Idea is to make it work and make it work for Everyone

INDEX OF CONTENTS

Introduction.. Voicing your opinion 1.

1.1 1.2 1.3 1.4 1.5 1.6 1.7

4 8

Context . 9
Present Impediments Observed in Administrative Systems Renewing and Transforming Administrative Systems Evidence Based Approaches Moving away from Command-control structures to Team based performances Transparency in Information sharing and Decision Support Focus on Architecture and Design of Electronically Enabled Systems for Speed and Transparency eOffice Solution

2.
2.1 2.2 2.3

Rationale for this restructuring exercise and its benefits..13

Need for Multi-Skilling and High Operational Efficiency in a Complex dynamic environment required - to augment R &D support Enhanced levels of Proficiency Principles underlying Restructuring Proposal

3.
3.1 3.2 3.3

Proposed Solution .
The Unified Professional Cadre HR Policy and Training Design Unit Aspects to motivate Officers to join UPC

15

4.
4.1 4.2 4.3 4.4 4.5

Approach .. .
Separate Recruitment and Promotion rules for UPC Recruitment and Induction into UPC Option for Officers in Current Cadres to join UPC Process flow for induction into UPC How would Seniority Matter?

22

5.
5.1 5.2 5.3

Service conditions post- induction in the UPC..

Constitution of the UPC Assignment of Roles in UPC Rotation of Roles

30

5.4 5.5 5.6

Promotion in UPC Promotion and Transfer Postings in UPC Officers who do not opt for UPC

6.
6.1 6.2 6.3 6.4 6.5

Determination of Cadre Strength of UPC .........

Cadre Strength of the UPC Abolition of vacant lower level positions in the Administrative/ Stenographic Cadres Creation of additional posts at the higher levels Summary position of Cadre Strength proposed for UPC Simulation and Scenario Analysis

39

7.
7.1 7.2 7.3 7.4

Training and Development

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

46

Overview of Training and Development Interventions Training for induction to UPC Role specific L2 Training Advanced L3 and L4 Training and Assessments

8.
8.1 8.2 8.3

The Performance Management process .........................................

Overview of the performance management process PMS as viewed by various stakeholders The Performance Management Cycle

49

9.
9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8

Open-annual performance appraisal report .

Guiding Principles of Open-APAR Phases in the Open-APAR The Reporting Officer's Role The Employees Role The Reviewing Officers Role Detailed Process Steps in Open-APAR Implementation Plan for Open-APAR Other Initiatives related to PMS

52

10.

Counselling and Mentoring

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

58

10.1 10.2 10.3 10.4 10.5 10.6

What is Mentoring? The role of a Mentor The Responsibilities of a Mentee Evolution of Roles of Mentor and Mentee Mentor Roles Compared to Manager Roles Illustrative Mentoring Program Timeline

11.
11.1 11.2 11.3 11.4 11.5 11.6 11.7

CSIR Competency Framework ................................................ 62

What is a Competency? Use of Competency Frameworks Characteristics of a Good Competency Framework Competency Framework for CSIR Assessment of Behavioural Competencies Approach for Designing an Assessment Centre Illustrative Tools for developing Competency Matrices

INTRODUCTION
A CSIR Transformation & ICT interventions project was launched in Jan 2010 with the aim of ushering in and nurturing a vibrant, energized knowledge based work culture in CSIR, to cascade individual capabilities, inculcate collaborative team performance and foster result oriented performances. Activities for research, development, promotion of technologies leveraging industry partnerships, efforts to encourage adoption of CSIR technologies for upliftment of rural communities, grooming of scientific manpower and shaping the future landscape of S&T interventions would require a competent, empowered and responsive work force to provide exemplary administrative services and managerial support for such activities. This endeavour to bring about a remarkable shift in the professional competence of the workforce in CSIR would require (i) an organizational review and restructuring to focus on clarity of roles, responsibilities, right sizing, team work, collaboration and evidence based performances, the review of cadres with the constitution of a unified professional cadre (UPC) whose cadre strength would be the combined aggregate cadre strength of the three administrative cadre strengths for Genl Adm, Fin and Accounts and Stores & Purch to enable posting of Officers to gain expertise in all functional areas. Officers would be encouraged to opt for the UPC and progressively migrate from their current cadres to UPC. Re-Engineering and automation of processes and use of electronic operations to ensure speedy, responsive administrative actions driving results, and generation of evidences in the form of system logs/ transaction logs for performance management Intelligent decision support and analytics for enhanced quality of decision making, Intensive capacity building interventions for enhancing functional/ behavioural competencies, nurturing values, infusing passion, courage and conviction through operations of NAUTICALs being set up as inhouse training and development centres in the Labs. Institutional mechanisms to reinforce attitudes and behaviours that support a performance culture using Counseling, Mentoring, Peer

(ii)

(iii)

(iv) (v)

(vi)

(vii)

observation, inbasket exercises, role plays, simulations and personality development exercises progressive HR policies, practices, reengineered systems to guarantee innovations and continuous improvements.

A series of workshops were held during this year to create awareness on the measures that are being taken to augment proficiencies of manpower in CSIR and to usher in a knowledge based work culture with a modernized work place ambience leveraging information and communication technologies (ICT). The ICT Interventions that have been taken up are being vigorously pursued to ensure that by the end of December 2010, a significant number of key operations in CSIR are carried out as electronic transactions. Alongside these efforts, the conceptual framework for the UPC (Unified Professional Cadre) has been drawn up with the guidance of DG CSIR and Senior Directors. The UPC recognizes that every individual has unique traits, capabilities and potential. It envisages providing opportunities within the system to enhance such capabilities and assign roles in the workplace to enable the employee contribute meaningfull and realize his potential. The concept of power associated with positions would cease to be relevant. What would matter will be the ability to accomplish an assigned job role and a wide range of choice in roles and expanded scope of functioning adapted to the profile of the individual. Officers would be encouraged to embrace a service oriented paradigm to enhance satisfaction of the stakeholders they serve and upgrade the quality of outcomes as a result of their administrative actions. UPC cadre believes in equality of treatment of all individuals, while recognizing the potential and celebration of success in a person actualizing his/ her potential. This document details on the concept of UPC and the modalities, processes and practices that are associated with it. Efforts have been made to propose a solution that is in the interest of the employees.

VOICING YOUR OPINION After developing an understanding of the provisions of the UPC and the manner in which the transition would take place for the Officers moving from the existing cadres to the Unified Professional Cadre, kindly point out any limitations, unforeseen gaps in the details addressed, as also difficulties and constraints that can be foreseen and any other risks for execution of the proposed plan. It is requested that when such limitations are pointed out, kindly also suggest solutions in keeping with the spirit of the UPC. As regards the next steps, it is proposed (a) to invite feedback from employees, by designating Officers in various Labs who would mediate and function as Leaders in mobilizing views, comments to revise the proposal where it needs improvement. (b) Constitute a High Powered Cadre Review Committee with Senior Directors from the HR Cluster, Representatives from Min of Finance and Dept of Personnel and Training, Min of Pers. and coopted experts which examines this restructuring proposal, considers revisions as may be appropriate and endorses the discussion paper/agenda seeking approvals to be placed before the GB. (c) Place a discussion paper before the Governing Body of CSIR to invite their views to formalize the agenda for seeking their endorsement (d) Seek the approval of GB in its next meeting or in a special meeting to enable implement the restructuring

1.

CONTEXT

1.1

Present Impediments Observed in Administrative Systems

The problems encountered in administration be it delay in decision making, getting caught up in a quagmire of rules, ending up in conflict situations, personality centred approaches to problem solving, being satisfied with adhoc patch up solutions rather than a fundamental rethink, status quo approaches, getting locked up in trivialities, non-priority aspects of work, getting caught up in extraneous considerations not having a direct bearing on the problem situation at hand and other such issues, can be attributed to human attitudinal/ behavioural dispositions and organisational culture. The present system suffers from the following deficiencies Stagnation beyond acceptable levels Restrictive opportunities for growth due to bounded limits in Scope and span of domain coverage for the cadres Existing Job descriptions and Roles / Responsibilities do not adequately reflect and cater to the complexity of responsibilities that require to be handled at the Labs and in the HQ Limited Institutional mechanisms for training, competency development and furthermore, the required training/ capacity development is not integrated with professional advancement and cadre management System more hierarchical and control centred, while the need is for distributed, team work and result focus Performance management is subjective and not evidence based Limited scope for incentivizing behavioural/ attitudinal change and internalizing progressive work practices Career Growth imbalances for Officers belonging to same batch in the three cadres Limited scope for Job rotation and Job enrichment across varied responsibilities and fitment of right person for the right job depending on his competencies

1.2

Renewing and Transforming Administrative Systems

By Re-Engineering systems, policies, alongside a HR restructuring exercise and ICT interventions for automation of key processes, we have a renewed admin system that is capable of enhancing and moulding the performance as also behaviours of our employees. The behavioural engineering of systems is engineered to result in a re-engineered, re-structured and transformed CSIR. 1.3 Evidence Based Approaches

The performance of the employees, the manner in which transactions get completed and associated information gets captured in system logs. Analysis for decision support is incorporated in the enterprise applications to facilitate proactive administrative functioning and continous improvements. Keeping in view the need for professional growth and competency development, the restructured administrative systems and a new Cadre to be known as the Unified Professional Cadre (UPC) encompasses Job/role profiling to assess requirements of the job/ tasks that need to be performed, competency mapping to place right person in the right role, facilitating learning and development through an intensive system of observing and logging system generated information and provide support adapted to employees profile and enable their professional development. A comprehensive competency development framework, Open APAR and diligent detailing of the RRSL (Roles- Responsibility System Logs) embedded in enterprise applications enable focus on proficiency development. 1.4 Moving away performances from Command-control structures to Team based

The present organisation structure is hierarchically driven and does not lend itself to effective team performance. Added to this the three administrative cadres General Admin, Finance & Accounts and Stores Purchase cadres are like vertical silos posing impediments to effective collaboration. In the UPC, alongside roleresponsibility mapping, Team-Responsibility mapping and TR-SL (Team Responsibility System logs) have also been detailed. What is envisaged is that hierarchies and command- control structure would require to be dismantled for replacement with a collaboration based problem solving team based administrative structure with a less rigid chain of command structure and line of reporting. 1.5 Transparency in Information sharing and Decision Support

All information, transactions, results/ outcome etc gets posted on the system for enterprise wide visibility albeit enterprise solution access is regulated on the basis
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of a need to know framework on the basis of roles required to be performed by the individual. Enterprise wide availability of information, analysis and decision support modules and transacting all activities through Enterprise applications -electronically for all key operations- be it budgetary spending, ways and means position, project management, procurement, manpower adequacy, facilities upkeep, career advancement, programme impact or stakeholder involvement enables pro-active administration. 1.6 Focus on Architecture and Design of Electronically Enabled Systems for Speed and Transparency

Oftentimes, it is not computers or ERP applications that make the difference, but what people do with them in architecting design of systems, mechanisms for information capture, analysis and decision support. The Enterprise application design is architected in such a manner to enforce and drive all transactions electronically. Administrative Policy for enterprise wide compliance would necessitate that all key activities are performed only electronically. Where the current enterprise application does not permit certain transactions to be done electronically, it is required that the employees design a simple format for recording the key information related to the transaction that is performed offline and have it uploaded along with the relevant documents. The system developers would then act on the required interfaces and complete the development of a application that will cater to electronic logging of the related tasks. 1.7 eOffice Solution

A comprehensive eOffice solution which is part of the Programme and Policy module enables all noting, file keeping, file movement, tracking of tasks, delegating and such other basic administrative tasks. Leveraging Emerging Paradigms for Visioning and Executing Organizational Mandates with an Application suite for automating end to end Office Transactions, with organizations redefining their productivity through collaborative processes, greater levels of stake holder engagements, dynamics goal setting and diligent execution to maximize outcomes, it has become necessary to redefine office work with technologies and creative design of solutions for applications that would enable capture of all facets of Human - Human, Human to System and Human to Team interactions.
11

All aspects of references on paper, telephonic directions, deliberations during a meeting, capturing ideas during a brain storming session, tracking of issues that require to be followed up, logging interactions in teams, giving directions and having them monitored, intelligent dash board of reviewing how tasks that have been entrusted are getting accomplished and innumerable variations of automated work flows, decision support, issue tracking and resolution, problem solving and decision making, working across boundaries, has been embedded as an automated enterprise level solution which can be monitored and executed a laptop, as the employees move around in the course of participating in inter-personnel interactions and deliberations in meetings and in such other active forms of discharging responsibilities commensurate with their roles and organizational functions.

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2.

RATIONALE FOR THIS RESTRUCTURING EXERCISE AND ITS BENEFITS

2.1

Need for Multi-Skilling and High Operational Efficiency in a Complex dynamic environment, is required - to augment R &D support

The dynamic environment within CSIR and its orientation towards creating knowledge based administrative workforce which ably complements the growing needs of scientific community of CSIR in achieving their mandate, underlines the importance of multi-skilled staff with higher operational efficiency. This further necessitates possession of flexibility to take up and handle the multifarious activities coupled with fair understanding on requirement of harmonious linkage between S&T staff and administration in achieving the organizational goals. 2.2 Enhanced levels of Proficiency

Accordingly, the overall expectations from administrative staff, at laboratory level have taken a major shift. In this ever changing environment, the administrative staff is expected to handle newer set of activities like, Project Management, Business Development & Planning, Infrastructure Management, Performance Appraisal etc., and diversify with acquisition of new skills and competencies in addition to being specialist in a particular stream of administration. Across CSIR, it is felt that there is an urgent need for transforming the administrative cadre into a group of professionals having skill-sets, expertise on a variety of crossfunctional operations and troubleshooting. 2.3 Principles underlying Restructuring Proposal

The principles underlying the restructuring proposal are as under Executing HR interventions for competency development, training, performance management and automation of administrative operations with associated management of change to usher in a professional work culture A comprehensive competency framework, roles, responsibility and result metrics for various key positions, development of digital contents and learning resources as also the details of the mentoring , counseling and behavioral/evidence based assessments with associated certification of competencies would be developed.
13

 Invoking the principle of matching role profiles to capabilities of employees, the officers in the existing cadres would be assigned appropriate roles commensurate with their capabilities Officers would be assigned responsibilities after their capabilities are ascertained through an established standardized assessment process Abolishing lower level positions and augmenting higher level positions commensurate with the requirements for enhanced skill-sets and competencies of manpower in such higher positions. i.e. No more recruitment would be made against vacant posts of Assistants in grade III & II other than for EA (~Grade I) Candidates appointed on the basis of the DR as SO/ EA would be brought into the UPC following a rigorous induction/ orientation program with a well orchestrated design of probationary engagement A revised Open-APAR format has been finalized and adopted for use with effect from Current Assessment Year. The O-APAR focuses on Development Planning (with the need for knowledge updation), Assessment on Personal and Behavioral Attributes as also functional competencies which will increasingly be ascertained on the basis of system generated logs (evidences of work having been performed).

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3.

PROPOSED SOLUTION

3.1

The Unified Professional Cadre

A new cadre called Unified Professional Cadre (UPC) for augmented levels of capability, proficiency and leadership would be created. (i) UPC would draw progressively the manpower in the 3 existing cadres over a period of time incumbent upon the Officers opting for it and being inducted upon attaining the prescribed competency levels. Specialist and professional roles shall be created under the UPC and these key positions will be given only to Officers belonging to this cadre. The UPC shall encompass new roles in the following areas (but not limited to):

(ii)

(iii)

Infrastructure and facilities management - Outsourcing and contracting - Issue Tracking & Resolution - Asset Management - Support Service Centres for various operations carried out Implementation, monitoring and evaluation of Result Based Framework - Programme Assessment - Quality Assurance - Benchmarking & Continuous Improvement - Analysis of Results Counseling, mentoring and augmenting competencies of workforce - Re-skilling and Multi-skilling of personnel -Ascertainment of performance gaps and assessment of competencies -Design and implementation of training and capacity building initiatives -Documentation and implementation of progressive work practices.

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(iv)

The Officers in the UPC will be required to work in any of the new professional roles created within the cadre, General Administration, Finance & Accounts and Stores & Purchase. They shall be rotated on a regular basis as per the Role Rotation Policy/ Program. Officers will be provided with the necessary opportunities for enhanced knowledge & skill development.

(v)

Commensurate to this need, a renewed focus on launching HR initiatives has been strengthened. 3.2 HR Policy and Training Design Unit

Formulation of HRPTDU is one of the steps towards it. HRPTDU shall support the implementation of NAUTICAL Units for training and capacity building which would be set up progressively in several CSIR laboratories in order to ensure that employees are engaged under a well orchestrated programme for periodic training on various programs and areas like Enterprise applications, interpersonal, team and behavioural skills training, counselling/mentoring and domain related professional training. The HR-PTDU will carry out the following functions: a) Design of HR Policies and Initiatives to facilitate the process of ushering in a professional work culture in CSIR. This would include the development/ updation of competency frameworks, job analysis, profiling of key roles and responsibilities, developing performance metrics, processes for analysis of systems and transaction logs for key activities, design of knowledge capture mechanisms, instituting collaborative mechanisms thereby facilitating resolution of issues, continuous improvements in processes and ensuring quality of outcomes; b) Design of practices associated with counseling, mentoring, assessment and other forms of Employee Engagement, as also the processes associated with development of proficiencies and augmentation of competencies; c) Identifying training needs, development of training objectives, design of training packages, course modules, learning tools and other forms of digital learning resources with relevant testing and assessment processes following a life cycle approach for an employee;
16

d) Drawing up training and assessment program for various groups of employees, as also for resource persons, mentors and training instructors. e) Facilitating the implementation of various competency building initiatives and training programmes; f) Instituting mechanisms and prescribing SOPs, guidelines for taking up activities such as (i) Mentoring / Counseling, (ii) Assessment of capabilities of manpower, (iii) Development/ Validation of digital learning resources, training programmes, course contents, assessment/review practices etc.; g) Prescribing appropriate progressive practices, feedback mechanisms for monitoring and evaluation of work carried out relating to various HR Initiatives; h) Identifying and undertaking strategic talent management initiatives involving grooming and development of manpower in CSIR; i) Setting up the training management and monitoring system for NAUTICAL Units across CSIR Labs.; j) Organizing programmes for training of trainers.

Policy & Strategy Project & Service Mgmt Baseline Transactional Service Delivery

Policy & Strategy

Service Delivery
PULLED UP

PUSHED DOWN

Project & Service Mgmt Policy & Strategy

INSIDE - OUT OUTSIDE - IN

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3.3

Aspects to motivate Officers to opt for UPC

UPC aims to bring more professionalism, provide adequate career development opportunities, facilitate a knowledge workforce and drive a performance culture where efforts are suitably rewarded. The manner in which provisions have been drafted in the Unified Professional Cadre (UPC) ensures that officers in the existing cadres would be better off opting for UPC and thereafter getting inducted into it. Some key/ primary features of the UPC are shared below: Key Positions in UPC only: Key positions associated with high levels of responsibilities will be identified at each of the labs and the HQ and these shall be manned only by the officers in UPC Reduced Residency Requirements: Required Residency Periods for consideration for promotions to higher positions will be reduced and increased emphasis would be given for the career development, career path planning of an incumbent in the UPC. However, due diligence for transparent assessment will be followed and compliance with prescribed standards of proficiency will be emphasized. Multi-skilling: Officers of UPC would be required to serve in any role and undergo job rotations as are decided from time to time, thus developing a multiskilled set of officers Challenging Assignments: Opportunities for training, assessments, counseling, mentoring etc. being equal, the incumbent in UPC would be provided with challenging assignments and specialists roles depending on their suitability Role Rotation: Officers of the UPC would be given job rotations and assignments to augment proficiency levels in keeping with their personal development plans determined during counseling Training Opportunities: For specific purposes such as acquisition of skill sets for which training, opportunities are limited in this country, officers of the UPC would be considered for training abroad Specialized Training: Officers of UPC will be considered for Specialized training for which a prerequisite competency is a requirement, the officers in the UPC stands a far better chance for getting selected for such training Exposure to other Organizations: Specific assignments involving workplace training outside CSIR for augmentation of specific skills would be provided to officers of the UPC
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Incentive for moving into UPC: 3% productivity increment would be considered for officers qualifying for entry into UPC with exceptional merit which would be specified in terms of a consistent performance measure encompassing knowledge credits, transaction credits and behavioral credits (explained in detail in subsequent sections). Number of positions: The number of positions in the UPC would be higher to the extent that it elevates to a considerable extent, the stagnation at various levels. Seniority and Proficiency : While the concept of seniority would be applicable for entry in UPC and for the purpose of residency within a certain grade/level, proficiency will be ascertained with the system attempting to match the capabilities of officers with various roles and job requirements. This would mean that officers would be encouraged to choose some specialty area in which they can attain and exceed the bench mark prescribed and hence be assigned such roles. No Hierarchical reporting system : Hierarchy would be downplayed, with the constitution of teams of officers with complimentary roles, with a team leader who is first among equals. Hierarchical reporting may be retained to the extent required. Objective Performance Appraisal : The O-APAR ratings would be determined on the basis of performance evidences encompassing the following three components ; (a) Functional competencies which will increasingly be ascertained on the basis of system generated logs (evidences of work having been performed) which will account for transaction credits. (b) Assessment on Personal and Behavioral Attributes by participating in behavioral exercises, team roles, workplace simulations, in basket exercises, behavioral workshops and earning requisite behavioral credits, (c) Development Planning (with the need for knowledge updation) by taking up required no of course modules and earning course credits,

Career progression would be planned in a manner that an incumbent gets at least three advancements and to the extent possible the fourth one within his /her career span. Clarity of Roles: Requirements for knowledge, skills needed and accepted attitude and behaviour for every role/position would be clearly defined and sufficient opportunity for training and mentoring would be provided to every officer/staff to attain the prescribed standards.

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20

Facilitators and barriers to a. Capacity Building b. Implementation/ Execution c. Monitoring/Evaluation

Internal facilitators & barriers skilled/committed people process design funds &/or resources priority &/or interest leadership &/or champion [Analytics, Tracking &/or Oprns support]

External facilitators & barriers strong collaboration/team work & partnership Communication supportive structures &/or coordination Technology

Organizational predisposition/ Readiness

Organizational Capacity

Evaluation/Analytics/ Oprns. mgmt.

Implementation/ Execution

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4.

APPROACH

4.1

Separate Recruitment and Promotion Rules for UPC

A separate Recruitment and Promotion Rules with detailed guidelines are being formulated for the UPC. The draft recruitment rule for the UPC and detailed draft guidelines for the proposed restructuring will be made available to you for your perusal and comments. The UPC shall constitute of officers directly recruited into the UPC through the open competitive examination at the SO and EA level and successfully completing their probation period and the officers from the existing cadres opting for the UPC and successfully inducted. The direct entrants selected under CASE 2009-II exams however, will have to undergo training as part of their induction/ orientation during which time they will have to qualify for the threshold level of knowledge, transactional and behavioural credits. 4.2 Recruitment and Induction in UPC

Direct recruitment shall be done only in SO and EA level while for the higher levels, entry shall be only through promotion and upto 20% through deputation, if adequate number of qualified Officers are not available. There shall be no Assistants in Grade II and III in UPC. Also, no future recruitment shall be done at these levels. The new batch of Section Officers/ Executive Assistants being recruited through the CASE 2010 will be inducted into the UPC and would be deployed over the next few months in various laboratories on completion of their induction programme. This batch will be on a two-year probation period during which it will have to regularly undertake training and assessment. During the completion of the two year probation, they will have to undergo a detailed assessment over two levels (L1 to L2) and will be confirmed only after clearing the same, failing which their probation period will be extended. Further, all fresh and future recruitments will be done for induction only in UPC. The officers in UPC shall be governed by the Recruitment and Promotion Rules for UPC as approved and adopted following the prescribed procedure.
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MODEL FOR PLANNED CHANGE

A. Vision Guiding Beliefs & Principles Purpose Mission B. Working Setting Organizing arrangements Social Factors Technology Physical Setting

Organizational Outcomes Individual Organization Member

Cognitive and Behavior Change Improved Organizational Performance Enhanced Individual Development

Organizational Target Variables`

Change Intervention
A. B. Organization Transformation (OT) Organization Development (OD)

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4.3

Option for Officers in Current Cadres to join UPC

The employees currently in the three administrative cadres (General Administration, Finance & Accounts and Stores & Purchase), and in the Stenographic Cadre are extended the option to join the UPC. Employees who opt for UPC will need to undergo training/ evaluation and would earn knowledge credits, transaction credits and behavioral credits which correspond to ratings in the O-APAR to enable them be considered for induction into the UPC. Guidelines are being developed for prescribing the objectives, acceptable scientific methods for assessment, specification of thresholds/ criteria for various Training and Assessment Levels L1 to L4 which will enable the Employees earn the required no of course credits, transaction credits and behavioural credits, which in turn will be the basis for the O-APAR rating. For the purpose of induction of those employees who opt and are found to meet required levels of proficiency for entry in UPC it would be sufficient to clear the thresholds prescribed for L1 training/assessment. 4.4 Process flow for induction into UPC

The following flow-chart summarizes the process flow for the induction of existing employees into the UPC. Step 1. Opt for UPC: The existing Employees will be extended the option to join the UPC. Employees will have to exercise their option indicating their interest in joining the UPC. Step 2. Undergo required Training: Those employees exercising the option will undergo a L1 training and assessment process to enable them be considered for induction to UPC. L1 Training for induction into the Unified Professional Cadre (UPC) will cover both theoretical and practical assignments related to the following ; (i) Capabilities in all functional areas at a foundational level which are to be performed online using the ERP Applications. The training will cover the manner in which activities and operations are carried out in the ERP applications for key processes in various functional domains like employee self services, financial management and accounting, stores, purchase, facilities management, contracts for goods and services, works management, policy referencing, R&D Planning, eOffice and records management, HR management, as also operations on elearning Portal for self paced learning, collaboration and knowledge sharing .
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(ii) Orientation and Exposure to Attitudes/ value system that auger well with a knowledge based performance culture, Organizational Behavior concepts, leadership, motivation, team building, values, emotional intelligence, social networking, achievement/ result orientation, continuous learning, management of change, personality development, proficiency enhancement, tools for behavioral assessment, case study methodology, performance enablers and blockers, case studies, in-basket exercises, role plays etc. Observed behaviours, problem solving skills, interpersonal dynamics during individual and group exercises would also be taken into consideration for behavioural assessments. (iii) Knowledge relating to Management Concepts and Information Technology. Learning curriculum on Information technology concepts and practices would include would include fundamentals of ERP applications, design, development and implementation of enterprise applications and its testing/ validation, employee engagement, decision support, analytics, activity logging, role profiling, metrics and system logs, e-learning platforms and operational aspects, electronic record management, intelligent interfaces, reporting, alerts and escalations, continuous improvement, interoperability etc as it relates to various functional modules addressing various operations. The curriculum on Management concepts would include Foundational Management Principles relating to performing organizations, Functional and Behavioral Competencies observed and practiced in performing organizations, best practices, case studies, & role plays in simulated problem situations, goal setting, issue tracking, problem solving, team work, delegation, accountability, reporting, information for decision support etc.
Training

modules would cover the basics of all functional areas which would a mandatory component, as also elective modules related to various functions, which would be optional modules. The quality and standard of modules would also vary with the levels/grades. All course modules will

25

have designated codes and a detailed frame work, mapping the course modules to roles and levels. An Employee qualifying for induction to UPC would need to obtain atleast the threshold/ bench mark competence level. Step 3. Induction into UPC: Employees inducted into the UPC shall be given due credit for their existing residency period. CONTEXT 1: Employees who have completed their required residency period in the existing cadre In case of an employee has completed prescribed residency requirement in existing cadre he/ she will be considered for the next level. When such an employee opting for the UPC, qualifies the Benchmark Competency Level (BCL) prescribed, he/she is considered for the select list in the UPC for the next level, depending on the no of vacancy positions in such higher level. The select list will be prepared giving 40% weightage to Seniority position in the existing cadre and 60% weightage to assessment points earned during the training & assessment for induction to UPC. CONTEXT 2: Employees who have not completed their required residency period in the existing cadre If the employee has not completed the prescribed residency period in the existing cadre, such employee on opting for UPC will be considered for placement in the UPC at the same level. For ascertaining Seniority following induction in UPC at the same level, the period of service in such level in the existing cadre, would be translated to an equivalent seniority within the UPC (as UPC would have reduced residency requirements for promotion between levels for Asstt and SO). The formula to calculate will be directly linked to the required residency period in the existing cadre and UPC. e.g. In the UPC, required residency period at SO level is 6 years which is 0.75 times of the residency period in the existing cadre, i.e. 8 years.

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Thus, if an SO clearing the BCL has completed 2 years of the residency period in the existing cadre, when he/she gets inducted into the UPC at the SO level, the residency period in UPC shall be taken as 0.75 times of 2 years = 1.5 years He/She will meet the residency period for an SO in the UPC within an additional 4.5 years of service in the UPC. Similar formula for translation of the residency period from existing to the UPC for all levels is shared below Level DS/ US SO/PS EA Required Required Residency in Residency Existing Cadre UPC 5 years 8 years 8 years 5 years 6 years 6 years in Formula for counting residency in UPC Same as the time spent in the existing cadre 0.75 times the time spent in the existing cadre 0.75 times the time spent in the existing cadre

Step 4. Governance by the Recruitment and Promotion Rules for UPC: Once an employee is inducted into the UPC, he/she shall cease to be governed by their current Cadre Recruitment and Promotion Rules and will start to be governed by the Recruitment and Promotion Rules for the UPC.

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4.5

How would Seniority Matter?

Seniority relates to the interse position of an employee in a given level or grade. In the Unified Professional Cadre seniority will be treated in the following manner Seniority position in the existing cadres will not matter if such employee has crossed the residency requirements for being considered for the next level. Seniority in existing cadre would be accounted for under two circumstances/ contexts detailed below. (i) (ii) At the time of induction when 40% weightage is given to Seniority and 60% to assessment during training for induction to UPC To determine the adjusted years of experience in the same Level/ Grade, if he has completed required residency period but has not been able to make it to the select list although he fulfils benchmark level of competency ( due to adequate no of vacancies not being available to the next level). To determine the adjusted years of experience in the same Level/ Grade, when an employee is inducted at the same level in UPC, if he has not completed the requisite residency period in his existing cadre.

(iii)

In case of (ii) above, the Officer gets to avail the next consideration for promotion in the following year on the basis of vacancy that may get created. In case of (iii) above, the Officer gets to participate in the consideration for promotion as and when he meets the eligibility condition.

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5.

SERVICE CONDITIONS POST- INDUCTION IN THE UPC

Once the employees are inducted into the UPC, they shall be governed by the UPC recruitment and promotion rules. 5.1 Constitution of the UPC:

The UPC shall constitute of the following: Employees directly recruited into the UPC through the open competitive examination at the SO and EA level and successfully completing their probation period Employees from the existing three administrative cadres and stenographic cadre opting for the UPC and successfully getting inducted 5.2 Assignment of Roles in UPC:

Employees successfully inducted into the UPC will be assigned a role suiting their capabilities. Employees shall be provided with domain specific training for the role and/ or training to take on the higher levels of responsibility if inducted at the next level, as the case may be. An L2 training would be undertaken by all Officer post-induction which is in the nature of an orientation and induction training. The syllabi for L2 would be an advanced version of L1 covering more or less the same scope of concepts, applications and exercises, although at an advanced level. 5.3 Rotation of Roles

To ensure that adequate opportunities are made available to the Employees in the UPC for proficiency development and job enrichment, all employees in the UPC shall be rotated at the same level to different roles/ posts periodically to gain the experience of working in other functional areas. The rotation shall take place after an officer has spent between two to three years in the same role/post. The officers interest areas, experience and organization needs shall be considered while re-assigning the roles/ positions.

30

A defined periodicity and schedule shall be followed for changing roles . For example, once every three years. Deviations to the rotation shall be made only in cases of public interest under exceptional situation to be justified and recorded. 5.4 Promotion in UPC

During a certain residency period, the Officer spends in a given level / grade performing in a certain no of given roles, he is also required to concurrently undertake and complete L3 and L4 training / assessment before being considered for promotion to the next level. Promotion to the number of available vacant posts will be determined in the DPC based on the ratings in the revised and newly introduced O-APAR considered alongside corroborating knowledge credits, transaction credits and behavioural credits earned during the residency period in that level. Following eligibility criteria shall be followed for the promotion: (i) (ii) Completion of required residency period Earning prescribed threshold credits for knowledge credits, transaction credits and behaviour credits as evidenced/ logged in the system, for the promotion level within the prescribed period in L3/L4 training and assessment. (iii) O-APAR ratings to be V. Good in respect of atleast 3 years during the required residency period. All Employees fulfilling the above three criteria, would be ranked on their aggregate knowledge, transaction and behavioural credits and the draft select panel in the order of aggregate merit would be displayed. In order to give some weightage to Seniority a weight of 0.25 is given to the adjusted seniority in the UPC and 0.75 for the aggregate credits. DPC would then, be only a process for appeal and reassuring that the aggregate credits have been assigned and determined in accordance with the standardized process. Any revisions in the aggregate credits on the basis of claims and appeals would be posted with the corresponding reasoning.

31

Behavioral Prescriptions Delineating Roles Practices/ Behvrl Imprinting Leadership Styles Comm Patterns

Models Learning Organisation Seating Arrangements Mentoring Continous Improvement Augmenting Proficiencies Attitude/ Value Systems Work Ethics
Publications

Guidelines Job Desc. Handbook Exec. Orders Building Talent Pool Policies

Rigor

Processes Project Based Learning Workplace Mentoring Knowledge Sharing Review/ Monitoring Intelligent Business. Processes DSS

Skill Acq.

Mechanisms Tacit Know. Capture Mechanisms Leadership Team Dynamics Networking / Partnership with Stakeholders

Posing Challenges Goal Setting Performance Linked Incentives Recognition Reward System

Support Systems E Learning Suite Digital Repository Reinforcements Evidence Based Best Practices
Support

Organisation Development Dr Jayakumar, SMU

Collaborations

32

ACHIEVING RESULTS THROUGH PEOPLE

CSIR VISION
Balanced Measurement People Requirements

Capabilities
Employee Needs

People & Systems Strategy

Management Practices

Interactions

Organizing Rewarding Learning & Development

Staffing

Famework for change

Performing

33

Clarity in the portfolio of roles job enrichment

Staffing -

Recruitment, Grooming talent Planning professional growth Clarity of roles Postings & Assignment of roles Job Rotation
Undertaking the right tasks with a result focus

Organizing -

Goal setting/ Result focus Professional tools, methods Continuous improvements in practices through analysis team work & collaboration Competency frameworks to guide design of modules Mentoring & Counseling Employee engagement Self development programs and tools Enterprise application training Relying on system generated evidences O-APAR Linkage of organizational objectives to individual objectives Institutionalize continuous 2-way feedback Encourage Mentoring / Coaching

Personal and Professional Development

Learning -

Performing Joy at workplace Motivated Employees

Recognition
Leveraging Employee Potential Empl. Satisfaction

Periodic formal and informal recognition programs Performance & potential encouraged Presenting challenges at workplace Actualizing Employee potential

34

35

Job Rotation

Time spent in given Role exceeds prescribed limits

Training for other roles

Domain Competence

Residency requirement fulfill YES

NO

Profile inputs

Start promotion exercise

End

36

5.5

Promotion and Transfer Postings in UPC

The past experiences relating to the implementation of policies with respect to Transfers and Postings has necessitated a review to consider alternative policy provisions in order that the Officers and Staff of the UPC do not experience avoidable inconveniences, while ensuring that the organizational interests are not adversely affected. In this context, it is important to note that policy determination would need to be in the collective interest of Officers and Staff of the UPC. An ad-hoc variation in the manner in which the policy provisions are applied to individual cases may not be appropriate. Once the policy is decided, it would need to be applied to all Officers uniformly. Exceptions to the rule, if any, and the manner in which such exception cases would be treated will also need to be articulated and made part of the Transfer & Posting policy. Accordingly in the following policy provisions are proposed in respect of postings, transfers and promotions of the Officers and Staff of the UPC. (i) All Laboratories would be brought under designated Zones and Vacancy positions would be maintained across all Zones and Laboratories under such zones. (ii) All Employees, would be given the chance of opting for a Zone and a change of zone would not be permissible throughout the career of an officer. However, in exceptional cases, to be stated for reasons to be recorded in writing and approved by the Competent Authority, one irreversible change may be permitted. (iii) The strength of each zone would be ascertained and adjusted, keeping in view the requirements of the Laboratories in such zones. (iv) On a periodic basis, an exercise would be undertaken, inviting applications from eligible employees against vacant positions in the Laboratories for each of the zones concerned. Only employees who have opted for zones, in which a given vacancy for a laboratory exists, can apply for such vacant position in such Laboratory. Thus employees from other zones can not apply for vacant posts in the laboratories which are in zones outside their opted zone. (v) An Employee who has (a) crossed the minimum residency period, and (b) satisfying other criteria prescribed such as APAR being available for the relevant period qualifies to be considered for a higher level position. He would be subjected to an assessment process prescribed and detailed earlier in the section relating to promotions in UPC which will decide on his suitability for promotion in such posting. The Employee who has spent a minimum period of 4 years in a given lab,
37

but has not completed the required residency period can apply for the same level positions in another Laboratory in his zone. (vi) In the event the number of applicants applying for a position in a Laboratory in a given zone exceeds the number of positions, the selection of employee for such position would be made on the basis of the prescribed assessment process. (vii) The CSIR HQrs would be a separate zone and positions in the HQrs other than Executive Assistants/Sections Officers and positions below, would be filled up on the basis of applications from employees from all other zones. Selection and Posting will be decided on the basis of the prescribed assessment process. Those selected will be posted for a tenure of 04 years in CSIR HQ. (viii) For posting in the CSIR HQrs at the Executive Assistants/Section Officers level, those who opt for HQrs zone upon selection, would be further subject to the prescribed assessment for placement in the CSIR HQrs. Following the completion of tenure of 04 years in CSIR HQrs, the Employees revert back to a zone of their choice. The above provisions ensure that posting in any laboratory would only be on the basis of option exercised by the Employee concerned. Furthermore, where the numbers of application are more than the number of positions in a given laboratory, the postings are on the basis of the prescribed assessment process which relies on APAR 5.6 Employees who do not opt for UPC

Service Conditions for those Employees not opting for UPC would not be altered to their disadvantage. Concurrently, such Employees who do not opt for UPC would be motivated, encouraged and given adequate opportunities to enhance their capabilities to enable them get inducted into the UPC. All training and assessments which are available to UPC would also be available to these Employees.

38

6.

DETERMINATION OF CADRE STRENGTH OF UPC

6.1

Cadre Strength of the Unified Professional Cadre

The cadre strength in UPC would eventually be the aggregate cadre strength of all the three existing Administrative Cadres the General Administrative Cadre, Finance and Accounts Cadre, the Stores and Purchase Cadre and the Stenographic Cadre, as also the additional strength on account of the newly created positions at higher levels, commensurate with the abolition of lower level positions not required. All the posts/ roles in the three existing cadres and the stenographic cadre will also gradually be moved to the UPC when the current incumbents retire/ superannuate or the post is held by a UPC role holder. The Employees in the existing administrative and stenographic Cadres would move over to the UPC along with their posts, thus depleting the strength of the existing cadres. The no of positions in the existing cadres would be dynamically adjusted as and when Employees move to the UPC, so that those staying behind in the current cadres not opting for UPC would have nearly the same chances and promotion avenues in their cadres. 6.2 Abolition of vacant lower level positions in the Administrative/ Stenographic Cadres

With ERP implementation most of the routine, repetitive functions and activities involving processing of employee self-services, maintaining and updating employee records etc. shall be automated, thus reducing quantum and type of work currently managed by junior level staff. Consequently, activities and tasks presently executed by senior level would be relegated to junior level staff, freeing the Senior Officers to dwelve on improving the quality of administrative services and help develop and promote an Officer-oriented work culture. In view of this, the several of the vacant posts at Assistants level III and II can be abolished and current incumbents in such grades considered for promotion to Executive Assistant (erstwhile Assistant Grade I) upon the successful completion of the defined assessment process.

39

6.3 (i)

Creation of additional posts at the higher levels Specialist HR positions for Implementation of NAUTICALs

There is a clear need to create specialist roles to manage and implement activities related to the restructuring initiatives and progressive policies being adopted. Dedicated NAUTICALs team shall be deployed progressively in each of the labs which shall work in coordination with the NAUTICAL Centre at the HRDC/ CSIR Headquarters. (ii) Specialist Roles for Corporate Legal, Public Relations and Facilities Management

Specialist positions in roles such as Corporate Legal, Public Relations and Facility Management required for a professional approach in these areas would also be created. (iv) Absorption and integration of the Stenographic Cadre

The stagnation scenario for PS and Sr. Steno presented in the table below shows that officers have been stagnating for more than double the required residency period and still do not see any hope for advancement. This scenario has created large scale de-motivation and disengagement. (v) Ascertaining the required no of positions as channels for advancement in Career for Officers in the UPC As is evident from the table displayed in the next section, stagnation in the Administrative Cadre would need to be eased out with the creation of additional positions in the US/DS and even at the Sr DS levels. It may be emphasised here that these higher level positions are also required for the expanded roles associated with need to expand and augment the quality of services that are expected to be delivered by the Officers and Staff in the Administrative and Stenographic Cadre. A model for simulation and scenario analysis has been developed to ascertain the no of positions that need to be additionally created for required career progression and acceptable quality of workforce in CSIR. The details of the model is separately described in the section below.

40

Stagnation Scenario at all levels in the Administrative and Stenographic Cadre

Count of Duration in Current Role Level Cadre Sr DS Admin F&A S&P Sr DS Total DS Admin F&A S&P DS Total US Admin F&A S&P US Total SO Admin F&A S&P SO Total PS Stenographic 1 2 4 3 4 5 1 2 2 26 7 5 6 1 2 2 1 1 17 9 1 2 3 4 1 1 1 33 6 1 40 4 1 4 8 8 2 3 6 11 20 5 2 5 4 3 2 9 2 2 2 1 1 3 7 3 1 9 2 9 3 3 7 12 4 23 9 8 8 25 10 1 7 18 3 28 18 14 11 43 1 9 1 10 18 13 22 53 2 4 3 5 4 1 8 1 2 2 1 1 2 4 5 2 1 8 9 4 1 14 19 3 4 26 9 8 7 3 18 26 17 13 1 2 1 4 5 4 1 1 1 2 8 11 13 4 19 13 4 7 24 30 1 3 2 1 Duration in Current Role 21 19 18 17 16 15 14 13 12 11 10 9 8 1 7 2 6 5 4 2 2 1 1 4 3 1 8 12 7 1 2 1 4 1 1 3 2 1 0 Grand Total 5 2 1 8 34 17 11 62 48 58 30 136 164 84 69 317 122

41

It is to be further noted that the stenographic cadre may cease to exist in future, since the pay commission has recommended that there be no direct recruitment in this cadre. Hence, the current incumbents in this cadre, it is proposed that they be given the option and undergo assessment for entry following the process similar to that being adopted for the induction of Officers and Staff of the three administrative Cadres. Appropriate roles corresponding to higher level positions of PPS, Sr PPS, Staff Officer in CSSS would be envisaged for creation in the UPC in order to provide them with career advancement opportunities and to build professionalism that is required to be ushered in as in the case of other administrative cadres. 6.4 A. Simulation and Scenario Analysis INPUTS

The inputs to the model are the components of a typical UPC policy which would have the address the following aspects i. No of key positions / roles in the system which would be earmarked for employees of the UPC ( employees not opting for UPC would also be available in the system, however they would not be eligible to man the key positions earmarked for UPC employees ) The relative mix of team based roles to be performed in a matrix type nonhierarchical structure vis-a-vis hierarchical chain of roles to be performed as in conventional bureaucratic structure The average residency period spent by employees (a) in a given role in a given lab, (b) in a given role across labs and (c) across various roles in a given grade/ level.

ii.

iii.

42

Model inputs Residency Periods across various roles, labs and across labs in a given grade Pattern (for all employees/labs/grades etc) RR-SL - Key Positions to be earmarked for critical Roles in UPC Portfolio mix of team based matrix functions vis a vis hierarchical positions

No of higher level positions (DS/ SrDS) to be added

Seniority considered (i) at the time of entry into UPC for higher level ( Seniority - 40% weightage, assessment 60 % weightage) and (ii) for appropriate seniority fixation at same level in UPC, if inducted at same level Merit is determined on the basis of ERPS transaction credits on the basis of system logs for the work carried out in the ERPS Course credits for the training courses he enrolled and completed in the NAUTICALs Behavioral credits for observed attitudes/ behaviors recorded by behavioral specialists

Roles within Labs for performance of various activities

Roles In Nauticals undergoing training or designing / creating/ validating training modules

Allied Management Roles of Housekeeping, Facilities Management, Security/Surveilance etc.

Model Implementation A given model ( be it aggregate or a component model) is implemented as Data Structures Routines operating on the Data Structures Constructs Semantic table interpreting values of constructs Reports Visualizations

Distribution of Employees across Roles A Policy variant which represents key aspects of the restructuring/UPC Cadre

Proposal iterations/Variants Aggregate Model Instantiation(Enforcing initial condition) (i) e.g. No. of new US/DS/Sr. DS positions Policy, efforts, advocacy Residency periods Program design, training Municipal functions (e.g) facilities management, house keeping etc RR-SL+RR-SL switching The Aggregate Model comprises of Component Models All models are represented using Object Oriented Approaches The Component Models used are the following; Manpower Deployment in Labs/ HQ at various levels in various roles Residency periods spent in various roles, labs and across labs in a given grade Transaction Credits, Course Credits and Behavioral Credits earnings by each of the employees

Parameters % Opting for UPC % fulfiling benchmarks % Inducted Retirements, Deaths, Deputation

MODEL FOR VALIDATION OF RESTRUCTURING PROPOSAL & FOR SCENARIO ANALYSIS

Output of the Model Acceptability/ Validation of Deployment Scenario/ staffing pattern Residency patterns/Career progression/ stagnation Compliance with Policy precepts

Expenditure on account of changes Costing

Containment of expenses within budget

iv.

v.

No of positions of US/ DS and Sr DS in the cadre. The idea exploited in the model is to try out different set of values for the no of positions, iterate the model and verify if the resulting scenario meets the acceptability criteria Distribution and deployment of manpower in various roles comprising (a) Roles required to be performed for various lab operations (b) Roles in Nauticals either undergoing training or involved in designing, developing validating and executing various Nautical Operations (c) Performing allied roles of house keeping, infrastructure/ facilities management, security & surveillance etc. PARAMETERS (i) (ii) (iii) % opting for UPC % fulfilling the requirement Benchmark level of Competence % inducted into UPC
43

B.

(iv) No of retirements, deaths, deputations These above parameters could be varied to reflect different contingent situations and scenarios. C. OUTPUT

The output of the model are ; (a) the resultant scenario of deployed manpower positions, (b) Patterns of residency, stagnancy and of career progression (c) analysis of (a) and (b) to see if they are acceptable and compliant with the HR policy perspectives and goals. As depicted in the chart the model is implemented using (a) various data structures, (b) routines operating on the data structures to characterize situations, (c) data constructs which signify the resultant states (d) semantic tables providing interpretations to various values of data constructs and (e) reports for various iterations carried out. 6.5 Summary position of Cadre Strength proposed for UPC

The validation trials and simulation runs using the model described in the previous section is still under process. Based on the current data available and certain internal discussions, the following is the proposed number of posts.
Administration & Stenographic Cadres Proposed sanctioned strength Sanctioned Proposed strength in Effective Proposed cadre cadre Additional Addition / Stenographic strength on strength on Specialist Reduction cadre account of account of Positions Admin Cadres Stenographic Cadre**

Designation Sanctioned For all 3 Admin strength in & existing three Stenographic cadres Cadre Sr. DS/ Staff Off DS/Sr PPS US/Sr PS 8 59 148 (at the level of)

----

14 68 170

3 15 50

5 12 40

+14 +36 +112

44

SO/PS Asstt. Gr.I/ Sr Steno Asstt. Gr.II/ Jr. Steno Asstt. Gr.III

400 1332 910 385

149 665 287

--

400 1200 0 (282) 0 (183)

200 432
0 (287) --

220 -

+271 - 365 -1197 - 568

** While taking a note of the proposed cadre, it is to be kept in mind that induction will only take
place at the level of Exec Asstt corresponding to Gr I Asst. Similarly. in Administrative Cadre, no more Asst Gr II or Gr III will be inducted

45

7.

TRAINING AND DEVELOPMENT

7.1

Overview of Training and Development Interventions

Training and Development is the framework for proving opportunities to employees to develop their personal and professional skills, knowledge, and abilities. The focus of Human Resource Development is on developing a competent workforce so that the organization and individual employees can accomplish their work goals effectively and efficiently while being joyful and motivated at their workplace. The system will facilitate employees develop career-enhancing skills, which will lead to higher levels of employee motivation and retention. Internal training sessions would be periodically organized in-house in the NAUTICALs that are being set up progressively in each of the CSIR Labs or at HRDC associating both internal and external resource persons/ experts. To start with intensive ERP training NAUTICALs would be set up at Hyderabad, Chennai and Bangalore. Intensive Behavioral Training NAUTICALs would be set up at Pune, Goa and Bhubaneshwar. External training in select institutions and training centres outside CSIR would also be organized periodically for Employees requiring training in a specialist areas. An appropriate training, development programme with the use of both internal and external resource persons, a calendar of events, development of quality learning resources, launch of eLearning for self-paced knowledge acquisition, inhouse mentoring and counseling and intensive employee engagement with associated advocacy is expected to result in effective payoffs in terms of increased productivity, knowledge, loyalty, and contributions to growth of CSIR. External training would provide the participants the opportunity to meet new set of people from other organizations, exchange knowledge and network with them. Training needs and efforts to design appropriate training modules would take into consideration the following; The analysis and findings resulting from the performance appraisal Feedback from engaging the employees in a variety of ways and through counseling/ mentoring for professional development
46

 Efforts for succession planning and interventions for a planned change management The impact from use of ERP systems Training modules would cover the basics of all functional areas which would be a mandatory component, as also elective modules related to various functions which would be optional modules. The quality and standard of modules would also vary with the levels/grades. All course modules will have designated codes and a detailed frame work would map the course modules to roles and levels. 7.2 Training for induction to UPC

L1 training and assessment would focus on benchmark competence level. It would facilitate the acquisition of threshold level capabilities in all functional areas at a foundational level along with certain functional specialization. 7.3 Role specific L2 Training

As regards L2 - roles specific training, post induction to the UPC, they would comprise of a generic mandatory component and a set of functional domain specific component. Depending upon his aptitude and perceived felt need, the employee will have the option to choose from several elective course modules. Extensive hands on training, mentoring, practice sessions, workplace assignments, inbasket exercises, group training sessions, problem solving in teams, briefing and debriefings for practice sessions, case studies, advocacy campaigns, change interventions, recognition/ award and several other progressive techniques would be employed for training and development related interventions. 7.4 Advanced L3 and L4 Training and Assessments

Post assignment of roles, the employee during the residency period prior to becoming eligible for the next promotion would need to complete the advanced L3 and L4 Training and assessments.

47

Requirement Drivers
Creating, building and grooming talent Transparent/ objective manpower deployment, postings/tra nsfers Evidence based perfromance assessment Employee growth centered - Competency framework Electronically driven workplaces ERP Implementation Mechanisms, systems and policies engineered for enhanced perfromance, monitoring and continuous improvement.

Methods, tool s/ mechanisms

Professional growth/

Activities

advancementtracking Counselling/ mentoring NAUTICAL operations - Training and Elearning Behavioral observations and team work ~ 360 feedback

learning and training to earn knowledge credits ERP transactions and logging reports for Transaction credits Emphasis on values/ethics and professional Conduct earning Behavioral credits

Self

48

8.
8.1

THE PERFORMANCE MANAGEMENT PROCESS

About the Performance Management System

The Performance Management System (PMS) in any organization serves three broad purposes: (i) (ii) (iii) (iv) (v) (vi) It helps clarify expectations, set goals and enable generate evidences of employee performances and observe outcomes/ results commensurate with such performances. Facilitates gather objective employee performance information and feedback that will help identify, ascertain and implement training that can facilitate the employee improve his performance. Enables planning, design and engaging of employees to update their knowledge, practice or approaches. Provides information that can help institute mechanisms, conceptualize methods and enable realization of the potential of an employee Helps make continuous appraisal for course correction, proactive interventions and replicate best practices It acts as a feedback system to review how the goals were achieved thereby focusing on development of individuals and help build a system that guarantees results

The main aim of PMS is to identify the strengths of the person and the performance gap (if any). The strengths are the tasks that a person consistently does well. The gap is the reason for shortfall when performance does not meet the standards set by the organization. 8.2 PMS as viewed by various stakeholders

PMS establishes a feedback platform in the organization which could be effectively utilized to review progress and establish corrective actions. One of the best ways to appreciate the purposes of performance appraisal is to look at it from the different viewpoints of the main stakeholders: 1. The Employee 2. The Supervisor 3. The Organization
49

(i)

Employee Viewpoint

From the employees viewpoint, the performance management system serves these roles as shared in the diagram. (ii) Reporting Officers Viewpoint

From the supervisors viewpoint the PMS strives to serve the following objectives: Helps me explain what I want done Establish accountability: To hold employees accountable for their responsibilities and objectives Establish rapport with employee and provide opportunity to him/her to give feedback on performance Assist in providing developmental input to employee (iii) Organizational Viewpoint

For the organization, the PMS fulfills the following objectives: Link individual goals to the goals of the organization: For the operations of an organization to be successful, each individual, team, unit and division must understand their individual and collective goals and how these goals are interdependent and connected with one another Establish accountability: To hold employees accountable for their responsibilities and objectives Benchmark Performance: To enable assessment of individual and team performance with reference to the goals set and also benchmark performance with similar roles within or outside the function Understand the nature of the talent: Understand the nature of talent in the organization, so that steps can be taken to nurture the talent tool and therefore, enhance overall performance

50

8.3

The Performance Management Cycle

A Performance Management Cycle typically has the following steps.

1 Establish Mutual Expectations 6 Train and Develop Performance Management Cycle 2

Observe & Measure

5 Recognize and Reward

3 Guide, Coach and Correct

4 Evaluate, Feedback & Document

51

9.

OPEN-ANNUAL PERFORMANCE APPRAISAL REPORT

The Performance Management System for UPC is based on the objective to nurture an environment where continuous learning and personal growth are recognized. The focus is to ensure that each individual's experience and progress within the organization is accompanied by an ongoing open dialogue about job performance and future development. To that end, CSIR proposes a comprehensive performance management process Open-APAR, where managers and their employees work together to plan, manage, and review performance and developmental opportunities. 9.1 Guiding Principles of Open-APAR

Performance Management is for establishing a shared understanding about what is to be achieved, and how it is to be achieved - It is about having a common shared understanding about performance and success. Whether it is a set of tasks, objectives or results, or a set of behaviors or a combination of both, they need to be clearly defined and should be in agreement with the jobholder so that people know what they are working towards. Performance Management is a continuous process: It is not limited to the event of filling of forms or an annual appraisal process. It is a continuous process consisting of everyday actions and behaviors, whereby individuals can improve their performances and help others improve theirs. Performance Management is an approach for managing people: The focus of performance management is on people. It is about how individuals and teams work together and support each other to achieve shared goals. Performance Management is about increasing the probability of achieving job related success: The main purpose of Performance Management is for individuals and the organization to achieve success at the workplace. It is about achieving a win-win situation for everyone. Performance Appraisal should be evidence based: To reduce bias and increase objectivity in performance assessments, support of evidences is very critical. Evidence based performances aim to improve organisational effectiveness by developing and utilizing a more rigorous base of information and scientific evidence to guide decisions about program design, implementation, and management.

52

9.2

Phases in the Open-APAR

The Open-APAR has the following cyclical phases: Work and Performance Planning: identifying key objectives and goals for the upcoming 12 month period Performance Appraisal on the allocated work plan: a face-to-face performance review meeting to jointly discuss the performance at the end of the 12-month period between the employee and the reporting officer Development Planning: an action plan agreed upon by both the employee and his supervisor to maintain performance strengths and develop new skills for the benefit of the employee and the company Success of the approach is dependent on open and frequent dialogues between the employee and the reporting officer on performance and outcomes throughout the year. This approach offers many benefits for supervisors and employees alike. Among them are: A focus on meaningful performance characteristics; Employee participation throughout the process; Jointly developed performance expectations and measures; Periodic, informal performance feedback and dialogue; Less subjectivity in assessing performance; Meaningful development plans for employee development; and Greater commitment to achieving goals The Reporting Officer's Role

9.3

Successful Reporting Officers make the most of the performance management system by using their coaching skills in gathering information, monitoring, assessing the quality of an employee's work and giving feedback. They realize the value added by taking the time for planning and communicating development goals and performance feedback with employees. They work with their employees to develop objective and quantifiable performance measures that link individual effort to the achievement of area, development, and organisation goals. They make the most of the participative style of evaluation by ensuring that their employees do performance planning and goal setting, and thereby increasing their commitment, ownership; and confidence levels. They also negotiate resolutions to any differences in opinion between them.

53

9.4

The Employees Role

Working with their reporting officer, employees contribute their experience and knowledge to the development of performance objectives and measures they will be accountable for. Employees also track their own performance against those objectives and actively participate in performance feedback dialogues. They complete their self assessment for discussion with their reporting officers at performance appraisal time. 9.5 The Reviewing Officers Role

Reviewing Officers act as a point of collation and ensure consistency in the way performance assessment has been conducted by the reporting officers. The reviewing officers support in normalizing the performance assessment at a team level. 9.6 (i) Detailed Process Steps in Open-APAR Work and Performance Planning: Work Plan is developed and documented in consonance with the respective reporting officer at the start of the 12-month cycle. The officer documents his/ her responsibilities as per his understanding of the role and details provided by the reporting officer. The individual then submits this work plan to its reporting officer for review and finalization.

(i) (ii)

(iii) Once the Work Plan is finalized between the Employee and the Reporting Officer, the same is sent to the Establishment for records and Reviewing Officer for inputs (iv) Inputs from the Reviewing Officer, if any, are incorporated in the Work Plan and re-submitted (v) During the year, any changes in the allocated work/ responsibilities are updated in the Work Plan. Any change in the Work Plan undergoes the same process of approval by the Reporting Officer and Reviewing Officer

To facilitate documenting the work plan, all key roles and responsibilities associated with such roles as also the performance metrics and system logs that shall be recorded in the enterprise applications are made available. As part of the framework for Role Responsibility System Logs (RRSL), all activities that a role holder needs to perform and the system generated evidences for accomplishment/ completion of those activities are deployed as part of the Enterprise Application
54

being developed. Mechanisms to document and evidence activities conducted/ performed (offline) outside the enterprise application shall be evolved with inputs from the users themselves. Any offline work is also compiled with their associated information and uploaded in the system, in order that the system can keep track of all activities performed and present such information to the reporting/ reviewing officers as also within the system for intelligent decision support and analysis. Adequate recognition is being planned for the involvement the employee taken in such activity logging and facilitating the effective evolution of the PMS in the enterprise application modules. Through policy prescriptions it would be made clear that activities performed and not logged in the enterprise application will have the risk of such efforts not being acknowledged by the PMS. II. (i) Progress Reviews: Throughout the cycle, Both the Officer and the Reporting Officer observe and document performance results (ii) Reporting Officer offers timely and specific feedback on job performance and document conversations and provides recognition or re-directs performance as appropriate (iii) Conduct interim reviews as appropriate III. 1. Performance Appraisal: At the end of the 12 month cycle, the performance is appraised. The Employee does a self appraisal on the Work Plan and provides inputs on his/ her achievements and contributions. Employee submits his/her self appraisal to the Reporting Officer The Reporting Officer schedules and conducts a performance discussion to review performance against agreed objectives and goals with individual Reportees The Reporting Officer than provides his/her assessment inputs on the - Work Plan, - Behavioral Attributes* and - Functional Know-how

2.

3.

The Reporting Officer also documents an overall summary of the employee. 4. The Reporting Officer submits assessment reports for his/ her Reportee to their respective Reviewing Officers
55

5.

The Reviewing Officer discusses the performance assessments with the Reporting Officer for the Reportees. Based on this discussion and own review, the Reviewing Officer completes the assessment of the employees for whom he/she is the reviewing officer. This report is submitted to the Establishment for filing and endorsement by the Accepting Authority

IV. Development Plan: Prepared jointly by the reporting officer and the employee within one month following the performance appraisal. (i) The Reporting Officer schedules and conducts a feedback discussion with the employee and communicates the assessment The employee can submit a representation to the concerned authority if any within 15 days of the receipt of appraisal The representation is reviewed by the Reviewing Officer and the Establishment team and appropriate action is taken. A suitable response is sent back to the employee

(ii) Post communication of the assessment, the employee and the reporting officer discuss and document the strengths and development needs areas of interest work plan and timetable for each activity (iii) The process goes back to Phase I of Work Planning and finalization 9.7 Implementation Plan for Open-APAR

For the cycle 2009-10, since documentation of the work plan was not part of the process flow, the Open-APAR starts with self appraisal followed by reporting and reviewing officer appraisal. However, to bring the performance management process in alignment with the guidelines of Open-APAR, preparation and finalization of the Work Plan for performance cycle 2010-2011 has been indicated as a requirement along with the self appraisal for 2009-2010. 9.8 Other Initiatives related to PMS

To make the performance management system holistic, several other policy and capability level initiatives have been planned:

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 Automation of the Open-APAR: The Open-APAR will be automated and from next year and all the process steps shall be managed on-line. Detailed user training shall be conducted on the same. Training on how to conduct effective performance management To facilitate effective performance planning, observing and documenting performance throughout, sharing feedback and communicating results etc., the reporting officers, employees and process owners shall be trained on these skills. Some key skills that will be developed in this program are illustrated below

Policy Program on Coaching and Mentoring: Policy guidelines on the coaching and mentoring program at CSIR are being created. These guidelines will facilitate in developing coaches and mentors and define their roles in developing effective and engaged performers. The implementation Training on how to be an effective coach and mentor for effective performance will also be organized.

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10.

COACHING AND MENTORING

10.1

What is Mentoring?

A structured process used to provide help from one person to another in developing or improving capabilities of high potential people, creating a relationship where both participants benefit. The benefits of the mentoring program generally include: Strengthening alignment of business goals/strategies and the leadership skills necessary to achieve those goals; Identifying high potential individuals for succession planning; Establishing a pool of talent for key assignments; Allowing opportunity to test drive mentees prior to promoting them; Increasing transfer of knowledge and values from the mentor to the mentee; Building capabilities in the context of the organizations competency model; Enhancing contribution and productivity through faster utilization and leveraging of talents; Cultivating cross-functional relationships; Demonstrating an interest in the development of leaders; Improving productivity and engagement in the organization; Increasing creativity and energy; and Providing cost-effective training and development 10.2 The role of a Mentor

A senior leader who coaches, guides, and teaches the mentee. The mentor helps prepare the mentee to test and develop their leadership skills, assume greater responsibility, gain visibility, and advance through the organization. Characteristics of Successful Mentors Demonstrates the leadership competencies; Inspires others; Listens well; Demonstrates political savvy; Puts people at ease and is approachable; Involves others in generating new and innovative solutions; Sees the value of other perspectives; Displays a positive attitude; Maintains confidentiality and builds trust;
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 Dedicates the time necessary to provide support and coaching; and Keeps commitments Not all leaders aspire to be mentors or feel comfortable playing the mentoring role. Leaders who agree to become a mentor and have the required capabilities will be provided with the required training to become a mentor. 10.3 The Responsibilities of a Mentee

A high potential employee who works with a mentor in ways that will accelerate his/her development, is a mentee. To help maximize the impact of this program, mentees will need to be screened for certain characteristics. Characteristics of Successful Mentees Has potential to (or already has evidenced ability to) lead people and projects; Shows a willingness to work hard; Expresses the desire to advance in his/her career; Takes personal responsibility for career development; Demonstrates commitment to the organization and its goals; Commits to continuous learning; Shows an openness to feedback and coaching; Demonstrates initiative and risk-taking; Displays a positive approach; and Can be counted on to keep commitments. Evolution of Roles of Mentor and Mentee

10.4

Throughout the mentoring relationship, the mentor/mentee roles will shift. For example, in the beginning stages of the relationship, the mentor may act as a teacher/expert. As the relationship develops, the role may shift to that of a sounding board. This is a natural part of the process. Just like the mentors, the mentees roles may change throughout the relationship. Though we typically think of the mentor adding the most value to this relationship, mentors have shared that they learn a lot from their mentees. The mentee may start as a receiver of knowledge and insight, and by the end of the relationship they may be providing valuable feedback to the mentor. It is very important for both participants to communicate their expectations of each other and the relationship at the beginning of the program. The mentor and the mentee will negotiate these roles as part of the first step of this process.
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Mentors The mentors will play a variety of roles throughout the mentor/mentee relationship. Primary role will be that of a coach. Other roles the mentor can play include: teacher/expert, career guide, sponsor/supporter, technical resource, sounding board, and motivator. Mentees A mentee may also plays several roles, as listed below. Acts as the receiver of knowledgea student or apprentice; Provides diverse perspectives to the mentor; Gives feedback to the mentor; Assists in strengthening the mentors interpersonal skills (e.g., coaching, listening); Shares technical knowledge and intellectual capital 10.5 Mentor Roles Compared to Manager Roles

It is important to be aware of the differences in roles played by mentors versus those unique to managers.
Mentor Coach Teacher/expert Career guide Technical resource Sponsor/supporter Sounding board Motivator Manager

Safe haven for risky conversations (e.g., interpersonal challenges with manager; ambitions that do not parallel with opportunities or culture) Delegates responsibility Decisionshiring/promotions/pay Performance management

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10.6

Illustrative Mentoring Program Timeline

Touch Base Touch Base Meeting Month Two Meeting Month Three Touch Base Meeting Month Four Touch Base Meeting Month Five Touch Base Meeting Month Six

First Meeting Month One

Sample first meeting checklist

The First Meeting: Mentor/Mentee Checklist

This form will be used by both participants during the first meeting to ensure that all necessary topics are covered. Get to know each other. Discuss expectations that you have for each other and the program. Mentee identifies the three most important outcomes. Mentor identifies how they can and cannot assist in accomplishing those outcomes. Discuss the mentees career goals and learning objectives. Discuss the mentors resources that align with those career goals and learning objectives. Establish short and long term milestones. Discuss how you will measure your success. Begin completing the Mentee Development Plan. Agree on next steps to meet the mentee development objectives. Review the mentor and mentee roles Establish what roles you will both play. Clarify what will be completed by the next meeting. Establish mode and frequency of communication and meetings. Set a time and date for the next meeting.

Further policy details are being worked out.

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11.

CSIR COMPETENCY FRAMEWORK

11.1

What is a Competency?

A combination of observable and applied skills, knowledge and behaviors that create competitive advantage for the individual and the organization Focuses how an employee develops his proficiency, creates value for the organization in terms of what gets actually accomplished Competencies are a reference visual framework of (i) the significant areas of knowledge, skill and appropriate behaviours (ii) their variation across levels/ grades and (iii) their corresponding levels of performance. They provide the individual with a map or indication of the behaviors that will be valued, recognized and in some organizations rewarded. Competencies can be understood to represent the language of performance in an organization, articulating both the expected outcomes of an individuals efforts and the manner in which relevant activities are carried out. Use of Competency Frameworks

11.2

Competency frameworks can be used for the following purposes: Building an organizational culture Aligning activities of people with the behavioural desires of the organization Standardizing processes for: o Recruitment and selection o Remuneration o Rewards and recognition o Performance measurement o Development planning o Training needs analysis

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11.3

Characteristics of a Good Competency Framework

11.4

Competency Framework for CSIR

The competency framework is classified into three as per their application.

Leadership Competencies For Leading the Organization

Applicable on Senior responsibility to prov direction, vision and

Managerial Competencies For Leading Teams

Applicable to Re DS) who have to required clarity

Core Competencies for Leading Self

Applicab compete respectiv

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CSIR Competency Framework

Leadership Competencies Leading Organization
Long Term Perspective Resource Management

Accountability to Stakeholders

Managerial Competencies Leading Team

Delegation

People Development

Domain Expertise

Core Competencies
Accountability Interpersonal Skills Process Excellence Planning & Executing

Leading Self
Objective Decision

Continuous Improvement

Team Work & Collaboration

11.5

Assessment of Behavioural Competencies

Assessments are used to measure a wide range of human attributes - everything from personality traits that describe peoples motivations and social competencies, to skills and abilities like computer usage and problem-solving, Assessments can even be designed to assess candidates interest in specific job roles, for example through "job fit" tests and simulations that provide realistic job previews. Assessment Centres are the most accurate method of assessing (mapping) Competencies in the world. The major objective of the Assessment Centres is to evaluate the performance of the Employees, identify the lacunae and the improvement areas, rate their performance and find their suitability to the current role they are associated with. Assessment Centres weigh the strengths and weaknesses of the individual being assessed and accordingly map their competencies and skill onto the precise field of their excellence for the benefit of the organization.
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Assessment Centres focus on the following activities: Defining a clear Objective to the individuals being assessed which is in coherence with the Organizational as well as individual goals. Defining the Competency/ Competence Identify Assessors capable of determining the Competency of the individuals. Create common exercises that will help in determining a bench mark and familiarize employees with the same. Familiarize people with various commonly used Psychometric Instruments. Conduct Behavioural Event Interviews. Observation of Behavior exhibited during Assessment Centre Exercises. Recording of Behavior. Writing of Behavioural Statements and Rating Sheets. Integration of observations. Rating of Behavior. Integration of Final Ratings. Writing Final Reports. Conducting Feedback sessions to share the observations The Assessment Centre would be run using the lead Assessors. At the end of the intervention a report on identification of individual potential and Skill Gap analysis for the assessed individual will be submitted to the individual and to the organization. High potential individuals will eventually be identified taking the need for developing future skill base in the organisation. Senior Leaders from CSIR shall be trained to play the role of lead assessors. A formal certification program shall be conducted for them involving expert external agencies for the same.

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11.6

Approach for Designing an Assessment Centre

2 Pre Assessment & Development Centre

3 Assessment & Development Centre Post Assessment & Development Centre

Understand the organisation mandate, goals, processes Design the tools and the process for the assessment centre Conduct Assessor Training for senior leaders

Administer the tools, work simulations, inbasket exercises,.. Orientation session with the participants

Create Individual Talent Profiles

Presentation to the leadership team on the output of the assessment exercise

Conduct assessment centre

Share feedback with the participants

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11.7

Illustrative Tools for developing Competency Matrices

COMPETENCY TOOL MATRIX Competency/Tools Clusters Psychometric Tool Case Study Individual Analysis Decision Making Leadership of Business Business Acumen Managing External Environment Coaching Mentoring Leadership of People Interpersonal Effectiveness Managing Change Courage to Dream Big and Have Extreme Passion Learning, Innovation and Excellence Customer Advocacy Having Purpose a Larger & # # # Group Discussion # # # In Basket Exercise Employee Role Play Behavioural Event Interviews

# #

# #

# #

Leadership of Results

Behavioral Event Interviews (BEI): BEIs help to gain a deeper understanding of strengths and areas of development for specific competency areas. The interviews generally follow a pre-decided structured format and focus on past behavior as a predictor of future performance. Because past performance is a predictor of future behavior, this interview attempts to uncover past performance by asking openended questions. In- Basket exercises : An in - basket exercise places the participant in a management position in a simulated organization. At the time of the appreciation, the participant is provided with basic information including a description of the organization and its mandate, his/her role in the organization, and an organizational chart. It is a simulation of an in-tray, which has letters/memos/notes from superiors, peers, customers, suppliers etc. The participant is expected to take actions on each of these.

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Role Play: Role play is a learning activity in which participants play out roles in a

simulated situation. They are then given the role of a stakeholder and asked to act in accordance to it.
Case Study: The participants are given a case to read, individually and come up with

solutions for issues that are stated. After which they discuss their viewpoints in a group discussion which requires them to discuss and resolve issues arising from the exercise given to them.

Sample Individual Profiles

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AGE GROUP 25-35 36-45 46-55 56-60 Total

Sr.DS/ Sr.CO A 0 0 2 2 4

Sr.DF A/ Sr.CO FA 0 0 2 0 2

Sr.COS P 0 0 0 1 1

DS/ COA 0 0 14 17 31

DFA/ COFA 0 0 8 5 13

COSP 0 0 7 3 10

US/ AO 0 8 23 14 45

FAO 1 21 19 14 55

SPO 0 10 11 9 30

SO (Gen) 19 64 42 37 162

SO (FA) 10 34 31 8 83

SO (S& P) 12 24 15 16 67

PS 4 10 48 49 111

Total 46 171 222 175 614

70 60 50 40 30 20 10 0
00 43 23 21 19 14 1

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49 48
42 37

34 31 24

25-35 36-45 46-55

10 4

17 14
8 00 00

19 11 10 9 0 10

14 5
00 7 8

12

16 15

56-60

AGE DISTRIBUTION OF CCOs (As on 01/07/2010)

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