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					                                      Faculty of AgriSciences


                                                        GUIDE
                                           FOR FORM PB02-C2/3 (LB)
          Work agreement, Personal Development Plan (PDP) and Performance Monitoring and Evaluation
                                            for C2 and C3 staff

This guide is aimed primarily for use with form PB02-C2/3. Consult the US Guide for Performance Management of non-
academic staff for further details about the broader process, policy, principles and procedures.


1.    PURPOSE OF PERFORMANCE MANAGEMENT
          To, in terms of the post level expectations in the description of the post, enter into a fair and achievable
           work agreement with a member of staff with regard to individual objectives that are in line with the
           strategic and operational objectives of the US, the Faculty of AgriSciences and the division, as well as
           with regard to the knowledge and skills that are expected for the staff member’s specific post.
          To provide the staff member with feedback on a continuous basis with regard to his/her work
           performance by means of informal feedback and monitoring interviews, but also by means of a formal
           performance evaluation interview once a year.
          To enable performance managers and members of staff to identify obstacles that prevent staff from
           achieving their work objectives at an early stage, and to formulate action plans in this regard.
          To formulate a meaningful personal development plan (PDP) for each member of staff that is aimed at
           short-term performance development, as well as at long-term career development.
          To encourage, acknowledge and reward excellent performance by the staff.


      The form is used for the following purposes:
           At the start of a new reporting period to:
              (i) enter into a work agreement in terms of the content of the post (work outputs) and the
                   requirements of the post (knowledge and skills), and
              (ii) the creation of a personal development plan (PDP).
           During the reporting period for:
             (iii) performance monitoring
           At the end of a reporting period for:
              (iv) a performance evaluation of the staff member’s work outputs, as well as knowledge and skills.


2.    GUIDELINES FOR COMPLETING THE FORM


      2.1 Entering into a work agreement (at the start of the reporting period)

      The background information that is required is:
       (i) the vision and mission of the US and the Faculty, as well as the vision, mission and strategic/operational
           objectives of the division (business plan) and
      (ii) the description of the post in which the staff member is appointed, from which the expected work
           outputs of the work agreement are compiled on the basis of the content of the post and the
           requirements with regard to knowledge and skills.
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        Step 1: Section A1: CONTENT OF THE POST (work outputs)
                      The staff member, in consultation with the chairperson/supervisor, plans and completes the agreed
                      work outputs, which include the following:

                      Key performance areas (KPAs):
                      This is a more detailed description of the overall main functions that are linked to a post, e.g.
                      academic administration, liaison, technical support, etc.
                       The KPAs that are specified in the description of the post (i.e. the content of the post) in which the
                        staff member is appointed, are filled in.
                       There should preferably not be more than five KPAs.
                       The KPA "ad hoc function" can also be added and is applicable to functions/tasks/projects in
                        which the staff member becomes involved and which require time and energy that would usually
                        be expended on normal, day-to-day activities. If this component is added, it makes provision for
                        the possibility that the staff member could receive acknowledgment for it.
                       Each KPA must also be linked to a strategic or operational action of the business plan of the
                        department.

                      Tasks and actions: These provide a description of the outputs that must be performed in terms of
                      a specific KPA, e.g. for technical staff, the preparation of practicals can be a task under the KPA
                      “technical support".

                      Objectives:
                      Objectives are the measurable results/aims that the staff member should achieve within a specific
                      time (reporting period).
                       It should be possible to link the individual’s objectives to the overarching strategies and
                         operational objectives of the environment (US, Faculty and division).
                       Each objective must be linked to a specific function and task that is determined by the KPAs of
                         the post in which the staff member is appointed.
                       The objectives must be described as completely as possible by making use of the SMART
                         formula, viz.:
                                S:       specific
                                M:       measurable
                                A:       action orientated
                                R:       realistic
                                T:       time based
                                e.g. RESEARCHER: publish 2 (M) articles per year (T) in an accredited journal (S)
                       Must preferably begin with a verb, e.g. supply, develop, establish, attend, manage, produce,
                         communicate, monitor, etc.
                       Time: specific due date, or monthly, quarterly, annually, continuously.

                      Time framework: This provides an indication of the time framework within which a task should be
                      completed. In certain cases there might be a specific due date linked to the completion of a task
                      and in other cases the time framework of the task can be described by terms such as “continuous”,
                      “weekly”, “monthly”, quarterly”, etc.

                      Weighting: A weighting or priority value must be allocated to each KPA (e.g. in terms of the work
                      outputs, the weighting will provide an indication of the estimated time that the staff member will
                      spend on tasks within the KPA). In the case of a KPA that contains tasks with different weightings, a
                      separate weighted value can be assigned to each task, calculated from the total for the specific KPA.
                      For example: If a KPA has a weighting of 40, the weighted value of the individual tasks should add
                      up to 40.
                      Performance measures:
                      These are the measuring instruments with which an output can be measured,
                                    e.g. feedback (oral or written)
                                         correspondence
                                         minutes
                                         reports
                                         budgets
                                         statistics, databases, records
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                                          publications
                                          policy documents
                                          investigations
                                          feedback data
                                          teaching portfolios
                                          auditing

                      These measuring instruments therefore are the “sources” that can be used by the staff member for
                      the purposes of self-evaluation as proof or illustration in support of achievements that he/she
                      regards as excellent (i.e. above the norm).

                      Performance indicators:
                      These can be used to measure an output, primarily in terms of:
                         quality   e.g. accuracy
                                        completeness
                                        neatness
                                        comprehensiveness
                                        consistency
                                        punctuality
                                        percentage errors/deviation
                                        fairness
                                        appropriateness
                                        client satisfaction
                                        within policy/guidelines/requirements/law
                                        sophistication (of technique)
                                        attention to detail
                                        innovative predisposition
                         quantity e.g. volume
                                        number

        Step 2: Section A2: REQUIREMENTS OF THE POST (knowledge and skills)
                      By taking into consideration the description of the post and the post level expectations of the post in
                      which the staff member has been appointed, the staff member, in consultation with the
                      chairperson/supervisor, selects the knowledge and skills that are applicable to the staff member’s
                      work outputs (KPAs and tasks or objectives) and allocates a weighted mark to each. If some of the
                      aspects are not applicable to the staff member’s KPAs, a ZERO value is allocated.

        Step 3: Section A3: PERSONAL DEVELOPMENT PLAN (PDP)
                      The PDP is linked to the development areas (short and medium term), as well as to the career
                      planning (long term) of the member of staff. The aspects that were identified during the previous
                      performance evaluation of the staff member’s post content (work outputs) in Section A1, as well as
                      the requirements of the post (knowledge and skills) in Section A2 that were identified as
                      development actions, form part of the staff member’s work agreement for the current period and are
                      therefore also evaluated in order to determine whether the expected outcomes were achieved.
                      Concise comments should be provided by the supervisor in this regard. The development action
                      that is identified during the current performance evaluation must be included in the PDP of the work
                      agreement for the following period. NB: A mark is not allocated for this section.

        Step 4: SIGNING THE WORK AGREEMENT
                      Once the content of the work agreement of the staff member has been clarified, the front page of the
                      work agreement form must be signed by both the staff member and the chairperson as confirmation
                      thereof.


        2.2 Performance monitoring (during the reporting period)
        Performance monitoring by means of an informal discussion must take place at least once per year with the
        purpose of determining whether there has been satisfactory progress with the following:
         the objectives (work outputs) that were targeted for the reporting period; at this time, the objectives can
           also be adjusted in the light of circumstances that could not be anticipated at the start of the cycle when
           the work agreement was entered into.
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            development actions that are set out in the PDP.
        On completion of the monitoring interview, the chairperson/supervisor and the staff member must both sign
        the front page of the work agreement and add the date of signature as confirmation that the monitoring
        interview took place.
        There is also an option for the chairperson/supervisor to add any general comments or follow-up actions that
        need to be placed on record as a result of the monitoring interview (Section A4 of the form).


        2.3 Performance evaluation (at the end of the reporting period)

        Step 1: Self-evaluation by staff member with regard to his/her work outputs
                      Section A1: CONTENT OF THE POST (work outputs)
                      The staff member first evaluates his/her own work outputs to determine: (i) if they measure up to
                      the norm (point 3 on the scale); (ii) if they exceed the norm (points 4 or 5 on the scale); (iii) if they do
                      not measure up to the norm (points 1 or 2 on the scale). The section under "Staff member’s self-
                      evaluation comments" must only be completed if the member of staff is of the opinion that: (i) an
                      output exceeds the norm, with thorough motivation and sufficient proof to support the work
                      output/objective achievement – sources such as the performance measures that were specified can
                      be quoted or attached as a performance portfolio OR (ii) an output did not measure up to the norm,
                      with a motivation for the underachievement, specifically if the underachievement can be ascribed to
                      external factors beyond the control of the staff member. NB: It therefore is the responsibility of the
                      staff member to provide proof of work outputs, especially of those outputs that exceed the norm.

        Step 2: Self-evaluation by staff member with regard to his/her knowledge and skills
                      Section A2: REQUIREMENTS OF THE POST (knowledge and skills)
                      The staff member completes the section "Staff member’s self-evaluation comments" to elucidate
                      those aspects with regard to which he/she is of the opinion that he/she exceeded the norm, or with
                      regard to those aspects in which he/she has a need for development. This can include aspects in
                      which the staff member believes that he/she did not measure up to the standard expectation, as well
                      as aspects in which he/she did meet the standard expectation but in which he/she has a need to
                      develop further.

        Step 3: Evaluation of staff member’s work outputs by chairperson/supervisor
                      Section A1: CONTENT OF THE POST (work outputs)
                      The work outputs of the staff member are evaluated on the basis of a 5-point scale (the scaled
                      points are described in Part 3.1 of this guide).        The section, "Evaluation comments by
                      Chairperson/Dean", are only used for comments in support of good performance or weak points, as
                      well as the for the development actions that are linked to the latter. These development actions
                      must also added to the staff member’s PDP in his/her work agreement for the following reporting
                      period.
                      A scaled mark out of 5 is allocated to each KPA. The final KPA mark is calculated on the basis of a
                      certain formula (an explanation of the formula is provided in the form in Section A1).

        Step 4: Evaluation of staff member’s knowledge and skills by the chairperson/supervisor, as well as
                of the outcomes of his/her previous PDP
                      Section A2: REQUIREMENTS OF THE POST (knowledge and skills)
                      The staff member’s knowledge and skills are evaluated on the basis of a 5-point scale (the points on
                      the scale are described in Section 3.2 of this guide). The evaluation must take place by taking into
                      consideration the description of the post and the post level expectations of the post in which the staff
                      member is appointed, as well as the comments made by the staff member as part of the self-
                      evaluation in the column, "Staff member’s self-evaluation comments". Under "Evaluation comments
                      by Chairperson/Dean”, aspects can be mentioned in terms of which the staff member is evaluated
                      as exception, although this section should be used specifically to point out development actions,
                      including those identified by the staff member, and these must also be added to the staff member’s
                      PDP for the following reporting period. The weighting and scaled marks are then added to the
                      points table in the performance evaluation form (Section B).
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                      Section A3. PDP
                      The supervisor provides brief comments on the PDP with regard to the outcomes of the
                      performance or career development actions that are targeted for the work evaluation period.

        Step 5: Completion of the performance evaluation form
                      Section B: PERFORMANCE EVALUATION FORM
                      The staff member’s biographical information must be completed, as well as the processing of the
                      marks and the final performance mark.

        Step 6: Additional comments and signing by the staff member, supervisor and chairperson
                      FRONT PAGE OF WORK AGREEMENT FORM
                      The performance evaluation section on the front page must be signed by the supervisor, the
                      chairperson and the member of staff. The signing of the performance evaluation by the staff
                      member does not imply that he/she agrees with the performance evaluation, but only that he/she
                      conforms that the performance evaluation interview was held with him/her. If the staff member does
                      not agree with the agreement, the performance mark or the process, the onus is on him/her to make
                      use of the appeal process.
                      Section B: PERFORMANCE EVALUATION FORM
                      The staff member’s biographical information must be completed, as well as the processing of the
                      marks and the final performance mark. The performance evaluation form must be signed by the
                      staff member and the chairperson and there is also an option for additional comments by both the
                      staff member and the chairperson. For example, the staff member can make comments on how
                      he/she experienced the evaluation process and whether he/she regards the performance mark as a
                      true reflection of his/her performance during the preceding reporting period (positive or negative), as
                      well as on any aspect relating to the performance management process that has been followed
                      since entering into his/her current work agreement. If a staff member wants to follow the appeal
                      process provided by the US, this can also be noted here. The chairperson can use it for any
                      additional comments that he/she would like to make on the staff member’s performance evaluation,
                      including if he/she wants to recommend that the member of staff should be considered for a
                      performance reward or promotion.
                      A copy of the signed Section B is sent to the Dean’s Office as feedback on the performance
                      evaluation of the member of staff.
                      Take note: the date of the performance evaluation, as well as the signatures, must be placed on the
                      front page of the work agreement.


3.      DESCRIPTION OF SCALE AND PERFORMANCE MARKS

        3.1 Scaled points for work outputs
        The work outputs of the staff member are evaluated in terms of the following scale:
            5         Consistently excellent, significantly exceeds the required standards of the position.
                      Dynamic and creative work performance.
                      Requires no guidance and supervision.
            4         Consistently exceeds the required standards of the position.
                      Produces very good work.
                      Requires minimal guidance and supervision.
            3         Consistently meets the required standards of the position.
                      Produces good work that is up to date.
                      Requires normal guidance and supervision.
            2         Consistently does not meet the required standards of the position.
                      Attempts must be made to improve work.
                      Requires more than the normal guidance and supervision.
            1         Insufficient and below the required standards of the position. Performance at this level is unacceptable.
                      Serious attempts need to be made to improve work.
                      Consistently required guidance and supervision, and staff member does not react to this.
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        3.2 Scaled points for knowledge and skills
        The knowledge and skills of the staff member are evaluated in terms of the following scale:
            5         Consistently excellent, significantly exceeds the required standards of the position.
            4         Consistently exceeds the required standards of the position.
            3         Consistently meets the required standards of the position.
            2         Consistently does not meet the required standards of the position.
            1         Insufficient and below the required standards of the position.

        3.3 Staff categories in terms of performance mark
        On the basis of the final performance mark, the staff member is placed in one of five categories:

          A       91-100%        The staff member’s performance in terms of his/her post content and requirements have exceeded
                                 the post level expectations by far.
                                 The staff member qualifies for a salary adjustment that is higher than the average salary adjustment of
                                 the Faculty, other relevant forms of performance reward, as well as for a performance bonus.
          B       71-90%         The staff member’s performance in terms of his/her post content and requirements exceeded the post
                                 level expectations.
                                 The staff member qualifies for a salary adjustment that is higher than the average salary adjustment of
                                 the Faculty, as well as for other relevant forms of performance reward.
          C       51-70%         The staff member’s performance in terms of his/her post content and requirements meets the post
                                 level expectations.
                                 The staff member therefore qualifies for relevant forms of performance reward.
          D       11-50%         The staff member’s performance in terms of his/her post content and requirements does not meet the
                                 post level expectations. The staff member could be considered for a limited form of performance
                                 reward.
          E           0-10%      The staff member’s performance in terms of his/her post level and requirements does not at all meet
                                 the post level expectations. The staff member therefore does not qualify for any form of performance
                                 reward.


4.      TERMINOLOGY
          Weighted mark                      The mark that is calculated if it is linked to a weighting (viz. the weighted mark x the
                                             point on the scale).
          Weighting                          This is a value out of 100 that is allocated to an aspect (e.g. KPA or task). The
                                             weighting provides an indication of the priority value of an aspect or the time that the
                                             employee spends on the respective tasks of the key performance areas.
          Key performance             area   These are the overall key performance areas (main functions) of a post (e.g. liaison,
          (KPA)                              secretarial support, financial administration, etc.) and are therefore linked to the staff
                                             member’s work outputs.
          Staff member                       The person whose performance is being managed.
          Personal Development               This is a development plan that is compiled for a staff member and that focuses on
          Plan (PDP)                         the performance development areas that are linked to the staff member’s knowledge
                                             and skills, as well as the career planning of the member of staff.
          Description of the post            The description of what is expected from a post in terms of the content of the post
                                             (key performance areas and tasks) and requirements of the post (qualifications,
                                             knowledge and skills).
          Performance management             This is the instrument used for entering into the work agreement (including the
          form                               personal development plan) and for the performance evaluation of the staff member.
          Performance indicators             Factors with which the value of an output can be determined in terms of quality,
                                             quantity, time and cost.
          Performance measures               These are the sources from which concrete proof can be obtained of a staff
                                             member’s progress in achieving his/her objectives measured against the specific
                                             performance standards, e.g. feedback or documentation (reports, budgets, etc.).
          Performance standard               This is the standard against which an output (achievement of objectives) and skill
                                             can be evaluated against the background of the standard required from the specific
                                             post (level), i.e. how well a task should be performed to be in line with the post level
                                             expectations.
          Scaled points                      This are the measures that are used for the evaluation of a staff member’s work
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                                   outputs (e.g. a 5-point scale).
          Task                     This is the output that must be performed in terms of the key performance area and
                                   is subdivided into various actions.
          Supervisor               A person who is officially responsible for the performance management of a staff
                                   member.
          Performance              This refers to “work performance”, in other words the work outputs performed by a
                                   member of staff, which can be good or bad performance.
                                   NB: In performance management, “performance” must therefore be interpreted
                                   within a neutral context and not exclusively as “excellent performance”.
          Performance evaluation   The process by which a staff member’s work outputs, work ability and work
                                   behaviour is evaluated.
          Work agreement           An agreement for a specific period between a staff member and his/her supervisor
                                   with regard to what is expected from a specific member of staff in terms of work
                                   outputs, linked to performance indicators and measures, as well as weightings. This
                                   agreement is based on the content and requirements of the post as set out in the
                                   description of the post.
          Reporting period         This is the period on which the member of staff must report in terms of his/her work
                                   outputs, as agreed to in the work agreement, and which is therefore evaluated (it
                                   should preferably extend over one academic year).

				
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