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ISO 9001:2008
ORGANIZATIONAL & HUMAN PERFORMANCE MANAGEMENT SYSTEM MANUAL PROCEDURES RS-OHP-PPM-M-1008-3 MANAGERS’ MANUAL Revision:07
Prepared by: OLO Reviewed by: FH Approved by: LO Revision Date: 1 Mar 2016
THE RUSSELSMITH GROUP
MANAGERS’ MANUAL APPROVED BY:
DATE:
This manual is intended for the sole use of RusselSmith and is provided to customers for informational purposes only. RusselSmith at its option, may change, delete, suspend, or discontinue parts or the policy in its entirety, at any time without prior notice. The contents of this manual may not be reproduced or reprinted in whole or in part without the express written permission of RusselSmith Nigeria Limited. © 2016 RusselSmith Nigeria Limited
RS-OHP-PPM-M-1008-3 Managers’ Manual
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TABLE OF CONTENTS 1.0 Purpose 2.0 Scope 2.1 Responsibility 2.2 Exclusions 2.2.1 Accounting 2.2.2 Security Planning 2.2.3 Disaster Recovery 2.2.4 Information Systems 2.2.5 Finance & Treasury 2.2.6 Business Sales 3.0 Management Responsibility 3.1 O&HPM Organization 3.1.1 Organizational Framework 3.1.2 Operations Staff Responsibility 3.2 Management Commitment 3.3 Management Philosophy 3.3.1 The RusselSmith Management Philosophy 3.4 Planning 3.5 Responsibility, Authority & Communication 3.5.1 Management Representative 3.5.2 Internal Communication 3.6 Management Reporting 3.6.1 Review Input 3.6.2 Review Output 3.7 Business Conduct 3.7.1 Ethical Standards 3.7.2 Integrity 4.0 O&HPM System 4.1 Objectives 4.2 Requirements 4.2.1 Resources 4.2.2 Infrastructure 4.2.3 Internal Controls 4.2.4 Audit Findings 4.3 Transactions 4.3.1 Authorization 4.3.2 Timing 4.3.3 Accuracy 4.4 Documentation 4.4.1 Managers Manual 4.4.2 Forms Development & Control 4.4.3 Control of Records RS-OHP-PPM-M-1008-3 Managers’ Manual
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4.4.4 O&HPM Transactions 4.5 Security 4.5.1 Physical Security 4.5.2 Disaster Security 4.5.3 Information Security 4.6 Work Rules & Personnel Policies 4.6.1 Management- Employee Relations 4.6.2 Employee-Management Forums 4.7 Legal Liabilities of Supervisors & Managers 4.8 Safety & Health Program 4.8.1 Work Environment 5.0 Federal Laws Affecting Employment 5.1 Labour Act of 1971 5.2 Occupational Safety & Health Act (OSHA) of 1968 6.0 Processes & Controls 6.1 Workplace Rules & Guidelines 6.2 Dress Code 6.3 Hiring 6.4 Development 6.5 Workplace Safety & Compliance 6.6 Employee Discipline 6.7 Paid & Unpaid Leave 6.7.1 Hierarchy of Approval 6.7.2 Time-Off Application Process 6.7.3 Time-Off Rotation Management 6.8 Performance Appraisal System 6.9 Timesheets 6.10 Separation of Employment 6.11 Falsification of Record 7.0 Referenced Procedures & Manuals
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Revision History
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PURPOSE The purpose of this Managers’ Manual is to document the principles and policies governing RusselSmith’s O&HPM practices. All Managers should use this manual to simplify the "human performance management" part of their jobs by summarizing State and Federal personnel administration laws, regulations, and procedures. The principles and policies included provide: A foundation for a system of internal controls. Guidance in current O&HPM areas not controlled by laws or regulations. Criteria for decisions on appropriate O&HPM treatment. Managers with direction and guidance in connection with processes and procedures that should be uniform throughout RusselSmith. When consistently applied throughout the Company, these principles and policies assure that the various internal controls provide a system of checks and balances intended to identify irregularities, prevent waste, fraud and abuse from occurring, and assist all personnel in treating all others in a fair and consistent manner. All additional departmental or functional policies and procedures written should conform to and parallel the policies in this manual. All changes to policies and procedures are required to be reviewed to ensure that there are no conflicts with the policies stated in this Managers’ Manual. This Managers’ Manual does not provide exhaustive treatment of most topics, but refers you to source documents and other resources, which are available for more detailed information. This manual does not create any rights, benefits, or duties which are not set forth in Federal laws. Further, it does not constitute a contract with any employee.
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SCOPE The Managers’ Manual is an official directive of the Chief Executive Officer. It is published and maintained by the O&HPM Department as part of the general responsibility for company management policy assigned to the office of the HOD, O&HPM. Although a great many Federal and State laws, regulations, and rules govern personnel administration, significant discretion remains available to Managers in the way those are implemented. Additionally, Managers have broad latitude in terms of communication and involvement with employees in their organization. The interaction of a number of externally imposed elements and those over which Managers have control produces a unique "climate" in each organization. More than anything else, this organizational climate appears to determine the morale and productivity of employees, and thus to a large extent the organization's effectiveness. The quality of leadership exercised by Managers is therefore a critical determinant of the results produced by their organizations. The majority of this manual focuses on the functions administered by O&HPM, which include:
2.1
Personnel policy, interpretation and integration of State and Federal personnel laws, regulations, and trends. Job postings and recruitment assistance. Layoff, separation and reemployment consultation. Payroll and compensation plan maintenance. Personnel records - official employee records maintenance, processing of personnel actions and performance evaluations, and employment verification. Statistical reporting: turnover, sick leave usage, Equal Employment Opportunity (EEO) demographics, employee statistical abstract, etc. Training in supervisory/management development, and job skills commonly needed (but not technical job skills training). Grievance and appeal resolution but not representation of Manager’s or employee. Design and maintenance of employee evaluation and work performance standards.
RESPONSIBILITY The policies stated in this manual apply to all operations and activities at RusselSmith. It is the responsibility of all department managers to help implement and maintain the procedures required by this manual and to ensure all processes conform to these requirements. It is the responsibility of all employees to follow procedures that implement these policies and to help strive for continuous improvement in all activities and processes of RusselSmith. The
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goal is to make the Managers’ Manual as clear and useful as possible. All users are encouraged to contact the HOD, O&HPM with any suggestions for revising or improving the Managers’ Manual. Managers’ personnel administration responsibilities for the units reporting to them typically include: Hiring Orientation Training Performance management Overseeing compliance with Federal and State regulations Reward and discipline Unless the following activities are performed at a higher level in the organization, Managers are also responsible to: Design and organize the jobs and functions under their control. Develop internal work rules and personnel policies and procedures as needed, within the parameters of State and Federal law. Develop a philosophy and means of communicating with and involving employees in decisions and organizational developments affecting them. Resolve employee complaints and grievances, and represent the Company in formal hearings as necessary, often with the assistance of a Company and/or legal representative. 2.2
EXCLUSIONS The Managers’ Manual communicates common information and guidelines that all Managers should observe to lead their area of concern. Areas not covered include specifics and details to the standard operations of a department.
2.2.1 Accounting Accounting and internal control functions are included as part of RusselSmith Accounting Policies, Procedures and Forms. 2.2.2 Security Planning Security planning, emergency reaction and access control functions are included as part of RusselSmith Business Solutions Security Plan Policies, Procedures and Forms.
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2.2.3 Disaster Recovery Disaster recovery functions are included as part of RusselSmith Business Solutions Disaster Recovery Policies, Procedures and Forms. 2.2.4 Information Systems Computer security and technology management functions are included as part of RusselSmith Business Solutions Computer-Network & Internet Usage Policies, Procedures and Forms. 2.2.5 Finance & Treasury Raising and managing capital functions are included as part of RusselSmith Finance Policies, Procedures and Forms. 2.2.6 Business Sales Sales, marketing, public relations, service and support functions are included as part of RusselSmith Business Sales Policies, Procedures and Forms.
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MANAGEMENT RESPONSIBILITY The O&HPM function is headed by the HOD, O&HPM, which typically reports to the Chief Executive Officer.
3.1
O&HPM ORGANIZATION The O&HPM department is organized into eight main responsibilities: People Services & Reward, Training & Support, Recruitment & Onboarding, Talent & Performance Management, Legal & Compliance, Enterprise Risk Management, Business Partnering and Company Secretarial.
3.1.1 Organizational Framework RusselSmith’s organizational framework provides the foundation for coordinating and administrating the O&HPM System. A description of the roles and responsibilities applicable to the O&HPM and administrative staff are provided. Responsibilities specific to certain procedures or tasks are presented in the related procedures. 3.1.2 Operations Staff Responsibilities Operations staff responsibilities are focused on diligently supporting the operating transactions of the Company with assistance, training, and services, as needed. The operations staff consists of the following positions: HOD, O&HPM – Oversees and coordinates the departmental activities and team. Ensures adequate assistance and support for other departmental head and employees regarding personnel issues are discharged. Responsible for overseeing, advising and providing guidance on Recruitment & On-boarding, Training & Development, People Services & Reward Management, Organizational Development, Talent & Performance Management frameworks as well as the legal, statutory and regulatory compliance of the company. Asset Integrity Manager - Responsible for ensuring implementation of company operations & procedures, project processes and completed project inspections. Develop project schedules; plan, direct and assign duties for operations personnel; schedule and authorize work as necessary to meet project schedules. Recruit, hire and train operations employees on operational functions. Head, Facilities & Services - Responsible for overseeing a variety of administrative, office and clerical functions. Assists and coordinates activities with the Management and other Managers in the Company. Manager, Business Solutions - Responsible for overseeing network and internet operations; determines technical goals in consultation with Top Management, produces RS-OHP-PPM-M-1008-3 Managers’ Manual
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detailed plans for the accomplishment of these goals; plans and coordinates the installation and upgrading of hardware and software; analyzes the computer and information needs of the organization and determines personnel and equipment requirements. Chief Finance Officer - Directs and organizes all general finance and accounting activities and staff under the department. Prepares accounting and financial reports and ensures accurate accounting systems and record keeping. 3.2
MANAGEMENT COMMITMENT Top Management at RusselSmith shows its commitment to O&HPM through the development and implementation of this Managers’ Manual. Additionally, management commitment is demonstrated through the Management Philosophy, the specific objectives that are set and reviewed during Management Review Meetings and by providing the resources required to meet our objectives for continually improving the effectiveness of our administrative and the O&HPM system. The management team consisting of the Chief Executive Officer, Executive Directors and all department managers and selected supervisors is chartered with ensuring our O&HPM system meets employee needs as well as statutory and regulatory requirements.
3.3
MANAGEMENT PHILOSOPHY RusselSmith has established a Managers’ Manual that we feel is appropriate to our organization. Our Management Philosophy is communicated throughout the Company. Department Manager’s and coordinators are responsible for ensuring all employees understand the Management Philosophy.
3.3.1
THE RUSSELSMITH MANAGEMENT PHILOSOPHY: Managers should act in a manner that is ethical, accountable and responsive. We are committed to a spirit of cooperation and teamwork. We will strive for excellence in service and will approach our activities with a deep sense of purpose and responsibility. Our customers and employees can be assured that they will be treated fairly, with dignity and respect. We accomplish this by adhering to our Management System and use operational methods as documented in this Managers’ Manual. Managers should deliver the highest level of service at all times; providing fair and equitable opportunities to all persons for employment and promotion; providing and promoting staff development; promoting an environment which values its employees, recognizes innovation and quality, and encourages the retention of a quality work force. We strive to continually improve the effectiveness of our Management System by monitoring our performance against our established objectives and through leadership,
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which promotes employee involvement. This concept represents RusselSmith’s commitment to a quality workforce and the increasing need to better serve our customers, shareholders, and employees. 3.4
PLANNING RusselSmith establishes objectives on an annual basis. These objectives shall be measurable and consistent with the Management philosophy, and reviewed at least annually at Management Review meetings championed by the Quality Health Safety & Environment Department. As part of annual strategic planning meetings, RusselSmith establishes strategic objectives and goals for revenue, profit, and expenses. These objectives are supported by specific measures that track performance against those objectives using the training & development process. Department Managers in turn set departmental objectives with specific performance measures and targets that support RusselSmith objectives. As situations arise that demand changes to the management system, either to meet objectives or because of changing business conditions, all changes will be reviewed by the management team to ensure the integrity of the O&HPM System is maintained.
3.5
RESPONSIBILITY, AUTHORITY AND COMMUNICATION Responsibilities and authorities at RusselSmith are defined in each job description. Job descriptions are posted on the Company intranet and are used during monthly KPD and biannual performance reviews within the performance appraisal as well as the training & development process. Key duties and responsibilities should be separated among individuals. Duties and responsibilities shall be assigned systematically to a number of individuals to ensure that effective checks and balances exist. Qualified and continuous supervision is to be provided to ensure that internal control objectives are achieved. This management standard require managers and supervisors to continuously review and approve the assigned work of their staffs as well as provide the necessary guidance and training to ensure that errors, waste, and wrongful acts are minimized and that specific management directives are followed.
3.5.1 Management Representative The Chief Executive Officer has appointed the HOD, O&HPM as the Management Representative with the responsibility and authority to: a) Ensure that processes needed for the O&HPM System are established, implemented and maintained. RS-OHP-PPM-M-1008-3 Managers’ Manual
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b) Report to top management on the performance of the O&HPM System and any need for improvement. c) Ensure the promotion and awareness of O&HPM requirements throughout the organization. d) Serve as the liaison with external parties on matters relating to the O&HPM System. 3.5.2 Internal communication In line with RusselSmith’s policy of leadership through employee involvement, RusselSmith’s personnel policies have established open communication throughout the organization. The effectiveness of our O&HPM System and other departments is evident through internal audit results, management reports, and the departmental performance measures. Other than confidential information, company and departmental performance measures are communicated at KPI monitoring meeting and management meeting as applicable. Internal Audit results are shared and discussed at departmental meetings as appropriate. 3.6
MANAGEMENT REPORTING The Chief Executive Officer and Board of Directors shall review RusselSmith’s O&HPM System, on a quarterly basis and more frequently if needed, to ensure its continuing suitability, adequacy and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the O&HPM System. In like manner, the Board of Directors reviews the performance, effectiveness; assess opportunities for improvement and the need for any changes of all existing departments within the RusselSmith and the department manager(s) is responsible for maintaining records from board/management reviews.
3.6.1 Review Input The department manager(s) should provide the following information for Board/Management Review meetings: a) Results of audits, training and assessment b) Employee feedback (if applicable) c) Process performance d) Follow-up actions from previous management reviews (if any) e) Changes that could affect their departmental system or the O&HPM system (if any) f) Recommendations for improvement (where applicable) 3.6.2 Review Output Records shall include the output from the board/management review and shall include any decisions and actions related to: a) Improvement of the effectiveness of the departmental system and its processes. RS-OHP-PPM-M-1008-3 Managers’ Manual
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b) Improvement of processes related to department’s requirements (if any) c) Resource needs 3.7
BUSINESS CONDUCT Unethical business conduct, actions or even the appearance of unethical behavior is unacceptable under any conditions. The reputation of RusselSmith depends on each employee applying common sense in situations where specific rules of conduct are insufficient to provide clear direction. A strong sense of personal ethics, which should extend beyond compliance with applicable laws, is necessary to guide the behavior of all employees.
3.7.1 Ethical Standards All employees should comply with the ethical standards of RusselSmith as set forth in this manual. If a situation feels awkward, then the employees should ask themselves: Is my action legal and ethical? Does my action comply with corporate policy? Is my action appropriate in the situation? Would my action be an embarrassment to the Company, if known? Does my action agree with my personal ethics or behavior? An employee should be able to answer “yes” to all of these questions before taking action or compromising themselves in the situation. All managers are responsible for the ethical business conduct and behavior of their employees. Managers should consider the appropriate courses of action in terms of both ethical and economic factors. Each decision should be based on the guidelines provided in this Managers’ Manual as well as their own personal beliefs of what’s right and wrong. 3.7.2 Integrity Managers and employees are to have personal and professional integrity and are to maintain a level of competence that allows them to accomplish their assigned duties, as well as understand the importance of developing and implementing good internal controls. This requires Manager’s and their staff to maintain and demonstrate at all times: Personal and professional integrity. A level of skill necessary to help ensure effective performance. An understanding of internal controls sufficient to effectively discharge their responsibilities.
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O&HPM SYSTEM Managers utilize the O&HPM system to identify, train and develop employees into productive assets of the Company. The system utilizes standard business processes to achieve the objectives of the system.
4.1
OBJECTIVES Through this manual and associated procedures and documents, RusselSmith has established, documented, and implemented the O&HPM System. The system is designed to result in improving the effectiveness of our managers, employees and operations while also satisfying the requirements of our customers.
4.2
REQUIREMENTS Maintenance of the O&HPM System is the responsibility of the HOD, O&HPM in conjunction with the Chief Executive Officer. The designated O&HPM Officer maintains all documents used in the hiring, compensation, development, separation and compliance processes of all employees and, in conjunction with the appropriate Department Managers, defines the interactions of the processes within the procedures defining these processes. Processes for management activities, provision of resources, and measurement reporting are included. Procedures shall include the methods needed to ensure that the accountability and control of processes are effective.
4.2.1 Resources During planning and budgeting processes, and as needed throughout the year, the Chief Executive Officer and O&HPM Team determine and ensure that the appropriate resources are available to implement and maintain the O&HPM System and continually improve its effectiveness. Top Management should ensure the availability of resources to support the operation and monitoring of processes through regular interaction with department managers and through review activities at Board/Management Review meetings. Department managers and the QA/QC Team should monitor; measure and analyze processes and implement any actions necessary to achieve intended results and continual improvement of the processes. These results will also be monitored at Board/Management Review meetings. Any processes that are outsourced that may affect RusselSmith’s conformity to requirements shall be controlled. The O&HPM personnel and appropriate department manager(s) are responsible for defining the methods to control outsourced processes and procedures. RS-OHP-PPM-M-1008-3 Managers’ Manual
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4.2.2 Infrastructure RusselSmith provides the infrastructure necessary to achieve conformity to Federal and State standards and requirements. During the annual budgeting and strategic planning processes, buildings, workspace, and associated utilities are evaluated and provided. When new personnel are added, O&HPM coordinates activities to ensure appropriate process equipment including hardware and software, if required, and supporting services such as telephones etc., are available based on information of employment type provided on the personnel requisition by the Department Manager/Supervisor. 4.2.3 Internal Controls Internal controls, procedures, and practices should be utilized to ensure that: All employees are safeguarded against invasion of privacy, physical harm, harassment, and discrimination. Programs are efficiently and effectively carried out in accordance with applicable laws and management policy. Employee rights are adequately maintained in accordance with applicable laws and regulations. Employees are properly selected, compensated, motivated, and trained to efficiently and effectively carry out their job responsibilities. 4.2.4 Audit Findings Managers are to promptly evaluate findings and recommendations reported by auditors and then determine proper actions in response to audit findings and recommendations (e.g., develop corrective actions). Managers should complete, within established periods, all actions that correct or otherwise resolve the matters brought to management's attention. The audit resolution process begins when the results of an audit are reported to management, and is completed only after actions have been taken that correct identified deficiencies, produce improvements, or demonstrate the audit findings and recommendations are either invalid or do not warrant management actions. 4.3
TRANSACTIONS All transactions recorded or posted into the O&HPM System should be properly authorized and accurately represent the activity being documented. The timing of the transaction should be in accordance with company policies defined in this manual. O&HPM System transactions include all activities and events relating to hiring, separation, training, discipline, performance, reimbursements, compensation, benefits, and compliance.
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4.3.1 Authorization Transactions and other significant events are to be authorized and executed only by persons acting within the scope of their authority. It is the principal means of assuring that only valid transactions and other events are entered into. Modification or adjustment to previously recorded transactions requires authorization. 4.3.2 Timing All transaction dates recorded in the RusselSmith O&HPM System should accurately reflect the date the transaction occurred. Personnel files should be kept up-to-date and organized for easy retrieval. 4.3.3 Accuracy Transactions should be recorded in the O&HPM System accurately. All transactions should be supported by documentary evidence, which becomes part of the personnel records. Error transactions should be reviewed, resolved, and cleared in a timely fashion. The O&HPM System utilizes standard forms and provides control and accountability over these forms. Managers/Supervisors may be required to review posted O&HPM transactions with source documents and processing documents. 4.4
DOCUMENTATION This Managers’ Manual and the associated procedures are intended to satisfy the documentation requirements for O&HPM System. Department managers and supervisors are responsible for identifying any additional documents needed to ensure the effective planning, operation and control of people and processes under their responsibility. Procedures may vary in detail based on the size of the department or organization involved and the type of activity performed. Procedure developers shall consider this as well as the complexity of the processes and interactions, and the competence of the personnel involved. Documents may be any medium including: software programs, electronic text files, or hardcopy documents for example.
4.4.1 Managers’ Manual This Managers’ Manual provides the top-level organizational document of the O&HPM System. The Managers’ Manual defines the scope, policies and processes of RusselSmith’s O&HPM system as well as management’s responsibility for the system.
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4.4.2 Forms Development & Control All forms required by respective departments shall be controlled. The document control procedure defines the controls needed to: a) Approve forms for adequacy before issue. b) Review and update as necessary and re-approve forms. c) Ensure that changes and the current revision status of forms are identified. d) Ensure that relevant versions of applicable forms are available at points of use. e) Ensure that forms remain legible and readily identifiable. f) Ensure that forms of external origin are identified and their distribution controlled. g) Prevent the unintended use of obsolete forms, and apply suitable identification to them if they are retained for any purpose. 4.4.3 Control of Records Procedures define appropriate records to be maintained for the effective operation of the operational system, including evidence of compliance with applicable laws. Records shall remain legible, readily identifiable and retrievable. The control of records procedure of respective departments defines the controls needed for the identification, storage, protection, retrieval, retention time and disposition of records. 4.4.4 O&HPM Transactions All transactions and other significant events should be clearly documented, properly classified and readily available for examination. Managers are cautioned that personnel notes and other documentation not addressed to an employee do not belong in an employee personnel file. This standard applies to: o The entire process or life cycle of a transaction or event and includes the initiation and authorization. o All aspects of the transaction while in process. o Its final classification in summary records. 4.5
SECURITY Access to resources and personnel records is limited to authorized personnel only. Accountability for the custody and use of resources should be assigned and maintained as well. Restrictions of access to resources shall also depend upon the vulnerability of the resource as well as the perceived risk of loss, both of which shall be periodically assessed. Periodic comparisons should be made of the resources with the recorded accountability to determine whether the two agree. The frequency of the comparison shall be a function of the vulnerability of the asset.
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4.5.1 Physical Security Physical security measures should be adopted to protect the assets and employees from abuse, fraud, theft, or damage. Security procedures for the protection of assets and employees are addressed within RusselSmith’s Security Manual. See RusselSmith Business Solutions Security Plan Policies, Procedures and Forms. 4.5.2 Disaster Security Disaster recovery measures should be adopted to enable RusselSmith to continue the operations of the O&HPM System with limited interruption. Disaster procedures for operations recovery are addressed within RusselSmith’s Disaster Manual. See RusselSmith Business Solutions Disaster Recovery Policies, Procedures and Forms. 4.5.3 Information Security Information security measures should be adopted to protect RusselSmith’s information assets from unauthorized access, abuse, tampering, theft, or use. Information security procedures for the protection and authorized use of computer and network assets are addressed within RusselSmith’s Information Systems Manual. See RusselSmith Business Solutions Computer-Network & Internet Usage Policies, Procedures and Forms. 4.6
WORK RULES AND PERSONNEL POLICIES As a means of improving management-employee relations and promoting harmonious working environments, Managers are encouraged to develop written policies and procedures concerning personnel matters over which they exercise control. In the absence of Companywide policies spelling out the factors considered, management decisions can appear arbitrary and unfair. (Internal rules that carry specific disciplinary consequences should be submitted to the management committee for approval.)
4.6.1 Management-Employee Relations Management-Employee relations are strengthened when employees are consulted in decisions affecting them. Many organizations find it useful to establish a structured forum to encourage open communication between Managers and employees on issues of common concern. This may take the form of an employee engagement meetings, quality of work life balance, facilitated team-building, and/or retreats or staff meetings set aside for this purpose. 4.6.2 Employee-Management Forums Such employee-management forums should concentrate on analyzing and developing recommendations to resolve work-related problems and enhance organizational effectiveness.
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They should avoid personal attacks and discussions of individual personnel actions and formal grievances. Realizing that some employees may initially be reticent to participate in such open discussion with management, Managers should patiently demonstrate by their actions over the long term that: (1) They value employee involvement in work-related issues. (2) There will be no negative repercussions (immediately or eventually) for introducing a concern or suggestion. (3) Their ideas will be seriously considered and used to improve the workplace where possible, rather than gathering dust on a shelf. Areas of productive discussion can include: Workplace safety issues. How to improve the quality of services, work products, or eliminate process redundancy. Methods used to determine assignments, performance appraisals, work performance standards, shift and overtime assignments, priority of leave requests, promotions, and other personnel management practices. Training needs. Morale problems. Equipment and other resource needs. As a specific example, managers that require work re-assignment have benefited from soliciting input from affected employees regarding criteria for making shift assignments, and then documenting the policy in writing. O&HPM encourages all managers that need to reassign, grant time-off, or overtime to consult with O&HPM regarding how these decisions are made. It is strongly suggested that seniority be considered, along with factors specific to the Company’s operational needs. 4.7
LEGAL LIABILITIES OF SUPERVISORS AND MANAGERS The area of employment law is a dynamic one, not only because of the proliferation of laws and regulations affecting personnel management, but also due to the continual evolution of existing case law and practice. Regulations and court decisions allow for the possibility of individual supervisors and managers to be held personally liable for violations in some cases, including discrimination, sexual harassment etc. This possibility underscores the need for supervisor/managers to: 1) Be informed of their own legal obligations and their employees' legal rights. 2) Act accordingly. 3) Maintain appropriate documentation of their actions and that of the employees' actions.
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SAFETY AND HEALTH PROGRAM A safety and health program demonstrates RusselSmith's commitment to providing the safest possible working environment for employees. Effective safety and health programs can markedly reduce the frequency and severity of work-related injuries and illness. Written safety programs typically outlines: Responsibilities of the administrators, supervisors, safety coordinators, safety committee, and employees RusselSmith's safety and health training plan RusselSmith's safety inspection program Accident reporting and investigation procedures Emergency procedures and evacuation plans
4.8.1 Work Environment The Management Team, HSE Unit and O&HPM determine and manage the work environment to ensure RusselSmith provides a safe and desirable place to work. They ensure the environment is appropriate for achieving conformity to OSHA requirements.
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FEDERAL LAWS AFFECTING EMPLOYMENT This section reviews major Federal laws and regulations affecting your job as a manager. They relate to all phases of the employment relationship, from recruitment and selection to terms and conditions of employment. They typically cover all employees working in Nigeria.
5.1
LABOUR ACT OF 1971
5.2
The Labour Act deals with general provisions as to protection of wages, contracts of employment and terms and conditions of employment, recruiting for employment within and outside Nigeria, enforcement procedures, applications, special classes of worker and miscellaneous special provisions . OCCUPATIONAL SAFETY AND HEALTH ACT (OSHA) OF 1968 The Occupational Safety & Health Act was legislated to provide for health and safety in the workplace. OSHA covers every company involved in commerce. In most mid-size companies, and smaller, the administration of OSHA falls under the HR management function. OSHA has a “general duty clause” and a “general industry standard clause” that mandate that an employer is responsible to provide every employee with a safe place to work that is free from hazards. This act requires employers to provide safety training to all employees. OSHA has established safety standards from how to avoid office environment injuries to how to handle and store hazardous chemicals. The agency has numerous brochures and training tools that are available to employers to use for training employees. This act establishes that an organization should set up a “Safety Committee” of employees. The safety committee should meet to identify concerns, establish recommendations for corrective action, and establish an audit program/procedure to ensure compliance with known hazards. This can be as simple as establishing emergency procedures to exit a building in the event of a fire or other hazard. OSHA establishes reporting requirements for work related injuries. Every business has to address safety concerns that are unique to individual locations. Some things that do not seem safety related are implied under OSHA. The safety committee in RusselSmith is represented by both the OHS committee and SHE committee respectively.
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PROCESSES AND CONTROLS The Company has planned and developed the processes needed to properly document, track and control O&HPM transactions. The results of this planning are the processes and procedures defined in our O&HPM System documentation. These processes and procedures address the O&HPM objectives and requirements for RusselSmith, the required verification, validation, and inspection activities specific to RusselSmith. The records needed to provide evidence that these processes comply with Federal regulations are defined in the procedures.
6.1
WORKPLACE RULES & GUIDELINES RusselSmith has established the workplace rules and guidelines that is used to provide employees with the criteria for creating a professional business environment. It is the policy of RusselSmith to expect all employees to abide by certain workplace rules and guidelines at all times in order to create a professional business environment and attitude. Managers are charged with the responsibility to ensure compliance with the stipulated rules (see Employee Handbook for guidance).
6.2
DRESS CODE RusselSmith has established the criteria for presenting a professional business appearance that is appropriate to the job and situation involved and to ensure that customers, clients, and other employees feel comfortable doing business with RusselSmith. RusselSmith expects managers/supervisors to ensure that all employees under their supervision abide by the dress code at all times in order to represent the Company properly and to create a professional business environment and attitude.
6.3
HIRING Adequate execution of the screening, selection and orientation of a new employee as well as the setting of proper expectations are all vital elements of RusselSmith’s management controls. The hiring of a new employee is an expensive process. It takes time, money, and a thorough understanding of the needs of the organization, both today and in the future. Every employee is expected to make a far greater contribution to the Company, in terms of revenue, than the actual expenses incurred. All hiring of employees will be in accordance with RusselSmith's Employment Policies. Personnel requisitions, interviewing and ultimate hiring should be performed in an effective
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manner and method with the objective to ultimately fill the position with the best available candidate. The Managers are to use the job descriptions as a guide however, this is not intended to be all-inclusive of a person's abilities, the requirements for fulfilling their position, or as work limitations or restrictions on employee roles. Job descriptions will be prepared for all positions in RusselSmith to serve as an organizational aid for identifying and delegating responsibilities, coordination and division of work and prevention of duplication of efforts. RusselSmith has outlined a series of fair and objective methods for conducting interviews in order to find the best possible candidate and meet or exceed the guidelines for equal opportunity employment and non-discrimination. All candidates for positions should be interviewed by the Hiring Manager (Department Manager) and O&HPM Representative (where possible). The final recruitment and onboarding of the selected candidate is subject to the approval of the Chief Executive Officer. 6.4
DEVELOPMENT All personnel should be competent based on appropriate education, training, skills and experience. The minimum competencies required for each position at RusselSmith are defined in each position's job description. Where otherwise qualified personnel require additional training or other action to meet the minimum competency requirements, these needs are identified. The departmental manager/supervisor provides on the job training. General and task-specific trainings are provided and or coordinated by O&HPM. The department manager/supervisor is however responsible for evaluating the effectiveness of training or other actions taken as appropriate. The O&HPM maintains records of all organized training(s) the department facilitated, employee’s education, skills and experience documentation in accordance with O&HPM Policies and Procedures. Department managers are responsible for ensuring their employees are aware of the relevance and importance of their activities and how they contribute to the achievement of company objectives.
6.5
WORKPLACE SAFETY & COMPLIANCE Maintaining and achieving compliance with Federal regualtions is an important and required objective of RusselSmith. The personal safety and health of each employee of this company is of primary importance. The policy of this company is to maintain a safe and healthy working
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environment at all times, and to comply with Occupational Safety and Health Administration (OSHA) regulations as well as State and local safety requirements. The prevention of occupationally induced injuries and illnesses is a management priority and will be given precedence in all operational matters. RusselSmith does not knowingly allow unsafe conditions to exist, or permit employees to participate in unsafe activities. RusselSmith provides methods for the evaluation and maintenance of a safe working environment and to outline procedures for handling injuries and subsequent reporting requirements. Managers are responsible for ensuring their subordinates adhere strictly to RusselSmith’s procedures and policies in regards to safety and related federal statutes and regulations. 6.6
EMPLOYEE DISCIPLINE Line Manager is responsible for managing disciplinary matters that do not attract sanctions greater than a first written warning. Line Managers are responsible for maintaining discipline in their Departments. However, where the Line Manager fails in this duty, an employee higher in hierarchy (Departmental Head) must take up the responsibility to ensure that discipline is enforced. Line Managers who refuse to maintain discipline will be appropriately sanctioned. No disciplinary hearing shall be held unless a minimum notice of 24hours has been issued to the employee whose conduct is to be examined. In the event that a hearing is instituted to redress such breaches, the designated O&HPM personnel shall issue not later than 24 hours before the hearing, a notice of such hearing. The first level of hearing into an alleged misconduct is the issuance of a formal query requesting for an explanation from the employee(s) involved. The Line Manager has the responsibility of issuing queries to subordinates deemed to be culpable in the alleged misconduct. The Line Manager’s Supervisor/ Departmental Head reserve the right to issue the queries to any employee in the department and ensure that the disciplinary process is duly followed. Where an alleged misconduct is discovered or escalated to the O&HPM Department by any employee other than the Line Manager, the HOD, O&HPM and or Legal & Compliance Officer will advise the Line Manager, who is expected to issue the query to the staff. Where the Line Manager does not act as required, the HOD, O&HPM will advise the Line Manager’s Supervisor to issue the query and commence the disciplinary process against the alleged offender. Line Managers who refuses to take ownership of discipline in his/her Department will be sanctioned accordingly.
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The Line Manager is required to assess the response of query and decide whether it is acceptable or unacceptable. If it is acceptable, the Line Manager will respond accordingly and the process ends. If it is unacceptable, the Line Manager will respond accordingly and advise staff that further measures shall apply. Based on the assessed severity of the breach and hence the sanctions, as guided by the Sanctions Matrix contained in the Employee Handbook, the Line Manager shall: Arrange a supervisor/manager’s hearing for breaches carrying sanctions equal to and less than first written warning. Contact O&HPM to advise the arrangement of a formal disciplinary hearing for breaches carrying sanctions equal to or more than final written warning. As the disciplinary process is an internal company procedure and all parties to the process must be an employee of the Company. In the event that it appears to a Supervisor or Line Manager that an employee has committed a disciplinary infringement that may warrant the issuance of a documented verbal warning or a first written warning (see sanctions matrix), he/she shall take the steps under the guidance of the O&HPM Team. In the event that disciplinary proceedings are to be commenced following a complaint lodged with the Supervisor or Line Manager by another employee other than the Supervisor or Line Manager, the manager shall require the complainant to provide him/her with full written details or by email of the alleged disciplinary misconduct and the Line Manager shall commence proceedings against the employee as appropriate. There may be no complainant if the conduct giving rise to the offence is within the Line Managers own knowledge. The Supervisor or Line Manager shall advise the employee in writing or e-mail, keeping the O&HPM in copy that he/she has been accused of an offence, proof of which may warrant a Documented Verbal Warning or a First Written Warning if he/she is found guilty. The HOD, O&HPM and or Legal & Compliance Officer should take the first step in the disciplinary procedure by issuing a query to the employee who shall state his/her version of the alleged misconduct in writing. The employee is to respond to the query within 24hours. The Supervisor or Line Manager shall within 24hours of his receipt of the employee’s response to the query convene all parties to meet at a suitable time and place. The employee, together with his/her representative (if any) shall meet and the employee or his/her representative should be afforded a full opportunity to make representations and/or call any witness if they so wish. Should the Supervisor or Line Manager or any complainant invite the testimony of witnesses, the employee shall be entitled to cross-examine those witnesses. It should at all times be borne in mind that the procedure is an informal one and the Supervisor or Line Manager is entitled to adopt whatever procedure he considers appropriate, provided that he/she ensures that the matter is fully investigated.
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At the end of the meeting, the Supervisor or Line Manager shall make a finding as to the innocence/ guilt of the employee, advise the employee of the reasons for his/her finding and thereafter determine whether a documented verbal warning or a first written warning is the appropriate disciplinary sanction, subject to the guidelines above. In so doing, the Supervisor or manager shall take into account all the circumstances pertaining to disciplinary sanction that he/she would be obliged to consider where he/she is the Chairperson of a formal disciplinary hearing. If at this stage the Supervisor/Manager or HOD, O&HPM considers that the disciplinary misconduct warrants the sanction of a final written warning, termination or dismissal, he/she shall refer the matter to the O&HPM Department for the institution of a formal disciplinary hearing and he/she shall advise the employee that proceedings are to commence afresh. The Supervisor or manager shall then close the proceedings at his level. If the Supervisor or Line Manager considers that the misconduct warrants a written warning not exceeding First Written Warning, the Line Manager shall complete a Disciplinary Form, recording an exact account of the offence and the date that the written warning was given. The HOD, O&HPM and or Legal & Compliance Officer shall review the Line Manager’s decision to ensure he/she has acted appropriately. The Supervisor or Line Manager shall prepare a report to advise the employee of the decision, explain the reason for the choice of sanction and explain the contents of any disciplinary form to the employee. The Supervisor/Line Manager shall request the employee to sign the report and whenever possible sign it in the presence of his /her representative. If the employee refuses to sign the disciplinary form or does not lodge an appeal, the written warning shall however be valid and operative. The Supervisor or Line Manager shall indicate on the written disciplinary form the employee’s refusal to sign and shall also state the employee’s reasons for refusing to sign the form. The form shall be forwarded to the Legal & Compliance Officer for processing within two days of its issuance. At the time of issuing the employee with the formal warning, the Supervisor or Line Manager must advise the employee of his/her right to appeal to the next level of management by completing an Appeal Form within three (3) working days of being advised of the disciplinary sanction. The employee must be given a copy of the disciplinary form. 6.7
PAID & UNPAID LEAVE RusselSmith provides certain earned benefits to all eligible employees in order to maintain a productive workforce by providing with time away from work for any health or personal reason which can include vacations, sick leave, disability, maternity / paternity leave, personal business, bereavement, study leave and statutory time off (advise that it be substitute with sick or health grounds, examination, personal reasons and statutory time off). The Company encourages all employees to utilize all paid time-off benefits.
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In line with the company’s procedure on Paid & Unpaid Leave, employees are entitled to stated number of days as paid (vacation/rotation) days and are expected to take their paid vacation/rotation time as a means of rest for themselves. Employees are advised to schedule their time-off (vacation/rotation) on a quarterly basis in an effort to avoid affecting productivity and business continuity. The granting of leave is however subject to the approval of the employee’s direct line-manager, H.O.D and the O&HPM Department. Kindly note the below key points: Employees are eligible and entitled to annual time-off (vacation/rotation) as per employment contract. Job requirements always have precedence over time-off (vacation/rotation) schedules. Seniority is considered in the event a conflict of time-off (vacation/rotation) schedules arises. As much as possible, staff will be advised of annual training schedules to enable them plan their time-off. However, if time-off (vacation/rotation) dates coincide with any training event, such training will take precedence. For eligibility and application formalities for other types of time-off, kindly contact the O&HPM. 6.7.1
HIERARCHY OF APPROVAL An employee who wishes to proceed on either annual vacation/ time-off, maternity leave, paid time-off, unpaid leave, study leave, paternity leave, marriage leave, leave of absence or casual/compassionate leave must follow the below chain of approval: Employee Request (Absence or Leave Request Form)
O&HPM Personnel
Supervisor/Manager
6.7.2
Head of Department
H.O.D, O&HPM
TIME-OFF APPLICATION PROCESS With regards to time-off application, the below guidelines is to be strictly adhered and complied with: The time-off management system i.e. “REPLICON” is a cloud based software that can be accessed from any location and as such, time-off can easily be applied for Paid Time-Off must be submitted and approved at least one (1) working day before the commencement of the proposed time-off or the first day of the employee’s resumption back at the office in the case of an emergency Unpaid Time-Off must be submitted and approved at least two (2) working days before the commencement of the proposed time-off
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Operations Time-Off (Offshore Personnel Only) must be submitted and approved at least two (2) working days before the commencement of the time-off Vacation (Office Support Personnel-National) time off application must be submitted and approved at least five (5) – ten (10) working days before the commencement of the timeoff Rotational Time-Off (Office Support Personnel-Expats) application must be submitted and approved at least five (5) – ten (10) working days before the commencement of the timeoff An employee can ONLY embark on time-off upon the application request being approved and notification received.
Kindly note that non adherence to the above guidelines will attract such days being termed as unpaid time-off days or absent days. Line manager/supervisor and or H.O.D are expected to approve submitted time-off request within 24hours of submission. 6.7.3
TIME-OFF ROTATION MANAGEMENT For expatriate employees, time-off is strictly on rotational basis as stated in their respective contracts and such time-off is not accruable. Below steps are to be ensured when making an application: Application for time-off rotation should be as per calendar days and not otherwise Absence from office or travelling on a day earlier than the approved time-off/ paid time-off date would not be approved Returning to Nigeria on a day later than the approved end date of the time-off/paid time-off would not be approved Any cost incurred as a result of change in travel date and itinerary shall be charged to the employee Any day spent outside of the approved dates shall be charged as unpaid There should be strict compliance and adherence to specified time-off rotation as per contract Email confirmation of the final approval on commencement of rotation time-off or paid time-off must be received before such time-off is embarked upon or flight bookings is made All flight bookings MUST be signed off by the O&HPM Department Kindly note that non adherence to the above guidelines will attract such days being termed as unpaid time-off days or absent days. Line manager/supervisor and or H.O.D are expected to approve submitted time-off request within 24hours of submission.
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PERFORMANCE APPRAISAL SYSTEM The performance of an employee is reviewed first three months, and six months after employment and twice annually thereafter according to company performance appraisal schedule. However, a manager may give an interim review at any time without waiting for the scheduled time. Employees’ individual key performance deliverables (KPD) are measured on monthly basis to foster more objectivity. The performance appraisal process is a mandatory exercise that is taken with utmost importance. An employee’s failure to complete or participate in the exercise is a violation of the company’s process and the QAQC Unit is advised to initiate an investigation of such nonconformance. Also, where the employee fails to participate in either of the identified company’s performance appraisal system that is first three (3) months, first (6) months, March cycle and September cycle, the employee shall be put on probation and if he/she fails to participate in the subsequent appraisal cycle, the separation process shall be initiated. However, the list of such defaulting persons is sent to the Chief Executive Officer for review and approval before either the probation or separation process is initiated.
6.9
TIMESHEETS In line with the Company’s objective to maximize productivity and ensure efficiency at tasks, employees are expected to complete either the daily, weekly or monthly timesheet on the timesheet ERP portal (e.g. Replicon) and submit for approval as per the defined chain of approval. Departmental managers/supervisors are responsible for reviewing and overseeing the submission of their department/unit's personnel timesheets within defined timeframe. Employees are responsible for preparing and submitting their timesheets and supporting documentations for each pay period where applicable. The timesheets is used to record regular hours worked (8hours per each weekday), paid time off and holidays. Submission of timesheet is compulsory and must be done on daily basis, weekly basis or monthly basis (as applicable) as this forms part of payroll process. ONLY approved timesheets and time-off as at time of payroll cut-off date, which is 25th of every month, will be processed for the month’s payroll. Employees are responsible for ensuring their submitted timesheets are approved adds up to the applicable total number of working hours of each month for payroll computation.
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Timesheet is ONLY submitted for weekdays (i.e. Monday – Friday) and not weekends (i.e. Saturday & Sunday). The below are the defined submission deadline period for respective types of timesheet: Daily Timesheet - On or before 5:00pm of every weekday or latest 7:50am of the following day Weekly Timesheet - On or before 5:00pm of every Friday or latest 7:50am of the following Monday Monthly Timesheet - On or before 5:00pm of every 25th day of the month The onus is therefore on the employee to ensure their timesheets are submitted on or before the allotted deadline. However, line manager/supervisor and or H.O.D are expected to approved submitted timesheets within 24 – 48hours of submission A breach or default in the submission deadline will warrant the timesheet period in question not being approved by the Manager and or Head of Department. Also for days where record of timesheet cannot be reconciled or the official resumption time and closing time is not covered within the timesheet, the O&HPM would apply the appropriate penalty. The penalty for failure to ensure duly approved timesheet within the defined deadline will attract the non-processing of the concerned employee’s payroll and or the affected days being declared and processed as unpaid. Also for days where record of timesheet cannot be reconciled or the official resumption time and closing time is not covered within the timesheet, the O&HPM would apply the appropriate penalty. The below tabulated details the rejection conditions under which the timesheet penalty is applied as well as the parties liable: CONDITIONS FOR REJECTION Timesheet submitted late by Employee but rejected by line supervisor/manager Timesheet submitted late by Employee and approved by immediate line supervisor/ manager and or subsequent approvals
Timesheet submitted early by Employee and approved late by immediate line supervisor/manager and or subsequent approvals
PARTIES LIABLE Employee is penalized Both Employee & Immediate Line Supervisor/Manager, Line Supervisor/Manager and or HOD are penalized (depending on who is in default) Immediate Line Supervisor/Manager, Line Supervisor/Manager and or HOD are penalized (depending on who is in default)
Before taking time off, employees are expected to complete and submit their timesheet to their supervisor/manager/H.O.D. If an employee is absent the day that timesheets are due (i.e. illness, injury, etc.), the employee's supervisor may assist and oversee the completion and
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submission of the timesheet and notify O&HPM of any corrections upon the employee's return. 6.10
SEPARATION OF EMPLOYMENT Employees may be separated from employment voluntarily or involuntarily by retirement, voluntary resignation, redundancy, or termination. However, if any misconduct warranting discipline is severe enough, the Management may discharge an employee immediately. All separation of either cadre of employee must be channeled through O&HPM. The line manager is however required to acknowledge receipt of resignation notice and forward same to O&HPM. An employee forfeits any right or lien to vacation or time-off once the separation process has been initiated and therefore cannot use his/her intended vacation or time-off period to serve notice period. All company property in the employee's possession must be returned to the company upon separation from employment and before the final pay-cheque is released.
6.11
FALSIFICATION OF RECORDS The company may at any time verify the authenticity of records contained in a report, timesheet, database, log etc. to show compliance with defined company requirements. Where such record appears to have been intentionally falsified, fraudulent and or questionable, the employee will be required to provide supporting documenting to validate the submitted record. In the event that the employee is alleged to be guilty, the disciplinary process will be initiated and the appropriate sanctions/penalty would be applied to the employee.
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7.0
REFERENCED PROCEDURES: LABOUR ACT OF 1971 OCCUPATIONAL SAFETY AND HEALTH ACT (OSHA) OF 1968 RS-OHP-CPL-P-1038 DRUG FREE WORKPLACE RS-OHP-CPL-P-1058 HARASSMENT & DISCRIMINATION RS-OHP-CPL-P-1068 EMPLOYEE DISCIPLINE RS-OHP-COM-P-1018 PAYROLL RS-OHP-COM-P-1028 PAID & UNPAID LEAVE RS-OHP-DEV-P-1018 DEVELOPMENT MANAGEMENT RS-OHP-DEV-P-1028 PERFORMANCE APPRAISAL RS-OHP-HRG-P-1018 EMPLOYEE HIRING RS-OHP-HRG-P-1028 JOB DESCRIPTIONS RS-OHP-HRG-P-1058 BACKGROUND INVESTIGATIONS RS-OHP-PPM-M-1008-2 EMPLOYEE HANDBOOK MANUAL RS-QMS-QAM-P-1010 LEGAL & PERSONNEL RECORDS RS-OHP-PMP-P-1018 SEPARATIONS RS-OHP-PMP-P-1028 WORKPLACE RULES & GUIDELINES RS-OHP-PMP-P-1048 DRESS CODE PROPERTY AND ACCESS CONTROL PROPERTY AND ACCESS CONTROL COMPUTER-NETWORK AND INTERNET USAGE POLICY E-MAIL POLICY BUSINESS SOLUTIONS SECURITY PLAN BUSINESS SOLUTIONS DISASTER RECOVERY
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Revision History Revision
Date
Description of changes
Requested By
00
01/01/09
Initial Release
MO
01
19/08/11
Full Manual Review
MO
Full Manual Review Change of manual numbering from RS-PPM-M1302 to RS-PPM-M-1008-3 Review based on change in the company’s corporate logo and general review of the manual
People Advisor QAQC Advisor
02
16/08/12
03
14/02/13
04
01/11/14
Review based on departmental restructuring
Head, O&HPM
05
29/01/15
Annual Review – No changes required
QAQC Unit
06
01/03/15
07
01/03/16
MO
Review of clauses 2.2.6, 3.1, 3.1.2, 3.3 – 3.5, 3.5.2, 3.6, 3.6.1 – 3.6.2, 4.2.2, 4.3.3, 4.4, 4.4.3, 4.5, 4.6.2, 4.8, 5.2, 6.1, 6.3 – 6.5 MO Review of reference procedure segment Inclusion of clause 6.7, 6.7.1 – 6.7.3, 6.8 – 6.11 Review based on QMS New Procedure Numbering PI/QA Unit System HOD,O&HPM Review of clause 6.9
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