PERFORMANCE MANAGEMENT & APPRAISAL SYSTEM. Government of Jamaica HRM

Transcription

1 VERSION 1.0 FEBRUARY 2007 PERFORMANCE MANAGEMENT & APPRAISAL SYSTEM Government of Jamaica HRM GUIDELINES FOR ADMINISTRATION OF THE PMAS BY HUMAN RESOURCE MANAGERS 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. Managing for Performance 3 3. The Objectives of the PMAS 4 4. How Individuals Link Into The Government Planning Process 5 5. Expectations Post Implementation of the PMAS 6 6. What are the responsibilities of HRM under the PMAS? What must happen for the integrity of the PMAS to be maintained in my organisation? 7A.The Fundamental Principles and Values of the System Ensuring Adherence 7B.Documentation for accountabilities and expectations Ensuring Completeness and Appropriate Preparation Output Focused Job Description Individual s Work Plan Competence Assessment Mechanisms 17 Agreed Changes to the Work Plan Key HRM Responsibilities during The Performance Management and Appraisal Cycle The Performance Planning Process 19 Divisional or Unit Plan 20 Individual Work Plan 20 Competencies The Performance Monitoring and Management Process 21 Interim Evaluations Transfer/Resignation Appraisals The Formal End of Year Appraisal Employee Development Recognising and Rewarding Performance 23-25

3 TABLE OF CONTENTS Page 15. Dealing with Poor Performance Performance Appraisal Appeals Process Your Performance Planning Checklist PMAS Results vs. Divisional and Overall Organisational Results 28 APPENDICES Appendix 1: List of Discussed and Agreed Initial Work Plans Received by HRM Appendix 2: Required Content Work Plan for Managerial Staff Appendix 3: Required Content Work Plan for Non-Managerial Staff Appendix 4: List of Discussed and Agreed Competence Assessment Sheets Received by HRM Appendix 5: Required Content Competence Assessment Sheet Appendix 6: Required Content Agreed Changes to the Work Plan Appendix 7: Suggested Interim Evaluation Form Appendix 8: Interim Evaluations Received by HRM Appendix 9: Required Content Performance Review Form Appendix 10: End of Year Performance Reviews/Appraisals Received by HRM

4 A Message from the Cabinet Secretary 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. differently. The PMAS, however, ought to be embraced as a powerful people management tool that will bring immense benefits if implemented appropriately. With its 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. 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 Performance Management and Appraisal System

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 implement policies, plans and programmes and therefore the contribution of human effort to an organisation s 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 identifies what needs to be done to ensure each person is given the opportunity for personal growth and development in their 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 organisation will benefit from the combined performance of all staff. Proper management of the System is therefore critical to ensure that the expected benefits are realised. The Human Resource Management Division is a key guardian of the system as well as an important conduit for feedback that will inform changes to the System. These Guidelines for the Administration of the PMAS are designed as a reference for all Human Resource Managers in the public sector whose organisations operate within the guidelines of the new PMAS. The focus of this Manual is on post implementation monitoring and administration of the System. While every effort has been made to present this information accurately, this guide is a summary overview. This means that a lot of details, explanations, and qualifiers may not be addressed here. It is intended only to provide general guidance, and you should not rely on it as a complete or binding explanation of every situation you will have to deal with in HR performance management. If this information differs from the language or intent of other related formal published legal, regulatory or policy documents, that authoritative information prevails. Prepared by: PMAS Programme Implementation Manager Page 1 of 45

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. Prepared by: PMAS Programme Implementation Manager Page 2 of 45

7 2. Managing for Performance Performance Appraisal is the last step in the process of managing for performance. In effect it indicates after the fact results based on performance previously demonstrated. At the time of appraisal decisions can be made for improving performance in the next cycle. During a given operating cycle it is therefore important that performance is managed to facilitate alignment and corrective action for better end results. HRM has an important role in facilitating this through its interaction with the staff, in particular the managers and supervisors in the organisation. Managing for Performance Planning, organising, directing and controlling the efficient and effective interaction of people, processes, physical and other resources to consistently achieve the goals and objectives of the organisation. Performance The accomplishment of work assignments or responsibilities and contributions to the organizational goals, including behavior and professional demeanor (actions, attitude, and manner of performance) as demonstrated by the employee s approach to completing work assignments SOA 5 Prepared by: PMAS Programme Implementation Manager Page 3 of 45

8 3. 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 Prepared by: PMAS Programme Implementation Manager Page 4 of 45

9 4. How Individuals Link into the Government Planning Process The Human Resource Manager must be a valuable business partner in supporting the achievement of the organisation s Mission and mandate. Human Resource Managers therefore need to have a clear understanding of the strategic objectives of the organisation in which they operate, and how they are executed through each Division or Unit. When HRM has this clear understanding, it will be better able to support managers in their HR responsibilities and provide guidance in setting performance standards on work plans. 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) Prepared by: PMAS Programme Implementation Manager Page 5 of 45

10 5. Expectations Post Implementation Of The PMAS a. All staff members should have a clearer understanding of the objectives to be achieved by the organization in which you work, in a given year. b. Every staff member should also have a clearer understanding of the specific outputs they are required to produce as a contribution to the achievement of those organizational objectives. c. Every staff member should see greater effort being made to ensure that the resources and tools required to help them make that contribution as agreed, are provided in a timely manner. d. Every staff member will have the opportunity to discuss regularly with their manager/supervisor, the challenges and successes they are experiencing as they do their work. e. Every staff should have a better understanding of what specific outputs their fellow colleagues in their Division/Section are responsible for producing, allowing them 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 staff members 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. 6. What are the responsibilities of HRM under the PMAS? The Human Resource Management Division is one of the key guardians of the System and has a number of responsibilities under the PMAS (post implementation). HRM will however have to work closely with staff at all levels in executing these responsibilities as well as seeking feedback that will lead to improvement of the System itself, or the interaction of people within the System. Depending on the nature of the feedback, immediate action can be taken or a recommendation presented to and discussed with the internal committee that deals with the PMAS, the Employee Performance Management and Appraisal Team (EPMAT). Where the change proposed differs from the stated Guidelines, HRM would then prepare the issue and the recommendation being made (by the EPMAT) for presentation to the PMIT (Performance Management Implementation Team). Prepared by: PMAS Programme Implementation Manager Page 6 of 45

11 Roles & Responsibilities: Human Resource Manager Ensure knowledge of the PMAS Facilitate exercise of manger 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 More specifically, the role and responsibilities of HRM with respect to the PMAS is outlined below. Depending on the size of the Ministry and the number of associated Departments, it may be necessary to have more than one (1) officer (at a sufficiently senior level) dealing with PMAS related issues and responsibilities. Remember the PMAS is not just about having a job description and a work plan; essentially it is about changing the way we execute and manage work responsibilities throughout the year, for RESULTS. Deep culture change takes time and effort for it to become the norm. Specific Role and PMAS Responsibilities of HRM Role To plan and undertake by working with and through all staff members, the activities necessary to support the development, maintenance and monitoring of the Performance Management and Appraisal System, within the Ministry, its departments and agencies. Key Outputs Pre-Implementation PMAS development plan PMAS change management plan (including PMAS sensitisation and communication) Development Support (technical assistance job description writing and guidance with work plan development) Change management support (technical assistance) Training sessions PMAS Status Reports for the EPMAT on the Implementation and change management process Prepared by: PMAS Programme Implementation Manager Page 7 of 45

12 Facilitated Unit Work Plan sessions (During the initial and early post implementation cycles, most managers will need help with this. HRM and Corporate Planning should work together to provide them with this assistance.) Post-Implementation PMAS orientation/re-orientation PMAS communication (reminders, notices etc.) Coaching sessions Compliance Support (technical assistance guidance with unit and individual work plan development) PMAS compliance reports for the EPMAT Confidential Summary PMAS report on appraisal results for identified authorized users Confidential Detailed PMAS report on appraisal results for identified authorized users Special PMAS related reports as required Current register of employees and their appraising managers Circulated current PMAS documents (manuals, handbooks, templates, policies, procedures) Maintained Database of PMAS records Notification to payroll re staff awarded with the pay increment Arranged recognition and reward activities/events at the corporate level Key Responsibility Areas A. Technical Corporate and Operational Planning 1. Participate in the Corporate and Operational Planning activities of the Ministry to gain a full understanding of the Mission and Objectives of the Ministry to inform the activities of the HR Division in providing guidance to line managers and staff in completing their divisional/unit and individual PMAS work plans and other related requirements of the PMAS 2. Develop a work plan for the implementation of/oversight of the PMAS and its operation for each financial year; System Development & Change Management 3. Develop in collaboration with other HR colleagues and the EPMAT, plans for the development of the PMAS 4. Conduct PMAS sensitisation sessions within the Ministry and its Departments in collaboration with other HR colleagues 5. Develop and execute PMAS related change management initiatives in collaboration with other HR colleagues, the EPMAT, managers and supervisors 6. Develop and ensure approval of output focused job descriptions for the required posts in collaboration with other HR colleagues, managers and employees 7. Facilitate Unit Work Plan sessions as necessary 8. Review samples of unit work plans and individual work plans to ensure quality of content (alignment and completeness in specification) 9. Develop customised manuals and forms for the Ministry and its Departments, in keeping with the Guideline PMAS Prepared by: PMAS Programme Implementation Manager Page 8 of 45

13 B. Human Resource 10. Develop customised PMAS material employee orientation sessions in the Ministry and its Departments 11. Provide training for newly appointed managers, supervisors with respect to their responsibilities under the PMAS 12. Provide guidance and information on PMAS related issues to all staff including managers and supervisors C. Administrative Monitoring and Compliance 13. Ensure that all staff are aware of the timetable for PMAS related activities over a given financial year 14. Prepare comprehensive PMAS compliance reports for the EPMAT 15. Maintain current register of employees, their appraising managers and reviewing managers 16. Ensure that all managers and supervisors are in receipt of all PMAS manuals, handbooks, templates, policies and procedures required to operate with the system 17. Ensure that PMAS work plans are received for all relevant staff members in a timely manner 18. Monitor compliance with the conduct of interim evaluations and provides guidance as necessary 19. Ensure that performance appraisals for all relevant staff members are completed on an annual basis 20. Monitor the implementation by managers of remedial and corrective action to address poor performance 21. Monitor the implementation of development plans as an important aspect of performance management 22. Ensure that performance appraisal records are properly maintained 23. Maintain a confidential register of performance ratings and applicable pay awards/sanctions 24. Extract required employee records for the audit of the system and provides other support as required for the post implementation evaluation of the system Recognition and Reward 25. Ensure that staff eligible for an increment/award are identified, and the relevant HR officers and payroll notified in good time 26. Participate in the work of the Internal recognition and Reward Committee to provide support to the process of determining eligibility for recognition and reward 27. Provide guidance to managers on giving recognition and rewards at the Divisional or Unit level 28. Coordinate the arrangement of recognition and reward activities/events at the corporate level Prepared by: PMAS Programme Implementation Manager Page 9 of 45

14 Reporting 29. Prepare Confidential Summary PMAS report on appraisal results for identified authorised users 30. Prepare Confidential Detailed PMAS report on appraisal results for identified authorised users 31. Prepare PMAS status reports for the EPMAT and the PMIT monthly and/or as otherwise required 32. Prepare Special PMAS related reports as required D. General 33. Provide ongoing guidance to managers and supervisors on all PMAS related issues through coaching or training as best addresses the need(s) Performance Standards: 1. Plans are prepared in established format, within agreed timeframe and supports the established objectives of the PMAS and the specific needs of the Ministry or its Department 2. Key deliverables are produced within agreed timeframes to required standards as agreed 3. PMAS documents, guidance and training provided are in accordance with the established principles as outlined in the Guidelines issued by the Office of the Cabinet 4. Reports are produced in accordance with the established format and submitted within the timeframe required 5. PMAS communications are clear, issued in a timely manner and are appropriate for the purpose and the target group 6. Adequate controls and tracking systems are implemented 7. Recommendations for corrective action and/or improvements are proactively identified in a timely manner and are fact based 8. Approved changes are implemented within agreed timeframe, in accordance with stated expectations 9. Staff in the Ministry and its Departments are satisfied with the quality of support received 10. Customer satisfaction is continuously improved. 11. Confidentiality and integrity are exercised at all times Required Competencies Technical Comprehensive and sound knowledge of the PMAS as established in the Guidelines issues by the Office of the Cabinet Proficient Use of computer applications (Word, PowerPoint, Excel) Good presentation skills Good coaching skills Prepared by: PMAS Programme Implementation Manager Page 10 of 45

15 Core Strong impact and influence skills to guide managers and other staff through the extensive performance culture change the PMAS represents Sound analytical thinking Methodical Strong change management skills Demonstrated Initiative Results oriented Strong customer orientation Effective problem solving skills Effective oral and written communication skills Strong Interpersonal skills Personal and professional integrity Authority Required Determine the content of general PMAS communication within the Ministry and to the Departments Agree with managers timelines for the conduct of requested interventions Recommend approaches to the execution of PMAS interventions Recommend PMAS related procedures specific to the Ministry or its Departments Recommend PMAS related corrective action specific to situations arising in the Ministry or its Departments Recommend as a member of the Internal Recognition and Reward Committee, rewards to be given to staff Enforce the acceptable quality standards for work plans 7. What must happen for the integrity of the PMAS to be maintained in my organisation? When implementation of the PMAS begins to yield the expectations as stated, there will be a greater level of acceptance and buy-in for the System. It is therefore critical that the Fundamental Principles and Values are applied and fostered in how the organisation operates. Maintaining the integrity of the PMAS involves (as outlined above) a number of process and people issues. The following provides for HRM, a guide for addressing both areas: Prepared by: PMAS Programme Implementation Manager Page 11 of 45

16 7A. The Fundamental Principles and Values of the PMAS Ensuring Adherence Principles and Values 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. Role of HRM in ensuring adherence Ensure that every staff member has seen and signed their job description. Place the signed original on their personal file and give them a copy. 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. Regularly (at least quarterly) ascertain whether managers and supervisors are communicating with their staff, and vice versa. Take the appropriate corrective action (e.g. coaching). 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) Sample work plans (across Divisions) at the start of the performance appraisal cycle in March/April to test the clarity and S.M.A.R.T. of the performance standards and ensure signatures of both parties. Ensure corrective action where necessary, to avoid appeals at the end of the cycle. Prepared by: PMAS Programme Implementation Manager Page 12 of 45

17 Principles and Values 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. 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. 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. 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. Role of HRM in ensuring adherence Ensure interim evaluations have been done and documented. Also monitor the implementation of agreed corrective action/development plans agreed. Remind and monitor the adherence to the recording of Agreed Changes to the work plan where such change is necessary. Be proactive; use your knowledge of changes in targets and/or resources (financial, human, time) to identify divisions/units or individuals who would require some adjustment to their work plan. Monitor the implementation of agreed development interventions/corrective action. Encourage and seek feedback from employees. Provide advice where necessary. Ensure that managers/supervisors and staff are fully aware of their roles and responsibilities. Provide them with guidelines for the actual conduct of the interim and final appraisals. Prepared by: PMAS Programme Implementation Manager Page 13 of 45

18 7B. Documentation for Accountability and Expectations Ensuring Completeness and Appropriate Preparation 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 4 documents that facilitate this are the Output Focused Job Description, the Work Plan, the Competence Assessment and Agreed Changes to the Work Plan. Attention to the completeness of these documents may seem mundane but it facilitates better managed performance and reduces the likelihood of performance appeals. 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 holder, the basis will be set for fair and objective performance appraisals. The Output Focused Job Description is written in relation to the goals of the organization and defines the accountabilities of the job holder. It documents the following information: 1. Job Title 2. Job Grade 3. Department 4. To whom you report 5. The job positions supervised 6. Signatures that validate the job description Job holder Manger/supervisor 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 Prepared by: PMAS Programme Implementation Manager Page 14 of 45

19 Checklist For Ensuring Completeness Of The Output Focused Job Description And An Understanding Of The Job When 1. Ensure that the job description contains all the basic required elements 1 When job descriptions are created or revised 2. Ensure that the job description is approved When job descriptions are created or revised and before a copy is given to the job holder to sign 3. Ensure that each staff member understands that they are to review their approved output job description and sign it as read and understood on the appropriate section of the cover page. 4. Ensure that each staff member (attached to an established post) is provided with a copy of their approved and signed output focused job description 5. Ensure that master copies of all current approved output focused job descriptions are appropriately maintained by the HRM Division On recruitment, transfer, promotion or when revised On recruitment, transfer, promotion or when revised At all times The Individual s Work Plan The 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 must seek to: 1. Align work responsibilities (as defined in the output focused job description) with the strategic goals of the organization (as defined in the Operational Plan and the Division/Unit Work Plan) 2. State clearly the outputs expected from an individual employee 3. Promote quality work through the agreed performance standards 1 The PMAS Technical Reference Manual provides this information Prepared by: PMAS Programme Implementation Manager Page 15 of 45

20 The individual s work plan must be: 1. Developed in consultation between managers/supervisors and employees 2. With agreed objectives written in clearly stated terms The Work Plan is the document that defines what a staff member is 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 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 standards Checklist For Monitoring the Quality of the Work Planning Process 1. Ensure that each staff member has a copy of the discussed and agreed work plan with the required elements (See Appendix A2) 2. Vet a sample of work plans for the quality and completeness of the content 2 When By the end of April each year. Remind all staff of this requirement in February and March of each year. Recommendation: Request a copy of each initial work plan agreed Log initial work plans as they are received (See Appendix 1 for a template). Place on the staff member s file As work plans are received in April. (See Appendix 2 and 3 for general guidance). Discuss findings of concern with the relevant manager/supervisor. Ensure that the improved work plan is discussed, signed off, a copy resubmitted and re-filed. 2 HRM must be cognizant of the business objectives of each Division/Unit/Section to be able to assess this Prepared by: PMAS Programme Implementation Manager Page 16 of 45

21 HRM must encourage staff members to keep an electronic copy of the initially agreed work plan, to facilitate easy modification as agreed and signed-off with their supervisor (on the Agreed Changes to the Work Plan). Competence Assessment Mechanisms The competencies against which each staff member will be assessed must be defined in the job description and any other document as agreed by the organisation and communicated to the staff member. 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 an individual is required to do. The technical competencies critical to a particular job along with the level at which it must be demonstrated, must be defined when job descriptions are created. Checklist For Ensuring That Expected Performance Against Competencies Are Defined And Communicated 1. Ensure that managers/supervisors agree and document with their staff members, the critical competencies against which they will be assessed 3 and on what the assessment will be based. 2. Vet a sample of the forms that define the mechanisms for assessing competencies, for the quality and completeness of the content 4 When By the end of April each year. Recommendation: HRM must log them as they are received. (See Appendix 4 for a template). Request a copy of the agreed form for each staff member Place on the staff member s file As they are received in April. (See Appendix 5 for general guidance). Discuss findings of concern with the relevant manager/supervisor. Ensure that the improved assessment form is discussed, signed off and a copy resubmitted. 3 Every technical competence listed on a job description does not necessarily have to be assessed in a given period 4 HRM must be cognizant of the business objectives of each Division/Unit/Section to be able to assess this Prepared by: PMAS Programme Implementation Manager Page 17 of 45

22 Agreed Changes to the Work Plan (Appendix 6) During the year significant changes to the work plan must be agreed and documented to ensure that the work and outputs 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 Checklist For Monitoring the Agreed Changes to Work Plans 1. Remind managers/supervisors and staff of the importance of formally documenting and signing agreed changes to work plans When In April each year when the initial work plan is received. Recommendation: Follow-up with reminders at least quarterly to all staff Prepared by: PMAS Programme Implementation Manager Page 18 of 45

23 8. Key HRM Responsibilities during The Performance Management And Appraisal Cycle Remind all staff of work plan timelines Receive/review: Work plans Competence Remind all staff about documenting changes, providing feedback, doing interim evaluations, provide related training Receive/review final appraisals Process appeals, initiate formal recognition and reward process Step 5: March/April Annual Review, Setting targets for new financial year, including those in relation to training & development Step 4: December/January Review performance in relation to targets & agree appropriate adjustments/ action 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 3: September/October Review performance in relation to targets & agree appropriate adjustments/ action Receive/review interim evaluations Monitor implementation of development interventions Remind all staff about documenting changes, providing feedback, doing interim evaluations, monitor implementation of development interventions Receive/review interim evaluations Remind all staff about documenting changes, providing feedback, doing interim evaluations, timelines for conducting final appraisals and submitting work plans for the next financial year. Ensure training and know-how in conducting final appraisals. Monitor implementation of development interventions Receive/review interim evaluations 9. The Performance Planning Process By the time the organisation is 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), the organisation s Operational Plan and each Division/Unit s Work Plan (including HRM s!) should have been drafted as the basis for defining the work priorities for the year ahead. Prepared by: PMAS Programme Implementation Manager Page 19 of 45

24 Divisional or Unit Work Plan HRM should work with Corporate Planning to ensure that Divisional or Unit Work Plans 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 When done properly, the Unit Work Plan facilitates fairly easy development of individual work plans by managers/supervisors and their staff. It is also a useful tool for ensuring that no one person in the Unit is overloaded with work. HRM should work with the Unit Head to resolve such issues where they are evident. Be a valuable business partner. 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 require some change during the year, as priorities and resources change. The responsibilities of HRM with respect to ensuring the quality of this process have already been outlined above. Competencies In the performance planning phase the technical competencies against which each staff member will be assessed should reflect those that are most critical for the achievement of the targets on the individual s work plan 5. 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 the staff member holds. 5 Assessment against all technical competencies may not be necessary in a given work plan period Prepared by: PMAS Programme Implementation Manager Page 20 of 45

25 10. 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 their 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. HRM must advise all staff members as to what has been agreed for the 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 progress with targets, any anticipated challenges 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. The HRM Unit must provide managers and supervisors with the format agreed for the organisation (see Appendix 7 for a template) and follow-up to ensure that interim evaluations are done and returned to HRM for filing (see Appendix 8). Documented Interim Evaluations are evidence of feedback given and received and agreement on follow-up action. Documenting the evaluation(s) fosters commitment to the action agreed and provides information in the event of a Performance Appeal. In between interim evaluations feedback should also be given as a part of the ongoing monitoring of performance. Monitoring allows: The development of 2-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. HRM should provide managers and supervisors with guidance in resolving these issues before the formal end-of-year appraisal where necessary. Prepared by: PMAS Programme Implementation Manager Page 21 of 45

26 11. Transfer/Resignation Appraisals When persons resign or are transferred before the end of a financial year, HRM must ensure that the performance status of all parties at this point is ascertained. Executives, Managers and Supervisors must complete interim performance evaluations for their direct reports as close to the point of their departure as possible. This will ensure that the new person, to whom they will have to report, will have a clear understanding of the status of work agreed up to the time of their assuming duties. Executives, Managers and Supervisors should also have their own evaluations done to facilitate the preparation of recommendations and as a record of their own performance. Other staff members should also have their evaluations done to facilitate the preparation of recommendations and as a record of their own performance. The evaluation of the staff member transferring must be completed in the same manner as the formal end of year appraisal. The evaluation of targets must therefore be based on what should have been achieved to date. 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. Preparing for the Appraisal Session HRM should have ensured that at this point all managers/supervisors would have been trained in how to conduct the end of year appraisal. All other staff members under the PMAS must also be sensitized to the appraisal process. Supporting Documentation HRM should remind staff members of all the relevant documentation necessary to ensure the credibility and transparency of the performance appraisal process. 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 Prepared by: PMAS Programme Implementation Manager Page 22 of 45

27 Signing the Performance Appraisal HRM must ensure that all performance appraisal forms received are properly completed and signed by all parties (refer Appendix 9). 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. The Reviewing Manager (where applicable) should also write a comment as to the apparent fairness of the evaluation. 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. HRM must ensure that this section of the Performance Review Form is properly completed at the time of the formal end of year appraisal. (Refer Appendix 9 for guidance). HRM must ensure that the information from the development plans informs the general training plan and where necessary discuss specialised training needs with the relevant managers/supervisors and their staff for the necessary and agreed action to be taken. 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. HRM must actively support the recognition and reward process during the year and at the end of the year. During the year through discussion with managers/supervisors and staff, HRM should assist managers with implementing creative and motivating informal recognition schemes. Following the completion of end of year appraisals, HRM has a number Prepared by: PMAS Programme Implementation Manager Page 23 of 45

28 of key responsibilities in the formal recognition and reward process, including facilitating the timely resolution of any performance appraisal appeals filed. Every effort should be made to properly resolve any performance appraisal appeals 6 pending within the shortest possible time, in order to complete the recognition and reward process within eight (8) months of the end of the financial year. All appeals should therefore be processed by mid-july. THE RECOGNITION AND REWARD PROCESS Basis: Job Related Performance only Payment of Increments and One-Off Payments On assuring the completeness of the performance appraisal reports received, HRM must then prepare a list of all staff members and the final appraisal scores achieved. The process for authorising payment of increment to persons who have scored at least 75% must then be initiated and the payment made in a timely manner. This helps to protect the integrity of, and minimise any cynicism regarding the System. The one-off payment is a new benefit resulting from the implementation of the PMAS, and HRM must ensure that persons who qualify (refer the relevant Circular from the Ministry of Finance and Planning), also receive it in a timely manner. Processing Additional Rewards 1. HRM must prepare a list of staff members whose performance is at Levels 1, 2 and 3. The list is to be submitted to the Internal Recognition and Reward Committee within 2 weeks of receiving all final appraisal reports. (End of April to mid-july). (Please see Appendix F in the Recognition and Reward Framework for the list template). 2. The Internal Recognition and Reward Committee will discuss and determine the Level 1, 2 and 3 recognition and reward options. HRM is responsible for planning the award programme. The awards decided by the Internal Recognition and Reward Committee should be given to the recipients within six (6) weeks of the decision taken by the Committee. 6 Please consult the relevant section in the Guideline System Manual for the procedure and the maximum timelines Prepared by: PMAS Programme Implementation Manager Page 24 of 45