Enhancing Quality. a Practical Guide. Handbook 2

Transcription

1 Enhancing Quality in HR Management in the Humanitarian Sector a Practical Guide Handbook 2

2 Published by People In Aid Author James Henry Editors Jonathan Potter Ben Emmens Design Rachel Barbaresi Printer DS Print We gratefully acknowledge the financial support of the Humanitarian Aid Office of the European Union (ECHO) and funding from Development Cooperation Ireland (DCI). Disclaimer People In Aid has taken considerable care in the production of this report and its contents. However, People In Aid is unable to provide any warranty concerning the accuracy, completeness or relevance to your organisation relating to any information contained herein. Copyright in this publication is protected under the Copyright Designs and Patents Act 1988 (as amended from time to time) and is owned by People In Aid. Photocopying of any part of this document must be for personal use only and may not be distributed or transmitted to a third party. People In Aid 2004

3 Table of contents Acknowledgements...1 Foreword...2 Executive summary...3 Section 1 Introduction...5 Section 2 Sectoral level issues...7 Challenges to the sector...7 Prioritising human resources...7 An acceptable level of risk?...8 Section 3 Recruitment and selection...9 Human resource planning...9 Accessing the necessary skills and competencies...11 Responding quickly to fluctuating needs...15 Enhancing quality in recruitment skills and competencies...16 Recruiting in a global marketplace...18 Senior managers a special case?...19 Seeking skills where do agencies look?...20 Checks on staff before recruitment...21 Regional recruitment...22 International recruitment...23 Resources, tools and links...24 Section 4 Employment and management...27 Remuneration and benefits...27 Competition and complementarity...27 The level of remuneration and benefits...28 Equity...30 Taxation, social security and pensions...32 Income tax...32 Social welfare benefits...33 Pensions State and voluntary...34 The process of performance management...34 Carrying out an appraisal...37 Performance linked to pay...39 People In Aid May 2004 i Enhancing quality in HR management in the Humanitarian Sector

4 Support and welfare...39 Briefing, debriefing and counselling...40 Stress, trauma and psychological welfare...43 R & R rest and recuperation or rest and relaxation...45 Re-entry syndrome...46 Security, safety and the management of risk...49 Organisational HR-related aspects of security and safety...50 Security...53 Practical HR-related aspects of security...54 Preparation of staff...57 Safety...59 Insurance...61 Organisational and policy issues...62 Practical insurance issues...64 Resources, tools and links...67 Section 5 Retention and career development...73 Career planning and development...73 Retention of staff and managers...77 Retrenchment...80 Boosting staff retention...80 Learning, training and development...81 The training and development cycle...82 Strategic aspects of training...83 Identifying the training and development needs...84 Learning and training methodologies...85 The importance of learning styles...86 Resources, tools and links...88 Section 6 Conclusion...91 Endnotes...93 Glossary and abbreviations...96 Appendices...99 Appendix 1 People In Aid HR survey Appendix 2 ECHO FPA agencies Appendix 3 Project background Appendix 4 People In Aid Table of figures FIgure 1 Recruitment procedure...10 Figure 2 ITDG organisational objective model...73 Figure 3 Staff training and development policies...77 Figure 4 Staff training and development budgets...77 Figure 5 How training budgets are determined...77 Figure 6 The training and development cycle...83 Figure 7 The learning cycle...86 Enhancing quality in HR management in the Humanitarian Sector ii People In Aid May 2004

5 Acknowledgements We are grateful to the following agencies for their co-operation and participation in this project. These organisations have either responded to the survey we sent out (see appendix 1), attended one of five seminars we held, or have conveyed relevant information to People In Aid in another form. Some agencies contributed in more than one way and we are particularly appreciative of their support. In addition we are grateful to the Humanitarian Aid Office of the European Union, (ECHO) for providing information on their partners for the purposes of this research, a list of FPA partners as at December 2003 can be found at appendix 2. ACF ACSUR Action Contre la Faim Action Medeor ActionAid ADRA Denmark Alisei Amnesty International BMS World Mission British Red Cross (BRCS) CAFOD Caritas France Caritas Germany Caritas Secours International CESVI Church of Sweden Comité d Aide Médicale Concern Universal Concern Worldwide CUAMM DanChurchAid Danish Peoples Aid Danish Red Cross Danish Refugee Council DFID Enfants Réfugiés du Monde EPER/HEKS EU-CORD Everychild German Red Cross HQ GOAL Handicap International Healthnet International Responded to survey Attended seminar Helpage International Humanitarian Dialogue Centre ICRC IFRC IMC UK International Aid Services International Childcare Trust International Organization for Migration International Rescue Committee-IRC Belgium Islamic Relief ITDG Latin Link Le Rucher Ministries MAF Europe Medair Médecins du Monde Medico International Mercy Corps Scotland Merlin Mission East MPDL MSF - Belgium MSF - France MSF - Holland MSF - Germany Norwegian Church Aid Norwegian Refugee Council ora international ORC Worldwide Oxfam GB Oxfam Solidarité Belgium Reach Out Project RedR/IHE Save the Children Denmark Save the Children UK Solidarites SPW Swedish Committee for Afghanistan Tearfund Terre des Hommes The Global Fund to Fight AIDS Tigers Club Project Toybox Charity UNEP/GEF Biosafety Unit UNHCR VOICE VSF VSF-DZG Belgium VSO Womankind Worldwide World Health Organisation World Vision Germany World Vision UK WSP International ZOA Refugee Care People In Aid May Enhancing quality in HR management in the Humanitarian Sector

6 Foreword This is the second of two handbooks, funded by ECHO with co-funding provided by Development Cooperation Ireland (DCI) and People In Aid, for agencies working in relief. In handbook 1 we looked at factors, both internal and external to organisations, which influence human resources (HR) management. Thus we considered, among many other topics, the security of aid workers in the changing humanitarian environment, the varying definitions of the word volunteer and the structures some agencies are using to collaborate. We argued in the first handbook that without an understanding of the wider sector and the characteristics and activities of your peers, it is difficult to address your human resources challenges effectively. This handbook, handbook 2, responds directly to a survey of agencies which highlighted the current HR priorities being addressed by ECHO partners. It looks at recruitment and retention, management issues, training and development, safety and much more. It analyses the problems encountered by agencies in such areas, and by way of response, offers suggestions, tips and case studies. Here you will find how your peers have responded to problems generic to the sector such as consistency in global rewards programmes or performance management; you will find extracts from papers written by experts for this project on subjects ranging from analysing learning needs to debriefing; you will find references to websites where you can find out more about subjects as diverse as register agencies and insurance. Recognising that expatriates have traditionally received greater attention in human resources management terms we have endeavoured to give equal priority to nationally-recruited staff. No agency reading this will be unaware of the issues raised, but we hope that this handbook will find its way to anyone with responsibility for managing or advising on the management of people working in your organisation; Operations Director and senior relief staff Line managers Everyone in an HR function in Head, regional and country offices. Every new member of the HR team For one of the key conclusions from the research we undertook for this project is that organisational commitment to HR is critical. This commitment is increasing but while we at People In Aid note and applaud the progress agencies have made in recognising the importance of good practice in HR management, it is true that since the sector gave birth to us in 1994, the same themes are regularly raised as problem issues. This handbook addresses all of them. You may not find the ideal solution in here - after all your mission, your values, your size, your funding will be different from others - but we hope you find sufficient material to encourage debate inside your organisation. These debates should not just touch on policy issues of course, but must include putting those policies into practice, by the training of managers to implement them, by communicating with staff and by monitoring them on an ongoing basis. People In Aid s mission is to promote good practice in the management and support of aid personnel. We are very grateful to ECHO and DCI for their support of these handbooks which will certainly promote good practice. Finally, please do not hesitate to contact us on info@peopleinaid.org with your comments on the contents of these handbooks or with your own good practice which we can pass on to the wider sector. Jonathan Potter Executive Director People In Aid Enhancing quality in HR management in the Humanitarian Sector 2 People In Aid May 2004

7 Executive summary Almost every programme evaluation in recent years mentions the quality of field personnel and human resource (HR) management as factors affecting effectiveness and efficiency. Yet very little is known about human resources within the humanitarian sector, and the factors and issues which affect it. People In Aid, with Humanitarian Aid Office of the European Union (ECHO) funding, and additional financial support from Development Cooperation Ireland (DCI), has carried out a substantial study whose purpose is to: Describe and analyse the way the humanitarian sector and agencies work and are structured, in terms of HR management - What they do and why they do it Analyse the wider contextual issues which affect international and nationally recruited staff and volunteers Identify, through agency responses to a survey, the issues which agencies themselves are concerned about Analyse and debate these issues, identifying where agencies have been able to respond, and where constraints still exist, with examples of good practice and links to sources and useful tools The outputs of the project comprise two handbooks and a series of seminars in five cities in Europe: Handbook 1 - Understanding HR in the humanitarian sector Describing the way HR is addressed in the humanitarian sector and the factors which affect efficiency and potential. Handbook 2 - Enhancing quality in human resources management in the humanitarian sector Analysing the issues which agencies identify as of concern, and providing access to resources, tools and good practice. Seminar series - providing a forum for agencies in Europe to meet and discuss the findings of the study; debating issues of concern, and promoting inter-agency collaboration. Many of the factors and constraints identified in handbook 1, and applying at the organisational and strategic levels, also apply at the technical level. The findings of handbook 1 are summarised below: Many agencies lack the funding necessary to invest in human resource development, and HR is not as high a priority for agencies as it should be Donors require improved levels of professionalism and management but are unwilling to fund HR management, or invest in its development Recruitment and retention of experienced staff is the most significant constraint, together with preparation of staff, and career planning and development - the same issues which have been recorded as priorities for the last ten years Insufficient management information exists about nationally recruited staff, restricting maximisation of their potential. Indeed, there is insufficient information generally about nationally recruited staff and the issues which affect them Basic levels of remuneration are not a controlling factor - the perceived effectiveness, ethos and professionalism of the employing agency are more important in maintaining loyalty People In Aid May Enhancing quality in HR management in the Humanitarian Sector

8 Volunteers are extremely important within humanitarian aid, but there is little standardisation in their treatment or remuneration, and the interpretation of the concept of volunteerism is uniquely complicated The wider context - the changing nature of politics, aid and the humanitarian system fundamentally affects human resources. The failure of the system to provide humanitarian space, and the failure of the agencies to state and defend their unique role have undermined the sector and put staff and volunteers at greater risk A great deal of work has been done to improve quality, and inter-agency collaboration is much more prevalent, but there is a great deal more that could be achieved through further pan-european co-operation In handbook 2 however, a number of further factors and constraints are identified, and these include: Initiatives in HR management and development depend on the strategic commitment of the organisation, together with buy-in of managers and staff Constraints to HR development may be more associated with the lack of priority given to HR and HR issues, than issues of available resources of time and funding While donors have made some progress in supporting HR development, further advocacy is required to ensure that the progress is extended, especially in regard to maximisation of the potential of national staff Recruitment and retention of experienced staff is a problem, but more could be achieved by maximising the potential and commitment of existing staff through development, training and better management practices Insurance is an issue post 9/11 and more could be achieved through collaborative action by agencies in negotiating, informing and debating with insurers Safety and security are critical issues, and the duty of care of the employer, especially for national staff exposed to greater risks, requires development of appropriate strategy, policy and practice in terms of prevention, preparation and response The project s findings suggest that there has been significant improvement in recent years, in the level of effectiveness of agencies in terms of human resource management, but subject to a number of constraints - both externally through changes in the international and humanitarian systems, and internally through pressures on funding, resources, and institutional reluctance and lack of priority for HR. Experience of the more proactive agencies shows that there are ample opportunities, and even the necessity, for greater inter-agency collaboration, and for active engagement with the other stakeholders and actors in the humanitarian and political systems to press for prioritisation of HR issues, particularly where these affect the safety, security and well-being of staff and volunteers. National staff are filling more senior positions, and the opportunities available to them with the more proactive agencies for training and development have improved. However, to keep experienced staff and managers, it is necessary for agencies to make positive investment in their development, and in their care and welfare. While progress has been made, the status quo is not an option - there is continuing and growing pressure on agencies to be more and more professional in their management of people. If this is not achieved, the risks are real that financial and legal prices will be paid, as the obligations on employers to care for all staff are not negotiable. As stated in handbook 1, agencies would benefit from being: More proactive in developing HR management and information systems necessary for effective HR management, particularly relating to nationally recruited staff More collaborative on HR issues, both at the field and at HQ level, in order to reduce competition and duplication Engaged more coherently with the other actors involved in emergencies, through the definition of their unique role and their added value, in order to protect all staff and volunteers Engaged with donors, and with agency governance structures to prioritise people and HR management, and encourage the investment which is overdue and urgently needed. Enhancing quality in HR management in the Humanitarian Sector 4 People In Aid May 2004

9 Section 1 Introduction Section 1 Humanitarian organisations are also employers. As employers we cannot see employees and their individual rights to quality of life, management and support as separate from our agenda on human rights and global development. There is a link through the individual to the work of relief and development teams, to the impact and costs of humanitarian assistance programmes and to the credibility of international codes, charters and conventions. There are legal and financial costs if we do not use those links to strengthen our institutions and our capacity to respond to the needs of those who have no choice about when they move out of emergency zones 1. There can be no doubt that humanitarian organisations have a fundamental obligation towards their staff and volunteers. As Sara Davidson put it succinctly in the quotation above, there is an inextricable link between staff, and the humanitarian assistance external framework. The imperative to continually improve the quality of our human resources management, and the costs associated with failing to do so, must be recognised throughout the sector. This handbook analyses the human resources management issues facing relief agencies identified in handbook 1, and offers a practical guide for agencies seeking to enhance the quality of their human resources management. It contains practical examples of how agencies have dealt with human resources management issues through case studies, and highlights specific measures organisations have adopted by focussing on an aspect of practice. Where appropriate, tips and guidance are identified and shared, and the aspects which require more detailed consideration by agencies, have been flagged. There is plenty of material to provoke further thought or to act as a catalyst for action, and these are identified. All of these are highlighted with icons, for ease of reference, a key to which is below. For ease, the handbook is divided into three key sections Recruitment and selection Employment and management Retention and career development Each section then considers the area in greater detail, drawing on good practice, and offering useful guidance. Key Practical examples of how agencies have dealt with human resources management issues through case studies, highlighting specific measures organisations have adopted by focussing on an aspect of practice Tips or guidance or resource Aspects which require more detailed consideration by agencies Material to provoke further thought or to act as a potential catalyst for action People In Aid May Enhancing quality in HR management in the Humanitarian Sector

10 Section 1 Section 1 Enhancing quality in HR management in the Humanitarian Sector 6 People In Aid May 2004

11 Section 2 Sectoral level issues The sectoral level issues affecting human resources management were considered in detail in handbook 1 and are repeated here again for ease of reference. They provide the external context for the technical issues to be covered in handbook 2. Why are they important? The sectoral level issues set the context in which the technical matters reside. For example, the donors attitudes towards human resources fundamentally influence the potential for developing more professional HR systems and procedures, and especially dictate the potential for investing in people-related issues. Another example the conflicts in Afghanistan and Iraq and the way in which humanitarian negotiation and space have been undermined have increased the risks for staff and volunteers, and have also badly affected insurance premiums, If we are to deal with insurance companies, in addressing the problems of obtaining effective and cost-effective protection for staff, we have also to address the wider issues and create the protective political and military environment on which we depend. Challenges to the sector External challenges The sector is under pressure from outside in that its unique role in provision of humanitarian assistance is being challenged by a number of other actors including the military, host governments, donors and also the commercial sector. Recent experiences in Afghanistan and Iraq have done little to alleviate this pressure, and indeed have brought about further challenges. The humanitarian sector risks becoming increasingly sidelined from the decision making processes which affect it, and where agencies are dependent on funding from belligerent governments, they can do little to challenge the behaviour of military and political groups. The negotiation of humanitarian space has been compromised, and the risks to which agencies and their national and international staff have been exposed have increased. The situation is exacerbated by the failure of military and political actors to create the security and political framework in which NGOs and civil society organisations can work, and on which they depend. Internal challenges There are also a number of challenges internal to the humanitarian sector. For example, the donors have been moving away from supporting the northern NGOs to the same extent as previously, partially due to funding policy changes since 9/11 and partially because of the costs associated with Afghanistan and Iraq. Summary The humanitarian sector has to continue to explore ways of collaborating, both with external actors, and also internally, on an inter-agency basis. Unless a greater coherence within the sector is achieved, there is a risk that the agencies will be further sidelined; they will not be consulted in decisions which will ultimately seriously and adversely affect their capacity to work, and further, the safety and security of their staff and volunteers will be jeopardised. The agencies also need to identify their added value, set rules and an implementation framework, represent it to the other actors, and defend it in negotiation and debate. Prioritising human resources Within the agencies themselves, human resources and people-related issues are often seen as an administrative burden or overhead, and the level of strategic and managerial commitment to them is insufficient. Added to this is the common tension between the operational section and the field on one side, and HR section and organisational policies on the other. Operational and field managers may see the HR section as an irritant which at best is valuable Section 2 People In Aid May Enhancing quality in HR management in the Humanitarian Sector

12 Section 2 Section 2 only for recruitment and staff administration, or at worst, the guardian or controller of policies and procedures which limit operational freedom. As a result, the strategic organisational support which is essential for developing human resources may be lacking, as might be the managerial support (especially from the operational teams) which is critical to overall effectiveness in HR management. For donors, human resources are also often seen as an administrative cost, and as a result, frequently end up being given a low priority. HR costs are overheads and may be restricted to levels at which agencies find themselves unable to fund the management necessary to meet the quality requirements of programmes, or the quality requirements of the donors themselves. Summary Agencies have to address the issues of strategic and managerial commitment to effective people management. They must continue to persuade donors to support them in tackling HR related issues, especially regarding development of capacity and potential among national and international staff and volunteers. dysfunctional in not providing the protection for UN staff in Iraq which might have prevented or ameliorated the loss of life and injury in the bombings of the UN and ICRC HQs in The main conclusion... is that the current security management system is dysfunctional. It provides little guarantee of security to UN staff in Iraq or other high-risk environments and needs to be reformed. 2 The implications for NGOs are not good, and we can only advocate that they are able to influence the process of reform of the UN security system when it takes place, and to represent the interests of the NGOs as independent actors, but within an overall framework which functions well, and for all. What is an acceptable level of risk? The problem for agencies in the field is that there is no clearly definable acceptable level of risk. Everyone knows that there are risks involved in working in countries under stress, in conflict, or in transition. The risks become unacceptable where there is evidence of poor practice by agencies associated with lack of strategy, inadequate information systems, lack of policy or procedures or ineffective management and administration. An acceptable level of risk? The level of risk to which staff are exposed has changed significantly in recent years. The risks themselves have also altered, though there remain many similarities. Many more relief and development workers are now working permanently in situations of great personal risk, the risk caused by the changes in conflict, and the fact that many poor countries are existing permanently in states of crisis and insecurity. In addition, because of the changes which have taken place in the international system and the nature of conflict, agencies and especially staff (and particularly nationally recruited staff) are being deliberately targeted by unofficial armed groups and militias as well as criminals. The aid agencies have become increasingly powerless to intervene with the military and political authorities, not least because the United Nations has acted as interlocutor in relation to security matters, even though there is no formal agreement to do so (by the NGOs). The UN security system itself has been shown to be Enhancing quality in HR management in the Humanitarian Sector 8 People In Aid May 2004

13 Section 3 Recruitment and selection Invariably, the most pressing problem for any Human Resources department is recruitment and particularly the recruitment of experienced technical people at short notice. The basic issue How to get the right person with the right expertise to the right place at the right time! This applies not only to the latest rapid onset emergency or crisis, but also to the on-going programmes where lack of planning or a problem in the field means that recruitment is so often urgent. The responses from agencies to the survey for this study, as detailed in handbook 1, clearly identified recruitment and retention of experienced managers as the most important factor affecting them. In the ranking exercise, no agency (which provided data) ranked the significance of the issue less than four out of five. This concurs with the findings of previous studies for example: Recruitment of senior managers was generally reported to be a particular problem. On the other hand, replies also showed that many agencies are able to attract as many people as they need, and more, for a wide range of responsibilities. In particular, the volunteer agencies are able to attract very large numbers of candidates both the Volontaire de Solidarite Internationale (VSI) agencies (Médecins Sans Frontiéres, Handicap International, Action contre la Faim, Véterinaires sans Frontiéres etc) and also agencies such as VSO. This section of the report covers a number of issues associated with recruitment and selection: The need for planning The elements of the recruitment process How to access the necessary skills and competencies Methods of recruitment Inter-agency collaboration Section 3 In 1997, Francesca Taylor s research 3 for EPS 1 pointed out that the fundamental problem faced by those recruiting relief staff is the serious shortage of appropriately skilled and qualified personnel in particular competencies. There is a general consensus that the most difficult posts to fill are those at management level. Equally, the importance of these positions has escalated as emergencies have become more complex in nature. In preparatory research for EPS 3 in 2000, S. Lawry-White undertook a review of the HR issues affecting agencies and found that the key issues emerging from this survey can be neatly summed up by quoting from one of the responses "Getting them and keeping them. Recruitment and retention were the key issues raised 4. While most of the respondents would have been HR staff who are inevitably responsible on a day-to-day basis for recruitment, the response from agencies certainly reflected the difficulty of recruiting the right people with the right skills at the right time. Human resource planning Many of the programmes which are operated by agencies last for several years indeed there are probably few that last only one year. Therefore inevitably there will be a significant turnover of staff. For example, many international staff in emergency agencies will only be doing six months on average per assignment. Even if managers remain for longer periods, there is a significant turnover of staff. It is therefore absolutely essential for the replacement of these staff to be managed efficiently and effectively. For external recruitment, except in the first stages of an emergency when standby personnel might be used, it is unlikely that staff could arrive in the field within one month of the initial request for staff replacement, and usually it takes even longer. For long term assignments (over one year), and for more senior management positions, People In Aid May Enhancing quality in HR management in the Humanitarian Sector

14 Section 3 Section 3 the lead-in time can be around two months or more. The pressure is therefore on operational departments, field offices and human resource/ personnel departments to have sufficient information and management systems in place to maximise the potential for adequate planning, recruitment processes, preparation and handover in the field. For field offices, nationally recruited staff present the same challenges planning, recruiting and preparing staff takes a substantial period of time. There may also be a large number of applicants for each position, and selection processes take time, as do the search for references etc. If recruitment is undertaken externally through an agency or via advertisements in the press and media, the lead-in time can be even longer, for example three to six months. Why is recruitment always urgent? An agency is working in-country for years, and yet whenever someone leaves, the recruitment of a replacement always seems to be done at the last minute? The reason is a combination of poor management systems and practice associated with a lack of strategic thinking, poor planning and lack of information systems feeding into planning and decision-making. Human resources are simply not treated with the priority they should, strategically leading to under-funding of HR departments, and insufficient resources and staff both at HQ and in the field Lack of management information systems for HR meaning that management information is just not available e.g. when contracts end/what future budgeted needs are, and relevant job descriptions, evaluations etc Forward planning is not a priority for operational departments and field staff and is often neglected After every major emergency there is a period of reflection and learning, but this comes when all the financial and personnel resources that were involved in the emergency are likely to be disbursed. Each period of reflection brings calls for greater investment in planning and preparedness, but the resources are rarely there in most agencies to take positive steps. A study was carried out in 1998 for IHE Sometimes Maybe, Sometimes Not 5 which detailed agency practice concerning the recruitment, employment and retention of nationally recruited staff. Although the situation for nationally recruited staff has improved greatly overall in the last six years, many of the same issues apply. Policy guidance Developing national capacities for leadership A further relevant study was carried out by D. Salomons et al, entitled Building Regional and National Capacities for Leadership in Humanitarian Assistance which explored the issues associated with and potential for the systematic introduction of national and regional level staff into the leadership and management of humanitarian assistance efforts 6. Every agency tends to have its own process for recruitment, and the following flow chart highlights the most common stages: Recruitment procedure flow chart FIgure 1 Recruitment procedure Vacancy authorisation to recruit Review requirement Review job description Review person specification Agree terms and conditions Plan the recruitment and selection process Consider various methods of recruitment Advertise vacancy Shortlist applications Assess candidates screening, interviews, exercises Review information and identify most suitable person for post Offer post (maybe conditional) Plan induction Enhancing quality in HR management in the Humanitarian Sector 10 People In Aid May 2004

15 Recruitment and selection Mission East helping managers recruit effectively Mission East s Operations Manual contains detailed guidelines on recruitment. Included is a graphical representation of the briefing process, the associated stakeholders and their responsibilities. The guidelines also include checklists for use by each staff member. The handbook also covers the same process for debriefing at the end of contract. Do you provide your recruiting managers with guidelines or checklists to help them recruit more effectively? Accessing the necessary skills and competencies Getting the right people to the right place at the right time For any agency, the challenge is managing to hire the right people in good time, and ensuring they become operational with the minimum delay. In the case of an emergency, this presents particular difficulties: A new emergency When a new emergency arises, agencies have a range of strategies for accessing the necessary people, but the range of responses depends on the size and scope of the agency. Profile UNHCR Emergency response capacity UNHCR with over 5,000 staff and offices in most countries: Activate the local UNHCR structures Activate the Emergency Preparedness and Response Section. This includes five EPR officers involved in operations, assessment and liaison, plus two administration/finance officers and senior administrator to organize administration and recruitment on the spot (on 72 hour standby) Roster of UNHCR staff. The roster has 30 names of volunteers, which stay on the roster for six months. They must be available within 72 hours and they will not be asked to serve for more than two months. Their supervisors must endorse their participation. In the last round, there were 120 volunteers from which 30 were chosen. They must attend a ten day intensive training, mostly based around simulations. A geographical and gender balance is maintained. There are five seats reserved for outsiders on the training course. This roster is now open to local staff Pool of senior managers. UNHCR has been criticized in the past for fielding too many junior people In addition, UNHCR deploys external resources. Again in order: From the standby agreements with the Norwegian and Danish Refugee Councils and United Nations Volunteers. Other agreements are being considered. Through the standby agreement, NRC and DRC maintain registers of available staff and are able to provide emergency response teams able to leave within 72 hours A new roster of former UNHCR staff is being created, also with NRC for those with five years experience or more who have left within last five years Commercial service contracts for support on the spot providing base camp catering, laundry etc There are now also a few contracts with governments 7 UNHCR s approach shows that a large international organisation with worldwide presence can first call upon its local resources then supplement these with staff from headquarters or another country programme on a temporary basis, while recruitment takes place for longer term deployment. This requires the development of appropriate information and management systems, and is described in more detail in Internal Rosters below 8. It can also call upon several external sources with which structural agreements have been made to maintain registers of available expertise (Norwegian and Danish Refugee Councils). NRC and DRC also benefit from the structural relationship, but other smaller agencies cannot of course expect to maintain such standby resources, and must start from scratch on each occasion. Norwegian Refugee Council Enhancing emergency response capacity NRC is able to supplement its own capacity by operating registers of experts (primarily for assignments with UNHCR and other UN agencies, but including other humanitarian organisations), for which it receives financial support from the Norwegian government. Section 3 People In Aid May Enhancing quality in HR management in the Humanitarian Sector

16 Section 3 Section 3 The NORSTAFF register comprises about 300 men and women from 25 professional categories. 100 are on assignment at any given time. The NORDEM register comprises 250 people and is specifically involved in assignments dealing with human rights and governance. The NORAFRIC register is a register of about 75 humanitarian managers with experience in Africa. In addition, NRC has of its own international staff working in overseas programmes, working with 700 nationally recruited staff. Being involved in hosting and managing the registers undoubtedly assists NRC in meeting its own HR needs and providing extra resources for its HR department. Registers and selection Almost all agencies have a register of potential candidates for short term emergency positions which normally comprises ex employees who are interested in further assignments, and also by mutual consent, strong candidates who have applied to the agency and been shortlisted but not appointed. For most agencies these form the central pillar for recruitment during the early stages of an emergency, since the funds and time necessary for a traditional recruitment process are not always available. Agencies generally pre-select the candidates first, and in some cases the registers include trained people who are either specifically already available at short notice, or for whom leave of absence has been agreed in advance. British Red Cross Training register candidates British Red Cross, like most other contributing Red Cross Societies, will send a number of selected candidates for the register to attend a standardised Basic Training Course a one-week residential selection and training course. Medair Compulsory training for all potential staff Medair holds a ten day Relief/Rehabilitation Orientation Course (three times a year in English) which potential field workers must attend and is the basic selection and orientation mechanism for potential field workers. Candidates contribute #500 to the cost of the event. RedR/IHE Pre-screening register candidates When RedR and International Health Exchange propose members of their registers they will have been interviewed, suitability and qualifications will have been checked, and their availability confirmed in advance, and the candidates will have arranged leave of absence already. Shortlisting and selection interviews These are normally carried out in an agency s office. This is often not possible for candidates based in other countries, and it may not be possible or financially viable to bring candidates to the home country of the agency. It may be possible, however, to use contacts in the country where the candidate is based perhaps another NGO or a contact in an institution such as a University or a hospital. To save costs, some agencies use telephone interviews to check candidates suitability for inclusion on a shortlist, or to reduce a shortlist further still, for example to two or three candidates that can be interviewed face to face. Telephone interviewing Do follow up a telephone interview with a face to face interview prior to appointment Do use telephone interviewing for ALL or NONE of the shortlisted candidates, even if some are local Do explain the purpose of the interview when arranging it with the individual and again when the phone conversation starts Do remember to introduce the interview panel before you start, and deal with the housekeeping, for example you will call the individual back if the line fails Do put the candidate at ease and encourage them to seek clarification if they ve not understood a question Do group interview panel questions together to avoid jumping around unnecessarily Do give the candidate a time to summarise their experience and answer short questions relating to the essential requirements of the post Do keep telephone interviews as short as possible, and no longer than 45 minutes Enhancing quality in HR management in the Humanitarian Sector 12 People In Aid May 2004

17 Recruitment and selection Key skills for interviewers Listening and questioning Time management Planning Negotiation Evaluation Decision making Objectivity Adopting a listening approach Observe look at the candidate. Observe expressions and movements. Pick up key words Suspend judgement refrain from evaluating until you have fully understood Summarise reflect back what you have heard to ensure mutual understanding Give support encourage open expression and use nods and smiles when appropriate If adequate documentation is available concerning the skills and profile required, then all of these methods are useful, provided also that qualifications and references are checked to ensure authenticity. The IFRC International Recruitment Handbook provides useful guidance on interviewing overview, preparation, format, questionnaire and assessment, together with template forms 9. For example, the guidance describes the interview process, and suggests key guidance for the interviewer including sample questions which might be asked. Selected examples of the guidance provided is given below: 1. Preparing for the interview: Plan who will be involved in the interview panel Hold no more than three interviews a day Prepare technical questions for the interview questionnaire Plan who will lead the interview and who will ask which questions Choose a room that is free from disturbances/distractions Allow adequate time for the interview and for the assessment Always take notes (with discretion) Confidentiality is important at all stages 2. Guidance for the interviewer: Prepare well in advance, study and compare candidate s CV to relevant position description with solid factual knowledge about the dimensions to be assessed, professional competencies, motivation/realism, personal qualities The ability to establish good contact quickly with different kinds of people should be developed to allow for a beneficial exchange of information Separate the time for questions and the time for providing information Follow the order of questions in the questionnaire Ask one question at a time During the questioning, spend 80 per cent of the time listening and 20 per cent talking. Don t underestimate the power of silence Learn to develop excellent listening skills: to hear more than is said so that you can follow up with probing questions Be aware of one s own mindset with preferences and biases Be aware of one s own limitations in the frame of reference Verify intuition and gut-feeling by facts Avoid leading questions. Introduce questions with interrogative words, such as How? Where? What? Why? When? Be calm and emotionally neutral so as not to influence the candidate Interact with all candidates in a positive and respectful manner Record the assessment directly following the interview, making a note of any information that could not be ascertained Using standard job descriptions, the IFRC links the job description for the post with the interview and the assessment of the interview against the criteria in the job description, and provides proformas for each of the relevant documents for those who will undertake the interview. Internal rosters exist primarily in larger agencies, and comprise staff who are already employees, who might be reassigned or seconded in an emergency. The internal roster would include HQ staff with relevant skills and experience, international and nationally recruited field staff, and also staff who have previously returned from the field and might be available for further assignments. Section 3 People In Aid May Enhancing quality in HR management in the Humanitarian Sector

18 Section 3 Section 3 The larger agencies, with global reach and a permanent presence in more than 20 countries have access to a significant number of international and nationally recruited staff, whose skills and competencies, provided the information systems exist, could be recorded centrally and made available to managers. In an emergency, such agencies can access staff very quickly, and are able to second them to the site of the emergency temporarily. Smaller agencies, however can also operate internal mobility systems, and, for example (through Active Staff deployment) will move staff from one project to another to respond to critical needs. The internal market is created when an agency (or agencies working together) have sufficient reach globally, and are of sufficient size and impact, that they are able to re-deploy people from one country to another on short or long term assignments and have sufficient resources and staff for this not to damage programme management in that country. However to achieve this requires the quality of commitment, management and information systems and procedures that can normally only be funded by large international agencies and networks. The advantages of such an internal market are immediate response times to crises are much quicker than would be possible through external recruitment, and they provide mechanisms for creating mobility among the staff, and especially for nationally recruited staff but they require systems to be in place, and significant time and financial input to maintain. Developing an internal roster key elements for success: Clearly defined goals and objectives Strong, professional capacity-building component Organisational buy-in and commitment, at all levels Monitoring and evaluation system Sufficient financial and human resources allocated for dedicated management, personnel and training systems Diverse composition of the roster members skills and competencies Support for country programmes contributing roster members Pro-active deployment of roster members (about 1 / 3 of roster per year) Support systems to retain staff interest and motivation 10 Unless there is investment in the development of HR information systems and also skills development among nationally recruited staff, it is unlikely that smaller agencies will be able to exploit their potential. In responses to this survey, most agencies had little or no information on their national staff, and a great deal of work remains to be done in agencies of all sizes before this potential is realised. Profile Oxfam GB Emergency roster Oxfam GB deploys emergency professionals, in a typical emergency, from a pool of 45 specialist staff (Humanitarian Support Personnel), sometimes supplemented by staff based in the eight regional offices. If additional staff are needed, Oxfam will use its emergency register, which comprises external professionals and an internal roster of Oxfam staff worldwide. Oxfam GB is now updating its emergency human resources systems, including its emergency register: It has established a dedicated human resources team in the humanitarian department It has invested in developing a new register database system through an adapted version of Abra software for launch in 2004 There is no dedicated training element provided for roster staff, as Oxfam considers the humanitarian training provided to all country programme staff at the regional level sufficient It is hoped that this new web-based roster system will provide a lighter, more flexible recruitment tool, with a wide pool of candidates Oxfam can call on quickly in an emergency which should also allow managers in regional and country offices to conduct recruitment searches themselves, thereby minimising the time and resources required to maintain the roster in the main offices in Oxford UK. Many agencies, including Oxfam, have found that the success of an emergency roster depends on internal management buy-in for the system and systematic monitoring of the rosters use in order to measure its actual impact as an emergency response tool. 11 Enhancing quality in HR management in the Humanitarian Sector 14 People In Aid May 2004

19 Recruitment and selection External registers In the UK, RedR and IHE have recently merged, but each still operates a substantial register. Programme managers, logistics and WATSAN RedR s register includes: Water, mechanical, construction, environmental, agronomy, transport and electrical engineering Accountancy/Finance Personnel management Admin/Office management Security Construction Training Information/PR Logistics Information technology Institutional development Health IHE s register includes medical personnel surgeons, doctors, nurses, paramedics and administrators. IHE also publishes a magazine, Health Exchange, which includes advertisements for personnel required by NGOs and other organisations. Finance Mango, an NGO which provides training, consultancy and advocacy services relating to financial management, also maintains a register of finance managers and staff. The costs of using these resources varies RedR would seek a voluntary donation towards costs (e.g. RedR Australia would expect a donation of Aus$ 1,000) whereas Mango bases its charges on a proportion of first years salary (10 or 15%) with a minimum charge of #1,500. The UN, via OCHA, also maintains a register of rosters of internationally available disaster management expertise, listing those registers within the UN system and international organisations and NGOs. pernet/index.html Other registers we know to have been used by NGOs and funders include the following: CINFO: AGEH: CANADEM: OASIS: Bioforce: Joint registers In the last two years, discussions have taken place concerning the establishment of a joint register (Humanitarian Personnel Register Network) between RedR, IHE, Bioforce and cinfo. But these have not led to a concrete proposal. Such an initiative makes very good sense in principle, especially for experienced aid workers, as different registers often duplicate names and effort is wasted chasing the same people. There is also scope for agencies involved in particular technical specialities to coordinate registers more closely for example, medical personnel or water/sanitation engineers. There is also potential for an outsourced register, perhaps managed commercially, and this might be financially advantageous for small and medium sized agencies, as they suffer substantial costs maintaining independent registers. However this would require a change of mindset if commercial level fees are to be paid. Responding quickly to fluctuating needs Agencies have a number of tools for accessing people in fast response, and can also manage the day-to-day recruitment needs of programmes, but over the long term there is a problem in responding to the needs to expand and contract staffing levels. Possible strategies for meeting surge in demand: 12 Establish a telephone hot-line for people wanting to express interest or getting more information on whether they could be considered. British Red Cross have a telephone service as do VITA in the USA For specialists, target professional networks more carefully Set up Emergency Response Units (e.g. Red Cross network) Make better use of the Internet for posting vacancies and allowing people to register their interest Conduct learning reviews after each major emergency From the outset augment human resources capacity at HQ but especially in the field Rely on a succession of retirees/ex-staff who can be brought in at short notice for the short term Section 3 People In Aid May Enhancing quality in HR management in the Humanitarian Sector

20 Section 3 Section 3 Emergency response/standby teams are maintained by a number of larger agencies, including Oxfam GB s Humanitarian Support Personnel of experienced relief specialists contracted to be available at short notice for assignment on a worldwide basis. World Vision (WVI) has a Global Response team of 27 staff, dispersed around the world, ready for deployment within hours in a major emergency. The IFRC maintains Emergency Response Units formed from specially trained National Society staff, who are seconded to the IFRC either as a team or as individuals. They can be deployed at very short notice. Increasingly larger agencies are developing their own emergency response teams and SC UK, Tearfund, Caritas Europa have established such teams within the last few years. Caritas Europa (CE) has a two-step process in a major crisis (defined as affecting over 10,000 people). An ERST (Emergency Response and Support Team) is ready to go three to seven days after the news of an event reaches the CE office. Around 150 staff are on the register, drawn from Caritas member organisations. Each register member has an annual medical check, training in emergency response (minimum standards in project and financial management, as well as International Humanitarian Law and security) together with a skill in at least one other area of value to a team: trauma, technical sectors, working in conflict, team leadership, a language, etc). All members of an ERST must be salaried employees of Caritas member organisations. After about six weeks ERST is replaced by a STEP team (Support Team for Emergency Programmes) comprising people not on a Caritas member payroll but engaged for three to twelve months. These individuals respond to the activities identified by ERST and ultimately their activities are funded by donors. 37 have no dedicated HR department 26 have no HR policy They have less financial and personnel resources available to mobilise and organise a response, or to manage preparedness mechanisms like registers. However, many will have limited personnel registers. Generally, their response to a new emergency involves sending an assessment team that makes a survey and proposes a programme, which then requires funding. Very rarely is the funding available in advance and often the agency will depend on official funding which donors are sometimes slow to confirm, and slower to transfer. Meanwhile, the larger agencies have been able to respond using their own resources and their local contacts and offices and staff, and will already be recruiting staff locally using their contacts and local offices. The smaller agency, meanwhile, is very fortunate if it can become operational inside one month, whereas the large agency is already active within a week, and is more likely to make mistakes in recruitment, and to suffer the costs of inflation in salaries and house/office rents etc but is least able to afford them. Agencies with natural counterparts (the Churches, for example) have an advantage because they can establish contact with local representatives, and start work quickly through their local skills base and infrastructure, but are then dependent on the capacity of the local partner, and not necessarily able to influence policy or practice. There is considerable evidence of smaller international agencies working together operationally in emergency programmes, and even more experience of joint activity in development situations, but there is still a definite opportunity and need for agencies to collaborate much more closely on recruiting and mobilising both international and nationally recruited staff. For further information on inter-agency collaboration see Section 4 of handbook 1. Throughout the process the Caritas member in the country affected has worked on planning and with the ERST. A percentage of funds raised for the crisis is spent on building the capacity of the local partner. But most agencies are small of the 142 NGOs with Framework Partnership Agreements recently audited by ECHO have less than 20 staff at HQ Enhancing quality in recruitment skills and competencies In recent years there has probably been too much reliance on the technical skills and experience of the humanitarian aid worker and manager, and not enough attention paid to a wider range of competencies which are essential in a good humanitarian manager. Now a wider range of competencies are identified. For example, IFRC Enhancing quality in HR management in the Humanitarian Sector 16 People In Aid May 2004