managing performance through people
TRANSCRIPT
Managing Performance Through People
Leicestershire County Council’s
Performance Guidance for Managers (2009)
ITEM NO. 4
APPENDIX 3
Contents
PART 1 – MANAGEMENT COMPETENCY FRAMEWORK
1. Introduction
2. What are competencies?
3. How will the framework be used?
4. The Management Competency Framework
5. Assessing performance
• Sources of evidence
• Making an assessment
• The rating scale
• Completing an assessment - evidence boxes
6. Using 360° feedback
7. Links with National Occupational Standards for Managers
8. Appendix A - Guide for 360° Reviewers
PART TWO – MANAGING PERFORMANCE THROUGH PEOPLE
PERFORMANCE DEVELOPMENT REVIEW (PDR)
1. Introduction and scope
2. The benefits of the PDR process
3. Corporate standards for PDR
PDR Meetings
Confidentiality
Setting targets, objectives and standards
Performance examples
Training, learning and development
Monitoring and reviewing
4. Roles and responsibilities
Reviewer
Reviewee
5. The PDR meeting
Preparation
Conducting the meeting
Setting objectives
Performance assessment
Succession planning
6. Equality and Diversity
Positive action
7. Personal Development Record
8. Appeals
9. Summary
10. Appendices
PART 1 – MANAGEMENT COMPETENCY FRAMEWORK GUIDANCE 1. Introduction Leicestershire County Council is committed to a culture of continuous improvement and development both in the services provided and the way in which services and staff are managed. The management competency framework is part of the overall strategy for supporting the development of Leicestershire County Council’s managers. The framework defines the core behaviours that all managers across the authority are expected to demonstrate in their day to day work regardless of their specific role. This document is an updated version of the management competency framework which was launched in 2007. It has been updated based on feedback from managers at all levels and also to reflect the changing priorities of the Council. Further updates will be made on an annual basis to ensure that the framework continues to meet the Council’s needs. Purpose The aim of the framework is to enhance both individual and organisational performance and to ensure that Leicestershire County Council’s Organisational Values are consistently implemented and reflected in day to day practice. Benefits
Individual benefits
• Individuals can see more clearly the contribution they make towards achieving objectives.
• Individuals know what is expected from them in terms of performance in their job role.
• Individual performance can be managed more objectively and more individually, supporting performance improvement.
• Training and development can be mapped against recognised measurable individual performance.
• Career progression and personal development can be structured.
• Confidence is promoted from knowing the job is being ‘done well’.
Organisational benefits
• Management roles can be designed based on the framework.
• Training and development needs can be identified more easily because expectations of performance are clear.
• Performance improvement is simpler because it is based on agreed criteria.
• Development can be directly linked to organisational needs and to the skills, knowledge and behaviours required for each competency.
• The framework provides a link between recruitment and retention and staff development and training.
• The framework is set within the clear context of the organisational values, corporate responsibilities, customer focus and equality and diversity.
2. What are competencies? A competency clearly defines and describes behaviours needed to perform effectively at work. These behaviours are both observable and measurable and taken together within the competency framework describe effective management practice. They explain HOW we need to perform our roles, rather than WHAT we need to deliver. For managers there are two key components to the management role:
• Behavioural competencies and
• Technical knowledge required for a particular job, for example professional qualifications.
Leicestershire County Council’s Management Competency Framework details the behavioural competences that all managers across the organisation are expected to display in their day to day work. 3. How is the framework used? - An overview
Management Competency Framework
Recruitment Induction/ Probation
PDR Continuing Professional Development
Succession Planning
Managers Development Pathway
Recruitment The competency framework should be used as a reference for all jobs which have management responsibilities. The competencies are used to inform both the Person Specification and the Job Description. At interview some questions will be focused on key areas within the framework to test if there is evidence of these behaviours being demonstrated within previous job roles. Induction/Probation As part of their induction managers should familiarise themselves with the framework and discuss with their manager any areas which require clarification and development in terms of their job role. During the probationary period the expectation is that managers will demonstrate the behaviours required across the range of situations they encounter during that time. As part of the probationary interview, strengths should be highlighted and areas for further development discussed to inform the individuals first development plan. Performance and Development Reviews (PDR’s) The competency framework is used as part of the PDR process for managers. Reviewers and Reviewees are required to make an assessment against the framework detailing the level of performance against each of the competencies as defined by the supporting statements. A discussion based on the assessments will then take place. The purpose of the discussion is to ensure that effective performance is recognised and valued and to identify areas for continuing development. Continuing Professional Development Managers should aim to gain experience/have opportunities to develop the behaviours across all the competency areas in relation to their own management level. However, wherever possible managers should also seek out opportunities to develop the behaviours required at the more senior levels within the framework. Succession planning Individuals demonstrating a high level of performance across all the competencies /behaviours detailed for their level of management may be considered for future promotion.
4. The Management Competency Framework The Management Competency Framework is built upon key organisational foundations which underpin Leicestershire County Council’s culture and ways of working. The themes of Equality and Diversity and Customer Service underpin the framework as they are fundamental both in the development and management of the organisation, and the delivery of services. In addition, managers are expected to be guided by the Organisational Values and the Council’s Corporate Responsibilities. The management priorities – Deliver High Performance; Manage and Develop People; Lead, Inspire and Motivate; Build Relationships to Achieve Results and Champion Continuous Improvement cover the key areas in which Leicestershire County Council expects its managers to perform. They are applicable to all managers.
Customer Focus
Equality and Diversity
Values
Corporate Responsibilities
As Managers in Leicestershire County
Council, we will: By:
Deliver high performance Managing people and resources to create more effective and efficient service delivery.
Manage and develop people Developing high performing teams, enabling continuous learning for all employees and celebrating success.
Lead, inspire and motivate Setting a clear purpose, direction and targets for individuals and teams.
As Managers in Leicestershire County Council, we will:
By:
Build relationships to achieve results Engaging effectively with all relevant stakeholders and maximising co-operative relationships even in difficult circumstances.
Champion continuous improvement Creating an environment where new ideas are encouraged and all managers lead change.
Example extract:
Deliver High Performance
By managing people and resources to create more effective and efficient service delivery. The four competency clusters are – Managing and Development Self, Managing Resources, Managing Projects and Managing Customers. Using the supporting statements as a guide, assess each of the competencies.
Level 1 (Up to Grade 12
Level 2 (Grades 13 - 15 )
Level 3 (Grades 16 - 22)
Managing and Developing Self
• Takes responsibility for organising own work to achieve objectives in order of priority.
• Manages time effectively to ensure tasks are completed and deadlines are met.
• Demonstrates a flexible approach to meet changing demands.
• Develops personal ways to manage stress, conflict or other pressures.
• Seeks regular formal/informal feedback from others.
• Seeks out and takes opportunities to develop, including CPD, learning from others, taking on new responsibilities and keeping up to date with new developments.
• Balances urgency against importance to ensure objectives are met.
• Balances own priorities with the needs of others when tackling competing demands.
• Demonstrates a flexible approach and a persistence and resourcefulness to get things done.
• Reflects on own practice and is aware of own strengths and weaknesses.
• Anticipates the need for different skills and knowledge and takes appropriate action.
• Prioritises own/service activities in the context of corporate needs as a whole to ensure own, service and corporate objectives are met.
• Consults with and makes use of ‘experts’ to enhance personal effectiveness and to share best practice.
Title of the
management priority High level definition
Supporting statements applicable to
each level of manager Competencies
Management Priorities are the key areas of focus of managers and contain groupings of up to four related Competencies designed to reflect the key management priorities. Competencies identify the key behaviours which managers are expected to demonstrate. Supporting Statements are examples of the types of behaviours that LCC would expect to observe within this competency,when a manager demonstrates effective behaviour relevant to their level. The framework is for all LCC managers. A manager is defined as a person who has responsibility for managing others and for conducting another’s Performance and Development Review. The framework is not applicable to those employees who fall within managerial grade bands who do not have any responsibility for managing others. The framework comprises of three management levels:-
• Level 1 - Managers graded up to 12
• Level 2 - Managers graded 13 -15
• Level 3 - Managers graded 16 -22
Grade/ Level
Definition
Level 1 (Up to grade
12)
• Responsible for a single integrated team.
• Responsible for planning and delivering short term operational work activities.
• Works within clearly defined policies with specific objectives.
• Understanding, influencing, empathising and communicating with people are important considerations in achieving service delivery and objectives.
• Receives direction from senior managers.
Level 2 (Grades 13-15)
• Responsible for a service area and one or more inter-related teams.
• Responsible for operational service forward planning, and establishing priorities. Contributes towards strategic planning of services within the political and partnership context of LCC.
• Works within broad functional policies and objectives.
• Required to influence, develop and motivate people to achieve objectives.
• Receives general guidance only.
Grade/ Level
Definition
Level 3 (Grades 16-22)
• Responsible for development of a major service or group of services.
• Required to lead on corporate wide processes/projects and in partnership with other organisations.
• Responsible for strategic planning of services. Required to set direction and provide leadership within the political and partnership context of LCC.
• Involved in the development of new concepts and approaches, requiring analytical and creative thinking which contribute significantly to organisational change and development.
• Required to influence, develop and change the motivation and behaviour of people to achieve organisational priorities.
The supporting statements for each level outline in general terms the main responsibilities for each level of manager and provide the context for assessment. The Supporting Statements are cumulative, i.e.: those at Level 1 apply also to managers at Level 2 and Level 3 also. Likewise, Supporting Statements at Level 2 also apply to managers at Level 3. 5. Assessing Performance Against the Management Competencies.
Assessing performance is not an ‘exact science’ however it should be based on evidence and examples of behaviour. Managers will need to rate their own performance and also the performance of any other manager for whom they are required to conduct a Performance and Development Review (PDR) and, in some instances, contribute to a 360º review. Sources of evidence There are two main types of evidence that can be used to demonstrate effective performance.
� Products and outcomes of work activities such as documents or records of activities (‘what’ was achieved).
� Evidence of ’how’ an activity was carried out; these may be self report examples and /or feedback from others who have observed performance.
Examples of evidence could include:-
• Actions taken to implement improvements.
• Actions taken to address issues or in response to feedback received.
• Feedback received from others.
• Personal training and development records.
• Reports, minutes of meetings.
• Planning documentation. Making an assessment Read through the supporting statements for each of the competencies. Remember that the supporting statements are cumulative and it is expected that managers demonstrate the supporting statements at all levels below their grade. Consider each of the statements and determine whether there is evidence or examples of behaviour of performance in that area. It is expected that behaviours should be demonstrated throughout the individual’s management role and that ‘one-off ‘examples of behaviour are not necessarily sufficient evidence to suggest that an individual performs well in that area. Behaviours need to be consistently demonstrated throughout the individuals day-to-day interactions and any arrangements or processes put in place need to be followed through and shown to be effective. Where statements refer to the team, there needs to be evidence of effective behaviours relating to all members for whom they are responsible and not just evidence of effective management of a few individual members. Equally, where statements refer to ‘within your area of responsibility’ there needs to be evidence of effective performance within the whole of that area. Once the evidence has been identified and examples of performance in each of the areas can be determined then the rating should be made based on the criteria set out in Table A. The Rating Scale -Table A
The Rating Scale is laid out as follows: 1 – Low...2…3…4... – High...N/R (No Rating)
Scale Definition Guidance
1
Performance is Unacceptable. Does not demonstrate the behaviours expected. (NB: Behaviours expected are those stated in the Management Competency Framework and also in the relevant Job Description)
• Little, none or contrary evidence of behaviours expected being demonstrated.
Actions
• Consider if the person is capable/has the ability to develop the behaviours required?
o If Yes - need to set clear targets and
timescales for improvement and agree development activities/support that are likely to have maximum impact on improving performance. On-going monitoring required.
o If No or no improvement after setting clear targets and timescales for improvement, see Capability Procedure guidance.
2
Meets Some Expectations Demonstrates some of the expected behaviours.
Development needs in one or more number of key areas.
Requires support to develop behaviour in key areas.
• There is evidence of some behaviours being demonstrated but cannot be relied upon to do this on all occasions when required.
• Clear priority areas for development.
Actions
• Set clear targets and timescales for improvement.
• Agree:- o activities and specific improvements
required o review and monitoring arrangements o support and supervision arrangements
3
Meets Expectations Demonstrates the expected behaviours on all occasions.
Significant strengths and development needs focused on refining current skills/behaviours.
• Consistently meets the requirements of all the supporting statements.
Actions
• Further development in this area must be considered carefully to identify what ‘added value’ is to be gained. Development activities likely to be focused on refining and improving skills/behaviours in key areas of work or keeping up to date with ‘new’ practices /initiatives and ‘refresher’ training.
4
Exceeds Expectations Frequently demonstrates behaviours at a higher level than is expected and acts as a role model to others.
Coaches and supports others utilising breadth of experience and /or specialised depth of expertise.
Actions
• Consider opportunities for developing mentoring/coaching role.
• Development activities likely to be focused on keeping up to date with ‘new’ practices /initiatives and ‘refresher training.
N/R
No opportunity to demonstrate expected behaviours.
• This rating should only be used if there has been no opportunity to demonstrate the expected behaviours in the current management role, for example when new in post etc.
• Opportunities for developing in this area need to be identified and arranged to ensure that all areas within the framework are covered.
Completing the assessment - evidence boxes PROCESS MAY CHANGE DEPENDING ON UPDATES TO ELECTRONIC SYSTEM Finish the assessment by completing the evidence box for each of the competencies. Comments in the evidence box should provide a summary of the rationale used in deciding on the rating. This may include particular evidence of either effective or poor performance. It is an opportunity to highlight strengths and detail areas for further development.
From the comments in the evidence box it should be clear why a particular rating has been given. This is of particular importance if there are differences in opinion between the Reviewee and the Reviewer, so that both parties can understand the other’s point of view, and enter into a meaningful discussion 6. Using 360º feedback 360º feedback is a process where an individual is rated on their performance by people who know something about their work. Each manager should receive 360º feedback from individuals other than their direct Line Manager every 3 years. It is important that the 360º Reviewers are credible to the individual being assessed.
Each 360° Reviewer can provide a different perspective on the individual’s skills and attributes and so help to build a more complete picture of the individual’s strengths and areas for development than could be obtained from any one source.
The resulting information is presented to the individual with the aim of helping them gain a better understanding of their skills and areas for development. The benefits are:
• Provides the individual with an opportunity to learn how other colleagues perceive them, leading to an increase in self awareness.
• Encourages self development.
• Increases understanding of their own behaviours.
• Promotes a more open culture where giving and receiving constructive feedback is the accepted norm.
Choosing Reviewers
Identifying the most appropriate people to rate an individual’s performance is a key part of the process. The choice of 360º Reviewers should be a joint decision between the Reviewee and the Line Manager (Reviewer) and be decided as part of the preparation for the review.
There are five different groups of people from which 360º Reviewers can be selected:
Direct Reports Customers
Peers Senior Manager
Partners
Direct Reports
These are people who are managed by the individual.
Peers
These are people who work with the Reviewee and operate at the same level within the organisation.
Senior Manager
This may be the next level of manager above line manager or another Senior Manger within the organisation for whom work has been delivered and who is able to provide feedback on the Reviewee’s managerial performance.
Partners
Managers who spend a significant proportion of their time developing relationships and working with partners may wish to choose 360º Reviewer’s from this group. As the system is a web based system it is possible for partners from external organisations to contribute.
Customers
Customers can be either internal or external to the organisation and can be thought of as anyone for whom the Reviewee is responsible for delivering services to.
When selecting your 360º Reviewer’s it is important to remember that:-
• The only group of people that it is compulsory to select 360º Reviewers from is the Direct Reports.
• 360º Reviewers need to be able to comment on a significant number of aspects contained within the framework. (This is important for both the 360º Reviewers and Reviewee so that all parties feel they are able to make a constructive and positive contribution to the process.)
• That all parties have access to a computer connected to the internet with Internet Explorer version 4.0 or later.
Clearly the more 360º Reviewers chosen the more complex the process becomes and potentially the longer it may take to complete the final assessment. A maximum of six 360º Reviewers can be selected from each of the groups listed below.
The final decision on the number of 360º Reviewers rests with the Reviewee and the Reviewer (Line Manager). A maximum of 6 weeks will be given for reviewers to complete their assessment, after which the 360º assessment will be closed.
Table 2 details some suggested recommendations/ guidelines
360º Reviewers Guidelines/Recommendations
Direct reports In order to maintain the confidentiality of the 360º Reviewers and encourage direct reports to provide honest and constructive feedback, it is recommended that a minimum of three direct reports are required to complete the assessment.
Remember It is compulsory to choose people from this group
Peers It is recommended that where possible a minimum of two peers are chosen to give a balanced view.
Senior Manager For most people it is likely that there may only be one Senior Manager apart from their direct Line Manager who is in a position to provide feedback. However, more than one may be selected if appropriate.
Partners The number of 360º Reviewers in this group is left to the discretion of the Line Manager and the Reviewee.
Customers The number of 360º Reviewers in this group is left to the discretion of the Line Manager and the Reviewee.
Choosing a representative sample
Whilst it should be a joint decision between the Reviewer (Line Manager) and the Reviewee as to who to choose to provide feedback, it is the responsibility of the Reviewer to challenge the choice of 360º Reviewers if they consider that the individuals suggested by the Reviewee are unlikely to be able to provide a balanced and comprehensive feedback on the Reviewee’s managerial performance.
For example, when selecting Direct Reports the following factors where appropriate should be taken into consideration.
• Different grades of staff who report to the Reviewee.
• Diversity of staff.
• Representatives from all teams where the Reviewee manages more than one team.
• Different job roles.
Conducting the 360º Review
Once the Reviewer (Line Manager) and the Reviewee have agreed on who is to provide feedback, it is the Reviewee's responsibility to approach the people and to explain to those people who are not familiar with the framework both the purpose of seeking their
feedback and the process to be used. It is recommended that this initial explanation wherever possible should be conducted face-to-face and can either be done at a team briefing/meeting or on an individual basis.
It is important to:
• Brief the 360º Reviewers about the framework (using the information in this guide), particularly the requirement to complete the review within 6 weeks.
• Explain that the purpose of providing feedback is to help you to highlight strengths and also to help you identify areas for development.
• Encourage people to provide objective and constructive feedback on as many of the competencies as possible.
• Ensure that the 360º Reviewers have access to the internet or make appropriate arrangements to provide them with access.
• Explain if they really cannot comment on a particular aspect of performance they should mark N/R (No Rating).
• Explain and reassure people about confidentiality issues.
• Make time for the 360º Reviewer to complete the assessment.
Once the Reviewee has gained agreement from the 360º Reviewers that they are willing to participate in the process the nomination form needs to be completed. On the form you will need to list the Reviewer (Line manager), 360º Reviewers and your own details and e-mail the form to McLaren Solutions. Each user will then be sent an e-mail stating their participation in the 360º process and their log – in details.
MAY CHANGE IF SYSTEM CHANGES.
360º Reviewers will complete the competency assessment in the same way as other Reviewers (Line Managers).
After all participants have completed the assessment the data is automatically processed and the review data generated.
The outputs of the 360º review are as follows: 1 - Assessment Summary - compares the scores submitted by the Reviewee, Reviewer and average for the 360º Reviewers. 2 - Strengths - lists those behavioural indicators that have been identified as strengths (where the average score of the Reviewer and 360º Reviewers has scored equal to or greater than 5). 3 – Development Needs - items of Learning and Development (L&D) are identified when the average score of the Reviewer and 360º Reviewers has equal to or less than 3.5.
7. Links with the National Occupational Standards for Managers
Unit A Managing Self
Unit
B
Pro
vidin
g
Dir
ectio
nUnit C
Facilitatin
g
Change
Unit DWorking withPeople
Unit EUsing Resources
Unit F
Achieving
Results
Managing Self
Str
ate
gic
Le
ad
ers
hip
Ma
na
gin
g S
erv
ice
sManaging Change
Innovating and Im
provingManaging People
Working in Partnership
Ma
na
gin
g R
es
ou
rce
s
Managing Services
Managing Change
The National Occupational Standards for Management and Leadership were approved in May 2004. They describe the level of performance expected in employment for a range of management and leadership functions and activities. The units which comprise the standards are shown in the inner circle. Further details about the units can be found by accessing their website: http://msc.managers.org.uk Leicestershire County Council’s Management Competency Framework covers many of the same key areas and the relevant links between the competency clusters and the National Occupational Standards are shown in the diagram above. Examples and evidence of effective practice collated in preparation for assessment against the Management Competency Framework will provide some of the evidence required within the relevant units for the National Occupational Standards. Equally, engaging in development activities in relation to the competencies within the framework will provide some of the underpinning knowledge, skills and understanding
detailed within the units of the National Occupational Standards and other associated management frameworks. 8. Using the Assessment System TO BE UPDATED AFTER FURTHER DISCUSSIONS WITH MCLAREN
Appendix A - Guide for 360º Reviewers
The role of the 360º Reviewer is to provide feedback to the Reviewee on their managerial performance. You have been chosen by the Reviewee as they consider that you will be able to provide them with valuable feedback which will help them to further develop their management skills. Completing the assessment for the Reviewee should be viewed as part of your day to day work, and should be prioritised as you would any other task to ensure that it is completed by the agreed deadline. Before you begin the assessment it is recommended that you read the Management Competencies Guide. Conducting the assessment Familiarise yourself with the framework. Identify those competencies where you feel you are able to make an objective assessment. Competencies where you feel you are unable to make an objective and informed assessment should be scored as ‘N/R – No Rating’. Using the guidance set out in section 7 on the rating scale, give a rating for each of the competencies. Give your own independent opinion and try to avoid discussing your assessment with others as if they may also be required to provide feedback and could be influenced by your opinion. In the evidence boxes at the end of each cluster of competencies add any additional constructive comments. This should include both areas where you think the Reviewee has performed well and areas for development. It is important that the comments are clear concise and constructive so that the Reviewee is able to fully understand the rationale on which your assessment is based. Once you have finalised the assessment, you will not be able to make any further changes. (Guidance on using the assessment system can be found in section 13) All assessments must be completed within 6 weeks of notification.
Confidentiality The Reviewee will not be able to access any of the 360º Reviewers individual assessment ratings. The results of your assessment will be combined with those of the other 360º Reviewers to give one composite assessment rating which will be shown in their summary assessment report.
PART 2 – MANAGING PERFORMANCE THROUGH PEOPLE – PDR GUIDANCE
1. Introduction and scope The main purpose of the PDR process is to ensure that all staff working for the County Council have access to a regular discussion about their performance and development needs in relation to their job role. A good PDR will provide individual members of staff with a sense of direction and purpose and the motivation to perform well in their role for the County Council. The aim of this guide is to provide all managers and staff with information on the Performance and Development Review (PDR) scheme for Leicestershire County Council. The scheme applies to all members of staff including long term temporary and fixed term staff. Casual staff and short term temporary staff should receive an induction into their job and managers will need to ensure that they consider training and development needs but may feel that a full PDR is not appropriate or proportionate to the employment contract. Where a casual or temporary member of staff works for the County Council for 6 months or more and is likely to continue in that role then a PDR is necessary. The guide combines best practice for managers and information about corporate standards which must be included in the PDR process. The guide is accessible for all staff to ensure they understand their responsibilities and those of their manager in conducting regular and effective PDR’s. The process is a mandatory requirement of all managers who have day-to-day managerial responsibility for staff. Within the management competency framework there are competencies relating to managing people which includes an expectation that managers conduct regular and effective performance and development reviews. The guide will take you through the whole PDR process and ensure that you have access to the right support, best practice guidance and paperwork to get the most out of the process. It is important that the PDR process is seen in the context of service planning and the County Council’s objectives. 2. The benefits of the PDR process Performance Management is the achievement of the organisation’s goals through setting objectives, managing and monitoring performance against these objectives, and providing the coaching and training that ensures all staff are equipped with the skills and knowledge to deliver the required results. The focus of performance management is on continuous development and performance improvement.
The PDR process is an essential element of setting objectives, targets and standards for all staff and then managing and monitoring how they are doing. It gives every member of staff an opportunity to reflect on their own performance, to think about their development needs, plan for the future and to talk to their manager about their work and the service. The PDR process helps to improve communication and encourage good performance through acknowledging and reinforcing it. It supports staff in a variety of ways including:-
• Understanding what is expected of them;
• Being clear about their own performance;
• Getting recognition for their work;
• Developing and maintaining skills, knowledge and confidence to do their job;
• Behaving in accordance with the Council’s Values;
• Promoting equality and diversity in their service;
• Taking personal responsibility for their own continuous professional development;
• Developing a quality approach. The PDR process enables managers to:-
• Focus on individual performance and agree actions to develop individual performance contributing to the service improvements and quality standards;
• Provide feedback on how to develop job roles;
• Identify any problems early and work with the individual on possible solutions;
• Identify talents and skills of individuals and make best use of skill mix for their team;
• Contribute to the development of a training plan for their service. The PDR process is not a process for dealing with poor performance but should be an opportunity to reflect on all areas of performance and ensuring that there are targets for development and improvement if necessary. Where there are specific concerns relating to poor performance then managers should consider whether there is a conduct or capability issue and seek advice from HR at the earliest opportunity. 3. Corporate Standards for PDR It is recognised and acknowledged that each service will have specific issues relating to how the PDR process is managed within their service planning timescale. However, the following 6 standards for the process are the same across the County Council. PDR Meetings
All staff must receive at least 1 full PDR meeting within a 12 month period and at least 1 formal PDR review meeting. The purpose of the formal PDR review meeting is to ensure that the objectives, targets and standards agreed at the full PDR meeting are on
track and that the member of staff is receiving any development agreed at that meeting. The meeting should be recorded in the PDR form where updates are made to objectives and/or additions made to the personal development plan. Where possible, there should be an equal period between meetings and 2 per year is the minimum. Where it is felt necessary PDR meetings can be conducted more regularly and the meetings may be conducted as part of regular supervision if these are already established.
The pace of change within the County Council and legislative developments and drivers from national government mean that staff need to be able to regularly review their role, performance and what is expected of them. It also provides managers with an opportunity to monitor progress and review any objectives, targets and standards previously discussed and agreed. It is essential for providing a structured 2-way communication on performance throughout the year. Managers and staff may feel it is necessary to meet more than twice but all managers and staff should ensure they commit to this minimum requirement. The detailed guide for conducting the PDR meeting is in section 5.
Confidentiality
The discussion held in the meeting between the manager and member of staff should be regarded as confidential. However, some of the training, learning or development needs identified as part of the meeting will need to be used as part of the development of service training plans and senior managers will have access to the record of the PDR meeting. The PDR form should be reviewed by the reviewers’ line manager to ensure that the process is being effectively conducted and that all managers are aware of the training, learning and development needs of staff within their service area. There will also be instances in which the PDR meeting provides some input into the service planning process. The PDR form and guide to conducting the PDR meeting will ensure that managers and staff are clear about the bounds of confidentiality.
The Departmental Training Co-ordinators will have access to the development needs identified through the process.
Confidentiality is an important standard to ensure that the discussion held at the meeting is open and candid and provides a safe environment to openly address areas in need of improvement.
Setting objectives, targets and standards
The setting of objectives, targets and standards should be agreed between the manager and the member of staff and documented on the PDR form.
• Objectives are statements of key goals individuals intend to achieve. See section on setting smart objectives.
• Targets indicate the level of performance an individual should aim to achieve from a specific activity. This should include behavioural targets relating to the way people work including organisational values and customer care, for example. You can also set targets to break down an objective into smaller parts and/or to measure the achievement of an objective over time.
• Standards define what the minimum level of acceptable performance is for key tasks or elements of the job role. Standards may also include standards of behaviour which relate to the Organisational Values and for example quality standards such as those relating to customer care or data management.
When considering Objectives, Targets and Standards it is important to review the key strategic documents which set out the main priorities for the Council and the service, including the Corporate Strategy, Community Plan, departmental, service and section plans, as well as the Management Competency Framework where applicable.
Performance Examples Examples of actual areas of performance will be the most effective way of discussing objectives, targets and standards. Reflecting on recent performance will ensure that the reviewer is able to recognise good performance and highlight areas which need improvement. It is important that this part of the discussion is honest and open and that the manager and the member of staff share their perceptions. Refer to the guidance on giving and receiving feedback for more information. Learning and Development The PDR meeting is an opportunity to explore the learning and development needs of staff to enable them to meet the objectives, targets and standards required of them. There are many ways of meeting these needs which should also form part of the discussion. The County Council is committed to providing flexible and innovative ways of meeting the development needs of all staff and the manager should consider all options and take advice from the Learning and Development service, where appropriate. All staff should maintain their own personal development record as part of the PDR form. Monitoring and Reviewing The PDR process is a formal part of the management responsibilities for all LCC Managers and is meant to be one element of good performance management practice. Regular informal discussions should continue and the ongoing PDR process should be both reflective and forward looking. Learning from experience is the most effective learning tool for people and monitoring and reviewing progress is an ongoing process.
4. Roles and responsibilities The manager responsible for the day-to-day management of the member of staff is the reviewer and the member of staff is the reviewee. The responsibility for ensuring that a productive discussions takes place at a PDR meeting rests equally with the reviewer and the reviewee. These responsibilities begin prior to the actual review discussion, as it is detailed and considered preparation that will often determine the success of the meeting. It is important to remember that the PDR framework should be used to promote continuous improvement and lifelong learning. Reviewer Responsibilities Managers should ensure that prior to the PDR meeting they have:-
• Reviewed the previous PDR forms.
• Shared the relevant contents of the Corporate Strategy, Community Plan, Team or Service Plan and other key plans with the member of staff.
• Arranged a mutually convenient time and date (consider part-time workers) and provided at least a week’s notice.
• Familiarised themselves with the Management Competency Framework (if applicable).
• Provided the reviewee with an opportunity to make notes on key areas to be discussed in the PDR meeting.
• Ensured that enough time is allocated for the meeting.
• Arranged to hold the meeting in a private and appropriate environment.
• Considered the Corporate Strategy, Community Plan, service plan and other key documents and planned what objectives, targets and standards will be discussed and whether there are any areas of performance which need addressing.
• Considered what areas of performance should be praised and used for reflective learning including behaviours which support organisational values or excellent customer care.
• Reviewed any learning or development activities undertaken in the previous period and evaluated its impact.
• Reviewed the job description and the duties and responsibilities of the job.
• Considered whether there are further developmental needs and how these might be met.
After the PDR meeting the reviewer should ensure that the PDR form is completed and sent to the reviewee either within 2 weeks of the meeting or within an alternative timescale agreed between the reviewer and reviewee. Reviewee’s Responsibilities
The reviewee is required to contribute to the PDR process and should expect to have at least 1 full PDR and 1 formal PDR review meeting each year with their manager to discuss their own performance, to think about their development needs, plans for the future and to talk to their manager about their work and the service. Prior to the meeting the reviewee should ensure that they have:-
• Reviewed their previous PDR.
• Reviewed their personal development record.
• Familiarised themselves with the Team or Service Plan and other key plans which may impact on their work such as the medium Term Corporate Strategy and the Community Plan.
• Familiarised themselves with the Management Competency Framework (if applicable).
• Considered the areas which their manager will have advised them they will be addressing in the meeting.
• Reflected on areas of good performance including the way in which they work as well as what has been achieved.
• Considered what examples of performance might be useful for the discussion.
• Reviewed any learning or development activities undertaken and the impact of these activities.
• Reviewed the job description and the duties and responsibilities of the job.
• Considered whether there are areas for improvement in performance and if there are any development needs to support progress.
After the full PDR meeting the member of staff will receive a completed copy of the PDR form. They should sign the form if they agree with the record and return to their manager. 5. The PDR Meeting The purpose of the meeting is to have a 2-way discussion about the reviewee and their performance in their job. The exact style and duration of the meeting will vary depending on the nature of the job and the working arrangements of the manager and the member of staff. Some managers and their staff meet and talk daily or have structured supervision arrangements whereas others may not have the same opportunity due to the nature of their service, their work environment or working arrangements. The following is therefore meant to be a guide for how to get the most out of the process for both the manager and the member of staff and ultimately the service. Preparation
Successful PDR meetings are well planned and conducted effectively by both the reviewer and the reviewee. The preparation stage of the process is the most important part of making the process add real value and contribute to effective performance management. There are some useful guidance notes for assisting with preparation in Appendix A. Records The reviewer must have facts and evidence about the reviewee’s performance prior to the meeting. Specific examples of the reviewee’s work and performance over the whole 12 month period will enable the reviewer to manage a structured discussion about the reviewee’s performance and avoid generalisations. Specific examples of work in the previous period should have been recorded and maintained in preparation for the meeting.
Atmosphere The meeting should be regarded as an opportunity to focus on the reviewee and setting the right atmosphere is crucial to ensuring that the 2-way discussion is relaxed and open. The meeting should be held in a neutral venue that both parties can agree on. This may be a meeting room within the office or in an external venue if required (for example, for individuals who are not office based). Simple things like the layout of the room, providing refreshments, allowing sufficient time and ensuring that there will be no interruptions are all important ways to demonstrate that the meeting is important and that the member of staff is valued.
Paperwork There are standard forms which need completing following the full PDR meeting. The forms are meant to be helpful templates which enable consistent recording of the PDR meeting and any developmental needs identified. The form is not meant to be used as the agenda for the meeting and it is important that the meeting is not seen as a form filling exercise. Reviewers should take notes and then complete the form after the whole discussion has taken place and all aspects of the discussion can be recorded in context.
Where the reviewee is also being assessed under the Management Competency Framework, refer to the Management Competency Framework Guidance for more information about completing the assessment.
It would be helpful to have the service plan and other key documents on hand to refer to and discuss if necessary.
Conducting the meeting
The meeting should open with the reviewer setting the reviewee at ease and ensuring that the purpose and scope of the meeting is clear. It is also important to ensure that the intended outcomes are clear for the reviewee. The purpose of the PDR meeting is to have a 2-way discussion about the reviewee and their performance in their job. It is an essential element of setting objectives, targets and standards for staff and then managing and monitoring how they are doing. It gives every member of staff an opportunity to reflect on their own performance, to think about their development needs, plans for the future and to talk to their manager about their work and the service. Clarifying the job role and expectations of the reviewee is a useful start to open the discussion based on the job description and the previous PDR’s objectives, targets and standards. It is also important for the member of staff to understand the context of their role in what the Council is trying to achieve. This is a key indicator of the Investors in People standard.
Reviewing performance can be difficult but is an essential element of the process. Assessing performance is detailed in the next section. Providing the reviewee with an opportunity to reflect on their own performance first will enable the reviewer to focus on examples of good performance initially and to praise the reviewee. The discussion should flow from talking through examples of work and how they have contributed to meeting the objectives, targets and standards previously set. It is important to discuss where there may have been instances of below average or poorer than expected performance using examples and ensuring the reviewee relates this to the overall performance of the service. The reviewee should be enabled to openly and honestly discuss any problem areas. The purpose is to improve future performance and there should be an opportunity for the reviewee to discuss what support or development they may need to achieve an improvement. It is also important to consider jointly whether there are any constraints which may have prevented high performance and what the causes might be. There are some guidance notes on giving and receiving feedback in Appendix B. From the reflective discussion of past performance the meeting should progress to the future and what the reviewee’s developmental needs are to achieve an improvement in performance. The reviewer should be clear about the objectives, targets and standards to be achieved in the next period and how these will be assessed and supported. Further guidance about setting objectives, targets and standards are covered in section 3. The meeting should also be an opportunity for the reviewee to discuss their career aspirations and personal ambitions. It is important that the reviewer enables this discussion without raising expectations or false hopes but through providing the right guidance and support. Setting Objectives
When setting objectives it is useful to use the SMARTER acronym for the objectives.
Specific – Measurable – Achievable – Realistic – Time-bound – Evaluated - Reviewed
Specific - means being precise about what you want the reviewee to achieve – the objective should be concrete, detailed, focused and well-defined. (i.e., don't just put 'improve teamworking' put something like 'to improve teamworking by the introduction of flexible working hours; performance management etc.")
Useful questions
• What exactly are you going to do, with and for whom?
• Is the objective well understood?
• Is the objective described with action verbs?
• Is it clear who is involved?
• Is it clear where this will happen?
• Is it clear what needs to happen?
• Is the outcome clear?
• Will this objective lead to the desired results?
Measurable - you have to be able to measure the success of the objective - otherwise you won't know whether it's been achieved or not. The source of the measurement needs to be identified so you are able to track progress towards the objective.
Useful questions
• How will you know that the objective has been achieved?
• Can you obtain the measurements needed?
Achievable - Objectives need to be within the control of the individual. The objective should be challenging yet possible to attain. This has to be agreed by Reviewer and Reviewee.
Useful questions
• Can you do it within the proposed timeframe?
• Do you understand the limitations and constraints?
• Can you do this with the resources you have?
• Is it possible?
Realistic - and relevant to the reviewee's role and where they aspire to be. Realistic might mean allocation of resources.
Useful questions
• Do you have the resources available to achieve the objective?
• Is it possible to achieve the objective?
Time-bound - All objectives must have a date for achievement/completion otherwise reviewees won't know what they are working to. It also helps with interim reviews to see whether objectives are on target or not. Timescales should stretch reviewees but not be impossible to achieve.
Useful questions
• When will the objective be accomplished?
• Is there a stated deadline?
As part of the PDR process includes a formal PDR review meeting, it is important that when setting objectives you also consider how and when they will be Evaluated and Reviewed. There are preparation forms in Appendix A which will help both reviewer and reviewee with this aspect of the process.
Performance Assessment It is acknowledged that it can be difficult to assess performance particularly in some job roles but the following may help managers and staff to consider performance based on some criteria or factors which will apply to all jobs and the employee’s performance.
• Organisational Values – The Council has agreed these simple but important values as the behaviours and attitudes required by all staff. They describe the how of work rather than the what and need to be discussed frankly and openly.
• Focus and Priorities - The council has corporate priorities which cascade down through service and team plans to direct and shape the work of individual members of staff. It is useful to consider whether staff are focusing their attention and effort on the important things which make a difference to the service. It is possible to work hard on things which don’t matter as much as some others might. This is a valuable opportunity to clarify what you as a manager think is really important and makes a difference.
• Job knowledge – managers and staff should have a shared understanding of the job, its responsibilities and the procedures associated with it.
• Quantity of work output or productivity – may be measurable and a useful basis for part of the discussion. Promptness in completing tasks can be a useful measure.
• Quality – LCC has a commitment to quality and this is embedded in both service planning, the PDR process and is measured through the Audit
Commission CPA assessment process. Whilst measurement of quality can be subjective but it is important that managers set high standards for the quality of work in their area of responsibility. Examples include accuracy, the approach taken by employees to managing data (see CIS for more information about data quality), or the level of supervision needed to complete a task or the presentation of work.
• Paperwork – adherence to organisational standards and accuracy and timeliness for completing necessary paperwork may be factors for consideration.
• Working relationships – effectiveness as a team player with colleagues and relationships with customers should be considered in the context of the organisational values and customer care.
• Motivation – the manager may consider the member of staff’s level of motivation to contribute enthusiastically to the service. This links to the organisational values and the expectation that staff demonstrate the values in their approach to work.
• Initiative – linked to organisational values the manager should consider the member of staff’s ability and willingness to contribute to developments for the improvement of the service.
• Communications – the member of staff’s abilities in respect of written and verbal communications with colleagues, customers and managers. This includes emails.
• Planning and organisational skills – focusing on the individual’s ability to plan and prioritise work effectively.
• Management competencies – where applicable the process of assessing managerial effectiveness will be provided through the use of the management competency framework.
Career Aspirations The Council is committed to taking a more planned and strategic approach to managing our people. This means the identification and nurturing of staff with the right skills, attributes and ambitions to develop further. As part of a performance assessment it is important to discuss with an individual their personal ambitions and potential for future promotional opportunities. PDR’s should not just be about identifying development for the current job. Developing someone for their next job with the Council has benefits for the entire organisation. 6. Equality and Diversity
At the review meeting you should consider what the team, section and departmental priorities are in terms of promoting equality. The Council’s overall objectives as set out in the Medium Term Corporate Strategy include a commitment to reducing inequality and so all staff will have a role to play in promoting equality in employment and service delivery. Is the member of staff aware of what their contribution is? It is important that this is discussed and that all staff and managers have an understanding of how their work can help to promote equality in Leicestershire. All staff should undergo some form of equalities training that is relevant to their job role. Some equalities training will be very specific for certain job roles whilst others may be more generic and so of relevance to all staff. Consider what equalities training or development would assist staff to contribute to these objectives. Positive Action Leicestershire County Council is committed to working towards a workforce that represents, at all levels, the community it serves. Ethnic Minority and Disabled staff are under-represented at management level. The council is committed to providing positive action measures such as management development training, mentoring, shadowing, coaching or other development activity for ethnic minority and disabled staff where they demonstrate an interest in pursuing a career in management. Whilst these opportunities are available to all staff, special consideration should be given to what development opportunities you can make available to ethnic minority and disabled staff that are interested in a management role at Leicestershire County Council. 7. Personal Development Records Personal development records are an important record of an individuals learning and development record and history. It is the responsibility of every individual member of staff to maintain their own personal development record and to make use of the record during the PDR process. A section of the PDR form relates to personal development planning. The Learning and Development service may be able to assist with the initial information but all staff should try to record and maintain their own Personal Development Records including details of their qualifications and professional memberships. 8. Appeals On the rare occasions when a Reviewer and Reviewee fail to agree on issues raised during the PDR, the Reviewee has the right to appeal. This appeal will normally be made to the Reviewer’s line manager.
The Appeal process should not be used to resolve any issues currently covered by other HR policies and procedures. 9. Summary The PDR process is an important managerial responsibility to ensure that all staff have the opportunity to discuss their work with their manager on a regular and structured basis. It is the cornerstone of performance management in the County Council and a key process by which the efforts of individual members of staff are aligned with the priorities of the organisation and ultimately the public we serve The discussion that takes place should be honest and open for both parties to ensure that all staff understand what is expected of them and how they can achieve the right level of performance in all aspects of their work. This includes service standards, quality standards, organisational values, customer care and behavioural elements.
PDR’s are not optional – they are essential to getting the best out of staff and to ensuring that staff have the right skills and attributes to perform to the best of their
potential for the good of the Council’s services.
Appendix A – Reviewer and Reviewee Preparation Notes
Previous Year
Overall reflection
General overview of performance for previous year
(May include: most enjoyable/least enjoyable aspects; issues, challenges or obstacles etc. i.e. has it been a good year or not so good year? Why?)
Targets/Objectives
What targets were set? Were the targets met and how? (If not,
why not?)
Learning & Development Achievements
What were the benefits on an individual, section and department basis?
What were the main achievements and/or strengths? Were there any issues,
challenges or obstacles?
Team Issues?
Forthcoming Year
Targets/Objectives
What objectives need to be set? (SMARTER)
What are the expected success criteria? (i.e. how will you know if the objectives
have been achieved?)
Learning & Development Achievements
What development is required to support completion of the objectives? (Consider how this will be met and evaluated)
Note down any updates or information that needs to be discussed such as new
Corporate Guidelines; equality & diversity; data quality, risk assessment; Investors in
People; and Business Plans etc.)
Additional comments
i.e. are there any things that reviewee’s feel their Manager could do differently or improve, that would support them in their post?
Appendix B – Giving and receiving feedback
Giving Feedback
Be Positive – Any discussion about an employee’s development should be as positive as possible. Praise at the beginning of the discussion will help get people to relax and feel comfortable about the discussion. Praise should be sincere and deserved and relate to a specific piece of work rather than “good year’s work, well done”. Beginning the discussion on a positive note means that areas where there may be disagreement or possible conflict will be approached better by both parties. Not only should the discussion begin on a positive note but it should also end in a positive way with both sides feeling that they were able to express their views and reach a reasonable compromise. Be Objective – Focus on skills and behaviours, not the person. Try to avoid words like: fault, mistake or incompetence. You need to be able to identify what improvements need to be made based on any shortfalls from a given standard. Be Specific – When praising or discussing weaker areas with an individual, you need to be specific. Always have examples at hand to give the employee more of an idea of those areas which need improvement or development and to provide a basis for moving forward to action plans. e.g. “Let’s consider what we need to do exactly to bring your interviewing skills up to the required standard”. Own the Feedback – You should be prepared to be accountable for the feedback that you give and should only give feedback on behaviour that you have actually observed. Be assertive and straightforward in discussing feedback. Be Timely – You should provide feedback as near to the time when you observe the behaviour or performance as possible, therefore regular feedback during the year (not just at PDR time) is essential. Timely follow up to feedback to ensure that agreed development needs are being addressed is also important. Listen – When you constructively criticise any individual’s work you have to be prepared to listen to their response. This may include criticism of the way you manage or details of the organisational barriers preventing the individual from carrying out their work effectively. In amongst the accusations there may be grievances that need to be noted and action taken where possible. On the other hand, don’t allow yourself to get involved in detailed discussions about the organisation in general. It is important to steer the discussion back towards the individual and their role.
Receiving Feedback
Be Prepared for Constructive Criticism – In order for any development discussion to be useful, there needs to be some identification of areas where improvements could be
made. If it is your work being discussed, you need to accept that there may be some criticism of your work from your manager. However, this criticism is not intended to be a personal attack and if you feel it is, you should say so. You try to be aware of your own performance and open minded about receiving feedback. The most important thing is to view the criticism positively Be Clear about the Feedback– If you are not sure what the exact feedback is, ask your manager to be specific and if possible give you an example. e.g. “Can you give me some specific instances?” Listen – To the feedback, consider it and act on points which you and your line manager think are high priority. Focus on the content of the feedback, not your reaction to it so that you can clearly understand what you are being praised for and what you could do better in the future. Be Ready to Respond – If you feel the feedback is justified be prepared to say so. This will help move the discussion on to a point where an action plan can be agreed. If you disagree with the feedback, try and state why you disagree and in particular, mention anything that you feel is hampering your work. Try and keep these comments short and sharp unless you are asked to elaborate. It is important that you feel free to raise issues if they are pertinent to your work but make sure you are not just coming up with excuses! Be Proactive – Ask for feedback regularly during the year, particularly about what is going well and what could have gone better. Ask for guidance and support when you need it. In addition, if there are changes in your personal life that may affect your work in some way, tell your line manager straight away as they cannot support you if they do not know. You should also be open about your interest and aspirations for the future so that your line manager can support you.