GUIDELINES FOR THE IMPLEMENTATION AND MONITORING OF …

GUIDELINES FOR THE IMPLEMENTATION AND

MONITORING OF THE EDUCATION MANAGEMENT

SERVICE - PERFORMANCE MANAGEMENT AND

DEVELOPMENT SYSTEM (EMS PMDS) FOR OFFICE

BASED EDUCATORS

(ELRC Collective Agreement No. 3 of 2017)

Version 5.1

15 February 2019

Implementation Guideline for EMS: PMDS for Office Based Educators – Collective Agreement 3 of 2017

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Table of content

Number Contents Page

SECTION A : INTRODUCTION AND BACKGROUND

1. Introduction and Background 2

2. Purpose of the guideline document 2

3. Objectives of guideline document 3

4. The performance cycle 3

SECTION B : PROCESSES TO BE FOLLOWED BY THE EMPLOYEE AND THE SUPERVISER

5. The performance planning and agreement 5

5.1 Job descriptions 5

5.2 Performance Agreement 5-13

5.3 Developing a work plans 13

5.3.1 What is a work plan? 13

5.3.2 How to develop a work plan 13-15

5.3.3 The differences between Key Results Areas and Key Performance Indicators 15-16

5.4 Personal Development Planning 16

5.4.1 How to develop PDP 16-18

5.4.2 When should a PDP be completed? 18

6 Performance Review and Assessment 19

6.1 How performance review and assessment should be conducted? 19-25

6.2 Performance review and assessment cycle 26

6.3 Area of focus for review/assessment 26

6.4 Documents used for reviews and assessment 26

6.5 Process of submission 26

6.6 Summary of guidelines for conducting informal and formal reviews 27

6.7 Performance ratings 28

6.8 Calculating the final score 28-29

SECTION C: MONITORING THE IMPLEMENTATION OF COLLECTIVE AGREEMENTS 3&4 OF 2017

7. Performance monitoring, developing and control 31

7.1 How to conduct monitoring 31

7.2 When should monitoring be conducted? 31

7.2.1 Monitoring during the period of concluding Performance Agreement and work plan 32

7.2.1.1 How monitoring should be conducted 32

(i) Prior Monitoring 32

(ii) During monitoring 32

(iii) Completion of a monitoring tool 32

(iv) After completing the monitoring tool 32-33

7.2.2 Monitoring during the quarterly review process 33

7.2.2.1 How monitoring should be conducted? 33

8. Managing the outcomes of assessment 33

8.1 Verification of documents 33

8.1.1 When should documents be verified? 33

8.1.2 How should verification of documents be done? 34

(i) Prior monitoring 34

(ii) During monitoring 34

(iii) Completing the verification tool 34

(iv) After verification 34

SECTION D : MODERATION

9. Moderation Guideline 36

9.1 Purpose of moderation 36

9.2 Structure and composition of the moderation committee 36

9.3 Functions of the moderation committee 37

9.4 Meetings of the moderation committee 37

9.5 Moderation process 38


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9.6 Discrepancies encountered during the moderation process 38

9.7 Guidelines for conducting internal moderation 38

9.7.1 Moderation process at Head Office Level 38-40

9.7.2 Moderation process at District Offices Level 40

10. Basis for decisions on rewards 40

EXEMPLARS

Exemplar 1 Job Description 7 - 8

Exemplar 2 Annexure A 9-14

Exemplar 3 Annexure C 16

Exemplar 4 Annexure D 18-19

Exemplar 5 Reporting Template for Informal Reviews 21

Exemplar 6 Annexure E 22-25

Exemplar 7 Annexure F 28

ANNEXURES

PROVINCIAL MONITORING AND VERIFICATION TOOLS

Annexure 1 Quarterly Monitoring tool for reviews and updated work plans 40-41

Annexure 2 Monitoring tool during the period of Performance Planning and Agreement 43-44

Annexure 3 Monitoring tool for Mid-Year/Annual Assessment 46-48

Annexure 4 Data-Base template for Evaluated Officials 49-50

Annexure 5 Verification Checklist for Year/Annual Assessment 51-53

Annexure 6 EMS PMDS Compliance Certificate 54

NATIONAL/PROVINCIAL AND DISTRICT MODERATION TOOLS

Annexure 7 District Moderation tool 55-56

Annexure 8 National/Provincial and District Moderation tools 57

ADDENDUM

Typographical corrections on Collective Agreement 3 of 2017 59


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SECTION A: INTRODUCTION & BACKGROUND

1. INTRODUCTION AND BACKGROUND

The Education Management Service Performance Management and Development Scheme (EMS

PMDS) assists with the evaluation of all office-based educators. The EMS PMDS is informed by

the Education Labour Relations Council (ELRC) Collective Agreement No.3 of 2017 and replaces

the previous policy namely Collective Agreement No.3 of 2002.

Key requirements for the successful implementation of the EMS PMDS are:

i) The institutional framework which determines responsibilities for specific aspects of the EMS

PMDS.

ii) The Strategic Plan of the department which identifies priorities and specific objectives to be

achieved by various components.

iii) Performance Agreements for all employees that assign specific performance objectives and

targets to its employees.

iv) Training officials on the EMS PMDS system in order to participate fully in the processes.

In addition, the Collective Agreement 3 of 2017 states that the employer is required to develop

guidelines and instruments for the effective implementation and monitoring of the EMS PMDS for

office-based educators.

This guideline document aims to address the above requirement and must be used in conjunction

with Collective Agreements 3 and 4 of 2017.

2. PURPOSE OF THE GUIDELINE DOCUMENT

The Purpose of the guideline document is to:

i) Strengthen accountability, enhance implementation as well as to provide guidance on how to

facilitate, monitor and coordinate EMS PMDS activities within and across the National and

Provincial Education Departments (PEDs), districts and circuit offices.

ii) Provide a resource that EMS PMDS coordinators and implementers can use in EMS PMDS

processes.


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3. OBJECTIVES OF GUIDELINE DOCUMENT

i) Enable provinces to uniformly implement the EMS PMDS processes.

ii) To inculcate the spirit of managing performance with the fundamental goal of improving

employee effectiveness.

4. THE PERFORMANCE CYCLE

The Performance Cycle is from 1st April to 31st March of the following year. (*The probation cycle

is however linked to the appointment date of employees.) It can be divided into the following

phases:

Job Description

1. Performance Planning & Agreement

4. Managing

outcomes of assessment

3. Performance

Review & Assessment

2. Performance Monitoring,

Developing & Control


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SECTION B:

PROCESSES TO BE FOLLOWED BY THE EMPLOYEE AND THE SUPERVISOR


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5. THE PERFORMANCE PLANNING AND AGREEMENT

5.1 Job Descriptions

i) Supervisors should ensure that all employees have signed job descriptions.

ii) Collective Agreement 4 of 2017 should be used as a basis to develop specific job

descriptions.

iii) The format as contained in -the example below could be used for all job descriptions.

iv) Job Descriptions should be reviewed annually and signed off at the beginning of the Cycle

(before the performance agreement is developed) .see Example below :


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EXEMPLAR 1: JOB DESCRITION

Example of a completed Job Description:

JOB DESCRIPTION

A. JOB INFORMATION SUMMARY

NAME: Jerkina Bytes DATE: 01 April 2018

JOB TITLE: DCES – (PMDS & IQMS)

SALARY GRADE: 11

COMPONENT: Gauteng Department of Education

DIRECTORATE: Educator Performance Management and Development

UNIT: PMDS & IQMS

LOCATION: Head Office – Gauteng

B. JOB PURPOSE: To monitor, facilitate and support teachers and SESs on the implementation of (IQMS & PMDS) programmes in their area of responsibility.

C. KEY PERFORMANCE AREAS (KPAs)

Provide professional leadership through the implementation of systems and structures that allow for effective management. These will include the following:

o Conduct regular on-site support visits to schools/ offices; o represent the district at provincial and other relevant forums; o Coordinate and manage national, provincial and district priorities and projects; o Ensure effective and efficient utilisation of resources and information services; and o Work collaboratively to improve learner performance

Establish clear channels of communication by liaising with schools and districts.

Facilitate correct interpretation and ensure effective planning; implementation, monitoring and evaluation of policies;

Conduct analysis of data collected in order to inform and improve teaching and learning;

Facilitate and arrange workshops and training sessions on behalf of their sections/ area of responsibility; and

Any other reasonable function assigned by the employer within the job function.

D. COMPETENCIES

Monitoring and evaluation

Performance management

Decision making and initiating action

Adhering to principles and values

Analysis and interpreting

Writing and reporting

Creating, conceptualising and innovating

Organising and executing

Coping with pressure and setbacks

Time management

E. KNOWLEDGE AND SKILLS

Knowledge of the Constitution as well as other relevant Acts and policies

Experience in research on the latest developments related to curriculum transformation

A good understanding of Matrix Management

Knowledge and understanding of ICT in Education, as it relates to teaching and learning in the classroom

Interpret, analyse and apply current legislation and departmental policies

Supervisory , organisational and interpersonal skills

Proven written and verbal skills

Attention to detail and high level of accuracy, effective public relations and public speaking skills

Computer literacy-MS Word, MS Excel, MS Power point and MS Outlook


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F. JOB AGREEMENT Jerkina Bytes Jarius Nkomo

…………………………………….. ………………………………………

SIGNATURE OF POSTHOLDER SIGNATURE OF SUPERVISOR

DATE: 01 April 2018 DATE: 01 April 2018

5.2 Performance Agreement (PA) (Annexure A)

i) All Employees are required to enter into and sign Performance Agreement with their

immediate supervisor.

ii) This should be done within one month after the start of the new cycle (by the end of

April) or when an official is newly appointed during the Cycle. It is suggested that it

can be concluded at the time of completing the Annual Assessment for the previous

cycle

iii) Amendments to the agreement could be made if the employee was absent for a long

period or if there were major changes in what is expected of the employee.

iv) A new contract may be signed if the employee is promoted or transferred during the cycle.

v) All sections of the performance agreement template (Annexure A) should be fully

completed.

vi) The following must be attached to a performance agreement: A signed Job Description,

Work Plan and Personal Development Plan (PDP) for the period of the agreement.

vii) A compliance certificate must be submitted to the Moderation Committee.

viii) The PA, signed Work Plan and signed PDP should be submitted to the Moderation

Committee only if requested.

ix) The Moderation Committee/EMS PMDS Co-ordinator will forward it to the relevant section

for capturing on a database

x) Non-submissions should be identified and followed up by the Moderation Committee/EMS

PMDS Co-ordinator to ensure that all employees have performance agreements for the

relevant cycle (A letter could be issued to serve as evidence)

xi) Refer to the example of a completed performance agreement provided below :


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Exemplar 2: Annexure A

Example of a completed Performance Agreement :

PERFORMANCE AGREEMENT

EMS: OFFICE-BASED

ENTERED INTO BY AND BETWEEN

I…Jerkina Bytes (Full Name)

As the Deputy Chief Education Specialist (Position) of the

Gauteng Department of Education (Department)

(Herein referred to as the Employee).

AND

The Gauteng Department of Education (Department)

Herein represented by Dr Jarius Nkomo (Full Name)

In her/his capacity as a Director (Position) of

the Gauteng Department of Education Department).

(Herein referred to as the Employer).

WHEREBY IT IS AGREED AS FOLLOWS:

1. PURPOSE

1.1 The purpose of entering into this agreement is to communicate to the employee the performance

expectations of the employer.

1.2 The performance agreement and accompanying work plan shall be used as the basis for

assessing the suitably (during probation only) of the Employee and to assess whether the

Employee has met the performance expectations applicable to his/her job.

1.3 Should any disagreement arise between the Employer and the Employee in respect of matters

regulated by this agreement, the process outlined in paragraph 7.5 of the EMS PMDS should

be followed.

DEPARTMENT 1:

The name of the

department

(Employer) that is

offering position to

the employee.

DEPARTMENT 2:

The name of the

Department

(employer) that

enters into

agreement with

the employee.

DEPARTMENT 3:

The name

department (

employer)

represented by the

supervisor)


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2. VALIDITY OF THE AGREEMENT

2.1 The agreement will be valid for the period 1 April 2018 to 31 March 2019

2.2 The content of the agreement may be revised at any time during the above mentioned period to

determine the applicability of the matters agreed upon, especially where changes are significant.

2.3 If at any time during the validity of this agreement the work environment of the employee

changes (whether as a result of Government or Management decisions or otherwise), to the

extent that the contents of this agreement are no longer appropriate, the contents shall

immediately be revised.

3. JOB DETAILS

3.1 Province Gauteng

3.2 District Tshwane North

3.3 Persal Number 144456729

3.4 Component Teacher and professional Development

3.5 Unit PMDS & IQMS

3.6 Post/ Designation DCES

3.7 Salary Level 10

3.8 Salary Notch R423 807.00

3.9 Occupational Classification Education Specialist

4. JOB PURPOSE

Briefly describe the purpose of the job (overall focus) as it relates to the Vision and Mission of the

Department. Capture the overall accountability that the employee has in relation to his/her position as an

office based educator.

To monitor and support Districts in implementing educator evaluation

appraisals in pursuance of improved quality of basic education

Occupational

classification:

Office based

Educators are

regarded as

Education

Specialist

although

appointed at

different

ranks


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5. REPORTING REQUIREMENTS/LINES & ASSESSMENT LINES

5.1 The Employee shall report to the Director: Educator Performance Management and Development

(Job title in Department) as her/his supervisor on all parts of this agreement. The Employee shall:

Timeously alert the supervisor of any emerging factors that could preclude the achievement of any

performance agreement undertakings, including the contingency measures that she/he proposes to

take to ensure the impact of such deviation from the original agreement is minimized.

Establish and maintain appropriate internal controls and reporting systems in order to meet

performance expectations

Discuss and thereafter document for the record and future use any revision of targets as may be

necessary as well as progress made towards the achievement of performance agreement

measures.

5.2 In turn the supervisor shall:

Meet the employee to provide feedback on performance and to identify areas for development at

least four times during a performance cycle.

Create an enabling environment to facilitate effective performance by the Employee.

Facilitate access to skills development and capacity building opportunities.

Work collaboratively with the employee to solve problems that may be impacting on the performance

of the employee and generate solutions to common problems within the department, that may be

impacting on the performance of the Employee.

6. PERFORMANCE ASSESSMENT FRAMEWORK

Performance will be assessed according to the information contained in the Work Plan and the Core

Management Criteria (CMC) framework.

6.1 The KRAs and CMCs during the period of this agreement shall be set out in the table below.

6.2 The Employee undertakes to focus and to actively work towards the promotion and

implementation of the KRAs within the framework of the laws and regulations governing the

Education Sector. The specific duties/ outputs required under each of the KRAs are outlined in

the attached work plan.

Key Result Areas (KRAs) Weight

Fill in the

job title of

your

supervisor

in this

section


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1. Provide consistent support on the effective implementation Collective Agreement 3 of 2017 EMS (PMDS) to office based educators

20%

2. Annual and quarterly reporting 20%

3. Capacity building of districts on Work Plans and mid-year reviews 20%

4. Conduct monitoring and oversight visits on the implementation of EMS PMDS in districts

20%

5. Capture, collate, analyse and report on data from EMS PMDS processes 20%

TOTAL 100%

NOTE: Minimum weighting of a KRA = 5%

Maximum Weighting of a KRA = 20%

Weighting of KRAs must total 100%

The Employee’s assessment will be based on her/his performance in relation to the duties/outputs

outlined in the attached Work Plan as well as the CMCs listed below.

Core Management Criteria (CMCs) Weight

1. Job Knowledge and application 20%

2. Leadership abilities 20%

3. Interpersonal relationships 10%

4. Communication 10%

5. Service to stakeholders 10%

6. Acceptance of responsibility 15%

7. conceptual and analytical skills 15%

Total 100%

NOTE:

Minimum weighting of a CMC = 5% Maximum Weighting of a CMC = 20% Weighting for CMCs 4, 6 and 7 to be jointly decided between employee and supervisor. Weighting of 7 CMCs must total 100%

7. CONDITIONS OF PERFORMANCE

The Employer shall provide the Employee with the necessary resources and leadership to perform in

terms of this agreement. Resources requirements should be outlined in the Work Plans of individual

Employees

8. PERFORMANCE ASSESSMENT

Outline your

KRAs in this

section. Your

KPAs from

your JDs

should form

the basis of

your KRAs.

Other

factors can

be

operational

plan,

Sectoral

priorities,

Projects

The seven CMCs are

compulsory.

60% of the weighting has

been prescribed for four of

the CMCs ( CMC 1,2,3&5)

and are fixed.

The remaining 40% of the

CMCs must thoroughly be

discussed and agreed upon

between the supervisor and

the employee.

The discussion should

include what CMC and its

descriptor practically entail.

A signed PA should serve as

evidence of agreement

reached.


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The assessment of an Employee shall be based on her/his performance in relation to the KRAs and CMCs

and performance indicators, as set out in this Performance Agreement and attached Work plan.

The performance of the employee in respect of all individual KRAs and all individual CMCs will be assessed

using a 5-point scale, i.e.:

5 EXCELLENT PERFORMANCE

4 GOOD PERFORMANCE

3 COMPETENT

2 PERFORMANCE NEEDS TO IMPROVE

1 UNSATISFACTORY PERFORMANCE

The total KRAs and the total CMCs scores are combined to produce an overall performance percentage

score with percentage ranges that coincide with the above 5point assessment scale.

Employees: KRAs shall contribute 70% and CMCs 30% of the final assessment.

9. FEEDBACK

Performance feedback shall be in writing during the Mid-Year Review and Annual Performance

Assessment, based on the supervisor’s assessment of the employee’s performance in relation to the

KRAs and CMCs and standards outlined in this performance agreement and taking into account the

Employee’s/ self-assessment.

10. DEVELOPMENTAL REQUIREMENTS

10.1 The Employer and Employee agree that the following are the Employee’s key development needs in

relation to his/her current job and envisaged career path in the Education sector. Please forward the

completed form PDP to the Skills Development Facilitator (as it is a requirement for the approval of training).

*Only itemize development areas below MS EXCEL (ADVANCE)

Monitoring and Evaluation

10.2 In so far as the above training needs coincide with the Employer’s requirements and taking into

account financial realities, the Employer undertakes to expose the Employee to development in these

areas. The developmental needs of the Employee shall be reviewed as part of the September Review

Remember these

development areas

were captured in

your annual

assessment of the

previous cycle.


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and the annual assessment of performance. Details of courses, conferences, etc. to be attended shall

as far as possible be included in the Employee’s PDP.

11. TIMETABLE AND RECORDS OF REVIEW DISCUSSION AND ANNUAL PERFORMANCE

11.1 First Quarter Review (Informal) July

11.2 Mid-Year Review (Formal) October

11.3 Third Quarter Review (Informal) January

11.4 Annual Assessment (Formal) April

12. MANAGEMENT OF POOR PERFORMANCE OUTCOMES

The supervisor and employee will identify and develop interventions together to address poor and non-

performance at feedback sessions, or any time during the performance cycle.

13. DISAGREEMENTS AND GRIEVIENCES

13.1 Should any disagreement arise between the Employer and the Employee in respect of matters

regulated by this agreement, the process outlined in paragraph 7.5 of the EMS PMDS should be followed.

14. AMENDMENT OF AGREEMENT

Amendments to the agreement shall be in writing and can only be effected after discussion and agreement by both parties.

14. SIGNATURES OF PARTIES TO THE AGREEMENT

The contents of this document have been discussed and agreed with the Employee concerned.

Name of Employee: Jerkina Bytes

Signature: Jerkina Bytes .Date 01 April 2018

AND

Name of supervisor Dr Jarius Nkomo

Signature Jarius Nkomo .Date 01 April 2018

Both the employer

and the employee

must sign the PA


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5.3 Developing Work Plans (ANNEXURE C)

5.3.1 What is a Work Plan?

i) It describes what an employee will achieve within particular time frames.

ii) A work plan forms part of the performance agreement. It contains Key Result Areas

(KRAs), associated outputs/activities their performance standards and resource

requirements.

5.3.2 How to develop a Work Plan

i) The employee and supervisor jointly discuss the KRAs of the employee, the activities to

be undertaken as well as the performance indicators when developing a work plan.

ii) KRAs are derived from strategic plans, job descriptions and other applicable Departmental

requirements.

iii) The number of KRAs is not specified but care should be taken to ensure that a

manageable number is developed for the cycle. As a guide approximately six KRAs are

suggested.

iv) Each KRA should be weighted in terms of its importance in relation to the job purpose of

the employee. As a rule all KRAs should have a minimum of 5% and a maximum of 20%

weighting. These weightings should be in multiples of 5.

v) The weighting of all KRAs should add up to 100%.

vi) Where officials essentially do the same job, the KRAs should be similar.

vii) Each KRA should be broken down into activities and/or measurable outputs.

viii) For every KRA and/or related activity time-frames should be attached against which

performance can be measured.

ix) Performance Indicators (PIs) should be included for every KRA and related activities.

Together with the time-frames these PIs should reflect the expected standards of

performance.

x) Resources and enabling conditions should be indicated for each KRA when the work plan

is agreed upon.

xi) Notes on progress should be completed quarterly to update the last column of the work

plan. Such updated plans should be signed off quarterly.


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Refer to Annexure B of the Collective Agreement for further guidance.

The following serves as an example of how a work plan could be structured .

Exemplar 3 : Annexure C

Example of a completed work plan

NAME Ms SB Bytes OFFICE PMDS SERVICES

PERIOD 01/04/2018 TO 31/03/2019 DESIGNATION DCES

KEY RESULT AREA

KEY ACTIVITIES

WE

IGH

TIN

G

TIME-FRAME

PERFOMANCE INDICATORS

NOTES ON PROGRESS,CHANGED CIRCUMSTANCES, RESOURCES AND ENABLING CONDITIONS


Conducting an audit of all newly appointed office-based educators.

20% 1 Jan- 28 Feb 2018

List of new appointees to be trained and their designation within stipulated time-frames

RESOURCES & ENABLING CONDITIONS:

Laptop

Internet connectivity & emails

Telephone

Projector

Suitable venue

Budget NOTES ON PROGRESS & CHANGED CIRCUMSTANCES: Quarter 1

A notice was sent out on 22 February 2018 to all PMDS coordinators requesting them to submit the names of office-based educators in their districts/ offices who should be trained on PMDS. A list of 36 officials was compiled on 28 February 2018

The training was conducted during the week of 17-20 March 2018. A total of 32 officials attended.

Training all newly appointed office-based educators on Collective Agreement 3 of 2017

1-31 Mar 2018

100% of newly appointed officials trained as evidenced by completed attendance registers

80% of attendees rating the training as successful as evidenced by completed evaluation forms


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5.3.3 The Differences between Key Results Areas and Key Performance Indicators

BASIS FOR

COMPARISON KRA KPI

Meaning

An area of a job in which

performance is critical for making

an effective contribution to the

achievement of departmental

strategies, goals and objectives.

Key result area (KRA), alludes to

the sector of outcome within the

organization, for which the

department or unit is responsible.

A measure used to gauge the

extent to which an output has been

achieved (policy developed,

presentation delivered, service

rendered)

Key performance indicator (KPI)

means a mechanism used to

represent how well the department

is able to reach its goals.

What is it? It is a strategic factor. It is a metric (measurable)

Nature Qualitative. Quantitative

Use Outlines the scope of the job or

product.

Evaluates the success towards

goals at various levels.

5.4 Personal Development Planning (PDP)

5.4.1 How to develop PDP:

i) A discussion should take place between the supervisor and employee to identify training

and development needs based on outcomes of the (Formal) Mid-year/Annual Assessment

and the gaps identified. Training and development needs may also arise from new

objectives or operational requirements.

ii) It is expected that ANNEXURE D of the Collective Agreement (3 of 2017) will be

completed and signed. ( See example)


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Exemplar 4 : Annexure D

Example of a completed PDP

PERSONAL DEVELOPMEN PLAN (PDP)

EMS: OFFICE BASED EDUCATORS

DEPARTMENT Gauteng Education Department

COMPONENT Teacher and professional Development

DESIGNATION DCES

EMPLOYEE Ms Jerkina Bytes

SUPERVISOR Dr Jarius Nkomo

PURPOSE: To enable the manager and the employee to identify skills Development requirements and

as result agree on the steps taken to address those development gaps.

AREAS IDENTIFIEED

FOR DEVELOPMENT

OBJECTIVE OF DEVELOPMENT

TYPE OF INTERVENTION (SHORT COURSE,WORKSHOP,CONFERENCE,ETC)

TIMEFRAME

ADVANCE

MICROSOFT

EXCEL

Advance

knowledge of

EXCEL will assist

in developing

tools that will

enhance

effectiveness in

the analysis of the

reports.

Short Course 3 days

We Jerkina Bytes (Employee) and Dr Jarius Nkomo (Supervisor) agree that the above

–mentioned areas for development and the type of intervention suggested will be engaged in to achieve

the required objective for development. We also understand that due to the operational requirements of

the Department it may not be possible to undertake the training and development stated with the type of

intervention stated and/or within the time frames as stated. There is also an understanding between

ourselves that areas for development could be identified throughout the performance cycle and that this

may change the order of priority and type of intervention as stated in the plan.

Signatures:

Employee Jerkina Bytes

Date 31 March 2018


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Supervisor Jarius Nkomo

Date 31 March 2018

IMPACT ASSESSMENT

IMPACT OF DEVELOPMENT ON WORK (AFTER SIX MONTHS)

EMPLOYEE SUPERVISOR/MANAGER

Quality reports produced

Signatures:

Employee Jerkina Bytes

Date 31 March 2018

Supervisor Jarius Nkomo

Date 31 March 2018

(iii) A copy of the form or a summary of the contents should be forwarded to the relevant

training unit (Skills Development Facilitator) in line with the specifications and

requirements as set out in the Province.

5.4.2 When should a PDP be completed?

i) The first section of the PDP (ANNEXURE D) should be developed at the beginning of the

Cycle and the identified areas for development should be included in the PA.

ii) It is advised that the first part be signed off at the time of concluding the PA.

iii) The second section (impact assessment) should be completed as part of the September

Review of performance.

iv) It is advised that an additional set of signatures be added on Annexure D to cater for the

signing off of the impact assessment.

v) It is noted that the time-frames associated with the completion of Annexure 2 of the Skills

Plan require that the identified training and development needs be submitted by the end

of January.

vi) It is suggested that the outcomes of the mid-term review could be used to identify the

necessary training and developmental needs to be addressed in the following financial

year.

A second set

of signature

added to

qualify the

impact

assessment

after 6

months


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6 PERFORMANCE REVIEW AND ASSESSMENT

6.1 How performance review and assessment should be conducted?

i) Performance review meetings form an integral part of the monitoring process. These

reviews must take place quarterly in order to provide feedback on performance for the

quarter. It serves to motivate employees and to identify performance areas that need

improvement.

ii) An employee supervisor shall monitor the employee’s performance on a continuous basis

and give him/her feedback on his/her performance at least four times a year.

iii) Feedback given by a supervisor on the employee’s performance during informal reviews

should be done orally if the employee is rated as “competent” and in writing if performance

is rated as “performance needs to improve” and “unsatisfactory performance”.

iv) Feedback during formal reviews should under all circumstances be in writing.

v) It is recommended that a reporting template be developed for supervisors to complete as

evidence that the first and third reviews (informal reviews) were conducted and what the

outcome was.


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Exemplar 5 : Reporting template for informal reviews

Example of a reporting template for Informal reviews

A. DETAILS

Surname & initials of official

Persal no.: Office/chief directorate/district:

Sub-district office/unit/section:

Surname & initial of supervisor

Rank of supervisor

Date of meeting

Time Venue

B. OUTCOMES

The performance of the official was found to be “competent”/ and above in the following (tick next to relevant number):

KRAs 1 2 3 4 5 6 7 8

CMCs 1 2 3 4 5 6 7

The performance of the official was rated as “performance needs to improve”/”unsatisfactory performance” in the following: (If applicable)

Area (KRA or CMC) Suggested Improvement/ Action

SIGNATURES Staff

Member

Supervisor Date:

vi) A midterm review should be completed in writing at the end of June and an annual appraisal

at the end of March every year using the performance assessment tool (Annexure E)

vii) An example of how to complete the tool is included below


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Exemplar 6: Annexure E

Example of a completed Annual/Mid-Year Performance Assessment

ANNUAL / MID-YEAR PERFOMANCE ASSESSMENT EMS: OFFICE-BASED EDUCATOR

CONFIDENTIAL

Period under review 01 April 2016- 30 March 2017

Employee Ms Jerkina Bytes

Designation DCES

Persal number 144456729

Office Teacher and professional Development

Date of appointment to current post 7February 2010

supervisor Dr Jarius Nkomo

PART 1- COMMENTS BY EMPLOYEE

(To be completed by the Employee prior to assessment. If the space provided is sufficient, the comments

can be included in the attachment)

1. During the past year my major accomplishments as they related to my performance agreement were:

The following objectives were achieved :

i) Provide consistent support on the effective implementation Collective Agreement 3 & 4 of 2017

EMS (PMDS) to office based educators.

o An audit of all newly appointed office-based educators was conducted.

o List of new appointees to be trained and their designation within stipulated time-frames were compiled

o Invitations to the meeting were sent out a month in advance .

o Annual Meeting Schedule Meeting packages (Minutes, reports, Attendance registers)

o Minutes of the meetings were compiled within 2 weeks after each meeting

ii) Monitoring and oversight visits on the implementation of EMS PMDS processes & Job

descriptions was conducted in 15 districts and the following activities were carried out:

o Management plan for the quarter/ year was developed

o Districts were informed on impending visits.

o Tools to gather data on the number of office-based educators who have concluded Performance

Agreements, completed and signed work plans as well job descriptions were developed.

o Districts sampled signed work plans; quarterly reviews, job descriptions, and annual performance

appraisal for office-based educators were monitored.

o The implementation of quarterly reviews for office-based educators was monitored.

o 150 sampled work plans, quarterly reviews and job descriptions monitored in 15 districts are available

as evidence collected during visits.

o 15 Monitoring reports were produced.

This

confidential

section must

be completed

accurately as

information

provided will

be verified

The

accomplishment

s outlined in this

section must

reflect the

extent to which

your KRAs have

been realised

measured by the

Performance

Indicators in

your Work Plan


23

iii) Annual and quarterly reporting

o EMS PMDS quarterly reporting templates were developed. First, Second Quarter and third quarter

reports have been produced.

o EMS PMDS annual reporting template were reviewed and sent to districts for submission by 28 April

2017.

iv) Capacity building

o Training of office-based educators on Completion of Work plans, job Descriptions and Performance

Agreement was conducted. Notice and Schedule of training was sent a month in advance. Letters

requesting venues for training were issued. Training material and Programme were produced and

issued to districts. Analysis of completed training evaluation forms as well as attendance registers is

available as evidence. Training Reports were produced

v) Capture, collate, analyse and report on data from EMS PMDS processes

o An accurate data base on the following were maintained:

the number of office-based educators and updating it on a quarterly basis

annual assessment submissions

Training needs submitted

2. During the past year I was less successful in the following areas for the reasons stated:

Finalisation of the PMDS third quarter report, due to late submission by some Districts.

Rating of KRAs Employees and supervisor:

Key Results Areas (KRAs) Weight (%)

Own rating (1-5)

Supervisor’s rating (1-5)


20% 5 5

7. Annual and quarterly reporting 20% 4 5

8. Capacity building of districts on Work Plans and quarterly reviews

20% 4 4

9. Conduct monitoring and oversight visits on the implementation of EMS PMDS in districts

20% 4 4

10. Capture, collate, analyse and report on data from EMS PMDS processes

20% 5 5

Total (NOTE: Weighting of KRAs must total 100%)

100%

Score according to calculator 61,6% 64,6%

Mention a KRA/s

which was/were

not achieved.

Efforts must have

taken to achieve

the KRA/s and

evidence must be

available.

Based on

discussions & an

agreement

between the

supervisor and

employee, the

score for both

KRAs &CMCs

given by the

latter will be

regarded and

captured as final

assessment

score if not

amended by the

moderating

committee.


24

Rating of CMCs by Supervisor and Employee:

Core Management Criteria- CMCs Weight (%)

Own rating (1-5)

Supervisor’s rating (1-5)

1.Job knowledge and application 20% 5 5

2.Leadership abilities 20% 4 3

3.Interpersonal relationship 10% 5 4

4.Communication 10% 5 5

5.Service to stakeholders 10% 4 5

6.Acceptance of responsibility 15% 5 5

7.Conceptual and analytical skills 15% 4 4

Total (NOTE: Weighting of KRAs must total 100%)

100%

Score according to calculator 27,3% 26,1%

FINAL SCORE:

GRAND TOTAL EMPLOYEE’S SCORE

SUPERVISOR’S SCORE

MODERATING COMNMITTEE’S SCORE

KRA+CMC (70% +30%)

89% 91%

PART 3 - DEVELOPMENT,TRAINING,COACHING,GUIDANCE AND EXPOSURE NEEDED

(To be completed by Supervisor in consultation with Employee)

Developmental need Intervention strategy Timeframe responsibility

Monitoring and evaluation

Short course 2 weeks GDE

MS Excel ( Advance) Short course 5 days GDE

PART 4- RECOMMENDATIONS/COMMENTS

1. EMPLOYEE’S COMMENTS

I have worked diligently and passionately to attain the Annual objectives for the year 2016-17 outlined in Part 1 of the assessment form above

2. SUPERVISOR’S COMMENTS

Ms Bytes is a hardworking official who is determined to improve on tasks given and makes valuable

contributions to all activities in the Directorate. She has proved to be a good writer of reports and is

articulate in her presentation of work. She has an ability to critically analyse content and contribute positively

towards supporting districts. She has achieved all key results areas of her Work Plan.

AGREED:

Signatures:

Employee J. Bytes

Remember the

information

captured in this

section must be

itemised in your

PA under

developmental

requirements

section

completed at

the start of the

new cycle.

The signature

section must be

filled by both the

supervisor and

the employee

upon agreement

on the outcome

of assessment.


25

Date 30 March 2017

Supervisor J Nkomo

Date 30 March 2017

3. COMMENTS BY MODERATING COMMITTEE

Name

Signature

Date

6.2 Performance review and assessment cycle

6.2.1 The reviews should be scheduled and conducted as follows:

Review type/assessment Type Period Under Review Due Date

First Quarter Review Informal April – June 31 July

Mid-Term Review Formal April-Sept 31 October

Third Quarter Review Informal Oct-Dec 31 January

Annual Assessment Formal April – March 30 April

6.2.2 Area of focus for Review / Assessment

i) Key Result Areas (work plan)

ii) Core Management Areas( CMCs)

*(Required: Agree on ratings per Key Result area as well as CMCs)

6.2.3 Documents used for reviews/assessment:

i) Annual/Mid-Year Performance Assessment (Annexure E).

ii) Performance Agreement (Annexure A).

iii) Work Plan (Annexure C).

iv) Assessments: Review progress in terms of targets for the quarter under review.

The accomplishments

outlined in this section

must reflect the extent to

been successfully

realised as measured by

your Performance

Indicatos in your work

plan.

Remember

the

informatio

n captured

here must

be

itemised in

your PA

under the

developme

ntal

requireme

nts section

completed

at the start

of the new

cycle


26

v) Portfolio of Evidence File – Accumulated Per Key Result Area.

6.3 Process of submission

The supervisor submits the agreed and signed reviews and appraisal.

PMDS unit quality assure and capture the reviews on database/ PERSAL

6.4 Summary of guidelines for conducting informal and formal reviews

Action Responsibility Notes

1. Scheduled quarterly review meetings

at the end of every quarter June,

September, December Supervisors

Time frames reflected in EMS

PMDS Management Plan

Time frames reflected in

Activity Plans

2. Notice to be given at least 10 working

days in advance regarding specific

times (schedule) and venue for review

meetings

Supervisors

Evidence of written Notices &

Meeting schedule

3. Employees to conduct self-

assessment to determine their

progress against the work plan Employees

ANNEXURE E used for self-

assessment

Evidence of performance to be

provided where possible

4. Supervisors prepare for the

assessment of all office-based staff

reporting to him/her by reflecting on

actual performance against set targets

and performance against capabilities

over the past quarter

Supervisors

Evidence of performance to be

collected/recorded throughout

the term

ANNEXURE E to be used

5. Discussions take place and

agreement is reached on comments

on performance against key results

areas and capabilities and associated

ratings

Supervisors &

Employees

Comments and ratings agreed

upon to be recorded

6. Possible training and development

needs identified and relevant actions

to address the needs discussed and

agreed upon

Supervisors &

Employees

Agreed upon information

captured on the ANNEXURE D

(PDP template)


27

Action Responsibility Notes

7. Annexure E as prescribed by

Collective Agreement 3 of 2017 Supervisor/Employee

ANNEXURE E finalized

immediately or at least within 2

working days of the review

discussion

8. Both parties initial, sign and date the

completed document

Supervisor and

employee

Done immediately or at least

within 2 days of the discussion

6.5 Performance ratings

The performance of the employee in respect of all individual KRAs and all individual CMCs

will be assessed using a 5-point rating scale as illustrated below:

RATING CATEGORY PERCENTAGE

1 Unsatisfactory Performance 0% - 49%

2 Performance needs to improve 50% - 59%

3 Competent 60% - 75%

4 Good Performance 76% - 90%

5 Excellent Performance 91% - 100%

6.6 Calculating the final score

In calculating the final score, each employee must be assessed against both KRAs and CMCs.


28

Exemplar 7: Annexure F

Example of calculating the final score

Calculating the Final Score (ANNEXURE F)

In calculating the final score, each employee must be assessed against both KRAs and CMCs.

KRA (70%) CMC (30%) FINAL SCORE (100)

56.0% 17.4% 73.4%

Calculator- example

KRA WEIGHT RATING SCORE CMC WEIGHT RATING SCORE

1 20 4 16 1 20 5 20

2 20 4 16 2 20 5 20

3 20 4 16 3 10 5 10

4 10 4 8 4 10 4 8

5 20 4 16 5 10 4 8

6 10 4 8 6 15 4 12

7 0 7 15 3 9

100 80 100 87

KRA WEIGHT 70% CMC WEIGHT 30%

KRA SCORE 56.0% CMC SCORE 17.4%

FINAL SCORE 73.4%

Guide to calculating score

1. KRA

KRA 1 Score = (rating *weight)/5

= (4 *20) /5

= 16

KRA Score (%) = (KRA Weight* Total)/100

= (70 * 80) /100

= 56%

2. CMC

CMC 1 Score =(rating* weight)/5

= (5 * 20) /5

= 20

CMC Score (%) = (CMC Weight * Total) /100

= (20 * 87) / 100

= 17.4%

3. FINAL SCORE

Final Score

%= KRA Score (%) + CMC SCORE (%)

= 56% + 17.4%

= 73.4


29

SECTION C:

MONITORING THE IMPLEMENTATION OF

COLLECTIVE AGREEMENTS 3 & 4 OF 2017


30

7. PERFORMANCE MONITORING, DEVELOPING AND CONTROL

Performance monitoring on individual level should be a continuous process undertaken

by the employee as well as all supervisors. It should be done to determine the level of

performance, to identify gaps and barriers that may exist.

To ensure that the Collective Agreement 3 of 2017 is implemented as expected it becomes

important to monitor the processes and to provide support where necessary.

7.1 How to conduct monitoring?

i) The following processes (amongst others) are expected to unfold and should be

monitored:

Agreeing on and concluding Performance Agreement and work plans within the

prescribed timeframes.

Quarterly reviews ( Informal Reviews)

Annual Assessment and Mid-Year reviews ( Formal)

iv) Quarterly monitoring of these processes is recommended.

v) The organisational structures of different Provinces differ and so too the number of

personnel dedicated to ensuring that the PMDS policy is effectively implemented.

vi) The way in which monitoring will unfold therefore depends on the structure and the number

of dedicated staff at the various levels and offices. However, it is expected that monitoring

be done by Provincial officials to ensure that the data collected in relation to the various

PMDS processes are both credible and trustworthy.

vii) Sampling can be used during the monitoring process and the sample size may depend on

the targets of the Provincial official according to the Annual Performance Plan ( APP) of

the Department or any other agreed upon standard within the Province.

viii) For every monitoring conducted a monitoring tool should be completed and a subsequent

report should be compiled.

7.2 When should monitoring be conducted?

Monitoring should be conducted on a quarterly basis or as often as required in order to

report effectively on PMDS processes.


31

7.2.1 Monitoring during the period of concluding Performance Agreement and

completing work plan.

This monitoring should be done after April (during quarter1 of the financial year if

possible or early in quarter 2) when the contracting phase should have been completed.

7.2.2 How monitoring should be conducted?

i) Prior Monitoring

Release a Monitoring Notice and Schedule approximately 1 month in advance.

ii) During Monitoring

Keep a database on all submissions made (on EXCEL or any other database used for

office-based educators)

7.2.2 Monitoring during the mid-year /annual review process

The monitoring is conducted quarterly during quarters 2 – 4.

(*Every monitoring is based on the reviews for the previous quarter).

7.2.2.1 How monitoring should be conducted?

This monitoring should be done in exactly the same way as outlined above under

the monitoring during the period of concluding Performance Agreement and

completing work plan.

8. MANAGING THE OUTCOMES OF ASSESSMENT

8.1 Verification of documents

8.1.1 When should documents be verified?

Verification of Annual Performance Review and Assessment documents is done just after

the closing date (March/April) for the Annual Assessment process.

8.1.2 How should verification of documents be done?


32

(i) Prior Monitoring

A Departmental Circular/Notice is sent out approximately 1 month in advance to inform

officials of the due dates for submission and the Verification schedule and the process

to be followed.

It should be stated in the Circular/ Notice that scores be captured on the summary of

scores template.

(ii) During Monitoring

Keep a database on all submissions made (on EXCEL or any other database used for

office-based educators) ( ANNEXURE H)

(iii) Completing the Verification tool ( Annexure I &J )

Complete the Verification Tool for every official who submitted documents.

(iv) After Verification

Documents are returned for corrections & corrected documents are submitted

according to due dates which should have been specified in the Circular/Notice

released.

(*Documents not submitted during the verification process should be verified by the supervisors

and a motivation for its acceptance should accompany their submissions)

(v) Documents are then forwarded to the relevant HR section for the capturing of scores.


33

SECTION D: MODERATION


34

9. MODERATION

9.1 Purpose of Moderation

The purpose of moderation is to ensure that:

i) Supervisors evaluate performance in an equitable and consistent manner across the

department; and

ii) There is a common understanding of the standard required at each level of the rating

scale.

9.2 Structure and composition of the Moderation Committees

National level (established by DG)

Provincial level (established by the HOD)

District level (established by the

Director)

i) Head of Human Resource Management ( Chairperson)

ii) Two (2) representations from

senior management iii) EMS PMDS coordinator

i) Head of Human Resource Management (Chairperson)

ii) Two (2) representations

from senior management iii) PMDS coordinator

i) District Director ii) Two (2) representations from

the District Management Team (DMT)

iii) PMDS coordinator


35

9.3 Functions of the Moderation Committee

* The above process does not take away the right of an employee to invoke formal dispute resolution procedures if aggrieved by the outcome of the moderation committee.

9.4 Meetings of the moderation committee

Level & frequency of meetings

Meet Activities during moderation

National and Provincial (Meet at least twice per performance cycle)

At the end of the performance cycle

To review and moderate overall assessment results.

At the start of the new cycle To monitor the results of performance planning and agreement to ensure consistency within the department

District level (Meet at least twice per performance cycle)

To ensure that employees and their supervisors are complying with all the EMS PMDS requirements

Additional meetings may be arranged at all levels as the need arises.

National and Provincial level District level

i. Ensure compliance with Collective Agreement 3 of 2017

ii. Provide oversight of the EMS PMDS, especially ensuring that the process for setting performance standards in the Pas is valid and objective.

ii. Resolve any differences

iii. Detect potential problems in the system (early warning) and advise the HOD accordingly.

iii. Identify issues of non-compliance

iv. Review overall assessment scores in the department to ensure consistency.

v. Submit reports to the provincial moderation committee on its activities

vi. Make recommendations re: actions where managers and supervisors do not properly and fairly execute their responsibilities regarding assessments and ratings.

vii. Submit reports to the DG/HOD on their activities.


36

9.5 Moderation process: Two (2) levels

Level Purpose

i) Individual

To ensure that supervisors are agreeing with their subordinates on work plans.

Appraising performance in a realistic, consistent and fair manner.

ii) Departmental / District

Ensure that departmental plans are developed and procedures are followed and achieved by ensuring that: i. Supervisors overview the performance management actions and

assessment outcomes of their subordinates. ii. Scores given across the department are valid and authentic. iii. Grievances referred to are amicably resolved.

9.6 Discrepancies encountered during the moderation process

Moderation Committees: Dealing with discrepancies or deviations

i) If there are deviations or discrepancies

Refer back to supervisor with reasons for referral.

Request that the rating be reconsidered.

ii) In cases of any disagreement between the employee and the supervisor, all efforts should be made to resolve such agreements at that level.

(iii) A moderation committee may not change an individual employee’s score, without first referring it back to the supervisor who made the assessment, or any moderation sub-committee that might have been involved.

(iv) A moderation committee may adjust an overall assessment score (all scores are adjusted as a group) by the same quantum.

(v) A moderation committee must keep detailed minutes of all decisions made.

9.7 Guidelines for conducting internal moderation

The following role players should engage in the internal moderating process to ensure that

consistency of standards is maintained across their respective areas of responsibility.

9.7.1 At Head Office level

i) Chief Directors are responsible for moderation in their different chief directorates.

ii) Directors are responsible for moderation in their directorates. Depending on their structure,

some directorates will have more levels than others.


37

iii) Supervisors at CES level will appraise office-based educators at both DCES and SES levels.

All those at CES level in that particular directorate will meet to compare their preliminary

ratings before discussions with staff.

iv) The director will moderate all ratings of the supervisors on CES level before adding his/her

final signature.

v) Before approving and adding his/her final signature, the Chief Director (CD) will moderate the

final ratings submitted by the directors in his/her chief directorate.

9.7.1.1 The processes at Head Office:

i) Supervisors on all levels prepare for appraisal interviews with staff members in their

respective areas of responsibility.

ii) Supervisors meet with their managers and other supervisors on their level to compare all

preliminary ratings, before discussion with staff;

iii) Discuss the spread of ratings, and

iv) Adjust the ratings ‘up’ or ‘down’ if they appear to be too ‘unreasonable’ (‘harsh’) or ‘too

reasonable’ (‘lenient’).

v) This process cascades upwards, with each Chief Directorate/Directorate responsible for

ensuring equity and consistency within their area of control.

vi) Managers should not re-assess ratings, but only question the spread of ratings, as well as

apparent skewing or inconsistency (weak area, not performing well, yet high ratings are

given across board)

vii) A higher level supervisor may request the lower level supervisor to review his/her

preliminary ratings, and possibly make appropriate adjustments. The supervisor who

made the initial ratings is responsible for making the adjustments. This occurs before

discussion with staff to minimise the need for adjustments after discussion with

staff.

viii) This process could be repeated, i.e. a supervisor could be requested to review his/her

ratings again if, after the formal process, the ratings are still questionable.

ix) The review of ratings is directed at supervisors, not individual staff members being

appraised. It seeks to examine situations where the rating is different from that which

would normally be expected and serves to establish justification for such ratings.

x) In the moderation process there should be a reviewing officer who looks at individual

assessments to ensure consistency, fairness and reflection of reality. The purpose is to

test the validity of the assessment.


38

xi) The supervisor’s manager i.e. the Director plays the role of reviewing officer.

xii) The reviewing officer (Director) then signs the final ratings of all staff assessed by

supervisors who report directly to him/her.

9.7.2 At District level

i) At the District, supervisors on DCES level may appraise SES and ES office-based

educators.

ii) CES level supervisors will moderate ratings completed by DCES level supervisors. CES

level supervisors will meet to compare their preliminary ratings before discussions with

staff.

iii) The director will moderate all ratings before adding his/her final signature. Before

approving the ratings and adding his/her signature, the Chief Director will moderate the

final ratings submitted by the directors in his/her chief directorate.

9.7.2.1 Processes at District Offices

i) The same procedures as described above are followed.

ii) In addition to the above, the pillar heads could form a committee to look at individual

assessments to ensure consistency, fairness and reflection of reality. This would serve to

measure the validity of the assessment.

iii) The director plays the role of reviewing officer and signs the final ratings submitted to

him/her by supervisors at CES level.


39

10. BASIS FOR DECISIONS ON REWARDS.

10.1 The parties to the council agreed that the basis for decisions on rewards and other

measures that require certain levels of performance shall be the applicable regulations in

terms of the Public Service Act (1994) as amended.( ELRC, Collective Agreement 3 of

2017 – paragraph 4.2, page 2)

10.2 All decisions taken relating to this Agreement must be in line with the Public Service Act

and Regulations applicable to office-based educators.

(Refer to DPSA Circular No. 01 of 2019 as attached below)

DPSA Circ_No

1_2019


40

ANNEXURES

ANNEXURE 1: QUARTERLY MONITPRING TOOL FOR REVIEWS &UPDATED WPs

Quarter:

EMS PMDS Cycle:

According to Circular/Notice Dated

Office/Chief Directorate/ District:

Circuit/Area Office (where applicable):

Name of Manager/Chief Director/Circuit/Area

Manager:

Date:

SECTION A: GENERAL INFORMATION:

1. Number of office-based educators

2. Number of office-based educators who

handed in documents for monitoring

3. Number of office-based educators whose

documents were sampled for monitoring

4. Officials who did not submit any documents 5. Officials whose documents were sampled

SECTION B: WORK PLANS:

QUESTIONS YES NO COMMENTS

1. Are work plans with notes on

progress for the quarter available

for all employees?

2.Have all work plans with notes on

progress been signed by both the


41

employee and the supervisor?

The following is based on the sampled work plans containing notes on progress:

3. Has the last column been

comprehensively updated to indicate

performance for the term?

ADDITIONAL COMMENTS ON THE WORK PLANS:

SECTION C: QUARTERLY REVIEWS (June/ December )


1. Is there evidence that quarterly

reviews were conducted for all

office-based educators?

The following is based on the sampled officials’ reviews:

2. Were the performance of the

sampled officials rated as

competent/above (indicate the

number under “yes”). Note: If

performance was rated as

“performance needs to improve” or

“unsatisfactory performance”

indicate the number under “No”.

3.If there were any sampled officials

rated below the competent level,

was it indicated in writing

SECTION D: FINDINGS AND RECOMMENDATIONS

SECTION E: SIGNATURES

NAME OF MONITOR SIGNATURE DATE

NAME OF PERSON WHO RECEIVED

REPORT

SIGNATURE DATE


42

ANNEXURE 2: MONITORING TOOL DURING THE PERIOD OF PERFORMANCE

PLANNING AND AGREEMENT




Manager:

Date:







Officials who did not submit any documents Officials whose documents were sampled

SECTION B: JOB DESCRIPTIONS


1. Are Job Descriptions available for the current cycle

for all employees?

2. Have Job Descriptions been signed?

SECTION C: WORK PLANS


1. Are work plans available for the current cycle for all

employees?

2. Have all work plans been signed?

The following is based on the SAMPLED WORK PLANS:


3. Are there Key Results areas

in the sampled work plans


43

4. Are the Key Results areas in the sampled work plans

clearly stated?

5. Are the activities in the sampled work plans clearly

indicating the actions that will be undertaken to

achieve the KRAs set?

6. Are the performance indicators in the sampled work

plans relevant to the outcome/activities

7. Were resources and enabling conditions clearly

indicated?

Additional comments on the WORK PLANS

SECTION D : PERFORMANCE AGREEMENT


1. Are Performance Agreements available for the current

cycle for all employees?

2. Have all Performance Agreements been concluded

and signed?

THE FOLLOWING IS BASED ON THE SAMPLED PERFORMANCE AGREEMENTS


3. Have the following sections been fully and correctly

completed:

3.1 The information of the parties to the agreement

3.2 Period of the agreement

3.3 Job Details Section

3.4 Job Purpose

3.5 Job Title of the person the staff member reports to

3.6 KRAs and its weighting

3.7 CMCs and its weightings

3.8 Developmental Requirements

3.9 Signatures and dates

Additional comments on Performance Agreements

SECTION E: PERSONAL DEVELOPMENT PLANS (PDPs)


1. Are PDPs attached to Performance Agreements of all officials?


44

2. Have all PDPs been signed?

The following is based on the SAMPLED PDPs:


3. Were all details in the first part of the form fully and correctly completed?

4. Was the section on the identified needs fully and correctly completed?

SECTION E: GENERAL COMMENTS & RECOMMENDATIONS

SECTION F: SIGNATURES

NAMES OF MONITOR/S SIGNATURES

NAME OF PERSON WHO RECEIVED THE REPORT SIGNATURE

DATE: DD/MM/YY

DATE: DD/MM/YY

A monitoring tool (ANNEXURE 2) above must be completed as follows :

Section C items 3-6 are information based on sampled work plans ONLY, the

rest of the items are applicable to findings based on all submissions received

Fill in totals under both the “YES” and “NO” columns (unless it’s a zero)

The totals should tally with the number of submissions RECEIVED (not the number

expected)

The totals in B2 & C2 should correlate with the totals indicated under “YES” in items

B1 & C1

NB.: The templates on each sheet should not be altered in any way (no adding or

deleting of columns on the excel template) as there are automatic links with other

sheets where the statistics are automatically added and percentages are calculated

for reporting purposes.

OFFICE STAMP


45

iv) After completing the tool

The excel sheets serves as reports per office and provides immediate feedback to

the officials on the findings and recommendations.

Copies should be made of all printed sheets and originals should be filed as

evidence of Monitoring conducted.

Letters addressing Non-Submission are automatically populated and should be

printed and given to the accounting official for a response on the reasons for non-

submissions. These are printed and given to the accounting official with the copies

of the printed reports.

Narrative Reports are generated within a week of the monitoring exercise by using

the automatic excel summaries, analysis and comments on the printed reports.

Follow-ups should be made on the reasons for non-submissions after the d-dates

therefore passed and a summary report could be done as an addendum to the

main report.


46

ANNEXURE 3: MONITORING TOOL FOR MID-YEAR AND ANNUAL ASSESMENT

PMDS MONITORING & SUPPORT

MID-YEAR AND ANNUAL ASSESSMENT

Quarter:

PMDS Cycle:

According to Circular/Notice Dated




Manager:

Date:







2. Officials who did not submit any

documents

3. Officials whose documents were

sampled

SECTION B: WORK PLANS:


1. Are work plans with notes on

progress for the quarter

available for all employees?


47

2. Have all work plans with notes on

progress been signed by both the

Employee and the supervisor?

The following is based on the sampled work plans containing notes on progress:

3. Has the last column been

Comprehensively updated to indicate

performance for the term?

ADDITIONAL COMMENTS ON THE WORK PLANS:

SECTION C: MID-YEAR/ ANNUAL ASSESSMENT:


1. Has the Mid-Year/ Annual

Assessment been conducted for

all employees?

2. Have all Mid-Year/ Annual

Assessment been signed by both

the supervisor and the

employee?

The following is based on the sampled Mid-Year/Annual Assessments:


4. Have all details in the first section

been completed?

5. Are comments on major

accomplishments completed by staff

members?

6. Are comments on areas in

which the official was less successful

filled in?

7. Were all ratings for KRAs

correctly filled in?

8. Were all CMCs ratings correctly

filled in?

9. Have final scores been correctly

completed?


48

10. Has the section on

developmental needs been fully

completed?

11. Did the employee comment?

12. Did the supervisor comment?

13. Did both the staff member and

the supervisor sign and date the

document?

SECTION D: MODERATION

1. Was there any evidence that

moderation took place?

SECTION E: GENERAL COMMENTS & RECOMMENDATIONS

GENERAL COMMENTS:

RECOMMENDATIONS:

SECTION F: SIGNATURES

NAMES OF MONITOR/S SIGNATURES

NAME OF PERSON WHO RECEIVED THE

REPORT

SIGNATURE

DATE:DD/MM/YYYY

OFFICE STAMP


49

ANNEXURE 4: DATA-BASE TEMPLATE FOR EVALUATED OFFICIALS

SUMMARY OF EMSPMDS SCORES FOR THE 20.../.. CYCLE

CHIEF DIRECTORATE / DISTRICT : KEY NOTE

DIRECTORATE/ AREA OFFICE: KRAs Key Result Areas Check

ANNEXURE B

SECTION/UNIT

TOTAL NO OF OFFICE BASED

EDUCATORS : CMCs

Core Management

Criteria

Check

ANNEXURE A

NO. OF OFFICIALS APPRAISED: FS Final Score

On ANNEXURE E;

has the FS been

added correctly

NO OF OFFICIALS NOT APPRAISED: PL Post Level

DETAILS OFFICIALS WHO HAD TO COMPLETE AND SUBMIT ANNUAL ASSESSMENT

DOCUMENTS

No. SURNAME INITIAL

S

PE

RS

AL

NO

.

RA

NK

PL

Su

bm

itte

d

(Y-Y

es/

N-

No

)

KR

As

CM

Cs

FS

REASON FOR

NON-

SUBMISSION

(Where Mid-

Term/Annual

Assessment

was not done)

1 0

2 0

3 0

Date:

Approved By (Surname & Initial).

Signature:

Date:


50

Chief Directorate/ District: Directorate/ AO: Section/ Unit: Supervisor's Name Y : means it was

submitted

N : means not

submitted

No

Nam

es

Jo

b

Desc

rip

tio

n

Co

ver

(F8)

Wo

rk

Pla

n

(F1)

(KR

As)

wo

rk

pla

n

rati

ng

:

Sta

ff

Wo

rk

pla

n

rati

ng

:

Su

perv

iso

r

CM

Cs

Sta

ff

CM

Cs

Su

perv

iso

r

Fin

al S

co

re

PD

P

AN

NU

AL

RE

VIE

W

Oth

er

Co

mm

en

ts

1

2

3

Summary handed in (hard

copy)

No of office-based

educators Verified By:

Signature/s

Electronic summary handed

in:

No of office-based

educators appraised Date:


51

ANNEXURE 5: VERIFICATION CHECKLIST FOR EMS :PMDS ANNUAL ASSESSMENT

A. DETAILS OF OFFICE-BASED EDUCATOR FOR WHOM THE CHECKLIST IS

COMPLETED:

SURNAME & INITIALS OF OFFICIAL

PERSAL No.:

OFFICE/CHIEF DIRECTORATE/DISTRICT:

AREA OFFICE/UNIT/SECTION:

DATE:

B. DETAILS OF SUPERVISORS TO THE OFFICE-BASED EDUCATOR FOR WHOM THE

CHECKLIST IS COMPLETED:

SURNAME & INITIAL OF OFFICIAL

RANK

OFFICE/CHIEF DIRECTORATE/DISTRICT:

AREA OFFICE/UNIT/SECTION:

DATE:

STATEMENT Indicate with a tick (√) in the relevant

column

Job Description Yes No

1. Is the job description included in the submission package

for the official?

2. Are all details completed on the document?

3. Has it been signed and dated by both the supervisor and

the employee?

ANNEXURE C (Work Plan) Yes No

1. Is the form included in the submission package for the

official?

2. Are all details in the top section of the form completed?

3. Are notes on progress column fully and comprehensively

completed?

4. Is it indicated whether the contents were agreed upon or not

(bottom section)?

5. Is the form signed by both the supervisor and the

employee?


52

6. Do the dates on which the form was signed correlate with

the annual Assessment date?

ANNEXURE E (Annual Work Plan Rating-Employee) Yes No

1. Is the ANNEXURE included in the submission package for

the official?

1. Are all details in the ANNEXURE completed?

2. Are comprehensive comments made to justify ratings

allocated?

3. Are all ratings (per key result area) indicated and clearly

discernable?

4. Is the KRA score clearly indicated?

5. Is the CMC score clearly indicated?

ANNEXURE E (Annual Work Plan Rating-Supervisor) Yes No

1. Is Annexure E included in the submission package for the

official has supervisor’s ratings?

2. Are comprehensive comments made to justify ratings

allocated?

3. Are all ratings (per key result area) indicated and clearly

discernable?

4. Is the KRA score clearly indicated?

5. Is the CMC score clearly indicated?

6. Is it indicated whether the contents were agreed upon or not

(bottom section)?

7. Is the form signed by both the supervisor and the

employee?

8. Do the dates on which the form was signed correlate with

the annual Assessment date?

ANNEXURE A (Performance Agreement) Yes No

1. Is ANNEXURE A included in the submission package for

the official?

2. Has the form been fully completed?

3. Are the KRAs clearly indicated?

4. Is the weighting of KRAs correct?

5. Are the CMCs clearly indicated?

6. Is the weighting of KRAs correct?

7. Did the officer (employee), supervisor and the reviewer

(next level supervisor) sign and date the form?


53

8. Do the dates correlate with the annual Assessment date?

ANNEXURE D (Personal Development Plan) Yes No

1. Is ANNEXURE D included in the submission package for

the official?

2. Has the form been fully completed?

3. Did the officer (employee), supervisor and the reviewer

(next level supervisor) sign and date the form?

4. Do the dates correlate with the annual Assessment date?

Formal reviews Yes No

1. Are the two formal assessments included in the submission

package for the official?

2. Are two formal assessments done on the ANNEXURE E of

the Collective Agreement 3 0f 2017.

3. Are all sections of the two reviews fully completed?

4. Are signatures in all two reviews attached for both the

employee and the supervisor?

5. Are the dates on which the reviews were signed indicated?

NB*If any of the items listed in the checklist was indicated as “No” then the documents of the official should

be returned for inclusion or correction and a new checklist should be completed when documents are re-

submitted. Final submission to the Provincial PMDS Unit should indicate a “Yes” for all items/questions for

the submission to be considered for approval based on the motivation from the relevant Senior Manager of

the Office/Chief Directorate/District.

DELARATION BY SUPERVISOR:

I hereby declare that all aspects indicated in this checklist are correct.

Signature: ________________________________

Date: ________________________________


54

ANNEXURE 6: EMS PMDS COMPLIANCE CERTIFICATE

Employee Details 1 = Yes 0 = No

No PA

No. PERSAL

No Surname Init. Component

Job Title

Jo

b D

es

cri

pti

on

(JD

)

Perf

orm

an

ce A

gre

em

en

t (P

A)

Wo

rk P

lan

Pers

on

al D

eve

lop

men

t P

lan

(PD

P)

Reasons:

Prioritised Developmental

Needs

Sick Leave

Maternity Leave

Retired

Resigned

Only 2 Contract

Other (indicate reason)

1

2

3

4

Total

VALIDATION

Name Signature Date

Component Head Director:

EMS PMDS COMPLIANCE CERTIFICATE 20 ____

Branch: Performance Agreements (PAs)

for period:

01 April 20__ to 31 March 20__

Chief Directorate:

Directorate/ District:

Component

Total Component Staff:


55

ANNEXURE 7: DISTRICT LEVEL MODERATION TOOL

*NB.: Moderation documents should be developed for the various phases, namely:

Performance Planning and agreement phase;

Review phase

Mid-tem & Annual Appraisal Phase

DISTRICT LEVEL MODERATION FORM

DISTRICT\ OFFICE

DIRECTORATE\SECTION

NAME OF UNIT HEAD

MODERATION DATE

Performance Planning and agreement phase:

DOCUMENTS REQUIRED YES NO

1. Does each officials in the district have :

1.1. A signed Job Description

1.2. A signed Annual Work Plan ( Annexure B)

1.3. Performance Agreement ( Annexure A)

1.4. A Personal Development Plan ( Annexure D)

MODERATION YES NO

1. Does the work plan adequately and fairly reflect the requirements and level of the

job?

2. Are the work plans of the staff doing the similar the job of equal value?

3. Has the next highest level manager, verified that the work plans of the supervisors

supervised by him or her are of equal value?

Mid-term & Annual Appraisal Phase:

5. Have all supervisors given notice of ten working days to the employee before

Assessment takes place?

6. Have the managers and other supervisors at their same level met to compare the

preliminary ratings of their employees(these should occur before discussions with

staff about the final performance rating)

3. Have the supervisor discussed the spread of ratings?

4. Have the ratings been adjusted “up” or” down”


56

I verify that I have checked moderation and completed first level moderation for all the Office Based officials

whom I supervised in accordance to Collective Agreement 3\2017

COMMENTS

Signature Section

Signature of Unit Head

Date

Name of Sub Directorate Head

Signature of Sub Directorate Head

Date


57

ANNEXURE 8: NATIONAL /PROVINCIAL LEVEL MODERATION TOOL

Provincial Level Moderation Report

Provincial Department

Moderation Date

Names Designation Signatures

1.

2.

3.

ASSESSMENT YES NO

1. Has the provincial committee reviewed the spread of ratings across the

Department?

2.1 Has the provincial committee identified any abnormalities regarding the spread of

ratings?

2.2 If ‘YES’, has the relevant Head been called to justify or clarify these ratings?

3. Has the provincial committee C considered the risks of ‘Central Tendency’ and

‘Leniency’ when reviewing the spread of ratings?

4.1 Did the provincial committee reassess any individual ratings?

4.2 If ‘YES’, have follow-up procedures been put in place?

5.1 Does the provincial committee regard the spread of ratings as a true reflection of

performance by office-based educators in the provinces?

5.2 If ‘NO’, please clarify in the ‘Comments’ section below.

NB: The Committee’s role is to maintain a strategic overview of the process, not to get involved in

second-guessing or reassessing the ratings of individual staff.

I verify that the provincial committee has completed the provincial level of moderation for all the

office-based in the province in accordance with Collective Agreement 3 of 2017.

COMMENTS:

Chairperson Name

Signature:

Date:


58

Additional information, clarity or general information in relation to the Education

Management Service – Performance Management and Development System (EMS

PMDS) - Implementation Guidelines or related information may be requested from the

Performance Management coordinators in their respective provinces/departments as

follows:

Eastern Cape Department of Education

Mr Afrika Ngewana

Tel: 040 608 4753

Fax: 040 608 4249

Email: [email protected]

Free State Department of Education

Mr Mzamo Jacobs

Tel: 051 404 8750

Fax: 086 619 8718


Gauteng Education Department

Ms Jeannette Moema

Tel: 011 843 6645

Fax: N/A


KwaZulu-Natal Department of Education

Mr. Bafana Zwane

Tel: 033 846 5127

Fax: 086 497 6747

[email protected]

Limpopo Department of Education

Ms Mudzunga Farisani

Tel: 015 291 2662

Fax: 086 558 3313


Mpumalanga Department of Education

Mr Doris Hlungwani

Tel: 013 766 5053

Fax: 086 826 5919


Northern Cape Department of Education

Mr Eric Martins

Tel: 053 839 6682

Fax: N/A

Email: emartin.ncpg.gov.za

North West Department of Education and

Sports Development

Mr Simon Malindi

Tel: 018 389 3062

Fax: N/A


Western Cape Department of Education

Mr Matthys Cronje

Tel: 021 467 2480

Fax: N/A


Department of Basic Education Ms Thandi Khoza

Tel: 012 357 3329

Fax: 086 734 3416

E-mail: [email protected]


59

ADDENDUM

Typo corrections on Collective Agreement 3 of 2017

Area of error Area of correction Correct terminology

Glossary of terms: Page 9 Paragraph on Grievance Rules:

The rules for dealing with the

grievances of employees in

Education, as contained in the

Administrative Administration

Measures.

Personnel Administrative

Measures

Performance Planning and

Agreement Page: 15 (b)

A work Plan containing the

KRAs, outputs, activities and

resource requirements. (Refer

to Annexure B)

Annexure C (Work Plan

template)

7.3 Performance Assessment

Instruments: Page 21

The annual / mid – year

assessment instruments

applicable to office - based

educators (Refer to Annexure

D)

Annexure E (Annual / Mid –

Year Performance Assessment

template)

CALCULATOR: EMS

Performance assessment

Page 47: Weight captured as 30

No individual KRA may be

given a weighting of less than

5% or not more than 20%.

Guide to calculating score KRA 1 Score = (rating * weight) /

5

= ( 4* 30) / 5

= 24

KRA 1 Score = (rating * weight) /

5

= ( 4* 20) / 5

= 16


60

Typo corrections on Collective Agreement 4 of 2017

Area of error Area of correction Correct terminology

Page 4: Table of contents 3. Deputy CHEF Education

Specialist

( DCES)

Deputy Chief Education

Specialist

Page 6: D. Knowledge and

Skills

Numbering:

o a)

o b)

o a)

o c)

o b)

o d)

o e)

o f)

o g)

o h)

a)

b)

c)

d)

e)

f)

g)

h)

i)

j)