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PERFORMANCE MANAGEMENT POLICY AND STRATEGY

A. FRAMEWORK INTO WHICH THIS DOCUMENT FITS

1. On 20 March 2000, the Council of Stellenbosch University accepted a document

titled A Strategic Framework for the Turn of the Century and Beyond, in which the

University’s mission, vision, values and objectives are set out.

2. Consequently, the Council accepted an Employment Equity Plan on13 December

2000 according to which the point of departure is that employment equity is a

strategic priority of the University.

3. The policy set out below and the procedures contained in it must be interpreted and

applied within the context of the principles and points of departure of the above-

mentioned documents and will be subject to these at all times.

B. FOCUS AREAS The focus areas of the University (as determined from time to time) must be taken into

consideration when staff members are appointed or promoted.

1. Context

The point of departure of performance management within the University is the

establishment of a process that contributes to the execution of the mission (raison d’être)

and vision statement, as contained in the business plan and strategic framework of the

University.

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The mission, as contained in the business plan and strategic framework of the University:

To create and sustain, in commitment to the academic ideal of excellent scholarly

and scientific practice, an environment in which knowledge can be discovered, can

be shared, and can be applied to the benefit of the community.

The vision statement, as contained in the business plan and strategic framework of the

University:

i) Excellence

The US is an academic institution of excellence and a respected knowledge partner

that is regarded internationally as an institution of excellence.

ii) Scholarship

The US contributes towards building the scientific, technological and intellectual

capacity of Africa.

iii) Role playing

The US is an active role player in the development of the South African society and

plays a positive role in the solution of the country’s problems.

iv) Comfortable with diversity

The US has a campus culture that welcomes a diversity of people and ideas.

v) Afrikaans.

The US promotes Afrikaans as language of teaching and science in a multilingual

context.

2. PRINCIPLES OF PERFORMANCE MANAGEMENT Performance management at the US will contribute to the realisation of the vision and

mission of the US if it lives up to the following principles:

i) The process must bring the activities of all individuals within the US in line with the

overall mission, vision and strategic objectives of the US.

ii) The process must contribute to the building of the capacity of the US to excel in the

long term (it is therefore based on a strong development component).

iii) The process must be a participatory one that empowers individuals.

iv) The principle of continuous development and quality improvement must form the

basis of the performance management process. A process of quality assurance

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and quality management must be instituted to evaluate the implementation on a

continuous basis.

v) The management of the ownership of the performance management process must

always be based in the individual, the direct head and Human Resources.

Implementation should be done up to the lowest level possible.

vi) The process of performance management underwrites the principles of fairness and

equity.

vii) The principles and format of the process must be applied in a standardised manner

throughout the US.

3. DEFINITION OF PERFORMANCE MANAGEMENT Performance management is a systematic approach to managing the process according to

which the performance and development of individuals and entities within the institution

are actively managed to ensure that the strategy and vision of the US are achieved.

Performance management therefore entails:

i) The definition of the performance that is being managed (design);

ii) The process of performance management (implementation); and

iii) The management of the consequences of the performance (integration).

4. OBJECTIVES OF A PERFORMANCE MANAGEMENT SYSTEM

i) The most important objective of the performance management system is to achieve

the performance objectives of the University.

ii) To raise the work performance of individuals to a higher level and to develop the

capacity and ability of the University to sustain performance.

iii) Individual development is a central, important component of the management of

performance.

iv) Individual accountability and responsibility for individual performance, as well as

development.

iv) The establishment of a framework for effective and regular performance feedback.

v) The establishment of a framework for individuals to take ownership of their own

career planning and management by focusing on development initiatives.

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vi) The creation of management information that enables the organisation to take

decisions with reference to other Human Resource processes, such as

remuneration and training, for example.

vii) To identify underperformance and to implement and justify the resultant corrective

follow-up actions.

5. INTEGRATION OF FOUR LEVELS OF PERFORMANCE (PERFORMANCE OF INDIVIDUALS AND STRUCTURES WITHIN THE ORGANISATION)

Performance management must be integrated in such a manner that the “golden thread” is

visible throughout the University’s strategy down to each individual contribution. For this to

be achieved, performance must be managed on the following four levels:

i) University

ii) Faculty and Support Service environment

iii) Department and Division and

iv) Individual

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5.1 University The strategic framework and business plan of the University serve as the context within

which the expected performance by each environment, department/division and individual

is defined.

Strategic framework and objectives to the US (Business Plan)

Strategic objectives of Faculties and Support Service environments

(Business plans and service level lagreements)

Strategic objectives of Departments/Divisions (Business plans)

Contributions from individual roles (In line with strategic objectives)

Outputs produced by individual and skills required for the role

Horizontal integration with Human Resources management processes

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The strategic objectives of the US are implemented by establishing objectives for the

environment and department/division that are more operational.

At present, however, the business plan only provides a strategic framework and the

process of institutional planning contributes to the devolution of specific objectives to the

different faculties and support service environments.

5.2 Faculties and Support Service Environments

The strategic direction and objectives of the University should be interpreted actively by

each faculty and support service environment. The contribution of the faculty or

environment to the strategic objectives must be defined so that divisional heads and

departmental chairpersons have a framework within which the divisions/departments can

function in order to make their respective contributions.

5.3 Department/Division

In the pursuance of the above-mentioned objectives to realise the raison d’être of the US,

the greatest demands on a performance management system are made by departments

within faculties and service divisions in terms of their unique aspects that have to be

accommodated. The contributions that are made at the departmental/divisional level will

consequently be diverse. However, the contributions of the divisions/departments serve

as the building blocks of the environment/faculty and the process and structure of the

department and division’s business plan (if one is preferred) should therefore be of such a

nature that it can accommodate these unique aspects, yet still define the generic

contribution of the faculty or environment.

5.4 Individual

Individual objectives are set out in such a manner that they result in the operational

execution of the departmental/divisional business plan. The roles within the departments

and divisions must be defined very clearly in terms of the outputs that have to be achieved,

as well as the requirements for the specific role.

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The definition of the role consists of three components:

5.4.1 Role definition in terms of the overall objective of the position.

5.4.2 The outputs of the role:

i) KPAs (Key performance areas)

ii) Performance indicators

iii) Performance objectives

5.4.3 The requirements of the role:

5.4.3.1 Competencies:

i) Knowledge

ii) Skills

iii) Qualifications

All the role definitions are used to establish an output framework for the entire University.

This enables the institution to refine the definitions of the roles as the strategic direction of

the University changes.

The role definitions are also used to establish a framework of competencies. The

competency framework can then be used to manage the organisation-wide competencies.

The competencies that are expected from staff are usually classified into categories of

competencies, which include the following:

i) Leadership competencies

ii) Management competencies

iii) Cultural competencies

iv) Self-development and self-management

iv) Strategic competencies

v) Functional competencies

vi) Technical/professional competencies

A measuring scale has to be used and there is broad support for a 5-point scale.

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6. MANAGEMENT OF PERFORMANCE (IMPLEMENTATION OF THE

PERFORMANCE MANAGEMENT PROCESS) The key aspects of the debate on performance are accountability and responsibility.

When the individual accepts accountability and performs in relation to specific

performance targets, the result will be organisational performance.

The key elements of individual performance are the work agreement and the feedback on

and evaluation of performance.

STEP 1: STATEMENT OF OBJECTIVES WITHIN THE ENTITIES OF THE UNIVERSITY

Statement of objectives within the entities of the University

Role definition • outputs • competency requirements

Entering into individual work agreement • outputs • competency requirements and PDP

Process of performance feedback and performance development

• outputs • competency requirements and PDP

Performance feedback Outputs - KPAs

Performance development Competencies (PDP)

Final Performance Evaluation

Management of consequences of performance and non- performance

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Aim:

1. The establishment of clear, measurable and realistic objectives for the University,

environments and departments/divisions should establish a framework within which

the individual work agreement can be planned.

2. The establishment of business plans within the different levels of the US, if this is

preferred, contributes to bringing all the activities in line with the strategy of the US.

Process: 1. The statement of objectives for the University, environments and

departments/divisions takes place through the establishment of clear business

plans/roles at different levels within the US.

2. The purpose of the business plans is to elucidate the raison d’être of the entity, as

well as to create clear objectives for the entity.

3. The business plan should provide at least the following structure:

i) An interpretation of the environment within which the entity functions (internal

and/or external).

ii) A definition of the vision, mission and performance objectives of the entity.

iii) A definition of the performance indicators that will be used to evaluate whether

or not the entity has achieved its objectives.

iv) A definition of the performance level or performance target that must be

achieved within the framework of the performance indicators.

v) The allocation of accountability and responsibility to individuals within the

entity in order to the achieve performance objectives.

Benefits: 1. Objectives are stated within the context of the environment within which the entity

functions. The business plan of the US defines the context for the environments

and departments/divisions.

2. All role players are provided with a clear focus on what the priorities of the

University or environment are.

3. Individuals are empowered to realise themselves within a clearly defined context.

4. The levels of required performance have already been defined.

5. It offers an opportunity for self-management and self-motivation.

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6. Clear accountability is allocated to individuals in order to achieve the objectives of

the entity.

Roles and responsibilities: 1. Deans and environment heads:

i) The creation of unique business plans for the faculties and support service

environment concerned that are in line with the business plan of the US.

ii) Facilitating the creation of the business plans, if so preferred, for departments

within the faculties and divisions within the support service environments.

iii) Promoting participation in the compilation of the business plan by staff

members in order to ensure insight and buy-in.

2. Departmental chairpersons and divisional heads:

i) Interpretation of the business plan of the faculty and support service

environment.

ii) The creation of a business plan for the department or division that is in line

with the business plan of the faculty/environment.

iii) Promoting participation in the compilation of the business plan by staff

members in order to ensure insight and buy-in.

3. Individuals:

i) Providing input into the business plan in which they are involved.

ii) Accepting accountability as agreed upon in the business plan.

STEP 2: DEFINITION OF INDIVIDUAL ROLES Aim: 1. The creation of a clear definition of the roles within the environment that are needed

to execute the operational objectives of the environment.

2. The definition of the role includes:

i) Key performance areas (KPAs): The areas on which the focus should be and

which will be used to evaluate the performance of the person in the particular

role.

ii) Role requirements: The definition of the competencies (knowledge and skills)

and qualifications that are needed in the post to successfully achieve the

KPAs.

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3. The definition of the role is used as a guideline for the creation of work agreements.

4. The definition of performance standards and performance indicators that can be

applied generically.

Process:

1. The definition of the role is generic in nature and is compiled by the relevant

chairperson/head when needed.

2. The definition of roles is done within the framework of the strategic objectives of the

US and of the environment.

3. The definition of roles is based on a standard format that is used for each role

definition within the US. The role definition must make allowance for uniqueness

within roles and environments.

4. The definition of roles is discussed with the individual concerned in order to ensure

acceptance.

Benefits: 1. The definition of roles ensures that individual contributions are in line with the

strategy of the US.

2. The definitions of roles provide the framework for quick and easy compilation of

work agreements.

3. The standardisation of role definitions contributes to the process of standardisation.

4. The standardisation of the format of role definitions facilitates the availability of

management information for further decision making.

Roles and responsibilities: 1. Environment heads:

i) Dedication to the principles and format of the strategy.

ii) Creation of role definitions for each role in the structure.


i) Interpretation of the business plan of the environment.

ii) Creation of role definitions for all individual posts within the environment.

iii) Promotion of participation in the compilation of the definition of individual roles.

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iv) Bringing the individual objectives in line with the objectives of the

department/division.

3. Individuals:

i) Making contributions to the definition of the role in which they are involved.

ii) Accepting accountability as agreed upon in the role definition.

4. Human Resources:

i) Providing guidance and advice to environment heads for the compilation and

application of role definitions.

STEP 3: ENTERING INTO INDIVIDUAL WORK AGREEMENTS Aim: 1. The work agreement represents the agreement that is entered into between the

individual and the direct supervisor/manager or chairperson to determine the level

of expected performance (objectives).

2. The work agreement is the beginning of the individual performance management

process and creates an opportunity to ensure that the divisional/departmental

objectives and the individual objectives are in line with one another.

3. The work agreement must refer to both:

i) the outputs that are expected; and

ii) the competencies in terms of the personal development objectives, as

contained in the personal development plan (PDP).

4. The work agreement determines the required level of performance.

Process: 1. The role definition is used as a framework for an interactive discussion between the

departmental chairperson/head and the individual on the compilation of the work

agreement.

2. The head/chairperson studies the business plan and makes proposals on the basis

of the expectations of each individual.

3. The individual makes proposals relating to the contribution that will be made.

4. The individual and the head/chairperson agree on specific objectives that will be

achieved for each KPA, and on the performance indicator(s) related to these.

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5. The individual and the head/chairperson agree on the priorities of the KPAs and the

weightings that are allocated to the individual performance indicators.

6. There must also be agreement on the action plan for development that will be

followed in order to enable the individual to carry out the personal development plan

(PDP).

Benefits: 1. Individual work agreements create an opportunity for departmental/divisional

objectives to be devolved to individuals.

2. Individual performance objectives and measures are known to the individual at the

onset of the performance period.

3. The work agreements provide a structured process for operational planning.

4. Regular feedback can be provided in relation to the agreed objectives.

5. Personal development is contracted.

6. Performance management is experienced as a fair and just process.

Roles and responsibilities:

1. Environment heads:

i) Ownership of implementation.

ii) Dedication to the principles and format of the strategy.

iii) Monitor the number of work agreements entered into.

iv) Quality assurance and quality management.

2. Departmental chairpersons and heads of divisions:

i) Interpretation of the business plan of the environment.

ii) Preparation for the discussion with the individual by establishing the proposed

performance objectives for the individual.

iii) The creation of an environment in which the individual can take part freely in

the discussion of and agreement on the performance objectives.

iv) The facilitation of the discussion with individuals in order to reach an

agreement on performance objectives.

vi) Formalisation of the work agreement.

vii) Ownership of implementation.

viii) Quality assurance and quality management.

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3. Individuals:

i) Thorough preparation for the discussion with the head/chairperson.

ii) Acceptance and ownership of the accountability as agreed to in the work

agreement.

iii) Gathering of information that can be used as contributions during the

performance feedback discussion, for development feedback and for

performance evaluation.

4. Human Resources:

i) Provide guidance and advice to environment heads for the compilation and

application of work agreements.

ii) Quality assurance and quality management.

iii) Facilitate interactive work sessions that assist the chairpersons and heads to

facilitate the work agreement discussion.

STEP 4: PERFORMANCE FEEDBACK AND PERFORMANCE DEVELOPMENT 4.1 Performance feedback (KPAs)

Aim:

1. The individual must be given performance feedback in order to support the

individual in the successful achievement of the work agreement entered into.

2. The principle of continuous improvement is supported. This requires that deviation

from the performance norms needs to be addressed early.

3. Performance feedback contributes to the early identification of problem areas and

ensures that they are addressed in time in order to avoid a crisis at the end of the

performance period.

4. Performance feedback applies to all individuals, but the frequency of feedback and

the level of formality will be determined by the environment within which the

individual functions.

Process: 1. Performance feedback takes place between the individual and the chairperson/head

or delegate. It should be an intrinsic role of the chairperson/head.

2. The feedback process has a strong development motif.

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3. Both parties must be informed and prepared when taking part in the discussion so

that it can be meaningful.

4. In principle, feedback should be given as often as possible, e.g. quarterly, but the

frequency of the feedback will be determined by the circumstances of each

individual.

Benefits: 1. Raised motivation of individuals, as the feedback also provides an opportunity for

giving compliments.

2. Strengthening the accountability of and ownership by individuals.

3. It offers an opportunity for development.

4. It improves communication within the work environment.


i) Monitor the success of the process.


i) Responsible for the management of the performance of the unit.

ii) Active ownership of the management of the performance of individuals within

their environment.

iii) Active management of the feedback process by means of scheduling,

execution, etc.

iv) Must fulfil the requirements for good feedback.

vi) Quality assurance and quality management.

3. Individuals:

i) Thorough preparation for the discussion with the head/chairperson or

delegate.

ii) Ownership of the execution of the work agreement.

iii) Positive attitude and openness to feedback and recommendations.

iv) Ownership of the management of their own development.

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4. Human Resources:

i) Provide guidance and advice to environment heads and individuals.

ii) Facilitate interactive work sessions that assist chairpersons and heads to

manage the process.

iii) Monitor the success of the process.


5. Performance development (Requirements of the role)

Aim:

1. Performance development is undertaken to facilitate individual development, which

enables individuals to development themselves.

2. Feedback to individuals must be obtained from more than one source and the multi-

source method must be followed for this.

3. The development must be based on a personal development plan (PDP). The PDP

takes into consideration those areas in which the person should develop in order to

better achieve the outputs of the position as well as to improve the career prospects

of the individual.

Process: 1. The personal development plan (PDP) of the individual is formalised as follows:

i) The formal evaluation is started by requesting different sources to make

comments on the performance of the individual in relation to a previously

drawn up work agreement.

ii) The information is gathered and then used to determine any development

needs in respect of the role requirements.

iii) The individual prepares a personal development plan that addresses both the

feedback from the evaluation and the individual’s development needs.

iv) An action plan (PDP) is agreed upon on the basis of which development

interactions will be utilised for the individual.

2. The progress in relation to the action plan forms part of the feedback process.

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Benefits:

1. Focused development of staff members.

2. Improved motivation of individuals.

3. Strengthening the accountability of individuals and their ownership of their own

development.

4. Improvement of communication within the work environment.

5. Increased work outputs.

6. Greater work satisfaction.



ii) Execute the strategy on the different levels.


i) Responsible for the management of the performance development of the unit.

ii) Active ownership of the management of development of individuals within their

environment.

iii) Creation of individual PDPs.

iv) Active management of the feedback process by means of scheduling,

execution, etc.

v) Must fulfil the requirements for good feedback.

3. Individuals:

i) Thorough preparation for discussion with the head/chairperson.

ii) Ownership of their own development.

iii) Creation of own PDP.

iv) Positive attitude and openness to feedback and recommendations.

v) Ownership of the management of their own development.

4. Human Resources:


ii) Provide alternatives to development, based on research on available

opportunities within the tertiary environment.

iii) Facilitate interactive work sessions that assist the chairpersons and heads to

manage the process.

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iv) Monitor the success of the process.

v) Establish and maintain a skills-based training system.


STEP 5: FINAL PERFORMANCE EVALUATION

Aim: 1. The formal performance evaluation provides the final evaluation of the performance

of the individual over a period (annual).

2. It is the conclusion of the performance feedback and development process.

3. It serves as an input to other Human Resources processes.

Process: 1. Performance evaluation takes place between the individual and the

chairperson/head or delegate. It should be an intrinsic role of the head/chairperson.

2. The evaluation process is a formal summary of the feedback discussions that were

held during the year.

3. Both parties must be informed and prepared when taking part in the discussion so

that it can be meaningful.

4. In principle, feedback should be given as often as possible, e.g. quarterly, but the

frequency of the feedback will be determined by the circumstances of each

individual.

5. The progress in relation to the action plan forms part of the feedback process.

6. A five-point scale is used for evaluation.

Benefits: 1. Focused development of staff members.

2. Improved motivation of and performance by individuals.

3. Strengthening the accountability of individuals and their ownership of their own

development

4. Improved communication within the work environment.

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Roles and responsibilities:

1. Environment heads:


ii) Execute the strategy on the different levels.

iii) Create measures for standardisation.



i) Active ownership of the development of individuals within their environment.

ii) Creation of individual PDPs.

iii) Active management of the feedback process by means of scheduling,

execution, etc.

iv) Must fulfil the requirement for good feedback.

v) Creation of measures for standardisation.


3. Individuals:

i) Thorough preparation for the discussion with the head/chairperson.

ii) Continuous creation of information that can be used during the evaluation

process.

iii) Ownership of their own development.

iv) Creation of own PDP.

v) Positive attitude and openness to feedback and recommendations.

vi) Ownership of the management of their own development.

4. Human Resources:


ii) Provide alternatives to development, based on research on available

opportunities within the tertiary environment.

iii) Facilitate interactive work sessions that assist chairpersons, heads and

individuals to implement the process.

iv) Monitor the success of the process.

v) Quality assurance and quality management.

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STEP 6: THE MANAGEMENT OF THE CONSEQUENCES OF PERFORMANCE/NON-

PERFORMANCE 6.1 Management of underperformance

6.1.1 The policy and procedure for managing poor or underperformance are set out in full

in Appendix A.

6.2 Performance development

6.2.1 Evaluation of the multi-source results

6.2.1.1 The process of reporting on the evaluation results in relation to the

competency requirements of the role include:

i) Name of the person evaluated

ii) Competencies evaluated

iii) Result of the evaluation by the different evaluators

iv) Result of the self-evaluation

6.2.2 The Personal Development Plan is drawn up by means of the following process:

i) Analysis of the current position

ii) Statement of objectives

iii) Action plan

iv) Implementation

v) Building on success

6.2.3 Integration with other Human Resources processes

6.2.3.1 Training and development strategy:

i) The definition of roles establishes a framework that spells out the

required competencies for the role. It thus offers an opportunity to

link specific development interventions to specific competencies and

therefore leads to focused training of the staff.

ii) Evaluation of competencies by different levels and environments of

the US enables the US to create an integrated training and

development strategy that is based on reliable management

information.

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iii) After every competency evaluation, the required development

interventions are identified and this presents an opportunity for the

more effective provision of development interventions.

6.2.3.2 Succession planning:

i) The role definitions provide a standard against which individuals who

show potential can be evaluated.

ii) Accelerated development plans that are put in place may facilitate

the development of individuals with regard to specific competencies

in preparation for them to fill key positions.

6.2.3.3 Career planning:

i) Individuals use the result of their development evaluations to

compare their own competencies with the standard that is set out in

the role definition.

ii) This can take place because individuals are able to compare their

competencies with the role definitions of possible posts for promotion

within the US. In this way, they are able to focus their development

planning in line with the requirements of the role in which they are

interested.

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LIST OF TERMS

1. Division:

A subdivision of a support service environment.

2. Competencies:

The visible application of knowledge and skills within a specific environment. The

evaluation of competency not only addresses the knowledge of a person, but also the

manner in which this knowledge is applied in the work environment.

3. Department:

A subdivision of a faculty.

4. Service contract:

The legal contract between the US and the individual that sets out the formal conditions of

service, as required by the Basic Conditions of Service Act.

5. Personal Development Plan:

The plan of action that confirms the development activities of the individual. It specifies

the specific competencies that require development, as well as the interventions that will

address these needs.

The Personal Development Plan (PDP) also provides the opportunity to address the

career objectives of the individual by means of an action plan that is agreed upon.

6. Performance:

This refers to the work performance, i.e. the work outputs produced by a person, which

can be good, acceptable or poor performance. The performance is acceptable if a person

produces the outputs that were agreed upon.

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7. Performance development:

This entails the process of developing the competencies in line with the role definition and

on the basis of the results of the development evaluation.

8. Performance development evaluation:

The discussion during which the individual is provided with feedback on the evaluation

results of the competencies in relation to the definition of the role.

9. Key performance areas (KPAs):

The specific performance areas in which performance will be measured. They include the

key outputs for which the individual is accountable.

10. Performance indicators:

The performance indicators refer to the specific guidelines that will be used to measure the

level of performance in the KPA.

11. Multi-source evaluation:

The utilisation of various sources of feedback to evaluate the competency of an individual

vis-à-vis the role definition.

12. Role definition:

The definition of the role, taking into consideration the expectations of the post in terms of

desired outputs, as well as the requirements of the post in terms of competencies.

13. Support service environment:

An environment/division that provides support services to the academic and/or other

environments.

14. Work agreement:

The agreement/contract between the individual and the head/chairperson/direct supervisor

that defines the required level of performance. The work agreement is based on the role

definition that is compiled beforehand and includes both components of performance, viz.

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performance with regard to outputs and “performance” in relation to the requirements of

the role.

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APPENDIX A

STELLENBOSCH UNIVERSITY POLICY ON MANAGING POOR PERFORMANCE

1. PURPOSE The purpose of this policy is to:

1.1 establish a coherent policy and procedure for managing incapacity (poor

performance) at Stellenbosch University in line with the requirements of the Labour

Relations Act and in that way; and

1.2 assist managers/supervisors identify the reasons for the non-performance and to

provide a structured and consistent system of assisting the employee to improve

his/her performance to the required standards within a reasonable period of time.

2. APPLICATION This policy applies to all employees who fail to meet performance standards as a result of

incapacity, e.g. a lack of skill, training or aptitude. It does not apply to employees who are

able to meet performance standards but who either refuse to do so, or fail to do so as a

result of negligence or carelessness. Such cases must be dealt with in terms of the

University’s Disciplinary Code and Procedure.

3. PROCEDURE 3.1 Counselling

When an employee’s performance is not up to the standard required, the

manager/supervisor concerned should engage in a process of counseling the employee

concerning his or her under-performance.

3.2 Review of Standards

The employee’s job content and standards may be reviewed. The reasonableness of

those standards should be confirmed and, if possible, agreed with the employee.

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If the employee does not agree that they are reasonable, the managers/supervisor may

nevertheless require performance to those standards if the latter is of the view that the

standards are in fact reasonable.

3.3 Identify sub-standard performance

The manager/supervisor should identify shortfalls in the performance using the most

objective measurement criteria available. These should be discussed with the employee.

3.4 Identify reasons for sub-standard performance

Reasons why the employee has fallen below the standards should be discussed and

addressed.

3.5 Action plan

If the reason for the non-performance lies with the employee, the manager/supervisor

should counsel the employee on how to achieve the standards and agree on an

appropriate action plan. Agreement should also be sought from the employee that the

action plan is acceptable and that he/she is capable of achieving the required standards if

the action plan is complied with. If the action plan is reasonable but the employee without

good reason does not agree with it, it may nonetheless be implemented.

3.6 Assistance

Once the above counselling has taken place, the manager/supervisor should provide all

reasonable assistance which may include suitable training of the employee to enable the

employee to achieve the required standards.

3.7 Review dates

The employee should be given sufficient and reasonable time to improve.

Review dates should be established to monitor progress.

3.8 Recording of counselling

The contents of the counselling and the agreed action plan should be recorded in a written

memorandum to the employee in the form of a counselling record.

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It should be signed by the manager/supervisor concerned as a record to which either

management or the employee may refer at a later stage if necessary. The memorandum

could also provide proof of counselling.

3.9 Further counselling and cautioning

If the employee does not reach the required standards within the time periods set, the

manager/supervisor should engage in further counselling if it is believed that the employee

may still be capable of improving given further assistance and time. The

manager/supervisor should also caution the employee that his or her services may be

terminated if he or she fails to perform to the required standards by the end of the set time

period.

3.10 Inquiry and termination of employment

If even further counselling and suitable training (if appropriate), and/or cautioning and a

reasonable time period the employee still does not perform to the required standard, or

proves to the satisfaction of the manager/supervisor that he/she is not capable of

achieving the standards, the manager/supervisor should convene an incapacity inquiry to

consider the case. The chairperson of the inquiry should not be the person to whom the

employee directly reports, but should be at least one level higher than the supervisor. The

Human Resources Manager should be present during the inquiry and will monitor whether

the principles of substantive and procedural fairness have been applied.

The employee should be informed in writing of the nature of the inquiry and also be

informed that he/she may be represented by an available fellow employee of his/her

choice. The employee should be given at 48 hours to prepare for the inquiry.

After hearing the case, the chairperson may decide to take whatever action he/she

considers appropriate which may include termination of the services of the employee on

the grounds of incapacity, after taking into account the criteria set out in paragraph 4

below.

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3.11 Reviews

Should the result of the enquiry be that the employee’s services are terminated, the

employee may in writing request a review of the decision by a member of the next higher

level of management. The right to review must be exercised within seven days of the

outcome of the inquiry and must clearly state the grounds of review. The person

conducting the review will be assisted by a representative of the Human Resources

department and may confirm, set aside or vary the decision of the first inquiry.

As a general rule, no verbal evidence will be heard during the review process, although the

person who conducts the review may at his/her discretion allow evidence to be lead. In

such cases the normal rules of evidence will apply.

3.12 Payment termination

If an employee’s contract of employment is terminated on the grounds of incapacity/non-

performance, it is appropriate to pay the required contractual notice. In certain cases

when circumstances are such that it seems equitable, the payment of additional

compensation to an employee may be considered at the sole of management.

4. CONSIDERATIONS FOR DISMISSAL FOR POOR PERFORMANCE

In consideration whether or not to dismiss an employee for poor performance, the

chairperson should take the following factors into account.

4.1 Knowledge of standards

Are the standards in terms of the employee’s performance is measured clear and known to

the employee? If not, the standards should be defined and the employee informed

thereof.

4.2 Proof of not meeting standards

Is there proof that the employee did not meet the required standard?

4.3 Reasonable opportunity for improvement

Has the employee been given a reasonable opportunity (including reasonable support) to

meet those standards, considering the period given for improvement and Stellenbosch

University’s needs?

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4.4 Impact of the incapacity

Is the extent and degree of the employee’s incapacity serious enough to warrant

termination of employment, considering factors such as the employee’s status and the

nature of the employee’s job?

4.5 Likelihood of improvement

Is there a reasonable likelihood of future sustained improvement?

4.6 Alternatives to dismissal

What alternatives to dismissal are there and are these reasonable, considering the nature

and extent of the incapacity and Stellenbosch University’s operational needs?

4.7 Sufficient opportunity for improvement Has sufficient training and support been provided, again considering the nature of the job,

the employee’s status and Stellenbosch University’s operational needs?

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SUGESSTED CHECKLIST FOR MANAGING POOR PERFORMANCE

NB: Always keep written records of discussions, action plans, etc

1. Identify sub-standard performance.

2. Review standards to ensure they are reasonable.

3. Arrange interview with employee. Also inform employee.

4. Inform employee of your dissatisfaction with his/her performance.

5. Establish if employee is aware of performance standard. If employee is unaware,

spell out standards and indicate to employee that performance will in future be

monitored accordingly.

6. If employee is aware of standard, enquire into reason for poor performance.

7. Consider your employee’s reasons. If satisfactory, end session.

8. If not or if indications are that further action is required, stress the need for standards

to be maintained.

9. Discuss with employee possible ways of addressing the problem e.g. training,

assistance, transfer, etc.

10. If agreement is reached on an action plan, secure employee’s commitment to it.

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11. If no agreement is reached, spell out you own action plan. Be clear on standards

required as well as time allowed for performance to improve. Make sure that it is

reasonable.

12. In both cases inform employee that he/she will be monitored and that failure to

comply with performance standards may lead to dismissal.

13. Assure employee of your support – and give it.

14. Thereafter monitor progress.

15. If problem persists, arrange for formal incapacity hearing. Employee is entitled to

representation. Enquire about reasons for failure to improve and, if reasons are

acceptable, decide on further assistance. If reasons unsatisfactory, terminate

services on notice.

16. Inform employee of the right to refer any disagreement about termination to review by

a more senior level of management.

17. If the review is unsuccessful, inform the employee about his/her right to refer the

matter externally.

18. Attend to administrative issues, eg. UIF and certificate of service.

19. Always keep accurate record of interview, actions plans, etc!

PM0301-Performance Management Policy and Strategy (January 2011)

performance management policy and …...performance management is a systematic approach to managing...

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