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UNIVERSITY OF FORT HARE POLICIES AND PROCEDURES
POLICY & GUIDELINES FOR PEER FACILITATED LEARNING
TITLE: Policy and Guidelines for Peer Facilitated Learning
Policy Number:
TLC. 008 Approved: Senate
Date Approved:
30 August 2007 Minute: S/243/07
Effective Date:
01 September 2007 No. of Pages: 64
Date Revised:
Minute:
Refer Enquiries to: Director: Teaching and Learning Centre
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TABLE OF CONTENTS
Page Preamble 2
1 Objectives & principles 2
2 Scope of application 9
3 Procedure for implementation 9
4 Definitions 9
5 Purpose of the policy 13
6 UFH Institutional role players 13
7 Related policies 15
8 Office of accountability 16
9 Annexures
A: Application Form Sample Template 17 B: Sample Student Tutor Job Description and Key Tasks 19 C: Charter of Ethical Principles and Values 21 D: Institutional Quality Assurance Framework 23 E: Employee Relations Policy and Procedures 31 F: Agreement of Understanding Template 63 G: Assessment and Moderation of Student Learning Policy 64
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Preamble
The vision of the University of Fort Hare is that of a „vibrant, equitable and sustainable African
university, committed to teaching and research excellence at the service of its students, scholars and
wider community. Its mission is to provide high quality education of international standards.
„Student learning and development is the central purpose of higher education‟ (CHE, 2003:51). Since
student bodies are becoming increasingly diverse, providers should „respond by adapting their
teaching and learning practices to the needs of their students‟ (51). Graduation rates at under- and
post-graduate levels should increase which translates to a greater need for student support at all
levels. Providers are encouraged to „create appropriate learning environments in which students feel
welcomed and supported … to enable first generation students to learn to control academic
discourses and master their attendant cognitive practices‟ (51). Higher Education (HE) institutions
are encouraged to avoid a deficit model of academic development.
The University of Fort Hare has responded to these challenges by adopting a developmental
approach to staff and student development. Additionally, „in view of the University‟s mission of
providing quality education … ensuring all-round continuous quality improvement in the academic
and support services is a priority‟ (Institutional Quality Assurance Framework:1). The developmental
or „learning‟ model requires that individual facilitators be „responsible for evaluation to the extent that
it becomes part of their on-going professional practice‟ (Boughey, 2000:6). It is, therefore, necessary
„to encourage staff to engage in a process … known as reflective practice‟ (TLC Guide to The
Evaluation of Teaching and Courses, 2006:1).
In this context, it is necessary to define and articulate the university wide approach to and guidelines
on various aspects of its peer facilitated learning system. This includes the recruitment, training,
monitoring, supervision, quality assurance and ongoing support of its Peer Facilitators namely
Tutors, SI Leaders, Language & Writing Consultants, Student Demonstrators, Lab Assistants, Peer
Helpers, Student Assistants, Teaching Assistants, Student Mentors, Graduate Assistants and
Student Coordinators.
1 Objectives and principles
The objectives of this policy are:
To facilitate the transition of students into Higher Education
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To enable students to identify their own learning needs and to develop appropriate learning
skills to address these needs
To create an effective and supportive learning environment which will meaningfully contribute to
the overall quality of learning, successful throughput and student retention
To facilitate an effective learning environment informed by collaborative partnership between
key institutional role players
To monitor progress and identify learning difficulties with the aim of effectively addressing these
in order to enable students to successfully complete their studies
To ensure that students are aware of available learning resources and academic support and to
develop the skills required to become an independent and lifelong learner
To ensure that students are able to access appropriate advice, information and guidance to
support academic success
To ensure that relevant role players have a solid understanding of their roles and
responsibilities in this context.
1.1 Recruitment & appointment
Recruitment and appointment occurs in two stages viz.
Stage 1: Selection for training as a peer facilitator
Stage 2: Final selection for appointment after completion of training to the satisfaction of the
HOD and/or Executive Dean. In the case of appointment by the Teaching & Learning Centre,
training must be completed to the satisfaction of the Manager: Learning Advancement Unit.
Vacancies for peer facilitators are advertised by the relevant department or unit such as to
reach all potential internal candidates.
Application: applicants submit a fully completed application form (ANNEXURE A), with an
updated CV and academic record to the relevant unit or department on or before the closing
date for applications.
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Applications are recommended by both the relevant lecturer and the HOD. The
recommendation is written and signed on the last page of the application form.
Short-listing and interview panels are as representative as possible: e.g. HOD, relevant lecturer,
Tutor Coordinator/Mentor and current incumbent (tutor, SI Leaders, Consultant etc.). It is
recommended that, in cases of non-TLC appointments, staff from the TLC‟s Learning
Advancement Unit (LAU) are invited to serve on these panels. For TLC appointments, academic
staff are invited to serve on these panels. Approximately 4 staff members therefore serve on
short-listing and interview panels.
Interviewees are ranked using an interview grading template for the purpose of evaluating
applicants in terms of the key performance areas required by the relevant position and to align
interview questions with those categories (template available from TLC).
Recommendations for appointment are made to the Director Human Resources according to
the prescribed format (available from HR).
Equity issues should be taken into consideration. The target for nationality should be 50 %
international students and 50 % South African. Each department should strive to have
development goals for South African students so that they may compete with their foreign
counterparts.
1.2 Considerations when recommendations for appointment are made
The amount budgeted for these appointments by the relevant unit/department
Financial status of the recommended students
Full time employees cannot be peer facilitators
Academic progress of the recommended students & year level
At least 60% overall pass in the subject they wish to facilitate
Key competencies required by the relevant position
Job descriptions should be available for all positions and should be clearly communicated to
prospective incumbents (respective Departments should liaise with HR regarding the job
descriptions for positions they wish to create and have budgeted for)
Conditions for appointment (available from HR)
Student Assistants shall not work more than 10 (ten) hours per week
Peer Facilitators shall not assist in more than two modules & departments or be appointed in
more than 2 positions simultaneously.
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They shall not mark test/exam scripts
Shall not work for more than 8 hours per day
Shall be a registered student
Remuneration includes preparation time and invigilation of tests as per job description
Must have a study permit.
1.3 Agreement of Understanding (AOU)
Letters of appointment are conditional to completion of training to the satisfaction of the HOD
and/or Executive Dean. Letters are generated and distributed by Human Resources. These
letters clearly state remuneration and period of employment.
An agreement of understanding (AOU) must be signed between the relevant department and
employee. This agreement should refer to the relevant job description and should include a
confidentiality clause (ANNEXURE F).
All appointments should be done at the end of the year in preparation for the following year or as
soon as possible at the start of a new academic year.
The AOU must relate to the job description (ANNEXURE B; sample)
1.4 Dismissal (see ANNEXURE E)
A peer facilitator may be dismissed in line with approved UFH policies and procedures. Situations
that may contribute to grounds for dismissal include:
Falsification of information including payment claims and attendance registers
Failure to abide by the contractual agreement
Incompetence or repeated attempts to exceed the bounds of authority and responsibility as
peer facilitator. Relevant Departments are responsible for monitoring performance.
Unethical behaviour including aiding, encouraging or advising a student in any form of
cheating or other type of misconduct
Non-performance in terms of agreed on principles and terms of employment
Inappropriate and/or unwanted behaviour or personal contact (verbal or physical) with a
student in a peer facilitated learning group
Serious misconduct in one‟s capacity as student may lead to his/her dismissal as a student
tutor/SI leader as per University rules and regulations.
1.5 Resignation: Peer facilitators are required to give the relevant unit or department at least
ONE MONTH‟S notice in case of resignation unless otherwise agreed. Resignation must be
done in writing and a clear reason for resignation must be provided. `
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1.6 Reappointment
Facilitators wishing to be reappointed must submit an application form with an updated CV and
academic record by the due date specified for new applications. Reappointment will depend on
performance evaluation. Facilitators must be performing well in their own academic subjects /
courses.
1.7 Claims and payment
All claims should be approved by at least 2 staff members (HOD and Tutor Coordinator
and/or Lecturer).
Evidence of work done must be submitted with the claim. It is the responsibility of the staff
members approving these claims to ensure accuracy of claims.
Departments and units employing peer facilitators are responsible for implementing
monitoring and checking processes.
Approved claims are submitted to Human Resources for processing before or on the
monthly salary deadline. Queries will be referred back to the relevant staff.
1.8 Training, development and support
Training is compulsory for all peer facilitators. The training would take the form of
initial training before assumption of duties and/or in service training. Students and the
Academic Departments that recruit them will be provided with a full list of key training
dates and activities at the start of the year by the TLC. Peer helpers are trained by the
Student Counseling Unit.
In keeping with the Policy on the Assessment and Moderation of Student Learning
(see ANNEXURE G) all peer facilitators tasked with assessing student learning must be
trained assessors.
Academic Departments may recommend tutors for participation in the Certificate in the
Facilitation of Training Course (CFL) worth 20 credits. TLC capacity will determine the
number of tutors accommodated. This training option is recommended as best practice.
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Basic tutor training will be supplied by the TLC for tutors not participating in the CFL.
Training dates would be made available by the TLC and tutors are required to register for
training workshops. The provision of such training will be in line with TLC capacity.
Upon request, the TLC‟s Learning Advancement Unit is available for consultation to assist
with the development of tutorial systems according to specific departmental needs.
Academic departments should elect/appoint a specific designated staff member to act as
Peer Facilitator Coordinator and/or mentor within the department
Tutors required to assess student learning (tutorials and assignments) must undergo
assessor training. Clear assessment guidelines must be communicated by the relevant
department / unit / lecturer before students are assessed. Assessment criteria must be
made available to peer facilitators in order to standardize assessment. All assessment
must be closely monitored by the relevant academic staff (See ANNEXURE G).
1.9 Ethics
Peer facilitators would be subject to all ethical standards observed at the university in
relation to confidentiality, fairness and all other factors relating to ethics (See ANNEXURE
C)
1.10 Quality assurance (including evaluation, observation, monitoring & supervision)
All peer facilitators must be observed at least once per semester by staff from the relevant
unit/department. This observation is followed by a written account as well as a personal
conference usually by appointment at a later time. It is the duty of the facilitator to present
her/himself for such a conference at a suitable time. A template is available from LAU.
Departments are encouraged to put in place a supervisor and peer observation system
Departments can request training for departmental peer facilitator coordinators and
mentors from the TLC
Attendance registers must be submitted by peer facilitators according to unit/
departmental guidelines and requirements
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Regular meetings must be facilitated in order to elicit feedback and address needs
expressed by peer facilitators
Evaluation: facilitators (e.g. tutors) are required to evaluate their learner‟s progress at the
end of each semester.
Peer facilitators (including tutors) are required to submit reflective reports to relevant staff
on a quarterly basis (once per term) in order to brief staff on progress made. The following
should be included:
A summary of facilitation experiences during the term
Reflection on what the facilitator has learned
Suggestions on what can be done to improve the course / program
Reflection on the students‟ experiences obtained through evaluation
Reflection on the facilitator‟s experiences (self-evaluation).
Record keeping: peer facilitators are required to submit attendance registers for each
session to the relevant department / unit. Departments / units must have mechanisms in
place to record and track attendance. Consequences of non-attendance must be clearly
communicated to students and should be strictly enforced. Evidence of work done must
be included in a portfolio developed throughout the period of employment and submitted
to the relevant unit / department at the end of each term. The portfolio may include:
Session planning sheets
Session / self evaluation sheets
Peer observation sheets
Student evaluation feedback
Record of general duties performed
Copies of reflective reports
End-of-term / year evaluation reports
Meeting reviews
Evidence of training completed (e.g. CFL certificate).
*Templates for the above-mentioned documents are available from the TLC
1.11 Channels of communication & troubleshooting
Clear and effective communication channels must be put in place within units and
departments employing peer facilitators
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Regular troubleshooting sessions must be facilitated in order to provide facilitators
with ongoing support
Feedback provided by peer facilitators should be considered during curriculum
development processes
1.12 Student progress & referral
Information pertaining to specific students, including academic results, should be
treated as confidential.
Peer facilitator reports should be submitted to relevant units/departments regularly
(once per term). Students‟ academic progress should be monitored and learners
must be encouraged to be actively involved in evaluating their own progress (self
and peer evaluation).
Relevant staff must be informed of significant events and problems encountered
during peer facilitated learning sessions
Students should be referred to relevant support services where needs are
identified with e.g. academic progress (TLC) or personal problems (Counseling
Unit).
2 Scope of application: this policy applies to all Peer Facilitators employed by the
University of Fort Hare.
3 Procedure for implementation: The Office of the Registrar informs the University
community of the approval of the policy. All managers in possession of Policy Manuals will ensure
that a copy of the new policy is inserted in their copy of the Policy Manual.
4 Definitions
4.1 Definitions
4.1.1 Peer facilitators: this term encompasses a wide range of essentially student-focussed
positions in the University. These positions stand outside of full-time, permanent lecturing or teaching
staff within the University and are remunerated either through a time or activity-based rate of pay.
Positions included in this category are: student tutors, full-time tutors, SI Leaders, Language &
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Writing Advancement Consultants, Student Assistants, Student Co-ordinators, Student Mentors,
Peer Helpers, part-time Post-graduate Tutors, Graduate Assistants, Teaching Assistants, Student
Demonstrators and Lab Assistants.
4.1.2 Peer facilitated learning: a system of peer facilitated learning embraces the notion that,
through peer collaboration and support, effective student learning can be encouraged and supported
institutionally. Throughout this policy, „peer facilitated learning‟ will collectively include tutoring,
Supplemental Instruction, peer collaborative activities as well as consultations and workshops within
TLC Learning Advancement Programs.
4.1.3 Tutorial and Tutors: in the UFH context, „tutorial‟ refers to small group learning of specific
course content with the assistance of a tutor appointed by the relevant academic department.
Features of effective tutorials include active participation, collaboration rather than competition and
responsibility on the part of the learner for the pace and direction of his/her own learning. „A tutorial is
an occasion for students to receive feedback about their own constructions of meaning‟ (Pastoll,
1992:1). A tutorial therefore has four definite characteristics: stimulus material, an interpretation task,
airing and sharing, and feedback (Pastoll, 1992:4). Tutors are academically accomplished senior
students who are recruited and trained to support the successful academic progress of their peers. In
keeping with conditions set out in 1.1 of this policy, tutors are recruited and appointed in order to
facilitate a contractually agreed on number of tutorials over a specific period. Tutors must be skilled
in creating a positive learning environment and in the use of a wide variety of active learning
strategies that encourage the active participation of students in the learning process. As employees
of the University, Tutors maintain professional conduct, adhere to relevant policies and carry out the
requirements set out in their employment contract. Tutors fall into 3 categories:
o Student tutors: student tutors have a good academic record, communication and interpersonal
skills. They are computer literate and have the ability to work as part of a team. They assist full-
time tutors in running tutorials, consult with students and collaborate with academic staff, attend
training, assist with the invigilation of tests and other reasonable functions assigned by the
HOD or relevant staff.
o Part-time post-graduate Tutors: hold a bachelor‟s degree, have a good academic record and
are registered for a post-graduate degree. They have good communication and interpersonal
skills, are computer literate and have the ability to work as a team. They must have at least 1
year teaching or tutoring experience at tertiary level, must show willingness to work outside of
normal academic hours. They organize and manage student tutors and assist with a variety of
other duties as negotiated by the relevant unit / department. They assist full-time tutors in
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running tutorials, offer tutorials themselves, consult with students, collaborate with academic
staff and attend training. They invigilate tests and perform other reasonable functions assigned
by the HOD.
o Full-time post-graduate Tutors: hold an Honours degree and have a good academic record.
They have good communication and interpersonal skills, are computer literate and have the
ability to work in a team. They must have at least 1 year teaching or tutoring experience at
tertiary level, must show willingness to work outside of normal academic hours and publications
will be an advantage. Full-time tutors organize and manage student tutors and assist with a
variety of other duties as negotiated by the relevant unit / department.
4.1.4 Supplemental Instruction and SI Leaders: Supplemental Instruction is an academic
assistance program that increases academic performance and retention. It targets traditionally
difficult academic courses and provides regularly scheduled, out-of-class, peer facilitated study
sessions. SI leaders are the key people in the program in that they are attached to a specific course,
attend lectures with their learners and are required to have successfully completed the relevant
course. SI sessions integrate course content with effective learning strategies. The SI program is
housed in the Learning Advancement Unit of the Teaching and Learning Centre. SI leaders are the
key people in the Supplemental Instruction program. They are attached to a specific traditionally
high-risk course, attend lectures with their learners and are required to have successfully completed
the relevant course. SI sessions integrate course content with effective learning strategies. SI
Leaders attend compulsory training throughout the year and regularly observe their peers. They are
monitored and supervised by specially trained TLC staff. They are available to students in the TLC
PASS venues for consultation on a wide variety of academic topics.
4.1.5 Language & Writing Advancement Program and Consultants: LWAP is an academic
development program which embraces principles of collaborative learning in order to encourage and
support the development of students‟ language and writing skills in a HE context. It attempts to bring
the advantages of process writing closer to learners and promotes the development of academic
competencies such as critical thinking, information management and effective communication.
Specially trained Language & Writing Consultants provide assistance through one-to-one and small
group consultations, workshops and written and verbal feedback to drafts submitted by learners.
These consultants are recruited in order to provide language development and writing centre support
to students in courses where academic staff request such support. They respond to academic
essays upon request, liaise with academic staff, offer writing preparation workshops, consult with
students one-on-one or in small groups and return undergraduate assignments within 2 working days
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of receipt. They also offer pre- and post-consultation to students required to submit academic essays
in their courses. Language & Writing Consultants are trained throughout the year and are monitored
by TLC staff. They are available to students in the TLC PASS venues for consultation on a weekly
basis throughout the academic term.
4.1.6 Student Assistants: Student Assistants are attached to various academic support programs
and activities. Their primary role is to assist in providing leadership in implementing exemplary and
comprehensive academic support programs. They assist with planning, implementing, monitoring,
evaluating, administrating and developing specific academic initiatives. Assistants are often
employed in order to assist with supervising SI Leaders and Language & Writing Consultants.
4.1.7 Student Co-ordinators: Student Co-ordinators are employed in order to assist with the co-
ordination of academic support programs. They assist with the provision of support to Student
Assistants as well as SI Leaders and Language & Writing Consultants. They are also involved with
recruitment and monitoring of these leaders and consultants.
4.1.8 Student Mentors: Student Mentors provide mentoring to peer facilitators in collaboration with
TLC staff. They schedule regular planning sessions with identified facilitators, observe their practice
and provide ongoing support and feedback in order to assist facilitators.
4.1.9 Peer Helpers: A peer helper is a student trained in basic counselling skills and offers lay
counselling (under supervision) to fellow students. Peer Helpers are also engaged in planning,
facilitating and evaluating of campaigns, workshops and presentations within and outside the
university. These include HIV/Aids Week, Women‟s Day, 16 Days of Activism of No violence Against
Women, Job Hunting Skills, CV Writing Skills and Job Interview Skills. Peer helpers are supervised
by professional Counsellors through consistent individual as well as group sessions.
4.1.10 Graduate Assistants: hold a bachelor‟s degree, have a good academic record and are
registered for a post-graduate degree. They have good communication and interpersonal skills, are
computer literate and have the ability to work as a team. They should give one Lecture per week,
mark tests and assignments, invigilate tests, assist the Lecturer with research and preparation for
Lectures and variety of duties as negotiated by the relevant unit / department, and other reasonable
functions assigned by the HOD.
4.1.11Teaching Assistants: Teaching assistants are students who hold a masters degree and are
registered for a PhD. They perform all the functions of a graduate assistant. They also assist their
research supervisors/lecturers in running lectures.
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4.1.12 Assessment - The process of gathering evidence and making judgments about students‟
achievements in relation to stated learning outcomes, and recording and reporting of these
judgments.
4.1.13 Evaluation - The process of gathering information from students, peers and literature in
order to reflect on the quality of teaching and courses.
5 Purpose of the policy In order to ensure continuous improvement and support of student learning it is necessary for the
University of Fort Hare to collaboratively reach common understanding and application of the
principles and processes underlying the various peer facilitation programs within its teaching and
learning framework. The purpose of the policy is therefore to encourage the development of a
multifaceted and extensive peer collaborative learning support system that is built on best practice
principles and effectively facilitates the improvement of learning, throughput, academic success and
retention rates.
6 UFH Institutional role players
6.1 The Registrar’s Office: The Registrar is the custodian of all the policies of the University.
6.2 TQMA Unit: The TQMA is committed to assuring the University of Fort Hare offers quality
education and services to our students and broader community. It acts as a clearing house,
catalyst and monitor for innovation in quality, in teaching, research and service delivery. Quality is
everyone‟s concern (General Prospectus 2007).
6.3 Human Resources : key responsibilities include:
Distributing clear guidelines for the employment of Peer Facilitators to the Fort Hare
community
Responding to recommendations for employment by e.g. writing an accurate letter of
employment to the relevant individual
Providing payroll with relevant information to ensure capturing of peer facilitators on payroll
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Approving payment claims and forwarding to payroll
Maintaining sound labour relations
Ensuring compliance with legislation
Negotiating employee agreements
Monitoring adherence to employee agreements (see ANNEXURE E).
6.4 Academic Faculties & Departments: Academic Departments are responsible for budgeting for
the remuneration of peer facilitators as per UFH guidelines (available from Finance & HR). The
responsibility for the recruitment, training, monitoring and supervision of peer facilitators
employed by an Academic Department lies within that Department under guardianship of the
relevant HOD and Dean. Academic Departments develop effective tutorial systems with support
from the TLC and forward names of facilitators who need training to the Learning Advancement
Unit of the TLC before the relevant closing date. Registration for and participation in training
should be monitored by the relevant Department. The appointment and training of Tutor
Coordinators and Mentors is the responsibility of the relevant Department and its leaders. Such
Departments must ensure adequate assessor training for all peer facilitators tasked with any
kind of assessment of student learning in keeping with the requirements set out in the
Assessment and Moderation of Student Learning Policy (see ANNEXURE G)* . The TLC
provides assessor training to the Fort Hare community. In the case of peer facilitators applying
to work on a programme housed within the TLC, written approval / recommendation is required
from the relevant academic Department (as indicated on the application form ANNEXURE A).
No application will be considered in the absence of such recommendation.
*Note the HR stipulation that Peer Facilitators ‘shall not mark test / exam scripts’ (1.2).
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6.5 Teaching & Learning Centre
6.5.1 Learning Advancement Unit (LAU): The purpose of the Learning Advancement Unit in
the TLC is the provision of relevant, quality-driven, needs-based and effective academic
support to the UFH community. Its goal is to improve student academic performance through
the identification of potential as well as the establishment and development of an integrated,
multi-pronged student academic support system in order to fully develop this potential. In the
context of this policy, the role of the LAU is to provide support for the development of an
effective peer facilitated learning system through:
Housing the policy for peer facilitated learning and reviewing it annually
Assisting with the recruitment and training of peer facilitators
Assisting with capacity building in academic departments through training Coordinators
and Mentors
Implementing and developing key academic support programs including Academic
Orientation, Supplemental Instruction (SI), Language & Writing Advancement Program
(LWAP), Peer Assisted Student Services (PASS) and Placement & Access Testing
(PAT).
6.5.2 Teaching Development Unit (TDU): The Teaching Development Unit in the TLC
offers a variety of support and development opportunities to academic staff. Its goal is to
improve and enhance the quality of teaching at UFH which will enable academic staff to meet
and accommodate the needs of the diverse student population the University attracts. The
LAU is supported in its role by TDU through the provision of the following services:
Evaluation of Teaching & Courses.
Mentor training of Academic staff.
Portfolio moderation for the CFL course.
Evaluation of the CFL course.
7 Related policies
7.1 Charter of Ethical Principles and Values (ANNEXURE C)
7.2 Institutional Quality Assurance Framework (ANNEXURE D)
7.3 Employee Relations Policy and Procedures (ANNEXURE E)
7.4 Policy on the Assessment and Moderation of Student Learning (ANNEXURE G)
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8 Office of Accountability
This policy resides within the Teaching and Learning Centre under guidance of the Director and
Manager: Learning Advancement Unit. Each Department employing peer facilitators will be
responsible for implementing the criteria and guidelines outlined in this policy and assume
responsibility for monitoring service delivery and quality assurance within the context of the
Department and Unit. The policy will be reviewed by the TLC annually and in consultation with
key stakeholders.
9 Annexures
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University of Fort Hare
Together in Excellence
NAME OF POSITION
DATE APPLICATION FORM
SUBMIT TO: NAME OF RELEVANT DEPARTMENT/OFFICE NUMBER,
CAMPUS
Applicants must:
LIST SELECTION CRITERIA E.G.
APPLICANTS MUST HOLD AN HONOURS DEGREE
MUST HAVE TUTORING EXPERIENCE
HAVE EXCELLENT COMPUTER AND COMMUNICATION
SKILLS
MUST CURRENTLY BE REGISTERED AT UFH
MUST BE WILLING TO ATTEND TRAINING
MUST ILLUSTRATE SIGNIFICANT POTENTIAL TO
EFFECTIVELY FACILITATE LEARNING
NOTE: RELEVANT DEPARTMENTS MUST LIAISE WITH HR IN
ORDER TO CUSTOMISE THESE CRITERIA FOR THE
RELEVANT POSITION IN KEEPING WITH THE JOB
DESCRIPTION
NOTE: PLEASE ATTACH FULL CV AND ACADEMIC RECORD TO THIS
APPLICATION. NO APPLICATION WILL BE CONSIDERED WITHOUT
SUPPORTING DOCUMENTATION.
Name :____________________________________ Student No: ____________
Current year of study: ________________ Degree: _____________________
Campus: Alice / East London (underline one)
WHICH POSITION ARE YOU APPLYING FOR?
____________________________________________________________________
____________________________________________________________________
PART 1: Complete in detail
1. What personal qualities do you have that you think may be valuable for
helping your fellow students?
____________________________________________________________________
____________________________________________________________________
2. Please outline briefly why you would like to be a NAME OF POSITION
____________________________________________________________________
____________________________________________________________________
3. Describe your leadership and facilitation (tutoring) experience to date.
____________________________________________________________________
4. What benefits do you hope to gain as NAME OF POSITION?
____________________________________________________________________
____________________________________________________________________
5 Are you willing to attend training sessions during 2007
_______________________________________________________________
8 If you were selected for this program, would you be willing to register for
a Certificate in the Facilitation of Learning (20 credits)? (this would
enable you to be credited for practical facilitation of learning i.e. the
sessions you facilitate)
YES/NO
PART 2: ACADEMIC HISTORY (attach full academic record)
1. Is there anything else about your academic & leadership experience and
abilities that you would like to draw to the attention of the INSERT
NAME OF DEPT ____________________________________________________________
ANNEXURE A: APPLICATION FORM
SAMPLE TEMPLATE
]
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___________________________________________________________
____________________________________________________________
Signature of Applicant: ____________________________________ Date: _______
Contact address:
_____________________________________________________________
Cell/Tel Nos:
____________________________________________________________
PART 3: RECOMMENDATION BY REFEREE/LECTURER
I do / do not support this application (please underline). Briefly outline reasons why
you think this candidate may or may not be a good INSERT NAME OF
POSITION
____________________________________________________________________
____________________________________________________________________
Print name: _______________________________________
Contact number & email: _______________________________________
Signature:_______________________________________
PART 4: HEAD OF DEPARTMENT/LECTURER IN CHARGE
I do / do not support this application (please underline).
Reason:
Print name: ______________________________________
Contact number & email: _______________________________________
Signature: _________________________________________Date: ____________
FOR FURTHER INFORMATION CONTACT
INSERT CONTACT DETAILS OF RELEVANT STAFF MEMBER
CLOSING DATE FOR APPLICATIONS
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Main purpose of the student tutor position: to facilitate tutorials under the guidance of
lecturers in order to contribute to effective learning in the relevant course.
Primary functions:
to provide learning assistance, direction and guidance to students
to assist with student requests and queries within the tutorial context
to provide assistance to students with regard to the learning environment
to refer students to relevant support units e.g. TLC or Student Counseling
to liaise with students within the context of a group or course
to create an effective learning environment through the adoption of an active participation philosophy
to assist students with the identification of their personal learning style preference and to accommodate these styles through the adoption of a variety of facilitation strategies and methods
to liaise closely with relevant academic staff as well as the TLC
to evaluate tutorials according to agreement with the relevant Department
to keep accurate records and submit these records as per agreement
to keep accurate attendance registers and submit these documents to the relevant Department by the agreed-on date
Primary activities:
attend tutor training offered by the TLC (both credit and non-credit bearing options available) by registering with the TLC upon appointment as tutor
close collaboration with course lecturer regarding course content, outlines and other requirements (e.g. assessment)
reading all assigned materials including prescriber texts and supplementary material
conduct the specified number of tutorials per week as per letter of appointment using active learning strategies and the principles of effective tutorials
collect attendance registers and submit to the relevant Department
identify students with learning needs (e.g. course content, learning strategies, language & writing) and refer them to the TLC as well as the relevant lecturer for assistance
meet regularly with the lecturer, tutor coordinator and / or mentor
participate in peer observations
ANNEXURE B: SAMPLE JOB DESCRIPTION AND KEY TASKS FOR
STUDENT TUTORS
21
be available for consultation by students
other reasonable duties assigned by the HOD or his / her nominee.
Secondary activities
market tutorials to students in order to ensure high levels of attendance and participation
provide learning handouts during tutorials and build a resource file containing effective strategies and handouts throughout the year
ascertain course requirements on an ongoing basis
provide regular feedback on student progress and needs to lecturers and other relevant staff
participate in all training and development activities
maintain a professional attitude as an employee of the University of Fort Hare.
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In lumine tuo videbimus lumen In Thy light we see light
Preamble
The University of Fort Hare recognizes that any institution or community is ultimately governed by norms, values and belief systems that reflect its distinctive identity, traditions and orientation. The University believes that knowledge is a positive force only if integrated with values and that it should provide a nurturing context of strong ethical norms and principles. In the absence of such values, knowledge could be a destructive force. This Charter therefore presents the crucial value-framework that defines the ethos of Fort Hare. It guides the University‟s Vision, Mission, Corporate Goals and Strategic Objectives. It serves as a reference point for all its academic and administrative policies, programmes and procedures and it binds the entire university community by shared ethical principles and values. The Charter is relevant to our rights and responsibilities, as Fort Harians, in relation to each other, the wider society and the environment. Ultimately, it seeks to inspire all people to live with nobility, dignity and an active conscience.
Fort Hare University will always be the crucible where many of the critical ideas on South Africa‟s democracy, liberation, reconciliation and forgiveness germinated, grew and strengthened and from where it eventually reverberated throughout the country, the continent of Africa and around the globe. The Charter therefore naturally resonates with the principles and values that underlie the Freedom Charter, the South African Constitution and the Bill of Rights. The Fort Hare Charter has grown out of an inclusive developmental process that involved the entire university community. It offers to all its members the ethical principles and values listed below, in order to guide us on our journey of discovery, exploration and realization of our intellectual and unique human potentialities. Without such ethical guidelines all teaching, learning, research and community service are of little value.
The University of Fort Hare Community:
Inspired by the heritage of the University and the contribution it has made to leadership, liberation and service to humanity;
Accepting that the purposes of education include the realization of our humanity as well as responsibility to the self, family and community;
Recognizing that in the pursuit of truth and knowledge, the University, as an institution of higher learning, shall maintain in all that it does an unwavering focus on excellence.
Affirming that a crucial role of education is to instill in learners respect, tolerance and social responsibility in an environment of academic freedom, dialogue, friendship and understanding;
Hereby accepts this Charter and commits itself to living by and promoting the principles and values listed below:
ANNEXURE C: CHARTER OF ETHICAL PRINCIPLES AND VALUES
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Principles and Values
To ensure that the universal values of justice, integrity, discipline, love, kindness, non-injury and concern for the wellbeing of others shall serve as a source of our thought, speech and action.
To respect and affirm the dignity, equality, freedom and rich cultural diversity of all human beings as the basis for peace and social justice.
To commit ourselves to the pursuit of truth, intellectual honesty, openness to ideas and excellence through the attainment of the highest professional and ethical standards in teaching, learning, research and community service.
To endorse and encourage the endeavour for academic success as being critically linked with the striving towards an ever deeper expression of our humanity.
To uphold and honour the dignity of the University, to preserve its heritage, spirit and assets and to observe its statute, rules and regulations as well as the laws of the country.
To encourage an orientation of imaginative, collaborative, problem-solving and entrepreneurial thinking in addressing the challenges that we face.
As a staff member, to be a responsible, caring mentor in all dealings with our students and with each other.
Not to discriminate, directly or indirectly, on the grounds of birth, race, colour, national, ethnic or social origin, gender, age, illness or disability, language, culture, political or other opinion, religion, conscience, belief, marital status, pregnancy or sexual orientation.
To be ever conscious of the need to develop a responsible relationship with the earth and to understand our critical role to protect and preserve it for future generations.
To undertake teaching and research that will responsibly harness the benefits of all the sciences for the well-being of humanity, being conscious of the harm inherent in the irresponsible use of knowledge.
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University of Fort Hare Policies and Procedures
INSTITUTIONAL QUALITY ASSURANCE FRAMEWORK
Table of Contents
Page 1. Preamble 23
2. Definition, Approach and Scope 24
3. Framework Objective and Purpose 26
4. Institutional Quality Management & Assurance System 27
5. Institutional Oversight and Management of Quality 28
Appendix 1
Acronyms and Abbreviations 29 Terms and Definitions 29
1. Preamble The Higher Education Act of 1997 assigns responsibility for quality assurance in higher education in South Africa to the Council on Higher Education (CHE), an accredited Education and Training Quality Assurance Body (ETQA). This responsibility is discharged through its permanent sub-committee, the Higher Education Quality Committee (HEQC).
“In many ways, the National Qualifications Framework is comparable to a large organisation, having a clear and shared purpose laid out in the Act. Within the „NQF Organisation‟, SAQA creates the vision, sets the policies, defines the timetable,
ANNEXURE D: INSTITUTIONAL QUALITY ASSURANCE FRAMEWORK
25
delegates the tasks and defines quality of performance for those to whom they are delegated. It is the equivalent of the Board and senior executive of the organisation… The Providers [universities] are the powerhouses, the productive units, the creators and constituent providers of the service. The ETQAs have the quality audit and assurance role.”
(SAQA, 2001:3) In view of the University‟s mission of providing quality education, and with reference to the Institutional Operational Plan and Strategic Plan, ensuring all-round continuous quality improvement in the academic and support services is a priority. The University collectively accepts responsibility for ensuring continuous improvement of the quality of its programmes and support services.
2. Definition, Approach and Scope 2.1 Regulation R1127, under the SAQA Act of 1995, defines quality in the following way, „the combination of process used to ensure that the degree of excellence specified is achieved.‟ 2.2 The quality management and assurance framework is based on the following notions of quality1:
Fitness for purpose in relation to each functional unit‟s specified mission
Value for money. This is judged in relation to the range of higher education purposes as set out in the White Paper (RSA DoE 1997). Effectiveness and efficiency judged in relation to the labour market responsiveness and cost recovery.
Transformation in the sense of developing the capabilities of individual learners for personal enrichment, as well as the requirements of social development and economic and employment growth.
Fitness of purpose. This refers to responding to the National goals, priorities and targets. 2.3 The University‟s approach to quality development is informed by a hybrid of quality management approaches, including the Total Quality Management (TQM) philosophy, The South African Excellence Model, The Balanced Scorecard and The ISO 9000/2000 Quality Management Code of Practice. 2.4 TQM views all quality management processes as being specifically designed to constantly challenge an organisation‟s current practices and performance and thus to improve an organisation‟s inputs and outputs. A critical element of the TQM method is that it is highly „people-orientated‟ and participative. TQM can broadly be described as embodying five critical principles, namely:
a) The creation of an appropriate climate within an organisation, particularly with regard to establishing a quality culture and empowering all members to participate in and take responsibility for quality improvement.
b) A customer orientation whereby customer requirements are agreed, and customers
1 The HEQC‟s Approach to Quality in Institutional Audits (2004:5)
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are an integral part of delivery. In TQM the customer is both an internal and an external stakeholder and target group.
c) Management by research, data and fact. This principle stresses the importance of „objective‟ information from which an organisation can generate an assessment (as opposed to subjective or hearsay evidence).
d) Having a people-based and participative management philosophy that stresses problem-solving and seeking improvement opportunities in teams.
e) Continuous quality improvement is the ongoing objective of TQM. 2.5 The South African Excellence Model2 can be seen as a longer-term improvement plan that any organisation can apply to effect „continuous improvement‟. 2.6 The Balanced Scorecard is a strategic measurement system that allows managers to keep track of the deployment of their strategic plans and the subsequent improvement of their strategic performance. The Balanced Scorecard has four perspectives: Financial Customer Learning & Growth Internal
2 Hoshin [Japanese] is translated as „policy‟.
Teamwork Empowerment Learning
Hoshin Planning Core Competences Market Focus
Re-engineering Benchmarking ISO 9000
Environment Safety ISO 1401
Loyalty/Value Customer First Customer Focus
1. Leadership
2. Policy & Strategy
3. Customer & Market Focus
4. People Management
5. Resource & Info. Management
6. Processes
7. Impact on Society
8. Customer Satisfaction
9. People Satisfaction
10. Supplier & Partnership Performance
11. Business Results
Chairman‟s Awards SAEF Presentations President‟s Lunches 360 Degree Feedback
Activity Based Costing Supply Chain Management IT Systems Asset Management
Employee Surveys Focus Groups
Shareholder Value
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2.7 The focus of the ISO 9000/2000 International standard is to improve the processes of an organisation in order to enhance performance, with respect to:
a) Customer focus b) Leadership c) Involvement of people d) Process approach e) Systems approach to management f) Continual improvement g) Factual approach to decision-making h) Mutually beneficial supplier relationships
2.8 However, quality is not assured by legislation, quality committees, accreditation bodies, quality assurance mechanisms or practices, but by the competence and commitment of all staff and students. 3. Framework Objective and Purpose 3.1 The endeavour for excellence is the driving force behind the development and maintenance of the University‟s quality assurance system. 3.2 The objective of this framework is to ensure that the quality and quality assurance of the core business of teaching and learning, research and community engagement and the supporting management processes are maintained and improved, utilising the quality assurance system adopted by the institution, namely, critical self-evaluation. 3.3 It is an integrated quality assurance system as it makes provision for the quality assurance of both academic and the support services environments, and where all the quality assurance activities are linked to one another systematically and in an integrated manner. 3.4 The process of quality assurance, whether internal or external, has three purposes:
1. Internal quality assessment 2. Quality improvements 3. Accreditation
3.5 The framework once adopted, must be understood and maintained at all levels within the University.
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4. Institutional Quality Management & Assurance System 4.1 The University‟s Institutional Quality Management & Assurance System is based on internal Self-Evaluation in any strategic area at any level. The reports of internal and external evaluation shall form the basis for the institutional portfolio, in preparation for the institutional audit. 4.2 Self-evaluation should be the firm foundation of all planning efforts, and should enhance institutional openness. Self-evaluations of all departments should be undertaken on a cyclical basis of every five years. 4.3 The process of self-evaluation takes place within the academic and support services departments of the university. This is an internal quality assessment. Self-evaluation processes are intended to assist the institution and departments to improve. 4.4 Where self-evaluation is related to accreditation / recognition by professional body, its primary purpose is to provide a base for thoroughly assessing the extent to which the institution meets external standards3. 4.5. External peer review (which includes an evaluation of the self-evaluation reports as well as an onsite visit) is the second building block of the quality assurance system. 4.6 The third building block is the mechanisms by which the recommendations of the self- and peer evaluations are implemented and monitored. 4.7 Academic Focus The evaluation of departmental activities focuses on the following facets:
a) The undergraduate modules presented by the department b) The postgraduate teaching and learning programmes that fall under that department c) Continuing Education modules presented by departments d) The department‟s research activities
3 The criteria for the evaluation of departments is the programme accreditation criteria of the Quality
Committee of the HEQC, available at www.che.ac.za. The criteria for the evaluation by professional bodies vary accordingly.
Critical Self-Evaluation
External Peer Review
Implementation and Monitoring of Self- and Peer Recommendations
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e) The service activities of and community engagement by the department f) The functioning of the department as an organisational unit, including the efficiency, cost
effectiveness and management of the department g) The infrastructure and facilities of the department
4.8 Support Services The evaluation of departmental activities focuses on the following facets:
a) Continuing Education modules presented by the Department b) The functioning of the department as an organisational unit, including the efficiency, cost
effectiveness and management of the department c) The infrastructure and facilities of the department d) Customer satisfaction e) Supplier relationships, development and management
5. Institutional Oversight and Management of Quality The following diagram highlights the institutional oversight:
5.1 Council Overall institutional governance is the responsibility of the University Council. It is accountable for the execution of its statutory responsibilities. It also has the overarching responsibility for good governance of the institution including quality management, which entails quality assurance, quality support, quality development and enhancement, as well as quality monitoring. 5.2 Senate The custodian of academic quality is the Senate. It must satisfy itself that the institution‟s policy and practices are aligned with national statutory requirements. Senate exercises its authority on academic issues through formally constituted faculties and institutional standing committees, at both institutional and faculty level, with oversight responsibilities. 5.3 Faculty The management of quality assurance at Faculty level is the responsibility of the Dean. Each Faculty has a committee for the quality assurance activities of the Faculty. 5.4 Management of Quality The executive arm of the Council is the Vice Chancellor who, as the Chief Executive Officer, is assisted by a Senior Management Team. The Senior Management Team has the responsibility
Council (Chaired by the Chair of Council)
Senate (Chaired by the Vice Chancellor)
Institutional Quality Assurance Committee
(Chaired by the Vice Chancellor)
Faculty Quality Assurance Committee (Chaired by the Dean)
Support Services Quality Assurance Committee
(Chaired by the Registrar)
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for the management of quality. The management of quality is therefore a line function. 5.5 The Quality Management & Assurance (QMA) Unit The functions of the QMA include:
a) An interpretation, integration and communication function: Interpretation of all QA reports and advice to the Institutional Quality Assurance
Committee Liaison with the HEQC Liaison with statutory professional bodies Provision of an expertise-based and advisory service with regard to quality
assurance policy and the requirements of national statutory bodies (e.g. the DoE, SAQA, CHE, Professional Bodies etc)
Provision of a general expertise-based advisory service for quality management in the national and international field of higher education
Liaison with Senate and Council committees to promote the integration of all quality management activities
Needs-based research in the field of quality assurance b) A process function:
Co-ordination of the University‟s institutional audit Overall planning, monitoring and recordkeeping of all the evaluation processes Facilitation of the new programme application, accreditation, as well as registration
on the NQF with SAQA processes Ensuring that periodic visits take place by external review panels, that reports are
received by the due date, the receipt and processing of all reports, recordkeeping of all correspondence and reports
Financial planning and budgeting for the University‟s quality assurance activities at an institutional level
Support to departments undergoing HEQC programme evaluations Appendix 1 Acronyms and Abbreviations CHE Council for Higher Education DoE Department of Education ETQA Education and Training Quality Assurance Body HEQC Higher Education Quality Committee ISO International Standards Organisation NQF National Qualifications Framework QA Quality Assurance QMA Quality Management & Assurance SAQA South African Qualifications Authority TQM Total Quality Management Appendix 2 Terms and Definitions Relating to Quality Management & Assurance Accountability exists where there is a direct authority relationship within which one party accounts to a person or body for the performance of tasks or functions conferred. A logical consequence of this is the application of rewards and sanctions when accountability mechanisms
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are activated. It includes setting goals, providing and reporting on results and the visible consequences for getting things right or wrong. It also implies delegation of responsibility and authority, an essential element of which is that the delegator does not lose responsibility for performance and, therefore, depending on the circumstances, may be called to account. Benchmarking is a tool used to improve products, services or management processes by analysing the best practices of other companies or institutions (organisations) to determine standards or performance and how to achieve them in order to increase customer (client,
stakeholder) satisfaction. Continuous improvement involves searching unceasingly for higher levels of quality by isolating sources of defects. It involves ongoing activity to seek constantly to improve the quality of process, product or service in the belief that performance can always be enhanced through incremental and breakthrough improvement. Effectiveness is the state of having produced a decided or desired effect, the state of achieving customer satisfaction. Efficiency is a measure of performance that compares output production with costs or resource
usage. Evaluation Evaluation is a process which attempts to determine as systematically and objectively as possible the relevant, effectiveness, efficiency and impact of activities in the light of specified objectives. It is a learning and action-oriented management tool and organisation process for improving current activities and future planning, programming and decision making. Monitoring Monitoring is the periodic oversight of the implementation of any activity which seeks to establish the extent to which input deliveries and targeted outputs are proceeding according to plan, so that timely action can be taken to correct deficiencies detected. Quality Management Systems means the combination of processes used to ensure that the degree of excellence specified is achieved. A quality management system is the sum of the activities and information an organisation uses to enable it to better and more consistently deliver products and services that meet the exceed the need and expectations of its customers and beneficiaries, more cost effectively and cost efficiently, today and in the future. Quality Assurance means the sum of activities that assure the quality of products and services at the time of production or delivery. Quality assurance procedures are frequently applied only to the activities and products associated directly with the goods and services provided to external customers. Quality Audits are activities undertaken to measure the quality of products or services that have already been made or delivered. In itself a quality audit has no impact on quality. Quality Control is undertaken by the person(s) who make the product (or deliver the service) for internal purposes.
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EMPLOYEE RELATIONS POLICY AND PROCEDURES
TABLE OF CONTENTS
# SUBJECT PAGE/S
1. PREAMBLE 32
2. STATEMENT OF POLICY 32
3. EMPLOYEE RELATIONS ELEMENTS 33
4. DEFINITIONS 34
5. GRIEVANCES 35
6. GRIEVANCE PROCEDURE TO BE FOLLOWED BY INDIVIDUAL
EMPLOYEES
36
7. INTERDEPARTMENTAL GRIEVANCE PROCEDURE 37
8. GRIEVANCE PROCEDURE STEPS IN ALL OTHER INSTANCES 38
9. GRIEVANCE PROCEDURE STEPS FOR GROUPS OF EMPLOYEES 38
10. DISCIPLINARY PROCEDURE 40
11. DISCIPLINARY HEARING 45
12. APPEAL 47
13. DISCIPLINARY CODE 57
ANNEXURE E: EMPLOYEE RELATIONS POLICY AND PROCEDURES
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1. PREAMBLE
The purpose of this policy is to pro-actively optimise the effectiveness of the interactive
relationship between the University of Fort Hare and its employees.
It may be defined as a policy and practice which is concerned with the management and
regulation of relationships between the University of Fort Hare, the individual staff member,
and groups/organised staff within the university‟s working environment. The university‟s
employee relations policy is based on:
a. effective mechanisms for communication and participation;
b. a safe and effective work environment; and
c. commitment and motivation of all staff.
Accordingly, the University's policies and practice are aimed at:
a. promoting channels of communication at all levels;
b. identifying and expanding common areas of interest between all staff;
c. anticipating and defusing conflict wherever possible;
d. encouraging staff to articulate concerns and conflict and seek resolution of
underlying issues; and
e. providing channels for conflict resolution and development of mutual trust between
the university and its employees.
2. STATEMENT OF POLICY
2.1 Employees must be treated with dignity and respect, taking due cognisance of the
diversity of our workforce;
2.2 All employees are entitled to fair and consistent application of policy, processes and
procedures;
2.3 The University of Fort Hare, together with its employees, must create an environment in
which people have a meaningful say in decisions that affect them, and thus contribute to
institutional peace;
2.4 The University of Fort Hare must keep itself abreast of all relevant legislation and ensure
that employees have access to it; and
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2.5 All employees are subject to the university‟s disciplinary and grievance procedures.
Disciplinary measures that are taken need to be corrective rather than punitive.
3. EMPLOYEE RELATIONS ELEMENTS
3.1 Maintenance of Sound Labour Relations
Every decision or action must be measured against criteria of rights, duties and values to endeavour to maintain sound employee relations.
3.2 Compliance with Legislation Human Resources must:
3.2.1 develop, empower and ensure that line management has access to labour
legislation;
3.2.2 provide active consultancy service and advice to line management; and
3.2.3 champion workplace relations and dispute resolution.
3.3 Negotiation of Employer/ Employee Agreements
3.3.1 Human Resources will negotiate (within a clear institutional mandate) agreements in consultation with management;
3.3.2 Human Resources will train management and supervisors in the application and
implementation of all agreements; and
3.3.3 After obtaining proper mandates, line managers may negotiate limited departmental/faculty agreements in consultation with Human Resources.
3.4 Implementation and Adherence to Agreements Human Resources must:
3.4.1 Train line management and ensure that they have access to agreements; and 3.4.2 In collaboration with line management, monitor and ensure adherence to such
agreements. 3.5 Employee Participation and representation
3.5.1 The University of Fort Hare subscribes to the principle of employee participation and employee involvement in decision making through the establishment of appropriate forums;
3.5.2 Human resources shall train line management and employees in skills to ensure
effective interaction;
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3.5.3 The University of Fort Hare recognises the principle of freedom of association;
3.5.4 Where staff members choose to have a trade union represent them, the University
of Fort Hare will make arrangements for recognition, collective bargaining and dispute resolution;
3.5.5 All staff members have the right to join the representative body of their choice, but
this does not mean that the University of Fort Hare will recognise all such bodies for collective bargaining or other purposes. Moreover, while acknowledging that the membership policy of the representative body is the prerogative of its members, the University of Fort Hare is committed to maintaining non-racial conditions of employment; and
3.5.6 Staff members have the right not to belong to a representative body. The
University of Fort Hare will not therefore agree to membership of a representative body becoming a condition of service or appointment.
4. DEFINITIONS For purposes of this policy, the following definitions will apply: Employee: Means all employees paid through the University of Fort Hare payroll or any employee who has a verbal or written contract of employment with the university.
Grievance: A grievance refers to any situation experienced by such employee arising from the employer/employee relationship and giving rise to a feeling of injustice, dissatisfaction and concern.
NB. Any dissatisfaction relating to disciplinary action arising from the Disciplinary Procedure should not be dealt with through the Grievance Procedure. Recourse in this instance should be through the Appeal Procedure.
Management: Means any person or persons placed in positions of authority requiring employee/s to report to them.
Working Day: Means any day on which the operations of the University are normally performed, other than a Saturday, Sunday and Public Holiday or any other day agreed upon by both parties. Employer: The University of Fort Hare or management delegated to represent the Council of the University of Fort Hare. Head of Department: Means an employee designated as the Head of a Department, Unit or Division, or a designated alternate. Initiator: Means the charging officer. This is normally the charged employee‟s immediate superior / HOD / Line Manager. This is the person who investigates the alleged misconduct and presents the employer‟s case in the disciplinary hearing.
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Workplace: Any place where employees are expected to work as required by University of Fort Hare either in or outside South Africa. This includes but is not limited to University property, Hostels, vehicles, Institutes, etc. Pre-hearing meeting: This is an informal meeting between the initiator, the employee who is alleged to have committed misconduct, his/her representative and an HR representative. This meeting is part of the investigation stage and anything said in this meeting may be used in the hearing should there be a formal disciplinary hearing after this meeting. In the event that the parties in this meeting agree, the employee in question may be issued with a warning, including a final written warning. 5. GRIEVANCES 5.1 PURPOSE
The purpose of this part of the policy is to provide policy and procedure:
(a) For the handling of employees‟ grievances; and To enable University of Fort Hare‟s employees, who raise a grievance, to have that
grievance addressed in a fair and expeditious manner.
5.2 APPLICATION
This policy and procedure applies to all employees of the University of Fort Hare.
5.3 Statement of Policy
5.3.1 Where the policies, norms, values, standards and principles of the University of Fort Hare have been transgressed and employees‟ rights infringed, employees have the right of an opportunity for redress through the grievance procedure.
5.3.2 A grievance can be described as a feeling of injustice or dissatisfaction affecting an
employee, which arises out of his/her work or employment situation.
5.3.3 The purpose of this Procedure is to provide for a process whereby the grievances of individual employees or small groups of employees arising out of their employment can be resolved.
5.3.4 Grievances raised by all the employees or large numbers of employees shall not
be dealt with in terms of this Procedure, and may be raised through the negotiation and dispute procedures agreed between the University and the Organised Labour. Dissatisfaction with disciplinary matters shall also not be dealt with in terms of this Procedure, and can be raised through the appeal procedures contained in the Disciplinary Procedure.
5.3.5 Grievances should be resolved as near to their point of origin as possible, and as
fast as possible.
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5.3.6 The lodging of a grievance shall not prejudice an employee's employment in any way.
5.3.7 An employee shall only be entitled to use this procedure within a reasonable period
of the cause of the grievance having occurred.
5.4 PRINCIPLES
The principles that follow shall apply in respect of all grievances lodged:
5.4.1 The steps set out in this policy and procedure must be followed at all times.
5.4.2 Management at the various levels must give careful consideration to every grievance lodged and make genuine attempts to resolve it.
5.4.3 Grievances must, whenever possible, be handled by line management at the lowest possible level and as quickly as possible. Other employees/colleagues, in an advisory capacity, may help in facilitating a resolution to the problem.
5.4.4 Any employee lodging a grievance has the right to be assisted or represented by a fellow
employee or by a representative of a recognised union or staff association from the University of Fort Hare community.
5.4.5 No employee may be victimised or prejudiced for lodging or pursuing a grievance in terms of this procedure. 6. GRIEVANCE PROCEDURE TO BE FOLLOWED BY INDIVIDUAL EMPLOYEES
6.1 STAGES IN THE GRIEVANCE PROCESS 6.1.1 Stage 1: Supervisor
(a) An employee shall first raise the grievance verbally with his/her supervisor. He/she may be accompanied if he/she so wishes, by his/her Shop Steward or a fellow employee of his/her choice. The supervisor must at this point attempt to resolve the grievance.
(b) If the supervisor cannot resolve the grievance to the employee's satisfaction within
24 hours the employee or the supervisor may escalate the grievance to Stage 2 of this procedure.
6.1.2 Stage 2: Supervisor’s Manager (or his/her equivalent)
(a) The employee shall complete a grievance form, in duplicate, assisted if he/she so wishes by his/her Shop Steward or fellow employee and hand the one copy to the manager and the other to the Human Resources Office. The manager shall consult the supervisor concerned and shall attempt to resolve the grievance.
(b) If the manager or his/her equivalent cannot resolve the grievance to the
employee's satisfaction within three (3) working days or if the manager or his/her
38
equivalent at any stage agrees, the employee may escalate the grievance to Stage 3 of this procedure.
6.1.3 Stage 3: Executive Dean/Executive Head of Division
(a) The employee or his/her representative if he so wishes shall advise the head of department to refer the matter to the Executive Dean or Executive Head.
Such enquiry shall normally be attended by the following persons:-
UNIVERSITY UNION/REPRESENTATION Manager Shop Steward or representative Supervisor Aggrieved employee
Witnesses (if any) Witnesses (if any)
Where necessary an interpreter shall also be present. (b) The head of department shall then complete the relevant portion of the grievance
form and refer it to the Executive Dean/Head who shall attempt to resolve the matter.
(c) The Executive Dean/Head shall meet with the aggrieved employee and his/her
representatives in order to discuss the grievance.
(d) The Executive Dean/Head shall consider the grievance and shall make a decision normally within five (5) working days of the employee having implemented Stage 3 of the Procedure. His/her decision shall be recorded on the grievance form and a copy of this shall be returned to the employee. The original grievance form shall be sent to the human resources office to be filed.
(e) Should the employee still feel aggrieved; the matter shall be dealt with in terms of
the disputes resolution procedure.
7. INTERDEPARTMENTAL GRIEVANCE PROCEDURE
Step 1
a. The employee lodging a grievance against an employee from another department may first endeavour to resolve the problem with the fellow employee. Should this however not be resolved the employee lodging a grievance must do so by completing the Grievance Form (Annexure C) and submit it to the immediate superior of the disputant (a copy to be submitted to the head of the complainant). The employee lodging the grievance should provide written supporting information.
b. The supervisor of the disputant must endeavour to solve the grievance within five (5) working days.
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c. The supervisor of the disputant must keep a record regarding the handling of the grievance and a copy of the outcome and records to be provided to Human Resources Department for filing.
Step 2
a. If the grievance remains unresolved, the employee may refer the matter to the next
level of authority for resolution within five (5) working days. b. Any written agreement, as a means to resolve the grievance, must be filed in the
disputant„s file for a period of a year, where after it shall be invalidated.
c. If the grievance remains unresolved, or five days have lapsed after the dispute was referred, the employee may refer the matter to the Executive Dean or Executive Head of Department within five (5) working days.
Step 3 Should the employee still feel aggrieved after stage 2, the matter shall be dealt with in terms of the disputes resolution procedure.
8. GRIEVANCE PROCEDURE STEPS IN ALL OTHER INSTANCES
8.1 The employee‟s immediate supervisor must endeavour to solve the grievance within five (5) working days.
8.2 If the grievance concerns the employee‟s immediate superior, an employee may proceed directly to the next level of authority.
8.3 The person hearing the grievance must keep a record regarding the handling of the grievance and the outcome and records to be forwarded to Human Resources Department.
8.4 If the grievance remains unresolved, the employee may refer the matter to the next level of
authority or Executive Dean/Head for resolution within five (5) working days.
8.5 Any written agreement, as a means to resolve the grievance, must be filed in the disputant„s file for a period of a year, where after it shall be invalidated. 9. GRIEVANCE PROCEDURE STEPS FOR GROUPS OF EMPLOYEES 9.1. INTRODUCTION
Where a group of employees is directly involved in a grievance of a general nature, instead of individually, they may follow the procedure given below:
Step 1
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a. Elect a deputation not exceeding five (5) employees among themselves as well as a union official, if so desired, to represent them at an interview with Management.
b. This deputation may be the Executive Committee of the shop stewards. Note: The employees may, with the help of an HR representative, if they so wish, put
their grievance in writing to the Chief Human Resources Officer stating the names of the members of the deputation and the matter/s which they wish to discuss.
c. The Chief Human Resources Officer must endeavour to resolve the grievance
within three (3) working days; d. The length of time allowed to resolve the grievance at this level will be agreed
upon between the two parties, taking into account the seriousness of the grievance, its complexity and the necessity of further investigation. Any adjournment must be agreed to in writing.
Step 2
a. If such a deputation does not obtain satisfaction at the interview with the Chief
Human Resources Officer, the grievance may be dealt with in terms of the university‟s dispute resolution mechanism, namely, in-house conciliation.
b. Unless otherwise agreed upon between the parties (which agreement shall not
be unreasonably withheld) the deputation to the in-house conciliation shall consist of those who met with the Chief Human Resources Officer. The matter for discussion shall be those which were previously discussed.
Step 3
a. If such deputation does not obtain satisfaction from the In-house Conciliation they
may refer the matter to the Disciplinary Committee of Council (an alternative may be for a Council nominee to preside over the in-house conciliation mentioned under Step 2 above); and
b. in the event of the aggrieved employees being dissatisfied with the decision of the
Council, they shall be entitled to refer the matter to the CCMA). Note:
Hearings must be held within the periods stipulated if it‟s reasonably possible except with the written and mutual agreement of both parties these periods may be extended.
A written record of grievance hearing must be made. At the request of the deputation, copies of records may be made available to them;
Tape recordings may be made. Annexure C is the Grievance Form to be completed by employee/s lodging a grievance.
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10. DISCIPLINARY PROCEDURE 10.1 Statement of policy
Where the policies, norms, values, standards and principles of the University of Fort Hare have been violated the university has the right, through the disciplinary procedure, to apply appropriate corrective action in a fair manner.
10.2 Disciplinary Processes
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Disciplinary enquiry process map
Alleged Transgression Notification (Within 48 Hrs)
Enquiry Chairperson Initiator HR Practitioner Alleged Offender Employee representative Scribe Witnesses (where needed) Interpreter (where needed)
University‟s case put forward
Cross Examination
Employee‟s case put forward
Cross Examination
Chairperson‟s Findings Not Guilty Process Ends
Guilty Mitigation Sanction/
Corrective Action
Within 3 work days
Adjourn
Adjourn
NB: Time lines stated here are merely guidelines
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10.3 APPLICATION This code and procedures applies to all employees employed directly or indirectly by
University of Fort Hare.
This procedure applies in all cases where employees are alleged to have breached a rule regulating conduct in the workplace (whether or not that rule is in writing).
10.4 GENERAL PRINCIPLES THAT INFORM THE CODE & PROCEDURE
This code and procedure must be interpreted in accordance with the spirit and the principle provisions of the Labour Relations Act and with particular reference to Schedule 8 of the Code of Good Practice.
10.5 THE ROLE OF HUMAN RESOURCES
The maintenance of discipline and the effective handling of grievances is a function of line management. The human resources officials are available to assist line management and employees at every stage on such matters. Human Resources officials should ensure that disciplinary actions and procedures are consistent in all departments and sections and are in conformity with the Disciplinary and Grievance Procedures.
During disciplinary and grievance proceedings the unit‟s role is, to ensure that correct procedures are followed, as well as providing assistance and advice to all parties involved in the disciplinary/grievance investigation.
The human resources department does not impose disciplinary action nor hear appeals except in respect of their own staff.
The human resources department is responsible for ensuring that discipline is fairly and justly applied by:
Checking that the complaint form properly identifies the offence and is otherwise correctly completed;
Ensuring that the alleged offender is aware of the charges against him/ her and of his/ her rights in terms of the disciplinary code;
Investigating the domestic circumstances of the employee when this is felt to be necessary;
Checking that all facts are collected and presented without bias.
Advising line management on appropriate corrective action to be followed. 10.6 DISCIPLINARY PROCEDURE FOR MISCONDUCT 10.6.1 OBJECTIVES The objectives of this procedure are to ensure that:
10.6.1.1 Allegations of misconduct are dealt with in a consistent manner; 10.6.1.2 There is a fair procedure to determine what disciplinary action, if any,
is appropriate;
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10.6.1.3 Discipline in the workplace is applied in a corrective rather than a punitive manner; and
10.6.1.4 Where possible the pre-hearing meeting takes place within the
prescribed time of the alleged offence being reported.
The principles that inform the code and procedure and which must inform any decision to discipline an employee are:
Discipline is a management function;
A disciplinary code is necessary for the proper functioning of the University‟s the efficient delivery of services and the fair treatment of its employees;
No employee may be victimized as a result of participation in terms of this procedure;
An employee has the right to appeal against action taken against him/her in terms of the Appeal Procedure;
The employee has the right to be represented by a fellow employee during the disciplinary process; and
No industrial action of whatever nature may be taken regarding any matter/s of discipline; as such action would be deemed unprotected by the Labour Relations Act No. 66 of 1995, as amended.
Employee conduct which may warrant disciplinary action is listed in the appended Disciplinary Code. The list is not exhaustive. Management may discipline any employee in respect of any other conduct if the employee knew, or ought to have known, that the conduct constituted grounds for disciplinary action.
10.6.2 FORMS OF DISCIPLINE
10.6.2.1 Counselling and Disciplinary Action
There is a distinction between disciplinary action and counselling. In general, counselling is appropriate where employees are not performing to standard, or are unaware of a rule regulating conduct and/or where the breach of the rules is relatively minor and can be condoned. Disciplinary action will be appropriate where a breach of the rules cannot be condoned, or where counselling has failed to achieve the desired effect.
10.6.2.2 The Application of Discipline
It is the responsibility of management to decide when it is necessary to apply this procedure, and what form of disciplinary action is appropriate;
This procedure applies to all employees;
During the pre-hearing meeting, management will explain the nature of the rule the employee concerned is alleged to have breached, and give the employee an opportunity to explain his/her conduct. If possible, mutually agreed remedy on how to address the misconduct should be arrived at. Such a meeting does not constitute a formal hearing; and
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The different forms of disciplinary action, and the procedure relating to each, are described in the appended disciplinary code.
10.6.2.3 Forms of Disciplinary Sanctions
Disciplinary action may take any the following forms, depending on the seriousness of the matter:
a. Verbal warning b. Written warning c. Final written warning d. Temporary suspension of employment without pay e. Dismissal/Summary Dismissal
(a) Verbal Warning
Verbal warnings are appropriate in the case of minor offences, or where an employee breaches a rule for the first time.
The Supervisor/Manager may issue a verbal warning. The supervisor/manager who issues the verbal warning must make a note of when the warning was given and the nature of the verbal warning. The emphasis on this type of action is to correct the action of the employee through discussion.
Verbal warnings remain valid for three [3] months.
If during the currency of the verbal warning (during the 3 months) the employee is subject to further disciplinary action, the verbal warning may be taken into account in deciding upon the appropriate sanction.
(b) Written Warning
Written warnings are appropriate where an employee shows disregard for verbal warning(s) given, or in the case of a more serious offence/s.
The Supervisor/Manager may issue a written warning, after meeting the employee concerned.
A written warning should describe the nature of the breach giving rise to the warning. The employee should be given the right to have a colleague present and to state his/her case.
The written warning must be filed in the employee‟s personal file. Written warnings shall remain valid for six (6) months.
If during the currency of the warning (during the six (6) months) the employee is subject to further disciplinary action, the written warning may be taken into account in deciding upon the appropriate sanction.
(c) Final Written Warning
Final written warnings are appropriate where an employee has received a written warning(s) for the same or a similar breach of rules, or where a written warning is considered inadequate because of the seriousness of the breach of the rules.
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The Departmental Manager may issue a final written warning, after meeting the employee concerned, or after a disciplinary hearing.
A final written warning must briefly describe the nature of the breach-giving rise to the warning.
Final Written Warnings shall remain valid for twelve (12) months.
The Departmental Manager must inform the employee that a failure to heed a final written warning may result in dismissal.
If during the currency of the warning (during the 12 months) the employee is subjected to disciplinary action, the final written warning may be taken into account in deciding upon the appropriate sanction.
(d) Temporary Suspension without Pay
This type of sanction may only be authorized by a disciplinary hearing and then only as an alternative for dismissal. The period of suspension without pay will not exceed a period of one (1) month. This type of action will only be authorized in exceptional cases and will not be seen as the norm or practise
(e) Dismissal/summary dismissal
Dismissal may be with notice, in terms of the notice periods prescribed in the employee‟s conditions of employment, or summary dismissal, depending upon the gravity of the offence. This action may only be taken by a Disciplinary Hearing.
11. DISCIPLINARY HEARING 11.1 A disciplinary hearing must be held when:
11.1.1 Action stronger than a written warning may be warranted, in the opinion of the Initiator after consultation with the Human Resources Unit.
11.1.2 An employee has received a final written warning and is alleged to have committed similar misconduct.
11.1.3 The misconduct is deemed to be very serious.
11.2 An employee may be suspended on full pay pending such a hearing, where the presence of the employee at the workplace may jeopardise any investigation into the alleged misconduct, or poses any threat to the safety or well-being of any employee, including management. This is not a disciplinary sanction.
If the Initiator intends to propose the suspension of an employee prior to a
disciplinary hearing, the employee must be allowed to make representations, either verbally or in writing, about why he/she should not be suspended. The Executive Dean/Head must consider these representations and advise the employee, in writing of the decision.
11.3 The Initiator shall give the employee not less than three (3) working days notice in writing of:
11.3.1 the time, date and venue of the hearing;
11.3.2 details of the charge/s against her or him, which describe the alleged misconduct
that the employee is alleged to have committed; and
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11.3.3 the fact that the employee is entitled to be represented at the hearing (by a fellow
employee or by a shop steward). If the employer intends to convene a disciplinary hearing against an employee who is an office bearer of a trade union, the employer must consult with the union before serving notice to attend the hearing of the employee.
11.4 The following persons should be present at a hearing: 11.4.1 A Chairperson, being in a higher level than the charged employee;
11.4.2 The Initiator, who will present the evidence against the employee charged; 11.4.3 The employee charged; 11.4.4 The employee‟s representative (a fellow employee or a shop steward); 11.4.5 Any witnesses, which management or the employee charged wishes to call; 11.4.6 An interpreter, if the employee requires one; and 11.4.7 A representative from the Human Resources Department.
11.5 At the commencement of a hearing the Chairperson should:
11.5.1 read the charge/s against the employee;
11.5.2 advise the employee that he/she has the right to be represented by a fellow
employee or a shop steward;
11.5.3 check whether the employee requires the assistance of an interpreter; and 11.5.4 explain how the hearing is to be conducted.
11.6 During the hearing:
11.6.1 the employer shall lead evidence on the conduct of the employee giving rise to the
hearing, by calling witnesses in support of the charge and by producing any documents or objects relevant to the charge;
11.6.2 the employee charged and his/her representative shall have a full opportunity to
present his/her case, to bring witnesses, to cross-examine any witnesses called in support of the charge, and to have reasonable access to documents and objects relevant to the charge; and the Chairperson may ask any witnesses questions for clarification.
11.6.3 At the conclusion of the hearing the Chairperson must make a finding of guilty or not
guilty on the charge. 11.6.4 In the event of an employee being found guilty, the Chairperson must ask both the
employee and her/his representative and the management to make submissions on the appropriate disciplinary sanction.
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11.6.5 The Chairperson must then decide what disciplinary sanction to impose, and inform the employee accordingly.
11.6.6 The failure of the person charged and or his representative to attend the hearing
shall not invalidate the proceedings. The Chairperson of the hearing may postpone a hearing, if good cause can be shown for not attending. This application must be done at least 1 (one) working day before the date of the hearing.
12. APPEAL
The purpose of the following procedure is to enable the staff member to appeal against any written disciplinary action taken against them in terms of the Disciplinary Procedure and Code. However, an employee will not be allowed to appeal against a verbal warning/reprimand.
12.1 In the case of written warnings the employee may appeal to the Head of
Department.
12.1.1 All appeals will be lodged on the prescribed appeal form „Annexure B ‟
12.1.2 The appeal form must be handed in to the Human Resources Department within 5 (five) working days of the outcome of the hearing. An appeal will be denied if it is submitted outside the prescribed time period, unless a valid reason exists for such late submission. The Human Resources Department will record the appeal and forward it to the appropriate manager within two (2) working days
12.1.3 The Head of Department in consultation with a representative from the
Human Resources Department will invite the employee or his/her representative to address her/him about the reasons for appeal. The Head of Department will take a decision with regard to the guilt of the appellant and/or the fairness or otherwise of the disciplinary action/procedure. The Head of Department will inform the appellant of their decision within a maximum of 5 (five) working days after the appeal hearing.
12.1.4 The decision of the Head of the Department shall be final and no further
appeal within University of Fort Hare will be granted. An employee must be informed that he/she has the right to refer a dispute in terms of the Labour Relations Act of 1995 within 30 days of the date of the decision of the Head of Department.
12.2 In the case of actions taken by a disciplinary hearing and/or by a pre-hearing
meeting, the employee has the right to appeal against the action, to an Appeal Committee convened by the Vice Chancellor. The Appeal Committee shall comprise of the following persons:
The Chief Human Resources Officer or his/her designate.
The Vice-Chancellor or his/her designate.
And or any other person as designated by the Vice-Chancellor because of his/her specific knowledge that would add value in taking a fair decision.
12.2.1 An employee who is dismissed shall be entitled to appeal against such
dismissal to the committee.
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12.2.2 Appeals must be noted in writing within five (5) working days of the decision, stating the full grounds of appeal. Appeals reaching the Chief Human Resources Officer after five (5) working days will not be taken into consideration unless a valid reason can be supplied in writing
12.2.3 The Committee shall determine if it is necessary to hear further evidence, or
to allow further submissions to be made, and may confirm, vary or uphold any appeal.
12.3.4 The Committee may delegate its powers to a representative, who is one of
the members of the committee. 12.3.5 In the event that the dismissal is confirmed, the date of dismissal shall be
that date on which the employee is advised of the outcome of the appeal hearing. An employee who is dismissed must be informed that‟s/he has the right to refer a dispute in terms of the Labour Relations Act of 1995 within 30 days of the date on which the employee was dismissed.
UNIVERSITY OF FORT HARE DISCIPLINARY FORMS
(TO BE COMPLETED BY THE MANAGER CONDUCTING THE ENQUIRY)
1. NAME OF EMPLOYEE………………………………EMPLOYEE NO……………
2. JOB TITLE…………………………………DEPARTMENT………………………
3. ALLEGED MISCONDUCT………………………………………………………………
………………………………………………………………………………………………………
4. DATE AND TIME EMPLOYEE ADVISED OF ENQUIRY TO BE HELD………………
5. DATE AND TIME OF DISCIPLINARY ENQUIRY………………………………
6. PERSONS PRESENT (EXCLUDING WITNESSES) AND THEIR DESIGNATION:
ANNEXURE
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…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
7. (a) EMPLOYEE DOES / DOES NOT WISH TO HAVE AN EMPLOYEE
REPRESENTATIVE PRESENT (DELETE WHICHEVER DOES NOT APPLY). NAME OF REPRESENTATIVE TO BE INSERTED IN 6. ABOVE.
(b) EMPLOYEE DOES / DOES NOT WISH TO HAVE AN INTERPRETER (DELETE
WHICHEVER DOES NOT APPLY). NAME OF INTERPRETER TO BE INSERTED IN 6. ABOVE.
8. ALLEGED MISCONDUCT EXPLAINED TO EMPLOYEE – RESPONSE FROM
EMPLOYEE AND HIS/HER REPRESENTATIVE AS FOLLOWS: …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
9. BRIEF SUMMARY OF MAIN POINTS OF EVIDENCE (STATE NAMES AND DESIGNATIONS OF WITNESSES GIVING THIS EVIDENCE). ADDITIONAL PAPER TO BE USED IF SUFFICIENT SPACE NOT AVAILABLE ON THIS FORM:
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
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…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
10. MANAGER'S COMMENTS AND FINDINGS CONCERNING THE EMPLOYEE'S
ALLEGED MISCONDUCT: …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
11. RECORD OF VALID PREVIOUS WARNINGS (TO BE RECORDED ONLY AFTER
COMPLETION OF 10. ABOVE)
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
12. OTHER FACTORS TAKEN INTO ACCOUNT IN DECIDING ON THE
DISCIPLINARY ACTION:
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
13. OUTCOME OF DISCIPLINARY ENQUIRY:…………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
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14. If the employee was disciplined he/she must be informed of his/her right to appeal and the appeal procedure must also be explained to the employee.
15. SIGNATURE OF EMPLOYEE........................................... DATE.............................. 16. SIGNATURE OF EMPLOYEE REPRESENTATIVE (IF PRESENT)
……………………………………………………………………….….DATE………………
17. MANAGER‟S SIGNATURE....................................................DATE……………………
UNIVERSITY OF FORT HARE APPEAL FORM (TO BE COMPLETED WITHIN THREE WORKING DAYS OF DISCIPLINARY ACTION HAVING BEEN TAKEN, BY AN EMPLOYEE WHO WISHES TO APPEAL) I WISH TO APPEAL AGAINST THE DISCIPLINARY ACTION TAKEN, FOR THE FOLLOWING REASONS: …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
IN TERMS OF THIS APPEAL, I ASK THAT THE FOLLOWING ACTION BE TAKEN: …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
SIGNATURE OF EMPLOYEE...........................................................DATE………………….. RECEIVED BY MANAGER: SIGNATURE......................................................................................DATE…………………
(TO BE COMPLETED BY THE MANAGER HEARING THE APPEAL)
DATE RECEIVED................................................................................................................ DATE OF APPEAL HEARING……………………………………………………………………
ANNEXURE
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MANAGER'S COMMENTS AND FINDINGS CONCERNING THE APPEAL……………….. …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
OUTCOME OF APPEAL……………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
SIGNATURE OF EMPLOYEE REPRESENTATIVE (IF PRESENT)..............DATE............
SIGNATURE OF EMPLOYEE...................................... DATE............................................... SIGNATURE OF MANAGER....................................... DATE...............................................
(TO BE COMPLETED WITHIN THREE DAYS OF RECEIVING A WARNING, BY AN EMPLOYEE WHO WISHES TO APPEAL)
I WISH TO APPEAL AGAINST THIS WRITTEN WARNING FOR THE FOLLOWING REASONS:
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
SIGNATURE OF EMPLOYEE................................................ DATE....................................... RECEIVED BY SUPERVISOR: SIGNATURE...........................................................................DATE........................................
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(TO BE COMPLETED BY THE MANAGER CONSIDERING THE APPEAL) DATE RECEIVED................................................................................................................... OUTCOME OF APPEAL......................................................................................................... …………………………………………………………………………………………………………
…………………………………………………………………………………………………………
………………………………………………………………………………………………………….
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
…………………………………………………………………………………………………………
SIGNATURE OF EMPLOYEE REPRESENTATIVE (IF PRESENT) ……………………………………………………………………DATE……………………………. SIGNATURE OF EMPLOYEE....................................................DATE...................................
GRIEVANCE FORM
(TO BE COMPLETED BY THE EMPLOYEE(S) LODGING THE GRIEVANCE) Name of Employee……………………................................. Employee No.: …………………..
Job Title....................................................................................................................................
Department...............................................................................................................................
Name of Representative………………………………………………..........................................
Cause of the Grievance:……………………………………………………………………………..
……………................................................................................................................................
..................................................................................................................................................
ANNEXURE
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..................................................................................................................................................
..................................................................................................................................................
……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
Solution Requested…………………………………………………………………………………... ……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
Signature of Employee………………………………………………… Date………………………
(TO BE COMPLETED BY THE MANAGER) Date Received.................................................. Date of Enquiry................................................ Names of all persons present at Enquiry………………………………………………………….. ..................................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
Brief Summary of Enquiry (use additional paper is required):-
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……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
Outcome of Enquiry:………………………………………………………………………………….
……………................................................................................................................................
..................................................................................................................................................
..................................................................................................................................................
Signature of Employee……………………………………………… Date…………………………
Signature of Representative……………………………………….. Date…………………………
Signature of Manager……………………………………………….. Date…………………………
I confirm that I now request this grievance to be referred to the Executive Dean/Head in line with Stage 4 of the Grievance Procedure. Employee's signature................................................................... Date…………………………
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(TO BE COMPLETED BY HEAD OF DEPARTMENT) Date Received....................................................................
If enquiry re-convened:-
Date of enquiry..................................................................
Names of all persons present at Enquiry…………………………………………………………..
............................................................................................................................................................
............................................................................................................................................................
..............................................................................................................................
Executive Dean/Head‟s Comments……………………………………………………………………… ............................................................................................................................................................
............................................................................................................................................................
............................................................................................................................................................
..............................................................................................................................
Executive Dean/Head‟s Decision………………………………………………………………………… ............................................................................................................................................................
............................................................................................................................................................
..............................................................................................................................
Employee‟s Signature.………………………………………………..Date…………………………
Representative‟s Signature………………………………………… Date…………………………
Executive Dean/Head‟s Signature………………………………… Date…………………………
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13. DISCIPLINARY CODE When policies, norms, values, standards and principles of The University of Fort Hare have been violated the university has the right, through the disciplinary procedure to apply appropriate action in a fair and consistent manner. Corrective action will vary depending on the extent and seriousness of the offence. Employees of the university should see disciplinary measures taken, as a corrective rather than punitive. 13.1 Disciplinary Action
CATEGORY NATURE OF OFFENCE
First Offence Second Offence Third Offence
Fourth Offence
TIME-KEEPING Late coming Leaving work early without permission Absent from work without valid reason or notifying superior, or without permission Desertion or staying away from work for five (5) days or more without permission or without valid reason
Verbal warning
Verbal
warning Verbal
warning
Dismissal
Written warning Written warning Written warning
Final written warning
Final written warning
Final
written warning
Dismissal Dismissal Dismissal
PRODUCTIVITY OFFENCES (Incapacity)
Poor performance Unsatisfactory attitude towards performance
Verbal Warning
Written Warning Final Written warning
Dismissal
Sleeping on duty Final Written warning
Dismissal
Refusal/failure to obey lawful and reasonable instruction related to work
Final written warning
Dismissal
QUALITY OF WORK OFFENCES
Poor quality of work or not working to
Written Warning
Final written warning
Dismissal
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CATEGORY NATURE OF OFFENCE
First Offence Second Offence Third Offence
Fourth Offence
standards
Poor maintenance of vehicle or machinery for which employee is responsible and trained to operate / maintain
Final written warning
Dismissal
Wastage Final written warning
Dismissal
Irresponsible damage to the University‟s property or equipment / material Injury to fellow employees due to negligence
Dismissal Dismissal
ALCOHOL & DRUG RELATED OFFENCES
Being drunk or under the influence of drugs during working hours
Final written warning
Dismissal
Unauthorized possession of alcohol during work hours
Final written warning
Dismissal
Unauthorised possession of non-medical drugs e.g. dagga, cocaine, ecstasy, etc. on work premises
Dismissal
Possession of dangerous weapons at work without permission, e.g. guns, knives, etc.
Dismissal
Assault (physical), threat of assault, intimidation or
Dismissal
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CATEGORY NATURE OF OFFENCE
First Offence Second Offence Third Offence
Fourth Offence
instigation to violence
ATTITUDE & BEHAVIOUR OFFENCES
Breach of University‟s Code of Conduct
Final written warning
Dismissal
Not wearing personal protective clothing or equipment where supplied
Final written warning
Dismissal
Refusal to carry out reasonable and lawful instruction
Final written warning
Dismissal
Not observing security and the University‟s regulations
Final written warning
Dismissal
Smoking on University‟s premises (where not permitted)
Final written warning
Dismissal
Being in a “no entry” area without permission or good reason
Final written warning
Dismissal
Use of abusive and/or derogatory and/or offensive language or signs
Final written warning
Dismissal
Gross insubordination, serious disrespect, impudence or insolence
Dismissal
Gross negligence (irresponsible behaviour)
Dismissal
Gross incompetence Dismissal
OTHER OFFENCES Damage to the University‟s materials, equipment, possession or property
Dismissal
Removing / or being Dismissal
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CATEGORY NATURE OF OFFENCE
First Offence Second Offence Third Offence
Fourth Offence
unlawfully in possession of the University‟s or customers‟ property
Sabotage / espionage Dismissal
Driving the University‟s vehicle under the influence of alcohol or drugs
Final written warning
Dismissal
Dishonesty (stealing) during the course of employment
Dismissal
Leaking of confidential University information
Dismissal
Deliberately supplying incorrect or falsified information
Dismissal
Any other reason in law as being sufficient ground for instant dismissal
Dismissal
* Any misconduct not specifically covered in the code will be dealt with according to the seriousness of the offence. The above are merely guidelines should under no circumstances be taken as given.
1. Introduction
An employee is required to perform his/her work to certain standards of performance (including attendance at work) and with a required level of skill. If he has shown in the course of time that he is not capable of doing this, management may be entitled to consider his/her dismissal, notwithstanding that he has not committed any particular act of misconduct.
DEALING WITH INCAPACITY
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2. Fairness
In order for a dismissal for incapacity to be fair, management would have to follow a different process to that required in cases of misconduct, although in both cases, the process culminates in the employee being given a fair hearing in accordance with the procedural guidelines set out earlier in this policy.
For a dismissal for misconduct to be fair, the employee basically must have done something which on its own was sufficiently serious to justify his/her dismissal, or he must have been subjected to prior warning which he failed to heed. In other words, he was dismissed because he would not work as required.
4. Circumstances that may lead to incapacity
Under 'incapacity', the question of an employee who cannot work as required is considered. This may be due to his/her poor state of health, a lack of ability to perform the tasks required, the fact that the nature of the employee's job is expanding due to changing circumstances within the organisation or to some other reasons.
In all these cases, it will greatly assist management to be able to refer to some objective criteria as a means of determining the employee's incapacity (e.g. the number of days he has been off sick, an independent medical report and a measurable fall-off in his/her production etc).
6. Procedure to be followed by Management 6.1 Having identified the problem, management should consult the employee about the identified problem and attempt to clarify
any misunderstandings about what is required of him and in what respects he is failing to measure up to the required standards.
6.2 Periodic review dates and appropriate targets should be set in conjunction with the employee, and at all stages in the
process, developments and details should be recorded in writing. It may also be necessary to agree on a required training programme to enable the employee to gain the skills necessary to perform his/her job satisfactorily.
6.3 Over the course of time his/her performance should be monitored and he/she should be given a reasonable opportunity to
improve. 6.4 If however, he fails to do so, and there are no reasonable prospects of improvement within the foreseeable future, it would
then be appropriate to consider whether there is a suitable alternative position within the organisation in which he could be deployed. This may involve a demotion and possibly a reduction, in pay, and it would be up to the employee to elect whether to accept this new position or not. If he chooses not to, it would strengthen management's position if the decision was ultimately taken to dismiss him.
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6.5 If the employee's incapacity stems from his/her poor state of health, it will be necessary for management to consider the extent to which his/her work performance is being affected thereby and what prospects there are of a meaningful improvement in the future.
7. Points to note 7.1 In these cases, it is important to distinguish between continued absence from work due to genuine illness and absence due to
malingering. Although the distinction may be difficult to prove, the former must be treated as a case of incapacity whereas the latter is clearly a case of misconduct. It is confirmed however, that both categories could ultimately constitute valid grounds for dismissal.
7.2 In all cases of incapacity, if having considered the factors set out above, management is contemplating dismissing the
employee concerned, it will then be necessary to convene a proper hearing in accordance with the procedural guidelines set out earlier in this policy.
7.3 At the hearing, management should consider the following essentials:
- was the employee told what the problem was, and what was expected of him/her? - was he/she given a reasonable opportunity to improve, and was he/she given the required assistance and training
during this period? - was he/she aware of what the consequences would be, if he/she failed to improve? - is there another more suitable position available for him/her within the organisation? - was the Incapacity sufficiently serious to justify his/her dismissal?
8. Conclusion
Having considered these factors and all other relevant aspects of the case, management will be in a strong position to take appropriate action. Incapacity is however, not an easy problem to deal with, particularly where there may be inadequate means of objectively assessing an employee's work performance or where the employee concerned has had long service with the University of Fort Hare. Every effort should be made to place employees in more suitable positions, in the event of them being incapable of adequately performing their existing functions.
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PEER FACILITATOR AGREEMENT OF UNDERSTANDING Responsibilities of a Peer Facilitator (*customise for relevant position) 1 Participation in training at the beginning of the year (before or upon appointment) and any additional
training scheduled during the year 2 Facilitation of scheduled SI sessions / tutorials as per letter of appointment 3 Regular attendance and punctuality at SI sessions / tutorials (if you are unable to conduct a session /
tutorial it is your responsibility to report this timeously and to make reasonable alternative arrangements) 4 Adequate preparation for each SI session / tutorial and completion of planning and evaluation form for each
session 5 Evaluation of each session / tutorial on prescribed form (available from TLC) 6 Accurate recording of student attendance on the prescribed form and submission of attendance registers
as per agreement 7 Meeting with the Coordinator and peers approximately once per month 8 Meeting with the relevant lecturer once per week 9 Reimbursement is conditional on receipt of
Activity summary form (record of work done)
Completed planning and evaluation forms
Attendance registers
Signed lecture attendance form (SI Leaders)
Claim form (with evidence attached) 10 Confidentiality: as an employee of the University of Fort Hare you may have access to confidential
information such as student records, test results etc. This may include verbal or written communication with your Coordinator or Course Lecturer. Such information must at all times be treated as confidential.
11 Job description (copy to be provided by relevant staff member – it is the responsibility of the SI Leader / tutor to familiarise her / himself with this document before acceptance of offer of employment)
As Peer Facilitator I pledge to fulfil the responsibilities listed above to the best of my ability. I understand that if I fail to do so, my appointment is subject to review. I understand that my appointment will continue only as long as SI / tutorials are functioning within the Department that recruited me and that I have to give one month’s notice should I decide to resign from this position. NAME
STUDENT NUMBER
SIGNATURE (PEER FACILITATOR)
As authorised staff member acting on behalf of the TLC / Academic Department I pledge to support the Peer Facilitator to the best of my ability. This includes acting as channel of communication between the facilitator and other UFH role players as well as calling and facilitating regular meetings with peer facilitators, ensuring adequate training and monitoring compliance with requirements set out in the relevant policy. SIGNATURE (AUTHORISED STAFF MEMBER)
DATE
ANNEXURE F: AGREEMENT OF UNDERSTANDING TEMPLATE
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ASSESSMENT
AND
MODERATION
OF
STUDENT LEARNING
POLICY
UNIVERSITY OF FORT HARE POLICIES AND PROCEDURES
ANNEXURE G: ASSESSMENT AND MODERATION OF STUDENT LEARNING
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TITLE: Assessment and Moderation of Student Learning Policy
POLICY NUMBER: TLC.001 APPROVED BY: EMC
DATE: MINUTE:
EFFECTIVE DATE: NO. OF PAGES:
REVISED DATE: MINUTE:
REFER QUESTIONS TO: Director: Teaching and Learning Centre
This proposed Assessment of Student Learning Policy supersedes the existing Evaluation Policy and Procedures (S/147/89).
1. Preamble
The promotion of an outcomes-based approach to education, and the requirement that qualifications should be registered on the NQF, has profound implications for the assessment of student learning.
To progress towards a more just, effective and efficient assessment provision in Higher Education, a more comprehensive role for assessment is required. The purposes for which assessment is used needs to extend beyond the summative (the measuring, recording and reporting of end-point achievement) and diagnostic (indicating aptitude and preparedness for a course of study), to emphasise the use of assessment for developmental and/or formative purposes i.e. to inform and strengthen teaching and learning.
(HEQC, 2003:1)
This policy is informed by:
SAQA policy document on Criteria and Guidelines for Assessment of NQF Registered Unit Standards and Qualifications (SAQA, October 2001);
Requirements and guidelines for education and training quality assurance bodies: Establishing criteria for registration of assessors (SAQA, February 2001);
Assessment practices and procedures for outcomes-based education and training (SAQA, October 2001:7);
The HEQC Institutional Audit Framework (HEQC, April 2004);
The CHE Improving Teaching and Learning Resource (CHE, 2003); and
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The University of Fort Hare Vision, Mission, Corporate Goals and Strategic Objectives (UFH General Prospectus, 2004:3).
2. Principles on which the policy is based:
This policy is based on the principles that:
academic staff are responsible for the education and academic standards that they provide for students to achieve the qualifications they are awarded;
assessment should both enhance students‟ learning experiences and improve the quality of teaching and learning;
assessment is an important quality assurance mechanism;
inclusivity in education is recognised and academic staff should strive to provide for inclusiveness in assessment;
assessment practices and procedures are based on an outcomes-based approach to education and training;
3. Policy objectives
Assessment of students‟ performance in modules/courses/programmes is a key component of the University‟s teaching responsibility. The process of assessing students should have an educational value in addition to being a way of determining whether a student should progress to the next level, or be required to repeat. The assessment of students should therefore be designed to achieve as many of the following purposes as possible:
To be an educational tool to teach appropriate skills, knowledge, values and attitudes;
To set educational standards;
To determine minimum levels of competence;
To provide a measure of student ability for future employers;
To determine whether students have met the outcomes of a module/course;
To inform students of their competence;
To inform academic staff about the quality of their instruction and to foster ongoing development thereof;
To contribute towards the evaluation of a course;
To detect learning problems;
To contribute towards decision-making related to student progress;
To provide students with feedback on their progress; and
To inform curriculum development and review.
4. Principles of good assessment practice
Assessment is viewed as an integral part of teaching and curriculum development. This means that it should be used to develop as well as measure learning. Since assessment can be used both to maintain and challenge existing institutional social structures, assessment practices need to be transparent and assessors need to be accountable.
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Credibility in assessment is assured through the assessment practices being governed by the following principles:
Fairness Assessment practices that are reasonable and procedures that are conducted in an equitable manner.
Validity Validity concerns the accuracy and appropriateness of methods of assessment and the meaningfulness of the inferences made from the assessment results. Validity seeks to answer questions such as „Are we assessing the right things?‟ and „Are we assessing things in the right manner?‟ (HEQC, 2003:7).
Reliability Reliability concerns issues of consistency in assessment, such as whether the same results would be achieved on another occasion or by another assessor; whether the assessor has influenced the results in any way; and whether the results can be generalized to other performances.
Transparency Assessment practices need to be clearly communicated to the student and open to scrutiny by stakeholders.
Practicability Assessment practices must be feasible and reasonable given the context and resources available.
Recognizing creativity In spite of the focus being on assessing previously identified learning outcomes, it is acknowledged that assessment is a creative process, both in terms of its dialogical nature, and in terms of the assessor‟s role in responding to unexpected and unstated outcomes. It is to be expected, especially at tertiary level that students will respond creatively and unexpectedly in the learning process. Assessors need to be responsive to this, and be prepared to reward innovative and creative thinking.
Inclusivity in assessment The South African Constitution values human dignity and is non-discriminatory. It aims to develop a humane and caring society. The University embraces this philosophy. In line with this thinking, the University should have in place a system wherein students can declare the aspects in which they are challenged. These could be physical, and/or emotional challenges. The University undertakes to put in place assessment practices that will ensure that such students are not disadvantaged or unfairly discriminated against.
5. Assessment and Moderation of student learning
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The above principles inform the points of policy listed below.
5.1 Learning outcomes In an Outcomes-based approach, assessment procedures determine whether or not students have met the stated learning outcomes of a module/course/programme. Assessors therefore need to ensure that their assessment is valid in terms of the outcomes it is intended to assess. Thus, learning outcomes need to be developed as a basis for curriculum design, and validity in assessment is achieved by aligning assessment tasks and assessment criteria with the stated learning outcomes.
5.2 Assessment task(s)
Assessment tasks (with assessment criteria) that facilitate student learning must be developed for each module/course/programme and must be submitted to, and be approved by, the programme co-ordinator, prior to the implementation of the assessment task(s). Approval of the assessment task(s) will be based on the extent to which the assessment task(s) meet the requirements articulated in the policy.
5.3 Assessment criteria Assessment criteria against which the stated learning outcomes will be assessed must be developed for each assessment task in each module/course/programme. The assessment criteria for each assessment task must be explicitly articulated in the learner guide. In addition, assessment criteria should be openly and clearly communicated at the same time as the assessment task is given to students, both in the interests of transparency and accountability, and to enable the students to use the assessment criteria to monitor and develop their own learning. In other words, students must be informed as to the knowledge, skills, values and attitudes they need to demonstrate in order to achieve the stated learning outcome(s) of the task. The learning outcomes and assessment task(s) with assessment criteria should also be communicated to the internal- and external- examiners and moderators to enable them to make informed judgements.
5.4 Variety of assessment methods
Assessment should be varied i.e. a range of assessment methods should be used to cater for students‟ different learning styles and multiple intelligences when assessing stated learning outcomes e.g. practicals, reports, oral presentations, portfolios, posters, case studies, projects, observations, essays etc. 5.5 Frequency of assessment
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Assessment needs to be frequent to provide guidance to students on their performance and to provide assessors with guidance on how to improve their assessment practices and to feed back into curriculum development.
5.6 Integration of assessment
There must be evidence of the integration of knowledge, skills, values and attitudes across assessment tasks. In addition, there must be opportunities for students to demonstrate the achievement of a number of learning outcomes within a single assessment task.
5.7 Formative assessment
Formative assessment should be employed to provide students with feedback on their performance, and to provide guidance to students on how to improve their performance in future. As such, formative assessment is designed to be for the benefit of student learning rather than being for educational decision-making. Formative assessment serves to support the student in the learning process towards achievement of outcomes, and to inform curriculum development. Each Faculty should therefore introduce interventions into the curriculum for students in need of support as and when the need arises.
5.8 Continuous assessment
Assessment should be designed to take into account all aspects of a student‟s performance at various stages of the learning process during a module/course/programme.
5.9 Summative assessment
A minimum of two summative assessments per semester are required, with the summative assessment counting not more than 50% of the final mark. The proportionate weighting of formative assessment, summative assessment and final examinations should be carefully considered by each Faculty in order to justify the amount of time and effort expended on each.
5.10 Monitoring
Individual lecturers, assessors and programme co-ordinators are responsible for monitoring the progress of cohorts of students and for introducing curriculum interventions to address challenges as and when these arise.
5.11 Disclosure to learners Assessment results may be disclosed to students only through designated channels as authorised in the University Examination Policy.
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5.12 Recording of assessment results The recording of all assessment results should be done in a rigorous manner by the assessor, with departments and Faculties keeping records of assessment results. Once a final assessment decision has been reached, it should be recorded in accordance with the institutional Examination Policy to facilitate effective reporting on assessment decisions. 5.13 Moderation procedures
5.13.1 Internal Moderation
Each Faculty should put in place a process to monitor consistency in assessment between assessors within courses/modules/programmes. Faculties should be guided by the HEQC guidelines and the University Examination Policy. An internal member of either the department or a member of another department, with the relevant expertise in the said field, should carry out internal moderation.
Internal moderation includes consideration of:
The design of the assessment itself to ensure that the choice and design of assessment methods are appropriate for the standards being measured by the assessment;
The implementation of the assessment according to the specified guidelines;
The marking and review of the assessment process to ensure that assessors are using feedback to develop their assessment procedures.
5.13.2 External Moderation (Verification procedures).
The aim of external moderation (verification) is to:
monitor the standards of the assessment
monitor assessors‟ decisions;
monitor the credibility of assessment methods and instruments
check the internal moderation processes;
monitor and/or observe assessment processes and results;
provide advice and guidance to assessors for improving assessment practices.
Verification of assessment in programmes or departments should be carried out by recognised
experts in the field and should be informed by both the institutional Examination Policy and
HEQC guidelines. The verification process should form part of the programme review.
The verification process should include the following steps:
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o The verifier should be appointed for a period of not more than three years with the possibility of an extension of a further three-year period.
o The criteria for the appointment of verifiers should be agreed upon within faculties, and approved by Senate.
o Executive Deans of faculties should approve the appointment of verifiers and should recommend their appointment to Senate.
o The verification process should include one site visit in the three-year period of appointment.
o The verification process should not be confined to the verification of students’ performance alone, but should include a review of the stated learning outcomes of the programme, course or module as well as the learning materials and assessment tasks designed to achieve the learning outcomes, in order to feedback into curriculum development.
o Faculties should include external moderation expenses in their annual budgets. o Faculties should have in place a process to assure quality of external
moderation/verification process. 5.14 Re-assessment The assessment system should allow for re-assessment. There are different cases for re-assessment. These could be:
If a student has almost achieved the level of competence required to meet the stated learning outcomes of a summative assessment task(s) or has attained between 45% and 49%, the student should be re-assessed. Such re-assessment shall only be granted at the discretion of the Executive Dean in consultation with the programme co-ordinator in terms of the policy laid down by the relevant Faculty. Where possible, this re-assessment could take the form of an oral presentation.
If a student has almost achieved the level of competence required in an examination to be credited with the module/course/programme, or has attained a final mark of between 45% and 49%, the student should be re-assessed. The University General Rules should guide the process.
Dealing with irregularities in assessment practices.
5.15 Student appeal against assessment results
Any student, who feels that s/he has been unfairly assessed, may institute an appeal as defined by the University rules. For the end-of-term/semester examinations, the standing University regulations on re-marking of examination scripts (University General Rule G.10) and scrutiny of examination scripts (University General Rule G.11) hold. For continuous assessment a process similar to the University General Rule G.10 and G.11 is recommended.
5.16 Deviation from the Assessment and Moderation policy
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In the event of any deviation from this policy, explicit justification and alternative guidelines need to be provided to the Executive Dean of Faculty, or his or her equivalent, prior to the implementation of the said deviation.
5.16 Training of assessors and moderators (verifiers)
Assessors and moderators (verifiers) should have appropriate training as assessors.
5.17 Support for policy implementation
The Teaching and Learning Centre will provide academic staff with a variety of means of support in order to meet the requirements of this policy and of sound assessment practices.
5.18 Quality assurance of assessment
Executive Deans, in collaboration with programme co-ordinators, will be required to submit an annual report to the Senate Quality Assurance Committee detailing their Faculty assessment procedures and practices to ensure quality in Teaching and Learning, and on-going evaluation to develop curricula to meet the needs of students. This information should form part of the institutional Faculty and Departmental review leading to the HEQC audit.
5.19 Security procedures Procedures for security of assessment processes must be in place for each Faculty. These are detailed in the University Examination Policy. 5.20 Duly Performed Status For information concerning the duly performed status refer to Section 3.2 and Section 4.6 of the University Examination Policy. 5.21 Plagiarism For more information concerning plagiarism refer to the separate University Plagiarism Policy (to be drafted).
5.22 Accountability
Accountability for the implementation of this policy rests with the DVC: Academic and the Executive Deans of the respective Faculties.
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6. References:
CHE (2003). Improving Teaching and Learning Resource: Draft for 2003 Workshops. Council on Higher Education, Higher Education Quality Committee. South Africa. Pretoria. CHE (2004). Institutional Audit framework. Council on Higher Education. Higher Education Quality Committee. South Africa. Pretoria. HEQC (2003). Interim guides to good practice: Improving teaching and learning resource. Council on Higher Education. Higher Education Quality Committee. South Africa. Pretoria. HEQC (2004). Institutional audit framework. Council on Higher Education. Higher Education Quality Committee. South Africa. Pretoria. SAQA (2001). Requirements and guidelines for education and training quality assurance bodies: Establishing criteria for registration of assessors. South African Qualification Authority. South Africa. Pretoria. SAQA (2001). Assessment practices and procedures for outcomes-based education and training. South African Qualification Authority. South Africa. Pretoria. SAQA (2001). Criteria and guidelines for assessment of NQF registered unit standards and qualifications. South African Qualification Authority. South Africa. Pretoria. UFH (2004). University of Fort Hare General Prospectus. University of Fort Hare, Alice. South Africa. ANNEXURE: ASSESSMENT AND MODERATION OF STUDENT LEARNING POLICY
Definition of terms
Assessment - The process of gathering evidence and making judgments about students‟ achievements in relation to stated learning outcomes, and recording and reporting of these judgments.
Assessment criteria – Articulations of the competences required to determine whether or not an outcome has been achieved.
Assessment tasks - Learning activities designed to obtain evidence about a student‟s level of competence against stated learning outcomes.
Continuous assessment - A system of assessment by which all aspects of a student‟s performance during a module/course/programme are taken into account when making a judgment about the student‟s level of competence.
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Credits - The value assigned to a given number of notional hours of learning which may be accumulated until conditions have been met for the award of a module/course/programme/qualification.
Criterion-referenced assessment - The process of using pre-specified criteria or standards against which to make judgments about a student‟s performance.
Critical Outcomes - Broad, generic cross-curricula outcomes that underpin all learning recognized by SAQA.
Diagnostic assessment - A specialised procedure which is concerned with determining the cause(s) of persistent or recurring learning difficulties that are left unresolved by formative assessment.
Evaluation - The process of gathering information from students, peers and literature in order to reflect on the quality of teaching and courses.
Expected Levels of Performance - Standards that students are expected to achieve during a module/course/programme.
Formative Assessment - Assessment which is conducted during instruction to provide students with feedback about what learning they have achieved in order to improve their competence as well as to develop the curriculum
Final mark – the mark obtained at the end of a completed module/course/programme, the composition of which is determined by the rules for that particular module/course/programme. The general rule of the University being that the final mark is the average of the semester/year mark and the examination mark.
Integration - The grouping of specific learning outcomes from different modules/courses/programmes in terms of skills, knowledge, attitudes and values.
Internal Moderation - A process designed to ensure that assessment methods are appropriate for the standards being measured, the judgments about students‟ performance against stated learning outcomes are carried out in a consistent and trustworthy manner, and to provide assessors with feedback to improve their assessment practices.
Learning outcomes - High quality, culminating demonstrations of significant learning in context.
Moderation - The process of ensuring that all assessors who assess a particular qualification are using equivalent assessment methods, and making similar, and consistent judgments about students‟ performance against stated learning outcomes
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Norm-referenced assessment- The process of comparing a student‟s performance with that of peers in the same class or cohort
Outcomes-based education - A learner-centered, results oriented approach to education that requires students to demonstrate evidence that they are able to achieve stated learning outcomes.
Peer assessment - The assessment of students‟ learning/performance by other students in the same class or cohort in order to help each other improve their learning/performance.
Portfolio - A portfolio is a deliberate, strategic and specific collection of a student‟s work or evidence of a student‟s work over time that demonstrates the learning that has occurred in order to meet stated learning outcomes.
Rubric - An assessment tool to record a student‟s level of performance against stated outcomes and assessment criteria.
Self-assessment - The process whereby students make judgments about their own performance against stated outcomes and assessment criteria.
Summative assessment - Assessment conducted at the end of a module/course/programme to determine a student‟s level of performance i.e. what the student knows and can do, in relation to stated outcomes and assessment criteria.