LIMPOPO PROVINCIAL GOVERNMENT Performance Management System (PMS) Information Manual For Employees signing the Memorandum of Understanding On Performance April 2004 (2 nd Edition) Compiled: by Simeka Management Consulting through the support of the Integrated Provincial Support Programme (IPSP)
(i) Table of Contents Page I Table of Contents 2 II List of Tables 4 III List of Diagrams 5 IV Declaration 6 V Foreword 7 VI Acknowledgements 8 PART A: THE PERFORMANCE MANAGEMENT FRAMEWORK Chapter 1: The design and implementation of a Performance Management System of the Limpopo Province: An Overview 1.1 Phases of PMS design and implementation process 10 Chapter 2: Introduction to Performance Management 2.1 What is Performance Management? 11 2.2 Why is Performance Management system necessary? 11 2.3 What does Performance Management system do? 12 2.4 What are the main objectives of a Performance Management System? 12 2.5 What are the underlying Principals of a PMS? 13 2.6 What does the legislation say about PMS in the Public Sector? 13 PART B: THE PERFORMANCE MANAGEMENT SYSTEM Chapter 3: What is the balanced scorecard (BSC)? 3.1 What constitutes the Provincial PMS? 16 3.2 The advantages of the BSC approach 17 3.3 Alignment of Departmental Plans to the balanced scorecard 17 PART C: IMPLEMENTATION OF PERFORMANCE MANAGEMENT SYSTEM (PMS) Chapter 4: A Step-By-Step Guide: Developing the Organizational PM Framework in line with BSC 4.1 Introduction 20 4.2 Developing the strategic level framework 21 4.3 Developing the operational level framework 26 4.4 Performance management cycle 28 4.5 What are PM measures? 34 4.6 Criteria of a good measures (standards, indicators, baselines, & targets 37 Chapter 5: Performance Planning and Contracting 5.1 Introduction to Performance Planning and Contracting 38 5.2 The different types of performance instruments 40 5.3 Who uses which type of performance instrument? 40 5.4 The parts of a complete performance instrument (PI) 41 5.5 About competences 42 5.6 The development of workplan type of memorandum of understanding 43 on performance 5.7 The development of standards framework type of memorandum of 51 understanding on performance 5.8 Summary of the Performance Instrument (PI) Validation Process 53
Chapter 6: Monitoring Performance 6.1 Introduction to monitoring progress 55 6.2 Conducting Progress Reviews 58 6.3 Some useful notes in preparing and conducting progress review 60 discussions 6.4 Conducting the actual PRD 63 6.5 What skills and attitudes are required to engage in an effective PRD? 64 Chapter 7: Performance Evaluation 7.1 Introduction to performance evaluation 71 7.2 Conducting individual or team evaluations 72 7.3 Performance rating 73 7.4 Step by step performance evaluation / Rating process 75 7.5 Evaluating departmental / directorate performance 77 Chapter 8: Managing Performance Outcomes 8.1 Role of communication in minimizing conflict 87 8.2 What guiding principles should manage performance outcomes? 87 8.3 What do the Public Service Regulations say about under-performance? 88 8.4 How to support employees who under-perform or whose performance is 88 unacceptable 8.5 Managing disagreement at the initial stage of drawing up a performance 90 agreement or memorandum of understanding on performance? 8.6 What are the consequences of collective agreements? 90 8.7 Performance improvement plan outline for managing underperformance 91 Chapter 9: Oversight, Institutional Arrangements and Structures, Stakeholder Roles and Responsibilities 9.1 Performance management oversight 95 9.2 Lines of accountability 97 9.3 Dispute Resolution 99 9.4 Institutional arrangements, structures, roles and responsibilities 99 9.5 Enabling Conditions: PM Culture and Associated Leadership 103 Behaviours that support an effective PMS Implementation 9.6 Step-by-step development of a PMS roll-out 104 Annexure: 1. Full Performance Agreement Example 105 2. Some Criteria for Assessing Generic Core Competencies 122 3
(ii) Lists of Tables Table 1 Confirmation of the departmental vision Pg 22 Table 3 Developing a departmental strategic focus Pg 23 Table 4 Translating strategic objectives into four Pg 24 perspectives Table 5 Identifying measures of success for each Pg 25 strategic objective Table 6 Developing the operational level framework Pg 26 Table 7 Description of P.M. Cycle: Phase 1 Pg 30 Table 8 Description of P.M. Cycle: Phase 2 Pg 31 Table 9 Description of P.M. Cycle: Phase 3 Pg 33 Table 10 Preparing for the self / managerial reviews (PRD) Pg 60 Table 11 Step-by-step guide to prepare for progress Pg 61 review Table 12 Step-by-step guide to conduct managerial & Pg 62 peer reviews Table 13 Rating scale Pg 74 Table 14 Points scale Pg 74 Table 15 Step-by-step guide to conduct department & Pg 78 directorate evaluations Table 16 Routes to follow in the event of disagreement Pg 90 when drawing up a P.A. Table 17 Step-by-step guide for managing under- /unacceptable performance Pg 91 4
(iii) List of Diagrams Diagram 1 The four perspectives of the BSC Pg 18 Diagram 2 Confirmation of the departmental vision Pg 22 Diagram 3 Performance Management Cycle Pg 29 Diagram 4 Description of elements of performance Pg 35 measures Diagram 5 Example of performance measures Pg 36 Diagram 6 Phase 1: (Planning and Contracting) Pg 39 Diagram 7 Phase 2: (Monitoring Progress) Pg 57 Diagram 8 Phase 3: (Performance Evaluation) Pg 72 Diagram 9 Performance rating components Pg 73 Diagram 10 Managing Performance Pg 94 Diagram 11 P.M.S. institutional arrangements Pg 96 Diagram 12 Performance management hierarchy Pg 98 5
(iv) Declaration DECLARATION OF COMMITMENT BY THE PREMIER OF THE LIMPOPO PROVINCE ON BEHALF OF ALL MEMBERS OF THE EXECUTING COUNCIL (MECS): 23 TH OCTOBER 2002 I, Ngwako Ramathlodi, Premier of the Limpopo Province, in my capacity as Head of the Executive Council, hereby commit myself and all members of the Executive Council to lead and support the full implementation of the Performance Management System (PMS) adopted and developed in this Province. We undertake to champion this system in each department in the full belief that an effective PMS, well managed and efficiently implemented will inevitably lead to improved service delivery, to the benefit of all our citizens in our Province. Signature: Date: 23/10/2002 6
(v) Foreword Since 1997, there has been a major shift in the focus of the South African Public Service towards transformation. A number of pieces of legislation, white papers as well as collective agreements have been passed to ensure this focus is not lost in the daily bustle and hustle commonly associated with large bureaucracies like government departments. Most notable of these legislative frameworks affecting organizational and individual performance is; The White Papers on Public Service Transformation, Service Delivery Affirmative Action and Human Resources Management The Public Service Act on Labour Relations (LRA), New Public Service, SAQA, Employment Equity and Skills Development The Public Service Regulations (as amended) And PSCBC and other relevant resolutions The shift in focus has meant that all levels or tiers of government have had to direct their energies in developing policies, systems and practices that seek to put delivery of service to the customer first, following Batho-Pele principles. The establishment of appropriate internal and external mechanisms for monitoring and evaluation will be central to the process of administrative transformation. Performance auditing and appraisal will be an integral part of this process (The White Paper on Public Service Transformation). To ensure that all departments find effective and efficient ways of turning around the focus of each individual in the public service, the Limpopo Provincial Administration agreed to have a uniform PMS based on an adapted balanced scorecard approach for all its ten[10] departments. The system has the following characteristics: Focuses on results or outputs rather than activities and processes; Administratively non-burdensome; Developmental rather than punitive; and Able to differentiate between employees who perform well and those who do not perform, in either case suggesting ways of rewarding or addressing performance gaps respectively The PMS manual was developed and used to train all employees on the system. This portable manual is the latest version of a series of continuously updated editions, which guides all the employees on how to use the system. This portable edition explains concepts and other issues relating to the implementation of the system in simple and understandable terms. DG, Limpopo Province. Signed: 7
(vi) Acknowledgments A sincere word of gratitude goes to Simeka Management Consulting (SMC), which rendered technical assistance in developing and implementing the system. The Provincial Administration is also indebted to the Integrated Provincial Support Programme (IPSP) for their financial assistance in developing and implementing the system. The Limpopo Provincial Government also thanks members of the staff for their comments and suggestions that continue to help sharpen many of the issues addressed in this manual. 8
PART A THE PERFORMANCE MANAGEMENT FRAMEWORK 9
1 The design and implementation of a Performance Management System of the Limpopo Province: An Overview This section provides an account of the phases undergone in developing the provincial performance management system. 1.1 Phases of PMS design and implementation process In realising the Public Service transformation imperatives, Simeka was, appointed in October 2000, through the Integrated Provincial Support Programme (IPSP), to design and implement a performance management system for the Limpopo Provincial Government. SMC used a phased approach to design and implement the PMS as follows: Phase 1: Phase 2: Phase 3: Phase 4: Phase 5: Phase 6: entailed a project start-up and communication; involved a system design and piloting in three Departments; was about system refinement and production of first edition of PMS manual; culminated in the province-wide PMS Implementation and advisory roles; and involved the project team handing over the project to line managers (in case of internal consultants like champions and PM committees) or to departments (in the case of SMC as an external consultancy); re assessing the performance culture change following the full implementation of the system, revising the manual (2 nd edition), evaluating PMS Communication Strategy And adjusting the Business Plans to Balanced Score Card format to enhance strategic alignment. 10
2 Introduction to Performance Management This section covers the following questions: What is performance management? Why is a performance management system necessary? What does a performance management system do? What are the main objectives of a performance management system? What are the underlying principles of a performance management? 2.1 What is performance management (PM)? Performance management is a process of harnessing all available resources within an organisation and ensuring that these perform to the maximum, in order to achieve the desired results. Performance management involves building processes, systems, culture and relationships that facilitate the achievement of organisational objectives. 2.2 Why is PMS necessary? The Limpopo Province has a wide range of challenges to which it must respond. These include: Meeting the statutory and constitutional requirements in respect of service delivery; Addressing backlogs in a largely rural and under-developed province; Implementing its Provincial Growth and Development Strategy; Transforming an amalgamated public service from a rule-driven set of organisations into a developmental and transformative institution that promotes integration and co-operation at inter-departmental and intergovernmental levels; and Re-engineering the public service to address changing needs and to ensure that government and the administration of service delivery are accessible to the people of the province. 11
The implementation of an effective performance management system would ensure that limited resources are utilised optimally in order to efficiently address budgetary limitations and inadequate inter-governmental transfers. Effective performance management systems are built on the existence of a clear vision, mission and strategic goals indicating what the province and its departments need to achieve. The provincial performance management system is a systemic process of: Planning work, setting expectations and standards; Developing a highly skilled base of staff members who know what they should contribute and how they should go about making this contribution; Nurturing an organisational culture that strives towards excellent performance and service delivery; Continually monitoring performance; and Rewarding excellent performance. 2.3 What does PMS do? Performance management provides the system and processes to plan work, set performance expectations and standards. The system ensures that each staff member is clear about the important role s/he plays in the organization and the achievement of organizational objectives. At an individual staff member level, a performance management system allows for the following: Agreement to be reached on individual, team and departmental responsibilities and the linking of these with the overall goals of the department. The clear definition of areas of responsibility and determination of indicators against which performance can be measured Providing and receiving feedback on performance Recognition and understanding of levels of performance. For each department, team and the province as a whole: The drawing of clear links between what the department, teams and individuals do and the goals of the province as a whole Recognition of good performance Improvement of poor performance. 2.4 What is the main objective of a PMS? The main objective of the system is to clarify and align broader organisational, departmental, team and individual efforts and expectations, thereby ensuring that energies are directed at achieving the Provincial strategic goals. This will ensure that excellent performance is recognised, rewarded and nonperformance is addressed. 12
2.5 What are the underlying principles of a PMS? The performance management system is developmental rather than punitive. It provides a clear and detailed framework for: Agreement on performance contracts Clear measures of agreed upon standards A balance between organisational needs and employee rights The system allows for joint responsibility and accountability based on mutual trust and respect and is cost-effective and practical as it enhances improvements in quality of services. 2.6 What does the legislation say about performance management system in the Public Sector? The new Public Service Management Framework that includes amongst other legislation, the Public Service Act, 1994, as amended, as well as the new Public Service Regulations, came into operation on 1 July 1999. The following points are integral to the policy and framework: The Public Service Commission developed and implemented a framework to evaluate Heads of Departments (HoDs) only, and they are required to sign a performance contract. The new approach to performance management for employees below management level is embodied in the amended Public Service Act and the PS Regulations of 2001 aim at employee development and empowerment, and not punishment. The performance management procedures may differ, but the same principles should apply to all departments: An orientation towards results Focusing on training and development Rewarding good performance Managing poor performance and Adherence to openness, fairness and objectivity. In the context of the new regulations, three salient points of the new approach to performance management are that: Each department will select its own system or model within the framework of the purpose and principles in the regulations, to fit its unique needs and requirements It embodies a shift from personnel appraisal, to a process-approach to performance management, encompassing the organisation, teams and individuals and 13
The approach will allow for the development of under-performing individuals rather than take a punitive approach to under-achievers. The policy framework, designed to transform the public service, is focused on improving service and is informed by the following mandates: Legislation such as the Constitution, the Public Service Act, 1994, as amended, Labour Relations Act, SAQA Act, Skills Development Act and the Employment Equity Act The various White Papers such as Transformation of the Public Service; Transforming Public Service Delivery; (Batho Pele); Human Resource Management; Affirmative Action; and Training and Education The new Public Service Regulations Relevant collective agreements. Resolution 2/1999 The Public Service Co-ordinating Bargaining Council (PSCBC) has adopted various collective agreements that inform aspects of performance management, and these include: Resolution 13/1998 on Performance Agreements for Senior Management from level 13 upwards and Resolution 3/1999 on Benefits and Allowances. All of the requirements are included in the performance management system designed for the Limpopo Province. 14
PART B THE PERFORMANCE MANAGEMENT SYSTEM 15
3 What is the Balanced Scorecard (BSC)? This section explains: The context under which the balanced score card (BSC) is used, What constitutes the performance management system? What is a PM framework? What is a PM model? The perspectives of the BSC and The advantages of the BSC. 3.1 What constitutes the Provincial PMS? Limpopo Provincial Government s PMS comprises of a performance management framework and a model. Limpopo has adopted the balanced scorecard approach as a model that captures performance dimensions that will be measured. The Performance Management framework links directly the departmental vision and its strategic focus as described in the strategic plan, to the strategic goals of the province on the one hand; on the other hand, it also links the foregoing to individual performance or achievement. This it does by clearly showing what information has to be collected, how to collect it and when it should be collected. The Performance model on the other hand is a tool that helps an organisation to identify key performance dimensions which it wants to measure. This helps to align the focus of a department towards its vision. Within this Balanced scorecard model, this refers to the four perspectives and the KRAs within each perspective. The use of the balanced scorecard approach in the development of performance instruments is currently restricted to levels 13 and above. However, some lower level managers heading institutions and districts / regions may consider using the balance scorecard methodology to organise their key results areas (KRAs)2. 16
3.2 The advantages of the BSC approach The advantages of BSC are that it brings together on a single management report many of the disparate elements of an organisation s strategic agenda. It also forces managers to consider all the important operational measures together, thus letting them see whether improvement in one area was achieved at the expense of another. 3.3 Alignment of departmental management plans to the balanced scorecard To facilitate ease of strategic alignment, all Management Plans have been formatted along the balanced scorecard lines The management plans are not included in this manual but should be referred to during all PM cycle phase Diagram 1 below presents a graphical description of the four perspectives. 17
Diagram 1: The four perspectives of the BSC The Four Perspectives Accountability Cost recovery Affordability Linkages with financial allocations to service delivery priorities Financial Internal and external client needs Level of service output Perceptions of services received Process and manner of service delivery Partnerships Learning & innovation VISION Service delivery Organisational processes 1. Experimental or innovative programmes 2. Partnerships 3. Linkage 4. Systems efficiency IT, HR, management, administration 5. Human resource development 6. Human resource administration 7. Recruitment and selection 8. Organisations development 9. Management development 10. Employment equity 18
PART C IMPLEMENTATION OF THE PERFORMANCE MANAGEMENT SYSTEM 19
4 A Step-By-Step Guide: Developing the Organisational PM Framework in line with BSC This section explains how to: Develop a departmental strategic focus from the departmental vision. Translate strategic objectives into the four perspectives. Identify measures of success for each strategic objective Develop the departmental business plan Develop directorate business plans Develop team delivery plans 4.1 Introduction The development of a performance management system that requires the adaptation and alignment to the BSC follows a number of strategic steps that are interlinked and aligned. The starting point in developing a BSC approach to performance management is embracing a futurism stance. This implies the development and/or confirmation of the organisation s desired future (vision) underpinned by the strategic level which has a 3-5 years focus. The departmental strategic focus is followed by the translation of strategic objectives into the four perspectives of the BSC as explained in chapter 4. The final step is identification of success measures for each strategic objective. The organisational PM framework consists of two levels (the strategic level; and the organisational level): The strategic level is about ensuring that there is a clear vision, mission and focus areas guiding all long term to medium term direction of the department; and The operational level directs the short-term efforts of the department, its directorates, teams and individuals in the directions already set and agreed in the strategic framework. 20
The strategic level diagram shows how the balanced scorecard system allows for a clear relationship to be drawn between the vision and strategic focus or mission of the organisation, and strategic objectives which allow for certain outcomes to be achieved. The vision and mission of the particular department are translated into strategic objectives via the four perspective areas. At the operational level, the diagram distinguishes between organisational and individual levels and breaks these down into different levels of organisation (department, directorate, team) and levels of employee (ranging from senior management to support staff). 4.2 Developing the strategic level framework At a strategic level framework, the BSC methodology, as with most performance management methodologies, requires the creation of a vision, mission statement, and strategy for the organisation. This ensures that the performance measures developed in each perspective support accomplishment of the organisation s strategic objectives. It also helps employees visualize and understand the links between the performance measures and successful accomplishment of strategic goals. The key, as pointed out by the BSC methodology, is to first identify where the organisation wants to be in the near future. Set or confirm the departmental vision. Secondly, craft a strategy to realize the vision, and thirdly, develop measures that would indicate progress towards reaching the desired destination. The following diagrams explain this process. 21
Diagram 2: Confirmation of the departmental vision Step 1: Confirmation of the departmental vision Over 10 years VISION M A N D A T E Informed by legislation and policy long term interpretation of role Table 2: Confirmation of the departmental vision Focus Area Action Steps Determine status of Conduct interviews and workshops with vision stakeholders (senior management, unions, staff) to determine whether there is agreement on the current vision of the department If necessary, discuss this at a departmental planning or review session Confirm existing If there is an agreement on the vision, vision stakeholders should measure it against the following criteria: Does it describe what the department wants to achieve in the next 10 years? Is it clearly informed by legislation and policy developed in the sector? Is it transformative in nature does it describe a context different to the current reality? The vision becomes the starting point of the PM framework Develop new vision If the vision does not exist or is strongly contested, conduct a visioning exercise in a representative forum, following these steps: Conduct a SWOT analysis to determine internal strengths and weaknesses and external opportunities and threats. Analyze the legislation and policy documents guiding the sector in which the department works to identify what should change. Brainstorm on the kind of sector that stakeholders would like to see in 10 years time Identify key words that need to be included in the vision. Ask small groups to write up vision statements and present them to the group Develop a vision statement. 22
Step 2: Developing a departmental strategic focus 3-5 years STRATEGIC Who we are What we do Who we serve Contextual factors Environmental factors Assumptions / risks Table 3: Developing a departmental strategic focus Focus Area Action Steps Identify key factors Use the current departmental mission statement (if there is one) as a starting point. Ask yourself: Who is the department? What does it do? Who does it serve? Conduct an external Undertake a SWOT 1 analysis (if not done as review part of the visioning exercise) Undertake a STEP 2 analysis Identify risk factors that may be beyond the department s control Make strategic choices Based on the above inputs, answer the following questions: Given the current context, what can we achieve in the next five years? What risk factors will cause failure and how do we avoid them? Will this bring us closer to achieving our vision? What are the choices we need to make? Agree on the strategic focus through making specific choices about what the department will and will not do in the next five years. 1 A SWOT analysis examines the internal Strengths and Weaknesses of an organisation and the Opportunities and Threats it faces in the external environment 2 A STEP analysis identifies the Social, Technological, Economic and Political factors that may impact on an organisation s success 23
Step 3: Translating strategic objectives into the four perspectives PERSPECTIVES Financial Service delivery Organisational processes Learning & innovation 3 years STRATEGIC OBJECTIVES Assumptions Enabling mechanisms Table 4: Translating strategic objectives into four perspectives Focus Area Action Steps Link existing Clarify the meaning of each perspective, in the context of strategic the department objectives to List all strategic objectives that have already been the four identified by the department (list all objectives even if they perspectives have been grouped under focus areas) Organize the objectives under the four perspectives. Ask yourselves, Is this action primarily of a financial, service delivery, organizational process or learning & innovation nature? In cases where the strategic objectives are linked to more than one perspective, list them under all relevant Regroup objectives perspectives Take each perspective one by one group the objectives that seem similar together Discard any statements that are shorter term objectives, activities or tasks Develop one strategic objective out of a group of similar objectives Identify no more than 3 strategic objectives under each perspective Identify gaps In relation to each perspective, ask: Have we identified all the critical strategic objectives within this perspective to enable us to achieve our strategic focus? What other objectives will be required to ensure that we are successful in the next 5 years? Identify any additional objectives Streamline the new objectives with the existing objectives to ensure that there are no more than 3 strategic objectives under each perspective 24
Check balance for Read through all of the strategic objectives. Ask: 1. If we achieve each of these objectives will we achieve our strategic focus? 2. Is there sufficient focus on each perspective to ensure that there is a balanced picture of the department? Step 4: Identifying measures of success for each strategic objective PERSPECTIVES Financial Service delivery Organisational processes Learning & innovation 3 years MEASURES OF SUCCESS SERVICE STANDARDS Outcome measures incorporating service standards Table 5: Identifying measures of success for each strategic objective Focus Area Action Steps Link measures to each Take each strategic objective. Ask: strategic objective How will we know that we have achieved our desired outcomes? What standard of performance do we want to achieve? What evidence will we need as proof of this achievement? Develop an agreed upon a measure of success for each objective Check the measure against the criteria for a good performance indicator Each objective may have more than one measure of success, depending on the nature of the objective Measures may be quantitative or qualitative in nature. 25
4.3 Developing the operational level framework 1 year Departmental Business Plan / Scorecard Overall Outputs Directorate Business Plan / scorecard Fin Ser Del Org Proc L&I Overall Outputs Team Delivery Plan / Scorecard Fin Ser Del Org Proc L&I Overall Outputs Fin Ser Del Org Proc L&I Table 6: Developing the operational level framework Step Focus Area Action Steps Step1: FOR EACH PERSPECTIVE Departmental Business Plan Identify overall outcomes within a one year framework In relation to each strategic objective within the perspective, identify the specific outcomes that can be achieved within the one year framework; Identify performance measures for each outcome. Ask: How will we know that we have achieved our desired outcomes? What standard of performance do we want to achieve? What evidence will we need as proof of this achievement? Test the measures against the criteria for good indicators 26
Step2: Directorate Business Plan Step 3: Team Delivery Plan/ Divisional Plan Identify outputs within a one year framework Obtain approval for plan Allocate strategic objectives Develop plan Identify teams Develop plans Define actions that will contribute to the achievement of each objective For each action identify a performance measure, according to the process outlined above Set clear time-frames Identify enabling actions that may need to be taken to ensure success, or partners that should be brought on board Outline all resource requirements financial, human and physical Ensure that senior management endorse the business plan and reflect commitments on the budget Based on strategic objectives identified and organizational structure, allocate objectives across all chief directorates and directorates Ensure that all objectives are equally allocated and that there are none left unallocated Develop a business plan according to the steps outlined above Check that there is no duplication across the strategic plans Identify natural work teams, or project teams, that require individual plans. These may be teams within the department or across other departments Get agreement on which teams require specific plans and identify which strategic objectives they will contribute to. Develop team delivery plans according to the workplan format Identify key performance areas that the team will be required to deliver on these are overall areas of performance List specific actions or outputs required to achieve each key performance area Set performance measures, according to the criteria listed above, for each output Set clear time-frames Identify enabling actions and partners Identify any resources required by the team to enable successful performance. 27
4.4 Performance management cycle The performance management cycle describes the various phases that the system moves through over the course of one year. There are three main phases of the performance management cycle: Planning and contracting Monitoring progress; and Evaluating performance. In addition, the PM cycle incorporates system maintenance and development. The cycle is shown in the diagram 3 below and tables 9-11 on the other hand provide a detailed explanation of each phase. 28
Diagram 3: Performance management cycle Review of departmental / directorate performance Evaluating performance Individual performance evaluation Development of performance plan for next year Performance Management Cycle Departmental strategic plan: Objectives and measures of success Performance Management Cycle Performance Management Departmental Cycle Performance Management Management Cycle plan Planning and contracting ANNUAL ANNUAL 3 Identifying outcomes: Performance improvement plan Recognition Non-performance measures SYSTEM MAINTENANCE AND DEVELOPMENT Self review Directorate Management plan Team Delivery plan Individual performance plan: Performance agreements, work plans and standards frameworks, competency profiles 1 Peer / managerial review informal and formal Monitoring progress Customer review where possible QUARTERLY 2 29
Table 7: Description of Performance Management Cycle: Phase 1 PHASE Component Description Planning and Departmental The strategic level performance management framework describes the specific strategic Contracting Strategic Plan choices made by a department, in order for it to be an effective service provider, as well as an effective, efficient and transformed organization. The strategic plan consists of a vision statement, strategic focus statement and strategic objectives, and measures of success, in line with each of the four perspectives. Departmental Business Plan The operational level performance management framework describes how the department aims to achieve its strategic objectives through specific actions. It gives guidance to the work of the department for the year under review. Directorate Business Plan Project Teams Plan Individual Performance Plans Business plans need to be in place for each directorate. These outline the areas of performance of each directorate, and which strategic objectives they will contribute towards. They describe the specific actions to be undertaken for the period under review. Project teams These teams are temporary and only exist for the duration of a project. It is crucial that project teams also monitor their own performance and those of individual members. Participation in project teams implies added tasks and these should always be reflected on the individual s performance agreements / work plans. Existence of project teams also allows for formal peer reviews. Each individual within the department, from the level of HOD downwards, will have a performance plan. This may take a number of forms, depending on the role that the person plays within the department. The various performance-planning tools are the performance agreement, the work plan and the standards framework. Each performance plan is accompanied by a competency profile, used largely for skills development 30
Table 8: Description of Performance Management Cycle Phase 2 PHASE Component Description Monitoring progress Self review Before the progress reviews and the performance evaluation take place, employees should review their own performance before meeting with their supervisors or team leaders. The self-review process will assist employees in jointly taking responsibility for their development. In addition, employees should begin to develop a reflective framework in which they evaluate their own Peer / managerial progress review performance on an ongoing basis. Progress reviews ensure that feedback on performance is continuously shared between supervisors/team leaders and employees. These reviews may be provided formally or informally. Informal progress reviews: Informal reviews will enable supervisors / team leaders and employees to provide each other with performance feedback on a daily basis. Feedback will be provided on an ad hoc basis after work activities have been undertaken. Formal progress reviews: These progress reviews should be held at least twice and preferably four times a year. Comments made during these reviews and feedback received from internal and external stakeholders will be documented. If there are changes to the general tasks or competencies, exerted by either the internal or external environment, the individual s performance agreement / work-plan can be re-negotiated at this stage. 31
Customer review For practice purposes only and as a guide to performance trends, the use of rating scales is encouraged. However, there should be no aggregation of the quarterly scores to contribute to the end of year score as the KRA do not necessarily carry proportionate weightings every quarter. Any scoring results can only be formative at this stage. If possible, feedback from customers should be incorporated into the performance review process. This may be easier to obtain from internal clients, or in relation to a section or directorate, rather than an individual. Where possible it should be used to provide a more holistic picture of performance. 32
Table 9: Description of Performance Management Cycle: Phase 3 PHASE Component Description Evaluating Performance & Identifying outcomes There should be consequences or outcomes linked to the completion of each round of performance evaluation. These outcomes can be in the form of: Managing Outcomes Performance improvements Rewards Corrective action Performance Improvements Recognition Corrective Action Performance Improvements Performance improvements may be suggested where employees are performing well but require further training and development in some aspects of the job. This may be technical training linked to job activities or training focusing on behavioural patterns. Performance improvements will generally link with the department s training and development policy. Recognition Outcomes in the form of recognition may be linked to the Province s Remuneration policy, but may also incorporate non-financial rewards. Corrective action may be necessary due to two main outcomes: Employees consistently perform poorly. After several warnings and suggested performance improvement mechanisms, consistent poor performance on the part of an employee may be referred to Industrial Relations for disciplinary actions as stipulated by the Labour Relations Act. Immediate supervisor s consistent negative behavioural patterns during performance evaluation meetings. Where employees complain of the immediate supervisor s negative behavioural patters during performance evaluation meetings, the employees may refer the grievance to the appropriate directorate for attention. 33
PHASE Component Description Evaluating System The HRM section in the Office of the Premier plays a critical role in monitoring the performance & Maintenance implementation of the system, collecting data on the outcomes of performance evaluations Managing Outcomes and Development and ensuring that consistency and equity apply in all cases. Once the system is computerised it will be far easier to store data and track performance trends. 4.5 What are PM Measures? A critical component of any performance management system is the measures that are used to describe satisfactory performance. Many different words are used to describe measures indicators, targets, standards, results, etc. It is important to clarify exactly what we mean when we refer to performance measures. The performance management system is making use of the following approach (see diagram 4 and 5 below): 34
Diagram 4: Description of elements of performance measures Performance measures describe what is expected in terms of satisfactory performance. They set the required level of Standards describe the requirements for effective performance. Standards consider both process and outcome requirements of effective performance Standards Objectives are a statement of intent by an organization or an individual. They identify what outcomes or outputs are expected within a particular time frame PERFORMANCE MEASURES Indicators Objectives and Key Results Areas Key results areas describe focus areas of performance. A group of KPAs (usually 3-5) describe the overall function of an employee Target The target sets a specific quality or quantity of performance within a specific timeframe. Indicators provide evidence that the standard has been achieved. They identify particular aspects of performance that reflect success 35
Diagram 5: Example of performance measures EXAMPLE PERFORMANCE MEASURES Curriculum framework covers all aspects of science and technology education required for Grade 10; developed in consultation with stakeholders and easy to understand Standards Comprehensive science and technology curriculum framework developed in line with outcomes based requirements Indicators Objectives and Key Performance Areas Curriculum Development Target Framework finalized by 31 October 2000 Identified stakeholders sign off on framework document Curriculum presented in simple guidebook format, in four languages 36
4.6 Criteria for a good performance measures (standards, indicators, baseline and targets) When identifying performance measures indicators, it is firstly important to identify WHAT we want to measure, and then to consider the criteria of a GOOD measure. When selecting an indicator, first ask yourself: what do I want to measure? : Economy: how do actual costs compare with planned costs? Cost and Efficiency: what is the ratio of outputs to resource inputs? Awareness: are the intended beneficiaries aware of the service? Service volume / outputs: is the service available to the intended beneficiaries? Service take-up: are the intended beneficiaries actually receiving the service? Targets/milestones: what must be achieved by the end of a specified quarter Capacity utilization: how effectively and efficiently will the resources and infrastructure be used in the attainment of targets in a specified quarter? Quality: are we achieving quality standards and 'customer satisfaction'? Effectiveness: do actual outputs and outcomes achieve our intended objectives? Impact: what net improvement have we made to the quality of life of the local community Equity/Fair Access: is the distribution of outputs, outcomes, benefits and impacts equitable? Once you have selected your measure, ask yourself if it meets the criteria for a good measure. Is it smart? o S - simple o M - measurable o A - attainable o R - realistic o T - time-bound 37
5 Performance Planning and Contracting This section includes: An introduction to Performance Planning and Contracting The different types of performance instruments (PIs) Criteria on who uses which type of performance instrument Different parts of a complete performance instrument (PI) A step-by-step guide for developing an Individual or Team Workplans or Standards Framework. How to complete the forms for planning and agreements in the memorandum of understanding on performance-workplan and standard framework 5.1 Introduction The development of Individual/team performance plans is a critical step in phase 1 of the performance management cycle. This phase of the PM cycle is shown by the shaded area in diagram 6 below. The planning and contracting phase in the PM cycle must always be informed by and drawn from departmental and directorate business plans or score cards. Individual/team performance plans are the sole basis upon which an employee s performance will be measured in each and every department. 38
Diagram 6: Planning and contracting Review of departmental / directorate performance Individual performance evaluation Performance Management Cycle Departmental strategic plan: objectives and measures of success This Section in the PM Cycle Planning and contracting Evaluating performance ANNUAL 3 Development of performance plan for next year Identifying outcomes: Performance improvement plan Recognition Nonperformance measures SYSTEM MAINTEN- ANCE AND DEVELOP- MENT Departmental business plan Directorate business plan Team delivery plan Individual performance plan: performance agreements, workplans and standards frameworks, competency profiles ANNUAL 1 Self-review Monitoring progress Peer / managerial review informal and formal QUARTERLY Customer review 2 39
5.2 The different types of performance instruments There are three types of performance instruments (PIs) that will be used for different levels of employees in each of the provincial departments. The three different types of performance instruments are: I. Full Performance Agreements for sms members and other managers in charge of institutions and regions/district II Workplan type of memorandum of understanding on performance; and III Standard framework type of memorandum of understanding of performance 5.3 Who uses which type of performance instrument? As was described earlier, levels 13-16 require a full performance agreement in terms of the Public Service Regulations (as contained in the latest amendments). Informed by the relevant Public Service Regulations (PSR), 1998, 2001 and any later amendments as well as other best practice criteria, the following guidelines directing who should use which form of Performance Instrument have been given; Senior management service (sms) (13-16) and other lower level managers (mostly middle managers) in charge of institutions like hospitals, colleges etc, regional and district offices conclude a full performance agreement. These employees must reflect all four perspectives in their PIs as they are responsible for the holistic well being of their institution, district, region, directorate, branch or department as the case may be. Most middle managers and other staff members whose jobs are not repetitive or routine or do not put them in charge of a lot other staff and resources should use the workplan. Project managers and other staff whose tasks have a specific start and end point must use these workplan types of memorandum of understanding on performance. Staff whose tasks are repetitive and those whose performance are governed by pre-determined professional standards, must use the standards framework type of memorandum of understanding on performance. These standards may be pre-set by professional bodies, equipment manufacturers or for that matter, between employee and the supervisor during the conclusion of the planning and contracting phase. Such staff could either be high level professionals or lower level employees. The key issue here is that they perform work that is task oriented and repeats itself over time, always seeking to keep to very clear performance standards all the time, and not based on a start-end basis. 40
5.4 The Parts of a Complete Performance Instrument (PI) Each of these three performance instruments are made up of 4 parts, namely; Part A: Generic Performance Agreement. This generic performance agreement sums up the employee s identity, the context and spirit of performance expectations, roles, limitations, commitment, modalities and outcomes for the whole PI. An example of this part of the performance instruments is shown as annexure 1. This part of the performance instrument applies to all employees irrespective of their level or job specialisation. As such it will be found at the start of each PI, regardless of type. Part B: The Performance Plan. The performance plan details in tabular form all the employee s performance outcomes, performance dimensions (KRAs), outputs, targets and resource requirements. The performance plan constitutes 80% of the priority or weight of the whole performance instrument. This % may vary from year to year but it must be determined and communicated centrally at the start of the year. See attached format 1. The performance plan is the first part of the performance instruments that must be measured in the performance management cycle. Part C: Competency Profile. A competency profile describes the employee s current competences and seeks to relate them to the employee s job competency profile. In this regard, an employee s competence must be identified first, and the level of each of the employee s competences presented on a scale of 1-3, where 1 is the lowest and 3 the highest. The competence level indicated by the employee is compared with the level of competence required by the employee s job (if that competence is a requirement on the job). Where the competence listed by the employee is applicable for the job, the difference in levels determines whether that competence should be developed further or left alone as adequate. Where the competence level profiled by the individual is lower than that required by the job that competence must be listed in Part D below as a development during the current performance cycle. It must be emphasised that the competence profile does not get measured during the performance measurement process but rather it sets a baseline form which planning and measurement of the acquisition of future competences must take place. Part D: Competence-based Individual Development Plan. The competence-based individual development plan seeks to address identified competency gaps from the competency profiling exercise. A competency based individual plan is the second part of the performance instruments that would be measured during the cycle of the performance management cycle. The competency based individual development plan constitutes a pre-determined weight as well e.g. 20%. 41
5.5 About Competences Competences to be profiled have been divided into three parts. They have been split in this way in this edition to minimise the practise where most employees have been listing the same competences as if they all came from one directorate and did the same type of jobs and had the same career destination. The three sections are; I. Generic competences II. Job specific competences and III. Other competences as shown. It may be useful although it is not compulsory to prioritise these competence sections in %. For example, generic competences may constitute 40%, job specific competences 45% while others may constitute 15%. This prioritisation may differ between levels in the organisation, from time to time within the organisation s cycle as well as strategic focus of the organisation. The three different types of competences are briefly explained below as: Generic competences are those that any one employee, either by virtue of being an employee and / or occupying a particular level of the organisation, must possess. Generic competences are thus common to a number of employees at that level, for example, financial management for all sms managers (as required by PFMA), programme and project management for most management levels up to first line managers, honesty and trustworthiness for all employees. These competences usually form the foundation for any one employee to effectively and smoothly carry out their job and contribute to the progress of the whole organisation regardless of the job details. Job specification competences are unique to the job being performed by the employee. These competences distinguish say, an office administrator or clerk from a groundsman, a project manager from a spokesperson, a financial manager from a labour relations manager, an HR practitioner from an engineering or legal officer etc. These competences are usually what any prospective employee would particularly want to sell during a job interview. Other competences refer to competences that an employee has or wishes to have which have been gained in previous jobs, training, prior learning which are not required directly in the current job but whose possession helps to understand and make one s job more effective. For example, having good numeric competence helps a lot of employee s interpret PMS weights and ratings and thus quickly complete their PIs than those not so numerate; or an HR practitioner who has had legal background will find it easy to clarify, advise and deal with labour related queries; or a groundsman who has worked in his previous life as a garage hand will find it easy to fix lawn mowers etc while working with these implements in doing what is her / his core function of cutting grass. 42
On the other hand, other competences may be what an employee needs to gain in order to be more effective in other future job roles in or out of the organisation. These would then be isolated for future career or succession planning. All the planning formats that need to be completed for each of these types of the three performance instruments are shown below in forms 6.1 (a-c). The formats referred to constitute Part B (performance plan), Part C (competency profile) and Part D (competence-based individual development plan). Diagram 6 outlines the planning and contracting phase as a critical step in the development of performance instruments. It is the first step in the performance management cycle discussed in chapter 5, diagram 3. This phase informs the process of signing a performance agreement or a memorandum of agreement as the case may be. 5.6 The development of workplan type of memorandum of understanding on performance The workplan type of memorandum of understanding on performance is developed for middle managers, supervisors and other staff members whose job is not driven by professional pre-determined standards. The process for developing a workplan is similar to that of SMS members except for steps relating to the selection of balanced score card perspectives because there is no need to identify any Balanced Score Card perspectives. As shown in the attached formats, the development of the Competency Profile (Part C) and Competence-based Individual Development Plan (Part D) is exactly the same for each employee regardless of rank or job type. These are described below. 5.6.1 Completing the Performance Plan (Part B of PI) Step 1: Step 2: Step 3: Review all the strategic planning and business plans used in the department and directorate. From these should emerge some key outcomes of the employee s contribution to their directorate and department. Take Form 6.1 (a) and list 2-3 key outcomes for each perspective. They should clearly demonstrate how the equality of life of customers will be impacted or affected by services to be delivered. Set performance targets for the 2-3 key outcomes listed. 43
Step 4: Step 5: Step 6: Step 7: Step 8: Step 9: Identify and document between 3-5 key result areas (KRAs) per grid that will lead to the effective achievement of the listed key outcomes. An example of a KRA could be budget control, corporate planning, performance management etc Indicate from which strategic goal / objective The KRA listed derives from. This indication will be made by showing the number of that strategic objective / goal in the appropriate column. Weight the KRA. In other words, prioritise the KRAs in order of contribution and impact in achieving the listed key outcomes. The weighting must be in percentages, which must add up to weighting allocated in step 2. Develop key result indicators that will indicate progress in achieving the KRAs. The KPIs would indicate type of quantity or quality of inputs to be used and outputs to be delivered. Determine the current quantity or quality of inputs or outputs in relation to the KPI chosen in step 6 at the start of the financial year. Set targets against the determined baseline indicator. The target must state the quantity or quality or both of inputs and / or outputs to be achieved at the end of a specified period. Ideally an annual target must be set and broken into 4 quarters. A target must focus on a combination of inputs to be used and outputs to be delivered. An example, 2 bridges built and R10 million of budget used. Targets must be set after due consideration of present and future resource allocation realities. Step 10: Step 11: Step 12: Step 13: Identify the means of evidence that will be produced to show that the target has been reached and indicate where the evidence is located. Allocate resources within established financial management regulations and practices [medium term expenditure framework (MTEF)] physical infrastructure, current and future establishment (organogram). Tidy up all totals as appropriate. Discuss the whole performance plan draft with your supervisor and sign-off after agreement on all aspects has been reached. 44
5.6.2 Completing the Competency Profile (Part C of PI) The following steps must be implemented by completing form 6.1 (b) below. Step 1: Step 2: Step 3: Step 4: Identify all the competences that you currently have. These are the competences that you would put down in your CV or resume when applying for a job for instance. List them down on a piece of paper. Using from 6.1 (b) break the list from step 1 above into the three competence divisions discussed above, namely; generic, job specific and others. Document each competence into each category as appropriately shown in the format below. For each of the competences that you have listed competence division or category, list and indicate those competences that are required for your present job or role (left hand side of the format). For each competence in each category, indicate the current level of competence that you possess as well as the level of competence required by the job (only where the competence is a job requirement). The competence levels apply in the same way as described above. The assessment of competence levels possessed by each individual for a competence is done in one or more ways; o Self assessment, based on previous experience o Against specified SAQA unit standards where these are available o Feedback from previous PRD feedback as well as previous cycle evaluations o Clearly agreed means of verification or performance outputs for each competence 5.6.3 Completing the Competence-based Individual Development Plan This should be read in conjunction with Format 6.1 (c) below. Step 1: Step 2: Write down the weighting for Part D of the Performance Instrument. This is the difference between what has been allocated for the Performance Plan (Part B) from 100%. In the illustration above, it will be 100-80=20%. Go to the competency profile, and identify all competences required for the job where own current level of competence is lower than that required by the job. 45
Step 3: Step 4: Step 5: Step 6: Step 7: Step 8: Step 9: Step 10: Step 11: Step 12: Step 13: Tabulate each of these competences in the appropriate categories or divisions (generic, job specific and other competences) Indicate why a particular competence is required, i.e. for each key results area (KRA). If it is required for a crucial KRA, or a high priority one, it must be assigned a higher weighting in the next column. Prioritize each of the competences required and assign weights in % in the appropriate column. Indicate current level for each competence listed. This should be taken from the competency profile listing in Part C above. Indicate the targeted level of performance to be attained by the end of each quarter. Think of and document all activities that will be needed to gain the required competences to the level listed in step 7 above. List the resources that will be needed to ensure that these competences are attained within the specified time to the level desired. Tidy up all totals Both the employee and the manager now sign-off all the spaces with their names and signatures during the contracting discussion with your superior or manager. The manager / supervisor now passes a copy of the entire PI document with its four parts duly completed and signed by contracting parties to the overseer (manager-one-level up) for oversight and endorsement. This means if a senior manager is concluding a PI with one of her / his managers, a signed copy should be sent to the GM who will also counter-sign to signify approval of the PI (focusing on format and strategic direction and not content details). The GM need not be part of the planning discussion. The document duly signed by all 3 parties will be the one treated as final. The manager hands a copy to the system designers and administrators (usually HR unit) and keep a copy for her / his own reference while the employee keeps a copy to guide her / his daily performance focus. 46
Form 5.1 (a): Part B: Performance Plan for the FY: Note: Here look at the strategic plan and business plan of your department as well as your directorate. Then complete each column below taking a stringent effort to ensure that what is intended in the strategic and business plans is achieved. Ideally, this should be completed by most middle managers and supervisory levels as well as some lower levels who feel that their performance plan requirements are not adequately catered for by the standard frame-work. The list should be between 3-5 KRAs per perspective. Performance Plan Weighting (as per PMS Policy: e.g. 80%) Business Unit and / or Directorate: List of Key Outcomes: Performance Targets for Each Key Outcome Listed Opposite Key Result Area (KRA) Manage ment Plan referenc e Weight of KRA in % 1 2 3 4 5 Total (where applicable). 150% Key Perform ance Indicato rs (KPI) / (type of quantity, quality of inputs to be used: outputs to be delivere d Baseline measure for each target KPI or Performa nce Measure (what is the state of this quantity or quality of input or output at the start of the financial year) Performance Measurement Information Targets (use a combination of at least two of the indicator types listed below which respectively show what the quantities and or qualities of: inputs to be used outputs to be delivered or produced End of 1 st quarter target End of 2nd quarter target End of 3rd st quart er target End of year or 4th quart er target Means of Verifica tion for Each Target (what evidenc e will be produce d to show that target has been reached?) Resource s and Accounta bility Resource s required e.g. human physical and financial. Name of employee: Name of Supervisor/Manager: Name of Overseer Signature of employee: Signature of supervisor: Name of Overseer Date signed: Date signed: Date signed: 47
Form 5.1 (b) PART C: COMPETENCY PROFILE FOR THE FY : The competency profile has been divided into three because employees (sms and non-sms) tend to focus only on what has been given or suggested in the manual without being. job-specific or relevant In Section 1.0, list all those competences which you possess which are not specific to your job title but rather more to your level of responsibility, e.g. those that are the same for every sms, or manager, practitioner, nurse, engineer, grounds person, etc. These must be agreed on with the unit or branch or HOD in the case of sms managers before they are listed. Ideally a list of five priority generic competences must be listed. In section 2.0, list all those competences which you possess that qualify you for your current job, e.g. financial manager, PMS officer etc In section 3.0, list all those competences which, though not directly related to your current job or level of responsibility, are useful now or in the future, e.g. level of numeracy, general knowledge gained experientially or through training. These just make it possible to achieve more in your workplace or career development. INDIVIDUAL COMPETENCY PROFILE List of own current Competencies Current level of competency (1 3) JOB RELATED COMPETENCY PROFILE Is this competence required for the job 1.0 Key Generic Competences 1.1 E.g. 3 E.g. Yes E.g. 3 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 Sub-Total (where applicable) 2.0 Job Specific Competences 2.1 2.2 2.3 2.4 Sub-Total (where applicable) 3.0 Other Competences Deemed Important / Useful for Career and Performance Enhancement 3.1 3.2 3.3 3.4 3.5 Sub-Total (where applicable) Grand Total (where applicable) Level of Competency Required for the Job. (as explained etc.) Name of employee: Name of Supervisor/Manager: Name of Overseer Signature of employee: Signature of supervisor: Name of Overseer Date signed: Date signed: Date signed: 48
Form 5.1 (c): COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN FOR FY: OVERALL WEIGHTING OF 20% FOR EVALUATION PURPOSES. Competence required (from gaps identified in the profiling process above For which KRA is this competenc y required Weighting in % Current level of competence (taken from competency profiles) 1.0 Generic Competences (Description as for 1. in annexure C above) 1.1 Strategic Capability and Leadershi p 1.2 Financial Managem ent 1.3 Informatio n Systems and Technolo gy 1.4 Conflict resolution (mediatio n and arbitration ) 1.5 Negotiatio ns styles and skills 1.6 Basic counsellin g skills (individual & group) 1.7 Planning (goal setting) visualizati on 1.8 Labour Relations 1.9 Risk Managem ent 1.10 Occupational Health & Safety 1.10 Working smarter not harder Target level of competence (select from level 1-3 from competency profiles) Timetable for gaining targeted competenc e Weighting of the Competences Activities to close competenc e gaps All E.g. 10% 2 2 2004/2005 E.g. Annual Strategic Planning (workshop) Attend strategic planning course Resourc es Require d for this develop ment to take place 49
1.12 Budgetin g & budgeting control Sub Total 2 Specific Competences (as described in annexure C above). Weighting of this section Number of New Generic Competenc es Targeted=. 2.1 2.2 2.3 2.4 Sub Total Number of New Job Specific Competences Targeted=. 3 Other Competences (as described above in annexure C) (Here some of the development targets may be good for individual and organizational career and succession planning). Weighting of this section. 3.1 3.2 3.3 3.4 Sub-total Grand Total 150% Number of New Other Competences Targeted=. Name of employee: Name of Supervisor/Manager: Name of Overseer Signature of employee: Signature of supervisor: Name of Overseer Date signed: Date signed: Date signed: 50
5.7 The development of standards framework type of memorandum of understanding on performance. The standards framework type of a memorandum of understanding on performance is developed for all employees whose jobs are repetitive and performed to predetermine standards. The standards could either be determined by professional bodies or they could be operational standards set by the managers or supervisors. 5.7.1 Developing the Performance Plan (Part B) The following steps underpin the development of a standards framework: Use Form 5.2 (a) for this type of memorandum of understanding on performance. Step 1: Step 2: Step 3: Step 4: Step 5: Step 6: Step 7: Step 8: Identify and document between 3-4 key result areas (KRAs) per grid that will lead to the effective achievement of the listed key outcomes. An example of a KRA could be budget control, corporate planning, performance management, etc Indicate from which strategic objective / goal the KRA listed derives from. This indication will be made by showing the number of that strategic objective / goal in the appropriate column. Weight the KRA. In other words, prioritise the KRAs in order of contribution and impact in achieving the listed key outcomes. The weighting must be a percentage, which must add up for all to 100%. State outputs or action steps for tasks performance per KRA. List all agreed and predetermined performance standards for each KRA that must be maintained all the time. Allocate resources within established financial management regulations and practices [medium term expenditure framework (MTEF)], physical infrastructure, current and future establishment (organogram). Tidy up all totals as appropriate. Discuss and agree on all aspect of the form with your manager or superior. 51
The remainder of the development of Parts C and D follows exactly the same steps as that described above for a full Performance Agreement, worklplan as well as the standard framework type of agreement. As such, they have not been described in any further detail in this section. Only part B is different Form 5.2 (a): STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE FOR.. Note: Ideally, most employees whose professional duties are of a routine nature and are performed to clearly laid down standards et by professional bodies or laid down by the supervisor should complete this; in particular, levels lower than the supervisory level. Here look at the strategic plan and management plan of your department as well as your directorate. Then complete each column below taking a stringent effort to ensure what is intended in the strategic and business plans is achieved. Here there should be no more than 4 KRAs. KRA Management Plan Reference Weighting for each KRA 1. 2. 3. 4. TOTAL 150% Outputs / Action steps Performance standards agreed for each KRA that must be maintained all the time Resource Requirement (Include human, physical and financial) Name of employee: Name of Supervisor/Manager: Name of Overseer Signature of employee: Signature of supervisor: Name of Overseer Date signed: Date signed: Date signed: 52
5.7.2 Completing the Competency Profile for the Standard Framework Using form 5.1 (b) above, complete the form using exactly the same steps as the workplan type of memorandum of understanding on performance. 5.7.3 Developing the Competence-based Individual Development Plan (Part D of PI) for Standard framework Using form 5.1 (c) above, complete the form using exactly the same steps as for the workplan type of memorandum of understanding on performance. 5.8 Summary of the Performance Instrument (PI) Validation Process This summary is provided to assist managers and PM co-ordinators in departments when they check the completeness and compliance of the PIs in their departments or business units. 5.8.1 Purpose of PI Validation Establish Level of Compliance with Limpopo Provincial policy on PMS Verify Amount of Cascading and Consistency between Management Plans and Individual Plans Ascertain if Pls are Developed Using Agreed Provincial Formats Align and Create Synergy Between PMS and Other Performance Improvement Initiatives Ensure Departments are preparing for Progress Reviews using good Pls 5.8.2 Essential Documents for PI Validation Provincial Growth and Development Strategy Department and Directorate Strategic Plans Department and Directorate Management Plan Department and Directorate Service Delivery Plan Job Descriptions Performance Instruments (Pls) Limpopo Provincial Administration PMS Manual 5.8.3 Some Key Steps in the Process of PI Validation Establish key legislation, mandate and department and provincial vision Determine the existence of key documents as listed below Identify the provincial and departmental strategic objectives, goals and enabling mandates Determine if priorities are set and resources allocated 53
Ascertain linkage between individual and organisational objectives Ascertain that the correct formats have been used correctly Correct any discrepancies found during the PI Validation process 5.8.4 Key Components of PI Contents Checklist Job Details and Purpose Reporting Requirements and Key Responsibilities Delegations (power limits) Dimensions and Accountability Performance Plan Competency Profile Competence-based Individual Development Plan Time-table for PRDs Performance Recognition and Outcomes Dispute settlement Mechanisms, Amendments Signatures of all Parties (including overseer). 54
6 Monitoring Performance This section explains: Introduction to Performance Progress Monitoring / Reviews The three steps of the performance monitoring phase i.e. selfassessments, managerial or peer review and customer reviews The roles and responsibilities of the employee, the manager / supervisor and the overseer. Step by step guidelines for completing performance reviews forms. 6.1 Introduction to monitoring progress Monitoring individual or team performance is crucial to ensure that employees work towards their set and desired strategic objectives and performance targets stated in their business plans and performance instruments respectively. Monitoring individual or team performance is conducted through a process called Progress Review Discussions (PRDs). These form a continuous process of monitoring and assessing individual and/or team performance based on the instruments concluded during the planning and contracting phase in chapter 6 above. There are three components to progress reviews: self-assessments, peer/managerial reviews and customer reviews. During self-assessments, employees review their own performance before meeting with their supervisor/manager. This is a process of preparing for the formal review discussion. They will do this by completing the appropriate form shown below. The managerial review is the final formal one wherein the two parties, namely, the employee and the supervisor discuss performance progress for each quarter. This session is called the progress review discussion (PRD). Peer reviews provide means of feedback through which an employee gets a sense from peers on how she / he is performing. Peer reviews are between employees in the same capacity and or position. The aim of reviews is to keep track of performance and give feedback so that corrective action can be taken before it is too late. Managerial and peer reviews are both formal and informal. Informal reviews happen on a continuous basis while formal reviews must be concluded quarterly and are recorded and signed off. The formats shown below ensure that all due processes and appropriate detail is captured during this review process to make it more than a mere formality. 55
To ensure that the PMS is managed and implemented well, a role has been established for an overseer (rather than moderator). This is the supervisor s manager. Her / his role is simply to cast an overseeing role that ensures that both due process and content of performance plans, reviews and evaluations compliance with the strategic direction as well as the formats prescribed by the Limpopo Provincial Administration s PMS policy. Equally important for the South African public service in general and the Limpopo Provincial Government no less, is the customer review process. This part, if properly done, is what should bring the Batho Pele principles into life. As such, it is crucial for all employees and their departments to undertake regular customer feedbacks / review. Customers are either internal or external beneficiaries of an employee or department s services. It is important to assess the extent and level of services delivered to them. Surveys and other feedback mechanisms are often used. The overseer should signify their satisfaction by signing the relevant part of the PI. If the overseer is not satisfied, as the supervisor s manager, she / he should return the non-compliant PI and request that it should be corrected. The shaded part in diagram 7 below depicts the Phase (2) of monitoring performance in the performance management cycle. Phase 2 focuses on the necessary steps to be followed in undertaking the different progress reviews. 56
Diagram 7: Phase 2 of PM cycle (Monitoring Progress) Performance Management Cycle Review of departmental / directorate performance Individual performance evaluation Departmental strategic plan : objectives and measures of success Planning and contracting ANNUAL 3 Evaluating performance Identifying outcomes: Performance improvement plan Recognition Nonperformance measures Development of performance plan for next SYSTEM MAINTEN- ANCE AND DEVELOP- MENT Departmental Business plan Directorate Business plan Team delivery plan ANNUAL 1 Individual performance plan: Performance agreements, work plans and standards frameworks, competency profiles Self review Monitoring progress Peer / managerial review informal and formal Customer review QUARTERLY 2 This section in the PM 57
The monitoring of progress in Phase 2 of the PM cycle is an integral part of individual performance management system. It outlines the types and frequency of performance monitoring that should take place in the department for each individual employee. 6.2 Conducting Progress Reviews 6.2.1 What is a Performance Review Discussion (PRD)? A PRD is a discussion between an employee and his or her manager or supervisor in which the employee s performance is assessed against his or her full performance agreement, workplan and standards framework. A PRD between the employee and his or her manager or supervisor or amongst a project team must take place at the end of every quarter. Best practices suggest that PRDs between the manager or supervisor and the employee or amongst a project team must be conducted no less than once every quarter of a performance management cycle. The customer review exercise should be conducted by the department, directorate or unit as well as individuals, each seeking performance feedback from its customers. There are two kinds of PRDs: (I) (II) (III) Ad hoc takes place constantly throughout the year. Feedback on performance is continuous and often informal. Formal takes place three times a year at the end of each quarter. However, some more formal feedback should be given in departmental or directorate meetings no less than once a month. The latter need not be documented, although that documentation would be very helpful. The former definitely has to be documented as shown in the forms below. All outcomes from these discussions are formally noted and signed off on. Customer feedbacks or reviews are also formal and could be signed-off as well as a means of validation of information collected. 6.2.2 What is the Purpose and what are the benefits of a PRD? A PRD is conducted in order to review performance on a continuous basis to ensure that employees are able to attain their set activities. Specifically; It allows for the opportunity for assessment and feedback on a continuous basis It allows the manager/supervisor and the sub-ordinate or project teams the opportunity to proactively address problems and difficulties It gives supervisors a clear sense of what sub-ordinates or project teams are doing specifically and what is happening within his/her section 58
It gives the employees the opportunity to fix shortcomings before the overall performance evaluation is done at the end of the financial year. It informs and allows the adjustment of performance targets if this is required. It allows for the building of co-operative relationships between supervisors and employees. Ad-hoc reviews take place continuously during the year. They provide feedback, on a continuous basis, to employees to address obstacles and challenges to effective performance timeously. These are normally based on completion of activities or projects or weekly or monthly meetings as well. Both parties (signatories to the agreements) must be willing to have an open discussion with each other. However, for the discussion to be meaningful both parties should have made adequate provisions and preparation for effective progress reviews. Listed in tables 12 and 13 below are some crucial steps that must be followed before the actual PRD, whether it is a self-review, peer/manager review and / or customer reviews. These steps complement the step-by-step guidelines immediately below whose focus is more to do with the actual review discussion sitting. The overseer does not have to sit in the PRD unless requested to do so by either one of the parties. In that case, both parties must be aware. Other representatives may be called to sit in the PRD representing either one of the two main parties or both. In each case, both parties would need to be informed of the presence of outsiders. In some cases, the PRD may be conducted between a small directorate panel and the employee. This should be managed in such a way that the balance of fairness is not removed from the employee due to pressure of numbers acting for the employer s interests. 59
6.3 Some Useful Notes in Preparing for and Conducting Progress Review Discussions 6.3.1 Table 10: Preparing for the self / managerial reviews (PRD) FOCUS AREA ACTIONS 1. Preparing for the Prepare feedback reports (preferably written) regarding assessment progress towards outputs and/or activities: Are all the reports up to date and in good order? Are they good sources of information for providing proof of performance? Are all these documents consistent with the means of verification agreed earlier Would they be relevant to the progress review? Do you know what the supervisor is going to need for 2. Undertake a self evaluation 3. Identify problems or difficulties 4. Define possible solutions 5. Confirm the review appointment the progress review? Undertake a process of self-evaluation prior to the PRD using the same Means of Verification and rating scales: Which and how many of the expected outputs or outcomes set in the performance plan and the competence-based individual development plan have been met? To what extent has the targeted and documented outputs or outcomes been met? Which of the intended outputs or outcomes could have been met but were not met partly or fully What are the reasons for the above? Identify current problems or difficulties regarding the attainment of set objectives or expected outputs: Are the current problems Infrastructural, financial or skills? Could these have been overcome earlier? Have these problems ever been raised with the manager/supervisor? Identify possible solutions to the identified problems that were outlined: What solutions are available for each of the identified problems? Will these be acceptable, practical and realistic? Ensure that both parties for the review set the time aside: Are there no clashes (double booking) of commitments? Is the manager/supervisor aware of the review appointment? 60
6. Complete self-review forms ready for PRD Complete all parts of the Review form 7.1 (a) or 7.2 (a) as shown below on completion of this step 6.3.2 Preparing for the Progress Review Discussion. The role of the Supervisor/Manager Table 11: Step-by-step guide to prepare for progress review FOCUS AREA ACTIONS 1. Preparing for the Prepare all the necessary documentation progress review and/or information for the review. Is the interview schedule and relevant review forms ready? Is there a report (based on informal reviews) for the meeting? Do this report and other documentation reflect the evidence or means of verification agreed in the PI? Has the employee s performance instrument 2. Confirm the review appointment 3. Facilitate problem solving exercise 4. Complete self-review forms ready for PRD been reviewed by the manager/supervisor? Ensure both parties for the review set that time aside and are properly prepared: Are there no clashes (double booking) of commitments on your part? Is the employee aware of the review appointment? Is the assessed informed of all the review requirements? Facilitate the process of problem identification and problem solving. Is the assessed provided with support for problem identification and solving? Is the assessed provided with support in preparing for the review? Complete all parts of the pre-prd forms 7.1 (a) and 7.2 (a) as shown below on completion of this step The process followed in the reviews is the same for all levels of employees and hence for all three different types of Performance Instruments in use. For that reason, the steps suggested below should be used by sms and all other employees in the same way. The steps should be read in conjunction with the relevant formats attached.. 61
6.3.3 Conducting a Customer / Peer Review Process Departments, directorates and units have customers they provide services to. These customers could either be internal or external. Internal customers include peers (team mates) in the same work place or other employees at the same level but in different roles in the department or other departments. Whether external or internal, customers and peers performance feedback on the employee, the team, directorate or whole department is required. The usual procedure to be followed in preparing and gathering this feedback information is outlined below. It should be noted that, the results of this Customer / Peer Review process should be evidence or a Means of Verifying performance agreed in the Performance Plan in phase 1 of the PM cycle. Table 12: Step-by-step guide to conduct managerial and peer reviews FOCUS AREA ACTIONS 1. Prepare a questionnaire Departments/directorate management or manager should prepare for the customer review. Issues to be considered: What are the services provided to the said section? How have these services been provided? Are there any services level agreements between the two? Were the services provided according to the services level agreements (standards)? Where and how could service provision be improved? The questionnaire could either be structured or openended / semi-structured. 2. Prepare for the questionnaire administration Inform and agree with the client about the purpose, content and process of information gathering. Is the administration going to be through interviews or will it being self-administered? Have appointments been set and confirmed? Does the client know your expectations? Do they have the information required? 3. Audit performance Engage with the client to review performance as per the agreements through interviews or self-administered questionnaires. Sign-off all evidence as authentic by appropriate structures or overseer or a knowledgeable representative of the Performance Management Committee. 4. Package this feedback in PRD documentation Package feedback results in MoV format agreed in performance plan now ready for PRD 62
6.4 Conducting the Actual PRD Step 1: At this stage, the employee makes a copy of the pre-view discussion forms 7.1 (a) and 7.1 (b) below. In addition, the employee collects and assesses all evidence or means of verification listed in her / his Performance Instrument (Part B and D). Also collect all feedback gathered from the manager, customers, peers in 7.3.1 and 7.3.2 above and consolidates them so that they come to a clear sense of what has been achieved and what is still outstanding and why. Ensure also that the rating scales have been revised and are well understood so that effective scoring can be done. The manager / supervisor, working away from the employee, also carries out similar preparations against the same performance and competence based individual development plan. Step 2: Step 3: Step 4: Step 5: Step 6: While step 1 is being carried out, the employee and manager should again remind each other of the appointment to hold a formal review process and accordingly clear their diaries for an hour or two at most. The second reminder must be done two to three days ahead of the date of the review meeting. Have in hand a copy of forms 7.1 (a) and 7.1 (b) and check that nothing has changed in the performance plan as well as the competence-based development plan since the last review or plan. If there have been some changes and such changes were a result of a previous formal review discussion, in that case, updates the performance and or competence based individual development plan before proceeding. Using the rating scale of 1-5 indicated in chapter 8 below, the employee and the supervisor or manager independently rates or scores each of the targets set for Part B and D of their performance instruments in forms 7.1 (a) and 7.1 (b) respectively. The target scores are consolidated to give the overall key result area score, which is what eventually, gets measured. Ensure that each score can be justified in terms of the agreed means of verification or outputs. Comment on the reasons for any outstanding achievements, or deviations from agreed targets as well as what remedial action will be taken thereafter from the employee or manager s perspective. If the pre-discussion preparations in table 12 and 13 above have been followed properly, then these comments would already be available. Before the day of the actual PRD, the employee and the supervisor individually submit copies of their completed pre-prd forms The manager and the employee agree on venue and time of meeting and proceed to create the least threatening environment for the review discussion. Ideally, the meeting should not be held in the manager s office. 63
Step 7: Step 8: Step 9: Step 10: After due formalities have been dispensed with, the employee and manager, and any other parties who may have been invited to the PRD, share the completed format above and allow a few minutes of perusal and note taking. By focusing on outstanding performance areas (for commendations) and deviation areas (for improvement or sanction) and areas where the employee and manager s/ supervisor s pre-assessment differ drastically, the parties explore each others pre-assessment scores and comments / suggested interventions against pre-set means of verification or outputs. They then agree on the final score and comments / interventions. The agreed scores and comments are documented immediately onto forms 7.2 (a) and 7.2 (b) for the assessment of the performance plan and competence-based individual development plan respectively. Hand over the completed forms to the overseer for endorsement or re-direction and coaching on PMS as necessary. After the overseer has signed the PRD report, she / he hands it back to the manager who keeps a copy, gives employee another copy and sends another copy to the HR unit as systems custodians. 6.5 What skills and attitudes are required to engage in an effective PRD? The philosophy underlying the Performance Management system is one of participation and co-operation. This means that antagonistic and adversarial attitudes of the past have to be overcome and that both the supervisor and the employee have to be committed to open and honest dialogue. In addition to new attitudes, there are certain skills that are crucial if PRD s are to be effective. These include: Assertiveness Listening Responding Summarising Computational skills Problem solving These skills should always form part of the training employees will undergo as part of implementing the Performance Management System. 64
Form 6.1 (a) PRE PRD FORM: PEFORMANCE PLAN (PART B) (FOR WORKPLAN TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) PERFORMANCE PLANNING (PART 1 OF PM CYCLE) - To be completed at the start of the PM cycle PROGESS MONITORING (PART 2 OF PM CYCLE) - To be completed prior to each PRD List of outcomes (taken from strategic goals) List of Performance Targets for each outcome listed opposite Self / Manager s Score Intervention for each key outcome: Quarter 1 Self / Manager s Score Intervention for each key outcome: Quarter 2 Self / Manager s Score Intervention for each key outcome: Quarter 3 Key Result Area Weight in % Indicator Baseline For Indicators Performance Management Information Means of Verification/ Outputs Target For each Quarter End Quarter 1 Quarter 2 Quarter 3 Quarter 4 Self / Manager Score & Comment / Intervention for each KRA: Quarter 1 Self / Manager Score & Comment / Intervention for each KRA: Quarter 2 Self / Manager Score & Comment / Intervention for each KRA: Quarter 3 1.0 2.0 3.0 4.0. Final Score As Appropriate for Perspective E.g. 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 65
FORM 6.1 (b) PRE-PRD FORM: COMPETENCE-BASED INDIVIDULA DEVELOPMENT PLAN (PART D OF PI (FOR ALL EMPLOYEES REGARDLESS OF PI COMPLETED) COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KRA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 2 OF PM CYCLE) - To be completed prior to each PRD End of Quarter 1 Pre-PRD Score & Comment/ Intervention End of Quarter 2 Pre-PRD Score & Comment/ Intervention End of Quarter 3 Pre-PRD Score & Comment/ Intervention 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 66
FORM 6.2 (a) FINAL PRD RECORD FORM: PERFORMANCE PLAN (PART B) (FOR WORKPLAN TYPE MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) PERFORMANCE PLANNING (PART 1 OF PM CYCLE) - To be completed at the start of the PM cycle List of key outcomes (taken from strategic goals) List of Performance Targets for each outcome listed opposite PROGESS MONITORING (PART 2 OF PM CYCLE) - To be completed during the each PRD Final Score Intervention for each key outcome: Quarter 1 Final Score Intervention for each key outcome: Quarter 2 Final Score Intervention for each key outcome: Quarter 3 Key Result Area Weight in % Indicator Performance Management Information Baseline Means of Target For each Quarter End For Verification/ Outputs Quarter 1 Quarter 2 Quarter 3 Quarter 4 Final Score & Comment / Intervention for each KRA: Quarter 1 Final Score & Comment /Intervention for each KRA: Quarter 2 Final Score & Comment /Intervention for each KRA: Quarter 3 1.0. 2.0. 3.0 4.0.. Total/Final Score As Appropriate Perspective 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 67
6.2 (b) FINAL - PRD FORM: COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN (PART D OF PI) (FOR ALL EMPLOYEES REGARDLESS OF TYPE OF PI COMPLETED) COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KPA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 2 OF PM CYCLE) (To be completed during the PRD and kept as final record of agreed review results) End of Quarter 1 Final Score & Comment/ Intervention for each KRA End of Quarter 2 Final Score & Comment/ Intervention for each KRA End of Quarter 3 Final Score & Comment/ Intervention for each KRA 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: Note: It should be noted that the forms for the progress monitoring for other staff completing a standard framework type memorandum of understanding is exactly the same as that for the work-plan process describe immediately above. As such the step-by-step processes have not been repeated. However, for completeness, the forms 7.3 (a) and 7.4 (a) are provided below. They should be used in conjunction with forms 7.1 (b) and 7.2 (b) above which are for the assessment of the competence-based individual development plans. 68
6.3 (a) PRE-PRD FORM: PERFORMANCE PLAN (PART B) (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) PERFORMANCE PLANNING (PART 1 OF PM CYCLE) To be completed at the start of the PM cycle PROGRESS MONITORING (PART 2 OF PM CYCLE) - To be completed prior to each PRD Key Result Areas (KRA) 1. 2. 3. 4. Strategic Objective / Goal Related to KRA Weighting in % Outputs / Actions Performance Standards for each KRA End of Quarter 1 Pre-PRD Score & Comment/ Intervention End of Quarter 2 Pre-PRD Score & Comment/ Intervention End of Quarter 3 Pre-PRD Score & Comment/ Intervention Total 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 69
6.4 (a): FINAL PRD FORM: PERFORMANCE PLAN (PART B) (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERTSANDING ON PERFORMANCE) PERFORMANCE PLANNING (PART 1 OF PM CYCLE) To be completed at the start of the PM cycle PROGRESS MONITORING (PART 2 OF PM CYCLE) - To be completed during each PRD at the end of each quarter Key Result Areas (KRA) 1. 2. 3. 4. Strategic Objective / Goal Related to KRA Weighting in % Outputs / Actions Performance Standards for each KRA Final Score & Comment / Intervention for each KRA: Quarter 1 Final Score & Comment / Intervention for each KRA: Quarter 2 Final Score & Comment / Intervention for each KRA: Quarter 3 Total 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 70
7 Performance Evaluation 7.1 Introduction to Performance Evaluation Performance evaluation determines the overall level of performance of employees, teams, directorates or for that matter the whole department for the whole financial year. Evaluations are based on the assessment of stated objectives and related outputs for the entire year. These performance evaluations happen once a year. Based on the Balance Scorecard approach and the need to align organisational and individual performance, these evaluations takes place at three different levels. At the strategic level departmental and directorate performance evaluations are undertaken and at the operational level individual/team performance evaluations are undertaken. Departmental, directorate and unit plans are reviewed for purposes of taking stock of successes and failures as well as for planning for the coming year. Individual/team performance evaluations also assist in the development of individual and team performance improvement plans where performance gaps existed in the previous year. Performance evaluations are also important as they form the bases on which the outcomes of performance should be managed. Good performers need to be recognised, under-performers to be supported and where appropriate, consistent lack of performance should be addressed through applying appropriate sanctions. It is therefore important to conduct performance evaluations that are both seen as objective as well as being actually as objective as possible. The performance evaluation consists of two components: The rating of the performance plans (Part B of each Performance Instrument). (i.e the Full Performance Agreement, workplan or standards framework as the case may be) Rating the competence-based individual plan (Part D of each Performance Instrument) 71
Diagram 8: Phase 3 of the PM cycle (performance evaluation) This section in the PM Performance Management Cycle Review of departmental / directorate performance Individual performance evaluation Departmental strategic plan: objectives and measures of success Planning and contracting Evaluating performance ANNUAL 3 Development of performance plan for next year Identifying outcomes: Performance improvement plan Recognition Nonperformance measures SYSTEM MAINTEN- ANCE AND DEVELOP- MENT Departmental business plan Directorate business plan Team delivery plan ANNUAL 1 Individual performance plan: Performance agreements, work plans and standards frameworks, competency profiles Monitoring progress Peer / managerial review informal and formal Self review Customer review QUARTERLY 2 72
7.2 Conducting individual or team evaluations The process of individual or team performance evaluation is captured by phase 3 of diagram 8. In essence, performance evaluations amount to the summative evaluation of annual performance. The following steps are critical and should be followed whenever one conducts a departmental, directorate, unit, team and individual performance evaluation. 7.3 Performance Rating Performance evaluation is a comprehensive process that begins with Phase 1- Performance Planning, through Progress Monitoring and finally, an end of year evaluation. It includes planning for and on-going meetings and feedback regarding progress in achieving goals and objectives. The evaluation process concludes with the assessment of performance as depicted by section in diagram 8. Performance rating is the process of summatively scoring the individual or team performance taking each key result area or required competence one at a time. In this case, it takes a combination of numerical (scale of 1 to 5) and some brief narrative comments like, (outstanding, commendable, satisfactory, marginal and unsatisfactory). An individual or team must have had an opportunity to perform under their performance instrument in order to receive a performance rating. Diagram 9: Performance rating components Two components of Performance Rating Outputs on 80% Work plan Or Standards PIs Competency Profiles for: 20% Managers General Staff Members 100% 73
7.3.1 Rating scale Table 13: Rating scale Rating Meaning 5+ - Outstanding performance 5 4 - Commendable performance 3 - Satisfactory performance 2 - Marginal performance 1 - Unsatisfactory performance A practical way of interpreting the rating scale is illustrated below to minimize incidents of subjectivity that are often associated with this area of performance evaluation. This is probably the second most crucial aspect of this system after proper planning (Phase 1) has been done. If scoring or rating decisions are seen to be too subjective, then the whole system falls flat on its face! This must be avoided at all costs. 7.3.2 Points scale Table 14: Point scale Points Rating Meaning 736 750+ 5+ - outstanding performance 676 735 5 526 675 4 - commendable performance 376 525 3 - satisfactory performance 226 375 2 - marginal performance 150 225 1 - unsatisfactory performance 7.3.3 Seeking to Bring more Objectivity in Using the Rating Scale As a general rule, the following interpretation of the rating scale will assist in minimizing subjectivity in the scoring or rating of an individual s performance. Five levels: Level 5: Outstanding performance: Performance far exceeds the standard expected of a member at this level. The incumbent has achieved exceptional results score against all performance targets agreed for each KRA and has maintained this throughout the performance cycle as seen from each quarterly review session. 74
Level 4: Level 3: Level 2: Level 1: Performance significantly above expectations. Significantly higher than expected. Incumbent has achieved exceptional results against more than half of the targets set for each KRA throughout the year. Fully effective. Performance fully meets the standard expected in all areas of the job. Incumbent has achieved as a minimum effective results against all significant performance targets. Performance is below standard required for the job in key targets set. Incumbent has achieved less than fully effective results against more than half of the targets set for the key result areas. Performance does not meet the standard expected for the job. The incumbent has not met one or more fundamental requirements and / or has achieved results that are below expectation in most result areas. It is important to remember that the rating or score that is put in the form is for a full KRA and that each KRA area is made up, of 2-4 targets (input, output and outcome types). 7.4 Step by Step Performance Evaluation / Rating Process. The rating scale 1-5 is used in the rating process. Remember that the priority weight of the performance plan (Part B) and the competence-based development plans have already been allocated at the start of the year as for example, 80% and 20% respectively. These weightings will be used later in the composite rating table. A simple five point rating scale (as depicted by tables 14 and 15) is used to properly take into account the weighting of the two components, as well as the weighting of key performance areas or objectives. The relationship between the two scales is explained below in the description of how the evaluation process takes place. 7.4.1 Evaluating the Performance Plan (Part B) Step 1: Step 2: Prepare for the evaluation process in the same way as has been done for progress review discussions, namely, set up appointments, give reminders a few days before, gather all necessary evidence or means of verification then Take forms 8.1 (a) as shown below and using all evidence and feedback gathered from peers, customers, manager / supervisor, score each key result area. The score for the key result area is given by an assessment of how far and how many of the stated targets have been reached during the whole year. The scores will be out of 1-5 as per rating scale, not %. The interpretation of each score is given above in tables 14 and 15 as well the explanation below the tables. 75
Step 3: Step 4: Step 5: Step 6: Step 7: Step 8: Write comments that clarify how any outstanding or unsatisfactory comments arose or interventions to deal with either type of performance rating. On the day of the actual evaluation interview or discussion, the employee and manager will agree on the venue, mutually prepare the venue to ensure it is safe and secure and begin the session by the usual scene setting, the manager explaining the process, its outcome, exchanging copies of forms 8.1 (a) and letting the employee lead the process there from. Refer to Means of Verification or performance evidence by ensuring that the discussion keeps focus on the areas where the manager and employee scores and comments of the forms 8.1 (a) drastically differ. The discussions should however, not smooth over any issues but seek to bring more supportive evidence strictly in line with the means of verification (outputs) stated earlier. Record all final cores (after agreement between the manager and the employee in Form 8.2 (a). Compute the final points, using the weight of each key result area and the score agreed for that key result area on form 8.2 (a). Add up the totals. Go to the composite table, (table 15) and interpret the total found at the end of step 6 above back into a rating of 1-5 using the conversion scale of table 15. 7.4.2 Evaluating the Competence-based Individual Development Plan (Part D of PI) Repeat exactly the same steps as in 8.4.1 above except this time the forms 8.1 (b) are initially used for pre-discussion / evaluation interview followed by to the completion of form 8.2 (b), which has the final score for evaluating the competence-based individual development plan (Part D). There should be no break in the process and time between the evaluation of Part D and Part B of the PI. It goes without saying that each party to the performance evaluation will have done their pre-discussion homework in the same way outlined for the review processes of chapter 7 above. 7.4.3 Completing the Composite Form This is form 8.3 (a & b) and 8.4 (a & b) having been reserved for the standard framework type of memorandum of understanding on performance as shown below. This composite scoring process should be completed during the final evaluation sitting only. The computation may be verified by the systems administrators, especially in HR, this is particularly important as the final result of this computation is the sole basis for both financial and non-financial rewards and possibly sanctions. Both of these outcomes should be based on accurate decisions and computation / figures to avoid controversies and undermining the credibility of the system and senior management of the implementing department. 76
Step 1: Enter the final rating (a figure between 1-5) taken from form 8.2 (a) in the column next to where the focus shows Performance Plan Step 2: Step 3: Step 4: Step 5: Step 6: Enter the final rating (a figure between 1-5) taken from 8.2 (b) in the column next to where the focus shows Competence-based individual development Plan (part D). Multiply the ratings just entered into form 8.3 by the weight of each focus area as decided and communicated earlier at the beginning of the cycle and captured in the planning documents. This gives the points for each focus area. Add up the points just obtained in step 3 above to get the total points for the individual s performance. Using the total obtained in step 4 above, re-interpret the points back to a rating between 1-5 using the same table 15 above. Indicate the final performance ratings and write comments indicating what will happen to the employee or her / his future objectives as a result of the rating just arrived at. This could indicate the areas to be carried over, or some other programme of remedial action or the type of reward. Whichever way, the provisions of the Limpopo Provincial Government should be born in mind at this stage of the PMS implementation. This logically takes us through to the next chapter, which is about how to manage the outcomes of performance results. 7.5 Evaluating Departmental/Directorate Performance Although the focus of the PMS is individual performance, it has been clarified before that individual performance that does not contribute or that is not aligned to the strategic goals of the department and hence province is not useful. As such, this brief note opens a theme that all departments and provinces need to ensure is done in tandem with individual PM evaluations just described. 77
Table 15: Step-by-step guide to conduct department and directorate evaluations FOCUS AREA ACTIONS 1. Section/unit Each section in the directorate is requested to conduct performance reviews performance review exercises. Sections/units assess whether set strategic objectives have been met or not. Which of their objectives have been met and why? Which teams/units under-performed and how did their performance affect the others? What measures were put in place to proactively address potential obstacles? What measures could be put in place to correct and 2. Directorate performance reviews 3. Departmental performance reviews improve performance? Each directorate is requested to conduct performance review exercises. Directorates assess whether set strategic objectives have been met or not. Which of their objectives have been met and why? Which sections/components under-performed and how did their performance affect the others? What measures were put in place to be proactive to address potential obstacles? What measures could be put in place to correct and improve performance? These are normally referred to as a strategic planning session. This happens once a year. In these sessions members of the department: Review the achievement of the strategic objectives as set by the department. Which of these have been achieved and why? How did the non-achievement of some of these objectives impact on the department s strategic focus? What mechanism can be put in place to address similar obstacles in future? If necessary, how can the department re-arrange its strategic focus? 78
Form 7.1 (a): PRE-EVALUATION DISCUSSION RECORD FORM FOR PERFORMANCE PLAN (PART B OF PI) (FOR WORKPLAN TYE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. PERFORMANCE PLANNING (PART 1 OF PM CYCLE) - To be completed at the start of the PM cycle List of key outcomes (taken from strategic goals) List of Performance Targets for each outcome listed opposite PROGESS MONITORING (PART 3 OF PM CYCLE) - To be completed prior to the each end of year evaluation) Self / Manager s Score / Rating for each listed key outcome Comment & Suggested Decisions on Performance Outcomes Key Result Area Mgt Plan ref Weight in % Indicator (KRI) Performance Management Information Baseline Means of Target For each Quarter End For Verification/ each Outputs KPI Quarter 1 Quarter 2 Quarter 3 Quarter 4 Self / Manager s score For each KRA Final Comment / decision on Managing outcomes of this result 1.0. 2.0. 3.0 4.0.. Total/Final Score As Appropriate Perspective 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 79
7.1(b): PRE- EVALUATION INTERVIEW RECORD FORM: COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN (PART D OF PI) (FOR WORKPLAN TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KRA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 3 OF PM CYCLE) - To be completed prior to the final evaluation at end of the cycle End of quarter 4 Self / Manager s Score for each targeted competence Final Comment & interventions suggested 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 80
Form 7.2 (a): FINAL EVALUATION FORM FOR PERFORMANCE PLAN (PART B OF PI) (FOR WORKPLAN TYE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. PERFORMANCE PLANNING (PART 1 OF PM CYCLE) - To be completed at the start of the PM cycle List of key outcomes (taken from strategic goals) List of Performance Targets for each outcome listed opposite PROGESS MONITORING (PART 3 OF PM CYCLE) - To be completed during the each end of year evaluation) Final Score / Rating For Each listed Key Outcome Comment & Decisions on Performance Outcomes Key Result Area Mgt Plan ref Weigh t in % Indicator (KRI) Performance Management Information Baseline Means of Target For each Quarter End For Verification/ each Outputs KPI Quarter 1 Quarter 2 Quarter 3 Quarter 4 Final Score For each KRA Points = Weighti ng x final score / rating Final Comme nt / decision on Managin g outcom es of this result 1.0. 2.0. 3.0 4.0.. Total/Final Score As Appropriate Perspective 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 81
7.2(b): FINAL EVALUATION RECORD FORM: COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN (PART D OF PI) (FOR WORKPLAN TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KRA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 3 OF PM CYCLE) - To be completed prior to each PRD End of quarter 4 Final Score / Rating (after discussion with manager) Points = (weighting x final score) Final Comment & Decisions on Performance Outcomes 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 82
Form 7.3 (a): PRE-EVALUATION DISCUSSION RECORD FORM FOR PERFORM ANCE PLAN (PART B OF PI): (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. PERFORMANCE PLANNING (PART 1 OF PM CYCLE) To be completed at the start of the PM cycle Key Result Areas (KRA) 1. 2. 3. 4. Management plan reference Related to KRA Weighting in % Total 150% Outputs / Actions Performance Standards for each KRA PROGRESS MONITORING (PART 3 OF PM CYCLE) - To be completed prior to the final evaluation interview Self / Manager s Pre-interview Score Self / Manager s Comments & Suggested Interventions Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 83
7.3 (b): PRE- EVALUATION INTERVIEW RECORD FORM: COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN (PART D OF PI) (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KRA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 3 OF PM CYCLE) - To be completed prior to the final evaluation at end of the cycle End of quarter 4 Self / Manager s Score for each targeted competence Area Comment & interventions suggested 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 84
FORM 7.4 (a): FINAL EVALUATION DISCUSSION RECORD FORM FOR PERFORMANCE PLAN (PART B) (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. PERFORMANCE PLANNING (PART 1 OF PM CYCLE) To be completed at the start of the PM cycle PROGRESS MONITORING (PART 2 OF PM CYCLE) - To be completed during the final evaluation interview Key Result Areas (KRA) 1. 2. 3. 4. Management Plan reference Related to KRA Weighting in % Outputs / Actions Performance Standards for each KRA Self / Manager s Final Evaluation Score for each KRA Final Points = weighting of each KRA x final score Final Evaluation Comments / Suggested interventions and Decisions on Performance Outcomes Total 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 85
7.4 (b): FINAL EVALUATION RECORD FORM:COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN (PART D OF PI) : (FOR STANDARD FRAMEWORK TYPE OF MEMORANDUM OF UNDERSTANDING ON PERFORMANCE) Notes: A separate form should be completed by the manager/ supervisor and the employee just before the evaluation interview Each of the two parties, supervisor and employee must table their completed forms during the evaluation interview The two copies should be attached to the final copy that is completed and signed during / at the conclusion of the final evaluation interview and kept as part of the employee s, manager s and system administrator s records on PMS. COMPETENCE ACQUISITION PLANNING PART B OF P1 (PHASE 1 OF PM CYCLE) Required competencies Weighting in % 1.0 GENERIC COMPETENCES 1.1 1.2 1.3 1.4 For which KRA s Is competence required Current Level of competence taken from competence profile Targeted Level of Competence Attainment by end of each Quarter Quarter 1 Quarter 2 Quarter 3 Quarter 4 COMPETENCE ACQUISITION PROGRESS MONITORING (PHASE 3 OF PM CYCLE) - To be completed at the end of each evaluation interview End of quarter 4 Final Score / Rating (after discussion with manager) Points = (weighting x final score) Final Comment & Decisions on Performance Outcomes 2.0 JOB SPECIFIC COMPETENCIES 2.1 2.2 2.3 2.4 3.0 OTHER COMPETENCES 3.1 3.2 3.3 3.4 TOTAL/FINAL SCORE/ RATING (AS APPLICABLE) 150% Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 86
8 Managing Performance Outcomes This section looks at: Role of Communication in minimising Conflict Ways to manage under-performance and/or unacceptable performance by taking corrective and remedial measures Rewards for Good performance 8.1 Role of Communication in Minimising Conflict Often this is the part of the PM process where a lot of disagreements or conflicts arise. There will be disagreements about the ratings and what they entitled each employee to. A good communication strategy and plan must be developed to ensure that key areas of the Provincial PMS Policy are understood and known in good time. Examples of some of the key communication messages would be: To clarify weightings of the performance plans (Part B) and competence-based development plans (Part D) applicable for any PM cycle. Are they going to be 90:10 or 80:20, 85:15, or 95:5 etc? This must be clarified at the start of the PM cycle (by 1 st April or at the latest by end of April when all PIs are due in) when individuals conclude their PIs Are the weights referred to above going to be applicable in the same way in all departments (in which case DG must send communication). If Departments can make their choices, DG must set upper and lower limits and communicate the limits as well as the delegation to make final decision and communicate to staff by HoDs. Again this should be at the start of the cycle. The rewards regime, what can be expected by those who score? This should be thought in terms of the existing PMS policy as well as other Provincial and DPSA wide salary and reward provisions. The DG should communicate the upper and lower limits and departments must in turn communicate their own limits for the year in question. 8.2 What guiding principles should manage performance outcomes? The following guiding principles on performance management form the base for managing performance outcomes: 87
PM must be linked to staff development and align decision-making and activity with the objectives set out in the department s strategic plan. PM must be a vehicle to encourage discussion about work outputs, outcomes and processes between employees and their managers. The focus of PM must be developmental, while allowing for an effective and relevant response to both inadequate and outstanding performance. Performance must be managed in a consultative, supportive and non-discriminatory manner in order to enhance efficiency, effectiveness and accountability. The owner of the PI must at all times be the one who leads and carries full responsibility for all performance outputs, outcomes and processes. Performance management procedures must not place unnecessary administrative burdens on supervisors but must be adequate for maintaining administrative justice. 8.3 What do the Public Service Regulations say about underperformance? In the case of unacceptable performance, an executing authority shall: Require the designated supervisor to inform the employee of the reasons for the poor assessment in writing. This will be done after necessary discussion with the employee in question. Allow the employee to state her / his reasons for objecting to any decision or procedural or substantive issue that prejudices her / him in this assessment, before signing the assessment form. It is not an option to refuse to sign as it takes away the communication required of a good PMS. Refusal to sign should be dealt with as insubordination, whether perpetrated by the employee or supervisor. Clearly identify the appeals route against the performance assessment and follow them accordingly. In any case, the route will have been stated in Part A of the PI, the generic agreement part. Permit an employee to bring a colleague or trade union representative to assist the employee during the appeals process and Provide remedial and systematic support to assist the employee to improve her or his performance; or consider steps to discharge the individual for unfitness or incapacity to carry out her or his duties, if the desired improvement cannot be effected. 8.4 How to support employees who under-perform or whose performance is unacceptable? There are five basic steps suggest to manage underperformance by deciding on appropriate actions. 88
8.4.1 Establish reasons for underperformance 1. Identify and agree on the problem. This involves the analysis of feedback and obtaining agreement from the individual on what the shortfall has been. 2. Establish reason(s) for the shortfall. Managers should not try to attach blame. The aim should be for the manager and individual jointly to identify the facts that have contributed to the problem. It is on the basis of this factual analysis that decisions can be made on what to do about it by the individual, the manager or the two of them working together. It is necessary to first identify any causes that are external to the job and outside the control of either the manager or the individual employee. Any factors that are within the control of the individual and/or the manager can then be considered. What needs to be done is to determine the extent to which the reason for the problem is because the individual: Did not receive adequate support and guidance from his/her manager as well as manager s manager (overseer) Did not fully understand what he/she was expected to do Could not do it lacked ability Did not know how to do it skill Did not want to do it attitude. 8.4.2 Action to be taken to deal with underperformance 1. Decide and agree on the action required. The individual, the manager or both parties may take action. This could include: Taking steps to improve skills or change behaviour the individual Changing attitudes - this is up to the individuals as long as they accept that their attitudes need to be changed. The challenge for managers is that people will not change their attitudes simply because they are told to do so. They can only be helped to understand that certain changes to their behaviour could be beneficial, not only to the organisation, but also to themselves. This can be facilitated by a counselling approach that: Provides more support or guidance Clarifies expectations - job requirements, objectives and standards Jointly helps develop abilities and skills in the sense that individuals may be expected to take steps to develop themselves, but managers can provide help in the form of coaching, shadowing, mentoring, additional experience or training. Performance measures and feedback arrangements should also be agreed upon as a basis for determining whether subsequent action has been successful. 89
2. Resource the action. This simply means that provision should be made for coaching, training, guidance, experience, or facilities required enabling agreed actions to happen. 3. Monitor and provide feedback. At this point steps are taken to monitor performance, ensure that feedback is provided or obtained and analysed, and agree on any further actions that may be necessary. Individuals should be encouraged to monitor their own performance and take further action as required. This can be described as a self-managed learning process. 8.5 Managing disagreement at the initial stage of drawing up a performance agreement or memorandum of understanding on performance? The Public Service Regulations are quite specific regarding the outcome and communication of assessment results. Although not so clearly stated, the same process of initial mediation by the overseer (manager-one-level above) or supervisor s manager, then departmental PMC and HoD. Depending on the level of the individual concerned, the following procedure is suggested: Table 16: Routes to follow in the event of disagreement when drawing up a PA Parties to the dispute Where appeal should be lodged HOD & MEC Premier HOD & his/her Deputy MEC Among other sms managers and managers Manager one level above most senior of not reporting directly to the HOD disputing parties and later the HOD and even MEC. From the level of a manager down, any dispute between a supervisor and his/her subordinate shall be referred to the immediate manager of the supervisor for mediation. However, in the event that the matter is not resolved to the satisfaction of any of the parties involved, any party should have the right to appeal up to ministerial level and thereafter follow the labour relations route up to the Labour Court if so required, provided the correct channels of communication are followed. 8.6 What are the consequences of collective agreements? From 1 July 1999, the new Public Service Management Framework and hence all departmental activities, are informed not only by legislation such as the Public Service Act, 1994, as amended, and the new Public Service Regulations, 1999, but also by collective agreements concluded by bargaining councils in the public service, at national and provincial levels. 90
The Public Service Co-ordinating Bargaining Council (PSCBC) is the bargaining council for the public service as a whole. A number of collective agreements reached in the PSCBC influence the determination of elements of performance management. The most important of these are: Resolution 13/1998 on Performance Agreements for Senior Management from level 13 upwards (refer to paragraph 10) Resolution 2/1999 on Benefits and Allowances. 8.7 Performance improvement plan outline for managing under-/ unacceptable performance Table 17: Step-by-step guide for managing under-/unacceptable performance Step Actions 1. Identify the What is the objective or required capability on which the problem employee has not performed? 2. Identify the Why has the employee not performed? Is it due to lack of: possible - Skills and knowledge causes of the - Poor working conditions problem - Insufficient guidance and support - Interpersonal relations in the workplace - Personal problems? 3. Identify a proposed solution to each area of difficulty Lack of skills and knowledge conduct needs assessment through the HR practitioner to identify training needs Poor working conditions: - is this due to late hours, insufficient equipment, and unreasonable expectations? Insufficient guidance and support: - does the person not know what is expected of him/her, despite having drawn up a workplan? - do roles need to be reclarified and the objectives on the workplan revisited? - does the immediate supervisor require management training? Interpersonal relations: - Is communication a problem? - Are issues of diversity and cultural difference a problem? - What is the core problem causing the conflict? Personal problems: - is the employee experiencing stress at home? - is there any way in which the supervisor can assist? 91
8.7.1 Financial Rewards In a recent survey (May-June 2001) of sms managers across the country, the DPSA found that senior managers valued money the highest form of reward or motivator for their future performance. This was despite the fact that there have been a lot of attempts to improve the remuneration packages of these sms echelons in the public service. A lot of these managers, however, indicated that they would almost equally appreciate other awards in recognition of their performance instead of money. In a public service where money is always tight, these other options need to be explored and popularised. Some of the incentives and awards listed by these managers included: Recognition awards of any sort Being given space, resources and autonomy to do what they had proved they do best. Leave, although it was not rated highly, ostensibly because a lot of current sms managers might still have a lot of leave owing to them. Opportunities for further growth in a direction more associated with personal choice e.g. presenting a paper at a conference in a subject where the official has a clear interest and expertise. This is consistent with research evidence that suggests that the most important factor [here] is individual recognition-more important than salaries Most people, whether they are engineers, public servants, business managers etc want to be creative.they want to contribute to giving society more comfort, better health and more excitement. And their greatest reward is receiving acknowledgement that they did contribute to making something meaningful happen. Paul M. Cook. Based on the foregoing paragraphs, there are a lot of other alternatives that organisations can use in varying forms. They are listed here without debate or discussion. However, those interested in finding more about this area of PM will find Bob Nelson s book on 1001 Ways to Reward Employees very useful. 8.7.2 Some non-financial possibilities It is worth remembering that some incentives are not compensation they are recognition, a meaningful way to say thank you while still focusing your attention on departmental goals. Remuneration or compensation for being employed is a different though often related process and should not be confused with recognizing performance. The motive for recognizing performance is incentivising the employee first and foremost so that they can continue with the good work and more. The point here is not that these possibilities do not indirectly involve money but rather that their value is not the cash amount but rather the sentimentality attached to the reward. However, they almost all need to be budgeted for. 92
Some of the many possibilities are listed below; Give individual recognition and acknowledgement of any form is the key one. Time-off (may be given in more short spells than leave). A piece of exciting and strategic action. Allowance to do favourite work most of the time. Advancement like promotions where competences exist. Freedom to decide on work issues where the employee shows excellence. Fun in and outside of workplace Prizes, cash or otherwise. Rent a sports car for the employee to drive for the week. Feature the employee s picture in billboards or communication messages that of departmental strategic importance. Praise them. Many managers underestimate the power of praise. Take the person to a midday movie. Give the employee a round of golf or some other sporting event of their choice. When you hear a positive remark about somebody, report it to them and others as soon as possible. Seek the person out if necessary. If you can t meet, leave an electronic mail or voice mail message. Grant two hour lunches for one week and pay for their dessert or lunch where possible. Give the employee a three-day weekend. Give spontaneous time-off for specific accomplishments or week and arrange to have his or her work done in the meantime. Arrange a photo session with the MEC, HoD. Give personalised departmental logo items with employees name, e.g. umbrella, T-shirt, pencil sets etc. Give unusual personal value items that are meaningful, e.g. boxer shorts, etc. Diagram 10 below gives a graphic illustration of the process of managing performance outcomes. 93
Diagram 10: Managing performance Managing Performance Collective agreements & PSR will determine financial incentives Good performance Recognition Outcomes Poor/nonperformance Corrective measures for performance improvements Steps to manage underperformers Identify and agree on problem. Establish reason(s) for shortfall. Decide and agree on action required. Resource the action Monitor and provide feedback Pay increase Promotion Cash bonus Special achievemen t awards P t ik Financial Low cost Organised lunch with MEC Time off to attend national conference Time off over and above leave Given priority to attend training Non financial Support and development Coaching Mentoring Counselling Training Guidance Facilities required to enable agreed action to happen Discipline in terms of DPSA Incapacity (in terms of code) No-cost Public note /memo Written personal letter Employee / team month recognition Delegation of more responsibility Represent department in official functions / forums 94
9 OVERSIGHT, INSTITUTIONAL ARRANGEMENTS AND STRUCTURES, STAKEHOLDER ROLES AND RESPONSIBILITIES This section looks at: Provincial and departmental PMS oversight roles and responsibilities Lines of accountability Stakeholder roles and responsibilities PMS project roll-out plan in a department 9.1 Performance management oversight The implementation and management of the performance management system has to be constantly checked. It is therefore important for the province and each department to have a structure that will continually audit the effectiveness and success or failure of the whole system. These structures will thus play an oversight function. Their oversight roles are graphically represented by diagram 11 as follows: 95
Diagram 11: PMS Institutional arrangements Office of the Premier (HR Transversal in Public Service Transformation Branch) Overall Provincial PMS Policy and Championing Overall provincial co-ordination of the system, Monitoring the implementation of the system, Auditing the effectiveness and efficiency of the system (using internal or external resources), and Ensuring alignment and review of the PM system with provincial priorities Department A (PM Committee) Monitor implementation and management. Assess evaluations and recognition recommendations Make decisions on recommendations Recommend changes to the system. Final decision on sanctions and recognition for Department B (PM Committee) Monitor implementation and management. Assess evaluations and recognition recommendations Make decisions on recommendations Recommend changes to the system. Final decisions on sanctions and recognition for 96
9.1.1 Oversight Functions: 9.1.1.1 Office of the Premier (HR Transversal) The Office of the Premier has an overall co-ordination role in the implementation, management, monitoring and evaluation of the Performance management system in the province. Specifically, with reference to the oversight function, the Office shall: Monitor the implementation of the system, Audit the effectiveness and efficiency of the system (using internal or external resources), Ensure alignment and review of the PM system with provincial priorities, and Provide policy framework or guidance with regard to managing the outcomes of the performance in the province (recognition and sanctions). 9.1.1.2 Departments Each department is responsible for managing departmental, directorate and individual performance. To ensure the objectivity and non-biased management and implementation on the system in departments, each should establish an internal Performance Management Committee. The committee shall play an oversight role in the department. It shall therefore: Monitor implementation and management of the system Assess evaluations, processes and outcomes recommendations Make decisions on recommendations whether be they recognition or sanctions Attend to disputes with regards to performance disagreements Final decisions on sanctions and recognition Recommend changes to the system. These committees will ensure that no single individual shall make sole decisions around individual or team performances in the departments without their oversight endorsement. This does not take away from the one-on-one basis of reviewing progress or evaluating performance at the end of the year. It simply means that all decisions and processes are constantly monitored and moderated by these structures as the need arises. In each form that gets to be completed, the supervisor s manager must sign her / his endorsement certifying that the PI or review assessment or final evaluation meets all strategic, procedural and substantive requirements of the PMS and the department. This has been done to improve the process of oversight. 9.2 Lines of accountability To avoid confusion and inaction on the part of staff members, it is crucial that lines of accountability be clarified upfront. This means every employee should be clear who s/he reports to and in the case of a manager or supervisor, who exactly are the employees who report to them. An employee should report to one supervisor or manager for purposes of this system. The management of performance in the department is a line function responsibility. 97
Individual performance plans and agreements are concluded between the immediate supervisor/manager and the respective employee(s). As indicated earlier, the role of the supervisor s manager is to overseer and endorse as corrected all the processes and all the completed documentation for managing the PMS process. In managing, assessing and evaluating individual and/or team performance, the following lines of accountability apply: 9.2.1 Performance management hierarchy Diagram 12: Performance management hierarchy Head of Department Senior General Managers General Managers Senior Managers Managers Deputy Managers In other departments or units this logical progression might not necessarily apply. In these cases, lines of accountability will follow reporting lines. This applies primarily in cases of project or team-based work in directorates, units or transversal projects. Based on the abovementioned lines of accountability, each manager/ supervisor will be responsible: Jointly (with the employee) for developing and completing a suitable performance instrument (PI). For performance reviews of employees (informal and formal) For providing a conducive environment for effective employee performance and For performance evaluations and recommendations of recognition. 98
9.3 Dispute Resolution In case of disputes regarding the management of performance, employees need to resolve them with their immediate supervisors/managers. Should the dispute not be resolved at this level, the matter is then referred to the next level above. For example, if a dispute is not resolved between the Manager and the Senior Manager, then it should be referred to the General Manager in the relevant work stream. If the matter is still not resolved, then internal dispute resolution processes need to take precedence, for instance, refer to Labour Relations unit who will make a recommendation to the HoD etc. The spirit here is to exhaust all possible internal remedies before going outside of the department 9.4 Institutional arrangements, structures, roles and responsibilities: By institutional arrangements this implied the creation of permanent or temporary structures within the organisation which will manage, monitor and ensure the PMS is alive and well in the Department. The purpose of setting up these institutional structures and arrangements is to ensure that the department has enough capacity and resources directed at efficiently and effectively implementing the PMS in all its institutions. This section of the handbook seeks to further pinpoint the specific roles and responsibilities of these structures and / or individuals. Some of the structures have been created specifically for PMS implementation while others are part of the permanent organisational structure of any department. 9.4.1 KEY STAKEHOLDERS AND THEIR ROLES AND RESPONSIBILITIES a) The Executing Authority: Ensures that there is a PM policy and approved system meeting the legal and DPSA good management guidelines Ensures that there is a valid and appropriate management plan for the department, developed between the departments HoD (and his/her senior managers) and the EA Holds the HOD accountable for overall departmental performance only on the basis of the HoD s Performance agreement in terms of the agreed PMS, which will include delivery of an organisationally sustainable PMS. b) HoD: Develops the PM policy in line with DPSA and provincial policies. Ensures that the PMS policy of the department is clear on issues of motivating and rewarding good performance, and dealing with unacceptable performance in the organisation on an annual basis. Reviews all policy issues associated with PMS at the time other strategic reviews are done before the start of every financial year. Delegates powers and authority to various line managers and structure that are linked to PMS implementation Leads by example in the implementation of the PMS 99
Monitors and ensures the continued strategic linkage of the top management with his / her PA and the Dept strategic objectives Consciously builds an open culture of a performance driven Dept Insists and ensures that every SMS manager prioritises and contracts on implementing the PMS in his / her unit of control. This means implementation of PMS or people management will be one of every managers key deliverables. Timeously sets up a PMS oversight committee (PM Committee) clearly mandates and monitors their work regularly. Ensures there is a balance in the strategic objectives of the Department by using the chosen model of the province, in this case, the balanced score card model. Ensures that there are adequate resources directed at meeting the priority strategic objectives in any one year Monitors and reviews the attainment of departmental strategic objectives based on the PMS adopted. Reports progress in PMS implementation to the EA as required. c) SMS MANAGERS These are senior line managers in the department. Their main responsibilities include: Ensure they have agreed on and developed their own unit (directorate) management plans based on the departmental management plan Ensure that they workshop their unit s management plan before they and their staff below them sign their PIs. Lead their units by example, through signing their own PIs and working in accordance to these PIs. Ensure they understand and champion the proper implementation of the department s PM policies and systems within their own unit. Personally communicate, champion the PM system as part of their unit s work systems not as an HR or other externally driven system which takes away from their own line work. Employ the PMS as the only tool and system for managing performance. Adhere to all time frames of the PMS. Monitor and review individual performance regularly and fairly. Reward good performance and support those who may be struggling as per prescriptions of the department s PMS Allocate resources, including own staff and time assigned to champion and advance the PMS in the rest of the department. Document and utilise all processes and results of the individual Performance reviews. Motivate unit project teams to use the PMS and never undermine the PM system overtly or otherwise. Serve in the PM committee or PM project implementation team when assigned to do so. 100
d) ALL OTHER MANAGERS This refers to any other supervisor at the rank of managers, deputy, assistant managers or first line manager. Their role and responsibilities are largely similar to those of their managers above but are more specifically focused at only those units below them. Other roles and responsibilities include: Use PMS tools as designed and agreed. Communicate and champion PMS as an essential and good people management tool. Understand and remove any possible conflicts between the PMS and other collective agreements, policies in their work environment. Championing proper application of PMS and other systems must sit prominently as one of their own strategic objectives or key result areas so that they can be measured on how they must implement it. e) Senior Manager: Human Resources / Corporate Services / Performance Monitoring And Evaluation Manager (As Applicable In A Department The arrangements are not always the same in all departments of government. In some cases different individuals as named above may be in charge of the PMS. Whoever the individual is, they must, inter alia: Immediately link the Department s HR Planning processes and outcomes to the strategic objectives of the department through inter alia, the PMS. Understand and support the PMS. Manage the system through being a custodian of the policies, processes and practices of implementing a successful PMS. PMS implementation must be one of their main objectives in any one year. Should head the PMS project implementation team. Ensures all PIs are correct, collected, and their results documented into an HR system to inform other related HR processes and systems. May also be a custodian of all other HR systems linked to PMS e.g. remuneration and Reward Policy, LRA, recruitment and selection etc. If not the custodian of other systems, at least will ensure that the PMS is properly aligned to these other related systems. Coach other senior line managers. Member of the PM committee. Provide regular reports to all management at regular intervals. Progressively move towards automating the PM system in order to increase efficiency and reduce administrative burden. f) PM COMMITTEES These should be selected and tasked this responsibility by the HOD in person, who should hold them individually and severally responsible for the success of the PMS in the whole department at all times. This team must be given power to review, change systems and enforce policy at all times relating to PMS. In each department there will only be one such committee. These are not the same committees that used to assess employees for merit awards by employment categories in the past. 101
Collectively and individually sponsor and support all departmental efforts to institutionalise the PMS. Prioritise and contract on the PMS as one of their key individual deliverables in their own PIs. Lead by example by being the first ones in the department to complete their PIs. Regularly advise the HOD on what steps to take to motivate, enforce compliance with PMS policy and milestones. Understand and coach other top managers, on the PMS in general and their own individual roles in particular. Consistently monitor the whole process and application, and ensure all role players play their part timeously. Monitor and report on, top management leadership behaviour that supports and that which diminishes the effective implementation of the PMS in the department. Use the mid-term review as a key PMS milestone to look at the overall performance of the organisation and modify any objectives, PIs of senior managers that may need to. Sponsor and champion as a change process, all new aspects of the PMS Ensure the implementation of the PMS is benchmarked on provincial, national and international best practices, all informed and complying with DPSA and other national regulations. Strategically monitor all directorate objectives and their implementation against the department s strategic objectives at regular top management meetings. Sponsor and champion to create space, time and resources for champions in particular Moderate the PM outcomes (not actual scores or evaluation results of individual PIs) Strategically support the HR or Corporate Services manager(s) in securing resources to install and run efficient IT based management systems to enhance the usability of the PMS. g) PM CHAMPIONS These individuals have already been chosen or should be chosen to communicate, push and persuade all units in their overall understanding and implementation of the PMS in the department. Their selection should preferably be made from senior or influential managers in the department. All training and development personnel should be brought in as champions, possibly together with HR practitioners to ensure an HR team approach to PMS capacity building. Those selected must be sanctioned and given their task orders by the HOD. Their roles and responsibilities will have been discussed elsewhere in this Information Handbook. In particular, their roles need to include: Understand and support the implementation of the whole PMS Training all other staff in their units and other units too. Negotiate and manage training, coaching and support of other staff on all matters of PMS as assigned to them. Develop a training plan or schedule to manage the PMS training process and get HoD sign-off of the plan Communicate all events and changes in the implementation process of the PMS within their assigned units. Serve in the PMS project implementation team, as well as PM Committee as required. Give reports on PMS implementation to the PM committee and line managers, including HOD if requested. 102
Ensure all notices and support materials reach, are understood and used by their assigned units within the department. h) PMS PROJECT IMPLEMENTATION TEAM These will be individuals chosen by the PM committee, endorsed by the HOD, whose main role is to ensure that the implementation of the PMS is projectised. To achieve this, the team will need to distil and agree with their principals, viz, the PM committee and the HOD on: Understand and present PMS as a change management strategy in the department, thereby preparing the ground for change before implementing the change. Project statement of work, specifications, milestones Work break down structure, costs, time and quality dimensions needed Ways in which the plan will be implemented, monitored and controlled, and The closing out phase of the whole project. Implement the above project plan themselves or support such implementation. Draft and do all documentation of policies, procedures, guidelines, and lessons from interactions relating to the PMS. Lead by example in all this work by ensuring that own behaviour, own PIs are exemplary and done on time to specification. Work with any specialists on PM engaged by the department on PMS process and document all the inputs there from. i) ALL INDIVIDUAL EMPLOYEES Understand and implement the PMS as prescribed in their unit Sign appropriate PIs that link their daily actions to their unit s objectives. Actively participate in feedback and other data gathering processes used in the PMS. 9.5 Enabling Conditions: PM Culture and Associated Leadership Behaviours that Support an Effective PMS Implementation These are useful as a checklist to be used by all those involved in the systems design, the various roles listed above. Taken cumulatively, they help to set a benchmark for good PMS practice. The checklist is given here without detailed discussions: Is there a strategic plan on which this whole PMS process is based? Have or can resources be allocated to each directorate by the start of the financial year? Have all the assumptions made in using this particular PMS system been explained and clarified to all stakeholder groups and individuals in the department? Is there a clear PM policy already in existence in the department at the start of the implementation which will be or has been revised annually thereafter? Does this policy clarify how the results and outcomes of the PMS will be interpreted, actioned upon and link to the pay and reward systems of the department? Is there clear and demonstrable support from top managers, especially the HOD of the PMS? Are there clear job competency profiles that define what is required from the manager, and the competencies that will support this service delivery? 103
Have the team delivery objectives been identified, assigned to appropriate teams and properly factored into PAs of individuals? Has there been agreement in the department on performance measurement and competency measurement tools, what evidence of performance will be acceptable for each employee? Has the most appropriate performance tool or instrument been identified, discussed before its use? Have the times of performance reviews been agreed and diarised by both the owner of the PI and his / her manager? Has there been a clear dispute resolving mechanism agreed and signed on by the manager and the managed? Has the whole PI now been properly documented, signed by the responsible manager? Has a copy of each PI been forwarded to the HOD and DPSA (for SMS managers as applicable)? Are the managers one above checking how their own reportees are managing the performance of those that are under their supervision? Is there constant adherence to the PI as an instrument for managing individual and organisational performance? Are there enough provisions for formal and informal performance reviews to avoid delayed and hence meaningless feedback? Are all reviews being conducted on time, based on an equal and fair discussions between supervisor and employee or are the playing fields still uneven. Are there good and usable records of performance being kept and used? Do they reflect corrective action that must be taken or has been taken in the past? Are the results of performance and competency assessment applied in accordance with the agreed PM policy of the department? If not, what is the PM committee, the HR / Corporate Services Units and HoD doing about it? Are the lessons and incomplete objectives being properly rolled over or appropriately discarded at the end of the planning year in line with adjustments in the strategic plan? 9.6 Step-by-Step Development of a PMS rollout The directorate charged with implementing the PMS in each department must draw up an annual roll-out plan and communicate it in the tandem with the communications directorate of the Provincial Government. In addition, it is strongly suggested that a Provincial Government PMS Annual Implementation Plan be developed by Transversal HR and be communicated to all employees via departmental structures as well as the Provincial Communications Directorate. This plan must be reviewed annually and communicated annually. In this communication, the linkage between PMS and the Premier s Service Excellence Awards must be continuously brought closer through messages and occasions that drive both processes. The aim here is to ensure that The Premier s Service Excellence Awards process is seen for what it is; an award ceremony that rewards what the PMS has produces. It is one big way of managing the PMS outcomes. 104
Annexure 1: Example of memorandum of understanding on performance in any Limpopo Provincial Department (a) For workplan type of memorandum of understanding (b) For standard framework type of memorandum of understanding on performance. Note: Parts A, C and D are covered by the same illustration as the formats processes are identical. Only parts B are different. The part B of the Standard Framework type is illustrated as part B(2) after Annexure 2 below. Part A: Generic Agreement on performance For the period: 01 April 2004 to 30 March 2005 This agreement sets out the expectations of the head of the Department of xxxx (represented by the General Manager) for the senior manager. Management and Community Services performance as well as the undertakings of the same by the senior manager: Management and Community Services. It further provides a basis for a systematic evaluation of the performance of the Senior Manager: Management and Community services in achieving objectives set out in the Department Strategic and Management Plan (FY: 2004-2005). Job Description and Employment Contract (12 th June 2003-11 th June 2007). 1. Job details Salary No: XXXXXX Rank: Manager: Community Services Sub- directorate Location: Polokwane. Post reports to: Senior Manager Date of first appointment to this department: 1 st June 1999 Date of appointment to this position: 1 st November 2003 Appointment status: Permanent. 2. Job Purpose In the main, the purpose of this job is to: - Ensure that the stakeholder participation in all areas designated by the Strategic and Management Plans are met. - Provide management support to all department s outreach and public service setting of, review and communication of service standards. - Conduct and report on departmental service delivery performance assessments in a systematic way as agreed and aligned to existing PMS model that also meets Treasury requirements. 105
3. Job Functions As fully described in letter of appointment to this (herewith attached) as well as item 2 above. 4. Duties, responsibilities, and Accountability 4.1 List the duties as in the in job description, e.g. managerial, operational etc, even if it is only 3-4 lines done. - As in 2 above - Also give all support to the Senior manager and those that report to the incumbent in performing performing the directorate and department s mission. 4.2 The resources to be managed are the following: 4.2.1 Human resources: All employees of the Management and Community Services Directives as indicated on the latest organogram of the Department namely: - 2 deputy managers - 3 staff members - 1 vacancy for 1 staff member to be filled this FY. 4.2.2 Financial Resources The operating budget for the sub- directorate is R1 500 000. The operating budget for the finance department is R5 500 000 Reporting Requirements/lines and assessment lines 5.1 The manager shall report to the senior manager for all parts of this agreement in all aspects and at regular intervals as indicated in this agreement (on a quarterly basis). The manager shall: 5.2 Alert the Senior manager to any emerging factors that could preclude the achievement of any performance agreement undertakings. 5.3 Establish and maintain appropriate internal controls and reporting systems in order to meet performance expectations; and 5.4 Discuss with the Senior Manager all progress on achieving the undertakings on this agreement, on revision of targets if necessary, performance improvement plans and outcomes of good or inadequate performance in terms of this agreement 6. Performance Plan (See part B of P1 Below) This part forms the individual performance plan for the incumbent, which shows all the relevant objectives, indicators and targets as agreed during the discussions leading to the conclusion of this agreement. 106
7. Competency Profile (See Part C of the PI Below) The following competences have been highlighted as crucial in this role; - Excellent verbal & written Communication skills - Attention to detail & accuracy - Report writing - Budgeting & business planning skills - Project management The meaning and standards for some of useful and commonly used generic competences is given in annexure 2 below. This provides a useful reference point. 8. Competence-based individual development plan (See part D of P1 Below) This is also one aspect of the P1 that will be measured quarterly and during progress review discussions. The development plan listed hereto has been discussed and agreed by the manager and the senior manager. The required competences are crucial in ensuring that the manager can deliver the best service to the public and her customers in terms of her result areas. 9. Performance reviews and evaluation 9.1 Quarterly performance reviews The quarterly review will be conducted between the incumbent and the senior manager. Performance will be reviewed against the set objectives and the performance targets as indicated in the key performance plan outputs as well as the competences targeted for acquisition during the financial year. The review discussion will address all activities within the key outputs scheduled and consider opportunities and constraints being experienced. Where necessary a revised output/target will be agreed upon. Results of the quarterly progress reviews will be documented and signed on the form provided. 9.2 Annual Evaluation The annual evaluation will be conducted between the Manager and the Senior Manager. Annual evaluations and ratings will be recorded on the official evaluation forms and signed by both parties to this agreement. The final annual performance evaluation will take place not later than the end of the first month following the end of the financial year (April 2005) 10. Timetable for Assessments Progress reviews and feedback sessions as well as the annual evaluation session will take place on the following dates: 107
1 st Quarter: During the end of July 2004 2 nd Quarter: During the end of October 2004 3 rd Quarter: During the end of January 2005 4 th Quarter: During the last week of April 2005 11. Performance Outcomes and Rewards 11.1 Performance on agreed original or revised targets will attract one or other of the following outcomes; 11.2 In terms of clause xxx of the incumbent s employment agreement and the provincial PMS, the annual performance bonus will be calculated as stated in the PMS policy. 11.3 If there has been none or poor performance is respect of any of the objectives mentioned in this memorandum of understanding on performance caused by circumstances beyond the control of the manager, she/he will ensure that the relevant targets are adjusted and agreed upon with the Senior Manager accordingly before the evaluation discussion session at the end of the year. 12. Dispute settlement 12.1 Any disputes about the incumbent s key responsibilities, priorities, methods of assessment and/or any substantive procedural aspect of this agreement will be dealt with in terms of clause 9 of the incumbent s employment agreement, all in line with the prevailing labour laws of South Africa. 12.2 In any case, the first point of mediating any dispute will be with the General Manager, up to HoD and eventually EA/MEC before any other external persons or bodies are involved. 12.2.1 In the event of any dispute arising out of the interpretation or application of this agreement, the parties agree to submit the dispute to mediation and arbitration. 12.2.2 The arbitrator shall be a suitably qualified person agreed to by all the parties to the dispute and failing which, one appointed by the CCMA/Labour Court. 12.2.3 The decision of the arbitrator shall be final and binding on all parties. 12.2.4 The arbitrator s costs in respect to the arbitration shall be divided equally between the parties, save that the arbitrators shall be authorized to make a special order to directing any parties to pay any costs involved in the arbitration on grounds of any frivolous or vexatious on the part of such party. 13. Amendment of Agreement Amendments to the agreement shall be in writing and can only be effected after discussion and agreement by both parties. The amendments must always be attached to the original agreement for later referencing. 108
14. Signatures of parties to the agreement 14.1 The contents of this document have been discussed and agreed with the senior manager, Management and Community Services. 14. 2 The contents of this document have been discussed and agreed with the manager, Community Services Sub- directorate. As Head of Department, I sign this agreement on behalf of the Department. Name of employee: Name of Supervisor/Manager: Name of Overseer Signature of employee: Signature of supervisor: Signature of Overseer Date signed: Date signed: Date signed: 109
Example of Part B (1 for Workplan Type) of PI Name of Directorate / Business Unit: Management and Community Services Directorate Sub - Directorate: Community Services Balance scorecard perspective: Service delivery List of outcomes (taken from strategic goals) 1. Continuously Increasing Levels of community participation among all stakeholders in departments governance processes 2. Well documented and communicated service level agreements with public and other customers 3. Developing human resources 4. Continuously improving sub-directorate List of Performance Targets for each outcome listed opposite 1. At least 15% increase in number of feedback reports from lower economic sectors of the community 2. Perceptible increase in quality of suggestions made by members of the public used in current and future strategic plans 3. All service standards agreed, documented and communicated among internal and external stakeholders 4. 100% rise or growth in time and money invested for innovations and human resource development Key Result Area Mgt Plan Reference Weight in % Performance Management Information Indicator Baseline For Indicators Means of Target For each Quarter End Verification/ Outputs Quarter 1 Quarter 2 Quarter 3 Quarter 4 Resources Required 110
1.0 Stakeholder participation 2.0 Monitor and evaluate Departmental Service Delivery Objective 1.3 Objective 1.4 25 Number of forum meetings held Increase in attendance of forum meetings Quality of participation (debates, presentations and usable suggestions for participating stakeholders) 25 Number and quality of monitoring reports Customer satisfaction levels Service standards No forums in place, no meetings as yet held no service standards agreed Previous reports not compliant to BSC and show very little alignment with strategic and management plans of the department Invitations and HOD approved Agendas, and signed minutes of forum meetings Document indicating current measures and baselines for the next FY All 3 quarterly and one end of year report fully compliant with formats agreed Customer survey samples and full analysis reports Forum structure approved by senior manager Service standards agreed with stakeholders and approved by senior manager Stakeholder map and communication plan concluded and implemented. First quarter report complying with suggested formats. First forum meeting held and implementation training given Communication plan completed and implemented. Second quarter report acclaimed as easier and better aligned by all compilers and readers 2 forum meetings held in compliance with standards 10% increase in numbers of stakeholders participating Third quarter report acclaimed as adding clarity, readability by compilers and users including internal auditors Total of 5 forum meetings held by end of year and key issues raised passed onto strategic planning team to include in next strategic plan Baseline measurement of quality of inputs and suggestions made 50% increase in number of participants from targeted stakeholders attending 80% or more clients satisfied with new plans and reports. Community outreach sub directorate staff R80 000 R100 000 111
3.0 Budgeting and control 4.0 Human Resources Management Objective 2.1 Objective 3.3 20 Availability of the 2004/2005 MTEF budget inputs for subdirectorate Timelines and compliance of financial statements in line with Directorate Budgets. 25 Number / % of staff are appointed and % of directorate performance targets being met Number of staff properly matched in positions in terms of job and individual competences No budget inputs as yet for the next FY No staff competence audit yet done Existing staff of have to be audited and new staff appointed on clearly assessed for competencies. All new sub directorate positions created in terms of new organisational structure are filled. Complete budget as requested by senior manager in line with finance Directorate timelines at appropriate times. all subdirectorate allocations and delegations by start of next FY List of updated staff positions that have been filled and individuals placed according to the new directorate structure. Sub directorates allocations and budgets priorities signed off comprehensive project budget allocation submission of quarterly financial statements to director Competence audit and individual staff movements or job reassignments finalisation Sub- directorate's inputs have been submitted for next FY New positions created are advertised and selections and appointments finalised. Next FY budget of sub committee has been incorporated into directorate budget and submitted to finance directorate in compliance with MTEF All sub directorate staff oriented or re-oriented. Receipt of and full allocation of budget allocations from finance directorate and complete all sub directorate allocations to projects for the next FY All staff in place and contributing to the sub directorate s core functions( 90% or more of targets being met) All deputy managers No additional funds or other resources required Each manager 112
5.0 Increased innovativeness within directorate and department Objective 4.4 25 Increase in number of new systems or processes introduced which have shown 20% or more improvements in service delivery Level of staff and customer satisfaction with new systems introduced in the directorate Budget of R100 000 in place for directorate to do or commission research Innovations meeting the standard recorded In last two years in this directorate 30% level of satisfaction recorded Last budget allocated was not used at all for research purposes Innovation proposals signed off. Progress reports and impact changes of each innovation. Surveys samples and analysis reports showing percentage shifts in customer satisfaction Audited (at least internally) financial statement. Agree on innovation standards and measurements. Also draft innovation proposals accepted and signed off by the sms manager Report on research effort being budgeted and planned for. 20% of budget committed or used Innovation progress tabled and results evaluated with suggested changes indicated. 50% of budget used Innovation reports showing any services delivery changes in identified areas. 30% level of satisfaction reached already Final research and impact of innovation report. Indication of new practices suggested and approval of new process or system if there is such already designed 80 % and above level of satisfaction. 100% budget of own sub directorate utilisation. Customer care improvement and research unit R30 000 research budget 113
6.0 Human Resource Development 7.0 PMS implementation Objective 4.2 Objective 3.5 15 Competence audit % increase in number of study leave granted per individual per quarter % increase in component or the T&D budget allocated to the development (not training) related interventions. 15 % of sub directorate staff implementing their functions according to the PMS approved by the province No audit ever done in this directorate to date Current levels at 1.5 days study leave per quarter. 5% is current percentage expenditure of the D in the T & D budget interventions. Currently old staff have completed Pls which were not adequately compliant with new formats and were not adequately strategically aligned. Directorate development unit supported by HRD directorate of the department. Performance Management Quarterly and Management Reports that focus on evaluation of target attainments not processes. Competency audit completed and mapping of competence gap closure plans agreed and aligned to organisational skills development plans 30% increase in study leave days granted per person. % increased to 15% of T & D budget. All staff completes their Pls by end of the first month. All performance is henceforth managed in terms of the new PMS of the province Staff matched with competences found or engaged in interventions to close gaps found 50% increase in study leave days taken % increased to 20% of expenditure in the T & D budget Quarterly performance reports comply with PMS system and show 10% improvement in service delivery targets met 50% of all competence gaps identified have been closed and competence evidence well met. 75% increase in study days granted per individual. % increased to 30% of expenditure on the D in the T & D budget. All new staff complete their performance agreements according to the directorate management plan Quarterly reports now meet all targets by all employees as per their Pls, except new ones. At least 80% competence gaps have been closed and rest have a clear acquisition plan for completion in the first quarter of the following year 150% increase in study leave granted( annual target) % increased to 40%( as maximum targeted) 100% of sub directorate and individual targets have been met and reported accordingly in terms of the new PMS R100 000 for audit and training and development in the directorate. R40 000 for incentives and increments 114
Final Score As Appropriate for Perspective 150% All sub directorate managers and their staff. R400 000 Name of employee: Name of General Manager: Name of Overseer: Signature of employee: Signature of General Manager: Signature of Overseer: Date signed: Date signed: Date signed: 115
COMPETENCY PROFILE FOR FY: The competency has been divided into three because employees (sms and non-sms) tend to focus only on what has been given or suggested in the manual without being job specific or relevant. In section 1.0, list all those competences which you possess which are not specific to your job title but rather more to your level of responsibility, e.g. those that are the same for every sms, or manager, practitioner, nurse, engineer grounds person, etc,. These must be agreed on with the unit or branch or HoD in the case of sms managers before they are listed. Ideally a list of five priority generic competences must be listed. In section 2.0, list all those competences which you possess that qualify you for the current job that you are, e.g. financial manager, PMS officer etc. In section 3.0, list all those competences which, though not directly related to your current job level of responsibility are useful now or in the future e.g. level of numeracy, general knowledge gained experientially or through training. These just make it possible to achieve more in your workplace or career development. INDIVIDUAL COMPETENCY PROFILE List of own current Competencies Current level of competency (1 3) JOB COMPETENCY PROFILE Is this competence required for the job 1.0 Generic Competences (those competences that are relevant to all employees in this rank or by virtue of being employed in this department) 1.1 Strategic Capability and Leadership 1 Yes 2 1.2 Programme and Project Management 2 Yes 2 1.3 Financial Management 2 Yes 2 1.4 Change Management 2 Yes 3 1.5 Knowledge Management 2 Yes 2 1.6 Service Delivery Innovation 2 Yes 3 1.7 Problem Solving and Analysis 2 Yes 3 1.8 People Management and 2 Yes 2 Empowerment 1.9 Client Orientation and Customer Focus 2 Yes 3 1.10 Communication 2 Yes 3 1.11 Honesty and Integrity 2 Yes 3 1.12 Team Building and Leadership 1 Yes 2 2.0 Job Specific Competences (those competences that distinguish the incumbent of this job from any other) 2.1 Setting and agreeing on Service 2 Yes 3 Delivery standards 2.2 Public Mobilisation and Participation 1 Yes 3 2.3 Organisational Performance 2 Yes 3 Measurement and Report Writing 2.4 Batho Pele Principles and 2 Yes 3 Implementation Planning 2.5 Planning (goal setting) visualization 2 Yes 2 2.6 Negotiation and conflict Resolution 1 Yes 3 Skills 3.0 Other Competences Deemed Important / Useful for Career and Performance Enhancement 3.1 Management Numeracy 1 Yes - 3.2 Public Speaking 2 Not particularly 2 3.3 Procedure of Meetings 1 Useful but not a requirement 2 Level of Competency Required for the job. (as explained etc) 116
Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 117
Part D: COMPETENCE-BASED INDIVIDUAL DEVELOPMENT PLAN FOR FY OVERALL WEIGHTING OF 20% FOR EVALUATION PURPOSES. Competence required (from gaps identified in the profiling process above For which KRA is this competency required Weighting in % Current level of competence (taken from competency profiles) Target level of competence (select from level 1-3 from competency profiles) Timetable for gaining targeted competence Activities to close competence gaps 1. Generic Competences (description as for 1. in annexure C above) Weighting of the Competences 1.1 Client orientation and Customer Focus 1 13 2 3 By end of first quarter Internal training and SAMDI workshop 1.2 Service Delivery 1 13 2 3 By end of first Internal training and Innovation quarter SAMDI workshop 1.3 Strategic Capability All 10 1 2 By end of second Internal training and and Leadership quarter SAMDI workshop 1.4 Change All 10 2 3 By end of second External Management quarter Programme run by local University 1.5 Problem Solving All 9 2 3 By end of quarter 3 Internal and Analysis 1.6 Communication All 10 2 3 On-going Self-study and throughout the internal training year, assess quarterly 1.7 Honesty and Integrity 1.8 Team Building and leadership All 10 2 3 On-going assess quarterly on deviations All 10 1 2 By end of third quarter Self study, internal management seminars Directorate appointed service provider Total 85% All above achieved R5000 by end of quarter 4. 2.0 Setting Competences (as described above in annexure C) Weighting of this section 2.1 Setting and 1 15 2 3 By end of first Internal and already 0 agreeing on Service Delivery standards quarter paid for service provider 2.2 Public Mobilisation 1 10 1 3 By mid of second Attend training by R2000 and Participation quarter local University 2.3 Organisational Performance Measurement and Report Writing 3 15 2 3 By end of quarter Internal training 0 Resources Required for this development to take place R1000 R1000 R1000 R2000 0 0 0 118
2.4 Batho Pele Principles and Implementation Planning 2.5 Negotiation and Conflict Resolution Skills 1 and 3 13 2 3 Continuous improvement assessed and reported. All 7 1 3 By end of third quarter DPSA and SAMDi training External Service Provider in JHB Sub-total 60% R5500 3.0 Other Competences 3.1 Procedure of Meetings All 5% 1 2 By end of the year (quarter 4) Self-study and observation Grand Total 150%s R 500 R1000 R2500 R500 for study guides Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 119
Part B(2): Standard Framework Type of Memorandum of Understanding on Performance For A Nurse (Shift Leaders) in a Ward Name of Business Unit: Mankweng Hospital Complex Part B of PI: performance Plan Weight: 80% Key Result Area (KRA) Weighting in % Outputs / Actions Management Plan Reference 1.0 Patient Care 1.2 50% Compile and get approval for a monthly ward patient care plan. Supervise staff or nursing team according to the roster 2.0 Management of Patient Health Information 1.3 50% audit patient care information as recorded by nurses and doctors update and report to Ward sister-in-charge or matron all irregularities and reasons thereof Performance Standards Agreed for Each KRA that must be maintained all the time Availability of a signed and daily updated roster and patient care plan Summary of team reports for each ward and patient meeting latest basic Nursing Professionals Guidelines Indication of nursing staff performance, training points and action taken in attending to unique patient cases weekly audit report signed by ward sister-incharge or matron as well as doctor doing rounds updated reports of deviations according to prescribed formats Resource Requirements (include physical, human, and financial) nurses available in the team for each shift all medication prescribed is available and requisitioned on time As above 120
3.0 Administration 2.0 50% order all requisite materials for the ward a week in advance or no later than 2 days in new cases with stable conditions check and record usage, adequacy and quality of materials provided in the wards during own shift conclude all performance agreements of staff in the shift team as per PMS guidelines Total 150% signed order book stock of provision / materials made weekly assessment reports of materials provided and used all PIs of staff are fully completed and compliant with the PMS guidelines Self. Supported by nursing shift team and ward sister-incharge / matron Name of employee: Name of Supervisor / Manager: Name of Overseer (manager s Supervisor) Nature of Employee: Signature of Supervisor / Manager: Signature of Overseer: Date Signed: Date Signed: Date Signed: 121
Annexure 2: Some criteria for assessing generic core competencies Criteria 1. Strategic Capability and Leadership 2. Programme and Project management Standards - Gives direction to team in realizing the organizations strategic objectives - Impacts positively on team morale, sense of belonging and participation - Develops detailed action plan to execute strategic initiatives - Assists in defining performance measure to evaluate the success of strategies - Achieves strategic objectives against specified performance measures - Translates strategies into action plan - Secures cooperation from colleagues and team members - Seeks mutual benefit/win-win outcomes for all concerned - Supports stakeholders in achieving their goals - Inspires staff with own behaviours walks the talk - Manages and calculates risks; - Communicates strategic plan to the organization; and - Utilises strategic planning methods and tools - Establishes broad stakeholder involvement and communicates the project status and key milestones - Defines roles and responsibilities for project team members and clearly communicates expectations - Balance quality of work with deadlines and budget - Identifies and manages risk to the project by assessing potential risk and building contingencies into project plan - Uses computer software programmes to help manage project; and - Sets and manages service level agreements with contractors 3. Financial Management - Demonstrates knowledge of general concepts of financial planning, budget and forecasting and how they interrelate - Manages and monitors financial risk - Continuously looks for new opportunities to obtain and save funds - Prepares financial reports and guidelines based on prescribed format; - Understands and weights up financial implications of proposition - Understands, analyses and monitors financial reports - Allocates resources to established goals and objectives - Aligns expenditure to cash flow projections 122
- Ensures effective utilization of financial resources; - Develops corrective measure/actions to ensure alignment of budget to financial resources; and - Prepares own budget in line with the strategic objectives of the organization 4. Change Management - Performs analysis to determine the impact of changes in the social, political and economic environment - Keeps self and other calm and focused during times of change or ambiguity - Initiates, supports and encourages new ideas - Volunteers to lead change efforts outside of own work team - Consults and persuades all the relevant stakeholders of the need of change - Inspires and builds commitment within own area for the change by explaining the benefits of change and the process of implementing the change - Coaches colleagues on how to manage change - proactively seeks new opportunities for change - Identifies and assists in resolving resistance to change with stakeholders - Designs specific projects to enable change that are aligned to the organizational objectives; and - Uses the political, legislative and regulatory processes of the Public Service to drive and implement change efforts 5. Knowledge Management - Uses appropriate information systems to manage organizational knowledge - Uses modern technology to stay abreast of work trends and information - Evaluates information from multiple source and uses information to influence decisions - Creates mechanisms and structures for sharing of knowledge in the organization - Uses libraries, researchers, knowledge specialists and other knowledge bases appropriately to improve organizational efficiency - Prompts the importance of knowledge sharing within own area - Adapts and integrates information from multiple sources to create innovative knowledge management solutions; and - Nurtures a knowledge-enabling environment 6.Service Delivery Innovation - Consults clients and stakeholders on ways to improve the delivery of services - Communicates the benefits of service delivery improvement opportunities to stakeholders - Identifies internal process improvement opportunities to SDI 123
7. Problem Solving and analysis 8. People Management and Empowerment 9. Client Orientation and Customer Focus - Demonstrates full knowledge of principles of service delivery innovations; - Identifies and analyses opportunities where innovative ideas can lead to improved service delivery. - Creates mechanisms to encourage innovation and creativity within functional and across the organization; and - implements innovative service delivery options in own department/organization - Explains potential impact of problems to own working environment - Demonstrates logical problem solving approach and provides rationale for proposed solution - Determines root cause of problems and evaluates whether solutions address root causes - Demonstrates objectively, thoroughness, insight fullness, and probing behaviours when approaching problems; and - Demonstrates the ability to break down complex problems into manageable parts and identify solutions - Seeks opportunities to increase contribution and level of responsibility - Supports and respects the individuality of others and recognizes the benefit of diversity of ideas and approaches - Delegates and empowers other to increase contribution and level of responsibility - Applies labour and employment legislation and regulations consistently - Facilitates team goal settings and problem solving - Recognises individuals and teams and provides developmental feedback in accordance with performance management principles - Adheres to internal and national standards with regards to HR practices - Deals with labour matters - Identifies competencies required and suitable resources for specific tasks - Displays personal interest in the well being of colleagues - Able to manage own time as well as time of colleagues and other stakeholders; and - Manages conflict through a participatory transparent approach - Develops clear and implement able service delivery improvement programmes - Identifies opportunities to exceed the expectations of customers 124
- Designs internal work processes to improve customer service - Add value to the organization by providing exemplary customer service; and - Applies customer rights in own work environment 10. Communication - Expresses ideas to individuals and groups both in formal and informal settings in an interesting and motivating way; - Receptive to alternative viewpoints - Adapts communication content and style according to the audience including managing body language effectively - Delivers messages in a manner that gains support, commitment and agreement - Writes well structured complex documents - Communicates controversial sensitive messages to stakeholders tactfully - Listens well and is receptive; and - Encourages participation and mutual understanding 11. Honesty and Integrity - Conducts self accordance with organizational code of conduct - Admits own mistakes and weaknesses and seeks help from others where unable to deliver - Reports fraud, corruption, nepotism and misadministration - Honours the confidentiality of matters and does not use it for personal gain or the gain of others - Disclose conflict of interest issues - Establishes trust and shows confidence in others - Treats all employees with equal respect - Undertakes roles and responsibilities in a sincere and honest manner - Incorporates organizational values and beliefs into daily work - Uses work time for organizational matters and not for personal matters; and - Shares information openly, whilst respecting the principle of confidentiality 125