Performance Management and
Development System
2013
PHASE 2 Changes
Overview of Revised System

November 2012

Department of Public Expenditure and Reform

CONTENTS

1. Introduction 2

2. Overview of the Performance Management and Development System 3

3. Stage 1: Goal Setting, Competencies, the Learning and Development Plan and Career

Development 5

4. Ongoing Management of Performance 8

5. Stage 2: Interim Review 9

6. Stage 3: Annual Review 10

7. Fairness and Consistency:Calibration12

8. Fairness and Consistency: Review of Performance Evaluations 13

9. Fairness and Consistency: The Role of the HR Unit 14

10. Linkage with other HR policies 15

11. Appendix A: Guide to using Competencies in support of PMDS 16

12. Appendix B: Competency Frameworks 20

13. Appendix C: Revised PMDS Form 30

1. Introduction

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The Evaluation of PMDS Survey 2010, which involved a significant input from staff and managers across the Civil Service, highlighted that PMDS was not, in many cases, being used as an effective tool in the management and improvement of performance. Following review and evaluation by this Department, one of the findings was that PMDS needed to be streamlined and simplified. The first step in this process was the introduction of a new PMDS form for the 2012 PMDS cycle. The operation of this form has been reviewed and it has been revised for the 2013 cycle.

However, the feedback also indicated there were issues around fairness and consistency of PMDS ratings. This document, which has been the subject of discussion and agreement by the representatives of management and the staff unions at the General Council Subcommittee on PMDS,sets out further improvements to PMDS which are designed to strengthen fairness and consistency and to help make PMDS a meaningful and useful support to all staff and managers across the whole of the Civil Service, including:

  • Introduction of more meaningful competencies
  • Improved descriptors for evaluating performance
  • Revised Review arrangements
  • Linkage of PMDS to the award of increments

PMDS should be a two-way collaborative process which encourages staff and their managers to think about, discuss and agree what needs to be done to strengthen individual performance, the performance of the organisationand the service we deliver to the public. PMDS is designed to be a fair and effective way of measuring and developing performance, through regular open, honest and constructive discussions between managers and staff.

The active management of performance is an ongoing process which happens throughout the year. It begins with the setting of performance and learning goals, is supported by regular and structured review and feedback on performance and learning and development.

The aim of PMDS is to helpManagers and Jobholders to manage and improve performance. The key elements of PMDS, i.e. setting goals, selecting competencies, learning goals and formal reviews of performance, are all fundamental aspects of managing performance. Effective performance management requires constant and ongoing, evidence-based review and feedback on performance throughout the year.

PMDS encompasses the following core principles:

  • Creating a clear understanding of what is expected of staff and managers through effective planning and goal setting
  • Enhancing understanding of the strategic objectives of the organisation and individual contribution to achieving these
  • Regular review periods to ensure common understanding of progress towards achieving goals
  • Fostering career progression through continuous learning and development

It is the responsibility of everyone to fully participate in performance management by challenging themselves to achieve their maximum potential and drive excellence in the organisation.

2. Overview of the Performance Management and Development system

The diagram below gives an overview of the annual PMDS cycle


Senior managers and managers at all levels must be committed to the successful implementation of PMDS and committed to ensuring that 100% of meetings take place at the different stages of the cycle.

In order to make it easier for everybody, an on-line system is being developed to help manage the administration, reduce paperwork and provide overall help to make the whole process efficient and easy to use. The system will be secure and willbe structured around the following key stages of the PMDS cycle:

  • Goal Setting
  • Learning and Development Plan
  • Interim Review
  • Annual Review

HR Units will be active in supporting staff and management to implement PMDS and will also be active in shaping and monitoring quality assurance to ensure fairness and effectiveness at all stages of the process.

3. Stage 1: Goal Setting

This meeting, at the start of the year, is an opportunity for the Jobholder to sit down with their Manager to discuss, clarify and agree the priority goals and tasks for the coming year. It provides the opportunity to:

  • discuss and agree ‘what’ the priority goals are, and how they will be measured;
  • ensure understanding as to ‘why’ delivering on these objectives is important and understand what the Jobholder’s role is in making them happen;
  • discuss ‘how’ the goals and outputs can be achieved, in particular what expertise, skills competencies and behaviours need to be demonstrated to deliver the expectations and identify what potential impediments might need to be addressed;
  • discuss ‘when’ goals and tasks can be achieved, setting specific timescales and key dates.

A good ‘goal-setting’ conversation provides an opportunity to get a better understanding of what really good performance looks like and helps people to understand what actions they need to take to achieve this. This is the cornerstone of encouraging people to be successful and reach their potential. Furthermore it provides an important platform for identifying how the organisation can support people in developing the capacity to meet these expectations.

The ‘goal-setting’ conversation is also an opportunity for open and constructive two-way feedback between the Jobholder and Manager.

Typically, this conversation will result in identifying up to five priority goals or commitments. Limiting the number of goals and including one developmental goalshould lead to improved performance. It is critical that the goals reflect the performance standard expected of the Jobholder and are consistent with the general competencies and requirements for their grade. It is important that objectives are clearly linked to the core purpose of the team, the Division and ultimately to the key targets and priorities set by the MAC/Management Board in the Statement of Strategy for the organisation as a whole.

Goals need to be realistic and achievable but yet at the same time they should be challenging and will require the Jobholder to perform to the very best of their ability. Goals should be framed in such a way that they are ‘tangible’ and have clear timeline associated with them and be

S / specific
M / measurable
A / achievable
R / relevant
T / time-based, timely

As part of the performance management quality assurance process, there should be organisational and Division level mechanisms in place to review goals. This will ensure quality, content and consistency across Divisions and the organisation as a whole.

Competency Frameworks

In addition to the conversation on ‘what needs to be delivered’, there will also be a discussion on the‘how it can be best delivered’, through a discussion on the core competencies, behaviours, critical technical skills, management skills and knowledge that need to be displayed in order for a Jobholder to deliver on their goals, together with how any impediments outside the control of the Jobholder might be managed.

The competencies that support PMDS have been revised and, in response to feedback from staff and managers across the Civil Service, they have been made more meaningful to people at different levels / grades. This has been achieved by utilising and adapting the Public Appointments Service’s Grade Specific Competency models. The revised competencies should strengthen fairness and consistency in PMDS by ensuring that staff at the same level are being assessed against the same competencies. They are intended to provide managers and staff with a broader and deeper understanding of performance.

The revised competencies provide a harmonised set of competency frameworks for the range of levels and roles across the Civil Service, and are a more useful resource for career development purposes.

The main features of the revised Competency Frameworks are:

  • 6 key competencies per grade
  • each competency captures an area that people in different roles/grades across the Civil Service can relate to
  • presented in positive, action-oriented and accessible language
  • accommodates specialist knowledge/expertise

A Guide to Using Competencies in support of all the elements and stages of PMDS is at Appendix A.

The Competency Frameworksare at Appendix B

The Learning and Development Plan

Learning and development planning is an important part of the PMDS process. All staff are encouraged to identify any learning and development needs necessary for effective performance in their current roles. They should also refer to the competencies relevant to their grades.

There are a range of developmental supports which people can utilise to achieve challenging goals and build personal competence. The effectiveness of these supportsis dependent on how well the individual’s learning gap is defined. This is a critical task for both the Manager and the Jobholder.

Some common learning and developmental mechanisms opportunities are listed below:

  • Challenging Goals
  • Team Development - 1:1 conversations/feedback between the Jobholder and the Manager
  • On-the-job training
  • Self-learning
  • Further Education/Training Courses/Distance Learning
  • Coaching and Mentoring
  • In-house Seminars
  • Networking
  • Conferences

Jobholders are responsible for the preparation and progression of their Learning and Development Plans with the support and guidance of their Managers.

Career Development

This is the Jobholder’s opportunity to discuss their career development path with their Manager. Points for discussion may include:

  • Review career path/experience to date
  • Building on key strengths and areas of expertise
  • Areas/experience the Jobholder would benefit from and why
  • Development of additional competencies
  • Timescale - where the Jobholder would like to be in 2 – 3 years time

4. Ongoing Management of Performance

Performance management will only be effective if performance is managed by both the Jobholder and the Manager throughout the year on an ongoing basis. Saving performance feedback and review of goals until 6 or 12 months into the performance cycle is unlikely to result in real improvements inindividual/team/organisational performance.

In order to make performance management a real and meaningful engagement between Jobholders and Managers and to develop a culture of high performance, there should be regular meetings both at individual and team level throughout the year to review progress in achieving goals and expected performance levels.

Managers and staff should put in place some or all of the following to review performance on an ongoing basis:

  • Regular Divisional meetings
  • Regular one-to-one meetings to:
  • updateon achievement of goals
  • regular ongoing feedback on performance
  • progress on learning and development
  • provide an opportunity to discuss any impediments being encountered

Where the Jobholder is not meeting the performance expectation of the Manager, this should be signalled at the time of the event and as part of the ongoing management of performance and not saved until a formal meeting.

5. Stage 2: Interim Review

The Interim Review is held mid-year and is an important formal’check-in’ in the PMDS year. It provides the opportunity for the Jobholder to have a formal conversation with their Manager on progress against the work and developmental goals set at the beginning of the year. It is also an opportunity to discuss and agree any actions that may be necessary in the event of issues arising e.g. new challenges, changing priorities etc.

The quality of this discussion will be much better when there has been the ongoing discussion about performance set out in Section 4.

Preparation

The Jobholder should evaluate his/her own performance and development in advance of meeting the Manager.The Jobholder should, using evidence of achievements,complete the ‘Progress Achieved’ section for each of the goals and competencies on the formtogether with the self-assessment narrative, and submitto the Manager, before the meeting. The Manager should review the form before the meeting.

The Interim Review conversation is likely to cover the following:

  • Progress on achieving the goals
  • Significant challenges, changing priorities and other factors which may be impacting on performance
  • Evidence of competencies displayed and/or developed
  • Progress on training and development
  • Feedback Conversation

It is recommended that the agreed goals and tasks be worked through and all issues discussed in a positive and constructive manner,with a view to acknowledging evidence of achievements and identifying solutions to any issues or problems arising.

It is also strongly recommended that the Jobholder and the Manager agree clear actions for the remainder of the year where applicable. The Manager should give an evidence-based assessment of how the Jobholder is performing. Where the Jobholder is not meeting the performance expectations of the Manager, this should be signalled at the time of the event and as part of the ongoing management of performance and not saved until a formal meeting. However, the Interim Review does provide Managers and Jobholders with an opportunity to clearly and formally indicate, where applicable, if performance is not at expected levels and the consequences this may have for the Jobholder’s evaluation of performance at Annual Review. It also allows Manager and Jobholder to agree to put in place the necessary actions and supports that will lead to an improvement in performance.

Once discussion is concluded, the form is completed.

In addition to the Interim Review, it is recommended that regular informal ‘one-to-one’ meetings should take place between Jobholders and their Managers. This will mean that there will be no surprises when it comes to Annual Review stage especially if it has become apparent that the Jobholder’s level of performance is likely to have adverse consequences for his/herevaluation at Annual Review stage.

6. Stage 3: Annual Review

The Annual Review is held usually in December and is an important review of the year in terms of the goals set at the beginning of the year. It provides the opportunity for the Jobholder and the Manager to discuss the Jobholder’s performance against those goals. Again, the quality of this discussion will be much better when there has been the ongoing discussion about performance set out in Section 4.

The Annual Review conversation is about assessing performancethroughout the year and will cover the following:

  • The achievement of goals
  • Goals that are not, or not fully, achieved
  • Key competencies displayed or not displayed
  • Learning from training and development
  • Review of any impediments encountered in delivering on agreed goals

It is important to prepare properly for this meeting, by reviewing goals, progress and performance in advance of the Annual Review meeting.

The Rating Scale has been replaced by a system of performance evaluation categories. The previous practice of awarding a numerical rating has been removed. The descriptions of work performance have been revised and now include reference to both ‘what’ has been delivered - the goals achieved, and ‘how’ - the level at which thecompetencies have been displayed.

The Evaluation of Performance system is at page 9 of the revised PMDS form at Appendix C.

Self Assessment – Jobholder

The Jobholder should evaluate his/her own performance and development in advance of meeting the Manager. The Jobholder should, using evidence of achievements, complete the ‘Progress Achieved’ section for each of the goals and competencies on the formtogether with the self-assessment narrative, and submitto the Manager

for review before the Calibration meeting and the Annual Review meeting.

Evaluation of Performance– Manager

The Manager should review the form and the Jobholder’s self-assessment before the Calibrationmeeting and the Annual Review meeting take place.

Having discussed the performance with the Jobholder at the Annual Review meeting, the Manager will provide an assessment of overall performance.The evaluation of performance will be determined by the assessment of the Jobholder’s achievements against:

  • Individual goals i.e. what was achieved
  • The performance standard expected, i.e. how the competencies were displayed.

The evaluation of performance will be supported by a narrative reflecting the overall assessment and the Jobholder’s achievements and should be evidence-based. The narrative should be a fair and balanced statement reflecting overall performance and areas for development, in the context of the circumstances in place during the review period, including the impact of any factors outside the control of the Jobholder.

The assessment of performance and the evaluation should be made within the broader context of the performance levels discussed at the Calibration meeting. The general principles of the Calibration process are set out in Section 7 – Fairness and Consistency: Calibration- on page 12.

A Protocol on how Calibration will operate will be provided in early 2013.

The introduction of Calibration for the 2013 cycle of PMDS will apply to the grades of Assistant Secretary, Principal and Assistant Principal only.

The completed Annual Review should be agreed and submitted to the Reviewer for information.

7. Fairness and Consistency: Calibration

What is Calibration?

To ensure that performance evaluation is carried out in a fair and consistent way throughout the organisation, a process known as Calibration will be carried out. This involves Managers ensuring that the individual evaluations within and across Divisions reflect the performance of the individual relative to his/her peers within his/her group and are based on evidence of the individual’s achievements.