need to be added to SIFPSA the approval for the same should be obtained from the Governing Body.

-6 -

CHAPTER 2 RECRUTIMENT, SELECTION, APPOINTMENT AND INDUCTION 2.1 Recruitment

2.1.1

Definition

Recruitment is the process of acquiring manpower from outside the organization. 2.1.2 Objectives

The objective of the recruitment process is to identify and attract the best available talent for a specified job in the least time and cost parameters. The society should have a standardized recruitment procedure. standardized procedure would be: a. The objectives of the

to ensure that all vacancies that arise are filled with appropriate personnel with requisite skills. to ensure that the appropriate personnel of the society are involved in the recruitment process; to ensure that the society receives an appropriate number of applications in responses to its advertisements; to ensure that spurious applications get screened at an early stage of the recruitment process; to ensure that spurious applications received contain all the appropriate information about the candidate; to ensure that sufficient number of qualified candidates are reviewed for the positions.

b.

c.

d.

e.

f.

In the initial stages, while the society is being set-up, all positions would be filled up by the following: a. b. Recruitment from outside Deputation

Later on, as the society personnel develop the requisite skills the society may fill certain positions by promotions and job rotations within the organization, as well as, recruitment from outside and deputation. The recruitment process will begin soon after the regular Manpower Planning process is over and the necessary approvals have been obtained from the ED/governing body.
-7 -

However, it may become necessary to recruit people at intervening stages also. This may happen when a vacancy is created due to unforeseen circumstances such as sudden resignation, dismissal etc. The approval of ED in such cases is necessary. 2.1.3 Responsibility for Recruitment

The coordination of the recruitment function will be done by the HR department under the HOD HR. The HOD-HR shall process the recruitment list prepared as an outcome of the Manpower Planning process. Each department head will be informed of the positions which will be filled in his/her department, through recruitment. 2.1.4 Procedure

The society will follow a standardized procedure for recruitment of its Human Resources. This procedure in brief is as follows : ( and is detailed in the subsequent sections) a. b. c. d. e. a. Raising of Manpower Indent Form (MIF) Identifying Sources of employment Receipt of resume Initial Screening Call for test/Interview (as the case may be) Manpower Indent Form (MIF)

MIF is a form that contains the desired specifications of the employee to be recruited. It will detail the Job specification, Job responsibilities and necessary qualification, experience, and skills required for the specified post. It is important to have an MIF for the society as it will help to ensure that personnel with requisite skills, qualifications, and work experience are recruited. It will also ensure that the indenting department reviews the qualifications, job descriptions, skill requirement and experience of the position it wants to get filled. Filling up the MIF is the best time to review the skills inventory required in the department for the next few months or years. The MIF will also ensure that the department head gives some thought to the position he/she is filling up. The HOD-HR will send as many MIFs to the departmental heads as the number of positions to be filled in that department. The departmental heads will return the completed MIFs to the HOD-HR by the specified date after they have had sufficient time to fill up the indents. In case the departmental head himself/herself is to be recruited, then the MIF will be filled up by the AED or the ED. In contingency cases, the departmental head may need additional manpower anytime during the year when the Manpower Planning process may have just been completed or will be conducted in the distant future. If this requires filling up of already existing positions then the departmental heads will raise the MIF and forward it to the HOD-HR. However, if this
-8 -

requires creation of additional post(s) it would require the approval of the Governing Body through the ED. b. Identifying Sources of Employment

Based on the specifications in the MIF, the HR department will start the recruitment process. The recruitment would be done through the following medium: i. Open Recruitment

This would involve recruitment through advertisements and expert recommendations and referrals. The advertisements for the required post will appear in major national and regional newspapers and business magazines. It can be repeated if sufficient number of potential candidates with the desired qualifications and experience do not respond the first time. The contents of the advertisement will be well structured giving a brief profile of the society, nature of the job, requisite skills, qualification and experience. All specifications and parameters related to the position being advertised would be clearly stated so as to screen unwanted applicants at the initial stages. Help of the advertisement agencies may be taken in designing the releasing the advertisements. ii. Deputation from the GOI and GOUP

Some vacancies can filled by recruiting employees from the government (i.e. GOI and GOUP) on deputation. However, the employees on deputation to SIFPSA from government shall continue to be governed by the rules of the government as applicable from time to time. c. Receipt of Resume and Initial Screening

The last date for receipt of resumes/ applications will be specified in the advertisements. Once the applications are received, they can be screened by the HOD-HR. Based on this, suitable candidates will be sent an interview call letter by the HR department. d. Call for Test/ Interview

The call for test/ interview, as the case may be, will be sent to the short listed candidates well in advance. The letter will inform them of the date, time and place of test/ interview. The letter will also inform them of the venue of the test/ interview and how to get their from the railway station, airport or the bus terminus as the case may be. The appropriate person to be contacted in the society on arrival will also be intimated. i. Interview Arrangement

The HOD-HR will be responsible for making the test / interview arrangement at the appointed date, time and place. This will consist of an appropriate test and interview room, a waiting place for the candidates, lunch and tea arrangements for candidates and selection
-9 -

committee members, arrangement for the reimbursement of the fare to candidates and to interview panel experts. ii. Reimbursement of fare

The HOD-HR in coordination with the accounts departments will arrange for the reimbursement of the fare to the candidates who came for the interview. The amount of reimbursement will depend upon the position for which the candidate is called for test/interview. The following table gives the appropriate fare : Grade VIII – Grade X Grade V – Grade VII Grade I – Grade IV Air fare/ AC I/ AC II AC II II Class

The experts called for the interviewing and selection will be entitled to air fare / AC I/ AC II. All tickets will have to be reproduced for reimbursement. Only after all the above steps have been completed and arrangements for the test/ Interview completed can the selection process proceed smoothly. 2.2 2.2.1 Selection Definition

Selection is a process of selecting, from among the applicants, those to be accepted for employment. 2.2.2 Objectives

The objectives of selection process is to hire the appropriate candidate. Essentially, the selection process is one of prediction – making an informed estimate about which applicants have the highest odds for job success. The society will follow a detailed selection procedure. The objectives of this procedure will be: a. b. c. to involve the appropriate society personnel in the selection process; to select the appropriate candidate to fit the manpower indent specifications; to avoid hiring the employee who will either quit or prove unsuitable for the job.

This is because hiring and training costs are substantial and these will go waste on an unsuitable employee. Moreover, the expectations of employees and the community make it difficult to discharge those who have once been recruited but fall below performance standards. 2.2.3 Procedure

The society will follow a standardized procedure for selection of personnel, except the support staff. The steps of this procedure appear as follows :
- 10

a. b. c. d. e.

Formation of the selection committee Administration of test, if required Interview Decision regarding Selection of candidates. Letter of Offer

All the above steps are detailed below. (i) Selection procedure for support staff such as Drivers, Office Assistants, etc., For selection of support staff the following procedure shall be adopted : a) b) c) The Drivers and Office Assistants may be selected from known and reliable sources after verifying the reliability of the applicant. The applicant must possess basic knowledge of office environment. The person selected shall be appointed on probation for a period of 12 months, which shall be reviewed and if needed can be further extended upto 12 months. The support staff shall be selected by ED on the recommendation of a committee comprising of AED, GM (HAP) and one GM.

d)

a.

Formation of Selection Committee

The persons who will constitute the selection committee will depend upon the position for which the interview will be conducted. i. For ED : A sub committee of the State Governing Body. ii. For AED : ED and some other members of the State Governing Body. iii. For HODs :

The selection committee will consist of the ED, AED, HOD-HR, and some experts may also be called from outside the society to assess the candidate. The members of the Governing body can also be part of the selection committee. iv. For other posts:

The selection committee will consist of the AED, concerned HOD, and HOD-HR. The ED would be involved in recruitment of all employees in grades V to grade IX (both grades inclusive). Final approval of all candidates lies with the ED. ED’s involvement in all positions for initial recruitment would be necessary. The ED, AED and HOD-HR will meet to form the selection committee. The HOD-HR will inform the respective HOD of their role on the committee. An appropriate date for the interview/test will be fixed with the consent of all and the selection committee informed of the same. HOD-HR will be responsible for coordinating with the selection committee members. b. Administration of tests, if required
- 11

Various tests like the Language test, Performance test, Aptitude test, Intelligence test and Personality test can be conducted, if required, depending upon their relevance and applicability for different positions. The Human Resource Department will design the above tests in consultation with the respective HODs and get it approved by the AED. Alternatively, these tests could be bought from outside agencies. The responsibility of administering the tests in the proper manner will be with the HOD-HR. The HOD-HR will administer the tests, tally the scores and send the same to the selection committee before the final decision on the candidates is taken. These tests can also be used to screen out candidates in the initial stages. Thus only those candidates who qualify in the tests may be interviewed. The administration of test for a particular position is entirely on the discretion of the Management. c. Interviews

After the test, (if administered), the short listed candidates will be interviewed by the selection committee. Irrespective of the position being filled, Interviews have to be conducted. Each members of the selection committee will fill up one rating form for each of the candidates. Some guidelines for the interview are given below. Step 1 Be available at the right time to commence the interview punctually. Be fully familiar with the requirements of the position for which the interview is being conducted. Decide on the order in which the interview shall be conducted and the sequence of asking the question by the members of the committee. Step 2 Carefully read the applicant’s resume before calling for the candidate. After extending usual courtesies and making the candidate feel at ease, give a broad view of the society and the job. Step 3 Commence the interview in the sequence decided earlier, by asking purely general questions. This will give the candidate an opportunity to relax. Do respect the candidate’s viewpoints and give them adequate hearing. Listen carefully while they speak. Note down points if necessary and raise questions only when the candidate has answered a question fully. The purpose of the interview is to assess the applicants’ potential and capabilities/ capacities/track record and his/ her suitability to the position.

- 12

Do not offer terms or negotiations during the interview but find out current particulars and expectations. Do not fill the interview rating form or selection/rejection papers in the presence of the candidate. Give the candidate a chance to ask relevant questions or seek clarifications. Step 4 Fill up the rating form objectively, after the interview is over. Record specific comments regarding suitability, potential, proposed salary etc. Indicate the follow up action. d. Decision regarding Selection of Candidates

The selection committee shall meet, at the earliest, after all the interviews are over, to decide on the final candidates to be selected. The points scored in the tests and interviews will be tallied and the final decision for the selected candidate will be taken. The list will be forwarded to the ED for approval. The ED will return the list to the head of the HR department to send the letter of offer. e. Letter of Offer

The letter of offer will inform the candidate of his/ her selection. It will contain details of the post, grade and scale of pay being offered to the candidate. It will also contain any special terms and conditions of appointment. The letter will also contain the proposed day and date of joining, intimation of the address of joining and how to get to the address. The selected candidate will send a copy of the letter duly signed indicating that he/ she will join on the appointed date and time. If certain terms are unacceptable to him/ her, then he/ she may inform accordingly so that negotiations may be conducted, if required. The letter of Offer duly signed by the selected candidate (after all negotiations are over, if required) will constitute the Letter of Acceptance. 2.3 2.3.1 Appointment Objectives

The objective of the appointment procedure is to ensure that the employee completes all formalities before he is given the formal appointment letter. 2.3.2 Procedure

The procedure for appointment will consist of the following steps a. b. Joining report Check of Certificates
- 13

c. d. e. f. g. h.

Check of age of candidate Medical tests References Secrecy Bond Appointment Letter Employee Personal File

Each of these steps is outlined in following sections: a. Joining report

The prospective employee shall report to the HOD-HR on the appointed date. The HODHR will then take the employee through the appointment procedure. b. Check of Certificates

The appointing authority will check the certificates of the prospective employee. These will include his/her academic and other certificates as well as past experience certificates. These will be cross checked with the information mentioned by the candidate in the application form. c. Check of age of candidate

The appointing authority will also check the age of the candidate through his/her school leaving certificate and cross check it with the age mentioned in the application form. One of the following documents will be deemed to be satisfactory proof of the age of the employee at the time he/she enters the society’s service : Matriculation or School Leaving Certificate or Birth Certificate

An employee who is unable to produce documentary evidence of his/ her age, will produce an affidavit regarding his/her age. Such employees will be sent to the Society’s authorized medical officer free of cost for examination and the medical officer’s assessment regarding the employee’s age will be binding on the employee. The age of an employee as recorded with the society at the time of his/ her employment will not thereafter be altered. d. Medical tests

The candidate will be asked to undergo a medical test consisting of the following i. blood test ii. chest X-ray iii. blood pressure iv. eye test v. general check up The society can either appoint a doctor on contract or it can approve a panel of doctors for the employees of the society.
- 14

The prospective employee shall bring the above test reports with him/ her or the doctor can send them directly to the society. e. References

The prospective employee will be asked to furnish names and address of three references who have known him/ her for more than two years. The HR department will send reference sheets to them and get their responses on the person’s qualifications, abilities and other traits. f. Secrecy Bond

The prospective employee will also sign a bond of secrecy so that confidential information is not leaked out. g. Appointment Letter

After all the above steps are completed the HOD-HR will issue a formal Appointment letter to the selected candidate, duly signed by the ED. h. Employee Personal File

As soon as an employee joins the society, a personal file will be opened on his/ her name. This file will be kept confidential and will be maintained and be under the care of the HR department. 2.4 2.4.1 Induction Definition

Induction is the process of familiarizing a newcomer to the organization with the job, surroundings and the organization itself. 2.4.2 Objectives The objectives of Induction are as follows : a. b. c. d. e. f. g. to help integrate the new employee into the social pattern of the organization to minimize the amount of disruption caused in the organization by the change in command to introduce the new employee to all key people in the society to explain the customs of the organization to help the new employee to identify with the organization and its procedures and give them some feeling for the significance of the work he/ she will be doing to help overcome fears and anxieties that arise in a new job to provide information about the organization’s rules and HR policies, introduce fellow workers and give him/ her an idea of how his/ her job fits into the total operation of the organization. Procedure

2.4.3

The procedure of induction will consist of the following steps :
- 15

a. b. c. d. e. f.

Orientation of New Employee Introduction to the Society Advice to Various departments Introduction to the employees of the Society Induction Training Issue of Identity Card and Visiting Cards

Each of these steps is outlined in the following sections : a. Orientation of New Employee

The Human Resources Department will plan an induction program, in consultation with the departments concerned for newly inducted employees, based on the experience and grade. The employee will be given his/ her induction program with the schedule for the next few days or weeks. b. Introduction to the Society The newly introduced employee will meet the HOD-HR. The latter will explain to him/ her the Society’s mission, objectives, culture and organization structure. If possible a small booklet will be prepared incorporating the above aspects of the society. The HOD-HR will also ensure that the employee receives a booklet giving the important service rules/ terms and conditions of employment. The employee should also be informed about the allowances and benefits to which he/ she will be entitled and any other information relevant to the employee. c. Advice to Various departments

The HR department will inform the relevant department heads of the appointment of the new employee. This must include HOD-Finance as well as the HOD of the concerned department. d. Introduction to the employees of the Society

This will consist of the following three groups of employees : i. The ED and AED and their immediate staff : the employee shall meet the ED and AED and their immediate staff on the time and date fixed by prior appointment. the concerned HOD and immediate superior : the concerned HOD will explain the functioning of the department to the new employee. He/ She will also explain the reporting relationships. Then the employee can be handed over to the immediate superior. The other employees : Since the society is a small organization, the new employee could be introduced to all the other employees. Induction Training

ii.

iii.

e.

The HOD will inform the employee of his/her induction training schedule. This is covered in more detail in the chapter on training and development
- 16

f.

Issue of Identity Card and Visiting Cards

A formal identity card with the employee’s name, number, photograph and signature will be issued. The HR department will also arrange for visiting cards of employees above a certain grade. The employee will have to indicate the manner in which his/ her name should appear and verify the spelling. With the above six steps, the induction of the new employee will be completed. g. Service Book

Proper record of different types of leaves, performance etc. of employees of the Society for sanctioning leave, leave encashment, annual increment and to keep a watch on the performance of individual employees, shall be maintained in the Service Book of employee concerned as per approved format for service books. (Approved as per item no. 7 of Vol. II of Agenda for III meeting of the Executive Committee of SIFPSA held on 20.02.96). The personal file will contain the following : 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Joining report Ratings of Test and/ or Interviews Photocopies of academic Qualification certificates Photocopies of past employment certificates A record of the date of birth Medical test report at the time of appointment as well as any subsequent tests done Comments of referees Copy of the secrecy bond All correspondence before joining including copies of the letter of Offer, Letter of Acceptance, and Appointment Letter Emergency contact number and address

Subsequently the following will be added to the employee personal file 11. 12. 13. 14. 15. Copies of the payroll changes including promotion Special work assignment, training etc. Transfer records Disciplinary action information Long leave taken

Performance Appraisal forms of the employees will be maintained in separate confidential files. The above records will be updated as and when any changes take place.

- 17

CHAPTER 3 TERMS AND CONDITIONS OF EMPLOYMENT 3.1 Definition

Terms and conditions of employment are the rules and regulations under which a person will perform his/her duties and carry out his/her responsibilities as an employee of the society. 3.2 Objectives

These terms and conditions will apply to all the employees of the society unless otherwise specified. Thus they will ensure the smooth functioning, of the society. Once a new entrant has read through these, he/ she will become familiar with the terms and conditions related to service; attendance, leaves and holidays, and other terms. 3.3 Procedure

The HR department will ensure that each new entrant is made aware of the existence of such terms and conditions. The new employee can read them or the HR department can highlight the important ones at the time of joining. The employees can refer to specific terms and conditions as the need arises. The ED will have the final say in interpreting these terms and conditions in case clarifications / queries. He/ She can, at his/ her discretion, relax these terms and conditions on the merit of each case. The terms and conditions of employment have been divided under three heads. These are: a. b. c. d. terms and conditions of service terms and conditions related to hours of work terms and conditions related to attendance and absence other terms and conditions

The above rules are explained in more detail in the following sections. 3.3.1 Terms and Conditions of Service

These terms and conditions include the following a. Service Agreement

The service agreement in the society would be such that every employee (except those on deputation) will have to sign a contract with the society for three years. This contract will make it clear that the society is providing employment only for a period of three years from the date of signing the contract. After three years the contract may or may not be renewed as per the management’s discretion.

- 18

Employees who are already above the age of 55 years at the time of joining the society will sign a contract only till such time when they attain the age of superannuation (58 years). During the period of the contract the services of the employee can be terminated by the society, if the need arises, giving him/ her a notice of two months or two months salary in lieu of the notice. Similarly, the employee can also resign from the services of the society during the period of the contract by giving two months notice or an amount equal to two months salary in lieu of the notice. b. Service Bond

Every employee, being sent for an overseas training will have to sign a service bond as deemed fit by the ED. The duration of bond would be dependent on duration training and cost of training. c. Secrecy Bond and Confidentiality of Information

All employees will have to execute a secrecy bond which will maintain secrecy of information. The society will be operating in the area of population control. This is already a highly sensitive issue in India. The discussions of the society’s objectives, plans and developments in public places can lead to misinterpretation and irreparable damage. It is therefore essential that all the employees maintain strict confidentiality on all matters. It is expected that employees would use their wise judgment while discussing issues connected with the society’s operations, practices and procedures with outsiders. Repeated incidents pertaining to breach of confidentiality shall be dealt with firmly under the disciplinary procedure, making the person liable for instant termination. Similarly the employees cannot disclose any matter related to the society through speeches, publications or photographs without prior permission. This is discussed in more detail in subsequent sections. d. Exclusive Service

All employees of the society are essentially and exclusively required to work for the society during their entire period of service. Failure to comply with this requirement shall be regarded as a serious breach of discipline rendering the employee liable for immediate termination. The management may however grant its approval for such service under the following circumstances : i. to promote education or sharing of expertise by participating as part time visiting faculty member of recognized and society approved educational establishments, institutions and management schools. assignments of a purely social or voluntary nature which do not infringe upon the incumbents’ capacity or ability to do regular job, at the sole discretion of the society.

ii.

All such requests shall be routed through the HOD of the concerned departments and HODHR and duly approved by the AED. No engagement should undertaken or committed in anticipation or prior to approval.
- 19

The above engagements will be undertaken keeping in view the terms and conditions given in the section 3.3.1 (c) above. e. Post employment medical check up

The society shall arrange or require all employees to undergo routine medical examinations from a medical practitioner. The employees shall undergo medical examination as under: Above 35 years of age Below 35 years of age f. Transfers Once a year once in two years

An employee may be required to work at any of the offices of the society. The society may set up offices at project sites depending upon the IFPS project requirement. The transfers shall be decided by the management. Special allowances will be permissible to a transferred employee as discussed in Chapter 4. 3.3.2 Terms and Conditions Related to Hours of Work

The normal working hours of the society will be as follows : Days Monday through Friday Lunch time Timings 9.00 a.m. to 5.30 p.m. 1.00 p.m. to 1.30 p.m.

In case of exigencies, all employees will be required to work more than the normal specified times. Employees would be required to be present in the premises as per the demands of the situation. b. Weekly Holidays

Saturday and Sunday will normally be weekly holidays unless otherwise specified. c. Intimation of working hours.

The HOD-HR will be responsible for intimating to the employees the working hours and any changes therein, through the notice boards. The instructions issued relating to period and hours of work, attendance and checking of entry and exit will be exhibited on the notice boards in English and Hindi. All employees of the society will be required to comply with the above instructions. 3.3.3 Terms and Conditions Related to Attendance and Absence

All employees are required to be present on all working days at their appointed place of work in order to ensure uninterrupted and efficient working of the departments of the society. Attendance will be marked daily. a. Recording of Attendance

- 20

All employees will personally record their attendance by signing in the attendance register. This Attendance Register will be maintained by the Administration department. b. Late attendance

Late attendance disrupts work and undermines discipline. It also causes hardships to fellow employees. The society expects each of its employees to maintain punctuality and adhere to respective duty timings as a matter of routine. Late attendance will be dealt with as under : An employee arriving late by over 15 minutes on a day is liable to be sent back home for that day and marked absent. However, depending upon work exigencies and purely at the discretion of the concerned HOD, such an employee may be taken on work with appropriate deduction of wages/ salaries. An employee arriving late on more than 3 occasions or in excess of an aggregate of 30 minutes in a month will render himself/ herself liable for penal action and deductions in wages/ salaries. Habitual late arrival shall be treated as misconduct and dealt with severely under the disciplinary procedure. c. Absence

Absence is the failure on the part of the employee to report for work as per schedule and at the appointed place of work without prior permission. In the overall interest of the society and its employees, the incidence of absenteeism should be eliminated. Besides upsetting work schedules and operations, it causes considerable inconvenience to employees who have to stay back and take care of the additional work load. In the event of absence the employee not only loses his/ her wages/ salary and certain allowance but also renders himself/ herself liable for stern disciplinary action. Absence shall be dealt with as under : Absenting employee will lose his/ her wages and service related allowance for the duration of his/ her absence. For absence exceeding three times a month, the employee will be warned in writing. This will be followed by appropriate disciplinary action. Similar written caution will be administered to an employee who absents continuously for more than three days in a month. This will be followed by appropriate disciplinary action. Continuous absence of eight days or more will be treated as voluntary abandonment of service after which Termination proceedings will be initiated.
- 21

d.

Absence from Place of work

This would be specifically applicable upto Grade VI. Employees shall not leave their appointed place of working during the working hours unless permitted. Unauthorized absence from appointed place of work is regarded as a misconduct. It shall render the employee liable for stern disciplinary action. Permission to leave place of work shall be obtained from the designated authorities. Also any person leaving the place of work during the normal working hours will enter the same in a register to be maintained by the Administration Department. This register should contain details regarding time of departure, reasons for departure, destination, expected return time, and signature on returning. e. Short leave of absence

All requests shall be treated on individual merits of the case, within the under mentioned parameters: i. ii. requests should not be for more than two hours duration frequency of such requests shall not exceed two time in a month

The Competent authority shall have the prerogative to sanction leave with or without pay. This would largely depend upon the merits of each case, past utilization, and approved record of extra hours worked by the employee. f. Leaves and Holidays – Criteria and Eligibility

The society will provide leave and holidays to the employees to refresh themselves, celebrate festivals and have a vacation. Depending upon the exigencies of service and subject to rules and regulations laid down for grant of leave, employees are entitled to the following types of leave. Leave cannot be claimed as a matter of right. The society may defer, curtail, refuse, reduce leave on genuine grounds for meeting the requirements of the society’s objectives. The employees on leave may be recalled by the sanctioning authority when he/she considers such action is necessary in the interest of the society. The following types of leave are allowed :

- 22

Earned Leave

Two and a half days for every 30 days worked (Earned leave will be based on the number of days worked by the employee and will not be given for the days during which the employee was on leave without pay) 14 days in a calendar year. (Approved as per Item No. 7 of Volume II of Agenda for the third Executive Committee Meeting of SIFPSA held on 20.02.96.) 10 days in a year (Medical Certificate needs to be produced if leave is taken for three or more days) As Maternity Benefit Act, 1961

Casual leave

Sick leave Maternity leave

National & Festival Holidays Society shall observe the same National holidays and holidays on account of festivals and other holidays with effect from 01.01.96 as declared by Govt. of U.P. in the Secretariat. (Approved as per Item No. 7 of Vol. II of Agenda for the III Executive Committee Meeting of SIFPSA held on 20.02.96). Leave without pay In exceptional cases e.g. serious illness or incapacitation or circumstances considered to be beyond the control of the employees and also when the employee do not have any kind of leave to their credit, by the competent authority with the prior approval of the concerned Head of Division for a Maximum of 120 days in the entire service. (Approved as per Item No. 7 of Vol. II of Agenda for the III meeting of Executive Committee of SIFPSA held on 20.02.96).

The following powers have been delegated by Executive Director :

Powers Sl.No. Sanction of Casual 1. Leave 2. 3. 4. 5.

Category of Employees Grade VIII & Grade IX Personal Staff of ED

Competent Authority ED EA to ED with prior concurrence ED Personal Staff of AED and AED Grade VI & VII All other Grade III to Grade V GM of the Division All other Grade I & II GM (HAP)

- 23

Sanction of Earned Leave, Encashment of Earned Leave, Medical Leave and any other kind of leave (except casual leave) Approval of Tour Programme

1. 2. 3.

Grade VIII & IX Grade V to Grade VII Grade I to Grade IV

ED AED GM (HAP)

1. 2.

3. 4. 5. Tour 1. 2. 3.

Sanction Advance

of

Grade VIII, Grade IX and EA ED to ED Personal Staff of ED EA to ED with prior concurrence of ED and with making arrangements so that work does not suffer during the employees absence. Grade VI, Grade VII and AED Personal Staff of AED All other Grade III to Grade V GM of the Division All other Grade I and Grade II GM (HAP) Grade X and EA to ED ED Grade VI to Grade IX AED Remaining staff GM (FAD)

(Note : The copy of tour programme of Grade V and above will also be submitted to PS to ED for information well before departure of officer.) Travelling allowance claims of all employees of SIFPSA will be checked, countersigned and passed for payment by the Manager (F) entrusted with the duties of D.D.O. The Executive Director may review the above from time to time as deemed fit in the interest of work. (g) The Executive Director may delegate powers to project managers of District Action Plans as deemed fit in the interest of work.

The calendar year for the purpose of leave will be January to December. Any leave admissible to the employee not taken by the employee during the calendar year will automatically elapse except in case of earned leave and sick leave where it can be accumulated upto six months beyond which it will elapse. In exceptional cases, when an employee falls short of required earned leave, advance earned leave will be granted with the prior approval of the sanctioning authority. Leave application forms should be sent well in advance to the sanctioning authority. In case of earned leave, the application must be sent at least 15 days in advance, indicating the address where the employee can be contacted, during the leave period, with the contact phone numbers. In cases of emergency, the employee may be granted earned leave without 15 days notice, with the approval of the sanctioning authority.

- 24

No two leaves will be combined on a continuous basis except in case of maternity leave and sick leave with earned leave. In the last month of the every calendar year, the society will notify the days to be observed as holidays during the ensuing year. Paydays will also be notified on the notice board. 3.3.4 a. Other Terms and Conditions Change of Address

It is essential that all employees record their permanent as well as local address and telephone number, if any, with the HR department. Future change or modifications must be informed in writing immediately. This will enable the society to contact the employees or their families during emergencies or on account of work exigencies. All official correspondences from the society shall be sent, when required, to the last known address of the employee. A record should also be made of the person and address at which he/ she can be contacted in case of an emergency. b. Search

All entrants, be it employees, visitors, suppliers or clients are liable to be searched while making an entry/exit. It is essentially required that they must declare and record all items/belongings which they are desirous of bringing inside the premises. Certain prohibited items like cameras, transistorized equipment, lethal weapons, arms and ammunition, photocopying equipment, alcohol and intoxicating items shall not be permitted inside the premises. Items left with the security must be recorded and proper receipts obtained. The society shall not however take responsibility for these items nor shall it be liable for damages caused to them. Taking or causing to take out during exit any undeclared item shall be regarded as breach of security, rendering the person liable for appropriate action. All persons are liable to be searched physically or by suitable means during exit. In the event of suspicion or on discovery of undeclared items or society’s property, the person would be detained for detailed personal search and / or interrogation by the appropriate authorities. c. Identity Card

All employees of the society shall be issued permanent identity cards containing among other things, their photograph, employee number, place of work/ department etc. All employees would be responsible for the safe custody and proper maintenance of their Identity cards. The employee will be asked to produce the identity card, while seeking entry/ exit on random requests. Identity cards should be surrendered on leaving employment or being terminated.
- 25

Loss of the identity cards must immediately be reported in writing to the HR department. The HR department will arrange to issue a duplicate card at a nominal charge. All outsiders who have more than two days of work in the society office will be issued a gate pass indicating the duration and area of work by the HOD-HR with restriction to other areas. d. Accounts of Society Property

Each employee will be responsible for the safe keeping of all society material entrusted to him/her. This includes the files and other written and printed documents, furniture and all support items issued in his/her name. In the event of separation from employment on any account, the employee shall give proper account and return all papers, books, tools, equipment, designs and any other society property in his/her custody, charge or possession. The value of all shortages or damages shall be recoverable from him/ her and adjusted against settlement dues. He/ She shall be required to vacate any quarter or accommodation of the society hired to him/ her or leased on his/ her account and pay the charges in respect of rent, electricity etc., as may be due from the employee. In addition, any damages/ breakage to facilities will be charged at appropriate rates. Failure to comply with all or any of the above provisions shall entitle the society to withhold employee’s salary/ settlement dues or appropriate deductions therefrom. All employees will be required to obtain clearance in writing, in the prescribed form from specified departments or sections before his/her accounts are settled finally or before his/ her normal release from the services of the society. f. Clearance of Publications, Photographs or Speeches

All employees are encouraged to write articles of technical or general interest for publications and to accept speaking engagements before professional bodies, trade associations, community organizations and educational institutions. However, any employee planning to submit a manuscript for publication or to deliver a speech is required to secure clearance from the society. The employee will submit a copy of the speech or publication to the concerned HOD. The HOD will forward it to HODHR/AED/ED with his/her comments. The ED will then grant permission to the employee to go ahead with the speech or publication. On the other hand, the ED may convene a meeting of the concerned HOD, employee and himself/herself to discuss which sections need to be eliminated from the text. The final manuscript will again have to be approved by the concerned HOD and HOD-HR. In case of impromptu speech or in any other instance where prior clearance is not possible, the HR department will be informed in writing after the event in order that the records are complete.
- 26

The amount of information required for clearance shall depend and vary according to individual circumstances; clarifications on the matter can be further obtained from the HR department. All the above rules are secondary to those mentioned in the Secrecy Bond agreement signed by the employee at the time of appointment. The employee shall maintain confidentiality of information as outlined in an earlier section. g. Acceptance of Gifts

As a matter of policy, the society will not permit its employees to accept gifts from present or potential business associates in his/ her official capacity, while in employment with the society. A token gift of flowers, fruits or sweets shall however be excluded from the above coverage. Acceptance of gifts in contradiction of the policy stated above shall render the employee liable for disciplinary action. Any single gift exceeding the value of Rs. 200/- needs to be notified to the management. h. Political Activities

The following activities of the employees are prohibited : i. ii. iii. to be an office bearer of a political party or an organization which takes part in politics; to take part in or assist in any manner in any movement/agitation or demonstration of a political nature; to take part in an election to any legislature or local authority.

No employee of the society shall engage himself/ herself or participate in any demonstration, strike, gherao and other agitation activities or abet, incite, instigate or act in furtherance thereof. i. General Discipline Every employee of the society shall at all times • • • • Maintain absolute integrity Maintain devotion of duty Do nothing which is unbecoming of the employee Conduct himself/herself in a manner conductive to the best interest, credit and prestige of the society

Every employee of the society holding a managerial post shall take all possible steps to ensure the integrity and devotion to duty of all employees for the time being under his/her control and authority.

- 27

CHAPTER 4 WAGE AND SALARY ADMINISTRATION 4.1 Definition

Wage and Salary Administration or Reward management is concerned with the design, implementation and maintenance of remuneration systems which help an organization achieve its objectives. 4.2 Objectives

The primary aim of Reward management is to reinforce the drive to improve organizational performance. Effective Reward Management helps in achieving the following objectives: a. b. c. d. e. Reduces inequities among employees earnings, thereby raises individual morale and reduces inter group friction It sets wages high enough to permit the organization to recruit well qualified employees. Motivates people to work for pay increases and promotions. It reduces employee grievances It enables management to exercise centralized control over this largest single item of cost. Policies

4.3

The employees on deputation from government to SIFPSA shall continue to receive salary and allowances as per the rules framed by the government from time to time. Further, all government rules will continue to apply to such employees who may be deputed to SIFPSA. Subject to the provisions of the rules of SIFPSA, pay and allowances of an employee will accrue from the date of commencement of his/her service and will cease to accrue from the date of cessation of his/her service. In case of change of charge by appointment, transfer, promotion or otherwise, an employee will commence to earn pay and allowances for the post to which he/she is appointed, transferred or promoted with effect from the day in the forenoon of which he/she assumes the charge or else from the working day following the day on which charge is taken over. The pay and allowances will be paid to an employee or to his/ her authorized agent on the 1st day of the month following the month during which the service is performed. If the first day of the month is a holiday, payment will be made on the afternoon of the last working day of the month for which payment is due. Where an employee is transferred or promoted from one post to another involving change of stations, he/ she will, during the interval of handing over the charge of the old post and the date of taking over of the new post, draw the pay and allowances of the old post. Management may however give time to effect promotion from a specified date in suitable
- 28

cases. The joining time for taking charge of the new post involving change of location will be ordinarily 7 days including holidays but excluding actual traveling time. The joining time will normally be availed on release from the old station. 4.3.1 Increment

Increment will normally accrue on satisfactory completion of the calendar year. If an employee joins or is promoted on any day other than the first day of the calendar month, the annual increment will become due on the first day of the calendar month of his/ her joining/ promotion every year. The increment will be granted on satisfactory performance of the employee and the approval of the ED. Withholding of increment of the employee for unsatisfactory performance will only be done after an opportunity is given to the employee to explain the reasons for his/ her unsatisfactory performance. The Governing Body in its Ninth Meeting allowed ED to delegate powers to sanction increment to lower officers, as she may deem fit, as such, the powers for granting increments to employees of SIFPSA in the Grades I to VIII has been delegated to A.E.D. The annual increments for all grades of employee would fall within the range of 5% to 10% of the present basic salary. The following system of increments in each grade has been prescribed: Grades 1 I* II* III* IV* V* VI* VII* VIII* IX X Salary Scales 2 3500-4300 4000-5600 5250-7200 6500-9100 8500-11200 12300-17100 15250-20650 17000-23600 9000-11300 10000-13000 Salary Scales with stages 3 3250-75-3700-100-4300 4000-110-4550-150-5600 5250-150-6300-180-7200 6500-200-7900-240-9100 8500-240-9700-300-11200 12300-400-17100 15250-450-20650 17000-550-23600 9000-300-10500-400-11300 10000-400-12000-500-13000

* The Salary structure of these grades were revised by the Governing Body in its Eighth Meeting. The revised structure are shown against these grades.
Increments shall normally be granted on completion of one year of continuous and satisfactory service, unless a decision to withhold an increment of an employee has been taken earlier after fulfillment of required procedures such as giving the employee an opportunity for defense etc. In cases where the pay of a particular employee has been fixed at more than the maximum salary of the grade related to the post held by the employee, increments equivalent to the amount of increment immediately preceding the highest stage of the grade shall be awarded, other benefits shall also be based on the highest stage of the grade related to the post held by such employee. (Approved vide III Executive Committee Meeting dated 20.2.96 Agenda Item No.4)

- 29

The Management may grant additional increments to an employee provided that such increments will be given only be given only in special cases in recognition of outstanding ability, performances and attributes of the employee. 4.3.2 Special Pay

Special pay may be granted for discharge of additional work, work of higher quality or special nature. The grant of special pay will require the approval of the ED. Nothing in these rules precludes the right and discretion of the Management to make any reasonable payments for the services of competent employees. 4.3.3 Revision of Salary Structure

The management of SIFPSA would conduct a salary structure revision once in three years. The responsibility of revising the salary structure for all grades would lie with the management and the authority for approval would lie with the State Governing Body.

4.4

Grades and Positions

SIFPSA should have the following grades and positions in each grade Grades I II III IV V VI VII VIII IX X Positions Office Assistant Senior Office Assistant, Driver Senior Driver, Secretary, Program Assistant, Officer, Accountant, Senior Data Analyst, Receptionist Senior Secretary, Senior Program Assistant, Senior Officer, Senior Accountant, Senior Data Analyst, Senior Receptionist Assistant Project Co-ordinator, Assistant Manager Project Co-ordinator, Manager, Internal Auditor Senior Project Co-ordinator, Senior Manager, Executive Assistant General Manager Additional Executive Director Executive Director

- 30

4.5 4.5.1

Salary Structure Salary

The salary without allowances and benefits for different grades will be as follows: Grades 1 I* II* III* IV* V* VI* VII* VIII* IX X Salary Scales 2 3500-4300 4000-5600 5250-7200 6500-9100 8500-11200 12300-17100 15250-20650 17000-23600 9000-11300 10000-13000 Salary Scales with stages 3 3250-75-3700-100-4300 4000-110-4550-150-5600 5250-150-6300-180-7200 6500-200-7900-240-9100 8500-240-9700-300-11200 12300-400-17100 15250-450-20650 17000-550-23600 9000-300-10500-400-11300 10000-400-12000-500-13000

* The Salary structure of these grades were revised by the Governing Body in its Eighth Meeting. The revised structure are shown against these grades.
Dearness Allowance: DA rates applicable to state government employees from time to time shall be applicable to SIFPSA direct recruit employees w.e.f. 1.7.1994 and any increase from time to time by the State Government to its employees shall also be given to SIFPSA employees. Interim relief given by the State Government to its employees w.e.f. 1.4.95 shall also be given to SIFPSA employees. Executive Director shall sanction to the directly recruited employees any increases in dearness allowance and interim relief to be sanctioned by U.P. Government to its employees in future. (Approved vide III Executive Committee Meeting dated 20.2.96 Agenda Item No.4) For employees coming on deputation to the society, salary (for the purpose of allowances) would mean the following : 1. 2. 3. 4. 4.5.2 Basic Salary Dearness Allowance Deputation Allowance City Compensatory Allowance, if any House Rent Allowance (HRA)

House Rent Allowance shall be given in the form of a subsidy and will be calculated as a percentage of the salary as below: i) ii) For Grade I to Grade IV will be 20% of the salary, For Grade V to Grade VII 30% of the salary, and
- 31

iii)

For Grade VIII to Grade IX 40% of the salary.

In case of officers on deputation the claims: i) ii) of those who are living in government accommodation will be as per actuals, and of those who are living in their own / rented accommodation will be as per entitlement.

This HRA will be added to the salary for computation of income tax as per Income Tax Rules. (Approved by VIII th Executive Committee) 4.5.3 Education Allowance

All employees of SIFPSA will be given Education Allowance as a fixed amount per month. Education Allowance for Grade I to Grade IV will be Rs. 100 per month, for Grade V to Grade VII Rs.150 per month, and for Grade VIII to Grade X, Rs.300 per month. 4.6 Reimbursements for expenses

The various expenses of the employee that will be reimbursed will be as follows: 4.6.1 Reimbursement for Newspaper and Magazine

Employees in Grade V to Grade X will be reimbursed expenses incurred by them (against vouchers only) on Newspapers and Magazines subject to the following upper limits. Grade V will be entitled upto Rs.150 per month, Grade VI upto Rs.200 per month, Grade VII upto Rs.300 per month, Grade VIII upto Rs.400 per month, and Grade IX to Grade X upto Rs. 500 per month. 4.6.2 (i) Conveyance Subsidy

Employees from grade VIII to Grade X will be given an official car, the maintenance of which will be the responsibility of SIFPSA. Employees in other grades will be given conveyance subsidy as follows : Grade I to Grade IV Grade V to Grade VI Grade VII 4.6.2 (ii) : : : Rs. 150 per month Rs. 300 per month Rs. 500 per month

Additional Conveyance Subsidy

Grade I to IV employees of the Society who have been recruited from the open market and purchase a new scooter/moped by securing a loan from any nationalized bank, may be sanctioned additional conveyance subsidy for using the vehicle for the work of the Society.

- 32

a. b.

c.

d.

e. f.

The employee will take a loan from any nationalized bank its terms and conditions for purchase of a new scooter/moped from an authorized dealer. That the Society will not stand as a guarantor to the bank for recovery of the loan given to the employee. The Society will pay the additional conveyance subsidy directly to the employee. After the final instalment has been recovered the employee will produce a certificate from the concerned bank to the effect that the total amount of loan and interest accrued thereon stands fully recovered and no further balance remains to be paid. The employee shall be paid additional conveyance subsidy at the rate of Rs. 300/- p.m. if he keeps the vehicle comprehensively insured, in good repair and uses it for the work of the Society. Conveyance charges for local journeys on official business shall not be admissible to the employee availing this facility. The employee shall keep the vehicle comprehensively insured during the period of recovery.

(The entitlement of additional conveyance subsidy for grade III & IV employees was approved by 1st Executive Committee Meeting and for grade I & II by 7th Executive Committee Meeting) 4.6.3 Reimbursement of Electricity expenses at camp office

Employees in grade VIII to grade X will be reimbursed their expenses on electricity at the camp office, subject to the following upper limits: Grade VIII Grade IX Grade X 4.6.4 : : : Rs. 700 per month Rs. 1000 per month Rs. 1200 per month

Reimbursement for Entertainment expenditure

Employees in Grade IX and Grade X will be reimbursed entertainment expenses (against vouchers only) subject to the following upper limits: Grade IX upto Rs.1000 per month and Grade X upto Rs. 1200 per month. 4.6.5 Reimbursement for expenses on local conveyance

Any expenditure incurred by the employees of SIFPSA on local conveyance during the course of their work will be reimbursed to them in full every month. For this the employees will need to fill up a local conveyance form stating the reasons for travel, mode of travel, and destination. These forms should be signed first by the immediate superior of the employee and then the Head of the Department concerned. 4.6.6 Reimbursement for Assistance at camp office

Employees from grade V to grade X will be entitled to employ assistance at the camp office and will be reimbursed expenses incurred in this regard at the following rates:

- 33

Grade V, Rs.300 per month, Grade VI, Rs.500 per month, Grade VII, Rs.800 per month, Grade VIII, Rs.1000 per month, Grade IX, Rs.1300 per month, and Grade X, Rs. 15000 per month. 4.7 4.7.1 a. b. c. d. Other Benefits Leave Travel Concession LTC rules shall be applicable to all regular employees of SIFPSA recruited from open market. Employees shall be entitled to LTC once every calendar. The employee shall be entitled for first LTC only after completion of one year of service in SIFPSA. Between two LTCs there should be a gap of atleast three months. The payment of LTC claim shall be restricted to one month’s salary. The payment shall be released subject to production of proof of journey, e.g., furnishing of photocopy of railway tickets, used docket for air tickets, taxi receipts, used ticket of bus, etc., In case of railway/air/bus journey only the point to point railway/air/bus fare by the shortest route shall be paid. There will be no restriction with regard to mode or class of travel in case of LTC. However, journey by taxi shall be permitted only in case the destination to be traveled falls within the state of Uttar Pradesh. In such case, the employees can hire taxi for journey from the starting station and back including local journey. In case the destination to be traveled is not connected by rail/air, than taxi fare from nearest railway station/airport to the destination shall be allowed. However, taxi hired for local journey shall not be permitted in such case. The ‘ request for sanction of LTC’ and ‘LTC claims/bill’ shall be made only in the format specially prescribed for the purpose. (FA -1 ) OHR shall keep record of LTC availed by each employee by recording necessary entry in personal file/service books of individual employee.

e. f.

g.

h. i.

The minimum leave required for availing LTC will be seven consecutive days. The employee will be exempted from income tax on submission of sufficient evidence as per the rules in force. 4.7.2 Expenses

Medical expenses would be reimbursed to all employees of SIFPSA. Reimbursement of medical expenditure would be limited to one month salary every year. Reimbursement would be against vouchers only. Government servants on deputation with the society shall be permitted reimbursement of hospitalization and medical charges for their treatment or that of their family members outside the limit of one month’s salary in a year and where necessary drawal of advance to meet such charges against future submission of vouchers. (Approved as per item No. 4 of Agenda for the first Executive Committee meeting held on 01.11.94) 4.7.3 Employee Health Insurance
- 34

All employees of SIFPSA would be insured for accidents, hospitalization, etc. The details of employee health insurance will be worked out by the management. In case of ambiguity with respect to the liability of SIFPSA /Insurance company, the decision of ED would be considered final. Under no circumstances should the employee collect medical reimbursements from SIFPSA as well as the Insurance company. 4.7.4 Telephone

All employees of SIFPSA from Grade VIII to Grade X (both Grades inclusive) would be provided an official telephone. The management may also, at their discretion, provide an official telephone to any other position, if the nature of job of that position so demands. The telephone bills of telephones installed at the residence of General Managers and EA to ED will be reimbursed by the Society to the extent of 700 calls (over and above the limit of free calls allowed by the telephone dept) every two months. Calls made over the limits prescribed above shall have to be borne by the employees themselves. 4.8 Provident Fund

Provident Fund will be deducted from the salary of all employees at the rate of 12% of the salary. The society will also make an equal contribution towards the employees’ provident fund i.e. 12% of the salary. (Approved by VIII Governing Body) 4.9 Ex-Gratia

The management will announce performance awards every year for all employees of SIFPSA. These awards will be within the range of 100% to 150% of the monthly salary. The payment of ex-gratia shall be governed by following rules: a. b. The ex-gratia shall be paid each year for the period covering April 1 of any calendar year to March 31 of the following calendar year. Only those employees shall be eligible for ex-gratia who have not been awarded any adverse entries or have not been punished or against whom proceeding have not been initiated or are not pending in the concerned financial year. The management may sanction performance awards to all eligible employees at the prescribed minimum, i.e., 100% of the monthly salary drawn by them on the last day of the concerned financial year. The monthly salary as defined at clause 4.5.1 for the employees on deputation and employees recruited directly from the open market shall be considered. In case of employees recruited from open market and drawing salary in excess of the maximum of the grades applicable to the position held by them, the monthly salary will be restricted to the basic pay component of the maximum of the grade and dearness allowance thereon. The management may, however, sanction the performance award to individual employees at rates higher than the prescribed minimum but not exceeding the prescribed maximum, i.e., 150% of the monthly salary, depending upon their performance being rated at least “very good”. If an employee of the Society leaves its service, except as a result of punitive action, or joins its service in the middle of a year, the management may sanction ex-gratia subject to limits mentioned under paras (a) and (b) above on
- 35

c.

d.

e.

proportionate basis provided that the service rendered during the financial year is not less than two calendar months. The monthly rate of salary in such cases shall be as due on the last day of the service. For periods in respect of which ex-gratia award has for some reason not been announced by the management, or assessment of work by individual employees is not available, employees may be awarded ex-gratia at the prescribed minimum, i.e., 100% of the monthly salary, unless some employee does not meet the conditions enumerated in para (b) above.

(Approved by VI Executive Committee) 4.10 Special Allowance

The Management may from time to time sanction special compensatory allowance at the rate to be promulgated for all employees or for any class of them as may be necessary for meeting additional contingencies, health allowance, city allowance and the like. Such allowances may be withdrawn by the Management wholly or partially at any time later. 4.11 4.11. 1. Travelling Allowance Tour The following classes of persons travelling on the Society’s business will be entitled to claim travelling allowance from the Society at the rates prescribed hereafter : a) b) c) d) 2. Employees Persons engaged on daily wages Government servants and private persons Members of Governing Body.

An employee will be entitled to travel by the mode and class of accommodation mentioned below and will be reimbursed his / her return fare or passage for the journey he/ she is required to undertake from his / her headquarters to his / her destination and back. All journeys on the Society’s business will be made in accordance with the tour programme approved by the competent authorities as authorised by ED from time to time. If road journey is to be made by office vehicle / hired taxi to places connected by rail, approval for the same may be obtained from the authority sanctioning tour.

3.

4.

Employees and persons engaged on daily wages will forward advice on the prescribed form for making train / plane reservations or request for making office vehicle or hired taxi available to the HAP. Department, which shall make the necessary reservations and arrangements. The HAP Department shall also keep a photocopy of all rail / plane tickets reserved through it. Where owing to unforeseen reasons an employee or person engaged on daily wages has to make plane / train reservations on his / her own, it shall be his / her duty to retain the original ticket or its photocopy and produce it with the claim for reimburse of travelling allowance.
- 36

5.

In case of government servants and private persons required to travel on the Society’s business, return tickets reserved by the HAP Department shall normally be made available to them with the letter requesting them to make the journey. If it is not possible for some reason, their reimburse claims will be accepted subject to limits prescribed hereafter :
Mode of travel GB Members / Grades VIII to X / IAS Officers / Government Servants getting more than Rs. 5000/- p.m. (pre- revised)/Pvt. persons representing national and state level organisations. Grades V to VII / Government Servants receiving basic pay from Rs. 2700/- to Rs. 4999/- p.m. (pre- revised) and private representing district level organisations. Grade III to IV / Government Officers receiving Rs. 1400/- to Rs. 2699/- p.m. (pre – revised) and private persons representing block level organisation. Grade I to II / Government servants in receipt of pay under Rs. 1400/- p.m. (pre – revised) and persons engaged on daily wages. Air Economy AC I Train Road Full taxi

-

AC II

Full taxi

AC III or I Class

One seat on share taxi / three wheeler

II Class/ Sleeper

Bus/ three wheeler

6.

Government orders about entitlement of travel allowance are yet to be issued, hence pay in the pre – revised scales has been shown for entitlement. Revised pay limits or slabs will be adopted as and when the government issues orders in this respect. The mode of travel in respect of a private person as mentioned above will be admissible only when Executive Director’s approval for the journey and the category of the organisation he / she represents has been obtained and not in the case of any journeys such person is required to make in connection with the implementation of project sanctioned to the agency represented by him / her, where rates sanctioned in the project budget will apply. Executive Director, may, however, allow any person required to travel on the Society’s business to perform a journey by alternative modes of travel in cases of urgency.
- 37

7.

8.

9.

Journeys will be performed as far as possible by public transport, i.e., any means of communication regularly plying between two points for carriage of passengers. Accommodation Accommodation will be arranged by the Society in guesthouses or in hotels. Charges for accommodation will be reimbursed in full against production of bills, subject to the following limits to be reviewed from time to time.
Grade I to II / Government servants receiving pay under Rs. 1400/- p.m. (pre – revised) and persons engaged on daily wages. Grade III & IV / Government servants in receipt of pay from Rs. 1400/- to Rs. 2699/- p.m. (pre – revised) /private persons representing block level organisations. Grades V to VII / Government Servants in receipt of pay Rs. 2700/- & upto Rs. 4999/- p.m. (pre- revised) / private persons representing district level organisations. Grades VIII Rs. 150/- per day (single Occupancy non-A/C room/ dormitory)

10. (a) (b)

Rs. 300/- per day (single occupancy, A/C room)

Rs. 800/- per day (single occupancy, A/C room.)

Rs. 1500/- per day (single occupancy, A/C room). Rs. 2500/- per day (single occupancy, A/C room).

Grade IX to X / IAS Officers/ Members of the Governing Body.

(c)

(d)

(e)

Government orders about entitlement of travel allowance are yet to be issued, hence, pay in the pre- revised scales has been shown for entitlement. Revised pay limits or slabs will be adopted as and when the government issues orders in this respect. The rates mentioned above represent the maximum limit for tariff exclusive of luxury tax and do not include meals and any out of pocket expenses, such as laundry, medical attendance or telephone calls. HAP Department will make arrangements to book rooms in advance in appropriate hotels and guest houses on the request of the person travelling. Local conveyance All categories will be reimbursed incurred expenses in accordance with their entitlement for mode of travel in respect of road journey. The claims will be made on point to point basis giving details of points of start and places visited, fares paid and the means of travel. No payment will be made on this
- 38

11. (a) (b)

account if the journey is made by office vehicle or taxi hired by office for the journey. 12. Meals (a) Entitlement for meals allowance will be regulated as follows : Grades I to II / Government servants receiving pay under Rs. 1400/- p.m. (pre – revised) and persons engaged on daily wages. Grades III to IV / Government servants receiving pay from Rs. 1400-/ to Rs. 2699/p.m. (pre- revised) and private persons representing block level organisations. Grades V to VII / Government servants receiving pay from Rs. 2700-/ to Rs. 4999/p.m. (pre- revised) and private persons representing district level organisations. Grades VIII to X / IAS Officers / Members of the Governing Body / Government Servants receiving pay over Rs. 5000/- p.m. (prerevised) and private persons representing national and state level organisations. (c) Rs. 100/- per day

Rs. 150/- per day

Rs. 400/- per day

Rs. 500/- per day

Government orders about entitlement of travel allowance are yet to be issued, hence pay in the pre – revised scales has been shown for entitlement. Revised pay limits or slabs will be adopted as and when the government issues orders in this respect. Meals allowance will be payable for each day on which the absence from headquarters is 8 hours or more. Where it is less than 8 hours but exceeds 4 hours (4 hours or more), half of the daily rate, and, if it is less than 4 hours, no meals allowance will be paid. The absence from headquarters will normally begin from the scheduled time of departure of train / plane / bus, and end with the scheduled time of arrival of train / plane / bus. In case of late running of trains / planes, the journey will end at the actual time of arrival at headquarters. In case of hired taxi / office vehicle, it will be stated time of departure and arrival. Day for the purpose of travelling allowance will begin at midnight and end at the following midnight. Meals allowance will not be admissible for the time spent in journey, if it has been claimed for halt on the same day or part thereof at the destination If arrangement for meals is made by SIFPSA and the employee does not have to incur any expense on meals, then meals allowance will be payable at half the daily rate.

(i)

(ii)

(iii)

(iv)

(v)

4.11.2 Allowance to be paid during the training course :
- 39

Where a Society employee, government officer or private person is deputed to attend a residential training programme, where the course fee includes boarding and lodging charges, the person on training will be entitled to only local conveyance and meals allowance at one fourth of the daily rate.

4.11.3 Advance for Traveling The Management will grant advance to employees required to travel on society’s business, a reasonable sum for meeting the expenses. The request for travel advance should be sent at least 2 days in advance to the Accounts cell. The approval for the advance has to be obtained from the competent authority. All tour advances should be settled within 7 days of returning to the Headquarters. The travel expenses forms is provided in. In case the tour is canceled, the employee should return the advance to the Accounts cell on the next working day of the society. 4.11.4 Allowances on Transfer On transfer, every employee will be entitled to Disturbance Allowance, Packaging Allowance, Reimbursement of transportation expenses, and Cartage at the following rates: Disturbance Allowance : Grade I to Grade IV Grade V to Grade VIII Grade IX to X Packaging Allowance Packaging Allowance will be given to all employees at the rate of 25% of the Disturbance Allowance. Reimbursement of Transportation Expenses Transportation Cost will be reimbursed subject to a maximum of transportation charges by goods train at owners’ risk rate. The weight permissible at different grades will be as follows : Grade I to Grade IV Grade V to Grade X Cartage Cartage will be given at the rate of 25% of the transportation expenses incurred by the employee. Mode of Travel : : upto 3000 kg. upto 6000 kg. : : : Rs.1000 Rs.1500 Rs.2000

- 40

Employees and their dependents who normally reside with the employee will be reimbursed their traveling expenses from their place of stay to the place of transfer and will be entitled to the following modes of travel : Grade VIII to Grade X Grade V to Grade VII : Grade I – Grade IV 4.12 Leave Encashment : Air Fare/ I AC/ II AC II AC/ I class : II class

Employees will be eligible for encashment of Earned Leave, once every calendar year. This encashment would be limited to 30 days only. The minimum accumulated leave in the account of the employees for encashing Earned leave should be as follows : Grade 1 to Grade IV Grade V to Grade X : : 30 days 60 days

The total leave to be debited from the leave record of the employee will be the duration of leaves availed of plus the quantum of leave encashed. The payment towards encashment of leave will be based on the salary of the employee (excluding all allowances/ benefits). This rule will also apply for final settlement of an employee’s account at the time of resignation/ release from the service i.e., for adjustment of shortage in the notice period and for encashment of the balance of leave outstanding after such adjustment. Money claimed on account of encashment will be treated as special allowance which will not qualify for any other benefits. Amounts received by an employee on account of Encashment are subject to income tax laws from time to time. 4.13 Superannuation

The Superannuation age for all employees will be 58 years. For computation of the Superannuation, the age will be calculated based on the date of birth as recorded at the time of joining of the employee. Retirement will be on the last working day of the month of completion of the Superannuation age. 4.14 Gratuity

Gratuity shall be payable to an employee as per the provision of ‘Payment of Gratuity Act, 1972’ as amended from time to time.’ (Approved by IX Governing Body meeting held on 18.03.1999)

- 41

State Innovations in Family Planning Services Project Agency Lucknow
Application for sanction of Leave Travel Concession

1. 2. 3. 4.

Name of employee Designation Grade Earned Leave Required

: : : :

From : To Number of days : Suffix : Prefix :

days

5. 6. 7.

Destination for LTC : Nearest Railhead /Air port : List of family members (likely to accompany during LTC journey) : Sl. No. 1. 2. 3. 4. 5. Name Age Relationship

8. 9.

Whether advance required Total expected expenditure on travel

10.

Total advance required

: : (a) Mode of travel : (b) Class of travel : (c) Distance from Lucknow : (d) One way fare per ticket : Rs. (e) Number of tickets : (f) Total one way fare : Rs. (g) Total fare (both ways) : Rs. :

I hereby declare that the persons mentioned at serial number 7 above are my family members. I also declare that claim pertaining to this journey shall be claimed only by me and not by my spouse or anyone else.

Date : employee
- 42

Signature of

For office use

A.

Remarks of HAP Division : 1. Earned leave at the credit (before present application) 2. Whether LTC due 3. Leave recommended 4. LTC recommended 5. Earned leave at the credit (after present application) : : : : : ..............days Yes/No Yes/No Yes/No ...............days

OHR (HAP)

General Manager

B.

Remarks of FAD Division : 1. Request for advance checked. 2. Advance may be sanction for Rs.....................

Officer (F)/Manager (F) (FAD)

General Manager

Earned leave for ............days from .................to ....................with permission to avail LTC for journey upto ......................................and back alongwith family members as declared above sanctioned. LTC advance amounting to Rs..................is also hereby sanctioned.

Sanctioning Authority
- 43

1. 2. 3. Date

STATE INNOVATIONS IN FAMILY PLANNING SERVICES PROJECT AGENCY LUCKNOW Leave Travel Concession Claim Bill Name of Employee : 4. Destination of LTC Designation : 5. Number of persons Grade : 6. Details of Journey Time Starting Station Date Time Destination Distance (in kms) Mode of Class of No. of Fare Travel Travel Tickets Paid

: : : Ticket / Rema PNR rks No.

Total claim Less : Advance taken Net claim / Refund
Note : Kindly attach photo copy of railway tickets/ docket of air tickets/ taxi receipts.

7.

Details of family members who accompanied during LTC : Sl. No. Name Age Relationship a. b. c. d. I hereby declare that the information provided above is true to the best of my knowledge. I also certify that the above expenditure has been actually paid by me and claim for this journey has not been made/ will not be made by any of my family members from any other source.

8.

Date :
- 44

Signature of employee

TOUR APPROVAL FORM Date : ________________ Name of Staff/Officer : ________________________________ Designation : ______________________________________ Proposed Tour Programme S.No. Departure Date Station From Arrival At Date Night Stay Mode of Journey (In No.) (Taxi/Train/Air) Purpose of Visit Grade : __________ Time : _________AM/PM

1

2

3

Tour Advance Required : Rs.__________________________________ Remarks (if any) : ____________________________________________________________

___________________________________ ____________________________________________________________

___________________________________

(Signature of Staff/Officer) GM/AED
CC : PS to ED for information of ED. - 45

CHAPTER 5 PERFORMANCE AND POTENTIAL APPRAISAL 5.1 Definition

Performance Appraisal is the measurement of actual achievement by a person against the expectations of the job given to him/her after due considerations for his/her strengths and weaknesses. Potential Appraisal is the estimate of a person’s ability to perform in the future after due consideration for his/her existing strengths and weaknesses and also for his/her ability to learn and grow. Performance appraisal is done for every employee of the society. 5.2 Objectives

Originally a device to provide guidance to management in selecting managers for promotion or salary increases, appraisals are now used for overall development and growth of the employee. Performance and Potential appraisal provides an opportunity for fair dialogue between the subordinate and his/her immediate superior. The discussion is on the achievements of the employee till date, charting a work plan and expectation from the concerned employee, discussing training needs and determining further avenues for the advancement of the employee in the society. Performance and Potential Appraisal can also be used as a spring board for coaching employees and for helping them set goals for their own development. An effective Performance and Potential appraisal program provides management with a rational basis for determining who should be promoted or receive salary increases. It permits each employee to be considered on the same basis as everyone else. Thus, hopefully fewer charges of favoritism are made and better employees are selected for promotion. Long range personnel planning is also facilitated, since management can determine who should be promoted now, who should be ready after further experience and training and who, although satisfactory on the present job, is not a likely prospect for a more difficult one. Further, management can tailor transfers to meet individual needs, and it can identify employee who need special training. Finally, Performance and Potential appraisal is often needed to provide criteria for validating selection procedures or to defend against charges of discrimination. a. To measure achievement over the past year based on a previously developed work plan. To improve employees understanding of his/ her own job and the society’s expectation from him/her. To provide an opportunity for the employee to express his/ her views or to seek clarifications on the work. To develop a basis for reward/punishments To find out the strengths and weaknesses of individuals To assess the potential of the employee with emphasis on development and growth
- 46

b. c.

d. e. f.

g. h.

To identify training needs of employees To generate data for career planning

Performance and potential appraisal would be an important part of the functioning of the society. A strong performance and potential appraisal system will give an indication of the training needs of the employees. Performance Appraisal will help to indicate which employees should be put on to specific tasks of the IFPS project. Potential Appraisal would indicate whether employees can be trained so that they can move to other task areas requiring higher order skills or fresh employees with specific skills need to be recruited. 5.3 Procedure

The performance and Potential Appraisal procedure will be interlinked with the Manpower Planning process discussed in chapter 1. Ideally Performance and Potential Appraisal should begin two months before the Manpower Planning exercise is undertaken so that the information generated from the Performance and Potential Appraisal in terms of skills, training needs etc. can be an input for the Manpower Planning Process. The HR department will be responsible for initiating this process. Performance and potential Appraisal will be conducted in the following steps : 5.3.1 Individual Performance and Potential Appraisal

Performance and Potential Appraisal for the employees of the society will be done once a year. The individual appraisal will be done in Appraisal forms. The HR head will send as many forms as there are employees in each department, to the department heads. The department heads will distribute these to all the employees who would fill up the relevant columns along with their immediate supervisors within a weeks time. Then the departmental heads will give their ratings and discuss the same with the respective employees and their immediate supervisors. The Appraisal forms, duly completed, will then be sent to the HR department for compilation. Individual performance Appraisal will be done at two levels: a. Initiating Authority This would lie with the immediate superior of the appraisee. b. Accepting Authority This would lie with the HODs/AED/ED/Chairman as the case may be. The Initiating authority and Accepting authority at different levels in SIFPSA will be as follows: a. Performance Appraisal for the ED The initiating and accepting authority would lie with the Chairman of the State Governing Body.
- 47

b.

Performance Appraisal for the AED The initiating authority would be the ED and the accepting authority would be the Chairman of the State Governing Body.

c.

Performance Appraisal for Grade VIII employees. AED shall be Initiating / Reviewing Authority and Executive Director shall be the Accepting Authority.

d.

Performance Appraisal for Grade V to VII employees Initiating Authority shall be the GM of the division concerned. Reviewing Authority shall be the Additional Executive Director and Accepting Authority shall be the Executive Director.

e.

Performance Appraisal for Grade III & IV employees GM of the concerned Division shall be the Initiating & Reviewing Authority and AED shall be the Accepting Authority.

f.

Performance Appraisal for Grade I & II excepting personal staff Manager (Administration) shall be the Initiating Authority; GM (HAP) shall be the Reviewing Authority and AED shall be the Accepting Authority.

g.

Performance Appraisal for Personal Staff The Officer with whom she/he is attached shall be the Initiating/Reviewing/ Accepting Authority.

Performance Appraisal Form The individual performance appraisal form will cover the following broad areas: a. Tasks assigned to the appraisee during the time of appointment or last performance appraisal. Tasks assigned to the appraisee in the intervening period. Tasks accomplished by the appraisee. Knowledge and skills inventory of the appraisee at the last appraisal. Knowledge and Skills acquired by the appraisee in the intervening period between the last performance appraisal and the current performance appraisal. Targets set for the appraisee jointly by the appraisee and the appraiser till the next appraisal. Tasks assigned to the appraisee till the next appraisal.
- 48

b. c. d. e.

f.

g.

h.

Knowledge and Skills required by the appraisee to accomplish the above assigned tasks. Training needs of the appraisee for the achievement of assigned tasks and targets. Training needs of the appraisee for holding a higher position. Ratings of the appraisee by the appraiser. Recommendations for promotion/ increment. Comments and Ratings of the Approving authority.

i. j. k. l. m.

The HR department will fill up item number 4 before the form is sent to the department heads. The appraisee shall fill up items number 1, 2, 3. The appraiser will then fill up item numbers 5, 6, 7, 8, 9, 10, and 11 after discussions with the appraisee. After this the appraiser will give his/ her recommendations on point no. 12. The form will then be sent to the Accepting authority who will then give his/ her comments and ratings. The formats for performance appraisal for employees upto Grade IV and for employees above Grade IV are placed at the end of this chapter. While the individual performance and potential appraisal is being carried out, a similar exercise will be conducted at the department and organizational levels. 5.3.2 Society Performance Appraisal

The ED, AED, and Heads of the departments will meet to discuss the performance of the society as a whole. They will assess the achievements of the society since the last appraisal, causes for delay/ non-achievements, corrective measures, and the tasks for the society till the next appraisal. 5.3.3 Department Performance Appraisal

Each department head will then convene a meeting to do a department level performance appraisal. They will discuss the tasks assigned to the department and its achievements since the last appraisal. They will review causes for delay or non-achievement of tasks and targets, if any, and will institute suitable corrective measures. The department will compile a skills inventory of its employees. The information generated from the Individual Performance Appraisal will be an input for this. They will assess the impact of past training programs and indicate further training needs of the employees in the department. The Department head will also be able to gauge whether the department needs to recruit more manpower with specific skills. After the above department level performance appraisal, the Competent authority will send individual performance and potential appraisal forms and the department’s Manpower requirements to the HOD (HR). The HOD - HR will have the data compiled on the present manpower of the society as well as the skills inventory of the manpower. Once the department wise compilation of the above data has been done, the HOD - HR will convene a meeting of the appraisal committee on a date and time convenient to the members. 5.3.4 Appraisal Committee Meeting
- 49

The Appraisal committee will consist of the ED, AED, HR head, and all other department heads. The committee will discuss the department performance appraisal of all the departments and do a Manpower Planning exercise as discussed in chapter 1. The Manpower Planning process will be interlinked with performance and potential appraisal, training and development (as discussed in chapter 6), and career planning and growth (as discussed in chapter 7). Thus the performance and potential system will: a. b. c. d. Assess the training and development needs of the society and its employees. Help in career planning and growth of the individual employees. Aid in the Manpower Planning process and initiate the recruitment process. Aid in decision regarding promotions, incentives, and rewards.

- 50

STATE INNOVATIONS IN FAMILY PLANNING SERVICES PROJECT AGENCY ANNUAL CONFIDENTIAL REPORT FORM FOR GRADE III & IV EMPLOYEES Report for the period : Name of the employee : Designation : Division : ____________________________________________________________

_________ Assessment by the Reporting Authority Grading of the employees’ work to be done in accordance with the following scale : A. Outstanding, B. Very Good, C. Good, D. Fair, E. Poor. A 1 2 3 4 5 6 7 Proficiency in work Disposal of work Dependability Intelligence and Initiative Discipline Relations with colleagues General Assessment B C D E Date of appointment : to

_____________________________________ _____________________________________ The integrity of ____________________is certified/not certified.

8

Integrity

Category :

Signature of the Reporting Authority Name in BLOCK letters Designation Date :

- 51

SELF ASSESSMENT REPORT (GRADE V TO VIII EMPLOYEES) Period to

Name :______________________________Designation :______________________ Job Description : _______________________________________________________ ________________________________________________________ Achievements : _________________________________________________________ _________________________________________________________ Shortfalls : ___________________________________________________________ ____________________________________________________________

Constraints/Causes : ____________________________________________________ _____________________________________________________ Initiatives : ___________________________________________________________ ___________________________________________________________ Support : ____________________________________________________________

_ ____________________________________________________________

__ Supervisors : ___________________________________________________________ ___________________________________________________________ Peers : ____________________________________________________________

____ ____________________________________________________________

____ Subordinates : _________________________________________________________ __________________________________________________________ Areas where training is : _________________________________________________ required __________________________________________________ Any other remarks : _____________________________________________________ ______________________________________________________

Signature of employee Designation : Date : _________________

CHAPTER 6
- 52

TRAINING AND DEVELOPMENT

6.1

Definition

Training is the process of imparting necessary knowledge, skills and attitudes to the employees to enrich their existing knowledge, skills and attitudes and develop new ones. 6.2 Objectives

The efficiency of any organization depends directly on how well its members are trained. Newly hired employees usually need some training before they take up their work, older employees require training to keep alert to demands of their present jobs and to prepare for transfers and promotions. Training also motivates employees to try and work harder. They are able to see a closer relationship between their effort and performance. Further, the very fact that the management is confident enough of their abilities to invest in training provides an assurance that they are valued employees. Effective managers recognize training as an ongoing, continuous process, not as a one shot activity. New problems, new procedures and equipment, new knowledge, and new jobs are constantly creating the need for employee instruction. Thus the objective of training can be summarized as follows : a. to avoid obsolescence and facilitate continuous upgradation of knowledge, skills, and attitudes thereby improving organizational performance. to improve the potential of an individual so as to enable him/ her to occupy a superior position, thereby providing career progression and improving employee morale. Procedure

b.

6.3

During the Performance and Potential Appraisal, the training needs of individuals and departments will be identified. This will be based on the skills required for the society’s tasks. The HR head will prepare a list of training needs and categorize them into Technical, Managerial, and Behavioral. He/ She will also circulate the days and dates of the various training programs to be organized in the next one year. The training programs should ideally begin after the recruitment process is over so that new employees can also be trained along with the regular employees of the society. A month before the training program, the HR head will send nomination forms to the department heads. This will be based on the entries in the Appraisal forms of the employees. The department heads will nominate an employee only if he/ she feels that employee can be released for the duration of the training program. Moreover the department head will take adequate care that the normal work of the department does not suffer when an employee is attending the training program. The department head at his/her discretion can also initiate the training for an employee. However, all training decisions are to be approved by the HOD-HR. The performance appraisal form of employees will also be a feedback on their training and skills acquired.
- 53

Training needs once identified should be addressed within a reasonable period of time. GM (HAP) should draw a calendar of schedule training programmes and the divisional heads of all divisions should nominate an employee for the programme based on the work requirements in his department. Care should be taken to ensure that across divisional representation exists. Training programmes could include a mix of in house training and specialists from outside. Training calendar should be drawn keeping in mind the project planning and care should be taken that the scheduled training programmes do not clash with important project deadlines. Refresher training on computer handling skills should be conducted every six months. However, care should be taken to ensure that the training programmes do not clash with work schedule. 6.4 Kinds of Training The various trainings that will be imparted are as follows: 6.4.1 Training conducted by a society employee :

This will be essentially conducted by an experienced employee of the society. It will be conducted when some skills are to be transferred to another person within the society or to train new employees. 6.4.2 Training conducted by outside agencies :

This will be conducted when new skills are to be imparted to the employees of the society. The HR department will identify agencies and experts who can impart relevant training. It will maintain their list with addresses and competencies. The HR department will also arrange to have the training conducted in the society or outside it. 6.4.3 Overseas Training :

Some employees may be sent abroad for acquiring specific skills. This will be arranged by the HR department after due sanction from the ED and the governing body. Employees sent abroad for training will have to sign a service bond for the society. The duration of the bond will be decided on a case to case basis and will depend upon the duration and cost of training. The decision of ED on the matter would be final. 6.5 Training Impact Assessment

Thus training and development programs will play an important part in the smooth and effective functioning of the society. The impact of such programs on the functioning of the society must also be assessed periodically. The responsibility of such assessment is of HODHR. The period of assessment could be from one month to a year after the program has been conducted. Based on these assessments the society may decide to discontinue the particular program. It can also decide to change the trainer in order to improve the impact of such training.

- 54

CHAPTER 7 CAREER PLANNING AND GROWTH

7.1

Definition

Career Planning is concerned with providing experiences that will enable employees to develop their full potential. 7.2 Objective

The objective of a career planning program is to make each of the years of an employee count and to provide each employee with a rich learning experience so that he/ she has a productive and satisfying career. Career planning has other objectives as well. It should permit each employee’s performance to be carefully observed so that in this highly competitive race only the very best get to the top. But it must also provide continuing opportunities for personal growth for the vast majority who are destined to go no further then the lower and middle management. Increasingly too, it should permit individuals to participate in decisions affecting their own careers with the goal of improving the match between individual desires and organizational opportunities. 7.3 Procedure

The society personnel should have excellent capabilities to handle several tasks and meet several objectives concurrently. The society will need to have dynamic personnel who are able to meet the demands put on them. Therefore, the society should design avenues for career planning and growth of the employees and its compensation package should be such as to attract and keep the best managerial talent. Career planning and growth of the society will, take place through the following steps: a. b. c. Career Planning Career Growth Promotions

These are detailed below : 7.3.1 Career Planning

Career Planning of individual employees will be a continuing interactive process between the employee and his/ her immediate superior/ department head. Performance and Potential Appraisal will be an indication of the employee’s accomplishments and his/ her potential Training and its applications will show how quickly he/ she is able to adapt to new roles and responsibilities. The employee will have to take initiative in his/ her own career planning by setting targets for himself/ herself and suitably getting nominated for training in areas which he/ she needs to develop.

- 55

Based on the above, management will have to encourage career planning and growth of the society’s employees. 7.3.2 Career Growth

Career Growth will depend upon the performance of the employee and the avenue open for him/ her in his/ her own or other departments due to exit of superiors. If the employee needs special skills to occupy those positions, appropriate training will have to be arranged for him/ her. The Appraisal committee will decide on the promotion of the employee and indicate future avenues of growth. Promotion can also take place through transfer of employees from one department to the other or from one location of operation to another. The management can consult the employee on whether such a promotion is acceptable to him/ her or not. 7.3.3 Promotions

The HOD - HR will prepare the following letters at the end of the Appraisal Committee deliberations : a. b. c. Promotion letters Increment letters Transfer letters

The above letters will be approved by the ED and sent to the employee.

- 56

CHAPTER 8 EMPLOYEE RELATIONS

8.1

Definition

Employee Relations means “the relation between an employee and an employer in the course of running of an industry and may project itself to spheres which may transgress to the areas of quality control, marketing, price fixation, and disposition of profits among others. Employee Relations (ER) is thus a very vast area and covers a wide variety of activities. Hence, in this manual, it is being split into the following heads : a. b. Grievance Handling. Disciplinary Procedures.

8.2

Grievance Handling

Grievance may have some basis in fact, may be a distortion of facts or be a figment of someone’s imagination. In any event they must be dealt with in a systematic manner. Prompt handling of employees grievance is essential for maintaining a contented employee group and avoid ER problems. While no simplified formula exists, for the reduction of the number of grievances, the following suggestions are offered for the management’s consideration and guidance: a. b. c. Be alert to the usual causes of grievances; Let the employees know how they are getting along; Correct minor irritations promptly within the scope of established policies and procedures; Encourage constructive suggestions; Assign work impartially; Give reasons for orders (unless they are obvious); Be consistent, unless there is obvious reason for change. Explain the changes, in policy or procedure, if any. Avoid favoritism; If corrective action has to be taken, do not make a public display of the disciplinary talk or action;

d. e. f. g. h. i.

In order to resolve grievances, the `Grievances Procedure’ is established. The objective of the Grievance Procedure is to settle grievances as far as possible at the first supervisory level, or
- 57

if proceeded further, as quickly and in as fair a manner as possible. The following procedure will be followed by the society for Grievance Handling: a. Any employee who has a grievance arising out of his/ her employment will first bring it up verbally with the immediate supervisor who will act on it immediately. If it cannot be settled within a week’s time the employee will put it in writing in Grievance Procedure Form and forward the same through his/ her immediate supervisor to the Departmental Head concerned. If for any reason, the Departmental Head is not able to resolve it, he/ she will give a reply within 10 days in writing indicating the reasons. At the next level, the employee will send the grievance in writing to the HOD - HR who will try to resolve it at his/ her level or any other level. If it is related to policy decision the Head of HR will take the approval of ED for final decision. The reply will be sent to the employee after the final decision in writing. Disciplinary Procedure Introduction General Discipline

b.

c.

d.

e.

8.3 a. i.

All employees are expected to conduct themselves in a manner conducive to efficient and smooth working of the society. An employee who does not conduct himself/ herself in a proper manner must be corrected through appropriate disciplinary action. An illustrative list of `misconducts’ warranting disciplinary action is given in a section below. Generally speaking, the purpose of disciplinary action is to correct rather than to punish the employee. There comes a time when disciplinary action is required or Management loses control. If the offense is of a grave nature or if efforts at correction do not meet with success, severe disciplinary action such as discharge or dismissal may have to be resorted to. ii. Secrecy No employee will take any paper, books, drawings, photographs, equipment or any other property of the Society out of the precincts of the society office in which he/ she is engaged provided he/ she is specially authorized in writing by the Management to take such things out of the office premises. No employee will be permitted to keep copies of classified official documents with him/ her. No employee will write to any person including another employee and/or communicate to newspapers, journals, books, pamphlets or leaflets, or disclose or cause to be disclosed, or discuss at any place or at any time during the service of the Society, any information or documents, official or otherwise relating to the Society, except with the approval of the Management. No employee will use the Society’s name or properties for his/ her personal benefit.
- 58

-

-

-

-

Except in the official discharge of his/ her duty, no employee will disclose during service or after leaving service of the Society, any secret or information. Conduct An employee during the whole tenure of service will devote time and attention to the work of the Society. He/ She will, in all respects act according to the orders and directions issued by the immediate supervisor and the regulations framed by the Management. He/ She will also serve the Society at place or places and in such capacity the Society may decide from time to time. He/ She will follow all policies as set forth in the Human Resources policies manual. An employee before the close of the day, if he/ she is dealing in cash, will deposit with the Cashier or any other person authorized to receive cash, all the cash received or collected by him/ her during the course of a day. An employee disregarding this rule is liable for disciplinary action in addition to such other legal action as the Management may deem fit to take against him/ her. An employee will not directly or indirectly engage in any other whole time or part time profession or business or enter into the service of any other employer and will not have any personal financial dealing with any person or firm having business relations with the Society, for purchase or sale of any material, equipment or supply of labour or for any other purpose. An employee should at all times conduct himself/ herself soberly and temperately while on duty and will use his/ her best endeavor to promote the interest of the Society. An employee proceeding on annual leave will hand over charge of all records, papers to the immediate head before he/ she proceeds on leave. Misconducts:

iii. -

-

-

-

-

iv.

Without prejudice to the general meaning of the term `misconduct’, the following acts and omissions will be treated as specific misconduct on the part of an employee: List of Misconducts 1) Insubordination or refusal to obey on the part of an employee, whether alone or in concert with another or others, of any lawful and reasonable orders of his/ her superior. Striking work, whether individually or with others, in contravention of law, rule or enactment made from time to time and for the time being in force; or inciting another employee(s) while within the precincts of the society or outside to strike work. Theft, fraud or dishonesty in connection with the Society’s business, property and/or money. Taking or giving bribe, or any illegal gratification whatsoever.

2)

3)

4)

- 59

5)

Assaulting or intimidating, abusing or insulting any employee or officer of the Society within the office premises or any act subversive of discipline. Habitual negligence or neglect of duty, maligning, slowing down of work or sleeping on duty. Drunkenness, gambling, fighting, riotous, dis-orderly and indecent behaviour or any act subversive of discipline in the office premises. Smoking within the office premises in places where it is prohibited. Refusal to work on a job on which he/ she is assigned. Sabotage or willful damage to or loss of Society’s goods/ property. Non-observance of safety measures or rules on the subject put up on the Notice Board, or interference with safety devices or fire fighting equipment installed in office premises. Writing of anonymous, pseudo anonymous letters criticizing the Management or any Officer or collecting signatures or collective representation during working hours. Spreading false rumors or giving false information or making defamatory statement which tend to bring the Management or its Officers in disrepute. Conviction in any Court of Law for any criminal offenses involving normal turpitude. Habitual late attendance, willful or habitual absence from duty without leave or without sufficient cause. Leaving work without permission except in emergency. Unauthorized communication of official documents or information relating to the Society’s operation. Disregard of any operational or maintenance instructions or carelessness in operation and maintenance with regard to office equipment and other society property. Entering or leaving or attempting to enter or leave the office premises except through usual authorized entrances or exits. Collection or canvassing for collection of any money within the office premises without a written permission of the Management or distributing or exhibiting in or about the office premises any newspaper, pamphlets, hand bills, posters or the like, without the written permission of the Management. Giving false information regarding one’s name, father’s name, age, qualifications, previous services, address, etc., at the time of employment. Holding meetings within the boundaries of the establishment or any of the premises owned by the Society without the prior written sanction of the Management.
- 60

6)

7)

8) 9) 10) 11)

12)

13)

14) 15)

16) 17)

18)

19)

20)

21)

22)

23) 24)

Unauthorized use of the Society’s quarters or land. Surrounding or forcibly detaining any employee of the Society in the Society’s office premises. Refusal to accept or reply to a charge sheet in the prescribed time. Theft of another employee’s property inside the premises of the Society office. Disregard for sanitation in Society’s Estate or Establishment and committing nuisance by throwing rubbish, etc. Carrying on money-lending or any other private business. Obstruction in the work of other employees. Abettment or attempt to commit any of the above acts of misconduct. Adjudged insolvency nor warranting the continuance of Management’s trust and confidence which the duties of the employee call for. Breach of any law applicable to the employees.

25) 26) 27)

28) 29) 30) 31)

32)

Habitual occurrence of any act or omission means that the act or omission has been repeated thrice. b. In case of disciplinary action, the society will follow the following procedure which is based on legislation. Preliminary Enquiry

i

Before framing the charges, disciplinary authorities should preferably make a preliminary investigation or a fact-finding enquiry, with a view to satisfying themselves whether any disciplinary action against the employee should be launched or not. Such investigations are also called preliminary enquiries, which are made with a view to ascertaining whether there is any prima facie evidence justifying the disciplinary proceedings. It is not obligatory for the management to call for an explanation of the offending employee by way of preliminary enquiry before serving the charge sheet, unless there are compelling reasons to do so. ii. Charge-Sheet

The domestic enquiry commences with the serving of the charge sheet. In other words, before proceedings or holding a domestic enquiry against an offending employee, he/ she must be informed clearly of the charges leveled against him/ her. The charge- sheet should not only set out all the charges against the employee specifically but also should state all relevant particulars without which he/ she cannot defend himself/ herself. The charges, which a person is called upon to show-cause must therefore be: Clear Precise and Unambiguous
- 61

If the charges are not precise, the person charged would not be able to understand them and defend himself/ herself effectively, and the resultant enquiry would not be a fair and just one. The charge sheet must be in writing, and should not be vague. The charge sheet merely tells the employee what he/ she is supposed or alleged to have done. Serving of Charge-Sheet Generally charge sheet may be served to the employee by post. There may also be a provision for serving of the charge-sheet by affixing the same on the Society’s Notice Board. While serving the charge-sheet to the employee, its contents should be explained in the language which could be understood by him/ her. If the employee is unable to follow English, a record to that effect may be made on the copy of the charge-sheet itself by the issuing authority. Explanation to the Charge-Sheet After issuing the charge-sheet to the employee concerned, he/ she should be given a reasonable time viz. four to seven days to submit his/ her written explanation. When the employee asks for an extension of time to submit explanation on reasonable grounds, it should preferably be granted, so that any future controversy on this issue is avoided. If the employee fails to submit his/ her explanation, the Management may proceed to hold the Enquiry.

-

-

Refusal to Accept Charge-Sheet In case, an employee refuses to accept the charge-sheet, it is necessary that his/ her refusal be recorded in writing by the issuing authority on the copy of the charge-sheet itself, in the presence of at least two witnesses whose signatures should affirm such refusal. In such a case, the contents of the charge-sheet, including the date for submitting the explanation as well as the date and time of the enquiry, etc., should be read out and explained to the employee charge-sheeted and the same should be confirmed by the two witnesses. It may, however be impressed upon the employee charge-sheeted that by not accepting the charge-sheet, not only would he/ she in any way get absolved of the charges, but such refusal of a charge-sheet would itself constitute another misconduct, which in turn could worsen his/ her case further. In case of refusal of a charge-sheet by an employee, it is necessary that the same may be sent to him/ her at his/ her local as well as permanent address by Registered Post with Acknowledgement Due, with a copy Under Certificate of Posting. If necessary, a copy of the charge-sheet may be delivered at his/ her house through a messenger by obtaining signature of the concerned employee or any other person at the house on the employee’s behalf and in the event of his/ her refusal to accept the charge-sheet, it should again be affirmed in the presence of two witnesses and all procedures as mentioned earlier should be followed in the case. If the Registered Letter or any other letter sent to the employee concerned in connection with the enquiry, etc. is returned undelivered, care should be taken to preserve it intact, i.e. it should not be opened. The remark of the postal authorities regarding its non-delivery etc. on the envelope should be preserved as such.
- 62

In case the Registered Letter to the individual employee comes back undelivered, the proper course would be to publish the same in the regional language in some local newspaper which has a wide circulation. If the required steps for serving the charge-sheets is not followed and the notice of the day for holding the enquiry against the employee is not served, the order of dismissal would be contrary even to the elementary principles of natural justice. Suspension of the Employee Pending Enquiry If the charges against the employee are so serious that if proved the employee would be liable to dismissal or termination of service, the employee may be placed under suspension pending enquiry. Allowances to the Employee during Suspension During the period of suspension pending enquiry, the employee should be paid a allowance (as per the rules). However, it may be mentioned that in case the charge is not proved against the employee in the enquiry, and if he/ she is not found guilty and is exonerated of the charges leveled against him/ her, the employee will be entitled to full salary, i.e. as if he/ she was on duty during the period of suspension. An employee who is placed under suspension will, during the period of such suspension, be paid a subsistence allowance at the following rates : Where the enquiry contemplated or pending is departmental, the subsistence allowance will, for the first ninety days from the date of suspension, be equal to onehalf of the basic salary and other compensatory allowances to which the employee would have been entitled if he/ she were on leave with salary. If the departmental enquiry gets prolonged and the employee continues to be under suspension for a period exceeding ninety days, the subsistence allowance will, for such a period, be equal to three fourths of such basic salary and other compensatory allowance provided. Where such an enquiry is prolonged beyond a period of ninety days for reasons directly attributable to the employee, the subsistence allowance will, for the period exceeding ninety days be reduced to one-fourth of such basic salary and other compensatory allowances. Where the enquiry is by an outside agency or as the case may be where criminal proceedings against the employee are under investigation or trial, the subsistence allowance will, for the first one hundred and eighty days from the date of suspension be equal to one half of his/ her basic salary and compensatory allowances to which the employee would have been entitled if he/ she were on leave. If such enquiry or criminal proceedings get prolonged and the employee continues to be under suspension for a period exceeding one hundred and eighty days, the subsistence allowance will, for such period be equal to three-fourths of such salary. Provided that where such enquiry or criminal proceeding gets prolonged beyond a period of one hundred and eighty days for reasons directly attributable to the employee, the subsistence allowance will, for the period exceeding one hundred and eighty days, be reduced to one-fourth of such salary. If on the conclusion of the enquiry or, as the case may be, of the criminal proceedings, the employee has been found guilty of the charges framed against him/ her and it is
- 63

-

considered, after giving the employee concerned a reasonable opportunity of making representation on the penalty proposed that an order of dismissal or suspension or fine or stoppage of annual increment or reduction in rank would meet the ends of justice, the Society will pass an order accordingly. Provided that when an order of dismissal is passed under this clause, the employee will be deemed to have been absent from duty during the period of suspension and will not be entitled to any remuneration for such period and the subsistence allowance already paid to him/ her will not be recovered. Provided further that where the period between the date on which the employee was suspended from duty pending the Enquiry or investigation or trial and the date on which an order of suspension was passed under this clause exceeds four days, the employee will be deemed to have been suspended only for four days or for such shorter period as is specified in the said order of suspension and for the remaining period he/ she will be entitled to the same salary as he/ she would have received if he/ she had not been placed under suspension after deducting the subsistence allowance paid to him/ her for such period. If on the conclusion of the Enquiry or, as the case may be, of the criminal proceedings, the employee has been found to be not guilty of any of the charges framed against him/ her, he/ she will be deemed to have been on duty during the period of suspension and will be entitled to the same wages as he/ she would have received if he/ she had not been placed under suspension, after deducting the subsistence allowance paid to him/ her for such period. The payment of subsistence allowance will be subject to the employee concerned not taking up any employment during the period of suspension.

-

When the Employee Admits the Charge(s) It may sometimes happen that the employee admits the charge(s) leveled against him/ her and asks for leniency. Even if admission of the charge(s) by the employee is unqualified and unambiguous, it may not be advisable for the management straightway proceed towards the punishment to the employee without holding an enquiry, for the simple reason that the employee may disown his/ her earlier confession and allege that it was not a voluntary confession. In such a case, an enquiry should be fixed as any other Enquiry, the only difference being that it may not be necessary for the Enquiry Officer to record the evidence to bring the employee to the charge, but he/ she can give his/ her findings on the basis of the admission by the employee in his/ her presence, which he/ she must record and get it signed, instead of relying on the letter of such admission produced by the Management. Necessity of the Enquiry On considerations of the statement tendered by the charge-sheeted employee, if the same is found to be ambiguous and unsatisfactory, an Enquiry should be held as soon as practicable and its date, time, place as well as the name of the Enquiry Officer, etc. should be conveyed to the employee concerned. If possible, the employee’s convenience should be taken into consideration while deciding about the time and date of the Enquiry.
- 64

Adjournments Adjournments may be granted or refused at the discretion of the Enquiry Officer. Such discretion is to be judiciously exercised bearing in mind that a party is not denied reasonable opportunity to present his/ her case in the Enquiry. Based upon genuine reasons, therefore, if the charge-sheeted employee requests for an adjournment of the Enquiry to another date, it is advisable to grant it on one or two occasions to be fair to the employee. Such adjournments, however, could be refused if the Enquiry Officer is convinced that the reasons are superfluous and flimsy and the charge-sheeted employee is just trying to put off the Enquiry, in which case such reasons should be recorded by the Enquiry Officer. It may be noted that the charge-sheeted employee cannot ask for any number of adjournments and the request for adjournments must be substantiated by convincing reasons for the Enquiry Officer to grant adjournments. iii. Domestic Enquiry

Introduction Sometimes enquiries become vitiated due to failure in following the procedures or the principles of natural justice during the Enquiry. To ensure that an Enquiry stands the test of fairness and natural justice, it is not only necessary to observe such principles, but also to see that these are evident from the report of the Enquiry. It is necessary to hold a fair and regular Enquiry into the misconduct of the employee. Dismissal without holding a regular Enquiry would be illegal. The guiding principle, therefore, is that the Enquiry should be conducted with scrupulous regard for the rules of natural justice, bearing the following in mind: absence of bias providing an opportunity to the accused employee to represent his/ her case adequately. honesty in holding the Enquiry with a view to determining whether the charge against the particular employee is proved or not.

Care must be taken to see that these enquiries do not become empty formalities. Steps that are generally taken in holding the domestic Enquiry are given below: Appointment of Enquiry Officer The first step is to appoint an Enquiry Officer, who may be an officer of the society or an outsider, including a lawyer appointed by the management for this purpose. While appointing an Enquiry officer it must be ensured that the person is not disqualified from holding the Enquiry on grounds such as bias, personal interest, or being an eye-witness or victim of the incident, etc. An Enquiry held by a person so disqualified is not a fair Enquiry and the order passed by him/ her is bad in law. Appointment of presiding officer by the management in an Enquiry is not mandatory.

- 65

An Enquiry officer should be an open minded person. He/ She is in the position of a judge and as such, he/ she must not be personally interested in the case. Some Guidelines for the Enquiry Officer The witnesses and employees allowed to defend the charge- sheeted employee should as far as possible be familiar with the language spoken by the defendant, as well as with the medium in which the proceedings are conducted at the Enquiry. If, however, the charge-sheeted employee insists upon producing his/ her defendant who is not familiar with the language as aforesaid, he/ she should be allowed to do so, after making a record to that effect. All the evidences in support of the charge(s) must be produced in the presence of the employee charge-sheeted and no witness should be examined in his/ her absence. Similarly no material should be relied upon against the charge-sheeted employee without his/ her being given an opportunity of explaining it. An Enquiry may be held improper and untenable in law, if witnesses and evidences in support of the charge(s) are not produced at the Enquiry. It will not be enough to merely read the previously recorded statement of the witnesses, except in cases where it is absolutely necessary and proceed with the cross examination of the witness straight-away. Irrespective of the statements that might have been previously recorded, the Enquiry generally requires the witnesses to make a statement in person, before the Enquiry Officer and in the presence of the chargesheeted employee unless and until the presence of the witness before the Enquiry Officer is not possible. The witnesses, thereafter should also be offered for cross examination to the employee charge-sheeted. The statement of one witness should not be influenced in any way by that of another. To ensure the same, the Enquiry Officer should not allow any other witness to remain present in the Enquiry room while one is being examined. The employee charge-sheeted must get a fair opportunity to hear and explain the charge(s) leveled against him/ her and for this purpose must know the statements and evidences recorded against him/ her by the witnesses for the charge(s) at every stage. This also pre-supposes that the employee charge-sheeted should be examined only after all the witnesses and the evidences against him/ her are produced. The defendant of the charge-sheeted employee should be allowed to be present throughout the Enquiry. If at any stage, the charge-sheeted employee withdraws from the Enquiry, all further proceedings of the Enquiry should be held ex-parte (explained in a subsequent section). It is to be borne in mind that mere withdrawal of the charge-sheeted employee from the Enquiry would not entitle the Management to dispense with the holding of further Enquiry into the charges. If the charge-sheeted employee behaves rudely or does not co-operate in the enquiry proceedings in the proper manner, he/ she should be given a statement to this effect and this also should be recorded.
- 66

-

-

-

-

-

-

-

-

Notice of Enquiry The charge-sheeted employee must be served with a notice of holding an enquiry, giving him/ her information as to the name of the Enquiry Officer, the date, time and place of the enquiry. The purpose of the notice is to provide the employee with no opportunity to appear before the enquiry officer and prove his/ her innocence. Notice of enquiry must be given sufficiently and reasonably in advance of the date fixed. The mode of service of the notice is the same as in the case of the service of charge sheet. The enquiry officer can hold the enquiry ex parte only when all the efforts for notice to the employee have turned futile. The notice should be clear and written in a language which the employee can easily understand. Initiation of Proceedings by the Enquiry Officer On the date of enquiry, first of all the charges leveled against the accused employee should be read out and explained to him/ her (if he/ she is present). The enquiry officer should then confirm formally from the employee charge-sheeted, his/ her name, designation and department, his/ her service in the organization, and the gist of his/ her having understood the charges. The enquiry officer should then ask him/ her whether he/ she admits or denies the charges. The employee may be represented only by another co-worker. No outsider or advocate will be allowed to represent the employee. If necessary witness of outsiders can be allowed. The enquiry should be held in the presence of the charge-sheeted employee or his/ her representative unless, of course, the employee fails to participate in the enquiry despite all opportunities given to him/ her. Procedure of Leading Evidence by the Employer The employer or his/ her representative shall lead the evidence in support of the allegations leveled against the employee. He/ She should narrate in detail the circumstances under which the misconduct was done which led to issuing of charge sheet, supported by documentary evidence, if any. The material witnesses and documents, which are essential to substantiate the charges, must be brought on record, otherwise adverse inference can be drawn. Copies of all such documents that have been relied upon, should be furnished to the employee or his/ her representative and he/ she should be allowed to cross-examine the same. Examination of Witnesses First of all, the employer’s witness in support of charges should be examined one by one. After the witness has finished his/ her evidence, the employee or his/ her representative should be given opportunity to cross-examine the witness. If he/ she does not wish to crossexamine, a statement to that effect should be recorded by the enquiry officer.

- 67

After one witness has finished, the next witness should be called in and so on. Evidence of one witness should not be examined in the presence of another witness. However, the witness must be examined in the presence of both parties. At the end of the evidence, it is desirable to obtain the signature of the witness and the employee. Thereafter, the employee should submit his/ her statement and examine his/ her witness in defense of the charges made against him/ her. He/ She shall then be cross-examined along with other witnesses by the representative of the management. After the examination of witnesses is complete, once again it is desirable to obtain the signatures of the witnesses, the employee and the employer’s representative. If all the witnesses cannot be examined on the same day the enquiry may be adjourned to another day which is convenient to the parties and the witnesses. After all the witnesses have been examined, the enquiry officer shall hear the arguments of both the parties. Recording of Enquiry Proceedings Enquiry proceedings should be recorded in triplicate and a copy of the same given to the delinquent employee. iv. Ex-parte Enquiry

If on a scheduled date, time and place of the enquiry, the employee fails to present himself/ herself after allowing sometime for the delay in transport, etc. the Enquiry Officer should confirm whether the date, time and place of the enquiry was properly communicated to the employee charge-sheeted. To give the employee charge-sheeted a fair trial, it is advisable not to rush holding the enquiry i.e. on the first occasion, in fact if possible, one or two opportunities by fixing other dates be given to the employee charge-sheeted. If the employee charge- sheeted happens to be on duty at the time of the enquiry, the Enquiry Officer should send for him/ her and personally impress upon him/ her for attending the enquiry and make a record to that effect. The enquiry officer should communicate that if he/ she fails to present himself/ herself for the enquiry, it would be presumed that he/ she has no defense and the enquiry would be conducted ex-parte. In the absence of any communication or in the case of continued refusal from the employee charge-sheeted to attend the enquiry, the Enquiry Officer might on the scheduled date and time, after giving enough allowance for delay in transport, etc., proceed with the enquiry exparte, i.e. in the absence of the employee charge-sheeted. Even in such a case, it is essential to follow all the usual steps and procedures of the enquiry and not to cut short and skip any formalities or procedures. In an ex-parte enquiry, it is every important for the Enquiry Officer, wherever necessary, to refer to the actual data, proof of documents, exhibits, etc. in respect of every statement made before him/ her. He/ She should not just rely upon them as they are. In the absence of the cross-examination by the employee charge-sheeted the Enquiry Officer is himself/ herself expected to seek all possible clarifications and put all pertinent questions thereby leaving no room for discrepancy or doubts, etc. in the enquiry.
- 68

In an ex-parte enquiry, the Enquiry Officer should bring in one or two outsiders to witness the enquiry proceedings and obtain their signatures on every page as mentioned earlier. While recording the findings in an ex-parte enquiry, the Enquiry Officer should start by mentioning the reasons for an ex-parte enquiry. V. Enquiry Report

After the enquiry has been held, the enquiry officer is required to submit his/ her report to the disciplinary authority. The disciplinary authority cannot dismiss the employee without considering the enquiry report. The report should be based on facts, evidences and reasons, and not mere assumptions or apprehensions. While evaluating the evidence, the enquiry officer should be unbiased and should give proper weight to the circumstantial (direct) evidence. Contents of the Report The enquiry report should have the following : Introduction : giving the name of the employer and the delinquent employee, and the charge-sheet no., etc. Charges : charges leveled against the employee should be enumerated in brief. Evidences : A gist of the evidences/witnesses produced by the employer and the employee should be given separately. Findings : The findings of the enquiry officer should be based on reasons. Findings should be given separately for each charge and each finding should be self-contained and cohesive. The enquiry officer, however, need not suggest any punishment in the report.

-

-

The enquiry report should be written in a clear language having only one interpretation. It must be a speaking order in the sense that the conclusion is to be supported by reasons. vi. Order of Punishment

The order of punishment is the last stage of the disciplinary action. The order of punishment is passed after taking into consideration, not only the report of the Enquiry Officer, but also the explanations, if any, submitted by the delinquent employee. Failure to take into consideration these factors before awarding the punishment may be fatal to the order of punishment. Who can make? The order of punishment is to be made by the competent authority, but may be a person other than the Enquiry Officer. It is advisable that the power to punish the delinquent employee may be delegated to any of its officers, provided that such delegation is not barred by the Articles of Association, and is properly and validly met.
- 69

List of Punishments Depending upon the gravity of the misconduct committed, generally the following punishments are inflicted as disciplinary action. Warning Fines Withholding Increments Demotion Suspension Discharge Dismissal

The first three are minor punishments, while the last four are major ones. Warning Warning is a minor punishment when administered to the employee in writing by the management for some unworthy act or omission. As this punishment is of a minor nature, the procedure for administering the warning need not be as elaborate as in the case of major punishments like discharging and dismissal. Fine Fine is a pecuniary punishment that may be inflicted by management on a employee for some blameworthy act of omission. Withholding Increment In case of graded scales, increments are automatic till efficiency bar of the maximum of the scale is reached. Withholding of increments in such a case is a punishment. This punishment materially affects the employee concerned in his/ her earnings. Hence this punishment can be inflicted only for proved inefficiency or acts of misconduct such as insubordination, habitual negligence, etc. after giving him/ her a fair opportunity to explain his/ her conduct. Demotion Demotion is the negation of promotion, whereby not only the delinquent employee is not promoted to the next job, but he/ she is also downgraded from the present job, (and his/ her grade to a lower cadre of service). This punishment may be inflicted in accordance with the degree of severity of the misconduct proved against the delinquent employee. Procedure to be followed for administering this punishment is the same, as in the cases of discharge or dismissal. Suspension Suspension is ordinarily of two kinds, suspension as an interim measure pending a domestic enquiry, and suspension as a substantiated punishment. Suspension as a punishment can be inflicted on a employee for a specified period as permissible under the contract of service after finding the employee guilty of misconduct.
- 70

The effect of punishment by suspension is that the relationship of the management and employee is temporarily suspended with the consequence that the employee is not bound to render service, and the management is not bound to pay ; in other words, an employee will not be entitled to wages during the period of suspension. Discharge Discharging as punishment is milder that the extreme punishment of dismissal, though like dismissal it also puts the contract of service to an end. In case of dismissal, the employee loses a number of benefits, whereas in the case of discharge, only the contract of service is terminated from a particular date and the employee is not deprived of the benefits accrued to that date. Dismissal The services of an employee can be terminated as a measure of punishment only after giving the delinquent employee an opportunity to defend himself/ herself, against the charges leveled against him/ her by holding a fair and proper domestic enquiry. It is well stated that there can be no dismissal or discharging made with retrospective effect. Such dismissal cannot be sustained in law. Communication of Punishment The mere decision of the employer to punish the employee, especially to terminate his/ her services, is not sufficient for effecting such termination of services. Such orders must be communicated to the employee concerned, before they can be made effective For example, where an employee was suspended pending enquiry against him/ her, and was found guilty of charges leveled against him/ her, in the domestic enquiry, and subsequently was dismissed from the services, but without being served with the order of dismissal, the tribunal held that in the absence of proof such as service of dismissal order, the services were not duly terminated and hence ordered his/ her reinstatement. It is held that the relationship of employer and the employee cannot be effectively terminated merely by the decision of the management to terminate the employee’s services, and for such termination of service, communication of the decision to the employee is necessary.

- 71

CHAPTER 9 SUGGESTION SCHEME, COMMUNICATION, AND HUMAN RESOURCES AUDIT

9.1

Suggestion Scheme

The suggestion scheme is designed with the objective of encouraging creative thinking and suggestions leading to improvements in overall working of the organization. All employees are welcome to contribute their suggestions under this scheme. Suggestions will be contributed in the following areas: Elimination of wastes Ideas to save time Improving the image of the Society Improving quality of service Increasing operational efficiency Improving house keeping and working conditions Cost reduction Improving productivity, and Improvement in office procedures and methods

Suggestions in the form of criticism, complaints concerning service rules, etc., though welcome, will not be considered for the purpose of this scheme. All employees who wish to make suggestions will contribute their suggestions in the specified form available with the HR Department. The filled up suggestion form will be deposited in the HR Department. The suggestion will be written in English or Hindi. The suggestions made will be forwarded to the Suggestion Committee consisting of the following members: a. b. c. ED HOD (HR) All other Heads of the Departments President of the Committee Secretary Members

The procedure for evaluation of a suggestion is as follows: a. The suggestion committee would meet once a month to evaluate the suggestions received. Ways to promote the scheme should also be discussed.
- 72

b.

The evaluation of suggestions would be based on the criteria of quality, implementability, cost saving, importance of idea, originality etc. The originator of the suggestion can be called, in case the need arises. Based on the evaluation criteria used, the suggestion is accepted/ rejected. In case of acceptance of the suggestion i ii. Originator of the suggestion is informed. Copy of the suggestion is forwarded to the HOD of the concerned department and his/ her recommendations regarding implementability/ further improvement in the suggestion is sought within a period of 10 days.

c. d.

e.

The suggestion when received from HOD is again reviewed. Decision regarding reward/Congratulatory Letter or a letter of merit should be given to the originator of the suggestion needs to be taken.

The annual report on the suggestion scheme will be prepared by the Secretary to the Suggestion Committee on the format provided in. 9.2 Communication

Open and informal communication is an important channel for employee to voice and discuss their problems with the Management. It builds commitment and trust between the employees and the organization. 9.2.1 Personal communication

The scheme allows all employees to communicate their problems directly to the ED. They can write to the ED, on the organizational issues, which will be acted upon. This process is expected to give satisfaction to the employees. 9.2.2 ED meetings

The ED will conduct formal and informal meetings with the employees from time to time, to discuss organization related issues. The highlighted issues will be taken up by him/ her with the Departmental Head concerned, for follow up on the same for resolution. 9.3 HR Audit

Evaluation and periodic assessment are important for improvement and effectiveness. The Society will carry-out audit of the HR policies and procedures. The responsibility of the HRAudit lies with the HOD-HR. The audit will provide a feedback to the Management on the strengths and weaknesses of the system and areas for improvement. It will also provide an opportunity to have a re-look at some of the existing systems and plan for a change. These audits should be conducted once in 2 years. The audit should cover all areas relating to HR, and Administration.

- 73

CHAPTER 10 SEPARATION AND EXIT

10.1

Discharge and Termination of Services

An employee may be discharged from the services or his/ her services may be terminated at any time by giving appropriate notice or by payment of wages/ salaries from the period of notice thereof. The notice period shall be as under : a. b. Non-management staff Management staff One month Two months

Dismissal is the termination of an employee’s service on account of a disciplinary action. It is resorted to only when an employee is held guilty of misconduct. 10.2 Resignation

An employee can relinquish his/ her employment with the society by tendering a written notice in the form of a resignation letter. It should contain the reason for separation and the date from which it is desired to be effective. The employee is required to give two months notice or an amount equal to two months salary in lieu of the notice. The resignation should necessarily be routed through the respective departmental head and sent to the HR Department. The authority for accepting the resignations shall be the ED. The acceptance shall be in accordance with the terms and conditions of employment, exception if any shall be at the sole discretion of the ED. 10.3 Retirement

As a matter of general policy and terms and conditions of employment the society will effect the retirement of employees from the services of the society on attaining the age of Superannuation. The retirement age of the employees of the society would be 58 year. The society shall inform the concerned employee sufficiently in advance about their forthcoming retirement and assist him/ her with necessary advice suggestions and such other measures considered appropriate. The HR department will take into consideration discharge, dismissal, resignation, and retirement, from the services of employees for the purpose of Manpower Planning. 10.4 Exit Interview
- 74

As a matter of policy and normal practice, an exit interview will be conducted for every out going employee, except in case of dismissal. The exit interview will precede the release of the employee. The objective of such interview will be to obtain the views of the out-going employees in respect of the prevailing systems, procedures, and practices of the Society with a view to take suitable corrective action wherever necessary and ascertain the reason for resignation, in case of resignation. The views expressed by the out-going employee will be maintained in strict confidence and duly recorded. The levels at which the interviews will be conducted will be as follows : a. b. Non Management Staff Management Staff upto HODs HODs and above concerned HOD/ HOD-HR HOD - HR/ HOD/ AED

c.

ED/ AED/ Chairman

It is advisable that the interviews are conducted by the officer who is not the direct superior of the out-going employee. 10.5 Guidelines for Settlement of Accounts

The following will be the guidelines for settlement of accounts consequent to submission of resignation on their own accord: The employee will be required to give 3 month’s notice as per his/ her terms of appointment. This can be reduced/ waived as per the discretion of the management. In case of shortfall in the notice period, the employee will be required to pay amount of basic salary equivalent to the shortfall in the notice period as per terms of appointment. Unavailed leave can be adjusted against the notice period. In case the employee is staying in the society leased accommodation, and if the situation warrants, he/ she will also be required to pay the amount equivalent to three months rent as the society will be able to terminate the lease agreement by giving three months’ notice only. If the employee has been given a car, telephone and furniture by the society these will also be surrendered by the employee on the day the resignation comes into effect. In case of society furniture the employee will be given an option to purchase the same at the book value. All amounts deposited by the employee, as security at the time of joining the society will be refunded to him/ her after adjusting any amount due from the employee to the society. Before the release of the employee “No Dues Certificate” will be obtained by the employees from the Finance department, Library, Personnel department, Canteen, Departmental heads, and any other person found necessary. 10.6 Service Certificate
- 75

All categories of employees are eligible to receive a service certificate at the time of relinquishing the employment, on request. The service certificate would contain, among other things, the recorded name of the employee, the period of service, last position held, salary and allowances, and remarks about conduct. The certificate shall only be issued after the employee has obtained complete clearance of his/ her dues, if any. The certificate shall be issued only by the head of the HR department on behalf of the society. Issue of personal testimonial by officers of the society is disallowed.

- 76