WI-1-11-004
Technical University of Mombasa
Performance Appraisal Policy
(August, 2013)
PREFACE
In setting out to fulfil our Vision of a World Class University of Engineering, Science and Technology, Technical University of Mombasa (TUM) adopted these guidelines for staff performance appraisal as a vehicle to realization of that vision.
In the 21st Century, institutions of higher learning require accountability. Our University is no exception. This institution needs managers and employees who take responsibility and are accountable. The Council, as the governing body of this institution, requires effective supervisors, people who take their jobs seriously and are continuously searching for better ways of doing things. To achieve this, team work is an essential part of this transformation agenda as everyone’s efforts need to be coordinated in striving to achieve best results. The only way to attain excellent results is by using the Performance Appraisal Procedures (PAP) which are meant to ensure that there is maximum utilization of the valuable human resource assets.
The TUM believes in sound people management and empowerment. As such, the Performance Appraisal Policy (PAPO) has been developed to funnel the effective use of our skills base. This easy to use and portable manual is another key milestone in our quest to foster a people driven culture of excellence at TUM.
To ensure success of the PAPO, its implementation needs to be viewed as a joint responsibility of all managers, all employees and the organized staff trade unions. It accomplishment will, however, be dependent upon continuous improvement of the services rendered to customers and will result into realization of TUM’s vision of a world class university.
The policy in this manual is issued with a view to provide a clear and concise guide for managing the performance of staff members within TUM. It should, therefore, not be read in isolation but with all other documents guiding the PAP.
Linus Ikapel Ettyang
COUNCIL CHAIRMAN
TECHNICAL UNIVERSITY OF MOMBASA
FOREWORD
In recent years, through performance contracting, the Government has put an emphasis on staff performance. The targets which are set in the performance contracts have to be cascaded to all levels of the institution. It is envisage that the this Policy will assist in achieving this as the Management of Technical University of Mombasa recognizes that performance improvement is an integral part of institutions of higher learning. It is as a result of this belief that these guidelines have been developed.
Performance appraisal program in these guidelines will be based on the 360-degree feedback tool. Evaluation of non-teaching staff will be done by the immediate supervisor, peers, subordinates and other staff. On the other hand, teaching staff will be evaluated by their chairpersons, peers and students.
The performance appraisal process will involve evaluation of two (2) components at the end of each year; the behavioral competencies and the targets established between each supervisor and their staff members based on departmental objectives. The guidelines will, therefore, provide an appraisal process which seeks to establish and recognize the activities undertaken in a cycle of one year, as well as have some benchmarks for competencies for all positions at the University. These two form an integral part of the appraisal process as defined by the guidelines.
This policy has linked the results of the appraisal process to other management tools such as training and development activities that can be undertaken by staff members to increase their competency levels. In addition, this policy has ensured that the performance appraisal process is tied to promotion, renewal of contracts, delegation, deployment, rewards and sanctions.
These guidelines provide performance appraisal tools which will be used to evaluate employees. It is expected that through use of these tools, employees will be evaluated objectively and the resultant rating will be a true reflection of their performance. This approach will enhance a culture of performance at the University and consequently have a positive influence on service delivery.
Professor J.K.Z Mwatelah
VICE CHANCELLOR
TECHNICAL UNIVERSITY OF MOMBASA
TABLE OF CONTENTS
Preface...... 2
Foreword...... 3
Table of contents...... 4
Definition of Terms...... 5
Abbreviations & Acronyms...... 7
1.0 Introduction...... 8 1.1 Background...... 8
1.2 Fundamental Statements...... 8
1.3 Purpose of Performance Appraisal Procedures...... 9
1.4 Objectives...... 9
2.0 Policy Statements...... 10
3.0 Guiding Principles...... 10
4.0 Scope of Application...... 10 5.0 Performance Appraisal Process...... 11
5.1 Evaluation by Supervisors...... 11
5.2 Evaluation by Peers/ Subordinates...... 14
5.3 Evaluation by Students...... 14
5.4 Evaluation by Internal/ External Customers...... 15
6.0 Frequency of Performance Appraisal...... 15
6.1 Appraisal Period...... 15
6.2 On-going Performance Appraisal...... 15
7.0 Ratings...... 15
8.0 Recognition and Commendation...... 16
9.0 Administration of Policy...... 17
9.1 Responsibility...... 17
9.2 Monitoring and Evaluation...... 17
List of Appendices
Appendix 1 (Instrument for Staff Evaluation by Supervisor)...... 19
Appendix 2 (Instrument for Staff Evaluation by Peers/ Subordinates)...... 25 Appendix 3 (Instrument for Staff Evaluation by Students)...... 29 Appendix 4 (Instrument for Staff Evaluation by Internal/ External Customers)...33
Appendix 5 (Summary of Performance Rating of Employees)...... 36
DEFINITION OF TERMS
Chairperson: Refers to the head of an academic department of the University.
Employee/ Staff: Mean a person employed by Technical University of Mombasa.
External Customers: Refers to members of the public, including suppliers, parents of students and other stakeholders, who seek services from the University.
Financial year: Means the financial year of the University.
Internal Customers: Refers to members of staff who seek services from other employees of Technical University of Mombasa.
Lecturer: Means a member of staff of the University who holds a teaching position or any other post which the Council has recognized as a post having academic status in the University.
Objectives: Refers to concrete statements that describe specific results to be achieved. They serve as a basis for clarifying intentions, planning, guiding activities, and for assessing achievement.
Rating Scale: Refers to a standard scale for rating employees’ performance in relation to specific categories of performance. It ensures comparability into performance assessment.
Student: Means a person registered by the University during a current academic year of study for a first or higher degree, diploma or certificate or such other qualifications or course of the University as may be approved by the University Academic Board as qualifying a person for the status of a student.
Supervisor: The person in-charge of another employee and who oversees the work of that other employee.
Targets: Are agreed upon quantitative and qualitative deliverables within a specific timeframe.
University: Means Technical University of Mombasa established the Charter of 31st January, 2013.
Work plan: Is an operational plan which reflects the linking of an individual’s work activities to the departmental/ institutional goals.
ABBREVIATIONS/ACRONYMS
COD: Chairperson of Department
HOD: Head of Department
HOS: Head of Section
HRD: Human Resource Development
HRM: Human Resource Management
TUM: Technical University of Mombasa
PAP: Performance Appraisal Procedure
PAPO: Performance Appraisal Policy
STAFF PERFORMANCE APPRAISAL GUIDELINES
1.0 Introduction
1.1 Background
The Government of Kenya has moved towards emphasis on performance through the process of performance contracting. This has made all institutions in the public service to adopt a culture of performance management.
These procedures provide guidelines for developing and establishing a culture of performance management through staff appraisals at Technical University of Mombasa. The basic purpose of staff appraisal is to assess an employee as comprehensively and objectively as possible with the help of full knowledge and understanding of the member of staff’s performance in the job. The Performance Appraisal Procedure is predicated on the principles of work planning, setting agreed performance targets, feedback, service delivery and reporting. It is linked to other human resource systems and processes including human resource development, career progression, recruitment, placement, incentives and sanctions.
1.2 Fundamental Statements
1.2.1 Vision
A World Class University of Engineering, Science and Technology.
1.2.2 Mission
To offer quality technological education and training through the promotion of scholarship, entrepreneurship, research and innovation, and outreach to community for industrial and technological development.
1.2.3 Motto
“Jidduh Tajiduh” (Endeavour and Achieve)
1.2.4 Core Functions
1.2.4.1 Provide quality university education and training.
1.2.4.2 Stimulate intellectual participation of students and staff.
1.2.4.3 Provide a foundation for professional development.
1.2.4.4 Carry out research and innovation activities.
1.2.4.5 Participate in discovery, preservation and application of knowledge.
1.2.4.6 Engage in collaborations, linkages and partnerships.
1.2.4.7 Engage in needs-based community service and technology transfer for development.
1.2.5 Core Values
1.2.5.1 Professionalism.
1.2.5.2 Equity and Social Justice.
1.2.5.3 Efficiency and Efficacy.
1.2.5.4 Commitment.
1.2.5.5 Quality Service Delivery.
1.2.5.6 Team Work.
1.2.5.7 Creativity and Innovativeness.
1.2.5.8 Corporate Governance.
1.2.5.9 Integrity.
1.2.5.10 Environmental consciousness.
1.3 Purpose of the Performance Appraisal Procedures
The purpose of the Staff Performance Appraisal is to impose the performance of the employee by enabling a higher level of staff participation and involvement in planning, delivery and evaluation of work performance. It is also aimed at improving service delivery to customers both internally and externally.
1.4 Objectives
The objectives of this staff performance appraisal are to:
1.4.1 Link individual performance with organization performance.
1.4.2 Enable customers, peers, supervisors and appraisees to continuously assess work progress.
1.4.3 Promote accountability at the University.
1.4.4 Set the basis on which an employee’s performance is monitored and evaluated as stipulated in the individual work plan and as per duties and responsibilities in an individual employee’s job description.
1.4.5 Improve the quality of work through better planning, on-going discussions and fair participatory appraisal.
1.4.6 Provide information for decision- making on administrative and human resource issues such as renewal of contracts, promotions, delegation, training, deployment, reward and sanctions.
1.4.7 Promote communication and encourage continuous feedback between appraisee and supervisor, staff and customers, and amongst all staff members.
2.0 Policy Statements
In order for TUM to maintain a high level of performance, these guidelines will be guided by the following policy statements:
2.1 The TUM strives to ensure that each employee performs the duties of his/her position at the highest level of performance possible. In so doing, the University wishes to ensure that the level of performance is documented and that feedback is provided for each employee.
2.2 It is the intent of these guidelines to ensure that all employees shall have their performance evaluated on an annual basis.
2.3 The TUM believes that the value of performance appraisal includes salary determination, training and development, promotion, delegation, deployment, rewards and sanctions.
3.0 Guiding Principles
3.1 Uniformity: The PAP is to be uniformly implemented across all departments and shall apply to all employees.
3.2 Development: The guidelines are fundamentally developmental in nature and, as such, are not a punitive tool. Integral to these guidelines is a mechanism for improving performance.
3.3 Continuous Improvement: PAP is meant to help the employees continuously improve their performance for the betterment of the organization.
3.4 Service Delivery: These guidelines are meant to help in improving performance and, as a result have a positive impact on service delivery.
3.5 Clarity: The guidelines provide clarity to all employees on their roles in the achievement of departmental and institutional goals.
4.0 Scope of Application
4.1 This Performance Appraisal Procedure (PAP) shall apply to all categories of staff at the University.
4.2 The University shall use the 360 degree feedback appraisal method which shall involve evaluation by supervisors, peers, Subordinates and customers/ students.
4.3 Three (3) copies of the Evaluation by Supervisor Form, Evaluation by Peers/Subordinates and Evaluation by Students, Evaluation by Internal/ External Staff: (see appendix 1, 2, 3 and 4) will be completed as follows; one copy will be kept in the employee’s file, another will be kept by the departmental head, while the remaining copy will be retained by the employee.
4.4 The primary responsibility for implementing the PAP rests with the Heads of Departments.
4.5 Heads of Departments, through the HRM Department, shall provide the appraisal report to the Appointments, Promotions and Appraisals committee, or any other body authorized to analyze staff performance.
5.0 Performance Appraisal Process
The performance appraisal shall be done by the following appraisers: supervisors, peers, Subordinates and customers/ students.
The performance appraisal process shall involve the following procedures:
5.1 Evaluation by Supervisor
5.1.1 Work Planning Process/ Setting Performance Targets
5.1.1.1 Prior to the beginning of the performance period, the departments will prepare a departmental work plan based on the Strategic Plan. Supervisors will meet with staff under their direct supervision to discuss and ensure that the objectives and performance targets of the department are understood and annual individual work plans are drawn.
5.1.1.2 The individual work plan will describe the performance targets or expected results on specific assignments and activities for which the staff member is responsible during the performance year. The expected results should include completion of projects/assignments during the period of assessment.
5.1.1.3 The appraisee will hold discussions with the immediate supervisor to agree on the work plan.
5.1.1.4 As part of the Human Resource Development Plan, every employee will indicate at least one (1) professional development goal to be achieved during the reporting period. This will include special assignment, continuing education on the job training, seminars, conferences and study tours.
5.1.2 Staff Competencies and Value Assessment
5.1.2.1 Achievement of performance targets will also depend on possession of certain specific competencies. A set of values and competencies will be included in the PAP to ensure that they are appraised alongside the performance targets.
5.1.2.2 Supervisors will discuss each competency and value with the appraise at the beginning of the appraisal period in order to be clear on the relevance of the competencies and values on the performance of the appraisee.
5.1.2.3 The following are the values, ethics and principles against which employees will be appraised by their supervisors:
a) Integrity
b) Respect for Nationality Diversity and Gender