Financial

Management
STRUCTURE Human
Resources
SUSTAINABLE
DEVELOPMENT

Series 2
ORGANIZATIONAL

MANAGEMENT

Impact Assessment
Career Development
Strategic Planning
SYSTEMS Supervision
Objectives Monitoring
and Evaluation
SUSTAINABILITY

2/

Module

Human Resources
Management

Human Resource Management

Introduction
Before you begin
Recruiting and hiring staff
Personnel files
Personnel policies
Rewards
Work schedules and time sheets
Compensation and benefits
Leave
Grievance and termination policies
Staff development
Motivation and staff morale
Types of supervision
Check your supervisory style
Steps in planning and conducting effective facilitative or integrated supervision
Keys to supportive supervision
A word about integrated supervision
Staff performance appraisal
Steps in planning and implementing an appraisal system
Getting the best from an appraisal interview
Summary

1
3
4
5
7

9
9
10
10
13
17
17
20
24
26
27
28
30
32

Table, Figures and Exercises

Figure 1:
Figure 2:
Exercise A:
Figure 3:
Exercise B:
Figure 4:
Figure 5:
Figure 6:
Figure 7:
Figure 8:
Exercise C:
Figure 9:

Model skills matrix

Model time sheet
Staff development opportunities
Motivators, satisfiers, and the job
Motivators
Recommended supervision process
How integrated supervision works
Roles and tasks of supervisors and employees in appraisal
Participatory continuum diagram (Appraisal)
Employee readiness for appraisal
Q&A: Do you have an effective appraisal system?
Dos and donts of performance appraisal

Annexes
Annex
Annex
Annex
Annex

A:
B:
C:
D:

Staff appraisal form: Sample one

Staff appraisal form: Sample two
Service delivery point/quality assurance checklist
Preparing a tailored supervisory checklist

6
9
12
15
16
25
26
29
30
31
31
33

ix

Introduction
Basically, managers need three skills for effective management: human relations, conceptual,
and technical skills. Human relations skills are critical for managers at all levels. They
contribute to the managers ability to bring out the best in people. This, in turn, will help
organizations achieve priority goals and objectives, since good staff performance, exploitation
of potential, skills development, and positive attitudes are essential ingredients for overall
organizational advancement. Human resource management requires skills in training and
developing staff, motivating and bolstering staff morale, administering personnel policies,
supervision, and staff appraisal. The managers role in a human resource management system,
therefore, is to institutionalize sound policies affecting the recruitment, selection, performance,
training, morale, job satisfaction, and development of all persons who report to him or her.
This module will enable a manager to:
h

Develop staff using on-the-job and off-the-job techniques for improved job
performance.
h Institute various motivating initiatives to boost staff morale, willingness to work, and
job satisfaction.
h Prepare and adopt personnel policies that meet staff and organizational objectives.
h Establish an effective supervisory system that will assure optimal staff performance and
overall program effectiveness.
A manager must have critical human resource management and human relations skills to get
the very best out of all staff members. A manager must be proactive in assessing staff needs
and the organizations human resource management systems effectiveness. A manager must
anticipate where and when, in the context of his or her organization, new initiatives or systems
improvements may be required. At a minimum, human resources policies should be
reviewed in their entirety at least once every three years. Make sure that selected
policies, especially those affecting salaries and benefits, remain up-to-date, (e.g.,
taking into account changes in laws, increases in salary levels within comparable
organizations, and new organizational policies).
A good human resource management system gives a high degree of consistency, predictability,
and fairness to the often difficult and dynamic interpersonal relationships affecting staff and
managers. Good and clear human resources management policies can make a significant
difference in an organizations ability to achieve its goals and objectives or to sustain programs
without undue turmoil or confusion.

Critical human relations skills include:

Effective
Communication

Group dynamics/
Team Building
Appraising
Staff
Performance

Motivating
Subordinates

Training and
Developing
Staff

Administering
Personnel
Matters

Elements of a good human resource

management system
Before You Begin...
Determine your organizations Sensitivity
Quotient
Tick if you have:
Written personnel policies that have been updated
within the last three years
A personnel handbook
Clear, detailed procedures for recruiting and hiring
Staff appraisal systems
Separate confidential personnel files for each
employee
A system of written, weekly time sheets for each
employee
Formal staff development mechanisms including inservice training, internships and externships,
graduated increases in job responsibilities, study
tours, sabbaticals, subsidized studies
Clearly defined career ladders and written job
descriptions
Mechanisms to recognize or reward exemplary
performance
Procedures or systems manuals or guidelines
covering key programs or activities
Formal staff supervision mechanisms and systems,
including mechanisms for feedback and workload
review or reallocation
Salary or benefit surveys or studies
Clear grievance procedures that are viewed as fair
and transparent
A clear, current organogram that shows positions,
units, levels of authority, supervisory relationships,
and coordination responsibilities (see also Module
2: Organizational Structure)

You can initially assess your organizations human resources management by the number of
boxes that you were able to tick. This module will help you identify and address other issues
so that your management of human resources can be improved.

Recruiting and Hiring Staff

Recruiting and hiring new staff is one of a managers most important roles. Often, new hiring
occurs as a result of organizational expansion or implementation of new programs. Sometimes,
hiring occurs to replace a departing employee or to address gaps resulting from normal staff
attrition. A manager should institute a rigorous, fair process that draws in staff who may work
with the new employee, or staff who have good instincts or judgement about the candidates
suitability or fit within the organization. One way to get consistent and useful input from
staff or other managers is to constitute an interview committee or panel to screen applications,
short-list those who seem most appropriate, interview and rank short-listed candidates,
and recommend the person who should be hired. Before recruitment begins, always prepare
a job description for the new position, or review and update the existing one. A job
description will clarify the skills, traits, and professional experience needed to carry out the
job.

Tips on Recruiting... Caution and Care Are Called For

Prepare or revise an appropriate job

description
Make sure you advertise the position
inside the organization, and in wellread or effective local media. Clearly
describe duties, terms and conditions,
and skills or experience required.
Develop selection criteria related to
the job description.
Convene an internal panel. Let the
panel review all applications against
the selection criteria and prepare a short list (usually 3-5 candidates) of those who
should be invited for an interview.
Send a formal letter of inviting short-listed candidates for an interview. The letter
should clearly state the time and place for the interviews, and whether candidates
should bring additional materials (e.g., writing samples).
The interview panel should use a scoring sheet or format to ensure consistency. A
model is found in Annex B.
References of the top two candidates should be checked by the manager to ensure
confidentiality. Further interviews with the most likely applicant may also be needed.
Send a letter to confirm the appointment and the first day of work. It should also
include the salary, terms and conditions, job description, an employee handbook, and an
organogram (if available.)

Personnel Files
Each organization should have confidential personnel files for each full-time and permanent
part-time employee. These files should be managed by the Personnel Administrator,
Administrative Officer, or, as is the case with smaller organizations, the Finance and
Administration Officer. At a minimum, personnel files should contain;
h
h
h
h
h
h
h

Letters of appointment
A job description
Salary records
Records for annual, sick, or other leave
Records covering employee benefits, including insurance
Letters of commendation
Records covering statutory deductions (e.g., national pension schemes, taxes, national
medical insurance, etc.)
h Deductions from pay or standing orders requested by the employee
h Letters of warning or reprimand
h Letters of resignation or termination
Sometimes, personnel files also include time sheets for a quarter or the year in question.
Generally, travel expense reports or other forms filled out by the employee are filed separately
by subject.
Personnel files must be kept strictly up-to-date and confidential. This generally means that
they are kept in a safe place under lock and key with restricted access. No employee should
see the records of another unless s/he is authorized (e.g., the person who prepares payroll).
Usually, national laws govern how long personnel records must be retained after an employee
has left the organization. It is prudent to obtain written permission from an employee before
disclosing any personnel matters relating to him or her to outsiders.

Skills Matrix
Since staff members are an important organizational resource, it is useful take a survey of
employees (usually once every 2-3 years) to determine the kinds and levels of skills that they
have. This can be very pertinent information when managers or supervisors are:
h Making decisions about staff deployment for new or special initiatives
h Organizing training or staff development activities to bolster skills
h Seeking resource persons to assist with training or technical assistance within the

organization or with partners or communities

h Assessing gaps in skills and knowledge within the organization that must be bridged.

Figure 1 shows a model skills matrix. It can be distributed to staff to fill out after a discussion
of the uses of a skills matrix at a staff meeting. Results of the skills matrix exercise can serve
as the basis of a personnel data bank. Staff should be cautioned to be honest about their
levels and kinds of skills in completing a skills matrix. No points are given for ticking the
most boxes! It is not a competition among staff to see who can demonstrate the most extensive
experience base. Managers and supervisors may have to revise some of the information

General categories
Financial management
Institutional development
Quality of care
Adolescent health
Research and evaluation
MIS
Training
IEC
Clinical services
CBD
Integration

Task oriented skills

Training
Training strategy development
Curriculum development
TOT (specify type of trainers)
Protocol/guidelines development
Training materials development
Management of training

Systems
MIS development
Management systems development
(including supervision)
Financial management systems dev.
Logistic system development
IEC
IEC strategy development
IEC materials development
IEC campaign planning
Services
Service delivery materials dev.
FP clinical skills development
Contraceptive tech. update training
Infection prevention skills development
CBD procedures guidelines devel.
Counselling dev. (specify type)
Program development
Needs assessment
Proposal development
Project/program budgets devel.
GFR analysis
Research and evaluation
Research proposal development
Catchment area survey
Project/program evaluation
Data analysis and report writing
Cost-effectiveness analysis

Institutional development
Institutional dev. assessment
Strategic planning
Income gen./fundraising planning
Sustainability planning

Level of
skill

Years
Expr.

Name

Years
Expr.

Level of
skill

Name

Years
Expr.

Level of
skill (High,
Med./Low)

Areas of expertise/experience

Name

Figure 1. Model skills matrix

provided by staff based on their own (i.e., the managers) assessment of the staff persons
skills and abilities.

Personnel policies
Clear personnel policies guide both managers and staff. Personnel policies cover an array of
issues affecting job requirements, tenure, entitlements or rights, rules and regulations affecting
staff, and other matters. They are usually articulated in standard operating procedure manuals,
staff handbooks, or operational manuals. They outline an organizations policy and
administration, salary, compensation and benefits, working conditions, staff development
approaches, grievance procedures, paid leave, retirement, promotions, job classifications,
privileges and a host of other issues. Written policies ensure clarity or common understanding,
facilitate optimal worker productivity, and foster job satisfaction. Managers should therefore
invest in establishing and enforcing compliance with appropriate and effective personnel
policies.
Organizations should conduct thorough orientations for all incoming staff. At a
maximum, an orientation should cover: all personnel policies; responsibilities,
tasks, and elements of the job description; and reporting, supervisory, or
coordination and communication lines. A more complete and preferable
orientation should include: exposure to field work and collaborating agencies or
partners; visits to communities covered by programs or activities; and structured
interactions with colleagues to complete a project or work product. Organizations
should also determine a reasonable timeframe for probation before an incoming
employee is confirmed. This period allows managers and supervisors to monitor a
new staff persons performance, demeanor, and fit with the tasks he or she has
been hired to undertake. Confirmation must always be in the form of a letter.

Remember...
Key personnel policies generally include

Staff appraisal policies

Career ladders
Reward policies
Work schedules
Compensation and time sheets
Leave
Grievance and termination
Disciplinary procedures

Rewards
Staff performance should determine whether and what kinds of rewards are given. They can
be monetary, (e.g., salary increments and bonuses) or non-monetary, (e.g., public
acknowledgement of a task well done). Recognition is an important incentive to spur continued
good performance. Organizations should establish and follow written guidelines governing
such awards and the basis on which they are given should be clearly spelled out.

Work schedules and time sheets

Work schedules and time sheets are complementary components for planning, reporting on,
and monitoring work by individual employees.
Every organization should introduce and require time sheets from each full-time
or regular part-time employee. Time sheets allow supervisors to monitor levels of effort,
work load, and individual staff contribution. Time sheets are also used to allocate (and predict)
program, activity, or organizational costs.

Figure 2 is a simple time sheet that can be adapted for use by most organizations. It shows
time spent each working day of the week and has a column that can be used to record overtime
or if desired specific program or activities codes that can be used to segregate costs. For
example, if a staff member is working on several programs or activities, he or she may be
asked to indicate how many hours were spent on each activity daily. If codes are to be used, a
uniform coding system should be introduced and tied into accounting or financial management
systems. Time sheets should also be signed by the staff member and the supervisor each
week. Time sheets are usually filed in individual files by employee or in a common timesheet
file covering all employees by quarter.
Work schedules, or work plans, are covered in greater deal in Series II: Module 1. In
preparing work schedules, the following questions should be considered:
h
h
h
h

What is to be done?
Where will the activity take place?
When will it take place?
Who will perform the task?

Individuals should prepare weekly, monthly, or quartely schedules depending upon their
organizations planning cycle. Usually, individual schedules relate to a unit, departmental, or
organization-wide work plan. That is, the individual schedule must relate to plans and targets
of the entire program or organization if goals and objectives are to be achieved. Managers and
supervisors should use work schedules and time sheets to determine and monitor levels of
effort, allocate work load, and assess performance. For further details refer to Series II Module
1 Workplans.

Figure 2. Model Time Sheet

Location/Unit
Name
Title

Period covered
(week starts with Sundays date)

Sun

Mon

Tues

Wed

Thurs

Frid

Sat

Total

Time in
Time out
Time in
Time out
Total #Hrs.
Special codes/overtime

Total hrs worked

Employees Signature

Supervisors Signature

Compensation and benefits

In order to motivate clear provisions outlining compensation and benefits should be built
into a personnel policy. These may include salary ranges, time in service before leave, bonuses,
raises, house and transport allowances, personal medical or life insurance policies, subsidiary
training, etc. Wherever feasible, an organization is advised to establish salary bands or
ranges and grades so that staff know what they will be paid when they attain a certain job
level. These ranges must be periodically reviewed and adapted so that compensation remains
competitive with other comparable organizations. The best way to do this is to conduct a
salary survey by asking comparable organizations about their compensation policies.

Leave
Periodic absence from work for recuperation improves staff performance. Staff should be
encouraged to take leave as specified in personnel policies.
There are several types of leave that are routinely provided for staff. In most countries, national
labor laws or policies affect an organizations leave policies (e.g., maternity or sick leave).
Leave for each staff member should be routinely monitored. If possible, staff should receive
periodic statements on the amount of leave they have taken, and the amount that remains for
the year. Remember that annual leave is like money. Usually, an organization must pay
departing employees for all unused annual leave they have accumulated prior to their departure;
unused sick leave is almost never paid to an employee. Therefore, keeping accurate count of
vacation or leave is in an organizations and a staff persons best interest.

Type of leave

Usual duration

Casual leave
Annual leave

3 5 days
14 30 working days depending on
staff seniority
2 3 months (or 60 to 90 working days)
Not more than 1 year
Usually earned at the rate of 1/2 or 1 day
per period cummulated (Duration as
supported by doctors report)

Maternity leave
Study leave
Sick leave

Grievance and termination policies

A grievance policy is standard in most organizations. It is usually outlined in the conditions of
service for employees and describes the formal procedure through which employees complaints
are submitted, processed, and resolved. (See Series I, Module 3 on Conflict Management).

10

A termination policy, also standard, usually describes the grounds for employee dismissal and
employee rights when this occurs. Occasionally, problematic situations call for a fair hearing
and an appropriate review and decision-making process. Employees generally have the right
to avail themselves of these processes. Some organizations establish disciplinary committees
or other standing bodies to hear all matters requiring disciplinary action or employee
grievances before final termination. Whatever method is chosen (i.e., individual, supervisors
review up the hierarchical chain, or a committee), this is an area where rights and procedures
(for staff, supervisors and the organization) must be carefully and precisely detailed. Legal advice or
review in establishing such procedures is useful.

Staff development
Staff members are an organizations most valuable resource. Managers should invest in staff
by continually providing opportunities for them to improve their skills and acquire new ones.
For a manager, a pivotal role to develop the people who work with or in key programs and
activities. Staff development and manager-staff interactions touch on all five basic operations
in a managers work (see next page). After staff roles and responsibilities and placement
within the structure are clarified, staff development focuses on training for specific skills or
knowledge of procedures needed for good job performance. It essential to make personal and
career growth opportunities available so that employees feel that they are bettering themselves
and becoming more productive members of the organization. Training or skills building can
be both formal for example, in-service training or informal, such as on-the-job training.

Food for Thought...

There are 5 basic operations in the work of a manager:

1st A manager sets goals and objectives.

2nd A manager organizes.
3rd A manager motivates and
communicates.
4th A manager measures by establishing
yardsticks or benchmarks of
individual or organizational
performance.
5th A manager develops people,
including herself or himself.

11

There are several good reasons why staff should be trained and developed, including:

Enlarged pool of skilled staff at all levels of the organization

Improved individual job performance with resulting improvements in
overall organizational effectiveness
Improved service to customer/clients
Increased staff motivation

Exercise: Identifying Staff Development Opportunities

A good exercise for you and your staff is to identify potential staff development opportunities.
Using the format below, list potential staff development initiatives or activities, and the action

steps that must be taken to institutionalize them. Then, determine what existing policies are
implicated, who should take the lead, what resources are needed, and what time frame is
realistic for implementation. This exercise may result in very useful communication: you as a
manager will gain a deeper appreciation of staff aspirations, and staff will perhaps better
understand some of the organizations limitations and constraints that affect or limit staff
development initiatives.

Exercise...

The exercise above lists various methods managers can use to develop staff. Which of these
or what others, are appropriate to my organization?

How many opportunities for staff development can I think of?

12

Here are some ideas [tick as appropriate]:

Refresher training, workshops, and seminars

Specialized training to meet new challenges
Increased or structured participation in decision-making for areas affecting the
staff persons job
Study tours
Internships or exchanges with collaborating agencies, NGOs, educational institutions
Job rotation programs that enable staff to learn the jobs of others.
Providing materials for self-study
On-the-job training sessions or updates
Implementing concrete career paths or programs
Leadership of special initiatives or projects

Here are some other ideas that are relevant to my organization (fill in the blanks)

When initiating some of these staff development activities, here are some planning issues a
good manager must consider. Use the format below to guide your thinking, planning, and
implementation.

Staff development opportunities/

action steps (place in priority
order as appropriate
or feasible in your organization)

Organizational Persons
policies
responsible/
affected
persons to be
consulted

Resources
needed

Time frame
for
completion

Opportunity A:
Key Action Steps:
1.
2.
3.
4.
5.
Opportunity B:
Key Action Steps:
1.
2.
3.
4.
5.
Opportunity C:
Key Action Steps:
1.
2.
3.
4.
5.
Opportunity D:
Key Action Steps:
1.
2.
3.
4.
5.

Motivation and staff morale

The best thing that can happen to a manager is to have a highly motivated staff. Motivation
refers to feelings that affect behavior. It is something within us that impels us to action. It
may be a need, an idea, a belief, a shared vision, an emotion, or an organic state. Because all
human beings need encouragement, feedback, and stimulus, motivation actually affects the
way we perform and our level of comfort within the organization.
Different people are motivated by different factors. The chance to tackle new types of work, scope
to use own initiative without close supervision, encouragement and recognition for work well done, and
opportunity to take responsibility are factors described as motivators or growth factors. These
give a worker a sense of personal accomplishment through the content of the job and the
organizational dynamics of completing new tasks.

13

Organization policy and administration, supervision, working conditions, interpersonal relations and
salary are described by theorists as hygiene or satisfiers (which lend to maintaining
the employer-employee relationship factors. These factors rarely motivate workers by
themselves, but when they are in a healthy state, they create satisfaction; when they are
unhealthy, they turn into dissatisfaction. They are environmental factors that surround the
job but are not inherent to it. Figure 3 shows the relationship between motivators, satisfiers,
and the job.

Some tips on motivating and enhancing staff morale

Concentrate heavily on motivators or

14

growth factors for staff motivation.

Provide adequate incentives to ensure
optimum productivity.
Recognize individual abilities and
interests.
Recognize cultural and perceptual
differences.
Provide regular opportunities for
advancement, training, and
development.
Give praise and appreciation often
and publicly where possible.
Provide opportunities to staff in
proportion to their performance and
ability.
Give financial and non-financial
rewards commensurate with good
performance.


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Figure 3: Jobs, motivators, and satisfiers

15

Exercise

Motivators
During a staff meeting, use this format to access what really motivates your staff. Staff
responses might give you clues about the best, or most effective, initiatives you could undertake
to increase staff motivation and interest.

Ranking Those Things Which Motivate Us...

Indicate with a tick the ranking of what motivates you as an employee. Chosing 1 means
that the issue is a significant motivator. Number 10 means the motivator is the least important.
You can add your own motivators if you like.

16

ISSUE
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.

10

Good relations with colleagues / team spirit

Job security
Good relations with supervisors
Chance to tackle new types of work
Shared vision or goals
Financial rewards or bonuses
Non-monetary recognition or encouragement
Training opportunities
Ability to take initiative without close supervision
Clear roles and responsibilities
Upward mobility / career ladder

After tallying the responses, give feedback to your staff about the issues that seemed to be the
most or important motivators. Do staff answers influence or change your planning priorities
in any way?

Types of supervision
Supervision can be technical, administrative and interpersonal. Increasingly, managers
understand that supervision must be facilitative, not punitive. Technical supervision requires
supervision of a given task, observing whether the set procedures are being followed and
expected standards are being met. The supervisor should be technically competent and should
make use of available procedures, standard manuals and protocols, which the workers are
aware of and use during their normal daily work. Administrative supervision (which is
akin to program supervision) generally entails monitoring the progress made in implementation
of activities and utilization of resources. Timeliness and compliance with rules are also
considered. Interpersonal supervision examines the relationships between supervisees
and their peers, subordinates, bosses and even customers/clients. It focuses on specific
behavioral aspects, such as the attitude, motivation, team spirit and conflict resolution and
management. A supervisors effectiveness can be further enhanced if supervisory styles are
skillfully varied from time to time in response to different situations or staff needs. As
organizations reduce vertical programs and integrate services, more managers are establishing
team-based or integrated supervision.
This module section focuses on supervision, a vital component of human resources
management. All managers at every level and in all parts of an organization have supervisory
roles and functions to perform. A managers level usually will indicate the kinds of human
resource management functions for which he or she is responsible.

Supervisor
Monitors program or
facilities staff
performance
Enforces standards of
practice, protocols,
guidelines
Solves immediate staff
problems
Provides on-the-spot
TA or training
Oversees distribution of
supplies

Middle Manager
Plans and manages
programs
Directs staff
Monitors budgets
Orders and allocates
supplies or conducts
respurces
First line appraisals

Top-level Manager
Articulates and
facilitates development
of consensus on
long-term strategic
vision
Sets policy
Facilitates development
of long-term program
plans
Seeks, acquires, and
distributes funds and
resources
Selects, hires, and posts
higher-level staff
Serves as liaison with
organizations governing
structure(s)

A supervisors main function is to help workers perform their duties at the highest possible
level. Guidance, support and staff development should be provided by a supervisor for the
purpose of improving performance of the staff and the entire organization.
Supervisors are not perfect! A supervisor may not always understand how his or her contacts
can affect subordinates. Supervisory conduct or attitudes may fall under 3 broad categories.

17

AUTOCRATIC The supervisor expects

the supervisee to do what he or she (the
supervisor) wants. The supervisor acts as
Mr or Ms Know-It- All and is rude and
harsh. The supervisees views are usually
ignored.

LAISSEZ-FAIRE The supervisor gives no

direction at all to supervisees and completely
abandons supervisor roles.

18

PARTICIPATIVE or DEMOCRATIC The supervisor consults with supervisees before judgements and decisions that affect the
employees work are made. The supervisor molds a team in which all
views and contributions are valued.

Bright ideas...
Check your own supervisory style...
Do You:

Yes

No

Some
times

Unsure

1. Set individual performance

objectives with an employee
so that he or she knows what
is expected?
2. Have regular contacts with
staff through meetings and
structured supervisory
sessions?
3. Prepare written supervisory
session plans and/or
schedules?
4. Provide systematic feedback
that is designed to help staff
solve problems or improve
performance, or to give
guidance, assistance and
support?
5. Periodica;;y review staff job
descriptions, assignments, and
workload?
6. Praise staff publicly or in
writing?
7. Conduct informal discussions
or brainstorming sessions to
obtain staff views?
8. Give staff an opportunity to
critique you or other
managers or overall
organizational performance?
9. Give clear, written
instructions, assignments,
or deadlines?
10.Review staff records and work
place conditions?
11.Delegate responsibility
appropriately?
12.Correct or criticize employees
in the presence of others?
13.React negatively to staff
members ideas?
14.Discuss one staff members
short-comings, problems, or
attitudes with another?
15.Insist on knowing every
detail about each activity?

19

20

Do You:

Yes

No Sometimes Unsure

16.Restrict contacts among staff

members or between staff
and board members?
17.Insist on performing multiple
jobs or functions even when
they are the responsibility of
specific staff members?
18.Review and give feedback
on written reports,
documents, presentations,
or program proposals?
19.Monitor and ensure
availability of adequate
equipment, materials, and
supplies?
20.Limit networking or
representational activities
to yourself or a very few
senior managers?

If you have been honest in your self-assessment, the results will probably be an eye opener.
You will likely detect some areas that warrant attention or improvement. However, to provide
some guidance in interpreting the results, if you answered yes to Items 1-11 and 18-19,
you are probably a democratic or participative supervisor. If you answered no to 1-11,
but yes to most of 12-17 and 20, you are probably more autocratic. If you answered
sometimes or unclear to most of the questions, you are probably a laissez faire supervisor
who should sharpen your supervisory skills and focus.

Steps in planning and conducting effective facilitative

or integrated supervision
STEP I
Prepare or review the organizations projects or broad supervision
plan. The plan should include statements of:

Levels at which supervision will be done

Who will be supervising whom and how often (frequency)
Purpose of supervision at each level
Broad aspects of performance of workers to be supervised.

The manager should make use of the most current organizational chart in clarifying
staff levels, reporting relationships, tasks or job elements, and coordination
responsibilities.

STEP II

Prepare a supervision schedule or plan.

A supervision plan of three to six month duration is recommended. The plan is a
timetable for supervision and includes dates, times, place or people involved and
aspects of the work to be supervised during supervision meeting. This plan also
allows a supervisor to give advance notice of the meeting to the staff.

The 6-month supervisory plan1

Health unit
(Area)

April

May

June

July

August

September

Namisambya

Thurs 5

Fri 11

Wed 13

Fri 10

FLE

RH

FLE

Wed 4
FLE
Mon 23
VHW

Fri 14
RH
Fri 28
HCM

Wed 11

Thur 10

Wed 6

Fri 13

RH

FLE

RH

VHW

Kisozi

Fri 13
RH

Wed 9
FLE

Fri 8
RH

Thurs 26
FLE

Wed 22
FLE

Thurs 20
RH

Bugulumbya

Thurs 19
RH

Fri 18
FLE

Thurs 21
RH

Wed 4
FLE

Thurs 16
FLE

Wed 12
RH

Naminage

RH
Wed 8
RH
Tue 30
HCM

Wed 26
FLE

Key to activity code

RH
Curative
FLE
Family Life Education
HCM
Health Committe Meeting
IMM
Immunization
VHW
Village Health Workers

STEP III

Plan for supervisory sessions.

Review previous report of supervisee or facility staff.

Review your (or the supervisors) last supervision visit report.
Review job description(s) of the supervisee or staff.
Make decisions on areas to strengthen during the visit such as problem areas
to address, local targets, duties as per job description, procedures to follow in
technical performance and logistic support needed. The supervisor should
develop or use a checklist for these items. A model checklist for clinical
integrated health service delivery is found in Annex C. Some tips on preparing
checklists, whether for health or programs in other sectors, are found in
Annex D. These checklists are for very comprehensive (usually annual)
reviews. For spot checksor supervisory visits focused on identified or
recurring problems or performance deficiencies, a summary or shorter
checklists highlighting selected areas should be used.

Adapted from CAFS: Family Planning Programme Management, Module x, p.55

21

STEP IV
Select appropriate techniques and tools for your supervision. Ability to applying
and using the techniques and tools appropriately will determine the supervisors
effectiveness.
Some examples of supervisory tools (instruments) and techniques that managers/
supervisors may use include:

TOOLS

Job descriptions
Checklists
Policy manuals
Procedure manuals
Registers and records
Reports
Charts and graphs
Workplans and schedules
Guidelines for supervision
Duty rosters

TECHNIQUES
Supervisory/observation visits
Interviews
Meetings for specific purposes
(e.g. problem-solving)
Feedback
Setting targets with supervisees
Following up issues and problems
Rapidly responding to requests for
assistance

STEP V

Conduct supervision
22

A supervisory visit includes...

Collecting information
Identifying problems
Providing encouragement
Sharing technical information
Assessing work conditions
Finding possible solutions to identified problems
Conducting OJT for staff
Providing technical assistance
Giving tips for improving performance
Following-up from previous visits
Providing feedback

When on-site...
Review plan or objectives of visit during meetings with staff
Explain how visit will be conducted [e.g., observation, individual meetings,

informal training, Q & A sessions]

Review observations and recommendations of last visit with staff
Observe day-to-day activities [clinical/field, management, personnel]
See how program areas interact
Take note of client treatment and views
Provide spot TA when feasible or appropriate
Record issues or problems observed
Note problems with equipment, supplies, commodities, drugs, space utilization
systems compliance

Note Activity Areas...

For most NGOs providing reproductive or other health services, there are three major
activity areas management, clinical and community-based. All personnel must also
be supported in at least three ways. Elements include:
CLINICAL
Service provision and screening
Counseling/IEC
Client follow-up/Referral
MANAGEMENT
Activity planning
Clinic organization
Client management
Resource management
Supplies management
Information management
COMMUNITY-BASED
Outreach and sensitization
Distribution of supplies/accurate information
Referral and follow-up
PERSONNEL
Staff motivation
Professional development
Conflict resolution
For NGOs managing other activities (e.g. development, research, democratization,
education, womens empowerment, environment, conservation, etc.), the clinical
activities will be replaced by those reflecting your organizations primary focus. For
example, in democratization, one might observe materials development, community
outreach, civic education seminars, and liaison with local officials or community action groups.
Supervision may be very frequent (for supervisors and supervisees working in

the same office/location) and less frequent (monthly, quarterly or half yearly)
when supervisors and supervisees are separated by geography or distance.
Supervisors or mangers at higher levels should occasionally visit in field to
support field staff.
Sometimes group or team supervision (in which a group provides
supervision or more than one staff person is supervised simultaneously as in a
facility review) reduces costs.
Before leaving the site, conduct a problem-solving team meeting
Discuss strengths and weaknesses
Formulate short- and long-term solutions, and identify resources needed
Give and get clear feedback
Determine follow-up activities
Set appropriate time for next visit
Supervisors at all levels of the organization should produce periodic reports for
their next level supervisors regarding activities that should be implemented
over a specified period. Supervisors should provide feedback to supervisees on
what they are doing well, where they need to improve, and how they can improve.
The reports should also outline how the supervisor will contribute to these
efforts.

23

Keys to supportive supervision

Be prepared! Give thought to what you wish to
observe, accomplish, address, or correct.
Review previous records and reports! Let your
supervision build upon findings and recommendations
from preceding visits. Ask yourself: How much
improvement has been evident? Are set goals and
targets being met? How do clients feel about the
services? What issues remain? What is the most
feasible way to solve identified problems?
Be thorough and professional during your visit! Try to
cover all areas or, if this is a focussed supervisory visit,
cover all aspects of the area to be supervised. Be
methodical and use a written supervisory session plan
that lists all the issues. Record your observations and
findings and share these with the team before you leave.
Follow up your visit with a written document a letter,
report, or format.
Keep an eye on common or recurring problems and try
to identify their causes! Is training needed? Can you
give TA on the spot to correct a problem? Is the
problem systemic or short-term? What resources are
needed to resolve the problem or increase skills and
efficiency?
Use supervision as a motivating rather than punitive
exercise! Look for ways of encouraging staff. Engage in
joint problem solving with them. Ask for and listen
carefully to their proposals and recommendations. They
may have the best ideas.

24

Figure 4 provides a schematic diagram showing the major tasks or steps recommended to
reinforce supervision and make it more effective for the supervisor and staff. A good supervisor
transforms these steps into an informal checklist, ensuring that s/he completes each step
before, during, and after each supervisory visit.

Remember...
If you want to be a good supervisor, try to show these additional qualities within yourself!

Sincerely want to do your job.

Create a record of success.
Demonstrate the ability to grow.
Be able to fit in your organization.
Acquire management and supervisory skills training.
Know exactly what is expected of you.
Take initiative.
Use the authority and trust given to function effectively.
Show leadership qualities.
Be open to constructive suggestions from any source.
Acquire enough technical knowledge to protect you
from making major mistakes.

Review
documentation

Prepare session
plan

Prepare for visit

Figure 4

Personnel
Issues

Assign
responsibility for
specific tasks

Make plan for

implementating
solutions

Analyze problems
and solutions

Present results
from supervision

Hold team
problem-solving

Review
individual
performance
issues

Streamline
implementation
plan

Debrief
with clinic manager

Adapted from Miller, Janice and Wolff, James A., Editors. Management Strategies for Improving Family Planning
Services: The Family Planning Manager Compendium. Page 363

Discuss plan for

supervising selected activities

Discuss
recommendation(s)
from previous
visit

Management
Activities

Clinical/
community-based
Activities

Review agenda
(goals and
objectives of visit)

Explain process
for supervisory
visit

Supervise
activity areas

Meet with
clinic manager

Recommended supervision process2

25

Prepare and
communicate
follow-up plan

Prepare report

Report on,
provide follow-up

A Word About Integrated Supervision

Pathfinder has pioneered a new supervisory technique that may reinforce an organizations
supervision of staff, programs, and services. Integrated supervision is an approach to
supervision intended to continuously improve the quality of services delivered to clients by
strengthening management at all levels of health care provision (See Figure 5). Integrated
supervision is based on concepts of teamwork, empowerment, and accountability, whereby
staff, individually or as a group, have the responsibility and the ability to make
decisions about program, client or customer care, and facility management.
Supervision becomes part of the daily, regular function of the facility or project site rather
than simply an isolated event. As such, integrated supervision can only be implemented at
sites or networks where there is management commitment to inaugurating this kind of change
and an organizational commitment to the values of personal accountability, employee
empowerment, and teamwork. Integrated supervision is linked to provider performance
improvement (PPI), and is often a corollary to an organizations effort to strengthen
supervision or implement continuous quality improvement (CQI).
Figure 5: How integrated supervision works
Integrated Supervision

Supervisor Ensures

Supervisor Supports

Outcome

26

Increased
Organizational
Capability

Empowerment
Staff Commitment
to Quality

Accountability

Teamwork

Continuous
Quality
Improvement

Improved
Services

Client
Satisfaction

Creating and maintaining an environment for continuous quality improvement (CQI) is facilitated with integrated
supervision (IS). The basis for IS stems from the underlying principle that supervision is everyones responsibility,
not just the role of the (traditional) supervisor. Because IS occurs at all levels (not just from the top down),
individuals enjoy the freedom of empowerment and self-direction and being held accountable for their actions.

Integrated supervision is akin to using a team approach for supervision and monitoring.
Like integrated supervision, a team approach recognizes the interdependence of staff and
systems in service and program environments. Most organizations are moving away from
supervising individuals, because individuals are rarely responsible for, or truly in control of,
all of the factors or inputs that influence the level, quality, and consistence of their performance.
For example, a clinic supervisor must depend on the finance and administration staff for
supplies, pharmaceuticals or contraceptives, or even equipment or improvements in
infrastructure. A program officer in a democratization and governance program will be
dependent on the outputs of those who conduct research or design IEC or advocacy materials.
Many programs benefit from the use of teamwork, where the main focus is problem solving
and the supervisor serves as a facilitator who assists with skills transfer and reinforcement of
standards.

Programs must ensure a firm foundation for integrated or team supervision by training
personnel in norms, standards, and quality assurance methods. Teamwork and positive
interactions among supervisors and staff should be emphasized as opposed to the usual
hierarchical, supervisor-as-inspector approach. Since many staff learned their jobs, and
learned about supervision, in the more structured hierarchical fashion, re-training in standards
of practice, the culture of quality, and consumer responsiveness as well as the new teamoriented supervisory techniques may be required. Data from supervisory teams or interactions
should be used to strengthen quality management; consultation with consumers to obtain
feedback on the quality of services should also be systematically reviewed. Some organizations
may want to incorporate these supervisory approaches as they develop or adapting CQI training
materials and curricula for all levels and incorporate norms and standards of practice and
quality management or quality assurance (QA) systems. Organizations may also want to
implement a QA training master plan, focusing on changing and improving supervisory
approaches.

RememberFive Keys to Effective Team Supervision3

To be an effective team supervisor you must:
Support your staff.
Pay attention to the needs of your staff and to the
external and internal environments in which they work.
Be a teacher devote yourself to educating your staff.
Discuss problems with your staff and work with them
to find solutions.
Understand the needs and demands of your customers,
clients, and stakeholders.

Staff performance appraisal

Staff appraisal is an essential management, or supervisory, skill. The words appraisal is
sometimes used instead of evaluation or assessment when staff performance is being judged.
Often this system is described as performance planning and appraisal, since the performance
based planning involves setting individual objectives against which the staff persons
performance can be accurately judged. Staff appraisal can, therefore, be described as a process
whereby the manager measures the actual contribution of each team member against standards,
targets or operational objectives which have been agreed on by both the supervisor and his or
her subordinates in an earlier planning phase.
Appraisals are normally conducted by most managers twice annually: mid-year and end of
year. The mid-year appraisal is usually less formal and highly interactive. As such, it gives a
worker ample time to improve on-the-job performance. Good appraisal techniques increase

Adapted from Miller, Janice and Wolff, James, editors. Management Strategies for Improving Family Planning
Services: The Family Planning Manager Compendium. Improving Supervision: A Team Approach. FPMD/
MSH, Newton MA, 1996

27

the chances of optimal achievement of an organizations objectives. Aspects of a staff members

job performance that require improvement are identified; causal factors may include constraints
resulting from the organizations systems and procedures to the employees lack of skills. The
discussion also gives the manager the opportunity to strengthen and develop his relationship
with each staff member and provides additional insights into individual strengths and
weaknesses.
The appraisal discussion can ensure staff development since it not only allows a manager to
develop strategies for strengthening areas where individual relevant skills are weak or lacking,
but also can facilitate changing requirements of an individuals job and his or her future direction
within the organization.
A staff members career path is extremely important. Effective appraisal discussions will
enable individuals to know where they are heading and have ideas of future positions that
might be suitable for them. Managers should not place too heavy a premium on form-filling
to the detriment of the much-needed, yet often overlooked, interactions with their
subordinates. This is especially true for a mid-term appraisal. A final appraisal should, however,
be commemorated by a written record such as two sample appraisal formats found at Annex A.
Managers effectiveness in handling appraisal discussions can be further enhanced, particularly
in terms of generating greater feedback from subordinates, if a flexible approach to the handling
of staff members is adopted. There is not a single best style of interacting, but a variety of
styles, each appropriate to different circumstances, is appropriate.

28

Steps in planning and implementing an appraisal

system
There are three steps in planning and implementing a staff appraisal system:
Planning meeting at the beginning of the year:
h Supervisor (appraiser) and the supervisee (appraisee) agree on standards, performance

targets, and other job expectations, using tools such as job descriptions, work plans,
and project documents.
During implementation of job duties and activities:
h Interaction between the supervisor and supervises continue using various work tools to

reinforce staff.
At the end of two work periods (6 months and 12 months respectively):
h Appraiser and appraisee meet in an appraisal interview session.
h Appraiser and appraisee engage in interactive discussions.
h After review and discussion, appraiser and appraisee jointly set operational or

performance objectives, targets, and standards for the succeeding period.

h Annually, a written analysis of the appraisees performance identifying areas for
improvement, is prepared.
Figure 6 shows the roles and tasks of supervisor and supervisee in planning and implementing
systems for staff performance appraisals.

TOOLS A MANAGER CAN USE FOR EFFECTIVE APPRAISAL:

JOB DESCRIPTIONS See Series 1, Module 2.
PERFORMANCE STANDARDS
These state conditions which will exist when a job is well done. In using this tool, the
manager and subordinate should determine what is to be done and how results can be
measured.
SPECIFIC OBJECTIVES AND TARGETS
Short-term levels of achievements which are specific, measurable and achievable.
INCIDENT FILES
Aids in the recall of good or bad performance, discussed and recorded at the time it
happened.
APPRAISAL FORMATS (See Annex A)
Contains all elements of the job be appraised and recorded. Two sample formats are
provided.
Managers should use the appropriate tools at various stages in the appraisal process.
Figure 6:
ROLES AND TASKS OF
SUPERVISOR AND EMPLOYEE

Clarify performance,
standards, job duties, and
expectations

TASK 1
Interpersonal
contact

Clarify expectations with

respect to job and
supervisor

Provide coaching,
feedback

TASK 2
Helping
relationship

Perform job and develop

personal strengths

Plan and conduct

performance review

TASK 3
Appraisal
interview

Appraise own job

performance

Assist in development and

approval of subordinates
plans for self-development

TASK 4
Goal setting

Establish goals and plans

for self-development,
propose job objectives,
timetables, and
measurement

Source: Colby, J. D. and Wallace, R. L. Performance Appraisal : Help or Hindrance to Employee Productivity.

29

Getting the best from an appraisal interview

An appraisal interview should emphasize interaction and positive relationships between the
appraiser and the appraisee. It should not just emphasize completing an appraisal form. Based
on the readiness and maturity level of the appraisee, the appraiser may adopt various styles of
managing the interview.
An appraiser can, for example, personally complete an appraisal form, asking the appraisee to
read over it and sign. This is a dominating style. On the other extreme end of the scale, an
appraiser may ask the appraisees to fill in the form without the appraisers input, discussions,
and feedback. This is the abdicating style and is equally unacceptable. However, in between
these two extremes are the telling, advising, joint, and self-assessment styles which the appraiser
can adopt during the appraisal discussion. Each one involves a progressively higher level of
involvement by the appraisee. Figure 5 shows a participatory continuum of appraiser and
appraisee involvement in an appraisal interview.
Figure 7: Participatory Continuum Diagram

Low

APPRAISEE INVOLVEMENT

30

R4

R3

R2

R1

Abdicating
Self-Assessment
A4

Joint
A3

Advising
A2

A1

Telling

Dominating
Appraiser Involvement

High

High

Source: Roger Pryor. Performance Appraisal A Fresh Approach.

Henley Management Development and Advisory Services and Interactive Skills Limited,
UK.

Managers should work towards helping their subordinates achieve preparedness for
participatory styles of discussion. This generally means building upon other participatory
interactions such as planning, assessments, job description reviews, etc. Sometimes, a manager
can benefit from a more systematic review of an individual employees readiness for
performance appraisal. As an exercise, a manager may use a format such as the one found in
Figure 8 to review attitudes of each staff member. If he or she is not ready for appraisal, work
on team building and staff development activities before implementing an appraisal system.

Figure 8: Employee Readiness for Appraisal

Appraisee Readiness
High

Low
Awareness of Standards
Job Knowledge/Skills
Attitude/Motivation
Problem-solving ability
Objectivity/ Judgement

Source: Roger Pryor Henley, Performance AppraisalA Fresh Approach.

Management Development and Advisory Services and Interactive Skills Limited, UK

Q&A
Do you have an effective appraisal system?
To answer this question, go through the following self-assessment exercise in reviewing your
current appraisal system.

i) Do you [manager(s)] and your appraisees hold planning meetings where you set targets
for the year? Yes
No
ii) Do you supervise and follow up with your subordinates regularly during
implementation of job duties? Yes
No
iii) Does your organization have appraisal tools used by staff?
Yes
No
iv) Does your organization use appraisal interviews in appraising staff?
Yes
No
v) Does your organization use appraisal formats for appraising staff?
Yes
No
vi) Do your supervisors and supervisees thouroughly review contingencies or constraints
beyond the supervisees during appraisal?
Yes
No
If your answers to all the above questions are No, you have not yet established an appraisal
system. If your answers to questions i), ii) and vi) are No, your appraisal system is weak and
needs to be strengthened and systematized.

31

Process point...

Action required!!!
Walk through the steps in planning and implementing
an appraisal system, tools for effective appraisal, and
getting the best from an appraisal interview to design
an effective appraisal system for your organization
and address key issues . In doing so, remind yourself
once again of the Dos And Donts Of Performance
Appraisal See Figure 9 and develop your system to
be as positive and effective as possible.

32
Figure 9: Dos and Donts of Performance Appraisal
You should do the following:
1.

2.

3.
4.
5.
6.
7.

8.
9.
10.

Communicate and give feedback

often, not just at appraisal time to
make the appraisal, less threatening.
Appraise your own performance
and how it may have affected that
of the employee.
Reassure your employee by building
on strengths; give him or her confidence.
Use a we attitude when discussing
problems.
Be candid.
Keep the interview on track.
Ask thought-provoking questions
(not yes or no). Restate or reflect
his or her statements. Listen with
warmth, frankness and real interest.
Talk about job results, not just activities
and incidents.
Function as coach, not as inspector.
Close by summarizing, planning together
for improvements and changes.
Write down the results.

But dont!:
1.

Pile up comments just for the appriasal.

2.

Assume that all faults lie with the

employee and that your performance
has no impact on his or hers.
Use negative words or too many
negative criticisms.
Use a you vs. me attitude.

3.
4.
5.
6.
7.

8.

Give insincere or excessive praise.

Use generalities that cannot be
backed up by specific examples.
Dominate the conversation.

Place much emphasis on personality

traits.
9. Be fussy, picayune or harried.
10. Be or seem rushed .

Summary
Human resources are the most valuable resources of any organization and the most difficult
to manage. Managers are hired because of the technical skills they possess but are often fired
due to lack of human and interpersonal skills. Therefore, to be effective, managers should
insist on training, motivation techniques, personnel policies, appropriate and supportive
supervision, and performance appraisal skills. They must also be open and responsive to the
stated and perceived needs and aspirations of their work force, and institutionalize systems
that provide up-to-date information on these vital issues and mechanisms to respond to them
effectively.

33

34

Annexes

Annex A
Staff Appraisal Form: Sample One
Part I
Personnel Data (To be completed by staff member or appraisee)
Name:
Qualifications with dates:
Designation/Title:
Department/Section:
Duty Station:
Date of Appointment:
Name of Supervisor:
Title of Supervisor:
Key to the scores (for Part I and Part II below)
5
4
3
2
1

Excellent
Very Good
Good
Satisfactory
Poor

35

Part II
Duties and Responsibilities (key result areas/targets/operational objectives/
performance standards)
List of duties/standards

Immediate Supervisor Signature:

Remarks

Part III
Head of Departments Scoring
Employee attributes

Attendance

Punctuality

Initiative

Resourcefulness

Ability to work
independently

Relationship with
colleagues

Integrity

Remarks

Part IV
Strengths and Weaknesses (agreed on by Appraiser and Appraisee)

36

Part V
Total Appraisal Score (calculated by appraiser consulting with appraisee)

Appraisers Signature:
Date:

Part VI
Comment by Appraisee

Signature:
Date:

Part VII
Comment by Chief Executive or his Designate

37
Signature:
Date:

Part VIII
Employees comments after feedback from CEO or Designate

Signature:
Date:

ANNEX B:
Review of Performance Against Competencies
Appraisal Sample Two
Please select those applicable to the individual and rate on a scale of 1 to 5 using Column A
of Performance Rating Scale on the first page of this form. If the competency does
not apply to this individual, please mark N/A against it.

SELF-RATING
COMPETENCIES
Technical Skills
Possess the requisite skills
Exercises the requisite skills
People Management Skills
Supports and works with
colleagues to create team
spirit
Sets clear objectives
Delegates

38

Monitors and evaluates

Provides positive and
negative feedback
Communication Skills
Language skills-French/
English
Oral Communication
Writing Skills
Personal Organization/
Work methods
Plans effectively
Organizes/effectively
Prioritizes effectively
Meets deadlines
Assumes responsibility
Is able to work independently
Works effectively in a team
Builds and maintains client
relationships
Diversification
Systematically tracks clients/
beneficiaries
Maintains up-to-date c
ountry diversification plans

APRAISORS RATING
N/A

N/A

ANY COMMENTS

SELF-RATING
COMPETENCIES

APRAISORS RATING
N/A

N/A

ANY COMMENTS

Actively seeks new donors

Reports regularly on status
of marketing/diversification
initiatives
Personal Skills/Qualities
Confident and Assertive
Creative/Innovative
Tolerant
Accountable/Responsible
Flexible/Adaptable
Manages stress well
Continuous learner
Decisive
Collaborative
Respectful of others
Self-starter/self-motivated

39

Interview Scoring Format

Please rate the applicant on a scale of 1 to 5 using the categories below. If the competency
does not apply to this individual, please mark N/A against it.
Ranking/Scoring: 5 = Excellent; 4 = Very Good; 3 = Good; 2 = Fair; 1 = Poor
COMPETENCIES
Technical Skills
Management of RH programs
Management of ARHS programs
Experience with multi-sectoral
or national programmes
Programme design skills
Medical training or degree(s)
Training skills and experience
Monitoring/evaluation skills
Advocacy skills
Other relevant skills
[Please specify._______________
Communication Skills
Language skills-English/
Other [Please specify__________

40

Oral Communication
Writing Skills
Publications [Please specify #
and type: ____________________
Personal Appearance
Clear, articulate communicator
Neat appearance
Enthusiastic about job
Offers specific ideas about
organizing work and activities
Maturity

COMMENTS

Annex C
Service Delivery Point/Quality Assurance Checklist
Date of Visit:

Person(s) Conducting Visit:

Name of SDP/Location:
Basic Information

1. Number of staff by cadre (currently filled/vacancies in authorized staff levels)

CADRE OF EMPLOYEES

CURRENT

VACANCY

Registered Nurse/Midwives
Enrolled Nurse/Midwives
Registered Community Health Nurse/Midwives
Enrolled Community Health Nurse/Midwives
Physicians
Anesthetists and Nurse Anesthetists
Pharmacists/Assistant Pharmacists
Medical Assistants
Clinical Officers
Health Education Officers
Health Assistants

41

Environmental Health Officers

Laboratory Technicians
Health Surveillance Assistants

2. Services Offered*

SERVICES OFFERED

YES

NO

HRS/DAYS
OFFERED

Family Planning
STD Diagnosis Treatment
Antenatal Care

* This can be modified to reflect your organizations staffing pattern and primary services
offered or activities undertaken.

SERVICES OFFERED

YES

NO

HRS/DAYS
OFFERED

0-5 Care
Maternity
Laboratory
MVA
Postabortion services
Postnatal/postpartum counseling/ care
VSC
C-section
Infertility
Adolescent Services
Other [Please specify]:
Quality Assurance Issues:
Issue

Exceeds

Accept.

Unaccpt.

Comments

Clinic Identification:
Large, clear sign
List of hours of services
Reception/Registration Area

42

Courteous reception
Clean
Adequate seating
IEC materials available
Client flow efficient, systematic
Records available, filled
Health care talks given
Client Interview Area
Adequate privacy
Sufficient lighting
Well ventilated
Adequate counseling space
IEC materials available
Client Examination Area (please supply number of examination rooms available
Adequate privacy
Adequate lighting

Area for hand washing

Clean
Adequate water for clinic
Garbage disposed by
burning or burying

Issue

Exceeds

Accept.

Unaccpt.

Comments

Client Records
Clear, up-to-date
Complete (both client
locator dataname, address
etc. and complete medical
history)
Client follow-up-data (e.g.,
next appointment, referral)
Stored in an orderly way for
easy retrieval
Kept confidential
Supply Storage Area (Specific staff member with responsibility for supplies?

Yes

N0

Locked cabinet available

Supplies kept off floors and
away from walls
Up-to-date records
FEFO system used
Expired items routinely discarded
Equipment/Supplies (Please use exceeds if available, working; accept if available, not working unaccept.
If not available at all. Please also supply the number for all equipment)
Examination table
Side work table/trolley
Goose neck lamp
Rotating stool
Adult scale
Blood pressure cuff
Stethoscope
Speculum
Tenaculum
Sound
Uterine/pickup forceps
Forceps containers
Scissors
Covered tray for sterile equip
Basin for contaminated equip
Sterilizer
Linen or paper covers
Trash container
Adequate Supplies of:
IUDs
Condoms
Oral contraceptives
Syringes
Sterile gloves

43

Issue
Cotton wool, gauze
Jik/bleach
Disinfectant
Cleaning supplies
Infection Prevention
Housekeeping:
Daily cleaning of examination
table lamp
Instruments properly
decontaminated
Instruments are cleaned
immediately after
decontamination with
soap/brush
Hands washed properly after
examination/procedures/between
clients/after removing gloves/use
of toilet/blowing nose,
sneezing, etc.
High level of disinfection
instituted (e.g. boiler/sterilizer
exits on-site; items are boiled

44

for 30 continuous minutes; no

items added during boiling;
boiled items removed with
forceps; items stored in sterile
covered containers; boiling
equipment used according to
directions; boiler cleaned
weekly with vinegar/water)
Staff show knowledge of
IP techniques
Gloves used properly
QA protocols on-site; staff
trained in use
Medical waste properly
disposed of
Staff
Written job descriptions
available for all cadres
Greet clients properly

Exceeds

Accept.

Unaccpt.

Comments

Issue

Exceeds

Accept.

Unaccpt.

Comments

Staff Training in [ Please indicate]

<FP
<STD Syndromic Diagnosis
<Counseling
<Logistics management
<Life Saving Skills
(Safe motherhood)
<Other
Service Provider Attitudes/Competencies
Attitudes toward offering RHS
Attitudes toward clients with
low literacy, economic status
Ability to provide accurate,
complete RHS information
Willingness to provide detailed
RHS, answers?
Ensure clients= privacy
Demonstrates competence in
required examination/service
(if observed)
Makes appropriate referrals,
ensures follow-up
Aware of SOPs; knows where
available at facility
Workload appropriate
Other Issues:

45

Annex D
Preparing a Tailored Supervisory Checklist
Most supervisors find checklists extremely useful as reminders of issues to observe on-site
and as a means of reviewing or pinpointing recurrent issues for further attention. Checklist
can also become a basis for providing feedback to staff on specific issues, and measuring the
pace or effectiveness with which these issues are being addressed. The following are some
steps that can be used to prepare a supervisory checklist. Remember that the idea is to
facilitate joint problem solving, not to criticize or punish. Always indicate the location of the
visit, the person visiting, the date of the visit, and the period covered.
Step 1: Review key project documents
Do you have targets or indicators (e.g., number of persons served, number of home
visits, number of brochures distributed, number of group meetings)? If so, make a chart
listing the key activities or indicators and use reports, ledgers, sign-in sheets, or
inventories to track benchmarks, progress, and achievements. This checklist section
might look like the chart below.

46

Activity
Home visits
Group Talks
Brochures Distributed
New Clients (by service or method)
Number trained/cadre

Target

Achieved

% of Target

Step 2: Check the infrastructure, equipment and supplies

Make a list of important items in all three categories.
Rank them based on your reasonable expectations of their condition or functionality.
Review the inventory and compare it to what is needed for a quality service. If there is
no inventory, ask staff to prepare one and follow up on the next visit.
Make a note about repairs or replacements that are needed.

Equipment/supplies

Working
order

Needs
maintainance

Inadequate
supply

Comment

1. Contraceptives
(list by method)
2. Basic clinical
equipment (list by type)
3. Supplies for procedures
or infection prevention
(list by type)
4. TV/VCR
5. Video tapes
6. IEC materials
7. Kits for community
based workers
8. Ledgers, report formats
9. Client cards
10. Educational hand-outs
on RH, rights, referral
organizations

47

Step 3: Observe Providers, Systems, Clients, Operations

Determine the most important staff technical skills, attitudes, or competencies
required for your program. List them in a chart form such as the format below.
Examples might be: adequacy of counseling, provision of complete and accurate
information, good interpersonal communication (IPC), privacy for clients, client
satisfaction, participants response, good follow-up or referral mechanisms.
A similar list can be developed for systems (e.g., ranking the adequacy or effectiveness
of MIS and reporting, supervision and monitoring, logistics, outreach or community
participation, presence of work plans or individual schedules).
Observed Operations
Standard
1. MIS
2. Supervision
Individual
schedules prepared
Checklist used
Visits regular
Feedback
provided

Exceeds

Acceptable

Unacceptable

Remarks: Follow-up
Actions taken/needed

Step 4: Supervisory Processes

Using the steps in Figure 4, page 25, a supervisor can check whether he or she has
performed each step during the supervisory visit. Examples might include:
Session plan prepared
Documentation reviewed (List specific documents, e.g., proposal, previous project or
supervisory visit reports, evaluations, situation analyses, surveys, etc.)
Met with clinic manager
Activity areas supervised (e.g., clinical, community-based, overall staff and
management)
Team problem solving session held.
Specific recommended actions formulated:

Debriefed with clinic manager

Specific follow-up agreed upon:

48

Report prepared
Step 5: Write a brief narrative. Note if there has been media coverage, expressions of
donor interest, particularly innovative approaches, community or policy maker interest
or support, etc. Use this information to encourage staff, or to point out opportunities
they can exploit. Make specific follow-up recommendations both for you as a
supervisor and for staff.