performance management policy for the king sabata

PERFORMANCE MANAGEMENT POLICY

FOR THE KING SABATA DALINDYEBO (KSD) MUNICIPALITY

Performance Management Policy

Page 1 of 29

TABLE OF CONTENTS

1. Introduction .................................................................................................................................... 2

1.1 Legislative Mandate ............................................................................................................... 2

1.2 Defining Performance Management in the KSD Municipal Context .................................... 3

1.3 Purpose of this Policy ............................................................................................................. 3

1.4 Scope of the Policy ................................................................................................................. 4

1.5 Objectives of the Performance Management System .......................................................... 4

2. Section 2 – Policy Guidelines ......................................................................................................... 4

2.1 Development of performance Plans ...................................................................................... 4

2.2 Performance Execution .......................................................................................................... 5

2.3 Performance Reviews............................................................................................................. 6

3. Recognition and Rewards Policy Guidelines ................................................................................. 6

3.1 Guiding Principles ................................................................................................................... 6

3.2 Principles for Successful Implementation ............................................................................. 7

4. Appraising Employee Performance ......................................................................................... 13

4.1 Objectives of Performance Appraisal .................................................................................. 13

4.2 Policy Guidelines: General ................................................................................................... 13

4.3 Policy Guidelines: Appraisers / Managers / Supervisors .................................................... 13

4.4 Policy Guidelines: Appraisees / Employees ........................................................................ 14

5. Managing Performance Information ........................................................................................... 14

5.1 Responsibility for Records ................................................................................................... 14

5.2 Policy with Regards to Confidentiality ................................................................................ 15

6. Appendices ................................................................................................................................... 16

6.1 Appendix 1: Performance Management Cycle ................................................................... 16

6.2 Appendix 2: Institutional Scorecard Template ................................................................... 16

6.3 Appendix 3: SDBIP / Departmental Scorecard Template ................................................... 17

6.4 Appendix 4: Individual Performance Plan Template ......................................................... 17

6.5 Appendix 5: Typical Municipal Planning Process ............................................................... 20

6.6 Appendix 6: Performance Appraisal Process...................................................................... 21

6.7 Appendix 7: Performance Appraisal Form ......................................................................... 22


Page 2 of 29

1. Introduction

1.1 Legislative Mandate

1.1.1 The Constitution of the Republic of South Africa, 1996 provides in Section 195 (h) that “good human resource management and career development practices, to maximise human potential, must be cultivated”.

1.1.2 The White Paper on Batho Pele notes that the development of a service-orientated

culture requires the active participation of the wider community. Municipalities need constant feedback from service-users if they are to improve their operations. Local partners can be mobilised to assist in building a service culture. For example, local businesses or non-governmental organisations may assist with funding a help line, providing information about specific services, identifying service gaps or conducting a customer survey

1.1.3 The Local Government: Municipal Systems Act, Act No. 32 of 2000 (MSA), has relevance in the following instances:

Section 38 obliges a municipality to establish a performance management

system that is commensurate with its resources; best suited to its circumstances and in line with its IDP;

Section 39 obliges the Council to assign responsibilities for the development of the PMS to the Municipal Manager;

Section 55 makes the Municipal Manager, subject to the policy directives of the Council, responsible for the development of an economical, effective, efficient and accountable administration which operates in accordance with its PMS;

Section 66 determines that a municipal manager, within a Council policy framework, must establish a process or mechanism to regularly evaluate the staff establishment and, if necessary, to review the staff establishment and the remuneration and conditions of service of all staff except managers appointed in terms of section 57;

Section 67 regards the monitoring, measuring and evaluating of performance of staff as a platform to develop human resources and to hold municipal staff accountable to serve the public efficiently and effectively.

1.1.4 The Local Government: Municipal Finance Management Act, Act No. 56 of 2003

(MFMA) among other things relevant to the PMS and specifically to this policy, requires accountable budgeting and transparency in terms of staff establishment matters, i.e.:


Page 3 of 29

Section 17 requires in subsection (3)(k) that the proposed cost in respect of the salary, allowances and benefits of … (iii) the municipal manager, the chief financial officer, each senior manager of the municipality and any other official of the municipality that receives a remuneration package equal to or greater than that of a senior manager must be budgeted for;

Section 124(1)(c) requires that the particulars of salaries, allowances and benefits of the municipal manager, chief financial officer, every senior manager and such categories of other officials as may be prescribed, be included in the municipality’s annual financial statements.

1.1.5 Municipal Performance Regulations for Municipal Managers and Managers directly

accountable to Municipal Managers, 2006 published in Government Gazette No. 29089 dated 1 August 2006 contains performance regulations for municipal managers and managers directly accountable to the municipal managers. The regulations inter alia include the criteria applicable to performance bonuses and set a format for appraisal rating – therefore the exclusion of these officials from this policy.

1.2 Defining Performance Management in the KSD Municipal Context

Performance management is a systematic approach to managing the process

according to which the performance and development of individuals and entities

within the municipality are actively managed to ensure that the vision, mission and

the strategy of KSD Municipality are achieved

1.3 Purpose of this Policy

1.3.1 To give effect to the legislation guiding performance management in municipalities

including the provisions of Chapter 4 of the Local Government: Municipal Systems

Act, 2000 (Act No 32 of 2000) as amended

1.3.2 To provide for standards and procedures according to which the performance of

employees is to be managed from the planning stage up to employee performance

recognition

1.3.3 Reinforce employee participation by enabling them to develop and grow within the

municipality

1.3.4 To empower employees to use their skills and knowledge to perform their jobs in a

productive manner

1.3.5 To provide management with an acceptable and agreed upon process to review and

assess the individual’s performance to ensure that the organisation achieves its goals


Page 4 of 29

1.4 Scope of the Policy

The policy covers all employees NOT appointed in terms of Section 56 of the Local

Government: Municipal Systems Act, 2000 (Act No 32 of 2000) as amended

1.5 Objectives of the Performance Management System

1.5.1 To ensure that the vision, mission, values and the strategy of KSD municipality is

translated into manageable goals, objectives and activities so that they can be

realised

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

capacity and ability of the municipality to sustain performance

1.5.3 To position the individual responsibility, accountability and development as the

central, important component of managing performance

1.5.4 To ensure that individual employees take ownership of their own career planning

and management by focusing on development initiatives

1.5.5 The creation of management information that enables the municipality to take decisions with reference to other Human Resource processes, such as promotions, remuneration and training, for example

1.5.6 To identify underperformance and to implement and justify the resultant corrective follow-up actions

1.5.7 To serve as a basis for acknowledging and rewarding good performance 2. Section 2 – Policy Guidelines

2.1 Development of performance Plans

2.1.1 The municipality, led by the Executive Mayor, is responsible for setting its objectives

and strategies, key performance indicators and targets for the period covering the term of the council. This shall be contained in its Integrated Development Plan (IDP) as the Institutional Scorecard

2.1.2 The objectives and strategies of the municipality shall be developed during the second phase of the IDP development and/or review process.


Page 5 of 29

2.1.3 The senior and/or top management, led by the Municipal Manager, is responsible for translating the Institutional Scorecard into Departmental Scorecards and/or Service Delivery and Budget Implementation Plans [SDBIP] (annual plans)

2.1.4 The objectives, strategies and yearly targets contained in the Departmental Scorecards shall be extracted directly from the institutional scorecard (without modification) and yearly targets shall be broken into quarterly targets.

2.1.5 Individual employees, led by management at all levels of the municipality, are

responsible for translating departmental plans into individual operational plans based on their job descriptions and instructions. Quarterly targets shall be extracted directly from the directorate scorecards (without modification) and broken down into monthly targets.

2.1.6 The Municipal Manager is the technical champion of performance management and shall provide strategic direction and technical advice to the municipality and the political office bearers in the entire process of performance management

2.2 Performance Execution

2.2.1 All employees shall be held accountable for the implementation of their individual scorecards and operational plans as the case may be

2.2.2 The Municipal Manager shall be held accountable for the implementation, monitoring of, and reporting on, the institutional scorecard Mayor

2.2.3 The employees directly accountable to the Municipal Manager shall be held accountable for the implementation of, and reporting on, the Departmental Scorecards

2.2.4 Individual employees shall be held accountable for the implementation of, and reporting on, their operational plans

2.2.5 All employees shall be responsible for the collection and collation of the evidence to support successful implementation of the plans

2.2.6 It is the responsibility of the employee to timeously alert his/her manager or supervisor of any emerging factors that could impede the implementation of the performance undertakings

2.2.7 It is the responsibility of the employee to propose contingency measures to be implemented to minimise the impact of deviation from the original agreement

2.2.8 Coaching shall take place at an individual level with due consideration of group dynamics and shall take place throughout the performance management cycle not later than one month after the end of the quarter


Page 6 of 29

2.2.9 All discussions held during coaching sessions shall be recorded and documented and shall be managed in line with the confidentiality policy of the municipality

2.3 Performance Reviews 2.3.1 Performance reviews shall be conducted at the various intervals; with the

institutional scorecard reviewed annually when Council reviews its Integrated Development Plan

2.3.2 The service delivery and budget implementation plan (SDBIP) or the departmental scorecards reviewed quarterly and the performance plans reviewed monthly

2.3.3 The Executive Mayor shall be responsible for the review of the IDP and the institutional scorecard with the Municipal Manager providing strategic and technical support

2.3.4 The Municipal Manager, the senior management and other administrative officials shall be responsible for the review of the departmental scorecards and individual performance plans

3. Recognition and Rewards Policy Guidelines

3.1 Guiding Principles

3.1.1 Council recognises that the performance stipulations of the Municipal Manager and

Managers directly accountable to him/her (Section 56 Managers) are governed by the national legislation and therefore this part of the policy does not apply to these employees

3.1.2 This reward system shall not be in conflict with any legislation, South African Local Government Bargaining Council agreements, and related agreements and binding rulings by the Department of Cooperative Government and Traditional Affairs

3.1.3 There should be measurable assessment criteria based on the Integrated Development Plan (IDP) and institutional scorecard

3.1.4 There should be a formal assessment against these criteria through the appraisal system as detailed in this policy

3.1.5 The results of these assessments should be clear enough and of such a standard that a predetermined scale of rewards could be based thereon

3.1.6 In the case of rewards with a financial impact, the annual budget must be able to provide for it


Page 7 of 29

3.1.7 Council adopts this policy to ensure that it has motivated, effective, efficient and accountable workforce to improve and maintain customer and stakeholder service excellence and improve service delivery throughout the KSD Municipality

3.2 Principles for Successful Implementation

3.2.1 Structure: A committee, representative of management and organised labour and chaired by the head of Corporate Services, shall be established to deal with the implementation of the reward system. The committee shall be accountable to the Municipal Manager

3.2.2 Integrity: The policy will be implemented in a structured and orderly manner as agreed by the committee

3.2.3 Clear objectives and design: The committee will reach consensus on the objectives and design of the implementation process to give effect to this policy.

3.2.4 Measurability of performance: The criteria agreed to by the committee will leave no room for misusing the system but will ensure that the system applies to teams and/or individuals based on targets set in line with IDP objectives and which are accountable, measurable, achievable, relevant and time-bound

3.2.5 Transparency: The basis for appraisal and the manner in which rewards and incentives are arrived at will be transparent at both the individual and collective level and well-communicated to the staff

3.2.6 Fairness in operation: The committee will be implemented following a fair and equitable approach with no bias or favouritism, and, where rewards and incentives are competency based, all staff will have equal access to training - where appropriate team-based or where appropriate individually-based.

3.2.7 Adequate appraisal: The appraisers involved in the reward system will have skills matching the discipline appraised and the complexity of the work so appraised and adequate time will be allowed to do appraisals as set out in this Policy

3.2.8 External Assistance: Should the committee consider it necessary to use external facilitators to assist with the appraisal process of senior managers (excluding S56 Managers) such a recommendation including the financial implications thereof, will be submitted to the Municipal Manager

3.2.9 Training: Training will be available to all staff members who are on the system

3.2.10 Evaluation and Monitoring of the rewards system: The system will be monitored on an ongoing basis and at least be evaluated on an annual basis by the committee. In so doing the committee shall provide value-added inputs, ensure that the relationship between performance and pay is above all scrutiny; department,


Page 8 of 29

section, team constraints or other factors impacting on performance are identified, recognised and accounted for in the implementation of the rewards system

3.2.11 Staff motivation and morale: Achievement incentives and rewards as well as informal rewards will be relevant and/or adequate to motivate staff

3.3 Performance Recognition and Rewards Scheme

3.3.1 Each staff member must, irrespective of whether he/she shall be appraised as an

individual or a part of a team, complete and enter into a performance agreement

(refer to appendix 3)

3.3.2 Key performance indicators and targets shall be developed following the SMART

(specific, measurable, attainable, realistic and time-bound) principle

3.3.3 The evaluation score shall be 100% made up of 80% key performance indicator (KPI)

score and 20% core competencies to be determined by management at each level of

the municipal establishment

3.3.4 Each KPI and competency will be rated during the performance appraisal process

using the following five-point scale

1 Unacceptable The employee has not achieved what has been set out in the performance agreement and therefore the performance levels are not acceptable. This could be a counselling or disciplinary matter depending on the circumstances

2 Not Fully Effective The employee has not achieved most of the targets set; however, they could improve with training and coaching

3 Fully Effective The employee has achieved the targets set in their performance agreement

4 Above Expectations

The employee has performed beyond what was expected in achieving performance targets

5 Outstanding The employee has achieved and exceeded the targets set to a significant extent.

3.3.5 Council adopts, as compulsory, the following Core Competency Requirements (CCRs)

against which each employee shall be rated (20%)


Page 9 of 29

Core Competency Requirement Description

Customer Service Whether providing a service to an internal or external customer, this means trying to find out what the needs of the customer are and then meeting them. At a minimum, employees are required to react to customer needs by following up on queries, keeping promises, being honest in all their dealings, adhering to the policies, procedures and delegations of the council, keeping the customer up to date, being friendly and helpful and solving problems quickly and without argument. Ideally, all employees, especially those at a management/supervisory level, are required to be pro-active by trying to understand the underlying needs of the customer and providing an appropriate service based on these needs

Teamwork In order to be successful and to meet service delivery requirements, it is essential that all employees co-operate and communicate with each other. This is measured by the extent to which an employee does his/her share of the work: helps out in times of crisis, supports decisions taken by the municipality, makes an effort to communicate with team members so that he/she knows what is going on in other areas besides his/her own and provides information to others on what he/she is doing. At a management/supervisory level employees are required to facilitate a friendly working environment where co-operation is encouraged, where conflicts are resolved quickly and amicably and where information is communicated so that there is a common knowledge and understanding of the municipality’s activities.

Service Delivery This is about wanting to work well to achieve a high standard by trying to improve on the way things are done and by working towards achieving the work objectives. It is also about putting plans into action, meeting deadlines, taking initiative and solving problems to ensure that things get done. Employees must not wait to be told to do something but rather are encouraged to use their initiative to make sure that things get done accurately and


Page 10 of 29

Core Competency Requirement Description

efficiently

3.3.6 Formal rewards shall be allocated to individuals based on above average,

outstanding or exceptional performance measured against set targets and the

display of the personal competencies applicable to the job as detailed in their

performance agreement and thus is linked to the performance plan or scorecard

3.3.7 Council adopts the following as the nature of formal rewards for the different

categories of performance achievements:

Score Obtained on Performance Agreement

Formal Rewards

81 – 100 Exceptional performance

1. The employee is granted three “free” leave days. The Manager/Supervisor and employee must agree on the dates. This leave must be taken within three months of it being awarded.

2. The employee is able to attend a conference/seminar relevant to his/her work. The Manager/Supervisor and employee must both agree that the conference/seminar is of work related importance. The amount spent on sending the employee to the conference (including any travel/accommodation requirements) may not exceed the rand value of three days leave i.e. the rand value of three days of the employee’s total monetary package.

3. The employee may select a work tool or domestic

appliance. The amount spent on the work tool / domestic appliance may not exceed the rand value of three days leave i.e. the rand value of three days of the employee’s total monetary package.

4. If within the designated level of remuneration, the

employee may exercise the option to take the equivalent of three days leave in cash which cash amount will be paid out to him/her within three months of the date of appraisal

71 – 80 Outstanding performance

1. The employee is granted two “free” leave days. The Manager/Supervisor and employee must agree on the dates. This leave must be taken within three months of it being awarded.

2. The employee is able to attend a conference/seminar relevant to his/her work. The Manager/Supervisor and


Page 11 of 29


Formal Rewards

employee must both agree that the conference/seminar is of work-related importance. The amount spent on sending the employee to the conference (including any travel / accommodation costs) may not exceed the rand value of two days leave i.e. the rand value of one-and-a-half days of the employee’s total monetary package.


appliance. The amount spent on the work tool / domestic appliance may not exceed the rand value of two days leave i.e. the rand value of two days of the employee’s total monetary package.


employee may exercise the option to take the equivalent of two days leave in cash which cash amount will be paid out to him/her within three months of the date of appraisal

61 – 70 Fully effective and above average Performance

1. The employee is granted one “free” leave day . The Manager / Supervisor and employee must agree on the dates. This leave must be taken within three months of it being awarded

2. The employee is able to attend a conference/seminar relevant to his/her work. The Manager/Supervisor and employee must both agree that the conference/seminar is of work-related importance. The amount spent on sending the employee to the conference (including any travel/accommodation costs) may not exceed the rand value of one day’s leave i.e. the rand value of one day of the employee’s total monetary package.


appliance. The amount spent on the work tool / domestic appliance may not exceed the rand value of one day’s leave i.e. the rand value of one day of the employee’s total monetary package.


employee may exercise the option to take the equivalent of one day’s leave in cash which cash amount will be paid out to him/her within three months of the date of appraisal

50 - 60 No reward – person considered as doing his/her job well but


Page 12 of 29


Formal Rewards

not been fully effective.

49 and below Compulsory performance counselling – person considered as performing below what is expected from him/her


Page 13 of 29

4. Appraising Employee Performance

4.1 Objectives of Performance Appraisal

4.1.1 To reinforce the level of command and development of those competences where

there are weaknesses

4.1.2 Make year-on-year comparisons of the development of the competences

4.1.3 Reinforce employee participation by enabling them to develop and grow within the company

4.1.4 Develop the employees` ability to identify competences thus enabling them to recognise the behaviours necessary to carry out their duties to a high level

4.1.5 Be part of the reward of those employees reaching a high level of development of their competences

4.2 Policy Guidelines: General

4.2.1 The basis for the evaluation is ongoing performance, not an isolated event

4.2.2 Avoid allowing a strong factor of the employee's performance to influence another

factor that needs improvements, or one that is weak to influence another that is outstanding

4.2.3 Do not let personal feelings influence the evaluation

4.2.4 Constructive comments are key elements of appraisal

4.2.5 Give specific examples to illustrate your points

4.2.6 Positives are as deserving of note as negatives

4.2.7 Feedback should be descriptive and informative, not judgmental

4.2.8 Information contained in a performance evaluation is personal and must be treated with great sensitivity

4.2.9 Supervisors and/or staff needing further support or guidance with this process may contact the Human Resources Division

4.3 Policy Guidelines: Appraisers / Managers / Supervisors

4.3.1 Appraisers must prepare for and conduct the Performance Appraisal Report in

accordance with the documented procedures


Page 14 of 29

4.3.2 He/she must arrive at appraisal outcomes for the employee against each criteria, of as stated in the performance agreement or plan and the agreed core competency requirements

4.3.3 He/she must gain the approval of the manager or supervisor to which he/she directly accounts to or equivalent, in determining an overall assessment of the appraisee

4.3.4 He/she must determine the appropriate reward and recognition for the appraisee

4.3.5 He/she must determine follow up action required to address any areas where improvements can be made

4.3.6 He/she must hold regular informal discussions to offer ongoing support and feedback.

4.4 Policy Guidelines: Appraisees / Employees

4.4.1 The appraisee must prepare for Performance Appraisal in accordance with the

documented procedures, submitting the information (self assessment with portfolio of evidence) to the appraisee at the stipulated deadline or timeframe

4.4.2 He/she must participate positively in the Performance Appraisal process

4.4.3 He/she must acknowledge (sign if paper copy or respond to if online) the report on the outcomes. In doing so the employee is acknowledging that he/she has read and discussed the comments.

4.4.4 He/she must complete follow up actions required to address any areas identified as needing improvement.

4.4.5 He/she must encourage regular feedback from the supervisor

5. Managing Performance Information

5.1 Responsibility for Records

5.1.1 The Municipal Manager, in accordance with the Access to Information Act is the

information officer of the Municipality and any legible person or body requiring information relating to employee performance shall do so in accordance with the policy and legislation

5.1.2 The Municipality is, amongst other legislation, governed by the National Archives of South Africa Act, 1996 (Act No 46 of 1998) and records shall be kept in line with the requirements of this Act


Page 15 of 29

5.2 Policy with Regards to Confidentiality

5.2.1 All related records will be staff-in-confidence and retained by Corporate Services Department (Human Resources Division)

5.2.2 Details will not be released to third parties other than as required by legislation or for review or appeal processes

5.2.3 The Municipal Manager, the manager and the relevant staff member will have access to the records


Page 16 of 29

6. Appendices

6.1 Appendix 1: Performance Management Cycle

6.2 Appendix 2: Institutional Scorecard Template

IDP Objective Key Performance Indicator

Baseline Target for the year

Year 1 Year 2 Year 3 Year 4 Year 5

KPA 1 – Basic Service Delivery and Infrastructure Development

KPA 2 – Municipal Transformation and Institutional Development

KPA 3 – Local Economic Development

KPA 4 – Good Governance and Public Participation

KPA 5 – Municipal Financial Viability and Management

Performance Management

Cycle

1.

Plan

2. Execute

3.

Review

4. Reward


Page 17 of 29


Baseline Target for the year

Year 1 Year 2 Year 3 Year 4 Year 5

6.3 Appendix 3: SDBIP / Departmental Scorecard Template

Directorate / Department:______________________________________ Custodian:_______________________________ Period:______________________________________________________


Baseline Budget & Vote No.

Annual Target (from IDP)

Target

We

igh

tin

g

(80

%)

Q1 Q2 Q3 Q4

Total 100.00

Core Competency Requirements (Skills, Knowledge and Behaviour) Input Definition Performance

Indicator

We

igh

tin

g

(20

%)

1 2 3 4 5

Total 100.00

6.4 Appendix 4: Individual Performance Plan Template

Directorate:________________________________________ Section:_____________________________ Date:_________________

Municipal Objectives (as legislated): Provide democratic and accountable

government for local communities; Ensure the provision of services to

communities in a sustainable manner; Promote social and economic

development; Promote a safe and healthy environment;

Encourage the involvement of communities and community organisations in the matters of local government

Departmental Overall objectives: Overall Purpose of my Job as an Individual and/or Team Member:

KPA Supported Quarterly Target from SDBIP

Monthly Target

Breakdown of Tasks and Resources Required

Time to Complete

Whom will it Involve

Weighting (80%)


Page 18 of 29

the Task

1. 2. 3. 4. 5. Total 100.00

Core Competency Requirements (Skills, Knowledge and Behaviour – first 3 compulsory and 2 to be determined by the director or head of the department)

Input Definition Performance Indicator

Weighting (20%)

1. Customer Focus (compulsory)

At a minimum, employees are required to react to customer (internal & external) needs by:

Following up on queries, keeping promises,

being honest in all their dealings,

Adhering to the policies, procedures and delegations of the council,

keeping the customer up to date,

Being friendly and helpful and solving problems quickly and without argument.

2. Teamwork (compulsory)

In order to be successful and to meet service delivery requirements, it is essential that all employees co-operate and communicate with each other. This is measured by the extent to which an employee:

Does his/her share of the work: helps out in times of crisis,

Supports decisions taken by the municipality,

Makes an effort to communicate with team members so that he/she knows what is going on in other areas besides his/her own and

Provides information to others on what he/she is doing.

3. Service Delivery (compulsory)

This is about wanting to work well to achieve a high standard by trying to improve on the way things are done and by working towards achieving the work objectives.

It is also about putting plans into action, meeting deadlines, taking initiative and solving problems to ensure that things get done.

4. To be decided by the Directorate 5. To be decided by the Directorate Total 100.00


Page 19 of 29

Core Competency Requirements (Skills, Knowledge and Behaviour – first 3 compulsory and 2 to be determined by the director or head of the department)

Input Definition Performance Indicator

Weighting (20%)

Employee Name:____________________________ Designation:_______________________________ Signature:________________ Supervisor:_________________________________ Designation:_______________________________ Signature:________________


Page 20 of 29

6.5 Appendix 5: Typical Municipal Planning Process

Activity Responsibility Tool Approval Structure

Oversight

Responsibility Frequency Review

Identify the needs of the community

Executive Mayor /

Mayor

Integrated Development

Plan Council

Citizens / Community

Once in 5

years Annually

Develop strategies and objectives

Executive Mayor /

Mayor

Integrated Development

Plan

Council Citizens /

Community

Once in 5 years

Annually

Develop the 5-year Key Performance Indicators

and targets

Executive Mayor / Mayor

Institutional Scorecard

Council Citizens /

Community

Once in 5 years

Annually

Develop annual key performance indicators,

targets and allocate budgets

Municipal Manager

Service Delivery and Budget

Implementation Plan /

Departmental Scorecards

Executive

Mayor

Council (Through Executive

Mayor’s Committees)

Annually & Half-Yearly

Annually

Develop individual performance indicators

and targets (Senior Management /

Directors)

Senior

Management / Directors

Performance Agreements

Municipal Manager

Executive Mayor /

Mayor

Half-Yearly

& Quarterly

Half

Yearly

Develop individual performance indicators and targets (Managers

and Supervisors)

Managers and Supervisors

Performance Plans

Senior Managers or

Directors

Municipal Manager

Directorates)

Quarterly & Monthly

Quarterly

Develop individual performance indicators

and targets (All Employees)

All other

Employees

Performance Plans

Managers and

Supervisors

Senior Management /

Directors

Monthly & Weekly

Monthly


Page 21 of 29

6.6 Appendix 6: Performance Appraisal Process

START APPRAISER APPRAISEE

Sends form to appraisee

Human Resources Sends material and policy

Appraise the

employee

Collects evidence

which supports

evaluation

Receive and analyse

self assessment of

the employee

Carry on self-

assessment

Send self

assessment with

evidence to

manager

Collects evidence in

support of self

assessment

Prepare final

appraisal for

discussion

No

Set up a meeting with

the appraisee

To the upper

administrative structures

for finalisation

Sign the appraisal

form

In agreement

Meeting

Appraiser-Appraisee

Yes

Communicates the results

to parties

Send the form back to HR

Send form to HR

Finish

Not Resolved

Grievance

procedure to be

utilised


Page 22 of 29

6.7 Appendix 7: Performance Appraisal Form

Performance Appraisal Use this form two, three or four times per year to clarify performance expectations, set challenging goals, rate how well the employee performed, and develop an action plan for job or career development. At the end of the year, use the Administrative Summary (UM 942) to convert the two to four performance ratings into an average rating for the year. That average rating may be used for salary actions or other administrative purposes. See additional instructions on the pages 5 and 6.

*** Complete all pages before signing the front of this form. ***

Employee Name (Last, First, MI)

Directorate Department: Section / Unit:

Employee Code/Number: Job Title:

Probationary Appraisal

Performance Appraisal Dates Covered From: To:

The rater should forward this performance appraisal to the immediate superior, director or department head

for review and signature before discussing the rating with the employee. Appraisals are not final until all

signatures have been obtained.

Rater’s Comments:

Rater’s Signature Date

Rater’s Name (printed) Phone

Title

The immediate superior, director or department head should take this opportunity to identify and resolve

problems, such as performance standards or ratings that may be too lenient or too strict. These ratings will

contribute to the employee’s annual rating.

Immediate Superior, Director or Department Head’s Comments:

Immediate Superior, Director or Department Head’s Signature Date

Immediate Superior, Director or Department Head’s Name (printed)

Phone

Title

The employee’s signature means only that the employee has had an opportunity to review and comment on

this appraisal

Employee’s Comments:

Employee’s Signature Date


Page 23 of 29

SECTION I: Performance Standards (Beginning of Review Period)

Directorate:________________________________________ Section:_____________________________

Date:_________________

Municipal Objectives (as legislated):

Provide democratic and accountable government for local communities;

Ensure the provision of services to communities in a sustainable manner;

Promote social and economic development; Promote a safe and healthy environment;

Encourage the involvement of communities and community organisations in the matters of local government

Departmental Overall

objectives:

Overall Purpose of my Job as an

Individual and/or Team Member:

KPA Supported Quarterly Target

from SDBIP

Monthly Target Breakdown of

Tasks and

Resources

Required

Time to

Complete

the Task

Whom will

it Involve

Weightin

g (80%)

1.

2.

3.

4.

5.

Total 100.00

Core Competency Requirements (Skills, Knowledge and Behaviour – first 3 compulsory and 2 to be determined by the

director or head of the department)

Input Definition Performance

Indicator

Weighting

(20%)

1. Customer Focus (compulsory)

At a minimum, employees are required

to react to customer (internal &

external) needs by:

Following up on queries, keeping promises,

being honest in all their dealings,

Adhering to the policies, procedures and delegations of the council,

keeping the customer up to date,

Being friendly and helpful and solving problems quickly and without argument.

2. Teamwork (compulsory)

In order to be successful and to meet

service delivery requirements, it is

essential that all employees co-

operate and communicate with each

other.

This is measured by the extent to


Page 24 of 29

Core Competency Requirements (Skills, Knowledge and Behaviour – first 3 compulsory and 2 to be determined by the

director or head of the department)

Input Definition Performance

Indicator

Weighting

(20%)

which an employee:

Does his/her share of the work: helps out in times of crisis,

Supports decisions taken by the municipality,

Makes an effort to communicate with team members so that he/she knows what is going on in other areas besides his/her own and

Provides information to others on what he/she is doing.

3. Service Delivery (compulsory)

This is about wanting to work well to achieve a high standard by trying to improve on the way things are done and by working towards achieving the work objectives.

It is also about putting plans into action, meeting deadlines, taking initiative and solving problems to ensure that things get done.

4. To be decided by the Directorate

5. To be decided by the Directorate

Total 100.00

Employee Name:________________________ Designation:________________________ Signature:________________

Supervisor:___________________________ Designation:__________________________ Signature:________________

SECTION II: Rating Performance (End of Review Period)

Self Appraisal (Employee)

Key Performances / Targets (80%)

Target No. Target Description

(what were you expected to achieve)

Rating

(1-5, with 1 being

unacceptable, 2 not fully

effective, 3 fully effective, 4

above expectations, 5

outstanding)

Reasons for the Rating

1

2

3

4


Page 25 of 29

Self Appraisal (Employee)

5

6

7

Total Rating

Core Competency Requirements (20%)

CCR No. Description (1-5, with 1 being unacceptable, 2 not fully

effective, 3 fully effective, 4 above expectations, 5

outstanding)


1 Customer Focus

2 Teamwork

3 Service Delivery

4 Departmental

5 Departmental

Total Rating

Appraisal (Supervisor)




Rating

(1-5, with 1 being




outstanding)


1

2

3

4

5

6

7

Total Rating


CCR No. Description (1-5, with 1 being unacceptable, 2 not fully

effective, 3 fully effective, 4 above expectations, 5

outstanding)


1 Customer Focus

2 Teamwork


Page 26 of 29

3 Service Delivery

4 Departmental

5 Departmental

Total Rating

Appraiser’s Discussion with the Head of Directorate

(before discussion with the Employee)

Comments:

___________________________________________________________________________________________

___________________________________________________________________________________________

__________________________________________________________________________________________

Head of Directorate:

_____________________________ __________________________ ______________________

Name Signature Date

Appraiser:

_____________________________ ____________________________ ______________________

Name Signature Date

Comparing Employee and Supervisor’s Rating



Employee Self-Rating

(1-5, with 1 being unacceptable,

2 not fully effective, 3 fully

effective, 4 above expectations,

5 outstanding)

Supervisor Rating

(1-5, with 1 being




outstanding)


1

2

3

4

5

6

7

Total Rating



Page 27 of 29

CCR No. Description Employee Self-Rating

(1-5, with 1 being unacceptable,

2 not fully effective, 3 fully

effective, 4 above expectations,

5 outstanding)

Supervisor Rating

(1-5, with 1 being




outstanding)

1 Customer Focus

2 Teamwork

3 Service Delivery

4 Departmental

5 Departmental

Total Rating

Comments of the Supervisor:

___________________________________________________________________________________________

___________________________________________________________________________________________

___________________________________________________________________________________________

Agree / Do not Agree (cancel that which is not applicable)

____________________________ _________________________ ___________________________

Supervisor’s Name Signature Date

____________________________ _________________________ ___________________________

Employee’s Name Signature Date

Discuss the ratings in Section II

Action Plan to Address and/or Improve Performance Gaps

Criteria Action Time Frame

5. For Achieving Expectations (consider workshops, training, interim goals, etc)

1

2

3

4

7. For Achieving Excellence (optional)

1

2

3

4

8. For Career Development (optional)

1

2

3

4


Page 28 of 29

Discuss the ratings in Section II

Action Plan to Address and/or Improve Performance Gaps

Criteria Action Time Frame

Agree / Do not Agree (cancel that which is not applicable) __________________________ ________________________ ___________________________ Supervisor’s Name Signature Date ___________________________ _______________________ ___________________________ Employee’s Name Signature Date

INSTRUCTIONS SECTION I: Performance Standards Use at the BEGINNING of a review period to list the performance standards for each job’s responsibilities.

Responsibility: Write the name of the responsibility beginning with an action verb (e.g., “Provide supplies”).

How Monitored: Indicate how you intend to monitor performance (observation, surveys, a report, etc.).

Percent of Job: Indicate the responsibility’s importance as a percent of the job. (If you have a “miscellaneous” category, or if a responsibility has distinct parts, you may split the percentage among the parts.)

Standards: Describe the level of quantity, quality, and timeliness you expect and the level you consider excellent performance. Use the definitions below as a guide. (If you need more room, attach a list to Section I.)

Expectation: Performance would be completely acceptable if this level of quality, quantity, and timeliness was achieved, and no more.

Excellence: A much higher level of performance, which most employees would find difficult but possible to achieve.

SECTION II: Rating Performance Use at the END of a review period to rate how well the employee performed compared to the standards in Section I.

Collect Information: For example, Employee Input Form (BA 943), surveys, records, etc.

Read Performance Standards: This reminds you what aspects of performance you intend to rate.

Describe Performance: Describe the quality, quantity, and timeliness of the work the employee produced. Note unexpected problems that were beyond the employee’s control and how these were handled. Consider reviewing the description with the employee before making a rating. Use BLACK INK or TYPE.

Choose a Rating: Compare your description of the employee’s performance to the standards in Section I. Choose the rating that best summarizes how well those standards were achieved.

Enter Weight Percent of Job. Write the responsibility’s importance as a percent of the job under the rating you picked.

SECTION III: Core Competency Requirements (CCRs) Use this section for three purposes:

To identify general behaviours that should be capitalized upon when planning for career development. Consider ways to take better advantage of the employee’s strengths in the current job, and focus on these strengths when designing an action plan for career development.

To identify general behaviours that may be an obstacle to career development. Consider ways to help the employee obtain the necessary training or experience to overcome these obstacles.

To identify general behaviours that are creating difficulties in the current job. Revise the performance standards in Section I to summarize your expectations. For example, if the employee has not been helping co-workers when time permitted, and this is creating a problem, revise the Expectation Standards for the appropriate responsibilities to indicate when and how the employee is expected to help co-workers.

Administrative Steps before Interview

Sign the front of the performance appraisal form.

Forward to the Immediate Superior, director, or department head for review and signature BEFORE discussing the ratings with the employee. This allows for the possibility that some revision may be necessary before the review.


Page 29 of 29

SECTION IV: Interview and Action Plan

Discuss the ratings and summary in Section II with the employee. Also discuss Section III, if appropriate.

Develop action plans by discussing ways to help the employee improve performance, develop on the job, and/or plan for career development. Summarize the resulting action plans (if any) in the spaces provided.

Set performance standards for the next appraisal period by reviewing the standards in Section I and revising them as necessary; you may also revise each responsibility’s importance as a percentage of the job.

If you make changes, photocopy Section I of this form, write your minor revisions on the copy, and attach it to

Section I of the form you will use next time. If you make substantial changes, you may wish to start over on a new

form.

Administrative Steps after Interview

Employee signs on the front of the performance appraisal form. The employee’s signature only means that the employee had an opportunity to review and comment on the ratings.

Give the employee a copy. This will enable an employee to refer back to the ratings and action plans.

Place in department file for now. You will need Section II of the form again at the end of the year to complete the Administrative Summary.

performance management policy for the king sabata

Documents