(PDF) Towards a performance management framework for TVET lecturers in South Africa

This research is focused on enhancing the relationship between performance appraisal (PA) and continuing professional development (CPD) within the wider performance management of South African technical and vocational education and training (TVET) lecturers. It aims to address the country’s challenges in job creation and skills development by contributing to a well-aligned performance management and CPD system. Emphasising the importance of TVET lecturers in national human resource development (HRD), the research underscores the critical role of lecturers in shaping skilled graduates, thus contributing to economic growth, and advocates for a fair accountability process through PA in TVET colleges’ performance management systems.

Towards a performance management framework for TVET lecturers in South Africa March 2024 Andrew Paterson, Zaahedah Vally, Lungelo Mthembu-Salter, Nick Matlin and Patrick Molokwane Towards a performance management framework for TVET lecturers in South Africa Andrew Paterson, Zaahedah Vally, Lungelo Mthembu-Salter, Nick Matlin and Patrick Molokwane Organisation: JET Education Services Project leader: James Keevy Acknowledgements JET Education Services (JET) would like to express its appreciation to the various contributors to this report that compliments the 2022 publication that focused on professionalisation of TVET lecturers (Hofmeyr & Vally, 2022). The research process included engagements with colleagues at the University of the Western Cape (UWC), specifically Seamus Needham, and at the Department of Higher Education and Training (DHET), specifically Sello Setusha, Paul Mngadi, Rina Mohswane, Chris Moekwa and Tebogo Matabane. Thanks also to Maureen Mosselson and Mark Fosberg for editing various versions of the manuscript. The report is part of the five-year TVET research programme managed by UWC, commissioned by the DHET, and funded by the National Skills Fund (NSF). The views expressed in this publication are those of the authors. They do not necessarily reﬂect the views or policies of the DHET or the NSF or indicate that the DHET or the NSF endorse the views of the authors. © 2024 JET Education Services Published in April 2024 by JET Education Services ISBN: 978-1-77018-973-7 JET Education Services The Education Hub 6 Blackwood Avenue, Parktown, Johannesburg, 2193 +27 11 403 6401 | info@jet.org.za www.jet.org.za Kindly attribute as follows: Paterson, A., Vally, Z., Mthembu-Salter, L., Matlin, N. & Molokwane, P. (2024). Towards a performance management framework for TVET lecturers in South Africa. Report produced under the Five-Year Research Programme on TVET Colleges, commissioned by the Department of Higher Education and Training (DHET) and funded by the National Skills Fund (NSF). Pretoria (ISBN number: 978-1-77018-973-7). Shared under a Creative Commons Share Alike License Version 4.0 https://creativecommons.org/licenses/by/4.0/legalcode Users are requested to respect the copyright of all included works Contents List of figures and tables...........................................................................................................................................................................7 Acronyms .................................................................................................................................................................................................. 6 Key terms used in this report ....................................................................................................................................................................7 Executive summary................................................................................................................................................................................... 8 1. TVET lecturer performance for national economic growth and development 12 Introduction ................................................................................................................................................................................................ 12 Role of lecturer performance ..................................................................................................................................................................... 13 Methodology ............................................................................................................................................................................................... 13 Assumptions ................................................................................................................................................................................................ 15 2. Performance appraisal, performance management and performance management systems 17 Introduction ................................................................................................................................................................................................. 17 Definitions .................................................................................................................................................................................................... 17 Performance management systems ........................................................................................................................................................... 18 Advances in performance management ..................................................................................................................................................... 21 Digitisation and implementing performance management software applications .................................................................................... 21 Creating fit-for-purpose performance management systems ................................................................................................................... 22 3. TVET lecturer professionalisation and CPD 26 Introduction ................................................................................................................................................................................................ 26 CPD opportunities for TVET lecturers.......................................................................................................................................................... 27 The policy environment that governs TVET lecturer professionalisation .................................................................................................. 29 Summary ..................................................................................................................................................................................................... 33 4. Analysis of the relationship between the performance appraisal and CPD 36 Introduction ................................................................................................................................................................................................. 36 Approach to causal loop analysis of the performance appraisal and CPD system for TVET lecturers ...................................................... 37 Data analysis approach ............................................................................................................................................................................... 39 Mapping performance appraisal relationships in TVET colleges ................................................................................................................ 41 5. Towards a performance management framework for TVET lecturers in South Africa 51 Introduction ................................................................................................................................................................................................. 51 Overarching observations ........................................................................................................................................................................... 51 Factors impacting on the quality and impact of the performance appraisal and CPD processes ............................................................. 52 6. Observations and leverage points 56 Key observations ......................................................................................................................................................................................... 56 Leverage points towards professionalism .................................................................................................................................................. 57 Options for further analysis ........................................................................................................................................................................ 58 Concluding note .......................................................................................................................................................................................... 59 References .............................................................................................................................................................................................. 60 List of figures and tables Figure 1: Performance management system .............................................................................................................................................. 19 Figure 2: Illustration of the link between teacher evaluation (appraisal) and professional development and improved student achievement .................................................................................................................................................................... 20 Figure 3: Performance management systems view .................................................................................................................................... 23 Figure 4: Mapping performance appraisals relationship in TVET colleges ................................................................................................. 42 Table 1: Questions to address towards developing a sustainable performance management system ..................................................... 24 Table 2: Integrated Quality Management System ....................................................................................................................................... 31 Table 3: Performance assessment process.................................................................................................................................................. 33 Table 4: Performance management policies and tools 2004-2019 ............................................................................................................ 34 Table 5: Variables included in the causal loop diagram analysis................................................................................................................. 39 Table 6: Connectivity within the causal loop diagram and polarity of variables ........................................................................................ 44 Table 7: Causal loops with positive and negative causal loops impacting on potential synergies between PA and CPD activities ......... 47 Table 8: Additional causal loops ................................................................................................................................................................ 49 Acronyms KPAs key performance areas College Improvement Plan KPTs key performance targets CLA causal loop analysis LSS Lecturer Support System CLD causal loop diagram M&E monitoring and evaluation ColSDT College Staff Development Team NSFAS National Student Financial Aid Scheme CPD continuing professional development PA performance appraisal DA Developmental Appraisal PAM Personnel Administrative Measures DHET Department of Higher Education and Training PGP Personal Growth Plan PMDS DPSA Department of Public Service and Administration Performance Management and Development System PPQL-TVET DSG Development Support Group Policy on Professional Qualifications for Lecturers in TVET ELRC Education Labour Relations Council SACE South African Council for Educators ETDP SETA Education Training and Development Practices Sector Education and Training Authority SDT Staff Development Team SETA Sector Education and Training Authority SIP School Improvement Plan FET Further Education and Training SMT Senior Management Team HoD head of department TQM Total Quality Management HRD human resource development TVET HRM human resource management technical and vocational education and training JET JET Education Services WIL work integrated learning IQMS Integrated Quality Management System APP Annual Performance Plan CIP 7 Key terms used in this report This list of terms originates from a range of sources, notably from published government documents. Specific sources include the Australian Council of Professions (2003); Department of Education (DoE) (2008); Department of Higher Education and Training (DHET) 2022c; Education Labour Relations Council (ELRC) (2003); European Centre for the Development of Vocational Training (CEDEFOP) (2014); Hofmeyr and Vally (2022); National School of Government (2022); Peters (2014); Schleicher et al. (2018); South African Council for Educators (SACE) (2020); and UNESCO-UNEVOC (2023). Causal loop analysis This methodology produces a visual representation of a system, its variables and their cause-and-effect interrelations in the form of causal loop diagrams, which are then used to graphically depict dynamic interrelationships among the variables. Continuing professional development CPD refers to supporting teachers [and lecturers] from the in-service training stage to participation in training provided by private institutions and continuing education centres of the universities as well as recognising certificates obtained from attending such courses. College Head/Principal The person responsible for ensuring that the Integrated Quality Management System (IQMS) for Public Further Education (FET) and Training College Based Educators is implemented uniformly and effectively. College Staff Development Team The team that monitors the developmental appraisal process of the lecturer and keeps records of the process. With the Senior Management Team this involves liaising with lecturers for their self-appraisal and the Development Support Group, who are responsible for the mentoring and support of the lecturer. Integrated Quality Management System for Public FET College Based Educators Adapted from the school-based educator version for FET college-based educators, this tool is in line with the College Improvement Plan in Resolution 8 of the Education Labour Relations Council, which is an outline of the steps and procedures required to accomplish college improvement, including lecturer development. Performance appraisal The formal assessment of a worker’s performance at the workplace. It is based on criteria, goals and performance indicators stipulated by or negotiated through interaction with the employer. It may be conducted by one or more participants appointed to ascertain job-related performance and standards. Performance management Lecturer performance agreements are linked to the Annual Performance Plan and the annual plans of departments. Subsequent personal development plans are then shared with the Training Development Unit and used as the integrated Workplace Skills Plan. Profession A profession is a disciplined group of individuals who adhere to ethical standards and who hold themselves out as and are accepted by the public as possessing special knowledge and skills in a widely recognised body of learning derived from research, education and training at a high level, and who are prepared to apply this knowledge and exercise these skills in the interest of others. Professionalism Upholds a code of professional ethics and professional standards, accepts accountability for professional autonomous judgements and participates in continuous professional development. Senior Management Teams The teams that inform lecturers of the in-service education and training and other programmes that will be offered and make the necessary arrangements for lecturers to attend. Additionally, they assist with the broad planning and implementation of the IQMS. Technical and vocational education and training TVET comprises education, training and skills development relating to a wide range of occupational fields, production, services and livelihoods. As part of lifelong learning, it can take place at secondary, post-secondary and tertiary levels and may lead to qualifications. TVET lecturer The person that must undertake self-evaluation of their performance, identify their personal support group, who they also develop and finalise their personal growth plans with, attend in-service education and training (INSET) and other identified programmes and generally engage in feedback and discussion. 8 Towards a performance management framework for TVET lecturers in South Africa Executive summary Purpose 1. 2. This research is focused on enhancing the relationship between performance appraisal (PA) and continuing professional development (CPD) within the wider performance management of South African technical and vocational education and training (TVET) lecturers. It aims to address the country’s challenges in job creation and skills development by contributing to a well-aligned performance management and CPD system. Emphasising the importance of TVET lecturers in national human resource development (HRD), the research underscores the critical role of lecturers in shaping skilled graduates, thus contributing to economic growth, and advocates for a fair accountability process through PA in TVET colleges’ performance management systems. are examples of specific TVET colleges that have taken the current system, with its limitations, and have built supportive organisational cultures that enable TVET lecturer professional development. Steps taken include providing wellness programmes for lecturing staff and a culture of growth. 6. Methodology 1. Overall findings 1. 2. 3. The report makes it clear from the outset that well performing TVET lecturers and, by implication, TVET colleges, are an integral component of national economic growth and development. While the research covered the relevant literature, documents and policies applicable to performance management in South Africa, it went a step further by collecting empirical data from TVET lecturers in South African TVET colleges. The research found that the existing national performance management system for TVET lecturers in South Africa lacks systemic integration. At best, it could be argued that the current policy basket contains the necessary instruments and process, but needs better coordination and, critically, also urgent renewal. 4. A key weakness, one that TVET lecturers emphasised, is that the appraisal of TVET lecturers gives greater prominence to the pedagogy of theory subjects than to the pedagogy of skills-based instruction. Lack of access to work integrated learning (WIL), low accountability and overly manual systems and processes are further characteristics of the current system that are in dire need of renewal. 5. On the positive side, the research also identified several leverage points within the current system that provide a grounding for the work ahead. There A stakeholder-driven approach to further develop the integrated PF framework for TVET lecturers in South Africa is recommended. Data gathering was conducted according to a qualitative approach through individual interviews. The interviews were used to gather information on lecturers’ and managers’ understanding and experiences of PA and its links with CPD as core elements of a TVET college performance management system. Fieldwork was followed by data coding, capturing and systems analysis to generate a causal loop diagram. Performance appraisal, performance management and performance management systems 1. Literature surrounding PA and performance management systems in the public and private sectors was reviewed to capture current trends in each. 2. The review emphasises the need for formalised, fair and transparent performance management and draws attention to the intertwined functions of PA and CPD within the broader public education sector’s performance management systems, where the scale is large, and improvements can have far-reaching, positive impacts. 3. The review also explored the instrumental and developmental aspects of performance management systems, along with challenges, costs and the impact of digitisation. It refers also to best practices, outcomes and characteristics of effective systems, concluding with parameters essential for constructing a sustainable performance management system. It further emphasises aligning individual efforts with organisational goals and understanding the dynamic nature of performance management systems. 9 Observations 1. 2. 3. 4. 5. 6. Global emphasis on teacher evaluation: Globally, there is increased emphasis on teacher evaluation as crucial, especially considering the need to improve educational effectiveness, which in tandem highlight the importance of PA for TVET lecturers, who are a strategic human resource necessitating higher levels of competency. Introduction of IQMS for TVET lecturers: The Integrated Quality Management System (IQMS) for TVET lecturers is adapted from the schoolbased IQMS for educators. It aims to improve TVET lecturers’ professional development. It outlines performance standards and combines various forms of appraisal activities including self-, supervisor- and peer-assessment. IQMS components and aims: The IQMS integrates developmental appraisal and personnel measures to structure and monitor TVET lecturer performance. Developmental appraisal focuses on individual development, while performance management evaluates lecturers for salary progression, grade advancement and other incentives. Lecturers assess themselves based on performance standards and create Personal Growth Plans (PGPs) for development. Roles of various structures in IQMS implementation: Key role players and functions, like human resources (HR), heads of departments (HoDs) and TVET college managers play key roles in staff development and monitoring. Collective structures include the Development Support Group (DSG), College Staff Development Team (ColSDT) and Staff Development Team (SDT). Challenges with implementation of the IQMS: Challenges include perceptions of the IQMS as timeconsuming, overly bureaucratic and characterised by limited induction, preparation and poor communication. Further concerns that hinder effective performance management include rating errors, a lack of participant knowledge of and expertise in IQMS processes and reservations regarding the Policy on Professional Qualifications for Lecturers in TVET (PPQL-TVET). Performance appraisals are seen by some as a formality without developmental value. Alignment of the PA with employment contracts: Gaps in employment contracts regarding key performance areas (KPAs) and key performance targets (KPTs) pose a risk of misalignment between institutional plans and lecturer performance outputs. 7. Emphasis on salary increases in PA: Many lecturers view appraisals solely as a means for salary increases, detracting from the strategic goal of fostering professional development. 8. Challenges with PPQL-TVET: The PPQL-TVET is intended to promote qualified lecturers, but challenges in its implementation contributing to the poor performance of TVET colleges are noted. Relationship between performance appraisal and CPD to improve TVET lecturer quality, development and impact 1. Differences in professional culture: There are variances in institutional orientations toward PA. Some colleges fall into a business-as-usual mode involving a cursory process to satisfy requirements, which generates dissatisfaction among lecturers. Other colleges actively foster a developmental teaching culture, emphasising professionalism and collegiality among lecturers. These differences impact the prevalence of trends discussed across the colleges. 2. Contextual variables impact practices: In South African TVET colleges, contextual variables like institutional differences, vocational programmes, resources and organisational culture significantly inﬂuence PA and CPD practices. These variations extend beyond the approach to PA, encompassing perceptions among different stakeholders. Emergent trends 1. Rewards and recognition: Beyond extrinsic reinforcement, recognition proves pivotal in motivating lecturers. Acknowledgment, certificates and team-based recognition extend beyond management, fostering a positive culture and community engagement. These elements are integral to constructing an environment conducive to conducting PAs, ensuring they are perceived as opportunities for learning and growth. 2. Monitoring and evaluation: Causal loop analysis (CLA) revealed gaps in aligning monitoring and evaluation (M&E) practices with improving lecturer performance. Financial challenges in M&E activities need addressing, particularly in measuring graduate success, evaluating teaching practices and monitoring student progress through digitisation and online learning. 10 Towards a performance management framework for TVET lecturers in South Africa 3. Student feedback: Incorporating student feedback mechanisms becomes crucial for creating a sense of belonging and aligning with multi-levelled service delivery provisions. Regular surveys, focus groups and workshops would aid colleges in assessing programme effectiveness and making necessary adjustments. 4. Accountability practices: Colleges are held accountable for overall learner quality and pass rates. In some colleges, scores in PAs are required to be linked to evidence, prompting discussions among senior lecturers, HoDs, and lecturers. This process helps to ensure accuracy of information and facilitates collaboration and consultation with lecturers concerned on appropriate individual development steps needed. In addition, other challenges related to pass rates such as unreliable National Student Financial Aid Scheme (NSFAS) funding that leads to students being absent from classes can be addressed. 5. Digitisation of PA processes: Colleges are increasingly moving toward digitising PA processes to enhance efficiency. Shareable documents accessible on the cloud facilitate supervision and collaboration. The digitisation trend gained momentum during the COVID-19 pandemic, offering benefits in terms of time and administrative effort. 6. Lecturer well-being programmes: Initiatives to support lecturer well-being extend beyond professional aspects to include mental health, stress reduction, fitness classes and wellness check-ups. Proactive measures such as workshops and roadshows signal an institutional commitment to the overall development of teaching and learning and engender trust in the employment relationship being grounded in shared goals and commitment. Quality and impact of performance appraisal and CPD processes 1. 2. 3. Imbalance in emphasis on pedagogy as compared to skills-based instruction: Lecturers perceive an imbalance in the PA’s emphasis on theory subjects over skills-based instruction. This creates a misalignment with the predominantly occupationsbased TVET sector and the vocational focus of many lecturers, who feel their skills and activities are devalued and who would like to see adaptation of the existing appraisal system. Responsiveness and feedback: A lack of followthrough on training requests from PGPs dampens lecturers’ motivation to take the PA seriously. This has implications for the perceived value of professional development opportunities and the effectiveness of the overall PA process. Work integrated learning: Concerns among lecturers in trade and technical occupations revolve around limited access to WIL. Financial constraints, including the need for substitute lecturers during WIL engagement and the lack of formal structures to make WIL more available, contribute to frustration and a perceived lack of support. The research found that the existing national performance management system for TVET lecturers in South Africa lacks systemic integration. 1. TVET lecturer performance for national economic growth and development Introduction In South Africa, there is much debate about the performance of technical and vocational education and training (TVET) colleges across the country (DHET, 2013a; HRDCSA, 2014; Papier, 2020). This is while the mission of TVET colleges as institutions under the Department of Higher Education and Training (DHET) is to actively ‘develop capable, welleducated and skilled citizens’ (DHET, 2014). Literature over the past three decades has consistently drawn attention to the weighty social and economic problems in South Africa such as limited job creation, the youth employment crisis, a skills mismatch between labour market needs and graduate characteristics from both general and vocational education as well as the importance of TVET training for addressing the challenges (Axmann et al., 2015; DHET, 2022a; Rogan and Isdale, 2022). The current research was conceptualised and undertaken in a period during which the DHET was strongly advancing the importance of securing the conditions for improving ‘the quality of curriculum delivery with the ultimate intention of improving student success’ (DHET, 2022b: 3), within which TVET lecturers play a core role. The DHET’s Teaching and Learning Plan 2022 TVET Colleges (DHET, 2022b) determines a systematic approach to achieving the objective above by synergising resources, structures and practices: » To this end, it is asserted that funding allocations, college governance structures, institutional management practices, and administrative and subsidiary functions must converge and synergise to support and improve the core business of the institution. (DHET, 2022b: 3-4) Continuous improvement, accountability and ‘(i)ntensive and extensive engagement by lecturers’ (DHET, 2022b: 4) are emphasised in support of these aims. As an example, the DHET has advanced the Lecturer Support System (LSS) under the DHET Directorate Lecturer Training, located in the Chief Directorate: Programmes and Curriculum Innovation. According to Gewer (2016), the functionality of the TVET college sector depends on the skills, technical ability and competences of the staff as well as their commitment to perform their responsibilities. Axmann et al. (2015: xiii) point out the importance of TVET lecturer training: ‘The capacity of TVET systems to provide high quality and relevant training depends largely on the quality of its [sic] teachers and trainers, and, by extension, on the quality of their teacher training systems.’ The authors also draw attention to how teachers and trainers must have mastered both technical and teaching domains and be able to bring to bear ‘both the technical knowledge of a vocation and the pedagogical capability to share that knowledge with others’ (Axmann et al., 2015: 13). TVET lecturers’ capacity for and commitment to fulfilling their roles is without question the most critical resource to ensure the sustainable production of well-prepared graduates. There is no doubt that TVET lecturers are a strategically powerful resource for the mission of the DHET. 13 Role of lecturer performance The performance of TVET lecturers must first be placed within a national human resource development (HRD) perspective. This is to emphasise the critical importance of this occupational group in developing skills of young people at the post-school level and raising the skills of currently employed people. This task is vital to equip people with intermediate technical and vocational skills that enable them to enter the world of work. At the national level, HRD is understood to involve developing the human capital of a country by nurturing the capacities and potential of the population so that they can take up employment in productive roles in the society and economy that enable them to contribute to national growth and development and to improved competitiveness of the national economy in the global economy (HRDCSA, 2022). From a national perspective, HRD is oriented towards improving the effectiveness of all institutions, groups and individuals in contributing to improved growth and development. Governance of HRD at this level usually incorporates government, enterprises, educational institutions, policy players, professional bodies and workers’ organisations (HRDCSA, 2022). In the TVET sector, HRD also involves monitoring the effectiveness of lecturer development activities such as pre-service training, continuing professional development (CPD), skills upgrading, work integrated learning (WIL) etc., towards improving the quality of lecturers’ execution of their roles in their college (Rao, Rao and Yadav, 2001). This cannot be achieved without some form of assessment of institutional, occupational and individual performance, which must also be developmental for the purposes of identifying lecturers’ personal growth and development needs. At the same time, it is necessary to stress the links between national HRD plans and the desired presence of collective national capacity in all public and private institutions, large and small, to perform their functions. This in turn depends on securing accountability for performance in all occupations at the individual level, and ‘It demands the determination, commitment and accountability of individuals to invest time and effort in their own development’ (Department of Education, 2009: 5). The relationship between and the impact of the performance of TVET lecturers on national HRD is important. Securing concomitant professional growth and performance of any vital group such as lecturers through a fair accountability process such as performance appraisal (PA)1 is, without question, necessary (Deneire et al., 2014; Gabris & Ihrke, 2000). Similarly, the concern of upholding 1 the quality of design, implementation and support of performance management systems for TVET lecturers, and linked to this, good quality and accessible CPD could be more strongly emphasised (Blom et al., 2022). Methodology The methodology used in this research consisted of two main parts: 1. A literature and document review of the importance of professionalisation. The literature review is split into two chapters, each with a different focus: The first directs attention to trends in recent developments in PA and CPD in the public and private sectors. The second involves analysis of the research literature on PA processes applied to TVET college lecturers. 2. Data collection and analysis using causal loop analysis (CLA) to identify key features of the PA and CPD processes currently in operation in South African TVET colleges. Fieldwork interviews of lecturers in TVET colleges provided a basis for the CLA leading to the development of causal loop diagrams (CLDs). Literature review The literature review activity covered three domains: First, the focus was on literature concerning the related fields of PA and CPD. The aim was to gather recent trends and advances in how PA and CPD are practised in the private and public sectors as these fields differ regarding how they are impacted by bureaucracy and the use of technology. Also, information on public sector application of PA and CPD is generally not made openly available online, even in grey literature. Generally, in the private sector, information on technology applications as part of the digitisation of business processes is openly accessible through vendors and enterprises, whereas public sector information on technology use, specifically with regard to the teaching occupation, is minimal. Nevertheless, private sector approaches in how to implement PA and CPD presented some value and relevance. In the interviews with TVET staff, some details emerged about increased technology use in PA and CPD, with differences noted between colleges. The second focus of the literature review concerned the available literature on PA and CPD in TVET colleges in South Africa, with specific reference to lecturers. The literature was concentrated in some published journal articles as well as in several Master’s dissertations and PhD theses Reference to ‘performance review’ instead of ‘performance appraisal’ can reﬂect more constructive, collaborative and ongoing feedback or discussion about an individual’s performance and development. 14 Towards a performance management framework for TVET lecturers in South Africa available online. The Master’s degree dissertations tended, in their methodological scope and where fieldwork was concerned, to be somewhat limited, but proved valuable nevertheless for gleaning insights at the institutional level, which is the level these works tended to focus on. The third focus was on the salience of professionalism and professionalisation as a source of motivation and direction in maintaining the quality of TVET professionals, which is a fundamental driver of quality TVET learning. The focus included TVET professionals’ own continuous improvement and engagement in allied support and development processes such as PA and CPD programmes to foster a positive learning environment and to prepare students to engage successfully in the labour market. Causal loop analysis CLA has been advanced by the systems dynamics research community and is most used in organisational settings (Acaroglu, 2017; Peters, 2014; Richardson, 2004). CLA offers analytic value as the approach provides a structure according to which complex systems can be unpacked and analysed (Peters, 2014; Richardson, 2004). CLA as an analytic method is an aid towards understanding system complexity, but unfortunately does not solve for the complexity of systems. In other words, CLA is a simplification of reality, which researchers and clients/ readers use to comprehend the system analysed. Explanation of the outcome of a CLA is frequently necessary, for which a narrative or storytelling technique is useful. In the context of systems thinking and CLA, causeand-effect relationships are central to understanding how different elements within a system interact and inﬂuence or impact each other. This methodology is oriented towards generating a visual representation of the system variables and their causeand-effect interrelations in the form of CLDs, which are used to graphically depict dynamic interrelationships among variables. Furthermore, CLDs allow us to visualise these variables as well as their relationships over time. CLDs explain the behaviour of a system by showing a collection of connected nodes and the feedback loops created by the connections. One or more of the nodes may present the core symptoms of the problem. Identifying the impacted nodes would help to trace the causal chains leading to challenges preventing the system’s full success. Thus, CLDs enable the researcher to visualise holistically how parts of a system interact to impact positively or negatively on a particular outcome (Markovski & Goldberg, 1995). Fieldwork and data gathering This research investigated challenges and opportunities in the current configuration of PA and CPD for TVET lecturers. Data gathering was conducted according to a qualitative approach through individual interviews. The interviews were used to gather information on the PA processes and on lecturers’ understanding and experience of PA and its links with CPD as core elements of the performance management system. The fieldwork focused on participants’ understanding of how well PA and CPD processes are integrated within the system. Processes investigated included access to CPD opportunities, impact of lecturer motivation, stakeholder involvement and feedback within the system. Fieldwork was followed by data coding, capturing, analysis and the creation of CLDs. The interview questions were designed to elicit responses regarding the challenges and dynamics within the current PA and CPD system. The questions were carefully crafted to explore the alignment of goals, resource allocation, performance measurement, individual motivation, stakeholder collaboration and evaluation processes, mainly with reference to the lecturer experience. The fieldwork involved conducting individual interviews with senior TVET managers and lecturers in six TVET colleges. With the support of the DHET, one college was selected from each of the six DHET regions. Unfortunately, one of the selected colleges was not available to participate, leaving one region unrepresented, and fieldwork was conducted in five colleges. The fieldwork was conducted mostly through face-to-face interviews, while some interviews were held via online conferencing. At least two interviews were conducted in each college. The interviews were conducted with lecturers and senior managers such as campus managers and principals/viceprincipals to ascertain how they experienced the PA and CPD processes and the contribution of these processes towards their individual and professional growth and development. The interviews were also used to confirm the general tenor and quality of the sequence of activities and procedures conducted at the college level and included probing a lecturer undergoing the process, a manager conducting the process, and the role of human resources (HR) in driving the administration of the annual PA cycle, the completion of documentation and conclusion of the process. Interviews were transcribed, and coding then took place. Otter.ai was used to record and transcribe the interviews, which assisted in generating rough transcript drafts. These rough drafts were then grammatically cleaned; phrasing and terms were also corrected to correspond with the audio recordings. Additionally, the participants were assigned codes according to college, province and role. The cleaned transcripts were subsequently uploaded into the qualitative analysis software, Atlas.ti, and were inductively coded. This way, an idea of the landscape of PA events, initiatives, processes and themes according to college, province and role could be ascertained, thus 15 providing a more nuanced analysis. From these codes, further axial codes were derived which ultimately informed a thematic analysis that took stock of the frequency of word usage, core concerns and trends. This effort provided the platform for the next stage of the research, that of creating the CLD and its subsequent narrative. Analysis The analysis focused on good or promising practices as well as on weaker elements in conducting PAs and the links between the PA and CPD processes. Challenges as well as potential gaps affording opportunities to make improvements were sought out. The analysis also aimed to identify patterns of similarity or variations in PA and CPD implementation across institutions and gain an appreciation of how colleges adapted these processes to their specific needs. The interview findings were then used to develop a draft CLD that served as a visual representation of the current PA processes and CPD activities within the participating colleges. The CLD also mapped the positive and negative inﬂuences on the effectiveness and quality of PA and CPD as represented through interdependencies and feedback loops. The CLD was refined so that it conveyed simultaneously occurring activities, dynamics and tensions in the system. It could then be used as an input for a group discussion, with the feedback used to further refine the diagram to represent the working and interaction of system elements more closely. Assumptions The focus of this research is on TVET lecturers in 50 public South African TVET colleges, the majority of whom work at about 300 campuses operating in large areas of the country. TVET lecturers’ effectiveness is an important multiplier factor in optimally preparing skilled artisanal, technical and vocational workers, not only due to skilled graduates being able to contribute to the economy, but also to lecturers’ capabilities to lead fulfilling lives and have a positive, secondary impact as role models for their students. This research is positioned within a broader agenda for the professionalisation of TVET lecturers in this country (Hofmeyr & Vally, 2022). More specifically, the research aims to contribute towards the design of an aligned performance management and CPD system for TVET lecturers. The outcome will be to put forward a model or an approach towards synergising the interaction between lecturer performance management and CPD. The research specifically focused on the improved functioning of the relationship between PA, performance management and CPD functions that serve the knowledge, skills and workplace experience needs of South African TVET lecturers. As such, the research included: • Analysing the links between PA and CPD within the overarching system of performance management; • Examining the functioning and linkages between TVET lecturer performance management and PA trends in South Africa; • Identifying the main features of a model to inform the development of a fully-ﬂedged performance management and CPD system for the South African TVET lecturer context; and • Providing a point of departure for stakeholder engagement towards jointly creating a shared model of PA and CPD that can guide the next phase of TVET lecturer development in South Africa. Furthermore, the research is premised on the assumption that performance management systems within which PAs are located may need to be adapted to achieve improved functionality according to the circumstances of the particular TVET institutional environment in which they are implemented. This means that participants in the system need to participate actively in embedding the system and, with time, adapting it as conditions and needs change (Nankervis & Compton, 2006: 83). 2. Performance appraisal, performance management and performance management systems Introduction Performance management takes place in some form in all employment environments. It may be formal and conducted officially through a structured process or conducted informally through undocumented adhoc interaction between a worker and their supervisor (Brown et al., 2019). In other words, some performance management status quo inevitably applies. It is not a case of whether performance management takes place or not, but rather of how performance management takes place. It is essential that performance management is formalised and excellently and fairly governed so that the process is experienced and perceived as having sufficient legitimacy to justify participation and acceptance of the outcomes. For example, the performance management process needs to have adequate opportunities for appeal and redress that are fairly applied and provide limited opportunity for manipulation by employee, manager or employer (Gabris & Ihrke, 2000). The performance management system must also provide a structure that guides ongoing PA, CPD and other support and development measures that are relevant and appropriate to the occupational status and experience of the worker. Definitions Performance Performance can be described as a worker’s application of their knowledge, experience, skills and capabilities to undertake and complete specific work responsibilities to required quality or performance standards (Pradhan & Jena, 2017). What is meant by ‘performance’ is perhaps debatable and it is probably regarded differently in different contexts and among different occupational groups. However, as Clear Review (2024) broadly suggest, at a broad level performance is concerned with doing the work as well as getting the results. Considered as a more holistic concept, performance also encompasses behaviour and activity and the way individuals, teams and organisations carry out their work. Accordingly, performance is seen to involve not only results but also considers the effective use of appropriate skills, knowledge, competencies and behaviours to achieve the results (Iqbal, Akbar & Budhwar, 2015). 18 Towards a performance management framework for TVET lecturers in South Africa Performance appraisal Performance management PA refers to the formal assessment of a worker’s performance in the workplace. PA is based on criteria, goals and performance indicators stipulated by or negotiated through interaction with the employer. It may be conducted by one or more participants appointed to ascertain job-related performance and standards, achievement of targets, and assimilation into the workplace as a collaborative environment, based on a shared understanding of the roles, tasks and obligations of both parties (Levy & Williams, 2004). Nankervis and Compton (2006: 85) observe that private sector enterprises by and large are convinced of ‘the importance of performance management as one of the most crucial links between HRM functions and organisational competitiveness’. This has led to a profusion of performance management related products and services to such an extent that PerformYard (2020) view this as a serious concern: ‘There are more options than ever before, and the hardest part can be knowing where to start.’ It is important to note that the specific meaning and usage of these terms may vary, depending on the context and the organisation or individual employing them. The foundation of PA is the interpersonal interaction between the employee and the responsible supervisor, and it requires mutual trust and shared commitment to accountability (Salleh et al., 2013). PA involves evaluating employee performance on a regular basis over an annual cycle based on institutional policy (Armstrong, 2006). It focuses on evaluating recent performance and is oriented to proactively guide employee development and performance, which need to be aligned, leading to increased capacity, confidence and productivity to the best of the individual’s abilities (Sahoo & Mishra, 2012). Armstrong and Murlis (1991: 5, cited in Forrester, 2011: 6) define performance management succinctly as consisting of a ‘systematic approach to the management of people, using performance, goals, measurement, feedback, and recognition as a means of motivating them to realise their maximum potential’. The aim of performance management is to proactively inform worker performance through equipping each person with an understanding of the vision, mission, goals, objectives and strategies of the organisation that relate to their professional or occupational role in accomplishing organisational goals (den Hartog, Boselie & Paauwe, 2004). It is argued that performance management activities can or should be continuous through interaction between the supervisor, the individual and colleagues and should contribute to employee motivation. Performance management thus should involve dialogue among all stakeholders to create a shared understanding of the future path of the institution and each individual’s role therein. 2 In the private sector environment, a substantial variety of appraisal processes are used to assess a worker’s performance, depending on the occupation in question, rank seniority, HR policy of the organisation, the employer business model and other factors. For example: • Standard PA: based primarily on interaction between worker and manager, involving feedback and evaluation that may be ongoing and concluded annually. • 360-degree appraisal: involves various co-workers, peers and reportees who provide feedback on the person being assessed; the feedback is consolidated by the employee’s manager for the relevant PA review period. • Self-assessment: workers rate themselves by completing a self-assessment form which is compared with the manager’s assessment of the employee for discussion. 2 Performance management systems A performance management system is a mechanism for tracking the performance of employees consistently and measurably. It allows an organisation to ensure that employees and departments across the enterprise are working effectively towards achieving the organisation’s strategic goals (Schiemann, 2009). Performance measurement refers to the quantitative and qualitative indicators that are used to monitor progress and development according to occupational category, functional business unit, course unit, qualification or programme and, at a higher level of aggregation, in relation to larger organisational units with reference to their established targets. The term ‘personal appraisal’ can have a broader connotation that extends further than the individual’s skills and work performance to also include the individual’s personal attributes and qualities. This definition is not applied here. 19 Figure 1: Performance management system Plan and goals activity support mentor review Individual performance management activities Performance appraisal Performance management and PA are both about the performance of employees. They are commonly referred to interchangeably. However, there are important differences between them that must be set out. They are linked processes that impact on each other (Lussier & Hendon, 2017). However, PA is concerned with an individual’s performance, whereas performance management interrelates individual responsibilities within the objectives and outcomes that the organisation is intended to achieve. Both are necessary to achieve improved performance of institutions, units and individuals (DeNisi & Murphy, 2017; Ogbu Edeh et al., 2019; UpRaise Research Council, n.d.): » However you look at [performance management and performance appraisal], they both should result in increased performance over time … If you’re not getting the results you need, then either or both pieces need to be re-tooled. (TalentManagement360, 2023) This argument forms the basis of the following figure which illustrates the value of their combined impact, representing how the relationship between teacher or lecturer evaluation (or appraisal) and professional development can lead to improved student achievement. Continuing professional development All other system components and processes One important caveat to consider is that while performance management for purposes of decision-making and employee development are certainly related, these two objectives need to be supported equally well by a single system. When a performance management system is used for decision-making, the appraisal information is used as a basis for pay increases, promotions, transfers, assignments or other administrative HR actions. When a performance management system is used for development, the appraisal information is used to guide the training, job experiences, mentoring and other developmental activities that employees will engage in to develop their capabilities. Pulakos (2004) warns that although it is possible to have a performance management system that serves both decision-making and development purposes well, this can be difficult to achieve in practice. A particular performance management programme’s effectiveness may also be inﬂuenced by the notions of procedural fairness and distributive justice (Gabris & Ihrke, 2000), where ‘procedural fairness’ refers to the employees’ perceptions of the equity of the overall process and where distributive justice is linked to perceptions of the fairness of associated rewards and recognition outcomes. Some critics of performance management (e.g., Glendinning, 2002; Giddon, 2004) critique its practical difficulties while supporting its underlying principles. 20 Towards a performance management framework for TVET lecturers in South Africa Figure 2: Illustration of the link between teacher evaluation (appraisal) and professional development and improved student achievement Evaluation systems • Model of practice aligned to vision of instruction • Provides fair, rigorous, valid and reliable information about performance • Based in part on improvement in student achievement • Used for placement and promotion decisions • Used for dismissal/ rentention decisions Teachers • Understand practice model and performance standards • Perceive process and results are fair • Perceive that performance ratings have consequences they value • Understand the strengths and weaknesses of their practice via credible and speciﬁc feedback Retention of more eﬀective teachers and removal of ineﬀective teachers Teachers develop shared conception of good teaching Professional development and support • Teachers provided with ongoing, diﬀerentiated, targeted and personalised support and feedback • Professional development opportunities designed to increase teacher performance Improved instruction Teahers use feedback and goals to seek appropriate professional development activities and try out changes in practice Improved student achievement and more equitable access to eﬀective instruction Teachers develop skills related to improving eﬀectiveness Source: Finster & Milanowski (2018: 5) Evidence on the impact of performance management systems Supporters of performance related activities such as Cascio (2006), Wilson and Western (2001) and Brudan (2010) see performance management as an important input into an organisation’s success and argue that performance management programmes are the preferred means to appraise, develop and effectively utilise employees’ knowledge and capabilities. The field of performance management has attracted massive research interest, but despite this, performance review remains a major source of frustration for managers3 (Nankervis & Compton, 2006). Attempts to test whether there is a direct causeeffect relationship between performance management and enterprise or business performance are said to be ‘inherently problematic’ (Colbert, 2004: 84). Little is known of actual costs, let alone the extent to which performance management has contributed to ‘improvement’, ‘efficiency’ and ‘excellence’ (Forrester, 2011: 5-9). 3 Nonetheless, performance management systems are widely implemented in large numbers of organisations in the private and public sectors. Their common usage should however be interpreted as evidence of the perceived need for performance management systems rather than as evidence of their successful implementation. In their wide-ranging review of the literature, Nankervis and Compton (2006 : 83) found ‘as in earlier studies, that the use of and satisfaction with performance management systems remain problematic’ and assert that ‘[o]verall, the findings of the[ir] study can best be described as mixed’ (2006: 100). They contend that the effectiveness of a performance management system is dependent on how well the system is understood by managers and employees and on adequate training and preparation. However, they express concern over a decline in the training of system users and in ‘the involvement of employees in the review of their own and their team’s performance’ (2006: 100). They further assert that hard lessons have Among line managers and among human resources management (HRM) managers and practitioners. 21 show that performance management systems are not a ‘plug and play’ innovation but require adapting to fit the host institution’s unique environment (2006: 83). Lastly, the authors draw attention to the principle that managers of performance management systems should customise and integrate their systems, and that a good performance management system is characterised by ‘alignment, integration, commitment, collaboration, feedback, outcomes and user-friendliness’ (Nankervis & Compton, 2006: 100). Other research has found that the success or failure of performance management systems depends on organisational capacity and ‘maturity’ and on the attitudes and skills of those responsible for system implementation and administration, together with the acceptance, commitment and ownership on the part of appraisers and appraisees (Hedge & Teachout, 2000; Lawler, 1994). The best systems enshrine the ideal principles of performance management such as: the strategic alignment of organisational and employee goals and outcomes; user friendliness; consistency, equity and transparency; and clear links between appraisal and salary review, human resource development, coaching and succession plans. The less attractive systems either fail to reﬂect these qualities or provide inadequate communication, employee feedback or appraisal training (Haines & St-Onge, 2012). Advances in performance management In line with the total quality management (TQM) agenda (Bowman, 1994; Kiran, 2016; Sinclair & Zairi, 2000), the idea that an organisation’s performance is the responsibility of everyone, not just management, became a more prominent way of thinking (Soltani & Wilkinson, 2020). Consequently, everyone in an organisation is considered accountable for its results, and performance management systems have become commonplace in many organisations as part of human resources management (HRM). A survey conducted by eReward in 2014 (Techfunnel, 2023) found the most common goals for performance management were to: • • • • • • 4 Improve organisational performance; Align individual and organisational objectives; Develop a performance culture; Improve individual performance; Align individual behaviour to organisational values; Provide the basis for personal development; • • • Inform performance pay decisions; Secure a process that will mitigate or eliminate bias or unfairness; and Ensure a well organised process that limits time wasting. The same survey identified that the following outcomes of effective performance management were frequently expressed by respondents: • • • • • • • Progressive guidance towards progressive career direction or path; Clarifying job responsibilities and expectations; Enhancing individual and group productivity; Developing employee capabilities through effective feedback and coaching; Guiding behaviour to align with the organisation’s core values, goals and strategy; Providing a basis for making operational human capital decisions (e. g., pay); and Improving communication between employees and managers. The lists above usefully highlight that there can be substantial variation between institutions in terms of their approach to PA goals and the envisaged outcomes. In institutions of teaching and learning such as schools, TVET colleges and higher education institutions, appraisals are conducted through using various data collection methods, including classroom observations, self-assessments, portfolios of work and reﬂective journals. Some systems use external evaluators such as trained observers or educational consultants, while others rely on internal evaluators like experienced teachers from the same institution.4 Digitisation and implementing performance management software applications Performance management systems demand considerable HR time and administrative effort including sourcing of records of previous appraisals, paperwork including form filling and writing reports that have implications for individuals and exchanges of documents. There is also effort allocated to scheduling and holding meetings to prepare and update employees and their supervisors before appraisals are undertaken and, thereafter, for debriefing and moderation of the outcomes (Hvidman & Anderson, 2014). There is thus a need to improve timeuse and workﬂow efficiency and reduce the amount of Performance appraisal techniques may also include: project-based performance appraisal; rating scales and checklist scales; qualitative essay-based appraisal; the critical incidents method; and the work-standards approach in workplaces. 22 Towards a performance management framework for TVET lecturers in South Africa paperwork (Carter et al., 2011). In some organisations, achieving these efficiencies is a serious challenge. Opportunities to move from inefficient, traditional, manual performance management systems have emerged with a range of new software applications. Software performance management tools have been taken up as viable alternatives that can assist workers and their supervisors/managers as well as HR personnel. These tools provide the benefits of a structured and standardised approach to collecting, storing and accessing performance data (Behnke, 2023). There are nevertheless substantial costs in developing such systems including for the development of workﬂows, database development, records management, integration of the apps, information security and confidentiality, archiving and ongoing maintenance. This will require that all personnel using the system including HR and systems personnel (e.g., software managers, administrative staff) have training in the new skills required to use the system. It is thus important to balance time, resources, development and maintenance costs once the system is embedded (Payne et al., 2009), but especially during its implementation. A vital step towards developing a technology-based performance management system is to critically scrutinise and streamline the current manual system so that inefficiencies and ﬂaws in the current processes are not simply programmed into the automated system, making it less efficient. The system components selected need to have high interoperability (Verdecho, Alfaro-Saiz & Rodríguez-Rodríguez, 2019). It is also necessary to customise the software to address specific requirements as well as inevitable challenges or problems identified in the client system. User-friendly systems with a short learning curve should be prioritised. These considerations must be added to the functional links and integration of the system at the institutional level of TVET colleges with the system at the provincial and national level. The above aspects will have to be taken care of in terms of a budget. Further considerations that add to the cost of the software are the inclusion of ﬂexible workﬂows, more built-in integrations and good capability for customisation − this is because performance management systems are complex and will require adaptation as the system is bedded in. Finally, ease of use of the technologies is of high importance for buy-in and adoption by employees at all levels. Ease of use will limit frustration and time wastage, allowing all personnel time to add value to their primary occupational purpose. Performance management processes constantly need to improve, expand and evolve. It is important to not throw the baby out with the bathwater and rather iterate from the existing model or strategy and implement the system in stages. Adaptation will be important to counteract inertia. Due caution must also be practised, as research has uncovered unanticipated outcomes of performance management automation (Pulakos & O’Leary, 2011). Creating fit-for-purpose performance management systems The business planning process and performance management of individual workers need to be interconnected. This is because the business planning process of public or private organisations informs the allocation of roles in institutions such as TVET colleges, from departmental units to campus and then to the institutional level. In the business planning process, strategic goals and objectives are agreed on that define the direction and desired outcomes of the organisation over a particular period. The goals are devolved into more specific goals that are appropriate to the next (subordinate) units of the organisation (e.g., campus, field, curriculum, departmental units). This involves breaking down the highlevel goals into departmental or team-specific goals that align with the overall business objectives. The objectives include targets (e.g., quality), plans (e.g., curriculum), departmental targets (e.g., completion rates) and other key performance indicators (Nartisa, Putans & Muravska, 2012). Then performance expectations are established for individual workers (Siddique, 2004). These expectations are derived from the cascaded goals of the business unit in the organisational hierarchy and are designed also to align individual efforts with the broader organisational objectives. Performance expectations can include pass rates, qualitative outcomes, skills upgrading, etc. This is aptly illustrated in the generic figure below, which highlights how institutional planning and review interlocks with staff or individual performance management. This process may seem mechanical in the description because it is substantially summarised, but it should be seen rather as a balancing act: » starting with your organization’s needs and the needs of your … workforce, then building a custom strategy that serves those needs. It’s about creating a strategic business operation rather than fulfilling a year-end compliance requirement. (PerformYard, 2020) 23 Figure 3: Performance management systems view Setting individual and collective goals Situation analysis Appraisal feedback Review CYCLE 1: Activity planning and review Priority setting and option appraisal Supervision and monitoring Implementation CYCLE 2: Performance management of staﬀ Mentorship and motivation Distributed leadership Budgeting Delegation Source: Green (2007), cited in Nxumalo et al. (2018: 5) The following checklist of twelve core elements suggested by Ferreira and Otley (2009) is useful to consider when creating or renovating a performance management system. Table 1: Questions to address towards developing a sustainable performance management system Organisational feature Questions 1 Vision and mission What is the vision and mission of the organisation and how is this brought to the attention of managers and employees? What mechanisms, processes and networks are used to convey the organisation’s overarching purpose and objectives to its members? 2 Key factors in overall success What are the key factors that are believed to be central to the organisation’s overall future success, and how are they brought to the attention of managers and employees? 3 Organisational structure impact on design of performance management systems What is the organisational structure, and what impact does it have on the design and use of performance management systems? How does it inﬂuence and how is it inﬂuenced by the strategic management process? 4 Strategies and plans for success What strategies and plans has the organisation adopted, and what are the processes and activities that it has decided will be required for it to ensure its success? How are strategies and plans adapted, generated and communicated to managers and employees? 5 Key performance measures What are the organisation’s key performance measures deriving from its objectives, key success factors and strategies and plans? How are these specified and communicated, and what role do they play in performance evaluation? Are there significant omissions? 24 Towards a performance management framework for TVET lecturers in South Africa Organisational feature Questions 6 Performance levels needed What level of performance does the organisation need to achieve for each of its key performance measures (identified in the above question)? How does it go about setting appropriate performance targets for them, and how challenging are those performance targets? 7 Evaluation processes − current What processes, if any, does the organisation follow for evaluating individual, group and organisational performance? Are performance evaluations primarily objective, subjective or mixed, and how important are formal and informal information and controls in these processes? 8 Continuing professional development What information does the organisation need to obtain to inform identification, development and implementation of appropriate, wellfocused and impactful CPD? 9 Rewards − financial and or non-financial What rewards – financial and/or non-financial – will managers and other employees gain by achieving performance targets or other assessed aspects of performance (or, conversely, what penalties will they suffer by failing to achieve them)? 10 Information ﬂows in support of the performance management system What specific information ﬂows – feedback and feedforward – systems and networks does the organisation have in place to support the operation of its performance management system? 11 Use and control of information What type of use is made of information and of the various control mechanisms in place? How do controls over data and their uses differ at different hierarchical levels? 12 Alteration of performance management system in organisation dynamics How has the performance management system been altered, taking into consideration any change dynamics in the organisation and its environment? Have any changes in performance management system design been made in a proactive or reactive manner? 13 Strength of links between the performance management system components How strong and coherent are the links between the components of the performance management system (referred to in the above 11 questions)? Source: Ferreira and Otley (2009: 278-279) 3. TVET lecturer professionalisation and CPD Introduction Many global and local factors are impacting on and making demands for change in TVET lecturers’ professional knowledge, skills and capabilities. Lecturers and the curricula which they give instruction in and facilitate have to keep pace with the increased accessibility of various modalities of remote and online education that require new teaching and learning skills, expectations that TVET systems will contribute to positive adaptations to severe global challenges of climate change and population growth across geographic regions, and the need to respond to new forms of knowledge and technology leading to digitisation and the greening of economies, societies, work and labour markets. Many of these factors contribute to the need to reshape the expertise of lecturers currently hired in TVET colleges, to encourage them to upgrade their skills and to appoint younger lecturers equipped with new knowledge. These inﬂuential conditions prevail while South Africa is endeavouring to consolidate current gains in the size of the TVET system and to support growth in the nascent TVET lecturer corps to serve the need for increased access to TVET programmes that can secure decent employment for unemployed youth. In this context, TVET lecturer professionalisation and continuing professional development (CPD) each play key roles in fostering a skilled and professionalised lecturer corps. First, lecturer professionalisation involves the dual purpose of formalising an identity for TVET lecturers and enhancing lecturers’ roles, skills, integrity and ethical standards. To achieve this requires a framework that identifies competencies and high-quality standards towards ensuring that TVET lecturers are well-prepared to impart industry relevant skills that may also require new ways of understanding the discipline, technologies and practices involved. A synergy between professionalisation and CPD is critical, where the former provides a foundation for identified standards and competencies, and the latter systematically supports lecturers to continually refine or upgrade their skills and knowledge. Accordingly, TVET lecturers need to become more adaptable, informed and equipped to deliver high-quality education, thereby sustaining a culture of excellence, which in turn reproduces a more robust, skilled and professionalised lecturer corps equipped to respond to changing demand from industry and its workforce. This chapter takes the following shape: First it presents a perspective on the development and functioning of TVET lecturer CPD, which plays a vital role in lecturer PA by ensuring that sufficient quality CPD resources are readily available to provide lecturer growth and development opportunities identified as needed during the PA. CPD offers important opportunities for lecturers who are deemed to require some form of growth and development. Second, this chapter presents a succinct overview of the policy environment that inﬂuences TVET lecturer professionalisation, with reference to the following elements: (a) Policy on Professional Qualifications for Lecturers in TVET, (b) Employment of Educators Act (c) Norms and Standards for Educators and the (d) Integrated Quality Management System for TVET Lecturers. 27 Continuing professional development for TVET lecturers Both initial professional education and CPD are critically important for addressing the aims stated above. CPD is a mainstay of TVET lecturers’ development in several dimensions. According to Letiche, Van der Wolf and Plooij (1991), CPD programmes may be grouped as follows: • Programmes that improve current qualifications so that non-graduate lecturers can become graduates as per policy requirements: These courses tend to be theory based and delivered by higher education institutions. A disadvantage is that lecturers thus qualified tend to be employed in non-lecturing positions; • Refresher programmes that are assumed to increase professional knowledge; and • Top-up courses that assist lecturers where they have gaps in their curriculum knowledge. These types of courses continue to be the mains forms of CPD for TVET lecturers. TVET CPD development programmes are based on a points system. Points are gained by lecturers taking part in a variety of South African Council for Educators (SACE) approved CPD programmes. According to SACE (2008: 1416), every lecturer is required to earn at least 150 CPD points over a consecutive three-year cycle, and if more than 150 points are gained, the additional points will be carried over to the next cycle. However, a lecturer cannot earn more than 90 CPD points in a one-year cycle, aside from when the lecturer is finishing a formal qualification. Lecturers are therefore encouraged to plan their own development activities according to their own needs, since the three-year cycle promotes ﬂexibility. By way of contrast, however, disincentives or deterrents can also operate here. Deterrents include when lecturers must undertake CPD in their own time and pay for it themselves, when the content is irrelevant or out-of-date or when there are no perceived benefits arising from participation (SACE, 2008). Clearly, lecturers’ decisions are inﬂuenced by incentives and disincentives, with both impacting on take-up of lecturer CPD (Hofmeyr & Vally, 2022). If CPD were obligatory for TVET lecturers, they would have to comply or face sanctions (Hofmeyr & Vally, 2022). If incentives such as points for activities that qualify TVET lecturers for re-registration, monetary bonuses, improved promotion prospects or paid time to do research were linked to undertaking CPD, these could act as important motivators for lecturer’s participation. CPD opportunities for TVET lecturers Government, researchers and TVET lecturers themselves have recently pointed to the need for mentoring and coaching of lecturers, both in initial lecturer development and CPD (Terblanche, 2017). This is because it has been found that, in some cases, college principals are not in fact managing the CPD of lecturers (Chetram, 2017). This unfortunately results in lecturers needing to manage their own professional development. The lack of structured and institutionalised support mechanisms to formalise, sustain, monitor and evaluate partnerships and improve lecturer capacity through CPD is therefore a systemic weakness (HRDCSA, 2014). Many lessons for TVET colleges in South Africa can be drawn from Europe, particularly the seriousness with which the topic of CPD is regarded and the concerted effort to regularise it in European states. Here, CPD is not simply left to the staff member concerned, but is policy driven for the general benefit of the education sector. Managers have clearly defined roles in needs analysis and in finding or devising innovative ways of encouraging staff members to participate in CPD (Ndlovu, 2018). Development ﬂourishes when lecturers work in teams (Heystek et al., 2008). Lecturers engaging collectively can enhance their efficiency and professionalism, while the quality of their knowledge is also improved (Heystek et al., 2008). For example, if mentorship were an integral part of the CPD of a new member of staff joining the sector for the first time, it would give the new staff member the chance to acquire efficiency and professionalism through interaction with and learning from more experienced colleagues (Ndlovu, 2018). Currently, annual training of HoDs and senior lecturers as mentors and coaches is being undertaken by the National School of Government (NSG) and the University of South Africa (UNISA) to support teaching practice (DHET, 2017: 26). Professionalism is therefore ‘paramount and involves an intrinsic motivation by people to develop themselves as professionals’ (JET Education Services, 2018: 29). According to Hargreaves (2000, cited in de Clercq, 2013: 2), professionalism can be seen as being concerned with a profession’s ‘internal quality, authority, values and autonomous practices’. However, Johnston (2015: 299) observes that, ‘in some contexts ‘professionalism’ is used as a euphemism for quality and reform’. CPD can be optimised when it is constructed considering the requirements of the lecturer, while also being an ongoing activity that includes formal, systematic and appropriately 28 Towards a performance management framework for TVET lecturers in South Africa designed development and follow-up through dialogue, feedback and peer coaching (Bernauer, 2002; Lee, 2005). Internationally, formal CPD is typically confined to permanent lecturing staff, however, even though in many countries there is a sizable number of temporary staff who do not accrue the benefits of CPD-related training as a result (Hofmeyr & Vally, 2022). Many colleges view CPD as simply attending courses offered by the DHET, however. This assertion is reinforced by Letiche et al. (1991: 91), who claim that: ‘various lecturers believe that professional development involves attending courses with the aim of enhancing the quality of the education of youths’. Furthermore, many lecturers view attendance at such courses as being compulsory. For example, Ndlovu (2018: 99), in research which focused on how (and if) a TVET college in Mpumalanga managed CPD programmes for lecturers, cites one lecturer who said that: ‘they tell us you must ... [verbal emphasis then a pause] attend. Even if maybe some workshops they are not into developing us in that professional way, but they do force you to go there’. These lecturers still felt that there was no serious commitment from management’s side to roll out a useful CPD programme informed by individual lecturers’ needs. They thus felt that management’s actions were for no other reason than to be seen to comply with DHET regulations. Participants in Ndlovu’s (2018: 113) research generally felt that most CPD managed by the college was planned by the college itself. In other words, although the DHET has a general framework that provides for CPD, it is up to the college to interpret and implement this framework. This was summed up by an HR participant, who said: ‘As HR we plan most of our CPD. Each year we draw up a CPD plan. We first identify individual lecturer needs and we see how best we can implement the CPD programme. The CPD programme differs from year to year depending on lecturer needs.’ The campus managers, on the other hand, felt that their involvement in CPD was menial, seeing as it only involved submitting documents and names of staff members to HR (Ndlovu, 2018). The DHET Bursary Committee works in conjunction with individual colleges at the start of the academic cycle to invite suitable candidates to apply for bursaries following predetermined criteria. The committee then announces closing dates for applications and then communicates the outcome of applications to college HR managers and applicants (DHET, 2019a). All the salary level 2-12 bursaries for TVET colleges are administered at the college level. All the salary level 13 (principals) bursaries are administered by the DHET in Pretoria (DHET, 2022a). To fund TVET lecturer CPD more broadly, however, the government made a significant decision that the DHET ‘can deduct a 1% skills levy from each TVET college’s wage bill and then transfer 30% of the 1% to the Education, Training and Development Practices Sector Education and Training Authority (ETDP SETA) and 70% to the college for CPD’ (JET Education Services, 2018: 19). Moreover, » Where colleges have appointed additional lecturers and are paying them from their payrolls, the colleges are obliged to pay the 1% to the Education, Training and Development Practices Sector Education and Training Authority (ETDP SETA) and can then claim the monies back from the SETA after training these lecturers. (JET Education Services, 2018: 19) Internationally there are three broad types of funding models for CPD: The model addressing the majority of lecturer needs is state funding; another model is based on user fees; and a third model is a hybrid, consisting of state, user and donor funding (Hofmeyr & Vally, 2022: 75-76): • The state funding model enables education authorities to plan and budget over the medium to long term, thus bringing stability to the CPD system, though these systems tend to be inﬂexible. • A variant of state funding is found in countries in the Middle East such as Bahrain, Saudi Arabia and Morocco, which tend to fund CPD training directly from payroll taxes administered to all eligible employers. This would appear to be an effective way of covering the cost of maintaining an effective CPD system. • Experience indicates that the user fees model is a deterrent to lecturer participation, especially in countries where the working conditions and salaries of TVET lecturers are poor. Even in developed countries such as England, a user-pay system has failed to gain traction. If a hybrid model is partly dependent on donor funding, this can be a problem because donor funding is uncertain. A minority of lecturers felt that they had benefited through arrangements for them to study in higher education institutions and subsidised short courses: » Through skills programmes offered by accredited service providers and also through bursaries to acquire formal qualifications in institutions of higher learning. For short courses, lecturers are provided with transport, accommodation, meals, and their programme costs paid in full. (Ndlovu, 2018: 118) 29 Some participants in Ndlovu’s study, however, expressed disappointment with lecturers for not taking the college’s CPD efforts seriously, feeling that the college was spending a lot on CPD, only to find that lecturers were not using the newly acquired knowledge and skills in their teaching (Ndlovu, 2018). Letiche et al. (1991:92) suggest that CPD courses help to empower lecturers to make decisions, for example, whether to improve their current skills or obtain new skills. Ndlovu (2018) found that for staff members who were in fact willing to sacrifice both their time and money to gain new knowledge and skills, the major motivating factors were salary and career progression, status, recognition, personal growth and job security. There is, however, a concern that most CPD training programmes for TVET lecturers focus on training in pedagogy, whereas much less training and development course content is oriented towards improving the occupational skills of lecturers. There is very little CPD development available for TVET college trainers supporting students undergoing workplace-based internships (Hofmeyr & Vally, 2022: 73). However, in some countries, TVET authorities employ part-time staff from industry to lecture or train TVET lecturers and thus avoid incurring significant additional labour costs. This can be useful in systems with high levels of unqualified or inexperienced staff. Moreover, this practice ensures that TVET lecturers will obtain the benefit of up-to-date, relevant expertise in their initial or in-service training (Hofmeyr & Vally, 2022). It must be noted that the amount of publicly available research on CPD for TVET lecturers in South Africa is limited and comes from three main sources: university students’ research for Master’s or PhD qualifications; some evaluations of interventions to improve the TVET colleges; and a few comparative international reports on TVET systems that include South Africa (Hofmeyr & Vally, 2022). The policy environment that governs TVET lecturer professionalisation Below is an account of development initiatives and policies that pertain both indirectly and directly to TVET lecturers. It is observable that interventions and especially CPD policy for TVET lecturers are strongly informed by developments for school teachers. This section thus begins by examining policy documents developed for school educators before considering the impact on TVET lecturer policy, and recent developments. Norms and Standards for Educators The Norms and Standards for Educators (NSE) (Department of Education [DoE], 2000) can be viewed as the first official policy document that aims to offer direction in the area of educator development, with the term educator referring to someone who provides instruction or education. The policy defines educator development as ‘ongoing education and training of educators as a continuum, including both pre-service and in-service education and training’ (DoE, 2000: 9). It stipulates that educator training and, consequently, CPD practices, should ensure that theory and practice are assimilated. Mainly, however, the policy reconceptualises what it entails to be an educator in democratic South Africa, and specifies the capabilities that a qualified South African educator is anticipated to possess and carry out (DoE, 2000: 13-14), stating that a qualified educator should be: • A learning mediator; • A leader, administrator and manager; • A scholar, researcher, and lifelong learner; and • A learning area, subject, discipline and phase specialist. This policy further provides guidelines for CPD managers to quality assure standards and requirements for all providers of educator improvement courses. The basis of this declaration is for the functions of educators to be highlighted in all educator improvement practices (DoE, 2000). This is in line with Sayed’s (2004) assertion that the requirements of the educators’ responsibilities provide the foundations for CPD providers to create training for educators that are recognised by the Department of Education. Employment of Educators Act In terms of the Employment of Educators Act (EEA) No. 76 of 1998 and its regulations, the Personnel Administrative Measures (PAM) specify the workloads of all educators, including college-based educators (see: ELRC, 2003: 70-72). In relation to CPD, the PAM for college-based educators stipulates that educators should spend a maximum of 80 hours per year outside of ordinary teaching time participating in professional development courses. This condition thus proposes that CPD leaders could organise activities linked to lecturers’ CPD for syllabus changes outside the official college day or during weekends and college vacations. In other words, educators are not obliged to relinquish their leisure time after hours to attend CPD programmes (Engelbrecht, 2008; Nonkonyana, 2009). 30 Towards a performance management framework for TVET lecturers in South Africa Additionally, the PAM specifies that: » Special leave with full pay may be granted to an institution-based educator(a) to engage in activities aimed at his or her professional development (b) to engage in activities aimed at his or her personal development where such personal development is also in the interest of the employer. (ELRC, 2003: 128) These provisions allow for educators to attend CPD programmes during normal school/college time. In this regard, CPD leaders could arrange a normal school/college day per term to allow some educators to attend CPD programmes on certain days. While some lecturers attend CPD courses, it is stipulated that such involvements must not cause unjustifiable disturbances in colleges. Policy on Professional Qualifications for Lecturers in TVET Regarding professional qualifications needed for TVET lecturers, these are identified in the PPQL-TVET (DHET, 2013b). The PPQL-TVET thus identifies qualifications at both undergraduate and postgraduate levels to be used to establish qualification criteria required and also contribute towards structuring the professional development of TVET lecturers. The policy further describes the knowledge mix needed for specific TVET lecturer qualifications and defines a minimum set of agreed competencies for lecturers. This policy is intended to strengthen the quality of teaching and learning across the TVET sector (Blom et al., 2022). Integrated Quality Management System for TVET lecturers The Integrated Quality Management System (IQMS) was implemented as a component of comprehensive reforms to reshape education in post-apartheid South Africa. It is informed by the ideals of transparency, fairness, justice and equity (Mgijima, 2014). It was introduced to enable the education minister to establish benchmarks for assessing the performance of educators (Mgijima, 2014). The IQMS is the outcome of an agreement that was reached in the Education Labour Relations Council (ELRC) in 2003 (Resolution 8 of 2003). In 2004, the DoE and the ELRC confirmed their agreement on integrating numerous active programmes in education into one policy called the IQMS for School-Based Educators. The IQMS is thus a set of tools for monitoring the performance of the education system to enhance educator performance. This aim is addressed through three programmes, namely: Developmental Appraisal (DA); Performance Measurement (PM); and Whole School Evaluation (WSE) (ELRC, 2004). Looking into these programmes individually, they serve different, but complementary purposes. The DA is directed at individual educators to determine strengths and weaknesses and to chart a development programme (ELRC, 2004). PM focuses on teacher salary progression including grade progression, confirmation of appointments, rewards and incentives (ELRC, 2004). WSE lends itself to the evaluation of ‘the overall effectiveness of a school as well as the quality of teaching and learning’ (ELRC, 2004: 2). The IQMS document contains the tools that are required for each of the above programme evaluation elements in template format for schools to adapt and use as they deem appropriate, while retaining the principles of fairness for all involved in the evaluation processes. Designed primarily for school-level monitoring and evaluation of educators and schools, the IQMS is intended to be applied in the case of teachers, junior and senior, and school leaders such as principals and their deputies. As of 2004, the IQMS became mandatory for TVET colleges (known as Further Education and Training (FET) colleges at that time) (Pillay, 2010). Dhlamini (2009) contends that the IQMS required a paradigm shift for both school and college principals. Its implementation starts with advocacy, followed by training. The advocacy component addresses the purposes of the three programmes, their objectives and outcomes and the advantages for educators, their institutions and the system as a whole. The training covers implementation as well as important facets such as ‘self-evaluation, planning for the whole year and the roles and responsibilities of the structure(s) to be involved in planning, coordinating, monitoring, reporting and keeping the appropriate records’ (ELRC, 2004: 69). At the end of training, all attendees should be familiar with the particular instrument in question. The IQMS process begins with self-evaluation (ELRC, 2004). An evaluation then follows to serve as a baseline for PM and a summative evaluation is done towards the end of the year. From then on, educators are evaluated once annually, with the previous year’s self-evaluation becoming a baseline for the current year (this excludes new teachers). Contextual factors are considered in this process for the purpose of fairness to educators (ELRC, 2004). The Department of Public Service and Administration (DPSA) covers and provides instructions on how the DA and PM systems should be implemented and guidelines for dispute resolution for any disagreements that might arise between the appraisee and appraiser. The timelines are also indicated. For instance, the PM, which concerns salaries and promotions, has an annual cycle (DPSA, 2016). 31 Table 2: Integrated Quality Management System Activity/Structure Target/Function Implication Developmental Appraisal (DA) Supports lecturer development; self evaluation Ownership of performance and improvement Performance Measurement (PM) Supports salary increases and promotions; self-evaluation [ownership of performance and improvement] - Ownership of performance and improvement Development Support Group (DSG) Chosen by the educator; HoD + peer in same learning area for support and guidance Members of the Development Support Group (DSG) generate the basis of a baseline evaluation Personal Growth Plans (PGPs) Developed for and by each educator with refinements from DSG Together with the School Improvement Plan (SIP), inform the district’s support to the educator/ school Staff Development Team (SDT) Receives Personal Growth Plan (PGP) documents and completed evaluation instruments for safe keeping by end of March annually. Develops SIP Liaises between educators and the DHET region/ district management regarding development programmes and related activities - 1 year cycle, rewards for a particular year are based on the preceding year’s performance Source: Integrated Quality Management System (IQMS) (ELRC, 2004). The school-based IQMS was subsequently adapted to develop the Integrated Quality Management System (IQMS) for Public FET College Based Educators (DoE, n.d.). The adaptation is in line with the College Improvement Plan (CIP), which is an outline of the steps and procedures required to accomplish college improvement and includes lecturer development. The college-adapted IQMS is currently prescribed by the DHET, although the implementation process is managed internally by college principals. Mgijima (2014: 454) observes that ‘[t]he functions, roles and responsibilities associated with PA are distributed across different roleplayers who occupy different levels within the college hierarchy’. Structures that support implementation are: • • • • • • • Head of department (HoD) Human resources (HR) TVET managers Senior Management Team (SMT) Staff Development Team (SDT) College Staff Development Team (ColSDT) Development Support Group (DSG) (DoE, n.d.). The introduction of the IQMS in colleges led to the adoption of two evaluation and performance management instruments, the Developmental Appraisal (DA) system and the Performance Management and Development System (PMDS). This current IQMS consists of two components aimed at enhancing and monitoring performance of the TVET system. Firstly, the DA determines lecturer strengths and weaknesses, while also devising interventions for their further development. Secondly, there is the PM programme that evaluates individual teachers for affirmation of appointments, incentives, grade progression, salary progression and rewards (Ndlovu, 2018). This is a regulated annually cyclic, mandatory process, forming part of a larger process of linking individual performance management and development to the slightly smaller scale of organisational goals (DoE, n.d.). The primary aim of the IQMS for TVET colleges is to improve performance through ongoing learning and development of TVET lecturers. To do this, performance standards are required. These are agreed criteria used to describe how well work must be done. Furthermore, they clarify the key performance areas by describing what ‘working well’ means. This is done by including those factors, characteristics or standards that are used to describe and assess effective performance (DoE, n.d.). These could either be general or detailed and specific, relating to measurable targets. 32 Towards a performance management framework for TVET lecturers in South Africa After the completion of a self-evaluation, a Personal Growth Plan (PGP) is formulated, setting out areas for development and strategies to achieve such development. The standardised instrument and PGP template for lecturers to record their training needs are provided in the document (DoE n.d.: 73). Chetram (2017) also found that DA and PM are not being implemented strictly as per the prescripts of the IQMS. He additionally found a tendency for college management and lecturers to conduct paper-based self-assessments for compliance purposes and reporting to the department. This impacts negatively on the utilisation of the IQMS. These sentiments were further echoed in the survey of the training needs of TVET lecturers, led by Mgijima (2014) and commissioned by the South African College Principals’ Organisation (SACPO). One lecturer surveyed remarked that instead of the PA providing guidance, it ‘is about ticking a box exercise that is not helping us to improve teaching’ (Mgijima, 2014: 458). The extent to which appraisal outcomes are discussed between lecturers and appraisers is very limited, with many lecturers claiming that they do not receive verbal or written reports after being appraised. As a result, many lecturers remain unsure about which areas of their performance are satisfactory or not, rendering the appraisal process a formality, with limited value as a development tool. The fact that some lecturers do receive feedback is also indicative of the lack of consistency with which the PAs are conducted, as well as a general lack of communication (Mgijima, 2014). Lecturers also pointed out that the multiple structures involved in PAs weaken the control of the process, compromising the quality and consistency (Mgijima, 2014). The IQMS process is therefore viewed as time consuming, with too many bureaucratic controls and bottlenecks (Moghli & Azizi, 2011). A discrepancy that can be found within the PMS is that the employment contracts of TVET lecturers do not make provision for key performance areas (KPAs) and key performance targets (KPTs). These gaps have thus exposed the colleges to the risk of misalignment between the institutional business plan and CIP, on the one hand, and the performance outputs of subject departments, lecturers and TVET managers, on the other. Furthermore, the self-assessments of lecturers in some subjects do not correlate to student outputs for those subjects. This therefore contributes towards misunderstanding and confusion (Mgijima, 2014). Overall, according to Mthethwa (2014), the implementation of the IQMS has been subject to several challenges, which include multiple changes to the curriculum and an overwhelming number of meetings and workshops on the implementation of other departmental policies. Khumalo (2008: 33) points out other challenges that inhibit IQMS implementation. These challenges are as follows: • Attitude: there are individual educators that have negative perceptions about the IQMS, assuming that evaluation is policing them and is done for reasons of blame, disciplinary or demotion; • Time factor: educators view evaluation as time consuming and just a tick box exercise that is done for meeting the deadline; and • Rating error: caused by kindness, fear of enemies and confrontation with insubordinates. Mosoge and Pilane (2014) have also found that a lack of knowledge and expertise on the IQMS processes such as mentoring, coaching and monitoring hampered the zeal to implement performance management. According to Mchunu (2016: 123), performance management in education requires managers to design strategies to monitor implementation of the IQMS. A lack of technical skills results in the poor implementation of the IQMS, which ultimately leads to undeveloped staff. Regarding TVET colleges, the hiring of poorly qualified academic staff for teaching and learning could lead to the poor performance of TVET colleges. New Performance Management and Development System Policy The PMDS Policy is the current DHET framework for managing employee performance with the Department of Higher Education and Training (DHET), with the DHET Strategic Plan and Annual Performance Plan (APP) as its basis (DHET, 2019b). Through Performance Agreements (PAs), the department can assign performance objectives and targets to employees, and employees can participate in the management of their performance. The PA is the cornerstone of the PMDS. The PA must include Employee Data, a Work Plan and a Personal Development Plan (PDP). The cycle coincides with the financial year planning, meaning it runs from April 1 to March 31 for the particular year. The DHET established a Central Moderation Committee (CMC), which is served by Regional Moderation Committees (RMCs) in regional TVET and community education and training (CET) college offices, while deputy principals are responsible for moderating the performance of employees (DHET, 2019b). It is constituted by the Chairperson-Regional Manager; Principals (TVET & CET); Directors in the regional office; Deputy Principals Corporate Services; and HR representative(s). 33 Summary Post 1994, performance management processes were conducted in South African FET (later, TVET) colleges, but were not systematically applied in all colleges. For example, Phiri (1997: 83-85) observed that lecturers in two thirds of colleges in the North West province reported PAs to be in place, whereas one third stated that no appraisals were conducted in the college where they were employed. In that period, PAs were controversial and commonly discredited as politicised instruments. Nearly 30% of lecturers stated that the reasons for holding PAs had never been communicated to them (Phiri, 1997: 83-85). Performance management and development in TVET colleges entered a new phase in 2004 with the adaptation for TVET colleges of the IQMS for schoolbased performance management. A revised version of the performance management system was published in 2015 and included an M&E component and framework called the Monitoring and Evaluation and Reporting Framework for Technical and Vocational Education and Training College Performance (DHET, 2015). The DHET published its Performance Management and Development System Policy in 2019, putting forward department-wide performance management for CET and TVET college staff (DHET, 2019b). Table 3: Performance assessment process Activity Period Process Mid-term Performance Assessment April 1 to September 31 One on one discussion with supervisor Contents & outcomes signed by both parties Annual Performance Assessment Done at end of PM cycle in April Contents & outcomes signed by both parties Rating Scale Assessment Rating Scale 4-point scale [1. not effective, 2. partially effective, 3. fully effective, 4. highly effective] Used for both assessments. Level 1 & 2 leads to no performance rewards paid, level 3 is the pay progression range and level 4 performance is payable. Source: Performance Management and Development System Policy (DHET, 2019b) 34 Towards a performance management framework for TVET lecturers in South Africa Table 4: Performance management policies and tools 2004-2019 Policy (tool) Integrated Quality Management System (IQMS) for Public FET College Based Educators Date of implementation n.d Characteristics This document was adapted for TVET specific performance management. Scheduled actions: • • • • Baseline evaluation: January to March Summative evaluation: September to November First Developmental Cycle and reﬂection: April to end of June Second Developmental Cycle and reﬂection: July to end of September Monitoring and Evaluation and Reporting Framework for TVET College Performance (DHET, 2015) 2015 Monitoring and Evaluation Framework. Performance Management and Development System Policy (DPSA, 2022) 2019 Scheduled actions: • • Mid-term Performance Assessment: April 1 to September 31 Annual Performance Assessment: Done at end of PM cycle in April 4. Analysis of the relationship between the performance appraisal and CPD Introduction Whether as a concept or as a set of practices, lecturer professionalisation is an overarching vehicle for addressing issues of lecturer identity, public trust and, prominently, quality of service5 within which lecturer PA and CPD play an important role. We envision the complementary interaction between PA and CPD as a substantial reinforcing element in the process of professionalisation. PA and CPD are interconnected features of an employee’s professional journey. PA identifies current performance levels and areas for improvement, while CPD serves as a coordinated collection of resources that can be responsively mobilised to address gaps. In this way, PA and CPD support ongoing learning and development through improving lecturer capacity to drive curriculum change in response to the evolving world of work and supporting lecturer qualifications development and professionalisation. Together, they have the potential to interact in a synergistic relationship that contributes to continuous improvement and the sustained excellence of practitioners. The DHET has made substantial strides towards developing and embedding CPD processes and growing CPD offerings available to lecturers. These include: • 5 The development of an LSS; • The establishment of TVET lecturer professional training in higher education institutions, the Advanced Diploma (TVET); • The establishment of a Post Graduate Diploma in Education (PGDE) for TVET to develop instructional leaders; and • Funding for lecturer training through the ETDP SETA and other sector bodies. The DHET commissioned a research report towards a CPD framework for South African lecturers (JET Education Services, 2018) and more recently, commissioned an international literature review on TVET lecturer professionalisation in South Africa (Hofmeyr & Vally, 2022). This work has brought the PA and its interaction with CPD into focus. This chapter is devoted to exploring how TVET lecturers’ PA and CPD activities take place in the college institutional environment. The intention is to systematically identify the course of the PA process, including the significant transactions between individual lecturers and their supervisors and/or HoDs, according to mandated processes, requirements and deliverables. It also explores the quality of mechanisms and resources required to support the process and the intended achievements that may lead to improvements in the quality of teaching and learning that students experience. Professionalisation of an occupation is closely linked to the quality of service delivered by practitioners (see research in progress by Wedekind et al., 2022). Higher levels of professionalisation often correlate with increased competence, adherence to ethical standards, standardised practices, accountability and client trust. These factors collectively contribute to the overall quality, reliability and effectiveness of services provided by occupational practitioners. 37 Approach to causal loop analysis of the performance appraisal and CPD system for TVET lecturers The literature review in Chapter 2 indicated that the potential value add of PA into the provision of the training of young people for relevant and quality jobs by college lecturers is not always successfully realised. The current research is thus directed towards understanding the tenor and characteristics of PA and CPD at the college level, and within that, we are particularly interested in fathoming lecturers’ perceptions and experiences of the processes. This focus is to generate a map with the intention of highlighting features that have salience in the views of lecturers and managers for the effect they have on the quality of the whole process. The main challenge of the CLA method was to unpack the multiple relationships between variables within the identified system. The two-step process involved: 1. Identifying the variables that make up the system; and then, 2. Identifying cause-and-effect relationships between variables within the system. This analysis needed to be applied with logical rigour. The third step was to create a graphical representation that illustrates the interdependencies and feedback loops within a system. These relationships are represented graphically in the CLD, where arrows show the direction of cause and effect between variables and loops to demonstrate how the impact of changes in one variable may percolate through the system. The dynamic behaviour of a system over time may contribute to evolving patterns and behaviours which can frequently exhibit nonlinear patterns reﬂecting uncertainties and nonlinearity. This means that even in a system that consists primarily of a set of variables designed to work in combination to achieve a common purpose, this may not necessarily transpire as intended. This mapping aimed to identify, describe and represent the variables in the system and their relationships. The term mapping is used as a convention only and should not be taken to imply that the resulting diagram represents a fixed landscape. Further, this research exercise was deliberately framed within the broader institutional landscape in which the PA and CPD functions interact. This means that while internal factors within each institution that impact on the PA and CPD process are of relevance, factors relating to the vertical articulation of the specific impact of PA and CPD factors at national, provincial, college and campus levels also need to be kept in mind. Nonetheless, the HR functions related to governance, resourcing and operation of the PA and CPD processes are referred to from the college perspective only. Changes in one variable can affect or impact many elements in the system because they are linked and interdependent. Accordingly, the systems analysis method is grounded in understanding a cause-and-effect relationship that occurs when: • A change in one variable (we refer to this as the cause) leads to: • A change in or consequence for another variable (we refer to this as the effect). The cause is thus what initiates (or contributes) to the effect. The cause may on its own have a direct effect or may only indirectly (contribute to) bring about an effect. The effect involves a change in the characteristics of the receiving variable, which changes the way it interacts with other variables that it is related to. This produces one or more chain(s) of cause-and-effect relationships between variables within the system. The systems under analysis in this research were primarily involved in human social and individual interactions. Unlike analysis of manufacturing systems that deal with inanimate objects, for instance, human interactions or communications are more complex so that very rarely are the ‘causes’ of either increases or decreases in one variable due solely to any one interaction between any two variables. Complex systems that are inclined to change over time are known as dynamic systems. Interactions among their elements may lead to new, sometimes unanticipated conditions that may have positive or negative consequences for participants or institutions in the system (Sterman, 1994). Because of these uncertainties, complex systems are challenging to predict, to understand or to steer. Examples of complex systems include ecosystems, economies, population systems and social networks. Systems analysis emphasises a methodical and interdisciplinary approach to understanding systems. Such research is based on a method for examining the relationships and interactions among system variables to identify opportunities for improvement in the system’s efficiency and effectiveness and user friendliness. 38 Towards a performance management framework for TVET lecturers in South Africa Using CLA within the systems analysis approach in this study offered analytic value as the approach provided a structure according to which complex systems could be unpacked and analysed. It must however be emphasised again that CLA as an analytic method is an aid towards understanding system complexity but does not solve for the inherent complexity. Explanation of the outcome of this CLA will take a narrative form. Our approach was therefore to explore the PA process through using a CLA systems analysis methodology. Applying systems analysis provided the opportunity to identify: • • The variables involved and the factors inﬂuencing PA and CPD engagement, and then, The interaction of components and characteristics of PA and CPD, the quality of interactions and how these inﬂuence the outcomes of the PA process (and of course the role of CPD therein). One of the big challenges in research is to analyse how large systems work. The PA and CPD programmes within the broader performance management environment for TVET lecturers in South Africa is such an example. The system comprises 50 TVET colleges under control of the DHET, serving the technical and vocational skills needs of nearly half a million young people registered in ministerial approved programmes. This system has many diverse and interacting elements, including participants (and their attitudes, perceptions and behaviour), structures (the DHET, TVET colleges, college campuses) and resources (financial resources, training providers, lecturers, skills etc.). All of the above can potentially inﬂuence the direction and impact of the PA and CPD processes, so all of these can potentially be included in the analysis because of their inﬂuence. Several terms come to mind that could be used to name the parts of the system, including components, factors, elements or entities; but we follow the convention of referring to these as variables. This is because a variable can stay constant but can also change in its level of power to inﬂuence other variables, and vice versa. In this fundamental capacity, all the elements of a system are variables. These linked variables interact as interconnected and interdependent parts of the ecosystem. Thus, there can be many relationships between different variables, and changes in one part of the system can have knock-on or ripple effects that work through and impact other parts of the system in unpredictable ways. 6 A fieldwork process to gather data at TVET college campus level was undertaken. The main purposes of this fieldwork were to identify relevant processes with an emphasis on TVET lecturers’ experiences of the quality and tenor of relationships and outcomes. The data drawn from interviews was organised and coded to support development of a systematic model that identifies the features and workings of the participation of institutions and individuals in the PA and CPD interaction within the broader institutional performance management system. The coded data output of the interviews from the case study colleges contributed towards the development of a general model that represents the common processes conducted for PA and CPD according to requirements. This fieldwork was directed towards PA and CPD interactions at the campus level between lecturers and their supervisors (commonly a senior lecturer), departmental HoD and with HR or other college or campus officials. It is mainly through their experiences of these interactions and in communication with each other that lecturers form their perception about the PA process. In other words, the institutional environment of the college campus was our focus because each individual PA process is assumed to be enacted there.6 We concentrated on the campus level where activities and relationships that feed most immediately into the skills development and personal development processes of each TVET lecturer take place. These relationships and processes are supposed to provide the foundation for constructive engagement between the college lecturer and their supervisor regarding the lecturer’s performance. The purpose is to support lecturers’ occupational and personal growth and accountability towards the goals of improved quality of their professional practice. The necessity to focus on feasible research activities within the budget envelope and the remit of the assignment required being sensitive to limitations of the research in terms of validity and reliability. This was necessary since the preferred mode for interviews was to undertake in-person visits to college campuses. A few online interviews were conducted where logistics and availability constrained the options. We recognise that the performance management system processes extend horizontally at the college level but also vertically, linking college performance management systems up through regions and then into national oversight. 39 Data analysis approach Identifying variables Our process of identifying variables consisted of two steps: 1. Inductive coding of interview transcripts to identify prominent topics and the frequency with which they appeared in interviews. 2. Iterative re-evaluation of the prominence and impact of variables according to how interviewees observed the relative inﬂuence variables were seen to have in shaping the PA process. Although we took account of how frequently interviewees mentioned topics, our approach was otherwise largely qualitative. When evaluating potential variables, we focused on the phrasing and tone used in interviews and the polarity attached to each topic. Table 5 lists the 15 main variables that emerged from interview coding. This is a relatively small group of variables, which was derived because of a decision to focus in the interviews on the activities that participants were involved in in their capacity as lecturers, campus management (the main unit responsible for implementing the PA and CPD) or college management. Table 5: Variables included in the causal loop diagram analysis Variable Description Participant responses Senior and departmental leadership committed to presenting the PA as devoted to lecturer professionalism Where the PA is presented as designed for the holistic development and professionalisation of lecturers Monitoring for appraisal ‘is identifying gaps for the purpose of supporting lecturers how to grow professionally’ Willingness to marshal institutional resources for lecturer development College resources are devoted to fostering lecturer wellbeing and to developing reward systems ‘[W]e do have – as a college – a wellstructured ... health and wellness programme at all of our delivery sites, including our head office’ IQMS process is presented as developmental at induction and regularly thereafter Presentation of the IQMS as a variable of a holistic appraisal process, rather than as an isolated event ‘[T]here’s a need for proper induction into why this is happening’ Lecturer and leadership acceptance of reward system Degree to which lecturers recognise strong performance leads to intrinsic and extrinsic rewards ‘I believe that colleges need to put more effort into recognising and acknowledging the importance of lecturers in this instance’ Lecturers motivated to commit to mutual development and growth of colleagues through appraisal process Degree to which lecturers recognise that their professional development involves the development of their colleagues as well ‘It’s a good developmental tool because it doesn’t just look at the manager rating the subordinate, it’s also a 360. They can do their own self-assessment; their PA is with you when they’re being assessed ... so it’s a good reﬂection for the employee’ Lecturers expected to ensure sufficient quality of teaching staff Level of understanding that the quality of teaching at the institution is the responsibility of all teaching staff ‘After every administration of a task we need to do analysis and check as to whether we are improving or not. So, if we are not improving then that is where we will be sitting down’ 40 Towards a performance management framework for TVET lecturers in South Africa Variable Description Participant responses Lecturer openness to constructive feedback How open the lecturers are to receiving constructive feedback ‘I think it improves relationships’ Trust in integrity of appraisal process Level of belief in the developmental aims of the appraisal process ‘Lecturers know what is required of them, they know why we are doing this, so no one perceives it as being negative or anything like that, there’s no difficulties in it, no’ Appraisal completed primarily for compliance purposes Degree to which lecturers believe the appraisal process is beneficial to their development ‘[M]ost of the time you find that most people do it just for, you know, compliance, instead of actually doing it for, you know, development and growth’ Likelihood that lecturers receive 1.5% raise Chance that lecturers will receive notch increase after the appraisal process is completed ‘If it wasn’t for that 1.5% a lot of lecturers would not even bother to do [the IQMS], because they feel like it’s such a waste of time, because nothing comes back to them from the exercise’ Appraisal narrowly regarded as instrument that assigns lecturers to training Degree to which the appraisal process is understood as largely a mechanism for provisioning training to lecturers ‘But when it comes to actually actioning those personal plans, I think that’s where the wheels fall off’ Lecturer perception of appraisal as developmental opportunity Level of lecturer understanding of the PA process as devoted to holistic development of lecturers ‘Isn’t it that the purpose of the appraisal is also, this the whole process of IQMS is also to improve performance of lecturers’ Lecturer frustration when requested training is not provided Degree of frustration with an appraisal process that does not satisfy the training recommendations it makes ‘So sometimes the frustration is too high for them; they say what’s the use then? If we don’t go for training’ Appraisal regarded as lacking professional value Degree to which the appraisal is regarded as a perfunctory exercise completed for the purpose of compliance ‘Yes, but it’s standard, it’s like, what can I say, it’s like, you just conform, put in numbers in your IQMS and then you submit’ Acceptance of appraisal process with potential additional developmental steps Level of recognition that the PA process might increase demands on lecturers with the ultimate aim of further growth ‘Sometimes it is not easy for us to say this one does not qualify to get their pay progression’ 41 Having identified these variables, the next step was to identify the links between the variables by framing the following questions for each. For example, with reference to a hypothetical Variable X: 1. 2. ‘Which other variables will Variable X impact?’ This question helps to uncover the direct effects of Variable X on other variables within the system. It helps identify the downstream variables that are inﬂuenced by changes in Variable X. ‘Which other variables will impact Variable X?’ This question explores the inﬂuences on Variable X, highlighting the upstream variables that can affect the behaviour or state of Variable X. It helps identify the variables contributing to changes in Variable X. These core questions helped to identify variables directly impacting or being impacted by other variables. This means that the questions also enabled the direction (or polarity) of the impact to be established. The interviews in this fieldwork were not intended to elicit information on the strength of the effects or whether the relationships contributed to reinforcing or balancing loops. These might be addressed by follow-up interviews in future research.7 Causal loops polarity and impact power The relationships between variables are represented by using arrows which show the direction of inﬂuence – these are known as ‘loops’. A combination of loops in a process can impact on conditions in a system. Loops can be either reinforcing (or positive feedback in a certain direction) or balancing (or negative feedback in the opposite direction), contributing to the system’s overall behaviour. A positive effect in a causal loop indicates a relationship where an increase (or decrease) in one variable leads to a corresponding increase (or decrease) in another variable. 7 Positive effects can create reinforcing loops that can enhance or strengthen the system. A negative effect in a causal loop diagram refers to a relationship where an increase (or decrease) in one variable leads to a decrease (or increase) in another variable. A system may have both balancing (or stable) and reinforcing loops. The presence of balancing loops can stabilise the system in a particular state that could be a virtuous or negative loop. The polarity8 of a variable indicates its potential to impact another variable in a positive or negative way. This systems analysis undertaken has thus contributed in two ways: by identifying variables relevant to and impacting on the outcomes of the PA and CPD system; and by associating each variable with a positive or negative impact on the system. The identification of variables, including the polarity of their impact, is useful to policy makers and regulators for mapping variables in relation to each other in the field. This information needs to be augmented by evidence about the strength of the variables to inﬂuence other important variables to shift the outcome of a system in its entirety. A limitation of this study is that it did not examine the strength of the variables identified. Mapping performance appraisal relationships in TVET colleges Primary variables within the performance appraisal and continuing professional development processes The CLD in Figure 4 maps out the topography of the variables in the study, usefully identifying a group of three primary variables that are highly connected to other variables within the PA and CPD processes. Therefore, the following questions could not be addressed without creating a draft version of the causal loop diagram: • ‘What is the strength or magnitude of the impact between Variable X and the other variable?’ This question explores the relative magnitude of a variable’s impact on Variable X, OR the relative magnitude of Variable X’s impact on a variable, and the likely knock-on effects in either the upstream or downstream direction.‘ • Are the relationships between Variable X and other variables reinforcing or balancing?’ 8 The following definition of polarity of causal loops is applied: ‘When A rises, then B will have higher values than it would have had without the rise in A (and the other way around)’. This is based on consultation of: Richardson, R. (1986 & 1997) and Ventana Systems (n.d.). CLDs use one symbol for two ideas: (1) an arrow can represent a ‘causal inﬂuence’ and (2) an arrow can represent an ‘addition to or subtraction from’ an accumulation. To deal with this, the following is advised. Use the ‘s’ and ‘o’ notation where: the ‘S’ stands for ‘same,’ and the ‘O’ stands for ‘opposite,’ indicating that the variables at the two ends of the link move in either the same direction (s) or in opposite directions’ (Richardson, D., 2004). 42 Figure 4: Mapping performance appraisal relationships in TVET colleges + – Appraisal narrowly regarded as instrument that assigns lecturers to training – Willingness to marshall institutional resources for lecturer development + – IQMS process presented as developmental at induction and regularly thereafter + + + Lecturer and leadership acceptance of reward system Loop 1 + Lecturer perception of appraisal as developmental opportunity Loop 2 + Lecturers motivated to commit to mutual development and growth of colleagues through appraisal process – + + Lecturer frustration when requested training is not provided Loop 3 – + + Appraisal regarded as lacking professional value – Truth in integrity of appraisal process Lecturer openness to cnstructive feedback + Loop 4 Legend Adds to / same direction Subtracts from / opposite direction Positive Loop Negative Loop – Likelihood that lecturers receive 1.5% raise + Appraisal completed primarily for compliance purposes – + Acceptance of appraisal process with potential additional development steps + + Lecturers expected to ensure suﬃcient quality of teaching staﬀ Towards a performance management framework for TVET lecturers in South Africa Senior and departmental leadership commitment to presenting appraisal as devoted to lecturer professionalism 43 The three primary variables that are highly connected to other variables within the PA and CPD processes were identified as: function optimally, except in pockets where an important variable with a high polarity is present in lecturer and leadership behaviour and attitudes. • Leadership commitment to the process of PA and CPD informed by aspiration towards professionalism: Important because a fundamental assumption of professionalism is that practitioners proactively take up opportunities to improve their personal or professional development. • Lecturer perception of the appraisal as a developmental opportunity: Important because it emphasises lecturers’ growth in contrast to instances where lecturers perceive the appraisal as being narrowly directed to evaluation that may be top down or used only as a tool for allocating CPD opportunities. The variables with a negative polarity bear further scrutiny because they identify particular areas that may be viewed as a potential weakness in the process. All these variables reﬂect characteristics of the process that can degrade lecturer inclination to engage. Lecturers are questioning the intrinsic value of the PA as an obligation having little value for their occupational advancement. Lecturers are frustrated with poor- or non-delivery of training opportunities, which is an inhibitor of a growth mindset. • Trust in the integrity of the appraisal process: Important to secure the common, shared trust of both the lecturer and the supervisor. The appraisal is a high stakes process and trust is an important foundation from which lecturer participants draw confidence and motivation towards improving their personal growth and performance. Likewise, the supervisor, who may also find the process challenging, must feel reassured that the process provides satisfactory guidance and workable checks and balances. Interconnectivity and polarity Identifying the nodes with the highest number of connections by counting each variable’s number of interconnections is useful because changes in these nodal variables will likely impact a higher number of variables with which they are linked. The variables presented in Figure 4 are presented in Table 6 for ease of reference. This table confirms our interpretation of the figure. It is also important to note that the most connected nodes are shared between lecturers and leadership. This implies that the PA CLD system will only work to its maximal potential where both leadership and lecturers have, from their perspectives, bought into and supported the process. The polarity of variables can inﬂuence the overall potential of the system to generate a positive outcome. Where the most connected variables have a positive polarity, this means that they have the potential to support positive outcomes from the PA and CPD system. Where this is not the case, it is unlikely that the system as a whole would 9 Regarding the 1.5% annual salary increase reward, in some colleges this is taken for granted as practically all lecturers qualify for this by submitting the required documents. Only non-compliant lecturers, a small minority, may be denied this reward. In this case, it may be difficult to justify the increase as being an incentive and it may be viewed as having no particular polarity. In other words, the 1.5% annual salary increase reward does not operate as an incentive − it is neutral. Depending on the college context, there were significant variations in experiences regarding PAs, as demonstrated through negative variables (4), (5) and (6). For instance, at some colleges, the PA process was understood and experienced as part of a holistic design of the working environment, in which the college as employer was seen to have demonstrated consideration for lecturers’ general well-being beyond their immediate function of providing teaching services towards meeting the college mandate. In other colleges, lecturers observed that their experience of the PA process was mainly as a ‘paper exercise’ done to fulfil institutional performance requirements and was consequently without any professional or personal value. It is necessary to consider the underlying consequences for a college, campus or department where the PA status quo is a paper exercise, and participants go through the motions without meaningful engagement. In these instances, the fundamental intention of the PA, which is to advance professional growth and the quality of lecturer performance, may not be fulfilled.9 The difficulty that emerges from these scenarios is that lecturers may not be substantively held accountable for their performance and professional development. Lecturer criticism of the PA as being an authoritarian ‘corrective’ exercise carried out by a supervisor,10 instead of collegial and respectful, was not apparent. There are contributing factors. In employment environments, the PA is commonly experienced as personally trying for both parties − the person rating their colleague and the person being rated − due to known psychological and emotional factors which need to be countered through mechanisms including the development of relationships of mutual respect and trust (Spence & Keeping, 2011; Tziner & Murphy, 1999). 10 Meaning of a manner that is perceived or experienced as corrective or correctional, in a manner that emphasises inequality or ‘uncollegiality’ in supervisorlecturer relations. Reference to this mode of interaction was not evident in the interviews. 44 Towards a performance management framework for TVET lecturers in South Africa The variables with a positive polarity refer to three management related actions: directing institutional resources to fund and support lecturer development (12); developing and implementing reward systems (13); and promoting the personal appraisal process as a developmental exercise through the year (10). Variables with a positive polarity for lecturers include: contributing through collegial participation in appraisals (9); collegial support for improved collective lecturer performance (15); acceptance of consequences of the PA including the requirement to undertake additional actions mandated for personal development (11); and openness to learning from each other (14). Table 6: Connectivity within the causal loop diagram and polarity of variables Nodes with a positive polarity and most connections interconnection to other variables in the CLD 1. Leadership commitment to presenting appraisal as devoted to lecturer professionalism 2. Lecturer perception of appraisal as developmental opportunity 3. Trust in integrity of appraisal process Variables with negative polarity 4. Appraisal narrowly regarded as instrument that assigns lecturers to training /or training to lecturers 5. Appraisal regarded as lacking professional value 6. Appraisal completed primarily for compliance purposes 7. Likelihood that lecturers receive 1.5% pay progression 8. Lecturer frustration when requested training is not provided Variables with positive polarity 9. Lecturers expected to (or to just) commit to mutual development and growth of colleagues through appraisal process 10. IQMS process presented as developmental at induction and regularly thereafter 11. Acceptance of appraisal process with potential additional developmental steps 12. Willingness to marshal institutional resources for lecturer development 13. Embrace of institutional reward system 14. Lecturer openness to constructive feedback 15. Lecturers expected to ensure sufficient quality of teaching staff 45 Causality and predictability CLA of a system with changing variables creates a dynamic and interconnected set of relationships that have ﬂexibility within the system. In each particular context, with different polarities of unique variables and variances in the characteristics of each TVET college’s PA and CPD processes, a degree of variability is expected. We constructed our CLD using interview data from five TVET colleges in five of the six DHET regions, focusing on how management and lecturers view and experience the PA process as it currently operates. The group of participating colleges represents 10% of all colleges nationally; a larger proportion would have been desirable. Nonetheless, from our snapshot of colleges, we found significant differences not only in how colleges approached the PA process but also in how principals, campus managers, HoDs and lecturers regarded its meaning and importance. Our diagram is not aspirational but rather a rendering of the elements of PA as it occurs at present at the TVET colleges we visited. In the diagram, we outline both positive and negative dynamics – these are labelled as positive and negative loops. On the one hand, we highlight positive, virtuous processes that promote and reinforce staff development, professionalism, collaboration and lecturer well-being. On the other hand, we also identify variables that contribute to an appraisal process that emerges from and further engenders institutional inertia. In what follows, we will draw out the most integral variables that shape appraisal outcomes; then, as a means of reinforcement, we will explicate each loop in turn, referencing interview data as necessary. Before proceeding, a note on terminology. While the IQMS frequently came up in our interviews, it should be viewed only as one variable of the PA process, not as the core element. Indeed, regarding IQMS as the core of the appraisal process is, as we will see, a contributor to negative PA outcomes and to inertia in the PA process. All references to IQMS in our diagram and in this narrative should therefore be taken as specific to the standard tool authorised by the DHET for tracking lecturer performance, determining growth areas and ultimately scoring lecturer performance according to a variety of metrics (knowledge of specific learning fields, discipline, diversity, etc.). Our conception of PA, it will become clear, is more expansive, encompassing the institutional promotion of lecturer professionalism, mechanisms for recognising and rewarding staff and a general understanding that the appraisal process is an opportunity for individual development as teacher, colleague and technician. The PA process is above and beyond the use of the IQMS for observing and assessing lecturers, developing codified PGPs and scoring for notch raises. If lecturers accept this conception of PA, they will, as one campus manager emphasised, understand that it ‘is something … for [their] own personal growth’. Thus, ‘having that in mind should actually be an intrinsic motivation’ for seeking out improvement. In our diagram, three prominent variables are rendered in bolded characters. These constitute what we determined to be the most inﬂuential factors in assessing institutional commitments to professionalisation of staff and, by extension, to promoting effective practices of teaching and learning. These variables are as follows: (1) ‘Senior and departmental leadership committed to presenting appraisal as devoted to lecturer professionalism’; (2) ‘Lecturer perception of appraisal as developmental opportunity’; and (3) ‘Trust in integrity of the appraisal process’. If we focus broadly on Loop 1, we can see numerous effects of leadership presenting the appraisal as developmental in orientation. Crucially, this leads to the institution framing IQMS at induction and thereafter as a variable of the larger PA process that is developmental in orientation. As a campus manager noted, induction is an opportunity for the appraisal process to be presented to the lecturer as something that is ‘not to punish or police … but it’s for … developmental purposes’. Management must, in the words of a campus head, ‘sell that idea in that mind frame’ and then ‘people begin to understand that this is there to support so that they can improve’. If this vision of the PA process is successfully promoted, then this contributes to (2) ‘Lecturer perception of appraisal as developmental opportunity’. This perception leads to positive feedback, whereby the developmental orientation of the appraisal process is reaffirmed during induction. As one campus manager notes, ‘there’s a need for proper induction into why this is happening’. These elements constitute the positive, virtuous loop that is Loop 1. If leadership does not continually present and reaffirm the appraisal process as developmental and/or this idea is not internalised by lecturers, the dynamic changes significantly. A narrow conception of appraisal emerges. Without the framing of the appraisal as developmental, the PA process in general and IQMS more directly become seen as bureaucratic mechanisms for assigning lecturers to training. If lecturer training needs are not met, as specified in their PGPs, then the appraisal process loses meaning. As one senior lecturer notes, ‘it will take me maybe five years … to be considered for such a course’ as indicated in the PGP. ‘[T]here’s just too much red tape … to get to where you are supposed to get to in terms of development’. The whole process, then, becomes seen as perfunctory or ‘punitive,’ for ‘you don’t feel as if whatever action you have taken is serving you’. In this situation, the negative Loop 4 becomes operative, whereby ‘The appraisal [is] regarded as lacking professional 46 Towards a performance management framework for TVET lecturers in South Africa value’. This view, in turn, leads to a decline in (3) ‘Trust in integrity of the appraisal process’ and to the ‘Appraisal [being] completed primarily for compliance purposes’. As the same senior lecturer emphasised, filling out the IQMS then becomes a perfunctory action directed at receiving a 1.5% notch pay increase: ‘the reason why people will mainly commit to doing it, then naturally you will get your pay progression … If it wasn’t for that 1.5% a lot of lecturers wouldn’t even bother to do it’. IQMS becomes a check-box exercise which further reinforces lecturers’ perceptions that the IQMS and PA more generally lack professional value as they do not promote lecturer professionalisation. Another crucial element here, as embodied in Loop 2 and Loop 3, is the role of the PA process in recognising and rewarding lecturers. If (1) ‘Senior and departmental leadership [are] committed to presenting appraisal as devoted to lecturer professionalism’, then this, for those we interviewed, leads to the marshalling of institutional resources for the holistic development of lecturers and the development of a rewards system. At some colleges, ‘the appraisal is an opportunity to give the credit’ to ‘the lecturers’ that do ‘amazing things’. When the appraisal is used this way, it contributes not only to lecturer recognition of the PA process as a developmental opportunity and trust in its integrity (as rendered in Loop 2), but also to a broader commitment by lecturers, not only to the college, but also to the growth and the increasing quality of their colleagues (depicted in Loop 3). When the appraisal is viewed as not simply a check-box exercise, it can be experienced as a vehicle of openly giving and accepting constructive feedback which, in turn, motivates lecturers to invest in the further professional development of their colleagues. At some colleges, however, feedback is given inconsistently; consequently, cultures of growth do not develop that motivate lecturers to pursue growth and teaching quality. The link between PA and CPD The CLD in Figure 4 is designed primarily to depict the relationships between the PA and its environment. This approach was adopted to highlight the PA-environment links and to investigate the links between the PA and CPD in a separate section of this report. This decision was made on the grounds that the CPD is basically a support structure that services the main function of the PA. Table 7 captures factors impacting the relationships through positive and negative feedback loops between PA and CPD of TVET lecturers. The first column of the table depicts each variable. In the second column, the variable’s positive potential is depicted through a virtuous loop, while the third column draws attention to the possibility of a negative interaction between PA and its support programme. The personnel likely to be affected are presented in the last column. The variables identified as relevant to this bilateral relationship are: • • • • • • • Performance appraisal accuracy and fairness; CPD alignment with job responsibilities; CPD alignment with career goals; Feedback and mentoring by supervisors; Collaboration and peer learning; Reﬂection and self-assessment; and Industry/employer feedback – personally or mediated by supervisor. A further two variables which are based on wider considerations in the college environment are presented in Table 8. At some colleges, feedback is given inconsistently; consequently, cultures of growth do not develop that motivate lecturers to pursue growth and teaching quality. 47 Table 7: Causal loops with positive and negative causal loops impacting on potential synergies between PA and CPD activities Variables Positive loop Negative loop Key interaction with Performance appraisal accuracy and fairness Accurate and fair PA identifies specific areas for targeted CPD activities, raises lecturer confidence in contribution of activities to their performance. Inaccurate or unfair PA demotivates and reduces lecturer commitment to CPD. Supervisor Improved performance and positive PAs prompt a cycle of growth and development for lecturers. CPD alignment with job responsibilities Where CPD aligns with job responsibilities, the lecturer has a clear focus and purpose. Improved CPD positively impacts on competence, recognition and motivation of lecturers. CPD alignment with career goals When CPD activities align with lecturers’ career goals, motivation can be enhanced. Improved performance through CPD positively impacts on future career progression opportunities. Lecturer and supervisor agree on the balance between current departmental lecturer skills and the creation of career progression opportunities that motivate continued lecturer engagement. The agreement may refer to a period greater than a single annual PA cycle. Feedback and mentoring by supervisors Regular and constructive feedback and mentoring provides guidance and encouragement for lecturers. Adds value to effectiveness of CPD’s contribution to improvement in lecturer’s performance. Decreased effectiveness of CPD drives a cycle of dissatisfaction and disengagement among lecturers. Misalignment between CPD activities and job responsibilities makes activities less relevant and meaningful to lecturers. Supervisor This leads to reduced engagement and stagnation in lecturer performance Misalignment between CPD activities and career goals can result in decreased relevance and motivation. Supervisor Lecturers may struggle to see the value in CPD efforts, leading to reduced engagement and performance stagnation. The supervisor and lecturer need to find an appropriate balance between current teaching skills needs in the department and future potential for lecturer growth Lack of or poor-quality feedback can hinder lecturers’ progress. Without guidance, lecturers may not correctly identify areas for improvement. They may not appropriately prioritise areas for urgent training. This can negatively impact performance, leading to suboptimal personal growth. Supervisor 48 Towards a performance management framework for TVET lecturers in South Africa Variables Positive loop Negative loop Key interaction with Collaboration and peer learning Collaborative learning opportunities, including communities of practice, or peer-to-peer knowledge sharing, can enhance CPD effectiveness. Few opportunities for collaboration − formal or informal − limits benefits for lecturers to enrich their own and collective practices. Lecturer together with peers This occurs through new insights, best practices, diverse approaches, exchange of ideas to collectively improve skills, knowledge, and exploration of collaborative teaching. CPD initiatives that are less impactful limit growth and inclination to engage in further CPD. Reﬂection and self-assessment When lecturers work to enhance self-awareness and adopt reﬂective practices, they open opportunities for professional growth. These are opportunities to identify areas for improvement and to set meaningful goals towards enhanced performance. Undeveloped capacity for selfreﬂection limits lecturers’ ability to recognise their strengths and to acknowledge areas for development. Without accessing regular self-reﬂection, lecturers are limited in their ability to become fully capable, self - improving teaching professionals. Lecturer personal commitment Industry/ employer feedback − personally or mediated by supervisor Insights into skills and knowledge required in industry enhances lecturers’ skills/knowledge, leading to improved relevance of their teaching or instruction for students and better prospects for graduate employment. Limited external feedback or industry engagement can contribute to a knowledge gap/misalignment between lecturers’ skills and industry needs. Lecturer relationship with Industry/ employers Outcome is lower student graduate preparation and employability. 49 Table 8: Additional causal loops Variables Positive loop Negative loop Key interaction with Availability of resources Sufficient availability of resources positively improves quality and variety of CPD to meet a breadth of needs. Resources include funding, time allocation, cost of substitute lecturers, training programmes available − either targeted or generic − learning materials, dedicated online resources and other formal/accredited and informal learning opportunities. Continuity of resource availability and on-demand capabilities for ﬂexibility. Insufficient resources can strongly curtail professional development, negatively impacting lecturer performance and graduate employability. TVET college heads and HoDs Organisational culture of support and policies Well-developed policies for CPD and a supportive organisational culture enable lecturer professional development. This needs to include implementation of a positive feedback and recognition system and also wellness programmes for lecturing staff to reinforce trust in a developmental ethos based on employee wellbeing and a culture of growth. Lack of institutional support for CPD, poorly developed institutional policy and limited organisational culture of individual and collective growth, recognition and wellbeing will lead to general discouragement of a developmental mindset that, in turn, will reduce appreciation of CPD and result in a decline in the quality of students in the labour market. Institutional leadership and management 5. Towards a performance management framework for TVET lecturers in South Africa Introduction Using the analysis presented in the preceding chapters, we have observed distinct differences between colleges in terms of their institutional orientation towards the appraisal of TVET lectures. We identified: • Colleges where the PA status quo is low engagement, characterised as a business-as-usual mode, usually with some disquiet or dissatisfaction expressed about the existing situation; • Colleges where an awareness of unsatisfactory current dynamics has prompted senior staff to support improved professionalism and collegiality among lecturers to facilitate peer-to-peer learning; and • Colleges that have actively fostered a developmental and accountable teaching culture based on trust in the integrity of the PA process which is anchored in an institutional commitment to general staff wellness. It is noted that various contextual variables, including the specific TVET institution, its vocational programmes, resources and the overall organisational culture of professional development impact PA and CPD practices. There were significant differences, not only in how colleges approached the PA process, but also in how principals, campus managers, HoDs and lecturers regarded its meaning and importance. These circumstances are important to consider in reading the analysis presented below, primarily because the differences between colleges contribute to the prevalence or impact of the trends outlined. The implications of this are that colleges will vary in the degree to which the trends have emerged and in the degree to which they have responded to the trends. Overarching observations Recognition and rewards Recognition has an intrinsic effect because it emphasises the value of a lecturer’s work beyond extrinsic reinforcement; it has a psychological impact in that it boosts the individual’s sense of self and motivation, which can engender pride and encourage purpose in further professional achievements. Recognition also has a broader effect in fostering a positive culture and, further, can enhance a sense of community that can feed into collaborative activity. Lecturers will benefit not only from recognition from management but also from recognition from their peers and means of achieving this need to be devised. Lecturers that achieve and even exceed their goals can be rewarded, inter alia, through publicly acknowledging a lecturer’s innovative teaching, awarding them certificates of appreciation, on a team-based level, and acknowledging a lecturer’s contribution in staff meetings. Such rewards can also contribute to sustained lecturer improvement as they encourage lecturers to strive to meet or to exceed benchmarks. Institutions can implement attractive reward systems to attract and retain high quality lecturing staff and to secure higher overall institutional excellence. 52 Towards a performance management framework for TVET lecturers in South Africa This type of reward can be ﬂexibly tied to benefits such as professional development opportunities or ﬂexible scheduling or time off as a reward. It should be noted that these strategies will not necessarily work for all lecturers. Remedial actions for non-achieving lecturers should include negotiated performance development plans, with targets within reasonable but also clear timeframes. Support and mentoring is crucial during such a process, while mutual accountability should also be stressed, both in terms of the lecturer working actively towards achieving the targets and the manager providing adequate support and guidance during the process. Monitoring and evaluation Analysis of the CLD revealed a gap in how in colleges’ M&E practices align with understanding specifically how to improve lecturer performance. M&E initiatives could focus on some of the following areas: • Measuring the success of graduates in securing decent employment in the labour market to assess the relevance of the curriculum and effectiveness of industry partnerships; • Evaluating student learning outcomes as a measure of the effectiveness of a programme’s teaching practices, methods and curriculum design; • Monitoring student progress and retention rates to help identify challenges students may be facing, which allows for the development of support mechanisms to improve overall success rates; and • Evaluating the adaptation of teaching, learning and assessment practices to digitisation and online learning. Data for some of these measures may be readily accessible from TVET college information systems themselves. Student feedback Student feedback is a valuable area for engagement as it can encourage a sense of student belonging to a community that is aligned to the institution. More importantly, it provides feedback on dimensions of a college’s multi-levelled service delivery provision. Regular feedback mechanisms or channels (such as surveys, focus groups, workshops, including online and in person interactions) can help the college assess the effectiveness of its programmes and make necessary adjustments. Factors impacting on the quality and impact of the performance appraisal and CPD processes Lecturers perceive that the appraisal gives greater prominence to pedagogy of theory subjects than to the pedagogy of skills-based instruction There was a perception amongst lecturers that the IQMS document does not adequately cater for vocational aspects. Too much emphasis was said to be placed on the pedagogical aspects of teaching (such as the way the lecturers use their teaching and workshop resources and interact with students) and not enough on the pedagogical tactics used to convey on-the-job, occupation specific technical skills. The TVET sector is, however, predominantly an occupations-based sector, with many lecturers being artisans who are then given facilitated training on teaching once joining the college. They thus do not come in as trained teachers. It is, however, now mandatory that all lecturers have a teaching qualification, although this has been met with some resistance as it requires quite a change of mindset, but less so from ‘younger staff members, who are quite eager’. Said one lecturer about the IQMS document: » The process started with basic education ... the development is within the classroom teaching. Our development should be developing people that is preparing students [sic] for occupations. So, in my view, our IQMS is not for our industry, if you want to call it, or our sector. This aspect of lecturer experience persists and has been taken up in the literature and policy over time. The sources of the imbalance can include academic bias, low awareness of the nuances of vocational pedagogy, perceptions that assessing practical and hands on skills is more challenging than assessing theoretical knowledge and lack of awareness of learning approaches that are amenable to assessment, such as competency-based learning that refers to measurable outcomes and mastery of specific targeted skills. Based on these comments, the current IQMS document may require some adaptation to bring forward the role of TVET instructors who engage more with TVET students in the workshop and in the employer’s workspace. 53 Responsiveness and feedback during the annual cycle needs to be improved The lack of follow-through in putting into action training requests put forward in lecturers’ PGPs was seen as a source of demotivation for lecturers to take the PA seriously as a document that unlocks concrete opportunities for relevant professional development. A further consequence is that lecturers felt that they were not being heard. This point is summarised by a lecturer: » I believe it’s because of the response and the feedback, because if you do something over and over and over and over, and then nothing, really, you don’t feel as if whatever action you have taken is serving you. The statement below strongly conveys an impression that training provided is perceived as haphazard and not necessarily matched with lecturer needs: » … you will find that, like you can say I would like to do this and that in your personal growth plan, but it is by chance even, that, you know, such a course or a qualification will be presented to you. Also, there are concerns that systematic predictable scheduling and management of skills needs and supply cannot be achieved if done on an ad-hoc annual basis. There is also the challenge of adjudicating competing claims for access to training where lecturers present a ‘wish-list’: » So, if the lecturer is in the IT department, and the lecturer wants to, for example, do a course in cybersecurity … there is a link. And then if there is funding, it will be granted. But … we cannot fund each and every wish list, you know. We then … say to the lecturer “look, you know, we can’t grant you a funding to study law, because you are a maths lecturer, we don’t feel it’s going to really benefit you and the college, but you are welcome to study, but you’d have to pay for it yourself, you know”. A critical uncertainty for planning and supplying training lies in understanding the roles of lecturers and their supervisors and/or HoDs, how the HR management and procurement sections in the college head office finalise the desired training requests, and to what extent there can be consultation about these processes. There is also a perceived lack of support regarding further studies. Lack of access to work integrated learning A concern expressed by some lecturers in trade and technical occupations was their limited access to WIL. This aspect contributes to the overall impression among lecturers that in their colleges there is limited responsiveness to their needs, despite the longstanding policy emphasis on WIL as a pillar of lecturer development and a means of aligning lecture performance with industry skills demand. The apparent contradiction between policy direction and limited implementation leaves lecturers feeling frustrated, even ignored, by TVET governance. At the same time, it is well known that a significant factor is the cost of taking lecturers away from their teaching commitments. If a lecturer is taken out of class to engage in WIL, a substitute is required. The college would therefore need to ‘double dip’ to pay a salaried lecturer to engage in WIL and pay the substitute who is taking care of the class in the interim. This could result in a heavy financial burden being placed upon the college. Lecturers will expect to be compensated if they engage in WIL over the weekend or during scheduled holidays. Because of these financial concerns, WIL has not been formally structured into CPD activities. In some instances, the college does not have the resources required to purchase systems or equipment that enable lecturers to demonstrate and practise new techniques learned in WIL. Accountability practices are weak The college is the unit according to which qualifications are awarded and therefore is accountable for overall quality and pass rates of learners as a whole and by programme and certification. Lecturers are held accountable within the boundaries of this process. It was explained by a campus manager that college programmes that finish low in internal departmental national rankings while their lecturers claim to have scored highly in the PA would be subject to queries. This means that all PA scores ‘must be linked to evidence’. For some colleges, this requires a meeting with senior lecturers, HoDs and lecturers to discuss the reasoning behind the awarding of certain scores. This therefore motivates the appraisers to engage in meaningful feedback with the lecturer in question regarding their appraisal mark so 54 Towards a performance management framework for TVET lecturers in South Africa that the correct score can be agreed on, and if the score is low after such consultation, then corrective measures need to be applied, such as additional training. • Programmes and professional services to support lecturers’ mental health, for example, counselling, and relaxation and mindfulness programmes; Repercussions regarding whether or not a lecturer participates in the PA process vary from college to college; some colleges view a lecturer’s refusal to participate as insubordination, resulting in non-compliance, while in other colleges there are no consequences. • Stress reduction and stress management workshops; and • Health and wellness programmes that may include fitness classes, wellness check-ups, nutrition advice, etc. Digitisation of appraisal processes will be more efficient These initiatives can be seen as evidence of a proactive approach, which staff may appreciate. A campus manager explained: There is evidence that colleges are moving towards digitising their PA processes and documentation because this can produce substantial savings in time and administrative effort on the part of the participants. The main advantages are that appraisal and evidence documents are shareable and accessible in the cloud to supervisors and lecturers. One college has partially redesigned the PA document to make it easier to complete electronically. These improvements support the in-person appraisal meeting and do not replace them. The emergent digitisation process gathered pace during COVID when staff were home-based. A nationwide initiative aimed at digitising the appraisal process by initiating the creation of a Cloud for each college would help to make the process more efficient. Lecturer (or staff) well-being programmes are necessary There are initiatives that some colleges take to alleviate pressures on lecturers from a professional and a personal perspective that can contribute to lecturers’ being aware that the institution is concerned with their well-being. These can include initiatives such as: » Your staff wellness committees, who constantly do some workshops and roadshows either on [sic] mental health, on the physical aspect of it. ... So, we have quite a number of things that the college supports, [such as] the overall development of teaching and learning, with both the staff and the students. So, it’s a … really proactive aspect of the college management trying to ensure that both the lecturers and students are in good standing. Capacity building programmes for lecturers and managers There is an opportunity, based on the outcome of this research, to begin implementing capacity-building programmes for lecturers and managers to enhance their understanding of the value and implications of CLA for decision making at a personal or an institutional level. Lecturers could be motivated and empowered to contribute actively to the process. The quality and accuracy of a CLD would benefit from such participation. A concern expressed by some lecturers in trade and technical occupations was their limited access to WIL. 6. Observations and leverage points Key observations At an overarching level, the following observations are important to note: Global emphasis on teacher evaluation Globally there is increased emphasis on educator evaluation as crucial, especially in light of the need to improve educational effectiveness, which in tandem highlights the importance of PAs for TVET lecturers, who are a strategic human resource necessitating higher levels of competency. Introduction of the IQMS for TVET lecturers The IQMS was introduced to improve the professional development system for educators. The IQMS outlines performance standards and combines various forms of appraisal activities that include self, supervisor and peer participation. The IQMS for TVET lecturers is adapted from the school-based IQMS for educators. IQMS components and aims The IQMS integrates the developmental appraisal and personnel measures11 to structure and monitor TVET lecturer performance. The DA focuses on individual development, while personnel measures evaluate lecturers for salary progression, grade advancement and other incentives. Lecturers assess themselves based on performance standards and create PGPs for development. Roles of various structures in IQMS implementation Structures like HR, HoDs and TVET managers play key roles in staff development and monitoring. Collective structures include the DSG, ColSDT and SDT. Challenges with implementation of the IQMS Challenges include perceptions of the IQMS as timeconsuming, overly bureaucratic and characterised by limited induction and preparation and poor communication. Further concerns include rating errors, a lack of participant knowledge and expertise in IQMS processes and reservations regarding the PPQL-TVET that hinder effective performance management. PA is seen by some as a formality without developmental value. Alignment of PA with employment contracts Gaps in employment contracts regarding KPAs and KPTs pose a risk of misalignment between institutional plans and lecturers’ performance outputs. Emphasis on salary increases in performance appraisals Many lecturers view appraisals solely as a means for salary increases, detracting from the strategic goal of fostering professional development. Challenges with the PPQL-TVET The PPQL-TVET is intended to promote qualified lecturers, but challenges in its implementation have been noted, contributing to the poor performance of TVET colleges. 11 Personnel Administration Measures (PAM) is the policy document which outlines and governs the remuneration and other service conditions of lecturers employed in terms of the Employment of Educators’ Act, 1998 (Act No. 76 of 1998). 57 Leverage points towards professionalism This research has identified several themes strongly relevant to the PA and CPD system and their context that merit consideration for future intervention. Some of these themes are emergent in the system, whereas other themes are recognisable for having been present in the system over a longer period of time. In the main, the challenges identified seem likely to require concerted efforts to be overcome in time. An outcome of this analysis does nevertheless identify some ‘points of leverage’ that offer a strong likelihood of having positive effects in a relatively short period of time, and that will require limited resource allocations. The points of leverage therefore provide the opportunity to bring about positive gains in the quality and effectiveness of the PA and CPD processes in all colleges. A principal aim of our analysis was to identify key leverage points for directing colleges towards the development (or maintenance) of a holistic appraisal process that promotes and reinforces a culture of professionalism. We argue that the following key leverage points make this possible and will discuss each in turn: 1. Effective framing of the appraisal process, highlighting not only its mechanics (i.e., what is done and when), but also the larger role of the appraisal in promoting the professional growth and well-being of teaching staff; 2. Emphasis on meaningful and regular feedback; and 3. The IQMS presented as one of multiple components of the appraisal process. Effective framing of the appraisal process Our analysis emphasised the crucial importance of college leadership that forcefully and repeatedly establishes the annual PA process as an opportunity for lecturer growth, constructive feedback and the development of mutually beneficial professional relationships. This feature of the PA process must be emphasised at induction and reinforced regularly, for doing so is central to setting lecturers’ expectations and cultivating a developmental growth culture at the institution. When the PA is not framed in this manner, then the appraisal process risks being regarded as a ‘paper exercise’ and a site of inertia − an evaluation completed primarily for the purposes of compliance. At worst, lecturers see the process as punitive or anxiety-provoking. Consequently, the goal of the PA becomes, in the words of one senior lecturer, ‘getting it over and done with’ to receive the standard 1.5% raise. As the same senior lecturer remarked, ‘If it wasn’t for that 1.5%, a lot of lecturers would not even bother to do it, because they feel it’s such a waste of time, because nothing comes back to them from the exercise.’ Another leverage point regarding the 1.5% increase is also whether it is enough in the first place. Meaningful and regular feedback The observation that ‘nothing comes back to them from the exercise’ indicates another important leverage point: an emphasis on ensuring that lecturers receive significant, meaningful feedback from the appraisal process. Feedback, as a college principal emphasised, precipitates learning: it ‘improves relationships’ between staff and ‘is an opportunity to give … credit’ and ‘change mindsets’. As such, by setting the conditions for providing effective feedback through the PA process, colleges can significantly improve both how the PA process is perceived by participants and how it reinforces notions of development and professionalism. Additionally, establishing a common ground on the outcomes of the feedback is crucial for moving forward, especially with regards to training and the contents of the IQMS document regarding the balance between emphasising teaching and vocational aspects. Framing of the IQMS as only one component of the performance appraisal process The framing of the IQMS as one component of the PA process, not the entirety of it, is integral to engendering a culture of growth and professionalism. If the IQMS is narrowly conceived as a mechanism primarily for identifying lecturer training needs, it will oftentimes be viewed negatively by lecturers as completing the IQMS and developing the related PGP cannot guarantee that lecturers will receive the recommended training. While all colleges are mandated to use the IQMS, they can, nonetheless, frame its purpose as being a part of the larger PA process that is centred on cultivating and supporting lecturer professionalism. The foregoing discussions bring out the following questions: How is the PA process framed at induction? How do lecturers approach tools like the IQMS? How is training assigned, and how does this affect how lecturers regard their development? How is feedback conveyed, and how does this shape institutional commitments among lecturers? The research has covered the PA and CPD system through a systemic lens in a limited set of TVET colleges and has brought to the fore several challenges and opportunities that may be relevant to particular TVET colleges or campuses. At the same time, the advantage of the overall 58 Towards a performance management framework for TVET lecturers in South Africa aim of generating a systemic view is that the research has strongly emphasised the value of that perspective – making this exercise useful as a source for lecturers, HoDs and college managers as they consider the relevance of the findings to their own responsibilities and roles in the PA and CPD processes and determine the relevance of the analysis to their roles. What our model offers is a shared point of departure to use to pose questions and as a means to sketch out and test potential future reforms, while simultaneously keeping in mind potential repercussions. The intention of this research has been to lay the groundwork for a process of stakeholder engagement towards the development and validation of a guiding framework PA and CPD articulation (development and management) within the national performance management system for TVET colleges. Scenario testing: Simulating different timebound future scenarios for the PA and CPD system can be done to identify or anticipate challenges and devise mitigation strategies or ways to exploit conditions to the advantage of the system. 3. Sensitivity analysis: Sensitivity analysis involves making controlled changes in selected variables in the PA and CPD system to observe the effects on overall system behaviour. This can help to identify and then prioritise the resources or interventions with the highest potential to positively impact the system. 4. Feasibility analysis of interventions: A feasibility analysis involves realistic evaluation of whether envisaged changes can be practically implemented and if they will work to expectations. Through this method, the practicality and viability of proposed changes to the system can be evaluated and then the most beneficial selected. 5. Collaboration on model refinement: Collaboratively refine the CLD with input from lecturers, managers and representatives from educator unions. This ensures that the model accurately reﬂects the complexities and nuances of the PA and CPD system. 6. Small scale pilot Interventions: Implement small-scale pilot interventions based on the CLA findings. Monitor the outcomes and gather feedback from lecturers and managers to assess the effectiveness and feasibility of proposed changes. Options for further analysis The CLD, drawn from our analysis of TVET management and lecturer interviews, is a model for understanding how best to focus and facilitate conversations among stakeholders working to make PA and CPD processes more effective for TVET college staff. The diagram and analysis should be seen as a heuristic to focus and facilitate conversations among stakeholders. As such, the model should not be viewed as a prescriptive framework for implementation. Rather, the model crucially draws out what we have identified as the most important factors for cultivating a culture of growth, professionalism and intrinsic motivation among TVET lecturers. Various analytical techniques can be applied to the results of this CLA to exploit them, either to acquire further insights that can guide decision-making, to apply methods to the current model so that it can be validated or to obtain further intelligence through follow-on work. These techniques may include: 1. 2. Identifying dominant loops in the CLA results: Identifying or confirming dominant loops that shape feedback structures within the system is recommended to determine which parts of the system significantly impact behaviour. Interventions can be targeted to strengthen positive feedback loops, leading to improvements or to reduce negative feedback loops. The qualitative approach allowed for an in-depth exploration of participants’ understandings and perspectives. Participants were mature leaders who had acted in different roles in the TVET college system through their careers, from initial experiences as junior lecturers to present seniority. The interviews provided good empirical grounds for conducting a thorough and systematic analysis by theme. Development of the CLD enabled an accessible, system-wide representation of the relationships and forms of engagement by different stakeholders and feedback loops, enhancing the participants’ understanding and engagement in the subsequent group discussion. The CLD serves as an important evidence-based platform towards developing a framework that could serve as a reference point for subsequent phases of developing the synergies between PA and CPD within the broader TVET system, with the DHET identifying potential improvements in the current system and preferred paths for future development. 59 The interviews were also intended to elicit information regarding administration and management interactions upwards and downwards between college academic departments, college head offices and the national department about PA and CPD. Although this process provided valuable insights, it is necessary to acknowledge potential limitations, notably the number of colleges participating and the number of interviews per college, so that this research may not represent the full diversity or perspectives of the colleges. The draft CLD is a preliminary representation and may benefit from further refinement and validation through conducting further phases of the research and considering feedback and input from education system managers. Concluding note The report has positioned the development of a performance management framework for TVET lecturers in South Africa within a national HRD perspective. The report makes it clear from the outset that well performing TVET lecturers, and by implication TVET colleges, is an integral component of national economic growth and development. While the research covered the relevant literature, documents and policies applicable to performance management in South Africa, it went a step further by collecting empirical data from TVET lecturers in South African TVET colleges. The application of CLA as a methodology proved to be a good choice, and it is trusted that the findings in this report will provide policymakers with a valuable evidence base. The research finds that the existing national performance management system for TVET lecturers in South Africa lacks systemic integration. At best it could be argued that the current policy basket contains the necessary instruments and processes, but needs better coordination and, critically, also urgent renewal. A key weakness, one that TVET lecturers emphasised, is that the appraisal gives greater prominence to pedagogy of theory subjects than to the pedagogy of skills-based instruction. Lack of access to WIL, low accountability and overly manual systems and processes are further characteristics of the current system that are in dire need of renewal. Critically, the IQMS is perceived as time-consuming, overly bureaucratic and characterised by limited induction, preparation and poor communication. On the positive side, the research also identified several leverage points within the current system that provide a grounding for the work ahead. There are examples of specific TVET colleges that have taken the current system, with its limitations, and have built supportive organisational cultures that enable TVET lecturer professional development. This includes wellness programmes for lecturing staff and a culture of growth. 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Performance management system – A complete guide. Updated on February 8, 2023. https://www.techfunnel.com/hr-tech/performancemanagement-system/ Terblanche, T. E. (2017). Technical and vocational education and training (TVET) colleges in South Africa: A framework for leading curriculum change. Master‘s dissertation, University of Stellenbosch. Tobias, R. (2003). Continuing professional education and professionalization: travelling without a map or compass? International Journal of Lifelong Education, 22(5): 445-456. https://doi.org/10.1080/02601370320 00102823 Tziner, A. and Murphy, K. R. (1999). Additional evidence of attitudinal inﬂuences in performance appraisal. Journal of Business and Psychology, 13: 407-419. UNESCO-UNEVOC. (2023). TVETipedia glossary. https:// unevoc.unesco.org/home/TVETipedia+Glossary UpRaise Research Council. (n.d.). What is the difference between performance appraisal and performance management? https://upraise.io/blog/performanceappraisal-management/ Ventana Systems. (n.d.). Polarity of causal loops. https://www.ventanasystems.co.uk/forum/viewtopic. php?t=2802 Verdecho, M. J., Alfaro-Saiz, J. J. and Rodríguez-Rodríguez, R. (2019). Integrating business process interoperability into an inter-enterprise performance management system. In Enterprise interoperability viii: Smart services and business impact of enterprise interoperability (pp. 265-273). Springer International Publishing. Wedekind, V. et al. (2022). Quality of lecturing staff at TVET colleges. DHET Project 6.1, Inception Report. https://www.nottingham.ac.uk/research/groups/cier/ projects/tvet.aspx#:~:text=A%20TVET%20lecturer%20 needs%20to,a%20learning%20task%20with%20 students Western TVET College (WESTCOL). (n.d.). WESTCOL TVET College: The following permanent vacancy exist at Western TVET College on the PERSAL establishment. https://www.govpage.co.za/westcol-tvet-collegevacancies-blog/westcol-tvet-college-seniorpractitioner-hrd Wilson, J. P. and Western, S. (2001). Performance appraisal: an obstacle to training and development? Career Development International, 6(2): 93-100. Zinn, B., Raisch, K. and Reimann, J. (2019). Analysing training needs of TVET teachers in South Africa: An empirical study. International Journal for Research in Vocational Education and Training (IJRVET), 6(2): 174-197. https://doi.org/10.13152/IJRVET.6.2.4 This research is focused on enhancing the relationship between performance appraisal and continuing professional development within the wider performance management of South African TVET lecturers. It aims to address the country’s challenges in job creation and skills development by contributing to a well-aligned performance management and CPD system. Emphasising the importance of TVET lecturers in national human resource development, the research underscores the critical role of lecturers in shaping skilled graduates, thus contributing to economic growth, and advocates for a fair accountability process through performance appraisal in TVET colleges’ performance management systems. This publication was produced with the ﬁnancial assistance of the National Skills Fund (NSF). The views expressed in this publication are those of the authors. They do not necessarily reﬂect the views or policies of the Department of Higher Education and Training (DHET) or the NSF, or indicate that the DHET or the NSF endorse the views of the authors. In quoting from this publication, readers are advised to attribute the source of the information to the author/s concerned.

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