Performance Management Framework Guidance€¦ · their career to develop, this may mean career progression (see note in Appendix 2) or development within their role. The manager

PerformanceManagementFrameworkGuidance

Summer 2015

2

“A process which contributes to the effective management of individualsand teams in order to achieve high levels of organisational performance.As such, it establishes shared understanding about what is to be achievedand an approach to leading and developing people which will ensurethat it is achieved.”

(Armstrong and Baron, (2004) Managing performance: performance management in

action. London: Chartered Institute of Personnel and Development)

The above quote is one description of Performance Management; the firstsentence focuses on managing performance effectively so theorganisation can perform well and meet its objectives and the secondsentence focuses having a leadership approach to PerformanceManagement and developing people.

What isPerformanceManagement?

3

This description of Performance Management is reflective of what you and your colleaguestold us our new approach to Performance Management should be. You told us -

This diagram demonstrates our approachto Performance Management.

Good Performance Management is notjust about annual and midyearperformance reviews, it’s more than that,it’s about regular ongoing discussionsbetween managers and employees.

It should be a simple processwith minimal paperwork

Performance Managementis a continuous process

The performance of employeesshould contribute to the goals oftheir team, service, Directorate

and the council as a whole

Employees should bedeveloped to meet their

career aspirations,whether that is to be a

Chief Executive or remainin their current role for

the next 20 years

The aim should be to continuouslyimprove the performance ofemployees and that of the council

Employees should be motivated throughregular feedback and developmentopportunities – not just through trainingcourses but through other options suchas work shadowing schemes,secondments or coaching

There should be a strong focus onongoing performance discussions

Managers & employees are responsible

for Performance Management

April/MayPDR’s*

April - SeptRegular discussions

• 1:1’s • Team Meetings• Informal feedback

Oct/NovMid Year Reviews**

April/MayPDR’s*

April - SeptRegular discussions1:1’s • Team Meeting

nformal feedba

Oct/NovMid Year Reviews**

Oct - MarRegular discussions

• 1:1’s • Team Meetings• Informal feedback

*PDR’s will take place in May/June

**Mid Year Reviews will take placein Sept/Oct

4

What performance discussions should take place?As a minimum, Performance Management discussions should include -

Annual and midyear reviews

Regular one to one meetings – these should be at least once a month

Regular team meetings to discuss performance as a team

Regular informal feedback

This will give the opportunity for regular discussions and two-way feedback on how employees are doing in –

Their job

‘What’ they are and will be doing

‘How’ they are doing it (how they behave)

‘How’ they are developing and meeting their objectives

It is acknowledged that due to working patterns, location and/or service needs, monthly oneto one meetings are not always possible, in these circumstances frequency of meetings mustbe agreed at the start of the performance year. It is for the manager and employee to decidewhat format one to one meetings take and how often they occur. The most important factor iswhat works best for the manager, employee and the service.

Senior management involvement

The senior manager (the employee’s manager’s manager) must discuss the performance anddevelopment of employees in one to one meetings with their direct reports and have regulardiscussions with employees so that they can give feedback on their performance andcomment on the ‘Performance Agreement Form’ (see below).

It is expected that this will be through one to one meetings; however, it is acknowledged thatdue to working patterns, location, service needs and/or the number of employees a seniormanager may have responsibility for, that one to one meetings may not always be possible. Inthese cases one or more of the following options, subject to agreement at the start of theperformance year, must be followed –

The senior manager meets once a year with each employee (the meetings are spaced out across the year)

The senior manager attends team meetings

The senior manager works in different locations to get to know employees and gain aview of their performance

In addition to the above, it is expected that the senior manager has one to one meetings withemployees if there is a difference of opinion about their placement on the ‘9 box grid’ (seebelow) between the employee and their manager and agreement has not been reached.

5

Whose responsibility is Performance Management?Performance Management is the responsibility of both the manager and the employee – both must ensure that regular discussions are held and objectives and development needs progressed.

To ensure Performance Management is effectively managed, all employees who managepeople will have the following objective each year –

To ensure that all employees have regular Performance Management discussions andappropriate objectives and development

This objective is not limited to direct reports, but applies to all employees for whom themanager is responsible (e.g. a Director would be responsible for all employees within their Directorate).

What is the Performance Management Framework (‘9 box grid’)?The Performance Management Framework assesses the following -

Performance

How well you are doing in your job (objectives), the ‘what’ and the way in which youdemonstrate the ASPIRE Framework (behaviours), the ‘how’.

Development

Your ability and desire to progress in your career

Essentially, it is -

The Performance Management Framework (‘9 box grid’)See Appendix 1 for a printableversion of the framework.

What (Work you do) + ( )

Aspirational Performer• Frequently performing above expectations

• Has the ability & desire to progress

Rising Performer• Consistently performing as required


New to role• Performance unknown as new to role/organisation

• Requiring support & guidance to develop in role

Inconsistent Performer• Performing inconsistently

• Requiring support &/or closer management

DEVELOPMENT - ability and desire to progressLOW

LOW

HIGH

HIGH

Under Performer• Under performing

• To be performance managed

Developing Performer• Consistently performing as required

• Has the ability & desire to progress, requires further development in role first

Consistent Performer• Consistently performing as required

• Does not currently have the ability or desire to progress

Strong Performer• Frequently performing above expectations


Strong Developing Performer• Frequently performing above expectations


PER

FOR

MA

NC

E -

del

iver

ing

res

ult

s in

th

e ri

gh

t w

ay

= Performance+ How

6

How does theASPIRE Frameworklink to PerformanceManagement?The ASPIRE Framework focuseson ‘how’ we do things or howwe demonstrate the ASPIREvalues. The ‘how’ we do thingsnow forms part of anemployee’s performance andwhere they are placed on thePerformance ManagementFramework (see below). Furtherguidance can be found in theASPIRE Framework Guidance.

How should the PerformanceManagement Framework (‘9 box grid’) be used?The framework should be used to facilitate meaningful discussions around performanceand development in one to one meetings, annual and midyear reviews and any informalperformance and development discussions.

It also acts as a diagnostic tool and is a great way to identify how an employee would liketheir career to develop, this may mean career progression (see note in Appendix 2) ordevelopment within their role.

The manager and employee should both assess where the employee is on the frameworkprior to the meeting and provide evidence to support this. They should discuss and agreewhere the employee is on the ‘9 box grid’ and identify actions to support theirdevelopment. This discussion and evidence should include –

‘What’ they have done and how well they did it

‘How’ they did it (how they demonstrated the ASPIRE Framework (see above))

How they are developing and meeting their objectives

The model is not hierarchical and recognises the important role played by all employees who arelocated in any of the green boxes and the support needed for those in an amber or red box.

It provides the opportunity to assess development needs for personal and professionalgrowth, identify any reasons for poor performance and help support an employee toimprove their performance.

A copy of the framework can be found in Appendix 1 to print and use in discussions.Examples for each of the nine boxes can be found in Appendix 2.

SUPPO

RTACHIEVE

We are the best we can be

We w

ork as one team

EMPO

WER

We

empo

wer

, enc

oura

ge

and

mot

ivat

e pe

ople

RESPECT

We give and earn respect

INSPIREWe model the ASPIRE values

PRID

E

We

take

prid

e in

and

are

prou

d of

wha

t we

do

SUFFOLKVISION

ANDVALUES

I know what is expected

of myself and

and other people

I continually strive to

Improve by reflecting,learning and developing

I give and accept

constructive adviceand feedback

I o!er, give and

accept help

I listen to and learn

from other people

I share m

y learnin

g,

info

rmatio

n, kn

ow

ledg

e

and

resou

rces

to my workenergy and driveI bring passion,

innovation

and encourageI create solutions

I keep promises

I am

acc

ou

nta

ble

, mak

ed

ecis

ion

s an

d t

ake

resp

on

sib

le r

isks

I hav

e th

e fr

eedo

m

to a

ct a

nd c

halle

nge

I em

brace and

adapt t

o change

and honest

I am open

and value their opinion

perspective of other people

I see things from the

and

value d

iversityan

d p

rom

ote eq

uality

I treat peo

ple as eq

uals

the

coun

cil a

nd

its

par

tner

s

to e

nh

ance

th

e re

pu

tati

on

of

I lo

ok

for

op

po

rtu

nit

ies

and

thos

e of

oth

er p

eopl

e

take

prid

e in

my

achi

evem

ents

I cel

ebra

te s

ucce

ss a

nd

and those

of our p

artn

ers

promote council serv

ices

I look fo

r opportu

niti

es to

https://askhr.suffolk.gov.uk/corporate/policies-guidance/ASPIRE-Values/staff-values

7

What if the manager and employee do not agree on theplacement on the ‘9 box grid’?The focus of our approach to Performance Management is on the ongoing discussionsbetween a manager and an employee, therefore there should be no surprises at any pointduring the year regarding where the manager or the employee believes the employee shouldbe placed on the ‘9 box grid’.

If a difference of opinion arises, the manager and employee should review and discuss their reasonsand evidence for where they believe the employee should be placed on the ‘9 box grid’. Furtheraction might include gathering more supporting evidence or seeking another perspective; this mayinvolve the manager undertaking a peer review of the evidence (comparing evidence andplacement on the ‘9 box grid’ against evidence and placement of employees in a peers team).

If an agreement is still not reached, the senior manager should, through discussion with boththe manager and employee, agree where the employee should be placed on the ‘9 box grid’.The senior manager should already have knowledge of the employee through regular contact(see above) to help inform their opinion.

If agreement can still not be reached between the manager and employee, the senior managershould decide.

Can the employee move around the ‘9 box grid’throughout the year?The ‘9 box grid’ is flexible, so at any point during the year, with agreement between anemployee and their manager, an employee can move boxes.

In summary, what are the main changes to our approachto Performance Management?The new approach to Performance Management is a fundamental change to the way wecurrently manage performance. There are two main changes –

The focus is now much more about ongoing discussions with less of an emphasis oncompleting paperwork; and

‘How’ we do things is now just as important as ‘what’ we do

Someone may be ‘frequently performing above expectations’ in terms of ‘what’ they do but if‘how’ they do it does not reflect the ASPIRE values then there is a performance issue andpotentially the employee may be in the ‘Under Performer’ box.

8

What are the benefits of this approach to Performance Management?The benefits of this approach to Performance Management are -

It is based on what the majority of you and your colleagues said it should be

The paperwork is simple - you do not have to write lots of detail (see below)

It places the emphasis on regular discussions between managers and employees

It recognises that some employees might not want career progression and that this isokay

It recognises that some employees would like to have the opportunity to discuss howto progress in their career

It takes into account that employees would like to talk through their developmentneeds and feel supported in doing so

It provides an opportunity to assess both current performance and future potential

What paperwork needs to be completed?The ‘Performance Agreement Form’ (PAF) (see Appendix 3) needs to be completed atrelevant points throughout the year. The PAF can be printed and completed by hand orcompleted and kept electronically.

Where should the completed PAF be kept?The employee and their manager should agree where the paperwork will be kept, but bothshould have access to it. The paperwork can be kept in hardcopy or electronically.

How do you complete the PAF?Part 1 – Agreement of objectives

This section should be completed at the beginning of the performance year between themanager and employee during the annual performance review, as follows –

9

See Appendix 4 for guidance on writing objectives.

Please note, how and when you will achieve the objectives should be included in the‘objective’ tables.

Part 2 – Ongoing formal and informal reviews

Any new objectives or movement on the ‘9 box grid’ which are agreed during formal andinformal discussions throughout the year should be recorded here, as stated above.

Part 1 – Agreement of objectives

Placement on Performance Framework:

Highlight current position on the framework

Objectives agreed at annual performance review

The above objectives have been agreed between the line manager and employee. The objectives will bereviewed periodically throughout the year, during formal and informal discussions, to review progress in meetingthe objectives set.

Employee’s signature: Date:

Line manager’s signature: Date:

Name:


New objectives agreed during formal and informal discussions throughout the year

Task objectives – the ‘what’ (include timescales as appropriate) Employee & manager initials to confirm completion

Behaviour objectives - the ‘how’ (specific objectives on improving/demonstrating theASPIRE behaviours – include timescales as appropriate)

Employee & manager initials to confirm completion




Performance Agreement








Name:









Performance Agreement Movement on Performance Framework:

Please record movement on the Performance Management Framework

Part 3 – End of year summary

Signature: Date:

Signature: Date:

Signature: Date:

Date movement was agreed

Employee &manager initials

Employee’s comments:

Line manager’s comments:

Senior line manager’s comments (if appropriate):





‘9 box grid’ - highlight theemployee’s current placement onthe framework

Initials to confirm completion -both the employee and managershould initial next to an objectiveonce it has been completed

Task objectives - record the‘what’ objectives, theseshould be specific pieces ofwork/projects you arerequired to deliver andinclude any personaldevelopment requiredto deliver the tasks

Behaviour objectives -record the ‘how’objectives, these shouldbe specific actions youwill do to demonstratethe ASPIRE values.Behaviour objectivescould link to your taskobjectives; however youshould have some objectivesthat are specifically aboutbehaviour. These shouldinclude any personaldevelopment required todemonstrate the ASPIRE values

Signatures - once Part 1 of thePAF has been completed, themanager and employeeshould sign and date whereindicated as confirmation ofagreement of placement onthe ‘9 box grid’ and objectives;if the PAF is completedelectronically, the employeeand manager should confirmvia e-mail their agreement

10


This section should be completed at the end of yearreview, and take into account the informal andformal performance discussions that havetaken place throughout the year.

The manager, employee and senior manager(see above) should write a summary of theemployee’s performance and developmentthroughout the year and an explanation ofthe employees final placing on the ‘9 box grid’.

All three should sign and date theircomments or confirm them via e-mail.

What information needs to be recorded electronically?All managers must record their employee’s performance and development information in HRSelf Service; this includes when the formal PDR meeting took place and where the employee isplaced on the '9 box grid'. Any movement, at any point during the year, must also be recordedin HR Self Service so that the employees placement on the ‘9 box grid’ is always up to date.Further information and guidance on how to input the information into HR Self Service will beavailable from June 2013. Guidance on how to input the information on myPeople can be foundhere.

How should continuous professional development (CPD)requirements be recorded?Many of our employees are members of a professional organisation which requires them toprovide evidence of ongoing CPD.

Whilst CPD requirements linked to objectives should be recorded on the PFA (see above), it isacknowledged that in some cases, the information recorded in the PFA will not fully meet theCPD requirements of a professional organisation. In these cases, employees must, in additionto the PFA, complete their professional body’s required CPD process.

The PFA may be useful in providing some evidence towards CPD – it may be helpful inbringing together a record of CPD and alleviate the need for duplication.

Professional leads from across the council have confirmed, on behalf of professional groups, ifthe PFA will meet the requirements of professional organisations (see Appendix 5).

Movement on Performance Framework:



Signature: Date:

Signature: Date:

Signature: Date:










11

Appendix 1

Performance Management Framework (‘9 box grid’)

Aspirational Performer• Frequently performing above expectations


Rising Performer• Consistently performing as required


New to role• Performance unknown as new to role/organisation

• Requiring support & guidance to develop in role

Inconsistent Performer• Performing inconsistently

• Requiring support &/or closer management


LOW

HIGH

HIGH

Under Performer• Under performing

• To be performance managed

Developing Performer• Consistently performing as required


Consistent Performer• Consistently performing as required


Strong Performer• Frequently performing above expectations


Strong Developing Performer• Frequently performing above expectations


PER

FOR

MA

NC

E -

del

iver

ing

res

ult

s in

th

e ri

gh

t w

ay

12


LOW

HIGH

HIGH

PER

FOR

MA

NC

E -

del

iver

ing

res

ult

s in

th

e ri

gh

t w

ay

Appendix 2

Performance Management Framework(‘9 box grid’) Examples

Strong PerformerSusan has agreed with hermanager that she frequentlyexceeds the expectations ofher role. She would like careerprogression but her managerdoes not believe that shecurrently demonstrates theskills and behaviours requiredto progress.

(2nd sentence can also applyto ‘Consistent Performer’)

Consistent PerformerIan has agreed with hismanager that he consistentlymeets the expectations of hisrole. His manager thinks hedemonstrates the skills andbehaviours to progress in hiscareer, but Ian currently has nodesire to progress.

(2nd sentence can also applyto ‘Strong Performer’)

Under PerformerHelen delivers work of a goodstandard but often missesdeadlines and behavesinappropriately. Her managerhas regularly talked with herabout why she misses deadlinesand her behaviour but nounderlying reason has beenidentified.

Rising PerformerJohn has agreed with hismanager that he consistentlymeets the expectations of hisrole. He would like careerprogression and his manageragrees he is demonstrating allof the skills and behavioursneeded to progress in hiscareer.

DevelopingPerformerLisa has agreed with hermanager that she consistentlymeets the expectations of herrole. She would like careerprogression but agrees with hermanager that whilst shedemonstrates many of the skillsand behaviours needed toprogress, she requiresdevelopment in some areas.

InconsistentPerformerLeanne and her managerusually agree that shefrequently exceeds theexpectations of her role, butrecently the standard of herwork is not at an acceptablelevel. Her manager is awarethat personal issues areaffecting her work.

New to RolePatrick was assessed during theselection process as having therequired skills and behaviours todo the job well, but both he andhis new manager acknowledgethat he has a lot to learn aboutthe role before he can performall aspects of the job.

AspirationalPerformerCharlotte has agreed with hermanager that she frequentlyexceeds the expectations of herrole. She would like careerprogression and her manageragrees she is demonstrating allof the skills and behavioursneeded to progress in her career.

Strong DevelopingPerformerJohn has agreed with hismanager that he frequentlyexceeds the expectations of hisrole. He would like careerprogression but agrees with hismanager that whilst hedemonstrates many of theskills and behaviours needed toprogress, he requiresdevelopment in some areas.

Please note – ‘Career progression’ or ‘progress’ refers to a change in role; this is notlimited to a promotion, it includes a move to a role of the same or lower grade








Name:









Performance Agreement

Appendix 3

13

14

Movement on Performance Framework:



Signature: Date:

Signature: Date:

Signature: Date:










15

Appendix 4

Guidance on Writing ObjectivesAll objectives should include timescales for completion, as appropriate, and any developmentor continuing professional development (CPD) requirements linked to the objective.

Before starting discussions on objectives, familiarise yourself with your service and team plansand how these support the council’s key priorities; this will ensure -

Objectives are linked to and support the council’s priorities and Directorate/teambusiness plans

There is an understanding of how your work contributes to the success of the team andthe council

A good place to start is for both the employee and manager to bring their ideas aboutpriorities and potential objectives to the first meeting and use these to start the discussion.

For each objective ask “What needs to be achieved?” and describe “How will it be achieved.”

Use the ASPIRE Framework for the ‘How’ part as this describes the behaviours that we value.

Add two or three measures of success answering “How will I knowwhen it’s achieved?” Adate may help to review when the objective requires review or it is expected to be completedby. A date however doesn’t provide any indication of the outcome that is expected. A usefulquestion to ask is “What would I expect to see to be different as a result of this objective?”

One way to write objectives is in the To...so that... format. This states what is to beachieved and the outcome expected. To make it complete would need another sentenceabout how it would be carried out.

For example:

and alternatives to

so that are...

ForByThroughResulting inAllowingWithIn support ofEach, Every

After the To include one ofthese words...

CreateDesignEliminateExpandGenerateImplementImproveMake, Produce

16

You will also need to consider the “W” questions -

Who: Who is involved?

What: What do I want to accomplish?

When: Agree the time frame for delivery?

Which: Identify requirements and constraints?

Why: Specific reasons purpose or benefits of accomplishing the goal and where it fits into the Suffolk Story

It is important to choose goals with measurable progress, so that you can see change occur.Establish concrete criteria for measuring progress. Ask questions such as –

How much?

How many?

How will I know when it has been accomplished?

What difference will I see?

What will the impact be?

Other useful and easy to remember pointers are in the MMM framework1

Manageable - Measurable - Motivational

Manageable = reasonable and chunked

Remember – achieving is important

It has to be manageable

Can it be broken down into chunks – ‘small wins’ on the way in order to celebrate progress on the way?

Measurable = specific and quantifiable

What are the measures?

When will it be done?

Motivating = desirable and stretch

Can you see the value in the objective?

Are you excited to change/improve something?

Does it have enough stretch so that there is value in completing but not so much that it feels demotivating?

1 Julie Hay and Eileen Habelow

If you are a new manager or new to SCC you may like to attend Introduction to Performance Management and Supporting your team’s development

http://suffolk.learningpool.com/course/view.php?id=723#section-1

http://suffolk.learningpool.com/course/view.php?id=656

17

Appendix 5

CPD RequirementsPlease note, the professional groups listed below are those which havemandatory CPD requirements only.

1) The Performance Agreement Form (PAF) meets the CPD requirements of the

following professional organisations –

Finance

Chartered Institute of Public Finance and Accountancy (CIPFA)

Association of Accounting Technicians (AAT) – SCC will reaccredit members on their behalf

Fire

Chief Fire Officer Accreditation (CFOA)

Health & Safety

Institution of Occupational Safety & Health (IOSH)

Trading Standards

Trading Standards Institute (TSI)

2) The Performance Agreement Form (PAF) does not meet the CPD requirements of the following

professional organisations, please follow the link (where available) for more information on your

professional requirements –

Archaeology

Institute for Archaeologists (IfA) - http://www.archaeologists.net/development/cpd

Development

Institute of Quarrying (IQ) - http://www.quarrying.org/members-cpd-scheme.html

Institute of Acoustics (IOA) - http://www.ioa.org.uk/membership/professional-development-

scheme.asp

Institute of Environmental Management and Assessment (IEMA) - http://www.iema.net/training

Institution of Environmental Sciences (IES) - http://www.ies-uk.org.uk/professional_development

Institute of Air Quality Management (IAQM) - http://www.iaqm.co.uk/cpd.html

Institute of Historic Building Conservation (IHBC) - http://www.ihbc.org.uk/ed_train/cpd/cpd.html

Environment/Ecology

Landscape Institute (LI) - http://www.landscapeinstitute.org/education/cpd.php

IAgrE (landbased sector) - http://www.iagre.org/membership/cpd

18

Institute of Ecology and Environmental Management (IEEM) -

http://www.ieem.net/publications/13/continuing-professional-development-cpd

Highways and Transport

Institute of Civil Engineers (ICE) - http://www.ice.org.uk/qualification-careers/Continuing-

Professional-Development-(CPD)

Chartered Institution of Highways and Transportation (CHIT) -

http://www.ciht.org.uk/en/education--training/continuing-professional-development/index.cfm

Institute of Highway Engineers (IHE) - http://theihe.org/news/ihe-in-action/continuing-

professional-develo/

Nurses, Health Visitors & School Nurses

Nursing & Midwifery Council (NMC) - http://www.nmc-uk.org/Registration/Staying-on-the-

register/Completing-your-notification-of-practice-form/

Overarching Organisation Awarding Chartered Environmentalist (Cenv)

Society for the Environment (SocEnv) - http://www.socenv.org.uk/cenv/competences1/

Property/Planning

Royal Town Planning Institute (RTPI) - http://www.rtpi.org.uk/education-and-careers/cpd/

Royal Institution of Chartered Surveyors (RICS) - http://www.rics.org/uk/about-rics/what-we-

do/continuing-professional-development/continuing-professional-development_250/requireme

nts/new-cpd-requirements-for-members-from-2013/

Social Workers, Occupational Therapists & Community Education Psychologists

Health & Care Professions Council (HCPC) - http://www.hpc-uk.org/registrants/cpd/, Social

Workers may also find further information at http://www.collegeofsocialwork.org/pcf.aspx

Waste

Chartered Institution of Wastes Management (CIWM) -

http://www.ciwm.co.uk/CIWM/ProfessionalDevelopment/CPD/cpd.aspx

Performance Management Framework Guidance€¦ · their career to develop, this may mean career progression (see note in Appendix 2) or development within their role. The manager

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