PERFORMANCE MANAGEMENT & APPRAISAL SYSTEM

Transcription

1 VERSION 2.1 July 2007 PERFORMANCE MANAGEMENT & APPRAISAL SYSTEM Government of Jamaica STAFF HANDBOOK FOR STAFF MEMBERS IN CENTRAL GOVERNMENT Developed and maintained by the Office of the Cabinet

2 TABLE OF CONTENTS Page A Message from the Cabinet Secretary Introduction 1 1. Why implement a Performance Management & Appraisal System (PMAS)? 2 2. The Objectives of the PMAS 3 3. How you link into the Government Planning Process 4 4. The Fundamental Principles and Values of the System What must happen for the PMAS to be implemented in my organisation? 6 6. Documentation for accountabilities and expectations Output Focused Job Description 7 Work Plan 8 Competence Assessment 9 Agreed Changes to the Work Plan 9 7. What should I expect on implementation of the PMAS in my organisation? What are my responsibilities under the PMAS? The Performance Management and Appraisal Cycle The Performance Planning Process Divisional or Unit Plan 14 Individual Work Plan 14 Competencies The Performance Monitoring and Management Process 15 Interim Evaluations The Formal End of Year Appraisal Employee Development Recognising and Rewarding Performance Consequences of Continued Poor Performance Performance Appraisal Appeals Process Frequently Asked Questions Your Performance Planning Checklist 25 Performance Management and Appraisal System (PMAS)

3 TABLE OF CONTENTS Page 19. Interim Evaluation Checklist Final/End of Year Appraisal Checklist 27 APPENDICES Appendix 1A: Required Content Work Plan for Managerial Staff Appendix 1B: Required Content Work Plan for Non-Managerial Staff Appendix 2: Required Content Competence Assessment Sheet Appendix 3: Required Content Agreed Changes to the Work Plan Appendix 4: Suggested Interim Evaluation Form Appendix 5: Required Content Performance Review Form Document Control Record Performance Management and Appraisal System (PMAS)

4 A Message from the Cabinet Secretary introduction, we are attempting to move away from a system which is somewhat subjective, with a focus on employee characteristics and attributes, to one which measures outputs and results against agreed standards, recognises the importance of developing job related skills and competencies, rewards good performance and applies appropriate sanctions for continued poor performance. The Public Sector faces many challenges in meeting the expectations of the society for increased efficiency, accountability, and transparency in respect of the services provided by it. All these have to be achieved in a more globalised environment (with all its manifestations) and limited financial resources to meet the demands. Jamaicans have come to expect increasingly higher levels of service from the Public Sector. We have made known, (through our Government at Your Service initiatives), our promise to serve Jamaicans in a courteous, efficient and professional manner while optimising the use of available resources. The public sector must therefore set itself apart by developing a reputation of being run by a competent, professional and ethical cadre of staff. We ought to consider ourselves trendsetters; stellar examples of hard work and dedication others will aspire to follow. Performance Management is a high priority for the Cabinet Office, and we are committed to provide the necessary training and other support to ensure that the system is applied consistently and equitably across the sector. The system will be continuously monitored and assessed over time and adjustments made as we learn from our experiences. Development of a strong performance management culture in the public sector is a major task and will take some time for the rewards to be fully realized. It is a challenge which we are fully prepared to face as the pressures for improvement in public services will not allow us to avoid it. Dr. the Honourable Carlton Davis December 2006 The introduction of this new Performance Management and Appraisal System (PMAS) has generated some anxiety and resistance to change as with any new system which requires us to operate differently. The PMAS, however, ought to be embraced as a powerful people management tool that will bring immense benefits if implemented appropriately. With its Performance Management and Appraisal System (PMAS)

5 INTRODUCTION Managing performance is increasingly important with the public and other stakeholders expecting as the norm and not the exception, good service, integrity, transparency and accountability. Government institutions are often held to a higher level of accountability, and understandably so, as the public requires value for taxes paid. People make things happen and therefore the contribution of human effort to organizational success is as important as any other resource input. The quality of the performance of civil servants is critical to achieving the outcomes sought by government, the general development of the country and the expectations of the people. In light of this, the Performance Management and Appraisal System (PMAS) has been introduced as a means of managing and improving staff performance and accountability in the Public Service. The PMAS is an improved system of performance management and evaluation. It clearly defines how your work contributes to the achievement of the organisation s goals and identify what needs to be done to ensure you are given the opportunity for personal growth and development in your work life. Properly implemented, this is a win-win system. The employees skills, talents and interest will be honed and guided for maximum performance and the organization will benefit from the combined performance of all staff. This HANDBOOK is designed as a reference for all staff in the public sector operating within the guidelines of the new PMAS. Performance Management and Appraisal System (PMAS) Page 1 of 41

6 1. Why implement a Performance Management & Appraisal System (PMAS) for the Public Sector? A strong and achieving Public Sector is a necessary condition for a competitively successful nation (Michael Gillibrand Commonwealth Secretariat) The performance of the public sector affects every aspect of life in our nation. An effective public sector is a critical element in the development of a country and the quality of life experienced by its citizens, residents and visitors. Jamaica therefore needs to have a competent, motivated, professional, and forward thinking public sector working on its behalf with integrity. In order to make this happen, the Public Sector must engage the minds of each and every public servant by ensuring that their contribution and potential is understood and channelled into doing the right things and not only doing things right. When an individual understands what the organisation is seeking to achieve and how they contribute, it fosters initiative and allows for the identification and prevention of problems before they occur. PMAS = CULTURE CHANGE New performance culture with greater emphasis on: client focused and results oriented Public Service development of human resources to deliver results best possible utilisation of human resources in delivering results Introducing a Performance Management and Appraisal System for the public service will help to transform the dominant culture into one that is committed to providing service internally and to all who interact with Government organisations, in a manner that is focused on customer satisfaction, delivered with professionalism, courtesy and integrity, to the benefit of the wider society, truly exemplifying Government at Your Service. Performance Management and Appraisal System (PMAS) Page 2 of 41

7 2. The Objectives of the PMAS BROAD PMAS OBJECTIVES 1. Institutionalise the principles of customer service and results oriented operations Create systems and processes to support delivery of services in a more efficient and effective manner Ensure staff who deliver service with courtesy, professionalism and integrity 2. Increase motivation of staff clearly define contribution to the organisation reward good performance and achievement 3. Higher levels of productivity better results produced with less waste of time, effort and money PMAS OBJECTIVES: PHASE I 1. All work programmes (division/unit and individual) geared to achieving the goals of the organization 2. Common understanding of job requirements 3. Individual performance reviewed against mutually agreed Performance Standards 4. Feedback on performance is provided regularly 5. Training and development needs are identified and addressed 6. Improved communication between managers/supervisors and other staff to foster a more open and participative environment. 7. Good performance is recognised and improvement encouraged 8. Poor performance is appropriately managed and addressed Mar-06 Public Sector Reform Unit Performance Management and Appraisal System (PMAS) Page 3 of 41

8 3. How you Link into the Government Planning Process GOVERNMENT PRIORITIES (Key government objectives) MINISTRY/DEPARTMENT S STRATEGIC PLAN (Longer term goals and objectives linked to the wider key government objectives) BUDGET ALLOCATIONS (Financial resources to be made available to the Ministry/Department based on key government objectives) MINISTRY/DEPARTMENT S OPERATIONAL PLAN (Goals and objectives for a given Financial Year) DIVISION/UNIT S ACTION PLAN (How each Division or Unit of the Ministry/Department will contribute to the implementation of the operational plan) INDIVIDUAL WORK PLAN (How each individual will work towards helping their Division/Unit achieve its objectives) Performance Management and Appraisal System (PMAS) Page 4 of 41

9 4. The Fundamental Principles and Values of the PMAS 4.1 Effective Communication Employees at all levels must have a clear understanding of the purpose of their job, responsibilities and what outputs they are expected to produce. The output focused job descriptions capture this and other job related information. Feedback on performance must be given regularly. The process is a two-way one. Managers/Supervisors must be aware/made aware of any work related challenges and ideas for resolving work related problems being experienced by their staff. 4.2 Objectivity Evaluations must be made against clearly stated and documented performance standards stated in your work plan. Performance standards are to be developed by the manager/supervisor in collaboration with the staff member. Performance standards in individual work plans should be S.M.A.R.T. Specific (what is to be achieved) Measurable (how will the standard be evaluated as achieved) Attainable (must be achievable with effort) Resourced (must have the resources for its achievement) Time-bound (must be achieved within a specific timeframe an element of its measurement) 4.3 Transparency There should be no surprises at the time of the end of year evaluation, if the other principles have been observed. Evaluations for all staff are based on the results achieved by an individual, after receiving feedback on performance during the year and the application of the appropriate corrective action. 4.4 Fairness During the year, decisions and actions related to the achievement of performance standards, are made with due regard to changing circumstances and resources. Individuals will not be penalised because of resource insufficiency or changing circumstances beyond their control, that render them unable to achieve a target to the required standard. Where this is the case, the employee must discuss the matter with the supervisor who will be required to make appropriate adjustments to accommodate the change. Performance Management and Appraisal System (PMAS) Page 5 of 41

10 4.5 Equitable Treatment All employees are to be treated equally and have equal and appropriate access to benefits, training and resources to achieve the performance standards set. 4.6 Mutual Respect and Trust Discussions about performance are to be conducted with due regard to accepted principles of courtesy, respect and an understanding of each other s roles and responsibilities. Observing all the principles above will be the basis of building trust. 5. What must happen for the PMAS to be ready for full implementation in my organisation? PREREQUISITES FOR IMPLEMENTING THE SYSTEM 1. Top management must understand and commit to the principles and fundamental values of the system 2. The organisation must have a Strategic or Corporate Plan 3. The organisation must have a one year Operational Plan that links into the Strategic Plan 4. The organisation must also have Divisional/Unit Plans that link into the Operational Plan 5. An internal implementation team (comprised mainly of managers) must be established and commit to meeting regularly to drive the implementation of the PMAS in the organisation. This team is called the Employee Performance Management and Appraisal Team (EPMAT). 6. A communication plan must be developed to ensure that staff has a clear understanding of what is required of them during the development and implementation of the PMAS. 7. Output focused job descriptions must be developed, identifying the accountabilities of and competencies required for each position in the organization. 8. Work plans for each individual must be developed, indicating how major tasks assigned for the year, are linked to the objectives of the Division or Unit in which they work, and how their successful completion will be measured. 9. Managers and supervisors must be trained in key competencies such as performance planning, monitoring, management and conducting performance appraisals 10. A clearly defined performance appraisal cycle and process, must be communicated in a user-friendly format to all staff 11. How the required performance as agreed will be tracked, must be discussed and communicated by the manager/supervisor with each staff member, to ensure transparency and fairness in the management of performance, including taking corrective action for underperformance. Performance Management and Appraisal System (PMAS) Page 6 of 41

11 6. Documentation for Accountability and Expectations Documentation of an individual s responsibilities and performance expectations is important to ensure that the employee and manager/supervisor are clear about the standards which will be used to assess the employee. The four documents that facilitate this are the Output Focused Job Description, the Work Plan, the Competence Assessment and Agreed Changes to the Work Plan. The Output Focused Job Description The new work order underscores the principle that work output should create value for the organization. This ideal can be achieved, in part, by informing each staff member in a clear and factual way of the requirements and expectations of the job. With a clear and common understanding of the roles and responsibilities of each job position, the basis will be set for fair and objective performance appraisals. Your Output Focused Job Description is written in relation to the goals of the organization and defines your accountabilities. It documents the following information: 1. Job Title 2. Job Grade 3. Department 4. To whom you report 5. The job positions you supervise 6. Signatures that validate the job description Your signature Your manager s/supervisor s Head of Department/Division 7. Date received in the HRM Division 8. Job Purpose 9. Key Outputs 10. Key Areas of Responsibility (as applicable) e.g. Management/Administrative Responsibilities Technical/Professional Responsibilities Human Resource Management Responsibilities Other Responsibilities 11. Performance Standards 12. Required Competencies Core (general) Technical (job specific) 13. Minimum required Education and Experience 14. Special Conditions Associated with the Job 15. Authority Performance Management and Appraisal System (PMAS) Page 7 of 41

12 The Work Plan Your Work Plan is an important tool in the process of managing performance. The drafting of work plans fosters a culture of focusing on outputs and how they are achieved. They also provide the basis for continuous communication between the individual and their supervisor. The work plan should seek to: 1. Align work activities to meet the strategic goals of the organization 2. State clearly the outputs expected from an individual employee 3. Promote quality work through the agreed performance standards The work plan should be: 1. Developed in consultation between managers/supervisors and employees 2. With agreed objectives written in clearly stated terms The work plan is not developed in a vacuum but must link to the organisation s operational plan and your Division s/section s related work plan. This way you can be sure that your work assignments are focused on the right priorities. Your Work Plan is the document that defines what you are expected to focus on doing/producing over a given year. It defines the following: 1. Period (financial year or calendar year or related portion) 2. Name 3. Employee # 4. Related Operational / Unit Plan Objective (if directly linked) 5. Your individual objective as it relates to the Unit Plan Objective 6. Major Tasks 7. Outputs 8. Performance Standards related to the outputs 9. Resources required to deliver the outputs at the standard expected 10. Actual results against stated performance standards 11. Signatures that validate the work plan when first done Your signature Your manger s/supervisor s signature Date agreed 12. Evaluation rating given (when appraised) based on actual results against the expected performance standard Appendix 1A and 1B has the Guideline System s Work Plan forms. One of the two forms will apply to you. Performance Management and Appraisal System (PMAS) Page 8 of 41

13 Competence Assessment Mechanisms The competencies against which you will be assessed must be defined in the job description and any other document as agreed by the organisation and communicated to you. Competencies are of 2 types, Core and Technical. The Guideline PMAS provides a Competency Framework from which the core competencies and the relevant level required for a job can be selected. Technical competencies are related to the specific nature of the work you are required to do. The technical competencies critical to your particular job along with the level at which it must be demonstrated, must be defined when the job descriptions is created. (See Appendix 2 for the Guideline System s Competence Assessment Agreed Measurement Mechanisms form). Agreed Changes to the Work Plan During the year changes to your work plan must be agreed and documented to ensure that the work and outputs you have produced over the year, as circumstances and resources have changed, are recorded before the end of year appraisal. Agreed Changes to the Work Plan captures all or some of the following information depending on the type of change: 1. Period (financial year or calendar year or related portion) 2. Name 3. Employee # 4. Type of change being made Addition, Deletion or Change 5. Your individual objective related to the change 6. Major Tasks 7. Outputs 8. Performance Standards related to the outputs 9. Resources required to deliver the outputs at the standard expected 10. Reason for the change 11. Signatures that validate the agreed changes to the work plan as required Your signature and date Your manger s/supervisor s signature and date See Appendix 3 for the Guideline System s Agreed Changes to the Work Plan form. Performance Management and Appraisal System (PMAS) Page 9 of 41

14 7. What Should I Expect On Implementation Of The PMAS In My Organisation? a. You should have a clearer understanding of the objectives to be achieved by the organization in which you work, in a given year. b. You should also have a clearer understanding of the specific outputs you are required to produce as a contribution to the achievement of those organizational objectives. c. You should see greater effort being made to ensure that the resources and tools required to help you make that contribution as agreed, are provided in a timely manner. d. You will have the opportunity to discuss regularly with your manager/supervisor, the challenges and successes you are experiencing as you do your work. e. You should have a better understanding of what specific outputs your fellow colleagues in your Division/Section are responsible for producing, allowing you to have more productive and effective work relations within a Division/Section. f. Career planning and the development of job related knowledge will be facilitated during the performance monitoring and evaluation process, without your having to make a separate special request to discuss these issues. g. Managers/Supervisors should find it easier to manage/supervise individuals with a more structured approach to assigning work and communicating changes throughout the year. h. If the system is followed as set out in the Guidelines, there should be few performance related appeals at the end of the year. Performance Management and Appraisal System (PMAS) Page 10 of 41

15 8. What are my responsibilities under the PMAS? Roles & Responsibilities: Permanent Secretary/Chief Executive Officer Clarify the organisation s mandate and plan for the year Ensure work environment is organised for optimum productivity Ensure policies and procedures support the desired culture change Provide effective leadership, giving clear directions Foster team spirit & cohesion Regularly discuss performance expectations, changing priorities and resource allocation with Managers Monitor performance for corrective action Approve rewards and sanctions Roles & Responsibilities: Managers/Supervisors Ensure knowledge of the organisation s mandate and plan for the year Provide effective leadership, giving clear directions Promote the culture change Ensure work is organised Foster team spirit & cohesion Discuss performance expectations & assessment criteria (work plans) Communicate changing priorities and resource allocation to staff Give regular feedback on performance Facilitate/Provide opportunities for training & development to enhance performance before and after formal performance reviews Share and discuss information on rewards and sanctions Performance Management and Appraisal System (PMAS) Page 11 of 41

16 Role & Responsibilities: Employee Maintain/improve knowledge & skills Maintain awareness of operating environment & organisation s mandate Know & understand scope of responsibilities & duties Give feedback on performance expectations and assessment criteria Give feedback on constraints to achieving targets Produce & maintain high quality of output Roles & Responsibilities: Reviewing Manager Ensure equitable treatment Help resolve any disagreement which may result from the assessment process Performance Management and Appraisal System (PMAS) Page 12 of 41

17 Roles & Responsibilities: Human Resource Manager Ensure knowledge of the PMAS Facilitate exercise of manager s/supervisor s responsibilities Facilitate employee development Manage career and succession planning Act as resource for all staff Ensure employee performance appraisal records are kept and maintained Monitor the system Ensure appropriate follow-up action is taken CO18 9. The Performance Management And Appraisal Cycle Step 5: March/April Annual Review, Setting targets for new financial year, including those in relation to training & development Step 1: March/April Supervisor & Employee develop & agree on performance objectives/ targets Step 2: June/July Review performance in relation to targets & agree appropriate adjustments/ action Step 4: December/January Review performance in relation to targets & agree appropriate adjustments/ action Step 3: September/October Review performance in relation to targets & agree appropriate adjustments/ action Performance Management and Appraisal System (PMAS) Page 13 of 41

18 10. The Performance Planning Process By the time you are ready to begin Step 1 of the Performance Management and Appraisal Cycle in March/April or December/January (if your organisation s reporting period is the calendar year), your organisation s Operational Plan and your Division/Unit s Work Plan should have been drafted as the basis for defining the work priorities for the year ahead. Divisional or Unit Work Plan Your Divisional or Unit Work Plan should contain the following information: 1. Period (financial year or calendar year or related portion) 2. Operational Plan Objective 3. Related Unit Work Plan Objective 4. Your individual objective as it relates to the Unit Plan Objective 5. Major Tasks 6. Key Activities 7. Assigned to (Employee s Name and/or Job Title) 8. Outputs expected from the key activities 9. Performance Standards related to the outputs The Unit Work Plan when properly done facilitates fairly easy development of individual work plans by managers and supervisors and their staff. It is also a useful tool for ensuring that no one person in the Unit is overloaded with work. Individual Work Plans The development of the work plan involves collaboration between the manager/supervisor and the employee. It is the manager s/supervisor s responsibility to direct the process, with feedback from the staff member. The participatory approach should ensure that each staff member and their manager/supervisor have a common understanding of expectations. This should reduce the possibilities for misunderstanding and confusion when appraising the employee. The content of the work plan will undoubtedly have to be changed during the year, as priorities and resources change. Competencies In the performance planning phase the technical competencies against which you will be assessed should reflect those that are most critical for the achievement of the targets on your work plan 1. All Core competencies however, must be appraised as they are common to all staff members and are considered important to the organisation regardless of the position a staff member holds. 1 Assessment against all technical competencies may not be necessary in a given work plan period Performance Management and Appraisal System (PMAS) Page 14 of 41

19 11. The Performance Monitoring and Management Process Having agreed an initial work plan, it is critical that feedback on successes, challenges, changing priorities and resources, be communicated and discussed regularly throughout the year until the final appraisal has been written. This is a 2-way process and is the responsibility of both the manager/supervisor and the staff member being supervised. The manager/supervisor must however (as good management dictates) ensure that they are aware of the status of work responsibilities for which they are accountable. This can only be done by giving feedback to and receiving feedback from the relevant staff members. Interim Evaluations Steps 2, 3 and 4 of the Performance Management and Appraisal Cycle represent these interim evaluations. Quarterly interim evaluations are recommended, however some organizations opt to do half yearly reviews. Ensure that you are aware of what has been decided by your organisation and also ensure that interim evaluations are held when they should be. This activity helps to ensure that the Values and Principles of the PMAS are observed. Interim evaluations should focus on the work achieved as well as the required job related competencies demonstrated by the individual in delivering on his/her work assignments. The results of interim evaluations must be documented in the format agreed. Appendix 4 provides a suggested format. Ask your HRM Unit for the format agreed for your organisation. In between interim evaluations feedback should also be given as a part of the ongoing monitoring of performance. Monitoring allows: The development of two-way communication between the manager/supervisor and their staff Positive or negative feedback soon after a critical or significant incident/event Corrective action to be taken and training needs to be identified/addressed, in a timely manner The Revision of work plans as and when necessary Issues that have been discussed and documented throughout the year will be used to assist in the formal end-of-year appraisal. 12. The Formal End of Year Appraisal The formal appraisal should be conducted in the last month of the financial year or within the first two weeks of the new financial year. (See Appendix 5 for the Guideline System s Performance Review Form). Preparing for the Appraisal Session A collaborative approach should be taken in setting the agenda, venue and time for the formal performance review. Performance Management and Appraisal System (PMAS) Page 15 of 41

20 Supporting Documentation It is important to have all the relevant documentation to support the performance appraisal or review, otherwise, the credibility of the assessment will be questionable. The following documentation must be brought to the performance review: 1. The initial work plan agreed 2. Changes agreed to the work plan and the revised work plan (if one was redone) 3. The list of agreed assessment mechanisms for competencies 4. Notes/the agreed form used in the interim evaluation(s) 5. Log notes related to critical incidents that had an impact on planned work activities Giving and Receiving Feedback The same principles of giving and receiving feedback in interim evaluations apply. However performance information will now form the basis for making decisions on rewards, sanctions, development and improvement plans. Building Motivation During The Performance Appraisal Review Interview The ideal performance appraisal results in a desire for continued improvement or sustained good performance by the employee. If an employee leaves the evaluation motivated to improve rather than feeling demoralised, the supervisor can consider the appraisal to be a success. The rating period is based on work performed over a twelve months or otherwise agreed when the work plan was first developed. Self-Assessment Many organizations find it helpful to encourage individuals to prepare for their performance review by completing a self-assessment of achievements in relation to their work plans. Some advantages of selfassessment are listed below: 1. It helps to generate less inhibited and more positive discussion; 2. It involves appraisees actively in the process; 3. It is likely to reduce defensive behaviour 4. It reduces the top down approach to traditional performance appraisals. Performance Management and Appraisal System (PMAS) Page 16 of 41

21 Evaluation Scores 2 The evaluation scores assigned based on the actual results achieved on the work plan (stated as a %) against performance standards and competencies as agreed, are determined using the following: Performance Rating/Scoring on Work Plan Description of actual result against performance standard: Evaluation Score for Actual Result Results Category Surpassed performance standard >100% 5 Met performance standard 100% 4 Met Most of the performance standard 75%-99% 3 Met some of the performance standard 50%-74% 2 Mostly did not meet the performance standard <50% 1 Performance Rating Scale for Competencies 5 Excellent 4 Very Good 3 Good 2 Fair 1 Unsatisfactory The Review of your Final Appraisal In order to promote integrity, fairness, accountability and transparency in the formal appraisal process, after the employee and manager s/supervisor s review, the Head of Division or the Permanent Secretary reviews the document. The Performance Appraisal Form will then be returned to the staff member before being submitted to the Human Resource Management Division where it will be filed on the staff member s personal file. The reviewing manager s signature on the Performance Appraisal Form signals that he/she has reviewed the appraisal and affirms the validity of the appraisal exercise. The supervisor should also write a comment about the appraisal reviewed. Dealing With Performance Challenges The benefit of regular appraisal and continuous feedback is that there will be a track record of performance preceding the final evaluation. If at the formal evaluation there remains a disagreement, then begin the Performance Management Appeals Process by doing the following: 1. First define the problem and basis for disagreement 2 Based on the scoring as set out in the PMAS Guideline and System Reference Manual Performance Management and Appraisal System (PMAS) Page 17 of 41

22 2. Review existing records with the employee including interventions designed to improve performance in specific areas identified as problematic *IMPORTANT REMINDER* At the time of the final or end of year performance evaluation, an employee should not be rated below the minimum standard unless, at the time of the previous interim evaluation(s), the employee was formally notified of the need to improve performance, and an improvement plan developed and implemented. Signing The Performance Appraisal An employee must sign the Performance Appraisal form and write a comment. In a case where the employee wishes to file an appeal, this should be included in the employee s comments. The supervisor s signature on the Performance Appraisal Form signals that he/she has discussed the appraisal with the employee and in the capacity as supervisor, and affirms the validity of the appraisal exercise. The supervisor must also write a comment about the employee s performance. 13. Employee Development The human input to production at every level is critical and must be valued. One feature of successful organizations is their commitment to the continuous development of the skills and abilities of their employees. Succession planning provides the framework for development plans for employees. The development plan may be designed to align the employee s skills to the performance expectations or to improve or acquire new skills and competencies in line with the succession plan of the organisation. The Role of Employees Self-assessment of existing work Take stock of the quality and quantity of work output that they are producing, identify skills and competencies that need to be developed/further developed to perform at the highest level Identify personal career goals Over the short term Over the long term so that the required educational qualifications, skills and competencies can be attained and the appropriate personal career opportunities can be identified. Take initiative Keep-abreast of changes in the workplace and seek to identify further opportunities for developmental opportunities and experiences. This may be done by simple but invaluable methods such as observing how others perform tasks, seeking counsel from in-house or other experts, internet research, or by reading books. Performance Management and Appraisal System (PMAS) Page 18 of 41

23 The Role of Managers/Supervisors Facilitate the employees capacity to perform Ensure that objectives to be achieved are clearly understood Ensure that the tools necessary for your staff to get their jobs done, are in place Be aware of the work related strengths and weaknesses of the employees you manage/supervise Identify/discuss training identified and approve as prudent Provide useful feedback on performance regularly not just negative feedback, also reinforce the positive Facilitate informal employee development via coaching, mentoring, planned and managed work assignments. A word of caution - do not overwhelm a good employee in your zeal to further develop their skills and competencies. With HRM as your partner, develop succession plans and support the development of career plans in keeping with the medium to long term plans for your organisation/division/unit. Find creative ways to build a cohesive team spirit at all times the work responsibilities of your organisation/division/unit are efficiently and effectively executed only if all staff members are motivated and competent 14. Recognising and Rewarding Performance Fairness, equity and transparency are some of the foundation principles of the new PMAS. It is therefore important to ensure that in every facet of the PMAS, these principles are guarded and applied in order to build confidence in and commitment to the new performance culture. The potential effect on motivation and trust is too significant to allow bias or privilege to influence how employees are rewarded for commendable performance on the job. Payment of the increment will be based on performance results. Only individuals whose overall performance score is 75% or higher are eligible for a salary increase by payment of an increment. Individuals who have achieved scores of 80% or higher will (in addition to the increment) be eligible for an additional reward to be decided by the organisation s Recognition and Reward Committee. The Human Resource Manager in your organisation can provide further details. Performance Management and Appraisal System (PMAS) Page 19 of 41

24 15. Consequences of Continued Poor Performance At the time of the interim evaluation(s) (quarterly/half-yearly and as otherwise necessary), the supervisor/manager will provide feedback to the employee on his/her performance and facilitate improvement, where necessary, with the help of the Human Resource Management Department. If at the time of the formal end of year appraisal, an employee s performance is still considered poor even though efforts have been made as agreed to facilitate performance improvement and a. the outcome of the performance appraisal is signed off by the reviewing manager and b. there is no appeal pending, the employee s salary increment will not be paid if an overall score of at least 75% is not achieved. It should also be noted that Section of the Staff Orders states the following: Following confirmation of permanent employment, an employee may have his/her service terminated if his/her performance on the job is assessed over two years to be consistently below established performance standards or expectation. 16. Performance Appraisal Appeals Process To begin the Performance Management Appeals Process, the following should have been done: The problem and basis for disagreement must have been defined Existing records, including interventions designed to improve performance in specific areas identified as problematic, must have been reviewed with the employee An Overview of the Performance Appraisal Appeals Process Step 1: The Employee & Direct Supervisor should try to resolve the issue Step 2: The Employee, Direct Supervisor & Reviewing Manager should try to resolve the issue Step 3: The intervention of the Senior Human Resource Manager should be sought Step 4: If there is still no resolution, a Panel will be appointed to adjudicate the appeal Step 5: The recommendation of the Panel will be presented to the Permanent Secretary/Head of Department for a final ruling. Legal action may be pursued if there is a point of Law in question. Performance Management and Appraisal System (PMAS) Page 20 of 41

25 1. After completing Steps 1 and 2, if the Aggrieved Party is still dissatisfied with the overall performance rating received, he/she may submit a written Appeal 3 to the HR Division, within five days 4 of receiving the copy of the completed Performance Appraisal, signed by all required parties. 2. The HR Division must issue a written acknowledgement of receipt of the Appeal to the Aggrieved Party and other relevant parties, including the Head of Division and/or the Reviewing Manager, within five days of receiving the Appeal. The HR Division will manage and monitor the different stages of the Performance Management Appeals Process and ensure confidentiality and security of all relevant documents. 3. The appropriate senior officer from the HR Division is required to meet with the employee, supervisor and reviewing manager within ten days of the date of the written acknowledgement of the grievance by the HR Division. 4. Having met with the relevant parties and reviewed the existing records, including interventions designed to improve performance in specific areas identified, the senior officer must then prepare a written recommendation within ten days. The recommendation must be placed on the Employee s Personal file and communicated to each party involved at this stage If the Aggrieved Party is not satisfied with the recommendation, he/she has the right to request (in writing) that the HR Division proceed to the next stage. This should be done within five days of receipt of the recommendation. 6. If the Aggrieved Party accepts the recommendation the Appeal should be considered closed. 7. The next step of the Performance Management Appeals Process will be adjudicated by a Panel comprising 5 members appointed by the Permanent Secretary/Head of Department. No member of the Panel should be from the Aggrieved Party's Division. 8. The Panel is expected to meet within ten days of receiving the request. The Panel will determine what information is needed and all relevant parties will be required to submit the requested documentation. The information must be submitted to the HR Division within fifteen days of the Panel requesting it. The HR Division will provide each party with the documentation received. The HR Division will be responsible for scheduling the Panel meeting(s) and informing the relevant parties of the meeting date(s). 9. The Aggrieved Party has the right of representation by person(s) of his/her choice. If a Civil Servant is selected as a representative, he/she should not have any unexpired disciplinary action. All parties must seek approval in advance to have witnesses appear before the Panel. Minutes of each meeting of the Panel must be taken. 10. The Panel must review all the information provided within ten days, and by majority vote decide the recommendation to the Permanent Secretary/Head of Department. The Panel must ensure that its recommendation is consistent with the relevant regulations. 3 It is advisable that a grievance form be developed by the organisation to simplify the process. 4 days when mentioned in this section, refers to working days 5 this applies to every stage until the Performance Management Appeals Process is exhausted Performance Management and Appraisal System (PMAS) Page 21 of 41

26 11. The Permanent Secretary/Head of Department can accept, reject or modify the Panel s recommendation. The Permanent Secretary/Head of Department will submit the written decision to the Aggrieved Party and all other related parties within ten days of receiving the Panel s recommendation. 12. The decision of the Permanent Secretary/Head of Department shall be considered final. 13. Should the Aggrieved Party be dissatisfied with the decision on a point of law, he/she may pursue legal action. IMPORTANT TO NOTE The timelines recommended in the Performance Management Appeals Process is intended to reflect the maximum timeframes anticipated for each step. Closure of the Appeals Process should be sought as soon as is possible, while ensuring that transparency, integrity and fairness is upheld at all times. 17. Frequently Asked Questions a. What training will be provided for managers and supervisors? Ans: Persons who have the responsibility for managing/supervising and appraising other members of staff will be trained in two key areas: i. In the steps involved in the performance management and appraisal process setting and agreeing performance targets (work plan development), monitoring and managing performance during the year and conducting the formal appraisal at the end of the year ii. In understanding their role as the appraiser and the soft skills required, to ensure that performance is managed amicably from the stage of agreeing targets, to formal appraisal at the end of the year. b. How does this system differ from what obtains now? Ans: 1. There is now an objective basis for the appraisal targets agreed based on discussions between the jobholder and their manager/supervisor. 2. Targets agreed will relate to the actual work the job holder is involved in, and how the work to be done contributes to the achievement of departmental/unit objectives and subsequently the ministry s/ entity s corporate objectives. Performance Management and Appraisal System (PMAS) Page 22 of 41

27 3. You will now be appraised on the output you achieve and the manner in which you achieve that output (competencies demonstrated), rather than on purely subjective factors. 4. The results of the appraisal will provide useful information with respect to performance improvement, continuous professional development and career management. c. What recourse do I have if I have an appeal against the Performance Management and Appraisal System not the outcome of my personal appraisal, but a principle on which the system is based? Ans: The Performance Management Implementation Team (PMIT) that leads the implementation process Service-wide, will review all appeals against the system. Any such appeals should be brought to the attention of the Senior Human Resource Director with responsibility for your Ministry/Department, who will then route it through the appropriate channel. d. What recourse do I have if I disagree with the end of year appraisal of my performance? Ans: The PMAS Guideline and Reference Manual and this Handbook outline the process that should be followed. Ask your HRM Division for the details. e. When will I have my first appraisal using the new system? Ans: It is recommended that the first appraisal should be an informal (but documented) review by your supervisor/manager three months after the initial work plan is agreed, and quarterly thereafter (meeting notes signed by both parties is sufficient). Some entities however have chosen to hold this first documented review six months after agreeing the initial work plan. While signed meeting notes are sufficient, some organisations opt to record interim evaluation on the appraisal form. f. Will the payment of my increment still be automatic, as has been the practice? Ans: No. It will be based on the results of the end of year performance appraisal. In keeping with the Staff Orders, it will be based on satisfactory performance. The PMAS states that an overall score of at least 75% must be achieved for an increment to be paid. g. If my performance has been affected by circumstances beyond my control, will it be taken into consideration? Ans: Yes, it will be taken into consideration. h. What sanctions are there for poor performance? Performance Management and Appraisal System (PMAS) Page 23 of 41

28 Ans: At the time of the interim evaluation(s) (quarterly/half-yearly and as otherwise necessary), the supervisor/manager will provide feedback to the employee on their performance and facilitate improvement, where necessary, with the help of the Human Resource Management Department. If at the time of the formal end of year appraisal, an employee s performance is still considered poor even though efforts have been made as agreed to facilitate performance improvement and b. the outcome of the performance appraisal is signed off by the reviewing manager and c. there is no appeal pending, the employee s salary increment will not be paid if a score of at least 75% is not achieved. It should also be noted that Section of the Staff Orders states the following: Following confirmation of permanent employment, an employee may have his/her service terminated if his/her performance on the job is assessed over two years to be consistently below established performance standards or expectation. Until such a decision has been taken, the HR Department will work along with the employee and the supervisor in order to facilitate improvements in performance. i. What can I expect if I meet the targets agreed 100%? Ans: The release of your next increment due would be approved and you would be eligible for special recognition and a reward in keeping with the established Recognition and Reward Policy Framework. Ask your HRM Division for more details on this. j. What can I expect if I meet most of the targets agreed? Ans: If you have achieved an overall score of 75% - 79%, the release of your next increment due would be approved. If you have achieved a score 80% you will also be eligible for a particular form of recognition or/and reward in keeping with the established Recognition and Reward Policy Framework. Ask your HRM Division for more details on this. k. What can I expect if I have achieved an overall score of 75% but I am already at the top of my salary scale? Ans: If your organisation has implemented the PMAS, you would be eligible for a one-off payment. Ministry of Finance and Planning issued a circular with respect to this. Ask your HRM Division for more details. 18. Performance Planning Checklist Performance Management and Appraisal System (PMAS) Page 24 of 41

29 Plan to have/do the following before meeting to discuss work plans and the basis for assessment of competencies: Manager/Supervisor 1. Unit Work Plan for the upcoming year identify which objectives are critical and should be included on the staff member s work plan. (You can t measure everything the staff member is responsible for). 2. Staff member s job description (especially if this is the first time that you are discussing a work plan with the staff member) 3. How the staff member s outputs will be assessed (the performance standards what is challenging but achievable) think about it ahead of time. 4. How the staff member s competencies will be assessed think about it ahead of time. 5. Personal development plans for the staff member any training or other development intervention to be recommended over the next year Staff Member 1. Be aware of the focus over the next year, of the Unit to which you are attached. Understand what special responsibilities you will have and how routine ones will be affected. Ask if you are not sure. You might be able to suggest an important task to be included on the work plan that your manager/supervisor may have missed. Show initiative! Whether you are a junior or senior member of staff you have an important contribution to make to the achievement of the work responsibilities of the Unit to which you are attached. 2. Review your job description (you would be surprised how you can sometimes forget the scope of your job, as in a given year you may not be required to do all that is specified in it!) 3. How do you think your outputs should be assessed (the performance standards what is challenging but achievable) think about it ahead of time. 4. How do you think your competencies should be assessed think about it ahead of time. 5. Personal development plans any training or other development intervention being requested over the next year At the end of the process: Manager/Supervisor 6. Sign-off work plan, development plan and competence assessment mechanisms Staff Member 6. Sign work plan, development plan and competence assessment mechanisms 19. Interim Evaluation Checklist Performance Management and Appraisal System (PMAS) Page 25 of 41