AFRICAN TECHNOLOGY POLICY STUDIES
Human Resource Policies and Procedures Manual

1

STATEMENT OF INTENTThis Manual contains agreed personnel policies and procedures of African Technology
Policy Studies’ Network with effect from 1st June 2001. The Manual is prepared by
Deloitte and Touche and will act as a reference document for the Board, management
and staff of ATPS It also forms the basis upon which ATPS’s working culture andenvironment will develop.
Any changes to the policies contained in this Manual will require authorisation of the
Executive Director. However, where changes in policy may have significant financial
implications, the Executive Director will seek approval from the Board prior to
implementation.
All instructions issued which affect or change the policies and/or interpretation of any
policies and procedures contained in this Manual must be retained in original form as an
addendum to this Manual, until the relevant section of the Manual is amended.

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INTRODUCTION

2.1

Background and history of ATPS
ATPS Networks was established in 1993 as a network of multidisciplinary researchers
from fifteen sub-Saharan African countries: Botswana, Ethiopia, Ghana, Gambia,
Kenya, Lesotho, Liberia, Malawi, Nigeria, Sierra Leone, Swaziland, Tanzania, Uganda,
Zambia and Zimbabwe. It is a successor of two predecessor networks, the Eastern andSouthern African Technology Policy Studies and The West African Technology
Studies Networks. ATPS is an company limited by guarantee incorporated in Kenya.
The International Development research Centre (IDRC), Carnegie Corporation of New
York, Rockfeller, Ford Foundation, Coca-Cola Northern Africa, OPEC and WorldBank fund ATPS Networks.
It provides research grants to individuals and institutions to carry out research on issuesof science and technology policy in Sub-Saharan Africa. The research results are
disseminated to policy makers and other end users through manuscript reports,
published books, journal articles, workshops, conferences and the Internet.

2.2

ATPS Mission“To improve human and institutional capacity for technology policy formulation,
implementation, research, analysis, assessment, monitoring, evaluation and dialogue.”
African Technology Policy Studies Networks objectives
To achieve its mission, ATPS Networks has the following objectives:a) Capacity building and enhancement for technology formulation, implementation
and researchb) Generating a critical mass of knowledge on technology policy issuesc) Fostering networking and collaborative researchd) Dissemination of research material

2.3

Functions of the ATPS
To efficiently carry out its work, ATPS has two main departments:(i)
Finance and administration which provides support services and;(ii)
Research and programme management

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DEFINITION OF TERMS

3.1

The ATPS
Means the African Technology Policy Studies Network.

3.2

The Board
Means the members of the Board.

3.3

The Executive Director
Means the Executive Director who is also the Chief Executive Officer of ATPS.

3.4

Contract of employment
The Letter of Appointment constitutes the individual’s contract of employment with
ATPS

3.5

SpouseA spouse is the legally recognised partner of the staff member. For the purposes of
personnel records, the spouse must be declared at the time of appointment, or at thetime of marriage if it occurs during employment with ATPS. Proof of marriage will be
required.

3.6

Dependant children
Dependant children are biological offspring or legally adopted children under 21 yearsof age that are wholly dependent on the staff member or still dependent due to pursuitof a four-year post secondary course upto a maximum of 24 years. For purposes of
personnel records, all dependant children must be declared at the time of appointment
or at the time of birth or adoption if it occurs during employment with ATPS. Copies ofbirth certificates or legal adoption papers of dependants will be required in either case.

3.7

Immediate family
This consists of the employee’s spouse and dependant children as defined above, theemployee’s biological father and biological mother and the employee’s spouse’s
biological father and biological mother as listed in the employee’s personnel record.

3.8

Family domicile
This is the location specified by the employee as his/her family domicile as shown in
the employee’s personnel record.

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3.9

Duty station
This describes the normal base of the employee’s working activity as contained in theemployee’s personnel record. Currently the duty station of all ATPS employees is
Nairobi, Kenya.

3.10 Country of project on travel duty
This is the country in which the employee is temporarily undertaking official ATPS
business or is operating on behalf of ATPS.
3.11 SalaryThis is the monthly monetary payment based on the salary scales currently in operation
within ATPS. Salaries are based on a ‘clean-pay’ system and are quoted before tax andstatutory deductions.
3.12 Reimbursable expenses
In performing their duties, staff members will from time to time incur expenses, forexample, on travel or hotel accommodation. Staff will be reimbursed for the expenses
incurred based on the submission of an authorised claim duly supported by appropriate
receipts as proof of expense incurred. The immediate supervisor must approve all
reimbursable expenses.
3.13 Per diem
When performing duties outside his/her duty station, an employee may be entitled to a
per diem allowance. The per diem allowance will change from time to time. Current
rates are available from the Finance and Administration Manager and are obtained
from similar institutions.
3.14 One calendar year/month
A calendar year starts on 1st January and ends on 31st December, while a calendar
month starts on the first day of a month and ends on the last day of that month.
3.15 One contractual year
A contractual year can start on any day but runs for 12 months from that day.
3.16 National staff
National staff are employees who are nationals of the country in which their duty
station is located. National staff may be expected to travel outside their duty station aspart of the normal course of their duties.

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3.17 Expatriate staff
An expatriate is an individual who is not a national or permanent resident of thecountry in which their duty station is located. Expatriate staff may be expected totravel outside their duty station as part of the normal course of their duties.
3.18 Employee
With specific reference to this manual, the term employee refers to national andexpatriate staff engaged by ATPS unless otherwise stipulated.
3.19 Budget holder
A departmental heads is an employee who has been assigned responsibility forexecuting a budget related to a particular function and/or an assignment/project within
ATPS.
3.20 Contract employees
All ATPS employees (other than consultants and temporary employees) will be
recruited on fixed term contracts of 1-3 years.
3.21 Temporary employees
Temporary employees are employed on contracts for a minimum period of one week
and a maximum of three months.
3.22 Consultants
Consultants are engaged to undertake specific assignments on behalf of ATPS or on a
project basis.
3.23 Disciplinary committee
The disciplinary committee is responsible for hearing appropriate discipline cases
affecting ATPS personnel.
For discipline cases regarding the Executive Director, the disciplinary committee willconsist of the Board of Directors.
For discipline cases regarding heads of department, the disciplinary committee willconsist of the Executive Director and at least two board members.
For discipline cases regarding all other employees, the disciplinary committee willconsist of the Financial & Administration Manager, the head of department concernedand a head of department from any other department or the employee’s nominatedrepresentative.

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3.24 Personal records
Personal records contain personal details on all employees of ATPS. Details include
names of spouses, dependants and their ages, previous employment details, next of kin,family domicile etc. Decisions which take into consideration an employee’s spouse,dependant children, immediate family, family domicile and all other personal items will
be based on information relating to the employee at the time the decision is to be made.
It is, therefore, important that employees ensure that their personal records are promptly
updated as appropriate.

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APPLICATION
Unless otherwise stated in individual letters of appointment, policies and procedures
contained in this Manual govern the practice of all staff undertaking activities on behalfof ATPS.
ATPS employs three categories of staff:
1. Contract employees.
2. Temporary staff.
3. Consultants.

4.1

Contract employees
Contract employees are employed on 1 to 3 year fixed term contracts. The terms andconditions of service of a contract employee will be detailed in his/her Letter of
Appointment. Both the Letter of Appointment and this Manual constitute the contractof employment between the individual and ATPS.

4.2

4.3

Temporary staff(i)

Temporary staff will be appointed for a minimum period of one week to a
maximum of three months.

(ii)

Temporary staff will normally be employed in support or administrative
positions.

(iii)

Budget holders will be responsible for selecting and appointing temporary staff
with approval of the Executive Director. The departmental heads will advise
the Finance and Administration Manager prior to the appointment of
temporary staff to ensure compliance with regulations on pay, tax and otherlegislative requirements regarding temporary employment.

(iv)

All temporary staff will be issued with Letters of Temporary Appointment
setting out their duties and terms and conditions of service.

(v)

The departmental heads will be responsible for ensuring temporary staff
conduct themselves in accordance with ATPS procedures and expectations.

(vi)

Payment to temporary staff will only be made on provision of a bi-monthly
timesheet signed by the ATPS budget holder.

Consultants(i)Consultants will be engaged on an assignment/project basis to supplement theresources of ATPS employees engaged on the assignment/project.

(ii)

ATPS will maintain a database of consultants in various areas of expertise, who
can be employed on an project basis. Prior to their initial engagement with
ATPS, consultants listed in the database will be subjected to the same standards

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ATPS applies for internal recruitment. Only ATPS approved consultants will
be used on projects or provided as consultants to other agencies.
(iii)

The Project Manager and Finance and Administration Manager are responsiblefor identifying appropriate consultants. In addition, the departmental heads isrequired to identify and implement methodologies for skills transfer between
consultants and ATPS personnel during the assignment, with a view todeveloping ATPS’s in-house capabilities.

(iv)

The Executive Director will approve appointment of all consultants, in keepingwith financial and procurement policies and procedures of ATPS.

(v)

Before determining terms of engagement with consultants, departmental heads
will liase with the Finance and Administration Department to ensure
adherence to regulations on pay, tax and other legislative requirements
regarding employment.

(vi)

The departmental heads will be responsible for ensuring that consultants
conduct themselves in accordance with ATPS’s procedures and expectations.

(vii)

A consultant will receive a separate contract for each project contracted. The
Letter of Appointment and this Manual will govern this contract, unlessotherwise stated. Terms of payment and other terms and conditions of service
must be stipulated in the contract.

(viii)

Payments to consultants will only be made against provision of certificates ofsatisfactory performance signed by the ATPS supervisor on theassignment/project and/or the budget holder.

(ix)

Whilst working for ATPS, consultants will be responsible for their own
insurance that should include medical evacuation if working abroad.

(x)

Final payments will be made after acceptance of the final report by ATPS or theclient and on completion of the Assignment Evaluation Form.

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DELEGATION
Below is a summary of the authority delegated to positions in this Manual.

5.1

The Board
The Board shall have the following responsibilities:

5.2

(i)

review and approve the annual programme of activities of the organisation;(ii)

approve the annual budget of the organisation;(iii)

appoint a firm of auditors to audit accounts of the organisation so as to ensure
funds are properly expended and accounted for;(iv)

review and approve the annual reports on the activities of the organisation;(v)

appoint an Executive Director of the organisation;(vi)delegate to the Executive Director the appointment of staff and other
employees, consultants or agents necessary for proper and efficient discharge
by the organisation of its functions;(vii)

delegate to the recruitment panel for recruitment of professional staff, which
will consist of the Finance and Administration Manager, the Research Coordinator , and the Executive Director;(viii)

the Chairman of the Board will sign the Letter of Offer for the Executive
Director;(ix)

approve the salary structure, salary increments and bonuses of theorganisation;(x)

approve the amount of Settling Allowance paid to internationally recruitedstaff members or employees relocated to another country;(xi)hear and make final decisions on all appeals regarding discipline andgrievance cases in the event that an employee is not satisfied with the outcomeof his/her disciplinary or grievance hearing; and(xii)hear discipline cases regarding the Executive Director . For discipline cases
regarding Heads of Department, two board directors will sit on the disciplinarycommittee with the Executive Director.

The Executive Director
The Executive Director shall, subject to the general direction and control of the Board,
be responsible for direction of affairs and transactions of the organisation, the exercise,discharge and performance of its objectives, functions and duties, and theadministration and control of employees of the organisation.

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The delegations to the Executive Director are to:a) submit to the Board for approval, not later than one month before thecommencement of each financial year, a programme of activities of theorganisation in respect of that financial year;b) identify emerging issues for public policy and analysis and to design
appropriate work plans for carrying out this analysis;c) prepare the annual programme of activities and budgets of the organisation for
the approval of the Board;d) decide whether discounted or premium-priced fees will be paid for eachassignment;e) approve all recruitment proposals including those of consultants, and approve
recruitment of contract professional staff, including the Finance andAdministration Manager and the Research Co-ordinator and advice board
on recruitments made of professional staff;f) approve private work or assistance by ATPS employees and provide guidance
to the Board on whether part or all of payments made for such work or
assistance will be forfeited to ATPS or retained by the employee concerned;g) decide on the method of disposal of any gift received by an employee from
representatives of and/or organisations seeking to do business with ATPS;h) approve the recruitment of contract support employees;i) approve all new job descriptions, and changes to existing job descriptions;j) review all major disciplinary cases and where appropriate advise the Board on
final decisions;k) establish procedures for effective communication and co-ordination withagencies of Government, the universities, other research bodies, donor agencies
and the general public;l) authorise the submission of tenders for the award of contracts and sign any
contracts on behalf of the organisation;m) review and approve terms and conditions of all employees of ATPS;n) prepare the annual reports on activities of the organisation;o) maintain efficiency and discipline of all staff of the organisation;p) manage the budget of the organisation so as to ensure that funds are properly
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to attend interviews at ATPS;r) subject to satisfactory references, proof of all academic qualifications andsatisfactory medical report, will make offers of employment, including offers to
temporary employees, in writing;s) sign Letters of Offer for all staff;t) extend or refuse confirmation of an employee, on completion of the probation
period;u) implement all salary increases and bonuses on recommendations of respective
heads of department and the Finance and Administration Manager, subject toapproval from the Board;v) under exceptional circumstances occasioned by workload, approve payment of
unutilised leave for an employee;w) approve home leave to be taken by an expatriate employee, in a country otherthan that employee’s home country;x) extend at his/her discretion sick leave at full pay up to three months, to an
employee who has been in service for more than one year;y) approve sabbatical/study leave;z) grant compassionate leave for exceptional reasons;aa) either generally or in any particular case delegate his authority to any officer;bb)suspend an employee (with or without pay) pending investigation into cases ofgross misconduct as defined in section 13;cc) hear and review an appeal from an employee regarding a disciplinary case andmake a ruling; anddd)Perform such other duties and functions as may be assigned by the Board fromtime to time.
5.3

Budget holders
The delegations to budget holders are to:(i)approve all expenditures related to their specific departments/programmes;(ii)

approve overtime before it is incurred;(iii)

approve annual leave for all employees in his/her department;

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hire temporary staff in consultation with the Finance and Administration
Manager and with the approval of the Executive Director;(v)

provide for certificates of performance by consultants and;(vi)

Recommend payment of bonuses to staff with exceptional performance to the
Executive Director.

More detailed statements concerning the financial delegations to budget holders will
be contained in the Financial Policies and Procedures Manual.
5.4

Finance and Administration Manager
The delegations of the Finance and Administration Manager are to:(i)monitor deployment of staff and work allocation to ensure that ATPS’s
resources are efficiently utilised to serve clients and that all employees havean equal opportunity for development and progression;(ii)

review and recommend alternative work allocation methods and/or use of
temporary staff with heads of departments, in instances of excessive overtime;(iii)

ensure that the appropriate mix of staff is put together for each project inconsultation with the project Team Leader;(iv)

monitor, on a monthly basis, utilisation of employees and advise heads ofdepartment and the Executive Director;(v)annually revise daily per diem rates;(vi)establish and update appropriate per diem rates on a regular basis;(vii)

ensure that department heads conduct project appraisals, quarterly and annual(viii)

appraisals for each employee and ensure training and development takes placeand is evaluated;(ix)

co-ordinate all recruitment for ATPS;(x)

prepare the total revenue and operating costs of the organisation during theannual salary review process in consultation with department heads forconsideration by a remuneration review committee for approval by the
Executive Director;(xi)

review the medical insurance scheme and group life insurance scheme on anannual basis and make recommendations to the Executive Director on
renewal of the scheme; authorise absence from work in the absence of
employee’s immediate supervisor; compile Quarterly Absence Reports, to bereviewed by the Executive Director and Heads of Department;

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take corrective action through counselling, training and/or instituting
disciplinary procedures, where problems of lateness and absenteeism persist;(xiii)

arrange for new employees’ orientation with the immediate supervisor and;(xiv)

investigate all disciplinary cases with the respective head of department andwill be a member of the Disciplinary Committee.

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6

GENERAL WORKING AND DEPLOYMENT CONDITIONS

6.1

Working hours
The number of official working hours will be 37.5 hours per week unless specified
otherwise in the Letter of Appointment. However, staff should be aware that they will
be expected to work outside the official hours to meet client demands in order to enable
ATPS to achieve its objectives.
Working hours may be reviewed and changed by the Executive Director from time totime. The Finance and Administration Manager will inform staff of such changes.
Working hours:
Lunch break:

8:00am –12:30pm
1:30pm-4:30pm
12:30pm-1:30pm

Employees can work on a flexible time basis with prior approval of the department
head.
6.2

Working patterns
The Finance and Administration Manager will advise the Executive Director ofchanges to be made to staff deployment and working hours including options of:
•
•
•

•
6.3

part-time working;job sharing;flexi-time systems – permitting employees to work flexible hours of day and/or
week, around an agreed core time when staff must be on duty, as long as they meetstated daily/weekly working hours; andad hoc ‘contracting-out’ for services and skills on a need be basis.

Activity Report
At the end of each month, all staff are required to complete and submit to their
immediate manager the ATPS Activity Report form providing details of work, official
travel, leave etc. The manager signs and forwards these reports to the Finance andAdministration Manager.

6.4

Deployment policy
The objective of ATPS’s deployment policy is to provide the best possible services to
ATPS’s clients and to build and encourage professional development and teamwork
within the organisation. Therefore, in order to respond to changing operational
environments, ATPS reserves the right to re-deploy any member of staff between jobs
and around ATPS’s operating region or client base in order to meet organisational andclient needs.
The basis for making deployment decisions will be work allocation and distribution,with the intention of optimising utilisation of internal capability and resources. It

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should also be recognised that re-deploying a member of staff to a different work
environment can be a useful part of career and personal development programme.
In deploying staff on assignments, ATPS will consider:competence of individuals; both social and technical;
experience;career progression; andwork load.

•
•
•
•

The Finance and Administration Manager will:(i)give guidance on selection of staff to heads of department. However, heads ofdepartment will be responsible for deployment of employees in their respective
departments; and(ii)

ensure that all heads of department are informed of, and are implementing, thedeployment policy.

The Finance and Administration Manager will monitor deployment of staff andwork allocation to ensure that ATPS’ resources are efficiently utilised to serve clientsand that all employees have an equal opportunity for development and progression.
6.4.1 Deployment on Projects
As a technical organisation, ATPS depends on an internal “pool of experts”,
supplemented when necessary by external consultants. The appropriate mix of staff
will be put together for each project by the Project Coordinator.
At the end of each assignment, the Project Coordinator will evaluate performance ofteam members of the project team using predetermined criteria.
These evaluations will contribute to quarterly and annual appraisals. The evaluation
will also provide an immediate opportunity to recognise good performance and rectify
any weaknesses identified.
6.5

Conduct

6.5.1 Services to other organisations
The nature of work at ATPS calls for linkages and networking with otherorganisations. ATPS employees can therefore be called upon to provide either
services or advice to these collaborating organisations. Payment for such services
will be the property of ATPS.
Where an employee may be called upon to provide assistance in their private capacity,
approval must first be obtained in writing from the Executive Director. Any
infraction of this regulation is subject to sanctions under the Disciplinary Policy.

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6.5.2 Employees’ loyalty to ATPS
Employees are expected to be loyal to the organisation at all times while employed by
ATPS. Where an activity or project may be in conflict with ATPS interests, theemployee will refrain from such activities. Where employees are unclear about
possible conflicts, they should approach their respective head of department or the
Executive Director for clarification.
6.5.3 Release of information to third parties
ATPS retains the right to all titles, copyrights and patent rights for any work produced
by an employee as part of his/her official duties.
The Executive Director, any officer, consultant, agent or other employee of theorganisation shall not disclose to any other person any information which he/she
acquires or comes to his/her knowledge in the performance or purported performanceof his/her functions in ATPS, except in so far as it may be necessary for performanceof those functions or for due compliance with any requirements of, or proceedings
under, the Company Act or any other written and applicable law, or with the order ofthe court.
A person who contravenes the above provisions shall be liable to summary dismissal
and prosecution under the Act.
6.5.4 Protection of ATPS’s property and interest
Employees are expected to protect the interests of ATPS at all times and should notcause damage to the property or reputation of the organisation.
Employees should also avoid any action that may be seen to be undesirable, or bringthe organisation, or its name, into disrepute.
Where damage is caused by carelessness, negligence or malicious acts, the employee
will be held liable, and will meet the cost of damage, as determined by the Executive
Director, in keeping with the Disciplinary Policy.
6.5.5 Gifts and other benefits
ATPS strongly discourages employees and their immediate families from accepting or
soliciting for gifts, payments, loans, services, entertainment (apart from normal
occasional social business meals/drinks) from representatives of and/or organisations
seeking to do business with ATPS.
Where a gift cannot be refused without causing offence, the item will be passed to the
Executive Director who will decide on its disposal.

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6.6

Employee welfare
ATPS will provide adequate welfare cover for its employees to ensure a healthy andstable work force. All contract employees will be entitled to the benefits listed below.
All employees must indicate existing medical, group life, personal accident, permanent
injury health and air travel insurance covers they, their spouses and dependants may
have at the time of appointment to employment on the Notification of Engagement
Form.

6.7

Insurance

6.7.1 Medical insurance
ATPS will provide medical cover to contract employees, spouse and dependant
children under 21 years of age.
The benefit of paying premiums on behalf of staff and their dependants may besubject to local taxes. These taxes will be borne by the employees.
The Finance and Administration Manager in consultation with the Executive
Director and with the approval of the Board will review the scheme on an annual
basis and make recommendations to the Executive Director on renewal of thescheme.
The terms and conditions of the scheme are available from the Finance andAdministration Department.
6.7.1.1 Medical examinations
ATPS will pay for a pre-employment medical test for all new employees, excluding
temporary staff, as a condition of employment. A doctor of ATPS’ choice willconduct the medical examination.
Where this is impractical, the medical examination will be done as soon as possible
after commencement of the job.
The medical report is confidential and is the property of ATPS.
6.7.2 Group life insurance
ATPS operates a Group Life Insurance Scheme for contract employees. The scheme
covers an employee in the event of his/her death while still in the employment of
ATPS.
The amount payable under the scheme is equivalent to three times the employee’s
annual basic salary and is paid to the employee’s designated next of kin, in the eventof death due to natural causes.

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The terms and conditions of the scheme are available from the Finance andAdministration Department. These may be amended from time to time.
6.7.3 Personal accident insurance
ATPS operates a Group Personal Accident Insurance Scheme for all contract
employees.
Specified amounts are payable under the scheme to employees who receive injuries
arising from accidents during their period of employment.
The terms and conditions of the scheme are available from the Finance andAdministration Department and may be amended from time to time.
6.7.4 Disability insurance
ATPS operates a Permanent Injury Health Insurance scheme which will provide
income to contract employees who have suffered long term or permanent injury
during employment, or are incapable of continuing their duties with ATPS due to thenature of injuries sustained.
The terms and conditions of the scheme are available from the Finance andAdministration Department and may be amended from time to time.
6.7.5 Air travel insurance
Air travel insurance is provided for employees travelling on official business and will
include medical evacuation in case of emergencies.
The terms and conditions of the scheme are available from the Finance andAdministration Department and may be amended from time to time.
6.7.6 Workman’s Compensation
All employees, be they on temporary service or on contract, are covered under theworkmen's compensation scheme as per the Workmen's Compensation Act. Any
injuries, not incurred deliberately by an employee, but incurred in the line of duty, arecovered under this scheme. To cover any liabilities arising from injuries by employees
at work, ATPS have taken a workmen's insurance cover.

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6.8

Leave

6.8.1 Annual leave entitlement
All employees will be entitled to 24 working days for each completed year of service.
Annual leave entitlement is earned at the rate of 2 days per month. ATPS encourages
all its employees to take their leave in the year earned and not to carry it forward.
Employees are expected to accumulate leave entitlement before they apply for leave.
However, they may utilise up to half of their leave entitlement in advance provided
that the employee’s service is expected to continue for a period long enough to coverleave taken and with the approval of the head of department, or the Executive
Director.
The leave entitlement is accrued on the basis of each completed year of service. Incase of service of less than one year, leave will be calculated on a pro-rata basis.
Annual leave should be taken in the contractual year in which it is earned. A
maximum of 14 days earned leave may be carried forward from one year to the next
year. Any balance in excess of fourteen days will be forfeited but may exceptionallybe approved by the Executive Director.
At the beginning of each year, every employee shall indicate, on a prescribed form,
his/her leave plans. This form shall then be submitted to the Finance andAdministration Manager. Board appointees will be expected to negotiate their leaveat the time of appointment or in consultation and with the consent of all other top
managers.
Employees will be required to complete a Leave Application Form covering allabsences from the workplace. Leave will be taken subject to operational requirements
and only with prior approval of the head of department. Approval for leave will berecorded on the Leave Application Form. The heads of department will be
responsible for submitting the form to the Finance and Administration Department.
The Finance and Administration Department will record and monitor the number ofleave days used per individual.
A copy of the Cumulative Leave Application Form will be returned to the employee
once the Finance and Administration Department has processed it.
6.8.2 Public holidays
The employee is entitled to all public and statutory holidays of the country in which
he/she is working at that time, and will take them at full remuneration.
Furthermore, employees may apply to their heads of department and/or Finance andAdministration Manager to take leave for country-of-origin religious or public
holidays, which are not recognised in the country of assignment. Such leave will becounted against the employee’s annual leave entitlement.
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When an employee is on annual leave he/she may not shift the status of leave to sickleave or extend annual leave by crediting a portion to sick leave, except in exceptional
circumstances and with approval of the Executive Director. Each head of department/supervisor will circulate a leave schedule in January for employees to enter
anticipated leave dates in order to allow proper planning and deployment of staff.
If, on termination of service, an employee has taken leave in excess of his/her
entitlement, ATPS will make a deduction from the employee’s final dues calculated at
the standard daily rate for each day taken.
If an employee has not utilised his/her full leave entitlement before leaving, and withthe prior approval of the Executive Director, unutilised leave will be paid at thestandard daily rate of the employee concerned. (See Section 8.6 for calculation ofstandard rates.)
Leave due on separation will be calculated as at the end of last day of service.
6.8.3 Sick leave
Absence due to illness must be reported to the immediate supervisor as soon as
possible.
Continuous absence for three days or more will require a medical certificate issued bya recognised medical practitioner. The medical certificate will indicate first day ofillness and the date on which the employee is expected to return to work.
All sick leave will be recorded and signed by the immediate supervisor at the end of
the period of absence on the Leave Application Form with copies forwarded to the
Finance and Administration Manager. Visits to the doctor will be deducted fromsick leave entitlement.
An employee on sick leave is entitled to full pay for the first month (30 days) and fora further 2 months (60 days) at half pay. If, after the three months, the employee has
not recovered he or she may be asked to utilise accrued leave days or proceed on
unpaid leave.
If the employee has served for more than one year, the Executive Director may use
his/her discretion to extend sick leave at full pay to three months.
Should the period of illness exceed six months, the member of staff will be entitled tothe provisions of the Disability Insurance (Section 6.64). However, ATPS retains theright to withdraw this benefit at any time. At the same time the contract will bedeemed to have been terminated.
Annual leave entitlement and other benefits based on service continue to accrue
during periods of sick leave.

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6.8.4 Maternity leave
An employee will be entitled to 3 months maternity leave on full pay as long as she
has completed one year of continuous service.
An employee with less than one year of continuous service on the date maternity
leave falls due, shall be given her unused accrued annual leave entitlement and, on
request, the balance of maternity leave will be taken as leave without pay for up to a
total of 3 months.
If an employee takes maternity leave during her probation period, the probation
period will be extended by the period taken for maternity leave.
The employee will be expected to go on maternity leave a minimum of 5 days before
the expected date of delivery.
Extension of maternity leave can be considered where serious complications occur
and medical documentation is produced, or for non-pregnancy related illnesses.
However, extra days will be charged to and treated as sick leave.
Annual leave entitlement is forfeited if maternity leave is taken. However, otherbenefits based on service continue to accrue during periods of paid maternity leave.
6.8.5 Paternity leave
An employee will be entitled to paternity leave for up to a maximum of two weeks per
year, with pay as long as he has completed one year of continuous service. This leave
will be awarded to an employee upon request and with the approval of the Executive
Director. The Finance and Administration Manager should be notified no later
than three weeks prior to the date maternity/paternity leave is anticipated.
6.8.6 Study/Sabbatical leave
ATPS recognises that employees may need to undergo further training to enhancetheir professional and operational competence. In such cases the Executive Director
may approve sabbatical/study leave.
The heads of department together with the Finance and Administration Manager
will evaluate benefits for both ATPS and employee against both financial andopportunity cost implications, and advise the Executive Director accordingly.
Employees will be encouraged to source their own funding. The leave will only beapproved after funding has been secured. Only employees with more than three yearsof service will qualify for study/sabbatical leave in excess of one month.
Annual leave entitlement and other benefits based on service will not accrue during
periods of study/sabbatical leave that exceed one month.

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6.8.7 Compensatory leave
Due to frequent absences from family and loved ones in the case of official travel,
ATPS will allow an employee one compensatory leave day for every ten (10) days
travelled. This leave can only be taken up in the year in which it is earned and will
only be carried forward where it is earned at the end of the year.
6.8.8 Compassionate leave
Compassionate leave will be granted at the discretion of the Executive Director andheads of department for exceptional reasons, such as bereavement in the immediatefamily.
Compassionate leave will be granted for up to a maximum of 14 calendar days.
Where air travel is necessary to meet obligations of bereavement in a country otherthan that of the assignment, ATPS will provide one round trip economy ticket, which
may be used by the employee’s spouse, if the employee opts not to go on
compassionate leave.
Annual leave entitlement based on service will not accrue during periods ofcompassionate leave.

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6.8.9 Absence
Whenever possible, absence from work must be authorised in advance by theemployee’s immediate supervisor or the Finance and Administration Manager.
In cases of emergency (e.g. sickness or injury), the immediate supervisor or the
Finance and Administration Manager should be informed of circumstances at theearliest practicable time.
It is the responsibility of the heads of department to monitor and control the level ofabsenteeism in his/her department.
Absence for more than 5 days but less than 10 days without notification to the head of
department or the Finance and Administration Manager will be a major offence
and is liable to punishment by interdiction or half pay.
Failure to notify the Department Head or the Finance and Administration Manager
of absence from duty on a working day will require justification and may beconsidered unsatisfactory conduct. Absence for more than ten consecutive working
days without notification will be deemed to be desertion and the employee will be
liable to disciplinary action which could result in termination of employment.
6.8.10 Absence reporting
Employees will be required to complete a Leave Application Form return fromunauthorised absence.
Department heads and supervisors are required to record all incidents of latenessand/or absenteeism. Each department will submit a monthly absence record to the
Finance and Administration Manager. The Finance and Administration
Manager will compile Monthly Absence Reports, to be reviewed by the Executive
Director and Heads of Department.
Unauthorised absence for a day or more will be deducted from the annual leave
entitlement.
Where problems of lateness and absenteeism persist, the Finance andAdministration Manager will take corrective action through counselling, training
and/or instituting disciplinary procedures.
6.9

Education Allowance
All employees, other than those in temporary service, shall be eligible to apply forreimbursement of school fees and other related costs, such as books, transportation,
laboratory equipment and uniforms, for their dependent children enrolled in arecognised educational institution in Kenya. Dependent children must therefore beenrolled in a recognized elementary (age three and above), primary or secondary
school, college or university program.

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At the beginning of each school year, eligible staff should give the name of each child,the name and location of the school, and the grade attended.
The rate of reimbursement for bona fide educational expenses, covering elementary,
secondary, college or university levels, is a maximum of Kshs. 80,000/= per child peryear, and is reviewed annually.
Reimbursement is provided for up to a maximum of four (4) dependent children.
Education allowance will only apply to dependants up to the age of twenty-four years.
Staff will be notified of any adjustments to these limits. Items eligible for coverage by
the education allowance include fees, uniform, building fund, tuition materials,
boarding, transport, and examination fees.
Eligible staff members should present invoices for education expenses to the Financeand Administration Manager who will arrange for direct payment through an
Education Trust. Any direct reimbursement to staff by ATPS is subject to tax.
Full and further details on education allowances may be obtained from the Financeand Administration Manager.
6.10 Loans, Advances, Guarantees
It is the policy of the ATPS not to grant loans or act as a guarantor for loans contracted
by its staff. Under special circumstances, the Executive Director may at his discretion
grant an employee in extreme need up to two months salary advance. Interest will becharged on such advances at the 5% p.a. rate and the sum will be payable within a yearof its acquisition the monthly payment amounts being agreed on by both the employee
and the Finance and Administration Manager
6.11 Gratuity Payments
Gratuity payments will be paid to all contract employees and will take the place of apension or provident fund. Gratuity payments will be payable on a lumpsum basis at
the end of a three year contract period or as per the following gratuity payment
schedule:Year 1:
Year 2:
Year 3:• 7% of basic pay• 8.5% of basic pay• 10% of basic pay

The Finance and Administration Manager will manage and co-ordinate gratuity
payments.

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6.12

Relocation and Freight Expenses

6.12.1 Passages
On appointment and termination of contract ATPS will provide return air fares for
expatriate contract employees, spouse and dependant children for travel by the mosteconomical means of travel using the most direct route.
In case of a Kenyan national recruited from abroad, ATPS will provide on
appointment single route air fares for the employee, spouse and dependant children
for travel by the most economical means of travel using the most direct route.
6.12.2 Relocation expenses
ATPS will reimburse expenses of international relocation for expatriate contract
employees and Kenyan nationals recruited from abroad. Such reimbursement will
include household goods and personal effects, if the appointment is for more than six
months away from either the place of recruitment or the family domicile.
Reimbursement by ATPS for removal expenses will be subject to the following limits,which are subject to review by the Executive Director from time to time:
Air Freight
Air freight will include the cost of a maximum of 20 kilos accompanied excess
baggage and a total of 60 kilos unaccompanied air freight for the employee andimmediate dependants.
Surface freight
One 20-foot container of 23 cubic metres. Storage charges, other than those directly
related to the normal transportation procedures, will not be allowed.
Reasonable cost of packaging will be allowed for shipments within limits mentioned
above. Costs of installation of appliances and fixtures will not be borne by ATPS.
The cost of insurance in transit of household goods and effects (excluding any articleof value for which special rates or premiums are charged) will be reimbursed up to thevalue for which the employee ordinarily insures them provided it does not exceed an
approved maximum limit.
A statement of valuation of property should be forwarded to the Finance andAdministration Department for review and approval before property is packed forshipment. ATPS will in no case be responsible for loss or breakage of property
during relocation. Valuation will be subject to a maximum limit. This limit will be
reviewed and amended from time to time.
Employees will be expected to forward an inventory of goods to be transported to the
Finance and Administration Department before property is packed for shipment.
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ATPS will then undertake clearance procedures on behalf of employees and bear any
bonded storage charges up to the time clearance has been obtained.
Reimbursement will be made against receipts. Employees will be required tocomplete a Relocation Expenses Application and Agreement Form for approval fromthe Executive Director to incur relocation expenses. These expenses must be
accounted for using the Relocation Expense Claim Form.
Where both husband and wife are employees of ATPS and each is entitled toreimbursement of the cost of relocation, ATPS will reimburse one claim only.
Removal expenses are reimbursable only if the employee transports goods within
three months of start or end (as appropriate) of his/her employment with ATPS. The
Executive Director may extend this period under exceptional circumstances.
If the employee resigns from the service of ATPS before completing one contract
period, relocation costs will be recovered from the employee based on the difference
between the completed period of service and the outstanding months of service up to
the end of the contract period.
6.12.3 Local relocation
On initial appointment, local employees will not be entitled to relocation expenses.
However, should an employee relocate his/her family within three months after
appointment, the employee may claim a relocation allowance.
Relocation allowance will only apply to those employees who relocate more than 300
kilometres from their former place of work or residence.
The cost of insurance of goods in transit will be subject to a limit, which will be
reviewed and amended from time to time.
Local employees relocated to a station more than 300 kilometres away from theirhomes are entitled to recover the cost of one way first class rail or air fare (whichevercosts less) from their former station, for self, spouse and dependant children.
6.12.4 Overseas relocation accommodation expenses
ATPS will pay the following expenses for an employee relocated to or from anothercountry on commencement of their new appointment as follows:••

reasonable accommodation expenses on presentation of invoices, for a period of
up to three months if the employee is single. Payment will be evaluated on a caseby case basis; orreasonable accommodation expenses on presentation of invoices for the employee,
spouse and dependent children for up to one month from the commencement of
the appointment.

Eligible staff will be expected to complete a Relocation Expense Claim Form to claim
the expense and attach copies of relevant receipts.
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7

RECRUITMENT, PROMOTION AND PROGRESSION

7.1

PolicyATPS’s recruitment policy is to employ the most appropriate candidate available toensure that its clients receive quality service irrespective of race, colour, marital status,
tribe, religion, gender or nationality.

7.2

Determining a vacancy
The head of a department will be responsible for determining the existence of avacancy in his/her department. Before the decision to recruit is made, the heads ofdepartment will consult the Finance and Administration Manager on other options
which might be appropriate, such as work re-design, re-project of existing staff,
promotion or outsourcing of the service. Once the decision to recruit is made, therelevant department head, together with the Finance and Administration Manager,
will determine if a full time, part time or a temporary employee should fill the position.
The heads of department will then complete a Personnel Requisition Form (PRF).

7.3

Approval for recruitment
The PRF will serve as a formal request to fill a vacancy. The form will be forwarded to
the Executive Director for processing.
The Executive Director will approve all recruitment proposals including those of
consultants. However, approval for recruitment of contract employees, including the
Finance and Administration Manager and the Research Co-ordinator, will be in
consultation with the Board.
Where approval of recruitment is denied, the heads of department will revisit thealternatives of work re-design or re-project of existing staff.

7.4

Recruitment Process

7.4.1 Review of job descriptions
On approval to recruit, the department head, together with the Finance andAdministration Manager, will review and, if appropriate, revise or develop new job
descriptions and detailed specifications for the position, which will be approved by the
Executive Director.
7.4.2 Contracting of consultants
If the position is to be advertised externally, the Executive Director will determine
whether the recruitment should be contracted to external recruitment agents or beundertaken by the Finance and Administration Manager.

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7.4.3 Administration and co-ordination of recruitment
The Finance and Administration Manager will be responsible for co-ordinating all
recruitment exercises. This is irrespective of whether recruitment is being carried out
in-house or is contracted to outside consultants.
The Finance and Administration Manager will complete a recruitment progress form
as an administrative checklist for each recruitment assignment.
In all cases the Finance and Administration Manager will file the minutes of theinterview panel meeting and Job Interview Assessment Forms described below. This is
to address any potential complaint or legal action which might arise.
7.4.4 Drafting of advertisements
Based on the job description and personal specifications, the Finance andAdministration Manager or recruitment consultants will draft an advertisement for
approval by the heads of department and the Executive Director. This will apply to all
vacancies irrespective of whether the intention is to fill them with internal or external
candidates.
7.4.5 Internal recruitment policy
It is ATPS’s policy to encourage employees to apply for vacant positions. Internal
applicants will be required to complete an internal applicant’s application form. In allcases, preference will be given to internal applicants who meet the job specification.
7.4.6 Screening of candidates
Based on the job description and personal specifications, the Finance andAdministration Manager or recruitment consultants will screen the applications to
identify those who meet the minimum requirements for the position. All applications
meeting minimum requirements will be forwarded to the heads of department for
further screening.
If no applicants meet the minimum requirements, the Finance and Administration
Manager will notify the heads of department and together decide what action should
be taken, including revising requirements, redesigning the job and therefore therequirements, re-advertising, head hunting or other actions.
7.4.7 Regret letters
Applicants who fail to meet minimum requirements will receive a letter of regret fromthe Finance and Administration Manager or consultant, unless otherwise stated in
the advertisement.
7.4.8 Shortlisting of candidates
The heads of department or the recruitment consultants will shortlist candidates to be
invited for interview.

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7.4.9 Application forms
Each candidate invited for interview will be required to complete a Confidential
Application for Employment Form. A brief summary of ATPS and details of theposition will be despatched with the application form.
7.5

Interviewing of candidates
The Finance and Administration Manager will convene the relevant interview panel,co-ordinate the interview schedule and invite applicants to attend the interview.
There are two interview panels in ATPS depending on the grade of the position being
filled:(i)

Support grades
Executive Director or his nominee
Finance and Administration Manager(ii)

Professional grades
Executive Director
Finance and Administration Manager
Head of department in which the vacancy existsiii)

The panel for recruitment of the Finance and Administration Manager andResearch Co-ordinator will be appointed by the Executive Director andmay, at his discretion, include a board member.

Panel members may co-opt other members of staff and/or consultants to provide
technical assistance during the interviews.
Each member of the panel will complete a Job Interview Assessment Form after every
interview. The form has been developed to ensure each candidate is assessed using
the same criteria.
The Job Interview Assessment Form will be modified to suit the particulars of each
recruitment exercise, with weightings agreed in advance.
On completion of the interviews, the interview panel will decide on the most suitable
candidate.
Both internal and external candidates will be assessed using the same criteria. Wherean internal candidate and an external candidate are equally qualified for the position,priority will be given to the internal candidate.

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7.6

Travel expenses for candidates
In cases where candidates have to travel from outside Nairobi to attend interviews,
ATPS will reimburse travel and, where appropriate accommodation expenses. The
Executive Director must however, approve such expenses before they are incurred.
Candidates will be requested to complete an Interview Expenses Claim Form and attach
receipts in order to be reimbursed for their travel and accommodation expenses.

7.7

Letter of Offer
Once a candidate (including any temporary employee) has been selected, the Executive
Director will prepare a Letter of Offer detailing the main terms and conditions ofservice and a summary of duties. The Letter of Offer will be signed by the Executive
Director except for heads of departments, where the Letter of Offer will be signed by
the Chairman of the Board. The candidate will be given a specific period of time inwhich to accept the offer.
The Letter of Offer will specify the length of contract. Ideally, ATPS would like tomake long-term career commitments to every productive member of the staff sharing ademonstrated commitment to the values and mission of ATPS. However, the nature of
the ATPS work environment requires a high degree of flexibility in meeting changing
needs over which ATPS has very limited control.
The number and the types of jobs available within ATPS will always depend on thevolume and nature of projects at hand and on ATPS’s overall financial position.
The Finance and Administration Manager will keep employees aware of the statusof their employment. Employees will also be given early notification of job
opportunities.
On acceptance of the offer, the Finance and Administration Manager will issue a
Notification of Engagement Form to be distributed to the Executive Director and thehead of the relevant department.
Final appointment will be subject to satisfactory references, proof of all academic
qualifications and satisfactory medical report.

7.8

References
ATPS will endeavour to obtain written references, asking referees to complete theReference Request Form.
Where written references are difficult to obtain, the Finance and Administration
Manager will complete the Telephone Questionnaire Reference Check.
One of the referees must be the candidate’s immediate past employer. This reference
should be obtained in writing, or a copy of the telephone questionnaire sent to theorganisation for verification.

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7.9

Medical examinations
All candidates excluding those to be hired on temporary and casual terms will be
required to undergo a medical examination at a medical facility of ATPS’s choice andat ATPS’s expense. Pre-existing medical conditions should have been notified on theapplication form. Medical results will remain confidential to ATPS.

7.10 Date of appointment
The date of appointment for expatriate staff and for Kenyan nationals recruited fromabroad is the date on which they reported to work. For local staff, the date of
appointment is the date they report to the duty station.
7.11 Probation Period
The probation period for all contract employees in professional grades will be threemonths. The probation period may be exceptionally extended by three months at thediscretion of the Executive Director, subject to a maximum of one extension.
The probation period for non-professional contract employees will be three months, but
this period can be extended for a further one month at the discretion of the Executive
Director.
At the end of the probation period, the head of department will review and evaluate theemployee’s performance and make his/her recommendation to the Executive Director.
The Executive Director will make his/her decision and issue a Letter of Confirmation,
Termination or Continuation of Probation as appropriate.
Where the employee is not confirmed, reasons for non-confirmation will be given to
him/her in writing by the Executive Director for professional grades (including the
Finance and Administration Manager and the Research Co-ordinator) or by the
Finance and Administration Manager for support grades.
In the event of termination during the probationary period, the employee or ATPSwillgive one month’s written notice, or equivalent salary in lieu of notice.
7.12 Personal Record
Upon engagement, employees will be required to provide the Finance andAdministration Manager with the following details, as per Notification ofEngagement Form: (Appendix I)
•
•
•
•
•
•
•

full names as they appear in official documents;
a copy of the national identity card and/or passport;
permanent home address;
marital status;names of spouse(s) and dependant children;
date of birth;
medical evacuation scheme in force;

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•
•
•
•
•
•
•

existing health/life/medical insurance;bank and account number;
Personal Identification Number (PIN) for PAYE;
driving license number;
NSSF number;
NHIF number; andName of next of kin, relationship and address.

Employees will notify the Finance and Administration Manager of any changes inpersonal details. The Finance and Administration Manager has responsibility forensuring that personal records are promptly updated with new information.
To ensure that all data is valid and complete, the Finance and Administration
Manager will, at least once a year, circulate to staff basic (non sensitive) information
held on file and request staff to confirm that all the data is correct and complete or to
update the information, as appropriate.
7.13 Induction
The induction guidelines checklist has been designed to ensure each new employee
receives the necessary information, tools and support to enable him/her to become aproductive member of the team in as short a time as possible.
The head of department is responsible for ensuring each new employee receives
induction.
Induction guidelines
The head of the new recruit’s department will be responsible for ensuring that theinduction programme is carried out. The Finance and Administration Manager will
support this activity and will be available where assistance is needed. Copies of theinduction checklist will be given to the new employee and to his/her immediate
supervisor.
Pre-employment
On appointment the Finance and Administration Manager will send the new
employee a welcome letter with details of starting time (10:30am) and who will meetthem on arrival.
A week before the arrival of the new employee, the Finance and Administration
Manager will circulate a memo to all members of staff with details of the new
employee (name, position, department, main function, immediate supervisor, telephone
extension and brief background). The memo should ask all staff to ensure they
introduce themselves to the new employee within one week of starting date, andmanagers should ensure staff introduce themselves within three days if in the samedepartment. The Finance and Administration Manager will also advise thereceptionist of the name, department, location, time of arrival, telephone extension of
the new employee and whom to contact on his/her arrival.

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For junior employees, the immediate supervisor will identify somebody to act as“mentor” and explain their role to them. If possible, the mentor should be a member ofthe same working group and age group. The “mentor” will be responsible for helping
them find their way around and answering any queries. They will also introduce themto support staff.
The immediate supervisor will ensure that the work area, equipment and phone (whereappropriate) are ready for the new employee.
Day 1
The immediate supervisor will welcome the new employee at about 10.30 am. The new
employee will then be introduced to the mentor and other members of staff in theiroffices. The role of the mentor will be clearly explained to the employee.
The “mentor” will explain the general layout of buildings and show him/her location of
key facilities such as toilets, coffee machine, photocopier, print room, etc.
The immediate supervisor will carry out the functional induction into the job i.e.
introduction to department, information about the job, understanding of their role andhow it fits within the department.
It will be the responsibility of the immediate supervisor to see that the new employee
settles in and becomes an effective employee as soon as possible. The new employee
should be allowed some time on his/her own to get used to the environment andequipment. Where the employee is unfamiliar with equipment or computer package,training should be arranged.
After day 1 (and within 2 weeks)Within two weeks of commencement of duty the Finance and Administration
Manager will conduct an induction course into ATPSThe Finance and Administration Manager, head of department and immediate
supervisor will ensure that all essential information is passed to the employee. This will
include:• record card;• medical scheme booklet;• payment of salaries;• sick leave;• first aid;
• copy of induction checklist;• tax forms;• leave;• holidays;• fire drill;• plan of buildings; andVersion 1/2001

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At end of 4 weeks
The immediate supervisor should have a meeting with the new employee(s) to see
how he/she is getting on and if there are any problems or anything that is unclear.
Where necessary, they should also ask the “mentor” how the new employee is gettingon.
A copy of the induction checklist should be signed by the new employee to show thateverything has been covered, which will be passed to the Finance andAdministration Manager.
Induction should be evaluated to ensure employee’s needs are being met. New
employees will be asked for their views in a questionnaire, which should be taken into
account for future employees.

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8

REMUNERATION

8.1

PolicyATPS’s remuneration policy is aimed at ensuring the organisation attracts, motivatesand retains committed and competent employees that it requires to accomplish its
mission. The organisation operates a “Clean Pay” system, which consolidates basic
pay and other allowances, such as housing and utilities, into a lumpsum consolidated
salary.

8.2

Salaries
Each employee will have a stated monthly salary. The salary will be quoted before any
statutory deductions.
Salaries will be paid monthly in arrears and will be denominated and paid in Kenya
Shillings.
Expatriates’ salaries may, if permitted by local laws and with the agreement of theBoard, be paid in foreign currencies, with payment made into a foreign bank account.
On termination of employment, the last payment will be made on provision of a
Certificate of Clearance.

8.3

Deductions
Statutory deductions such as income tax/pay-as-you-earn (PAYE), Local Authority
Service Charge (LASC), social security deductions (e.g. NHIF, NSSF) and other legal
taxes, as well as deductions arising from court orders/arrestment of earnings, will bemade from an employee’s salary without his/her authorisation.
Voluntary deductions such as contributions to co-operatives or payment for personal
insurance premiums will be made provided the employee gives written authority to The
Finance and Administration Manager for ATPS to effect deductions.

8.4

Salary structure
Each position in ATPS will have a salary range showing minimum and maximum
salary payable for the grade.
The Executive Director will propose salary ranges for approval by the Board.
The Finance and Administration Manager will conduct periodic salary surveys andprovide information on changes in cost of living and terms of employment being
offered by similar organisations.

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8.5

Salary review
Salaries will be reviewed on an annual basis with effect from 1st January of each year.
The review will take into account changes in the cost of living but will also be based on
the approved budget of the organisation. The performance review and evaluation
process (PRE) will feed into this process, i.e. any increases in salary will be based on
actual performance of the employee as determined by the performance evaluation andproject reports (see Section 9).
The Board will grant all salary reviews and bonuses on recommendations of the
Executive Director in consultation with the department heads and the Finance andAdministration Manager. The Finance and Administration Manager will consider
the total revenue and operating costs of the organisation during the annual salary
review process.

8.6

Standard rates of pay
Standard rates of pay will be based on 22 working days per month, while the standard
hourly rate will be based 7.5 hours per day as shown below:

8.7Standard daily rate=

Standard hourly rate=

Monthly basic salary
22
Standard daily rate
8

Overtime
No employee will be entitled to overtime payments. The Executive Director may
however give time off in lieu of overtime worked.

8.8Time off in lieu
Time off in lieu (TOIL) applies to all staff and will be awarded by the Executive
Director at his discretion.
Work which involves travelling or working over weekends or designated public
holidays will be compensated by TOIL for each weekend or holiday worked or
travelled.
TOIL must be approved and taken within one month of earning it and at a time agreed
with the head of department.

8.9

Merit based payments/awards
Consistent with the principles of the remuneration policy which focus on a clean pay
system, ATPS will award merit payments which are aimed at providing a performance
related incentive, rather than a fixed benefit.
The capability of ATPS to provide a merit payment will be determined through themethodology described in the Performance Review & Evaluation System (Section 9)

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and will be dependent on the satisfactory performance of the organisation with respect
to:•the success of the organisation in meeting quality and time bound objectives of its
annual work programme; and•its ability to generate additional revenues through increased donor support.

The allocation of the merit payment between staff members will be linked to their basic
salary and their performance as determined by the performance review and evaluation
reports.
8.10 Reimbursable expenses
In performing their duties, staff members will from time to time incur expenses, forexample, on travel or hotel accommodation. Staff will be reimbursed for the expenses
incurred based on the submission of an authorised claim duly supported by appropriate
receipts as proof of expense incurred. The immediate supervisor must approve all
reimbursable expenses. These expenses are not part of employee’s salary.
8.11 Per diem
When performing duties outside his/her duty station, an employee may be entitled to a
per diem allowance. The per diem allowance will change from time to time. Current
rates are available from the Finance and Administration Manager.

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9

PERFORMANCE REVIEW AND EVALUATION

9.1

Introduction
ATPS’s success is dependent on its ability to recruit high calibre staff and empower
them to reach their full potential. An ATPS performance review and evaluation (PRE)system has been developed to create quarterly and annual opportunities to discuss andplan career and skills development for each staff member. Performance management is
a continuous process of monitoring and evaluating staff’s performance. The system
also incorporates a procedure for evaluating performance after each major assignment.

9.2

Purpose of the PRE
Broadly the aims of the PRE system are to:•ensure ATPS meets its organisational goals through careful management of its sole
resource; staff/consultant performance on assignments;•

identify staff strengths and fully develop their potential;•

identify needs and assist in preparation of a focussed staff development programme;•

utilise feedback from clients to ensure performance deficiencies are identified andremedial action taken on a timely basis; and•ensure that staff are rewarded in terms of individual contribution to the achievementof ATPS’s goals.

For ATPS:•

to provide itself with an objective tool to measure its’ employee’s actual
performance against its annual and quarterly work programmes;•

to provide every employee with periodic objectives which when amalgamated, will
ensure ATPS meets its business objectives; and•to ensure training and development is directed to meet the needs of theorganisation and its employees.

For the manager:•

to provide managers with clear standards against which employees are to beassessed;•

to provide managers with an objective assessment of the abilities and achievementsof their employees; andVersion 1/2001

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to use the process as a method of reviewing and reinforcing individual’s objectives
and development needs and to provide individuals with necessary coaching,counselling and support to meet those objectives.

For the employee:•

to provide clear objectives and an effective development plan to support achievementof those objectives;•to understand ATPS’s expectations and criteria for evaluation; and•to have a clear framework for periodic self-appraisal.

The PRE system is also used to assess new employees at the end of their probationary
period.
The role of the Finance and Administration Manager in the PRE process is to ensurethat department heads conduct project appraisals, quarterly and annual appraisals for each
employee. All evaluation forms will be submitted to the Finance and Administration
Manager for record keeping.
9.3 PRE process
The system is designed to record organisational and individual achievements, highlightstrengths, identify areas requiring improvement, set professional and work objectives forthe coming year, assess staff development needs and carry out career planning. This
process is illustrated below:
ATPS annual work
programme and budget
Annual report on
financial and work
programme
performance

Departmental
quarterly work
programmes

Assignment and work
programmes activities

Training anddevelopment
needs plan

Assignment review by
Team Leader (including
client feedback)Bonus andsalaryincrements
Annualperformance
review

Quarterly performance
review
Quarterly report on financial
and work programme
performance

Appraisal is intended to be a continuous process. The supervisor will be required tomonitor, discuss and record the employee’s performance throughout the year. The
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employees are encouraged to keep a documented record of theirachievements/shortcomings.
However, successes, achievements and areas of
improvement will be highlighted in formal appraisals.
There are three types of formal appraisals as discussed below:i) Assignment appraisal
After each sizeable assignment, the performance of the project team should be evaluated.
The evaluation will focus on the overall achievement of the project and each individual’scontribution. The project evaluation is a formal appraisal and involves both theemployees and the Team Leader in completion of the Assignment Evaluation Form.
The objective of project evaluations is to measure performance against targets, anddocument learning points so as to improve future work programmes. The projectappraisal will also be used to provide formal feedback to ATPS consultants’ temporarily
engaged on specific assignments. The project evaluation is a written appraisal using theAssignment Evaluation Form. The project evaluations will form the basis for future
recommendations for engagement.
Prior to the start of any assignment, the Project Coordinator and team member(s) must
agree and document the specific objectives to be met by each team member during theassignment.
The appraisee will complete the appraisee sections of the evaluation form, giving theirpersonal assessment of performance and comments. There will subsequently be an
project interview during which the appraiser and appraisee will discuss the appraisee’s
performance and give a performance rating and comments for each section.
The overall performance rating will be based on the average rating of appraiser andappraisee.
ii) Quarterly reviews
Quarterly reviews are aimed at developing a culture of continuous assessment andimprovement in ATPS. The basis for appraising staff quarterly will be the quarterly
department work plans. The evaluations are a way of ensuring continuous supervisionand evaluation of performance of ATPS and its employees against the quarterly work
programme and budget and objectives set at the beginning of the quarter. It will enable
the supervisor to recognise good performance and implement measures to rectify poor
performance more closely. Modifications may be made to quarterly and annual work
plans as a result of these reviews, if major variances (either positive or negative) are
identified.
A Quarterly Performance Review (QPR) Form has been developed for use during review.
iii) Annual Performance Review and Evaluation
An Annual Performance Review and Evaluation (APRE) will be conducted for eachcontract employee every year. Such reviews must be completed at least six weeks before

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the start of each financial year in order to utilise them for preparation of the annual work
programme and budget.
The purpose of the APRE is to give each employee an opportunity to discuss his/her
performance during the year and to set goals for the coming year. During appraisal,
specific performance areas which need improvement through training, change in work
methods, etc, will be identified and appropriate recommendations made. The appraiser
and appraisee will also discuss the future career path for the employee, including
opportunities for promotion.
Employees and their supervisors will jointly recommend a staff development andprogression programme for the year. Training and development will be aimed atenhancing the employee’s performance in their current jobs, help them achieve futureobjectives and develop them to progress along their career paths.
Training and development will be specific and should detail what action is required tosatisfy the need, e.g. formal training course, mentoring, secondment, etc. The Financeand Administration Manager will be responsible for ensuring training anddevelopment takes place and is evaluated.
9.4

Assigning appraisers
Appraisers are accountable for evaluating staff under their direction and for the qualityof the performance reviews. The Executive Director will be responsible for appraising
the Finance and Administration Manager, and the Research Co-ordinator. The
Project Coordinator will be responsible for appraising those staff and consultants thatreport to him/her during a specific assignment.

9.5

Objectives
A key element of the Performance Review and Evaluation system is setting ofobjectives. Both the employee and the employee’s supervisor will do this at the
beginning of each appraisal period.
The objectives/targets will be derived from the employee’s job description, theemployee’s and the organisation’s workplan and will be discussed and agreed between
the supervisor and the staff member.
An objective can be described as a short specific statement which expresses an action
and describes what an individual should achieve and when. Objectives should be statedclearly. They must be achievable, realistic and measurable so that performance can bereviewed against them.
Objectives will be set at a review meeting and will be documented on the PRE Form.
This will be based on the department’s work plan and budget, which is linked to
ATPS’s overall work plan and budget.
When setting objectives, employees and supervisors should use the following steps:

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Clarity ⇒objectives should be simple and easily understandable by theemployee

Relevant ⇒objectives should be drawn from overall ATPS objectives,
departmental and/or project or project objectives and personal
objectives

Quantifiable⇒

objectives should be quantifiable so that the employee’s
performance can be reviewed against measures such as quantity,
quality, cost, completion date, budget, workplan, etc.

Realistic ⇒every employee should feel that his/her objectives are realistic.
Objectives should be designed to enhance the employee’s
strengths and enable them to overcome their weaknesses.
Measures set against objectives should also be realistic.

Responsibility⇒

objectives should be set within the limits of the employee’s
responsibility, or the employee should be empowered to achievethem.

Involvement⇒

every employee should propose his/her own objectives. Theseshould then be discussed with the supervisor to ensure they are inline with the unit or divisional objectives and the overall
objectives of ATPS. An employee’s suggestions should be
supported where appropriate.

It is important that both the supervisor and the employee discuss and agree on theobjectives and targets set for each appraisal period.
9.6

Scoring performance
The PRE system uses the following scoring for rating performance:
5

Outstanding: Exceptional performance against indicators.
The appraisee clearly exceeds the job requirements andfrequently performs tasks beyond his/her position.

4

Good: Appraisee consistently meets job requirements andmakes above average contributions based on grade andexperience.

3

Satisfactory: Appraisee meets all the requirements of the job as expected forthe employee’s level of experience and qualification

2

Below Average: Appraisee falls short of meeting some indicatorsand requires improvement via remedial action/training.

1

Unacceptable: Appraisee falls short of many of the indicatorsand therefore does not meet job requirements.

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9.7

Appraisal process
The appraisal process consists of two stages and is designed to be a collaborative effort
between colleagues, i.e. appraiser and appraisee.
Step I: Self-appraisal
In preparation for an appraisal, every employee should review his/her own performanceagainst objectives and performance indicators/competencies agreed for the appraisal
exercise. For annual appraisals the employee should identify objectives for the next
year and his/her training and development needs.
By conducting self appraisal, the employee:••••takes the initial responsibility for representing his/her achievements to his/hersupervisor;
is required to consider his/her performance, training and development needs andcareer path;
has a stake in his/her evaluation and progress within the organisation; andis provided with a communication channel to his/her supervisor.

Step 2: Appraisal interview
The next step is the appraisal interview, during which the supervisor will review anddiscuss the appraisal and make his/her evaluation. Each employee will have an
opportunity to discuss his/her performance with his/her immediate supervisor in termsof his/her job description and all specific objectives and tasks set for the assignment,
quarter or year. In addition, the appraisal process provides both the supervisor and theemployee with an opportunity to reflect on changes in the job vis-à-vis the job
description, e.g. changes in scope, responsibility, etc.
The appraisal interview will give the employee a chance to find out how his/her
performance is being assessed and to receive guidance on how to improve it. It is also
an opportunity to discuss career aspirations within ATPS
The appraisal interview is a two-way process and both parties should have fullopportunity to air their views as part of a constructive dialogue. The appraisal interview
should be a positive validation of employee’s contribution to the organisation, andshould not be judgmental or victimising in any way.
At the interview, employees must be shown what has been written about them,including recommendations on training or future career development.
These
recommendations will be discussed and the record of the interview signed by theappraiser and the appraisee.
A copy of the completed evaluation form, after the Executive Director has commented
on it, will be given to the employee for his/her record.

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10

STAFF DEVELOPMENT

10.1 Introduction
Staff training and development is one of the most significant non-financial features ofan employment package used to attract and retain professional staff. The Finance andAdministration Manager will be responsible for co-ordinating ATPS’s annual
training programme.
Since all professional recruits are expected to hold postgraduate qualifications,emphasis will be placed on in-service training at ATPS. Most training and development
should be a natural part of work of ATPS. Partnering of junior staff with senior staff ontechnical activities and assignments to attend and deliver papers at professional
conferences are examples of cost effective approaches to staff training anddevelopment.
There will be times when formal courses are appropriate and when ATPS does invest in
a formal training programme or professional conference, the staff member who attends
will be asked to give a presentation to staff on the experience. This mechanism
provides recognition to the individual, may alert senior staff to a potentially useful
resource, and solidifies the content of the learning experience. This presentation will
be co-ordinated by the Finance and Administration Manager.
ATPS may also be required to provide training for non-organisation employees. This is
likely to include periods of internship, on-the-job training and formal courses whereappropriate.
10.2 Scope of Development
The scope of development will include:•

functional and specialised knowledge and skills;•

management skills; and•organisational capacity building.

10.3 Phases of development
The phases of development will include:(i)

Induction

ATPS has a structured induction programme whose aim is to provide all employeeswith an initial orientation of the organisation, its aims and objectives, organisation
structure, activities and services, geographical scope of operation and his/her job.
The immediate supervisor and the Finance and Administration Manager will arrange
for the new employee’s orientation. The induction programme is described in Section
7.13.
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Continuous on-the-job development programmes

Development programmes will constitute formal training, work rotation, on-the-job
training, etc. The aim will be to:•develop and maintain an optimum level of performance and allow for continuing
growth and adaptability in the job; and•assist employees to gain the managerial, functional and technical skills, necessary
for their growth and progression.

10.4 Development Programme
Development needs will be identified during appraisal reviews and documented
through the Performance Review and Evaluation system.
The Finance and Administration Manager will co-ordinate the annual development
programme with department heads.
10.5 Effectiveness of Development Programmes
The effectiveness of the development programmes will be dependent upon clearly
identifiable needs which are primarily derived from work targets, forward performance
objectives, changes in the external environment, changes in the requirements ofresearchers and donors and the sector as a whole.
10.6 Evaluation of Development Programmes
Evaluation of development programmes will be responsibility of the employee, his/her
immediate supervisor and the Finance and Administration Manager. The value ofthe development programme is ultimately assessed by measuring the effectiveness ofapplied learning in the work situation.
It will be the responsibility of the Finance and Administration Manager to develop
evaluation procedures for each programme.
10.7 Records
ATPS will maintain an up-to-date record of employees’ skills and training courses
attended. After each completed training programme, the employee will be required to
update the Personnel Record Form. The Finance and Administration Manager will
be responsible for maintaining a profile of each employee’s skills and qualifications.
The record will be circulated annually to department heads and all employees to enable
them to prepare for the Annual Performance Review and Evaluation (APRE).

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11

DISCIPLINARY PROCEDURES

11.1 Policy
An employee who commits an offence is subject to disciplinary action depending on
the nature of the offence.
Disciplinary action will be taken in cases where good reasons and clear evidence exists.
It is the policy of ATPS that disciplinary action should be:(i)appropriate to the nature of the offence that has been committed;(ii)

consistent with set precedence, within the provisions of the Personnel Policies;(ii)

fair, since in all disciplinary cases employees will be allowed to make theirrepresentations and will have the right to appeal, after the disciplinary decision
has been conveyed to them.

11.2 Application
The disciplinary procedures apply to employees of ATPS, whether or not they areseconded to work within another organisation.
It is the responsibility of the head of department to ensure all employees (contract andtemporary) conduct themselves in accordance with ATPS procedures and expectations.
Where an employee fails to adhere to ATPS procedures or expectations, the head of
department or immediate supervisor will take necessary disciplinary action to rectify
the situation, record measures/decisions taken and send a copy to the Finance andAdministration Manager.
Where a supervisor or heads of department is unsure of procedure, the Finance andAdministration Manager will provide guidance on the appropriate measures.
11.3 Nature of offences
There are three types of offences: minor, major and gross misconduct. In some cases,
the boundary between these categories is not clearly defined and the Executive
Director may be asked for guidance. Any precedents established in this manner will
be used to update the categorisation of offences. Each offence will be dealt with as
specified in these procedures.
(i)

Minor offences

Punishment for minor offences ranges from caution to warning (oral or written).
Examples of minor offences include, but are not limited to, the following:• continued lateness to work;• absence from duty for not more than 5 days without permission;• idling and loitering during working hours;
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•
•
•
•

avoiding work on account of feigned sickness;misuse of telephone;pecuniary embarrassment; andcausing unnecessary commotion in ATPS’s premises, client organisations or in
public places.

(ii)

Major offences

Punishment for major offences ranges from severe reprimand to dismissal/terminationof appointment or even prosecution in a court of law.
Examples of major offences include, but are not limited to the following:• absence from work for a period of more than 5 days but not more than 10 days
without permission or acceptable excuse;• entering into unpaid employment/occupations which in the view of the management
may not be in ATPS’s interest;• failure to obtain approval in writing before providing professional assistance in a
private capacity;• breach of standing regulations;• repetition of minor offences;• sexual harassment;• contravention of traffic laws while using organisation vehicles;• misuse of organisation vehicles e.g.:carrying unauthorised personnel;

driving without valid driving licence;using organisation vehicle without authorisation; and

permitting non-ATPS personnel to drive the organisation’s vehicles;(iii)

Gross misconduct offences

Punishment for gross misconduct offences may result in summary dismissal or evenprosecution in a court of law.
Examples of gross misconduct offences include, but are not limited to:• absence from work for a period of more than 10 days without permission;• repetition of major offences;• wilful neglect to perform official duties or to carelessly and improperly perform any
work which is in one’s line of duty;• insubordination;• wilful misuse/damage of the organisation’s property;

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from suppliers. If a member of staff is given a gift by a supplier, irrespective ofwhether the gift is as a result of orders awarded, such gifts whether in cash or otherforms must be declared to the organisation. It will be considered as a bribe or a“kickback” if an employee fails to declare such presents;• misappropriation and theft of ATPS property. Theft in this regard also includes
colluding with other staff or with suppliers of goods and services to secureindividual monetary or material rewards, payment “kickbacks”, gifts connected toany financial or material transaction between ATPS and suppliers.
• fraud and obtaining money by false pretence;• writing or publishing any official information which has not been cleared for
publication by the Executive Director ;• misuse of information of confidential nature;• any offence by an employee that would be deemed to jeopardise ATPS and the
public;• use of abusive language or behaviour deemed inappropriate to both ATPS and the
public;• being under the influence of alcohol or harmful drugs during hours of duty to theextent of not being capable of discharging one’s duties effectively and efficiently;
and• criminal offences in cases where a member of staff has been convicted of a serious
crime.
11.4 Counselling
The first stage of the disciplinary process is counselling. Where circumstances indicatethat there is no need to resort to the formal procedures, the supervisor should talk thematter over with the employee.
If it becomes obvious the matter is more serious, discussions should be adjourned andthe formal disciplinary procedure invoked.
11.5

Formal disciplinary process

11.5.1 Oral warning
The immediate supervisor will issue an oral warning in respect of the first instance ofminor offences or of any failure to reach minimum standards of conduct or
performance on the job, or for breach of ATPS’s rules and less serious offences. The
supervisor shall note any oral warnings in his/her diary for future reference.

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11.5.2 Show Cause Letter
The formal disciplinary procedure starts with a Show Cause Letter. The employee
will be informed by the appropriate supervisor, in writing, of the nature of thecomplaint/allegation.
11.5.3 Procedure
In all instances of disciplinary cases i.e. minor, major, gross misconduct, thefollowing procedure will be used:(i)

The employee will be issued a Show Cause Letter citing the nature of theoffence and requiring him/her to show cause why disciplinary action should
not be organisationd.

(ii)
The employee shall within 2 working days of receipt of the Show Cause
Letter:

state his/her defence in writing, orstate in writing that he/she reserves his defence for personal hearing.

Depending on the nature of offence, the period of 2 working days can beextended to 5 working days to enable the employee complete his/her
explanation.
An interview will be arranged no later than 3 working days after receipt of thewritten statement, and the date of interview will be set by mutual agreement.
(iii) An employee who opts to be heard in person shall be heard by an ad hoc
disciplinarycommittee as follows:
(a)
(b)
(c)

For the Executive Director, the case will be heard by the Board of
Directors;
For heads of departments, the case will be heard by the Executive
Director and an ad hoc committee of the Board; andFor all other staff, the case will be heard by the Finance andAdministration Manager, the head of department concerned andanother head of department or his/her nominated representative.

During the hearing of the case, the employee:• will be permitted to call any employee of his choice as a witness to thecase; and/or• may be accompanied by a fellow worker who was present at the time when
the offence was allegedly committed.

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However, the employee will meet any expenses incurred by the witness, suchas travel if the witness is located in another station.
(iv)

The disciplinary committee will examine the recordings of the hearing and thedecision communicated to the employee within 5 days.

(v)

If the explanation is acceptable, the employee will be so advised.

11.6 Punishment
In the event that the explanation is not acceptable, punishment will be meted out to theemployee. Punishment will include, but not be limited to:










written warning;
withholding of bonus payments;
recovery of days of absence from salary
resignation;
surcharge;
interdiction;suspension;summary dismissal; and/or
prosecution.

11.6.1 Written warning
If the explanation is not acceptable to the supervisor or departmental manager judging
the case, this shall be so stated in a warning letter to the employee, copied to the
Finance and Administration Manager. The employee is required to signify inwriting that he/she has read and understood contents of the letter.
A warning letter shall be in force for 3 months.
First written warning shall be applied in case of repetition of an offence for which anoral warning has been given.
Second written warning shall be given to an employee who has committed a minor
offence repeatedly over a period of time.
Third written and final warning will be issued when the employee commits the sameor another offence of similar severity, during the period when a second warning is stillin force.
If the offence is repeated or failure is not corrected by the employee, disciplinary
action will take the form of a final warning initiated by the supervisor through the
Finance and Administration Manager and issued by the Executive Director.
Before a final warning is given to an employee, the reasons contemplated will bemade known to the employee in writing, and she/he will be provided with opportunity
to answer within a reasonable period of time.

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If the offence is repeated or the failure not corrected, the employee may be summarily
dismissed.
The warning will lose effectiveness after one year following satisfactory improvementin performance or behaviour but will not be removed from the employee’s file until
the employee leaves the organisation.
There may be exceptions to the formal disciplinary procedures, in cases where
misconduct is serious enough to justify only one written warning, which will act as
the first and final warning. Examples (which are not exhaustive) of offences in which
this exception may apply include insubordination, sexual harassment, verbal abuse,refusal to obey reasonable instructions and unauthorised absence.
11.6.2 Surcharge procedure
This formal disciplinary punishment will be applied to minor disciplinary offences.
The disciplinary committee may resolve to surcharge an employee, on account of
misappropriation of organisation monies or property, or misuse of the same.
The committee may resolve to surcharge the employee in full or an amountproportionate to the offence.
In all surcharge cases, a Show Cause Letter must be issued and the employee allowed
to make his/her defence.
In implementing the surcharge, the following provisions shall prevail:(i)surcharge will be implemented in monthly instalments that shall not
exceed 25% of the employee’s monthly basic salary;(ii)

at termination or completion of contract, any outstanding surcharges will
be settled from the employee’s terminal dues; and/or(iii)

the employee will sign an agreement to any surcharges that will beoutstanding on termination or completion of the contract. The agreement
will remain even after the separation of the employee from theorganisation, until the full surcharge is paid.

11.6.3 Interdiction
This formal disciplinary punishment will be applied to major disciplinary offences.
An employee who is on interdiction will only be paid 50% of his/her basic monthly
salary less any statutory deductions. He/she will, however, cease to draw otherbenefits and allowances from ATPS
While on interdiction, the employee will be required to report to his/her supervisorand sign a register once a week, unless directed otherwise by the Executive Director.

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In the event that the employee fails to sign in during any given week, his/herinterdiction will automatically be changed to suspension.
Interdictions shall not exceed 3 months, except in cases, which involve police
investigations.
11.6.4 Suspension
This formal disciplinary punishment will be applied to gross misconduct offences.
On suspension, an employee will earn no salary; neither will he or she draw any
benefits or allowances from ATPS
The employee will be required to leave his/her home address and telephone number
with the Finance and Administration Manager and immediate supervisor to enable
them to communicate when need be.
Suspension cases shall be resolved in less than 3 months, except where police
investigations are involved.
11.6.5 Summary dismissal
In the event of failure to heed a final written warning, an employee will be advisedthat he/she may face summary dismissal.
A note detailing the facts of the case and giving reasons for recommended dismissal
will be sent to the individual and a copy placed in his/her personnel file. The
employee will be provided with an opportunity to answer within 3 working days. At
the discretion of the Executive Director, an employee may be suspended with pay for
two days before he/she is due to give a reply on the third day.
An employee who is declared bankrupt or in any way commits an act which is likely
to cause embarrassment to ATPS will be liable to summary dismissal.
In the event of gross misconduct (e.g. gross insubordination, misappropriation,fighting, misuse of information of a confidential nature, unauthorised absence, public
outrageous behaviour, unauthorised drinking on the premises, conduct which brings
the organisation or the individual into disrepute etc.), an employee will be liable tosuspension (with or without pay) pending outcome of an investigation by the
Executive Director and/or summary dismissal.
11.7 Criminal proceedings
In the event that criminal proceedings are organisationd against an employee foroffences, which do not directly relate to ATPS, the organisation may interdict orsuspend the employee. However, no dismissal action of such an employee, upongrounds involved in the criminal charge, will be taken by ATPS, until the conclusionof such criminal proceedings.

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11.8 Appeal procedures
All employees charged under the above procedure may appeal to the Executive
Director. This should be done within 14 days of the date of letter conveying
disciplinary decision and be copied to the Finance and Administration Manager.
The Executive Director will review the case and make a ruling. However, for heads ofdepartments, management staff, the Executive Director will refer the case to Board of
Directors.
An employee may, on receipt of communication regarding the outcome of his or hercase, appeal directly to the Board, if not satisfied with the decision.
11.9 Disciplinary records
All records of disciplinary action will be filed in the employee’s personnel file. The
disciplinary records lapse after the period stated on the Warning Form if there has been
no recurrence of the offence. Lapsed disciplinary records will not be removed from
employee’s personnel file.
Once a disciplinary measure has lost effectiveness, records may only be used to identify
historical patterns in misconduct.

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12

GRIEVANCE PROCEDURES
Every employee is entitled to have his/her grievances heard, using the procedure below.
The Finance and Administration Manager will act as a mediator in the grievanceprocess.
(i)

An employee will first report the grievance to his/her immediate supervisor who
will attempt to resolve it, unless the immediate supervisor is involved in thegrievance. In such cases, the grievance will go to the next highest supervisor,and so on, up to a supervisor who is not involved in the grievance.

(ii)

The grievance should be reported in writing.

(iii)

The supervisor will address the issue in writing within three working days, withcopies to the Finance and Administration Manager (for filing in theemployee’s personal file) and the Executive Director.

(iv)

If the matter is not resolved to the satisfaction of the employee, the employee
may appeal in writing to the Executive Director to intervene and to make adecision in writing.

(v)

If the matter is not resolved to the satisfaction of the employee or the grievanceinvolves the Executive Director, the employee may present the matter to the
Chairman of the Board in writing. The decision of the Board is final.

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13

TERMINATION OF EMPLOYMENT

13.1 Resignation
Employees in professional grades who intend to resign must give 2 months’ written
notice or make payments in lieu of notice, equivalent to three months’ pay. All other
employees who intend to resign must give one month’s written notice or makepayments in lieu of equivalent notice, to one month’s pay. The employee will be
required to make payments in lieu based on gross salary for the portion of the notice
period not served.
The period of notice may be waived by mutual agreement between the Executive
Director and the employee.
Leave cannot be taken as part of the notice period, except with the prior agreement of
the Executive Director.
Outstanding annual leave entitlement earned at the time of separation will be paid
together with other terminal benefits.
13.2 Termination of employment by ATPS
Employees will be notified of termination of employment by ATPS in writing. The
Executive Director will sign notice of termination.
Where full notice is not given, payment of gross salary will be made in lieu of theperiod of notice which cannot be serviced, except in cases of summary dismissal (seeSection 13.2.1) where no payment will be made in lieu of notice.
13.2.1 Summary dismissal
Employees whose termination is through summary dismissal will not be entitled to
payment of any benefits. Only the days worked by the dismissed employee will be
paid. No payment in lieu of notice will be paid to the dismissed employee.
13.2.2 Retirement
The normal retirement age is at 60 years and an employee’s services shall terminate
on attainment of this age or earlier where an independent medical opinion confirmsthat the employee is I poor health or otherwise unfit to work.
An employee’s services may be terminated under early retirement rule on medical
grounds, inefficiency and poor performance.
In all retirement cases, the employee shall be given 3 months notice, or be paid 3
months basic salary in lieu of notice, together with any other final dues. The
company shall also meet the relocation costs of his household goods and his family tohis home, as per the rate in force at the time.
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AFRICAN TECHNOLOGY POLICY STUDIES
Human Resource Policies and Procedures Manual

Where it has been determined that an employees service is still needed beyond thisage, the company shall draw up an agreement contract with the employee. Suchcontract, will qualify for a gratuity at the agreed rate on expiry of his contract
13.2.3 Redundancy
ATPS assumes responsibility for ensuring that its staff complement is at an optimum
level at all times. Redundancies can, therefore, arise due to a decline in activity,change in programme direction, organisational change, etc.
Every attempt will be made to eliminate or minimise the need for redundancies, andwhen faced with a potential redundancy situation, the Executive Director and the
Finance and Administration Manager (and department head, where appropriate)
will review and take all possible measures to retain employees.
Should measures fail, voluntary staff redundancy will be considered, subject toretaining an essential balance of skills and experience.
If voluntary redundancy does not wholly resolve the problem, ATPS will be obliged
to declare redundancies.
ATPS will give as much advance warning as possible of impending redundancies.
Every effort will be made to find alternative employment for potentially redundant
employees.
A potentially redundant employee will be given the opportunity for retraining tofacilitate transfer where appropriate.
Rules for serving notice of termination in cases of redundancy are the same as thenotice period for resignation or termination.
Employees served with a notice of redundancy may, at their own request, leave during
the notice period. The date of termination will be the date on which they actuallyleave. Nevertheless, redundancy payment will be based on employee length ofservice and salary, which would have applied at the end of the notice period served.
Redundancy payments will be at the rate of one month’s pay for each completed yearof continuous service.
Payment in respect of any outstanding leave entitlement at the date of termination will
be made in addition to any other entitlements, and any appropriate deductions will bemade in respect of any leave taken, but not earned at date of termination.
Redundancy payments will be made only to employees who leave after notice of
redundancy has been given.

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AFRICAN TECHNOLOGY POLICY STUDIES
Human Resource Policies and Procedures Manual

13.3 Administration
The Finance and Administration Manager will complete a Termination Report
Form. This form has been developed to ensure all termination administration
procedures are conducted.
All employees leaving the employment of ATPS, for whatever reason, must complete a
Certificate of Clearance which certifies that the employee has:•••completed all reports and other documents, and other tasks, which are necessary forthe smooth transfer of responsibilities;
cleared outstanding financial obligations to ATPS; andreturned all ATPS documents, equipment and any other property of ATPS to theappropriate persons.

It is the employee’s responsibility to ensure the necessary signatures are obtained on
the Certificate of Clearance and the completed document returned to the Finance andAdministration Manager. Final payment to the employee is dependent uponcompletion of the Certificate of Clearance.
13.4 Termination Interview
Before leaving, the employee will have a termination interview with the head of
department or the Finance and Administration Manager.
The departing employee will be required to complete a termination interview form
before the exit interview takes place.
In the event of summary dismissal, there will be no exit interview.

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APPENDIX I: HR REPORTING RESPONSIBILITIES AND PAPER TRAILSAPPENDIX I: HR REPORTING RESPONSIBILITIES AND PAPER TRAILSEXECUTIVE DIRECTOR•

Responsibilities
Documents
Approve the appointment of staff, consultants and Interview notes, Letter of Offer
resource persons•

Appraisal of the Research Co-ordinator and the Appraisal Forms
Finance and Administration Manager.

•

Approve serious disciplinary action against an Warning letters, Dismissal letters
employee
Listen to disciplinary appeals•

FINANCE AND ADMINISTRATION MANAGER
Responsibilities
Documents• Co-ordination of all recruitment exercises and of the Application blanks
Letters of application
appointment of staff
Interview notes, Regret• Orientation of new staff
Letter of Offer• Ensure adherence to regulations on pay, tax and other Tax Return Forms
legislative requirements regarding employment

Letters,

Notification of Engagement Form
Employee records•

Maintenance of personnel records•

Ensure that department heads conduct project Appraisal forms
appraisals•

Implement and provide guidance on disciplinary Warning lettersprocedures•Mediator in the case of employee grievances

Written grievance•

Co-ordination of termination of employee contracts

Termination report form

APPENDIX II: PERSONAL RECORD FORM

African Technology Policy Studies Network
Private and Confidential

PERSONAL RECORD FORM

NAME____________________________________________

Passport
Photo

Instructions
1. Fill in all sections of the form legibly in ink or type.
2. Ensure photocopies of certificates are enclosed as indicated in the form, and a photo affixed.
3. This document is important and it is in your interest to complete it accurately.

Statement
I declare that the statements contained in this Personal Record Form are, to the best of my knowledge,true and complete in every respect, and that no material facts have been withheld, misrepresented or
suppressed.

Signed____________________________________

Date____________________________________

(i)Personal
SurnameOther names (in full)Sex Male
FemaleTelephone numbers
Home
Business

Postal address

Temporary address (if applicable)

Kenya Identity Card Number
Passport Number and Country

From
Nationality

To
Date of Birth

Marital Status

Children

Department

Age
Sex

Relationship
Age

Age

Do you need a work permit for this job?

Country and place of birth

Do you have a valid driving licence?

Have you ever been convicted of a criminal offence? If so, please state the type.

(ii)
Next of Kin
Name

Age

Relationship(iii) Health
Date and result of last medical examination

HeightWeightHave you any physical disabilities
iv
Availability
Are there any industries or locations in which you are not able or willing to work? Please stateSpecify what languages you speak, read or write (tick)
Speaking
L Language
A
N

EnglishG

Kiswahili

U

Other:A
G
E

Writing/Reading

(v)Education (Please attach copies of education and professional certificates)
Institution
Secondary School

E
D

University

U
C
A
T
I
O
N

Other

Qualifications/Certificates

Year

(vi)

Employment History

Please list all previous employers. Include promotions or periods of unemployment. Account for all periods.
organisation

Position
Held

From
To
Month/ Month/
Year
Year

Key Responsibilities

SalaryReasonsforLeaving(vii)The information required below is important. Please take your time to complete it to the best of your ability

Please state how you would like your career to develop over the next five years.
C
A
R
E
E
R
O
B
J
E
C
T
I
V
E
S

A What do you consider to be the main achievements of your career to date?
C
H
I
E
V
E
M
E
N
T
S

I
N
T
E
R
E
S
T
S

Business interests other than main employment (specify general nature and your involvement)

List three references, including one form your previous employer.
NameR

Position

Company
addressnameand Telephone number

1.

E
F
E

2.

R
E
N
C

3.

E
S

Please use this space to give any additional information about yourself and your career
G
E
N
E
R
A
L

APPENDIX III-

APPRAISAL FORMS

Appendix II (a)

AFRICAN TECHNOLOGY POLICY STUDIESPERFORMANCE APPRAISAL AND CAREER ENHANCEMENT (PACE)

Name of appraisee: ________________________________________________
Signature of appraisee: _____________________________________________
Date joined ATPS: _________________________________________________
Date appointed to current position: ___________________________________
Period under review: _______________________________________________
Date of review: ____________________________________________________Name of appraisor: ________________________________________________

Notes on completing this form:i)

The appraisal form should be used as a focal point during the discussions between theappraisee and appraisor and the contents of the form should be mutually agreed byboth parties.

ii)

The performance assessment ratings imply the following:1-

Outstanding - (Performance is above expectations based on
grade and experience)

2-

Good - (Performance fully as expected based on grade andexperience)3-

Average - (Performance meets minimum requirements)

4-

Poor - (Performance does not meet minimum expectations.

N/A-

Not applicablePERFORMANCE ASSESSMENTA.

B.

TECHNICAL AND PROFESSIONAL
Technical knowledge

1

2

3

4

N/A

Judgement

1

2

3

4

N/A

Creativity

1

2

3

4

N/A

Decisiveness

1

2

3

4

N/A

Written Communication

1

2

3

4

N/A

Oral Communication

1

2

3

4

N/A

ORGANISATION AND MANAGEMENT RATING

Planning anddeadlines)C.

RATING

organising(meeting

1

2

3

4

N/A

Supervision of staff/team motivation

1

2

3

4

N/A

Development of other staff

1

2

3

4

N/A

Administration skills

1

2

3

4

N/A

PERSONAL SKILLSRATING

Drive and enthusiasm

1

2

3

4

N/A

Self confidence

1

2

3

4

N/A

Initiatives

1

2

3

4

N/A

Teamwork

1

2

3

4

N/A

Tolerance to pressure

1

2

3

4

N/A

D.

OVERALL PERFORMANCE RATING
Please indicate your overall rating for the staff member (Tick the appropriate number)
1. ( )
2. ( )
3. ( )
4. ( )

E.
Please provide overall strengths or weaknesses demonstrated by the staff member
during the year (or period under review)i)

Positive comments on performance (please give specific example of cases
where the staff member has performed well)ii)

Examples where performance could have been better (please give specificexamples)iii)

Specific recommendation on how to improve future performanceiv)

Recommendations on specific areas for skills improvement and career
enhancement.

APPENDIX III (b)APPRAISAL FORM (SUPPORT STAFF)
This form is to be completed for all the support staff

Person Evaluated: ________________________________________________

Signature: _______________________________________________________

Date joined ATPS: _________________________________________________

Date appointed to current position: ___________________________________

Date of Review: ___________________________________________________

Evaluation by: ____________________________________________________

Name: ___________________________________________________________
Signature: ________________________________________________________A.

Assessment of performance

Tasks Performed
Driving
Delivery of mailTypingDemonstration

B.

Comments on Performance

Examples where performance could have been better (also give specificexamples)____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________C.

Recommendation on how to improve future performance:___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________D.

Recommendations on specific areas for skills improvement or further training.
___________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

E.

Overall performance rating. (Please circle your overall evaluation of
performance).
1-

Outstanding - (above expectations based on grade andexperience)

2-

Good - (Performance fully as expected based on gradeand experience)3-

Average - (Performance meets minimum expectations)

4-

Poor - (Performance does not meet minimum
expectations).

N/A-

Not applicableTABLE OF CONTENTS

1STATEMENT OF INTENT............................................................................................1

2

INTRODUCTION............................................................................................................2
2.1 BACKGROUND AND HISTORY OF ATPS ...........................................................................2
2.2 ATPS MISSION................................................................................................................2
2.3 FUNCTIONS OF THE ATPS ...............................................................................................2

3

DEFINITION OF TERMS..............................................................................................3
3.1 THE ATPS.......................................................................................................................3
3.2 THE BOARD .....................................................................................................................3
3.3 THE EXECUTIVE DIRECTOR .............................................................................................3
3.4 CONTRACT OF EMPLOYMENT...........................................................................................3
3.5 SPOUSE............................................................................................................................3
3.6 DEPENDANT CHILDREN ...................................................................................................3
3.7 IMMEDIATE FAMILY.........................................................................................................3
3.8 FAMILY DOMICILE ...........................................................................................................3
3.9 DUTY STATION ................................................................................................................4
3.10 COUNTRY OF PROJECT ON TRAVEL DUTY .........................................................................4
3.11 SALARY ...........................................................................................................................4
3.12 REIMBURSABLE EXPENSES ..............................................................................................4
3.13 PER DIEM .........................................................................................................................4
3.14 ONE CALENDAR YEAR/MONTH.........................................................................................4
3.15 ONE CONTRACTUAL YEAR ...............................................................................................4
3.16 NATIONAL STAFF.............................................................................................................4
3.17 EXPATRIATE STAFF..........................................................................................................5
3.18 EMPLOYEE ......................................................................................................................5
3.19 BUDGET HOLDER .............................................................................................................5
3.20 CONTRACT EMPLOYEES ...................................................................................................5
3.21 TEMPORARY EMPLOYEES ................................................................................................5
3.22 CONSULTANTS ................................................................................................................5
3.23 DISCIPLINARY COMMITTEE..............................................................................................5
3.24 PERSONAL RECORDS........................................................................................................64

APPLICATION................................................................................................................7
4.1 CONTRACT EMPLOYEES ...................................................................................................7
4.2 TEMPORARY STAFF..........................................................................................................7
4.3 CONSULTANTS ................................................................................................................7

5

DELEGATION.................................................................................................................9
5.1
5.2
5.3
5.4

THE BOARD .....................................................................................................................9
THE EXECUTIVE DIRECTOR .............................................................................................9
BUDGET HOLDERS .........................................................................................................11
FINANCE AND ADMINISTRATION MANAGER..................................................................12

6

GENERAL WORKING AND DEPLOYMENT CONDITIONS ..............................14
6.1 WORKING HOURS ..........................................................................................................14
6.2 WORKING PATTERNS .....................................................................................................14
6.3 ACTIVITY REPORT .........................................................................................................14
6.4 DEPLOYMENT POLICY....................................................................................................14
6.5 CONDUCT ......................................................................................................................15
6.6 EMPLOYEE WELFARE .....................................................................................................17
6.7 INSURANCE ...................................................................................................................17
6.8 LEAVE ...........................................................................................................................19
6.9 EDUCATION ALLOWANCE .............................................................................................23
6.10 LOANS, ADVANCES, GUARANTEES ................................................................................24
6.11 GRATUITY PAYMENTS ...................................................................................................24
6.12 RELOCATION AND FREIGHT EXPENSES ..........................................................................25

7

RECRUITMENT, PROMOTION AND PROGRESSION ........................................27
7.1 POLICY ..........................................................................................................................27
7.2 DETERMINING A VACANCY ............................................................................................27
7.3 APPROVAL FOR RECRUITMENT ......................................................................................27
7.4 RECRUITMENT PROCESS ................................................................................................27
7.5 INTERVIEWING OF CANDIDATES ....................................................................................29
7.6 TRAVEL EXPENSES FOR CANDIDATES ............................................................................30
7.7 LETTER OF OFFER .........................................................................................................30
7.8 REFERENCES .................................................................................................................30
7.9 MEDICAL EXAMINATIONS..............................................................................................31
7.10 DATE OF APPOINTMENT .................................................................................................31
7.11 PROBATION PERIOD.......................................................................................................31
7.12 PERSONAL RECORD .......................................................................................................31
7.13 INDUCTION ....................................................................................................................32

8

REMUNERATION ........................................................................................................35
8.1 POLICY ..........................................................................................................................35
8.2 SALARIES ......................................................................................................................35
8.3 DEDUCTIONS .................................................................................................................35
8.4 SALARY STRUCTURE .....................................................................................................35
8.5 SALARY REVIEW ............................................................................................................36
8.6 STANDARD RATES OF PAY .............................................................................................36
8.7 OVERTIME .....................................................................................................................36
8.8 TIME OFF IN LIEU ...........................................................................................................36
8.9 MERIT BASED PAYMENTS/AWARDS ...............................................................................36
8.10 REIMBURSABLE EXPENSES ............................................................................................37
8.11 PER DIEM .......................................................................................................................37

9

PERFORMANCE REVIEW AND EVALUATION...................................................38
9.1
9.2
9.3
9.4
9.5
9.6
9.7

INTRODUCTION ..............................................................................................................38
PURPOSE OF THE PRE....................................................................................................38
PRE PROCESS ................................................................................................................39
ASSIGNING APPRAISERS .................................................................................................41
OBJECTIVES...................................................................................................................41
SCORING PERFORMANCE ...............................................................................................42
APPRAISAL PROCESS .....................................................................................................43

10 STAFF DEVELOPMENT.............................................................................................44
10.1 INTRODUCTION ..............................................................................................................44
10.2 SCOPE OF DEVELOPMENT ..............................................................................................44
10.3 PHASES OF DEVELOPMENT.............................................................................................44
10.4 DEVELOPMENT PROGRAMME ........................................................................................45
10.5 EFFECTIVENESS OF DEVELOPMENT PROGRAMMES ........................................................45
10.6 EVALUATION OF DEVELOPMENT PROGRAMMES ............................................................45
10.7 RECORDS .......................................................................................................................45
11 DISCIPLINARY PROCEDURES ................................................................................46
11.1 POLICY ..........................................................................................................................46
11.2 APPLICATION ................................................................................................................46
11.3 NATURE OF OFFENCES ...................................................................................................46
11.4 COUNSELLING ...............................................................................................................48
11.5 FORMAL DISCIPLINARY PROCESS ...................................................................................48
11.6 PUNISHMENT .................................................................................................................50
11.7 CRIMINAL PROCEEDINGS ...............................................................................................52
11.8 APPEAL PROCEDURES ....................................................................................................53
11.9 DISCIPLINARY RECORDS ................................................................................................53
12 GRIEVANCE PROCEDURES.....................................................................................54
13 TERMINATION OF EMPLOYMENT .......................................................................55
13.1 RESIGNATION ................................................................................................................55
13.2 TERMINATION OF EMPLOYMENT BY ATPS ....................................................................55
13.3 ADMINISTRATION ..........................................................................................................57
13.4 TERMINATION INTERVIEW .............................................................................................57

APPENDICES:APPENDIX I: HR REPORTING RESPONSIBILITIES AND PAPER TRAILSAPPENDIX II: PERSONAL RECORD FORM
APPENDIX III - APPRAISAL FORMS