Toolkit cyprus performance appraisal policy and procedure comp framework 18 march 14

Cyprus Public Service Performance Appraisal Policy, Procedure and ‘How to’ Toolkit February 2014 Version Issue date 18 March 2014 Prepared by NSG International

Contents 1.

Page

Performance Management Policy 3

1.1.

1.2.

1.3.

2.

Policy design principles Scope of policy Policy summary

3 3 4

Performance Management Procedure 5

2.1.

2.2.

2.3.

2.4.

3.

Start of year Throughout the year Mid year End of year

5 6 6

Distribution ranges 6

3.1.

3.2.

3.3.

4.

The purpose The ratings Outside of range ratings

6 7

Standard setting 7

4.1.

4.2.

The purpose Planning

5.

Objective setting

5.1.

5.2.

5.3.

5.4.

5.5.

Roles and responsibilities Setting objectives Number of objectives Mandatory objectives Equality of opportunity

6.

Personal development

7 7 8

8 8 9 9 9 9

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Contents 7.

Page

Regular performance discussions 10

8.

Recognising and managing poor performance 10

9.

Rating performance 11

9.1.

9.2.

9.3.

9.4.

10.

What is being assessed?

The rating scale Arriving at a performance rating The performance wave

11 11 12 13

Mid-year review 14

11.

End-of-year review 15

12.

Moderation 16

13.

Confirming final performance rating 17

14.

Disagreements 17

15.

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360 feedback – Permanent Secretaries 18

16.

Commitment 19

Annexes – ‘How to’ guides, supporting materials and forms

Page 21

A. B. C. D. E. F. G. H. I. J. K. L. M. N.

Timetable for the Performance Appraisal year How to run a standard setting meeting Understanding guided distribution How to set SMART objectives How to have a performance discussion How to manage dips in performance Cyprus Public Service competency framework Cyprus Public Service Code of Ethics How to assess one‟s own performance Performance Appraisal Form Staff How to manage a complaint following a disagreement How to run a moderation meeting 3600 Feedback form for Permanent Secretaries Roles and Responsibilities: The „Pledge‟

22-24 25-26 27-30 31-33 34-36 37-48 49 50-51 52-55 56-57 58 59-60 61

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1.

Performance management policy

1.1

Policy design principles

i.

The principal aim of performance appraisal (PA) is to drive individual contribution to meet organisational goals through the cascade of objectives

ii.

Individual objectives will be made up of the “what” (job objectives) and the “how” (competencies) with an 80/20 weighting

iii.

Measurement of performance in job, in year (it is not about promotability – separate system required)

iv.

Encourage continuous feedback with formal feedback at mid-year (focussing on development) and end-year (focussed on performance)

v.

Specific training on performance appraisal to be built into CAPA/PWC modules

vi.

Differentiation of performance will be through “guided distribution” at ministry/department level

vii.

Standard Setting (objectives) and Moderation (ratings) by managers collectively at ministry/department level

viii.

PA System covers all staff, including interchangeable and casuals

ix.

“Carrots and Sticks” – intention to introduce a system that is capable of building in links to employee reward and consequences for sustained poor performance that could be phased-in over time.

x.

360o Feedback for Permanent secretaries to assist in their personal development and alongside assessment of their Ministries‟ performance against PFM targets

xi.

Spans of management responsibilities need to be appropriate for performance appraisal to be meaningful and possible (this should be addressed as part of the ongoing structural reviews of ministries and other public sector organisations)

xii.

Performance will be managed in line with the Public Service Law and the Guide of Conduct and Ethics for Public Servants.

1.2

Scope of policy

This policy applies to all permanent and fixed term (casual) employees including interchangeable staff, who have successfully completed their probation period.

The policy will first be implemented on a pilot basis and for these purposes the policy will apply to:

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i. ii. iii.

3 Ministries (Health, Education and Agriculture) and Municipality of Nicosia in 2015 to ensure alignment with the piloting of the PFM system. all staff in those ministries and the municipality The pilot will commence in 2015.

Following the evaluation of the pilot all other ministries, municipalities and public sector organisations will be in scope for implementation of the performance appraisal policy from 2016 alongside roll-out of the PFM system

1.3

Policy summary

a) Performance appraisal is the key factor in driving up individual and organisational performance and providing greater value for money to deliver high quality public services. It is separate from the promotion process. b) The performance appraisal process is inextricably linked to the Public Finance Management (PFM) initiative to introduce business objective setting and financial planning processes into the organisation. PA should provide a „line of sight‟ from the description of what the individual is expected to contribute towards the delivery of the business objectives. c) This PA policy provides a framework for managing performance throughout the year, laying the foundations of expected standards of performance and facilitating employee engagement, development and a focus on the highest possible performance. d) Performance is evaluated against both the „What‟ (delivery of objectives) and the „How‟ (demonstration of behaviours, competencies and ethics) with a weighting biased towards the delivery of business objectives: what (80%) and how (20%). e) Objectives must be set at the beginning of the performance management year – consistency must be ensured through a standard setting process overseen by managers at the start of the year. Performance should be reviewed at regular performance discussions (between the manager and the individual) throughout the year. f)

PA includes an end-of-year process called „moderation‟. It is during this process that managers will check and validate the distribution of performance ratings across the normal bell curve. It is suggested that the ratings should fall within a „guided distribution‟ at the organisational level (e.g. ministry, municipality): Outstanding Good Must Improve

10 – 25% of employees 60 – 82% of employees 8 – 15% of employees

g) There will always be exceptions to this. For example sometimes „special teams‟ are set up of exceptional people sometimes in order to achieve exceptionally challenging issues. One may not be surprised then to see those teams score outside the guided distribution. Overall, however, one would not expect to see a Ministries distribution to be outside the guided distribution if they fail to deliver all the objectives set for them.

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2.

Performance appraisal procedure

The timetable for Performance Appraisal can be found at Annex A.

2.1

Start of performance year 

The performance appraisal year runs for a period of 12 months from 1 January each year. At the start of the performance year, the performance distribution ranges will be communicated to the Ministries and line managers will carry out standard setting and objective setting, to ensure there is a common understanding of performance expectations for employees.



At the start of the year there will be a manager led standard setting meeting which will feed into the Objective setting meetings.

There is a ‘How to’ run a standard setting meeting guide at Annex B. 

2.2

2.3

Managers and employees need to hold regular performance discussions and the frequency of these should be agreed. It is strongly recommended that there are at least two formal feedback meetings per year (mid year with a focus on development and end of year focused on performance delivery) although people are encouraged to do this quarterly.

Throughout performance year 

Managers and employees are jointly responsible for holding regular performance discussions throughout the performance year.



If any performance issues are identified then managers will consider whether they need to take Poor Performance action or provide their member of staff with development (not necessarily classroom based e.g. mentoring, project experience etc).

Mid performance year 

At the middle of the performance year, managers will need to hold a „light touch‟ moderation meeting, chaired by a senior manager1.



Employees will need to complete a self-assessment.

1 A Senior manager is the manager of the line manager/s

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

2.4

Managers will need to hold a mid-year review meeting with each of their employees.

End of performance year 

At the end of the performance year the employee will need to undertake a self-assessment. This self-assessment will influence the discussion during the end-of-year review meeting.



After the PA meetings with all their employees, managers will hold a moderation meeting at which they will discuss and confirm the performance levels awarded to individual employees.



At Ministry level there should be a quality assurance assessment to ensure the guided distribution has been met and to understand if not why not.

Permanent Secretaries are responsible for the overall final distribution for their Ministry.



Employees will then be informed of their final rating.



PAPD will carry out a final overall assessment of whether the overall scores are distributed properly across the organisation to measure the success of the exercise and take any necessary action on policy for subsequent years. This is an exercise which will take place at the end of the process to inform guidance and rules to be applied the following year.

3. Guided distribution ranges 3.1 The purpose The purpose of a guided distribution range is to establish an expectation and set a context for managing performance and conducting standard setting and moderation meetings.

3.2 The ranges The guided distribution ranges are set out below, though this may vary at the end of the year dependent on departmental delivery (exceeded expectations of ministers) or overall performance (of Ministry). The „Must Improve‟ category will include: those under formal poor performance management action at the time of the end-of-year review; those whose performance requires, or has required, improvement when considering the overall reporting period for example those new to grade; and those who have been dismissed for poor performance during the year.

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Outstanding Good Must improve

10 – 25% of employees 60 – 82% of employees 8 – 15% of employees

3.3 Outside of range ratings Where an assessment of performance based on evidence produces a different distribution of ratings than the distribution described above, employees will not have their performance rating changed to meet the distribution range. It is a guided system not a forced rating system. However, all ratings should be supported by evidence of the employee‟s performance in the Performance Management Form. Managers and senior managers should be able to account for outcomes, if they are asked to do so, by either the Ministry or the PAPD. They will need to be able to present an evidence based justification for the deviation from the guided distribution.

There is a ‘How to’ establish guided distribution at Annex C.

4. Standard setting 4.1 The purpose Standard setting involves senior and line managers ensuring that there is a shared understanding of performance expectations and that those expectations are being applied consistently across their teams. It also allows for shared understanding of the key elements of the reporting system including; objective setting, how to gather objective examples and how to provide appropriate feedback.

4.2 Planning These simple checks should take place at the beginning of the performance year and in a „light touch‟ manner before the midyear review is held.

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5. Objective setting 5.1 Roles and Responsibilities a) The line manager holds overall responsibility for setting objectives at the start of the performance year. b) The first draft of the objectives might be prepared by the employee (this is more likely as the seniority of the employee increases). c) The line manager and employee have joint responsibility for ensuring objectives are discussed and understood, with support for employees, from their line manager, if required. d) The line manager is responsible for ensuring the objectives are relevant to the job role, as well as SMART (Specific, Measurable, Achievable, Realistic and Time bound).

There is a ‘How to’ set SMART objectives’ guide at Annex D.

e) NB: It is the responsibility of managers to ensure reasonable adjustments (Equalities Act 2010 or equivalent) are made to an employee‟s objectives to ensure that they have the same opportunity to meet them as any other employee. See paragraph 5.6.

5.2

Setting objectives

Line managers should ensure employees are clear about how their objectives link to departmental targets through their team and Ministry plan. In addition any generic or Ministry-wide objectives should be tailored for the employee, so they understand their contribution to the team/Ministry.

Objectives should be succinct so that the employee is clear about what is expected of them. Individual needs should be considered and reflected in the objectives and practical adjustments made where appropriate.

Whilst objectives may be set that go beyond the end of year, clear achievements and measurable deliverables for the year-end must be agreed. This enables employees to have relevant and SMART objectives at all times and in the event that there is a delay between the performance year end and the setting of new objectives.

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5.3

Review in-year

Objective setting should not be a one-off activity. They should be reviewed throughout the year particularly when objectives are achieved, amended or new objectives are required.

NB: Although, a word of caution, in the first couple of years it would be advisable to change objectives in year as little as possible – it just might open up opportunities for people to challenge the assessment at the end of the year.

5.4

Number of objectives

Objectives should be succinct and as a guide 4-6 (dependent on seniority) are usually sufficient. This keeps employees focused on delivering priorities.

5.5

Mandatory Objectives

It is recommended that a leadership objective should be mandatory for those in senior roles and a people management objective should be mandatory for those with supervisory responsibility.

It is also recommended that budget holders have a financial management objective.

5.6

Equality of opportunity

Objective setting should take into account the experience of the employee in the role for new entrants and promotees; remember the objectives should be realistic and therefore for these employees the performance demand may be slightly lower than others.

An employeeâ€&#x;s disability and / or working pattern will need to be taken into account before any objectives are agreed.

For part-time employees, activities like learning, managing and keeping up to date may have a larger proportionate impact on time available for achieving their specific objectives.

6. Personal development It is important that personal development needs are reviewed and objectives set, as part of the regular discussions as continuous development helps to maintain and enhance performance.

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The senior manager has a role to ensure that employee development is addressed and that line managers and employees are taking the appropriate action.

Development comes in many forms and may be classroom based but it is most likely to be on the job. Other methods of development for consideration are: mentoring, coaching, projects, secondments to other units, additional responsibilities etc.

7. Regular performance discussions Reviewing performance should not be seen as an annual process. The line manager and employee are jointly responsible for having regular performance discussions throughout the year.

These discussions are part of normal business management and should be open, unbiased and factual, supported by examples gathered by the employee and, where appropriate, the line manager.

They are vital to ensure employees are aware of their performance against the „What‟ (delivery of objectives) and the „How‟ (impact of behaviour, competencies and ethics). It is not necessary to discuss all objectives and competencies at every performance discussion.

Line managers should use these discussions to give feedback by recognising good performance and achievements and identifying any areas needing further development or remedial action to be taken.

Line managers should also give the employee the opportunity to raise any issues/concerns they may have about their work or development.

Depending on what is being discussed it may be useful to record the main points of the meeting.

There is a ‘How to’ have a performance discussion guide at Annex E.

8. Recognising and managing poor performance Poor performance can adversely impact on the morale of other employees and the overall productivity of the team. It is therefore very important that regular or one-off dips in performance should be addressed quickly as part of normal day to day line management.

Line managers should carry out regular performance discussions. It is crucial that line managers have open and constructive conversations with employees about their

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performance to agree appropriate support interventions. Early intervention can help to restore performance to the agreed standard.

It may be useful to record brief notes of the main points of any conversations to ensure that there is a common understanding of actions agreed and to inform future discussions.

Where normal, practical support has been provided but performance remains at an unacceptable level, the line manager must start formal procedures to manage the poor performance. The line manager must inform the employee of this action and the reasons why.

There is a ‘How to’ manage dips in performance guide at Annex F.

9. Rating performance 9.1 What is being assessed?

Performance is evaluated against both the „What‟ (delivery against job objectives) and the „How‟ (demonstration of behaviours, competencies and values) with an 80/20 (what/how) weighting.

The Cyprus public service employee Competency Framework can be found at Annex G.

The Cyprus public service employee Code of Ethics can be found at Annex H.

9.2 Rating scale Performance will be assessed on three final ratings: Outstanding, Good and Must Improve2.

The performance wave (see below) can be used by line managers when assessing the employee‟s performance and awarding a rating. The line manager should consider where an employee‟s performance would be plotted on the wave, taking into account the rating descriptors and the employee‟s in year performance.

2 Or others words as suited to the culture e.g. Excellent, Good and Needs Development.

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The performance wave (see 9.4) is useful in performance discussions to highlight where an employee is plotted within the span of the rating. The „Good‟ rating encompasses the widest span of performance. At this level, performance could be verging on needing improvement, exceeding in some areas or being generally satisfactory. The dotted line shown in the „Good‟ section is a halfway point to aid these discussions. Managers should take account of the descriptions on the Wave diagram and provide specific feedback to the employee during performance discussions about where they are placed.

The „Must Improve‟ rating includes employees whose performance requires, or has required, improvement when considering the overall reporting period, or are new to grade or post. Where performance as a whole does not justify a „Good‟ rating for the period concerned, a „Must Improve‟ rating should be given. The „Must Improve‟ rating also includes those employees who are being managed under the managing poor performance procedures.

9.3 Arriving at a performance rating

Outstanding 

Exceeded outcomes, exceeded behaviour standards.

Good     

Exceeded outcomes; behaviour of satisfactory standards.

Satisfactory outcomes; exceeded behaviour standards.

Satisfactory outcomes; behaviour of satisfactory standards.

Exceeded outcomes; behaviours just met.

Outcomes just met; exceeded behaviour standards.

Must Improve   

Satisfactory outcomes; behaviour must improve.

Outcomes must improve; behaviours of satisfactory standard.

Outcomes and behaviours below required standards.

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9.4 The Performance Wave

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10. Mid-year review The light touch mid-year moderation process should be completed before the mid-year reviews commence. This involves a discussion between line managers about how they intend to rate their people. It might be useful to have a peer present from another part of the organisation to ensure fairness of assessments and to help discussions around challenge and seeking out of an evidence base to support the arguments.

The line manager and employee should discuss the employee‟s self assessment and the manager‟s assessment. The proposed mid-year indicative rating3 can be discussed, so long as the moderation process has been completed.

Prior to the meeting the employee should self assess their performance against both the „What‟ (delivery of objectives) and the „How‟ (demonstration of behaviours, competencies and values) with an 80/20 weighting.

Employees should self-assess where they believe they should be placed on the performance wave and provide supporting evidence.

The employee should bring examples of their performance against objectives and how they have demonstrated the required competencies and behaviours to the meeting with a proposed indicative performance rating of their achievement. In addition the line manager should also provide examples to support their assessment of the employee‟s performance.

The review should be recorded on the performance appraisal form; the employee should write the first draft. The review and report should cover the following areas. 

Performance – the „What‟ (delivery of objectives) and the „How‟ (demonstrating behaviours, competencies and values) with an 80/20 weighting.



Giving and seeking feedback



Support and coaching for development needed.



A brief summary of what was discussed and agreed.



Next steps – a review of current objectives and agreement of any amendments (as necessary).



The indicative rating (once the consistency and validation checks have been completed)

The line manager is responsible for ensuring the employee‟s recorded summary of the discussion reflects what was discussed and agreed.

3The „ Indicative rating‟ is the rating which will be given at the end of the year if the employees performance and behaviours continue to be demonstrated at the same standard for the second half of the year and if their objectives remain equally stretching.

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11. End-of-year review A mandatory end-of-year review must be held between the line manager and employee by to discuss: 

performance against both the „What‟ (delivery of objectives) and the „How‟ (demonstration of behaviours, competencies and values) with 80/20 weighting,



giving and seeking feedback



a review of development over the period



objectives, competencies and areas for development for the coming performance period.

Prior to the meeting, the employee should complete a self assessment by comparing their performance against both the „What‟ (delivery of objectives) and the „How‟ (demonstration of behaviours, competencies and values) with 80/20 weighting.

The employee should bring examples of their performance achievements against objectives and how they have demonstrated the required competencies and behaviours to the meeting. In addition the line manager should also provide examples to support their assessment of the employee‟s performance.

There is a ‘How to’ assess one’s own performance guide at Annex I.

There is a blank Performance Appraisal Form at Annex J.

Performance markings should NOT be shared at this stage because the moderation and analysis of distribution processes are to follow.

After the end-of-year review meeting a first draft of a summary of the review should be recorded by the employee on the performance appraisal report. It is then a line manager responsibility to: 

ensure the employee‟s recorded summary of the discussion reflects what has been discussed and agreed and



discuss and agree a suggested performance rating with the senior manager

Where possible, the employee and manager should agree the outcomes of the review.

However, where this is not possible, the manager will complete the record.

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12. Moderation At the end of year there will be a moderation meeting to assess performance for all employees. The moderation meeting will be chaired by someone who is at senior officer level to those being assessed and attended by the line managers.

The purpose of the end-of-year process is to review the performance ratings assigned by line managers.

The next function of the moderation is to review outcomes in relation to the guided distribution range and to ensure that final ratings are appropriate.

At moderation meetings: 

the line manager or appropriate nominee represents the employee at the meeting;



the group will consider whether the marking is justified on the basis of performance evidence and a consistent application of standards across the unit.

If it is not, line managers will be challenged; and



there should be a record of the discussion that is sufficient to support feedback and confirm final rating to the employee.

The appointed chair of the validation meeting is responsible for ensuring that: 

the end of year process operates effectively;



all decisions have been reasonable, fair, unbiased and non-discriminatory and



the agreed performance distribution has been met or the reasons why this has not been met are recorded.

Discussions will generally only involve looking at those individuals whose performance falls around the boundary of the performance markings („outstanding‟ and „must improve‟). Although in the first year of operating the PA system it may be necessary to test all ratings to re-assure oneself of fairness.

Analysis of the distribution of ratings at Ministry level (analysts to prepare for Perm Sec approval) and Civil Service level analysis of distribution across the wave (PAPD to fulfill this function) will further ensure consistency at the end-of-year, having already established a shared understanding of known performance expectations during the year, and performance differentiation across the peer groups.

There is a ‘How to’ run a moderation meeting guide at Annex K.

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13. Confirmation of rating meetings Senior managers need to be satisfied about the quality and consistency of the reports which they are asked to sign off and they may talk to individual line managers if they are concerned. Following the moderation meeting:   

if the expected distribution has not been met, the senior manager (or Senior Management Team) should consider whether this is justified on the basis of performance evidence and a consistent application of standards. line managers should meet with each employee to inform them of their performance rating and if appropriate to provide feedback. This should be done as soon as possible after the moderation meeting.

Where a „must improve‟ rating is indicated, the manager must discuss with the employee the steps to be taken that should lead to an improvement in their rating, with reference to the „what‟ and „how‟

14. Disagreements The aim of the performance appraisal system is to encourage open and honest discussion between the employee and line manager allowing them to deal with difficulties or disputes at an early stage, so that they can be resolved along the way.

Regular performance discussions throughout the year encourage the employee and line manager to discuss issues informally as they occur. The final end-of-year assessment should not come as a surprise to the employee.

Where disagreements cannot be resolved between the manager and member of staff, the senior manager will be consulted and will have the authority to decide the rating by reviewing the evidence presented by both the manager and the employee. If the disagreement remains unresolved then it may be appropriate for the formal appeal process to be followed.

There is a ‘How to’ guide for managing complaints and appeals following a disagreement at Annex L.

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15. 3600 feedback for Permanent Secretaries 15.1 The concept 360 degree feedback is a method of obtaining feedback from a collection of individuals in order to get a rounded set of perspectives on one‟s performance.

Typically, the senior employee would ask the following people to provide feedback:  the person they report to  3-4 peers  3-4 direct reports  2-3 stakeholders (perhaps from another Ministry of outside the organisation) Staff feedback is particularly important for measuring leadership, performance management and capability building skills. Peers in other business units and departments are also in a position to give useful feedback on leadership, particularly corporate leadership. Stakeholders should be involved where possible, and could provide insight about the individual‟s public service delivery skills. The feedback should be collected prior to the end-year performance discussion so that it can be discussed with the Permanent Secretary.

15.2 What is being assessed?

Ministry performance: These are the business objectives for the Ministry which the Permanent Secretary is personally accountable for. These objectives are published on the website.

Finance/Efficiency: Every Permanent Secretary is expected to take personal responsibility within their Ministry for closely controlling costs; contributing to achieving efficiencies while delivering excellent public services.

People/Capability: Permanent Secretaries need to demonstrate their ability to lead their Ministry through significant change, while maintaining the effective delivery of core functions and improving levels of employee capability and engagement.

Role Modelling: Permanent Secretaries should be visible role models: demonstrating the behaviours and ethics outlined in the Cyprus Public Service Competency Framework and the Code of Ethics.

15.3 How will they be assessed?

Every respondent to the request for feedback from the Permanent Secretary will be asked to answer the following two simple questions:

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

When considering the 4 criteria above can you identify two areas where I have demonstrated strengths, supporting this with an example as an evidence base?



Can you identify one area where I could have done something differently in order to get a better outcome, providing an example as an evidence base?

NB: It is recommended that a great deal of thought is given to who will collate and provide the feedback. It is suggested an external person to the Government (who is asked to sign a confidentiality agreement) might be best placed and who can work with individual permanent secretaries to help identify personal development needs.

There is a blank form for use in Permanent Secretary Appraisal at Annex M.

16. Commitment The shift in culture, required to make this new system an effective one, is not to be underestimated. One suggestion is to get everyone to sign a pledge of commitment to make this work, following their training.

There is a pledge for people to read and sign at Annex N.

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Annexes – Supporting guides A. Timetable for the Performance Appraisal year B. How to run a standard setting meeting C. Understanding guided distribution D. How to set SMART objectives E. How to have a performance discussion F. How to manage dips in performance G. Cyprus Government: Competency framework H. Cyprus Government: Code of Ethics I.

How to assess one‟s own performance

J. Performance Appraisal Form K. How to run a moderation meeting L. How to manage a complaint following a disagreement M. 3600 appraisal form Permanent Secretaries N. Roles and Responsibilities: The „Pledge‟

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Annex A Timetable for the Performance Appraisal year Beginning of year

Throughout the year

Mid-year

End-of-year

Action for counter signing manager and line manager:

Action for employee and line manager:

Action for counter signing manager and line manager:

Action for line manager and counter signing manager

standard setting Refresh oneself of the process and timetable.

performance discussions or ad hoc as required

nduct light touch moderation.

points of the discussions if required.

Action for employee and line manager:

Attend moderation meeting line manager/employees.

Action for employee and line manager

discuss performance required for the year and personal development needs objectives.

Action for line manager:

Action for line manager:

record of the discussion and changes to objectives appropriately reward performance when it occurs performance as soon as they occur.

Action for employee and line manager: year performance review, but do not discuss the indicative performance of-year performance rating. review, but do not discuss the indicative Action for line manager marking

-

points of the discussion. any examples the record of the discussion.

Action for line manager:

Action for employee: record of the discussion

draft of objectives. performance and gather examples to support points of the discussions.

rating with the senior manager.

Feedback to employee the rating following the moderation meeting.

Action for employee:

performance and gather evidence

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Annex B How to run a standard setting meeting Distribution range A guided distribution range sets the expectations of performance appraisal throughout the year and provides a context for all standard setting and moderation activity.

The percentage given against each performance rating is intended as an estimate of the split of employees within each business group. The guided distribution range is not prescribing the percentage of staff within each rating i.e. it is not a forced distribution Where a consistent assessment of performance evidence produces a different distribution of ratings, employees will not have their performance rating changed or forced simply to meet the distribution range. If applied robustly, the procedures described in this document will enable managers and senior managers to account for outcomes confidently if they are asked to do so. It is therefore expected that across a Ministry there will be a distribution of ratings across a bell curve.

Start of year Standard setting at the start of the performance year The aim is to provide a framework that enables managers to undertake the process in a light touch and flexible way whilst ensuring a level of consistency across teams.

Line managers should carry out standard setting at the start of the performance year.

Line managers should ensure there is an agreed understanding of performance expectations at individual, team and Ministry level. This will: 

help drive up your team‟s performance



help you to set SMART objectives



ensure everyone in your team has a shared understanding of performance expectations and what „Good‟ looks like



make the process less bureaucratic for everyone and ensure there are no surprises for individuals at the end of the performance year.

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Start-of-year performance action At the start of the performance year senior managers will meet to agree the performance expectations for their department and communicate these to their managers. See section on Guided Distribution.

As a line manager you may be asked to participate in a standard setting meeting at the start of the performance year regarding the performance expectations for your team.

You may be asked to offer your thoughts on the performance expectations to be set.

Below are some of the areas which may be discussed and considered: 

business priorities for your directorate/team



defining SMART objectives and measures against the „what‟ and the „how‟



what do „Outstanding‟, „Good‟ and „Must Improve‟ look like?



what does good enough look like?



agree how to deal with dips in performance and poor performance



are any performance expectations subjective and potentially discriminatory?



are you clear about the definitions of disability and the guidance on reasonable adjustments?



does everyone understand how to use the competency framework?



are any employees required to demonstrate specialist skills? Are you able to manage and assess these skills?



is everyone clear on how to appraise interchangeable staff?



have you all had the necessary learning you feel you need in performance management?



have you all read and understood the performance appraisal procedures?

Applying the performance expectations Once the performance expectations have been confirmed by line managers you will need to communicate these verbally to your team and also at an individual level. You can then use this information when setting SMART objectives for your employees and to clarify what types of examples will be required. The „How to: Set SMART objectives‟ provides guidance on how to do this.

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Defining peer groups Standard setting at the start, middle and end of the year must take place in the context of an employee peer group. Line managers in conjunction with their senior managers need to establish peer groups within their business area at the start of the performance year.

When designing peer groups the following can be considered: 

peer groups to consist of similar/comparable groups of employees of the same grade who may report to the same senior manager/senior manager



peer groups should consist of employees in the same grade and should be natural not artificial constructs.



for the majority, a peer group will be a group of employees doing similar (but not necessarily the same) job, requiring similar (but not necessarily the same) competencies e.g. policy advisor, court clerk, analyst, customer service assistant.



peer groups can be grouped by business area, location or a mixture of these.



where possible, professional/specialist employees e.g. lawyers, teachers etc are assessed within groups of professional/specialists.



Interchangeable staff should be assessed alongside their peers within the Ministry to which they are assigned.



professional/specialists who work within mainly generalist teams can be included in peer groups of generalist colleagues and will be represented by their line managers with input from a manager within the profession, if appropriate



peer groups should, where possible, consist of a minimum of 10 people and a maximum of 45. NB: The suggested minimum is an industry standard for anonymity in a group, but the size of a peer group can be varied to suit business need and structure. Consideration should be given to the number of line managers attending the standard setting meetings to ensure employees are fully and effectively represented.



where possible, peer groups should comprise of a reasonably diverse mix of staff (e.g. gender).

The agreed composition of peer groups should be communicated to staff in high level terms, for example by describing the group as those employees who report to a senior manager(s) but not on an individual named basis as the composition of the group could vary throughout the performance year. The composition of peer groups should also reflect the criteria used for defining peer groups across different parts of the Ministry.

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Annex C Understanding guided distribution Guided distribution is a less controversial approach to ranking than forced distribution, as it is a suggested percentage spread of performance ratings across the organisation rather than a predetermined spread (regardless of actual performance).

The distribution ratings follow the normal distribution or „bell curve‟. Normal distribution is the most widely known and used of all distributions. The normal distribution approximates many natural phenomena for example, height and intelligence is approximately normally distributed; measurement errors also often have a normal distribution. The bell curve has developed into a standard of reference for many probability problems.

A person will be rated either „Outstanding‟, „Good‟ or „Must Improve‟, utilising the Performance Wave (See Section 9). The suggested guided distribution ranges – across the Performance Wave - are set out below.

Outstanding Good Must Improve

10 – 25% of employees 60 – 82% of employees 8 – 15% of employees

Description of the Performance Wave The Performance Wave is a tool which shows how differing levels of achieving the „What‟ and „How‟ impact on the performance level.

There are two axes, the vertical axis is the „What‟ (achievement of objectives) starting with „Less than Effective‟ at the bottom and finishing with „Exceeding‟ at the top. The horizontal axis is the „How‟ (behaviours), starting with „Less than effective‟ on the left and finishing with „Exceeding‟ on the right.

Testing the distribution at ‘Moderation’ At the moderation meetings line managers should focus on the „outliers‟ on the bell curve. The Outstanding and the Must Improves.

If people are rated as „Outstanding‟, you might expect there to be some general agreement that they would be capable of performing in a job at the next level. The „test‟ question to the line manager before assigning this rating is if there was a promotion/vacancy available could this person credibly be considered ready to compete for it today?

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If people are rated as „Must Improveâ€&#x; it is important that line managers are clear why so that they can provide the appropriate support. For example someone new in post who is still learning may need some on the job support or training. Someone else with a poor attitude and destructive behavioural patterns may also need support or possibly performance sanctions.

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Annex D How to set SMART objectives Introduction This section aims to help line managers and employees set SMART (Specific, Measurable, Achievable, Realistic and Time bound) objectives.

Objectives are the specific activities that are set to demonstrate the “What” the employee needs to achieve within the reporting year. Line managers and employees will need to refer to the Civil Service Competency Framework and the code of ethics to set out the “How”.

Line managers are responsible for ensuring that objectives are set. At the start of the performance management year line managers should arrange individual meetings with their employees to discuss and agree performance objectives.

It is recommended that following this meeting, where possible, employees produce the first draft of their objectives, with support from their line manager if required. This ensures both parties are involved in the process. It is important employees understand their objectives whether they are involved in drafting them or not.

Having SMART objectives will help you both throughout the performance management year as they define what is expected and also provide a benchmark to assess performance against.

Good objectives will: 

state not only „What' needs to achieved, but also „How‟



assist with monitoring and supporting performance



demonstrate a clear link between the individual‟s objectives and how their contribution supports departmental strategic aims.

The objective setting cycle Traditionally objectives are set for a maximum period of up to 12 months and mirror the duration of a typical performance year (1 January – 31 December). However, objectives are not set in stone once drafted and can be updated at any point during the process.

Performance appraisal forms are „living documents‟ and objectives can be set for shorter, longer or rolling periods depending on the requirements of the role. Whilst objectives may be set that go beyond the end of the year, clear achievements and deliverables for the year must be agreed. This enables employees to have relevant and SMART objectives at all times in the event that there is a delay between the performance year end and the setting of new objectives.

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How to align objectives to departmental aims Objectives should set out the individual contribution to delivering the business plan of the organisation. There needs to be a clear link between individual objectives and departmental aims. To help employees establish this link they should refer to their Ministries‟ objectives and local plans, highlighting areas the individual is supporting.

The Ministry to which employees belong may have processes in place to help them keep up to date with its business objectives. These could include team discussions, cascades from the management board, intranet articles etc.

An explanation of SMART To help you draft SMART objectives, the following table explains each element in more detail.

SMART

DEFINITION

Specific

Specific is all about defining „What‟ needs to be achieved and also „How‟.

Specific job objectives state „What‟ you are expected to achieve.

Based on the business objectives they define the required outcomes/deliverables, e.g. a) To respond to customer contact within 24 hours. b) Complete policy implementation project plan by x date.

Based on the Civil Service Competencies these are specific objectives on „How‟ you are expected to achieve the outcomes/deliverables, e.g. a) When responding to customers, to do so in line with the customer service charter, demonstrating effective communication skills. b) Utilising project management skills to ensure the plan is achievable and well defined, allocating resources effectively.

Documents such as the Civil Service competency framework, and the Code of Ethics will assist in describing the „How‟. You should avoid simply listing tasks.

Measurable

Dependant on your role, it may be appropriate for you to provide competency evidence relevant to your profession e.g. lawyers, economists, nurses…

Objectives must include measures so that the employee knows when and how the objective has been achieved.

Typical measures include: cost, quality, timeliness, value for money

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SMART

DEFINITION and return on investment.

For job roles that do not have specific delivery targets or depend on significant levels of team work, employees might find seeking feedback is useful for assessment purposes.

Achievable

Realistic

To ensure objectives are achievable the context of the task and individual capability need consideration. Achievable does not mean easy to achieve, objectives should be stretching. Individual needs must be considered and reasonable adjustments made where appropriate. Specifically, objectives may need to be adjusted: 

for a new employee during their probation period or when an employee starts a new role the objectives may be less stretching



for part time employees to ensure targets reflect the reduced hours they work



when an employee has a disability or health concern. Advice should be sought from PAPD as to whether a reasonable adjustment should be made to the role/objectives.

Objectives should be chosen for their priority and significance and be aligned to the Ministry aims.

The emphasis is on ensuring objectives help to deliver Ministry priorities in the business plan, not on achieving them for their own sake.

Not all objectives will be directly relevant to the immediate role.

Some may be personal, e.g. designed to expand the remit of a very capable employee, but must still benefit the Ministry.

Job roles and priorities can change and it is important that objectives are regularly reviewed and updated, if required.

Time bound

Objectives should refer to a timescale such as a deadline or frequency.

It is clearer for a deadline to be a specific date rather than “by the end of the appraisal period” or “by the end of the year”.

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4. Examples of SMART objectives SMART

Not SMART

Improve overall customer satisfaction by 5% over last year, based on the results of the questionnaire sent to all customers.

Improve customer satisfaction as far as possible.

Clear delivery bays daily, of all waste and other material, within 30 minutes of delivery vans leaving.

Keep delivery bays as tidy as possible.

By the end of the year prepare a board paper on staff absence levels with recommendations on how absence might be reduced.

Investigate absence levels.

Reduce pages printed on laser printers by 10% in the first quarter of this year, compared with the same period last year.

Seek to reduce use of laser printers.

Complete staff reports within one month of the end of the reporting year.

Complete staff reports as soon as you can.

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Annex E How to have a performance discussion Introduction This section aims to help line managers and employees hold meaningful regular performance discussions so that the best possible performance can be achieved.

Regular performance discussions are part of day-to-day line management and need not be time consuming. It is likely both employee and line manager already have regular discussions about performance and have their own preference for how to conduct these.

This guide provides some further hints and tips which you may find useful.

The quality of the performance discussions is what matters and, depending on what is being talked about, you should decide between you whether it would be useful to keep notes and how these should be recorded. The frequency and location of the discussion meetings can be agreed between you.

Regular discussions give both of you an opportunity to get together to review performance against objectives, share feedback and recognise achievements.

Discussing performance regularly also allows timely identification of any skills gaps or development needs as and when they arise and should help make the mid and end-year reviews „light touch‟, which will save you both time.

What’s in it for both the line manager and the employee?

The benefits of holding regular performance discussions are: 

They give you the time to discuss, agree and update objectives to improve and stretch performance within an agreed timeframe



They enable you to capture examples of good performance to make the end-ofyear assessment less time consuming



They give you the opportunity to give and receive regular feedback, to recognise good performance or to work through any problem areas



They also give you time to talk about and review development.

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The performance discussion process flowchart

You may both want to use this meeting as an opportunity to touch base and see how things are. Depending on what you need to talk about, the discussion may be brief or more indepth. For more in-depth discussions, examples of performance may be relevant.

Agree if a record of the discussion is being kept.

Discuss performance and review achievements using feedback, recognising good performance and areas for development. Both of you should have an opportunity to provide feedback on how things are going. You might want to review actions agreed from previous performance discussions. You might also decide to review and update objectives or agree development activity. You may wish to assess performance against the “what” and the “how”.

Check that any learning and development needs identified in previous meetings have been undertaken. Sometimes performance discussions may provide an opportunity for informal coaching for the employee.

Ensure agreed actions and outcomes are completed and reviewed at the next performance discussion.

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Information you might find useful to support regular performance discussions The type of information that you might find useful to support performance discussions include: 

examples of reports or written work



work objectives (evaluating the „What‟ delivery of objectives)



competency frameworks (evaluating the „How‟ demonstration of behaviours, competencies and values)



the performance appraisal report



feedback from others (including customers, peers, other managers)



management information/statistics e.g. performance against target data, budget information, etc.

Keeping discussion notes Records should be taken where appropriate. A key point to consider is whether it‟s useful to have some evidence of a particular conversation. This could be whenever problems are discussed, to record achievements, development activities and agreed actions.

If you decide that it is useful to keep a brief record of the key points discussed, you may find it helpful to agree at the start of the meeting who will be responsible for taking notes and how they will be agreed. You may both wish to keep a copy. These notes can be a useful record and reminder for you both when formally assessing performance particularly at mid and end-of-year reviews.

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Annex F How to manage dips in performance Introduction This section aims to help line managers‟ deal with dips in performance. As a line manager, you may have noticed the first signs of dipping performance or it may have been raised with you. A dip happens when performance falls or starts to fall below the agreed expected standards.

Dealing with these situations can be uncomfortable, but by taking early positive steps to recognise and talk about it with the employee you will be better equipped to manage the situation. There will always be reasons for dips in performance and there is no prescriptive route to deal with it. The main thing to remember is that an early and open conversation with the employee is really important to find out the cause and discuss ways forward.

When an employee‟s performance dips it can impact on you, your team, the employee and the wider performance of the business. Working with the employee to help them restore their performance is beneficial all round. In most cases dealing with this early will prevent performance deteriorating and the need for formal poor performance procedures, which can be challenging and time consuming for all.

As a line manager there will be occasions where you need to deal with dips in performance from an employee. If you need more support speak to your line manager or other managers who have had experience in these situations.

Managing dips in performance Talk to the employee about possible reasons for the dip in performance. Identifying reasons will help you and the employee decide the best way to restore performance.

Dips in performance can be for a variety of reasons. Possibilities include:        

Will or motivation of the employee Gap in skills/knowledge of the employee Misunderstanding of expectations between you and the employee Your management style/relationship with the employee may be impacting on the employee‟s performance Workplace relationships Personal life Health or disability Environmental factors.

Once you and the employee have identified the reasons you can discuss together the best way forward. Ideas include:

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        

Help the employee to access personal support services such as occupational health Arrange training, coaching or mentoring Amend or change objectives Consider alternative work Clarify expectations Consider mediation where work based relationships are an issue You may need to consider how you communicate, set direction and clarify expectations Allow time off/adjust working patterns Arrange a team building session

In the event of performance not improving the line manager will need to consider what further support can be provided if appropriate or progress the case to disciplinary or formal managing poor performance procedures.

Quick guide to holding open conversations So far we have established that you need to: 

recognise a dip in performance



understand the cause



identify ways forward to help the employee restore performance.

But how do you go about holding the open conversation with the employee?

In many cases a single open conversation with an employee will be sufficient to restore performance. Here is a quick reference guide to the steps you may wish to consider before, during and after your conversation.

Step One: Before the Conversation Gather/consider examples of the dips in performance. Check that SMART (Specific, Measurable, Achievable, Realistic and Timed) objectives have been set.

Reflect on the examples, ensuring they are well thought through.

Consider if there is anything you should be doing differently. For example, adjusting your management style.

Prepare the points to cover, focus on the outcome you are seeking.

Plan when and where the meeting will take place.

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Consider whether there should be a record of the conversation. This may be useful to ensure that there is a common understanding of actions agreed and to inform future discussions.

Step Two: During the Conversation Open the meeting by letting the employee know why the conversation is necessary. Reassure the employee that the conversation is confidential.

Check you are using open body language and an appropriate tone of voice.

Show you are listening. You want to build a rapport with the employee.

Keep an open mind and check the employee understands what you are expecting of them.

Be ready for reactions, you may need to re-affirm facts and refer back to what you hoped to get out of the conversation.

Find out the cause, not effect.

Action plan improvement suggestions with the employee.

Step Three: After the Conversation Ensure actions agreed are carried out.

Continue to monitor and review.

Set timescales for actions and reviews.

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Annex G Cyprus Public Service: Competency framework Separation of staff into hierarchical levels and respective salary scales Staff Level Level 1: Top and Middle level Management

Level 2: Supervisory Staff and Entry level Staff with academic qualifications/ professional qualifications

Level 3: Staff with High School diploma or tertiary education

Salary Scales A13(ii), A14(ii), A15(i), A16(i), A15 and A16 Α16 up to €63.735 Α16 up to €63.972 Fixed Salary €65.315 Α8, Α10 and Α11 Α9, A11 and Α12 Α8 (4th step), Α10 and Α12 Α11 (4th step), Α13 and Α14 Α12 extended up to €48.176 A8(i), A9(i), A9(ii), A10(i), A10(ii), A11(ii), A12, A12(ii), A7 and Α8(ii), Α8 and A9(i), Α9 and A10(i), Α11(ii) and A12 Α1, Α2 and Α5(ii), Α2, Α5 and Α7(ii), nd Α5 (2 step), Α7 and Α8(i) or A8(ii) , A7(ii), A6(ii), A5(ii), Α1 and Α3, Α2(4th step), Α5 and A7(ii), Α4 and A7(ii), Α6 and A9(i),

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Competency framework LEVEL 1: Top and Middle level Management Leadership skills, target setting and commitment to achieve results  Understands the bigger picture in which he operates and defines the vision of his Department  Defines the appropriate strategy and sets targets/objectives (quantitative and qualitative) for achieving the vision of the Department  Transmits the Department's vision and provides direction/ guidance to staff in order to achieve it  Continuously monitors the progress for achieving departmental/ divisional targets  Fosters to staff a sense of commitment, dedication and responsibility towards achieving the Department's objectives and results  Suggests practical ways for assessing the work that has been achieved in relation to the expectations of the citizens or of the Departments/ stakeholders involved  Seeks to continuously enhance and improve the quality of the work of his Department / Division / Sector  Functions as a role model for all staff in terms of being responsible, accountable and professional in the execution of his duties  He is available and accessible to staff and acts with honesty and integrity  Inspires his subordinates and ensures their support in implementing new ideas / projects in his Department / Division / Sector  Understands stakeholders‟ interests and takes decisions that balance any tensions  Acts unaffected from personal interests and exercises his duties in such a way so as not to create any doubts about his impartiality and objectivity

Planning, organisation and supervision of work  Develops action plans in collaboration with the staff and sets priorities and timeframes for the work of his Department / Division / Sector  Monitors the progress of implementation of the action plans and of the work carried out by the staff and takes corrective action where problems and weaknesses are identified  Assigns responsibilities and provides guidance to his subordinates in relation to the work they should carry out  Allocates work to his subordinates rationally, equitably and fairly taking into 38

  

account their workload, qualifications, experience and skills Ensures that the appropriate procedures/ laws / regulations / circulars are in place and are followed by the staff Ensures that the objectives set are achieved Utilizes appropriately the available resources aiming for savings

Awareness, efficiency and effectiveness in the execution of work  Is aware of the developments in his field and shares any kind of information with the staff of his Department / Division / Sector  Represents his Department competently, both at a local and international level, and promotes the positions/ views of his Department‟s on strategic issues  Is aware and complies with all relevant procedures/ laws/ regulations/ circulars in the execution of his work  Ensures that the working hours of his subordinates and himself are utilized effectively for the benefit of the Public Service  Ensures the timely and proper execution of both his work and of the work of the staff of his Department / Division / Sector  Undertakes responsibilities and takes initiatives for the modernization or improvement of the regulatory framework relate to his responsibilities  Handles/ deals with the various issues/ problems that arise in the execution of his duties properly and swiftly, through analysis and assessment  Identifies opportunities for his personal development and sets individual targets for his development  Identifies alternative solutions for increasing the efficiency in the execution of work in his Department / Division / Sector without increasing the operational costs

Innovation and change management  Introduces/ adopts innovations and implements best practices to his Department / Division / Sector  Encourages the design and adoption of methods and procedures for improving the efficiency of his Department / Division / Sector  He is optimistic and positive to changes in his Department / Division/ Sector and promotes changes to his staff  Convinces about the need for and the benefits of change and explains them to his staff with enthusiasm  Understands the difficulty / resistance of staff to change and provides the necessary support

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Citizen service  Promotes the perception to the staff of his Department / Division/ Sector that citizen/ customer (internal and external) service is of vital importance for the Public Service  Ensures that citizens / customers are treated with decency and courtesy, fairly and impartially  Develops and / or adopts innovative practices that contribute to the enhancement and improvement of the quality of services provided to citizens / customers  Sets standards of service and ensures compliance  Ensures that the services provided by his Department satisfy the needs of the citizens / customers  Uses and utilizes relevant information for improving the services provided to the citizens / customers

Human resource management  Develops a culture in his Department / Division / Sector which encourages the continuous learning and development of his subordinates  Identifies the training and development needs of his subordinates and creates individual development plan with each one of his subordinates  Encourages his staff to take initiatives, suggest new ideas and share new experiences, knowledge and practices  Provides ongoing coaching/ guidance and support as well as timely and constructive feedback to his staff  He is aware of what motivates his staff and ensures its motivation, encouragement and reward  Utilizes the skills/ capabilities of his staff  Creates a spirit of teamwork and cooperation, resolves conflicts in the team and solves problems of staff in his area of competence  Ensures that his subordinates comply with the working hours and avoid unjustified absenteeism from work

Performance management – Staff appraisal  Develops and promotes a culture of performance management and appraisal  Complies with the provisions and procedures of the performance appraisal system within the set timeframe  Manages poor/ unsatisfactory performance  Is impartial in his judgment when appraising his staff

40



Ensures that other appraisors in his Department / Division function with meritocracy, in a fair manner and comply with the provisions and procedures of the performance appraisal system

Communication skills – Professional relationships and partnerships  Promotes a culture of effective, frequent and open communication by creating communication channels both within the Department / Division / Sector and outside with external partners  Expresses himself with clarity and precision both in writing and speaking  Adapts his communication style depending on the person he communicates with and confirms that there is a mutual understanding  Encourages discussion and feedback ensuring that there is honesty, respect and politeness in communication  Creates and promotes relationships of mutual trust, solidarity and effective cooperation/ collaboration with his colleagues and partners  Communicates with confidence in meetings within and outside the Public Service  Develops and utilizes valuable partnerships and contacts both on a local and international level

41

Competency framework LEVEL 2: Supervisory Staff and Entry level Staff with academic qualifications/ professional qualifications Common criteria Planning and organisation of work  Prioritizes his work in order of importance and priority  Defines a timeframe for the execution of his work and ensures that he executes his work within the expected / defined timeframes without any reminders from his Supervisor  Is flexible and adjusts his priorities depending on the circumstances and the instructions given to him  Sets and achieves personal objectives that will contribute in the achievement of the objectives of his Department/ Division/ Sector  Utilizes available resources effectively aiming for savings

Awareness, efficiency and effectiveness in the execution of work  Is aware of the developments in his field and he utilizes/ uses them in his work  Represents his Department properly, both at a local and international level  Is aware and complies with all relevant procedures/ laws/ regulations/ circulars as well as the instructions of his Supervisor in the execution of his work  Is diligent and ensures the proper execution of his work  Handles/ deals with the various issues/ problems that arise in the execution of his duties properly and swiftly, through analysis and assessment  Identifies opportunities for his personal development and sets individual targets for the enhancement of his knowledge and for his development  Works effectively and efficiently under pressure

Positivity to change for the improvement of the Department/ Service or/ and Division/ Sector  Faces innovations / best practices / systems introduced in his Department with optimism, positivity and enthusiasm  Seeks to understand the need for change  Develops a climate of positivity amongst his colleagues with regards to changes adopted in his Department  Demonstrates flexibility and adjusts easily to new conditions 42

Citizen service  Recognizes that the citizen/ customer (internal and external) service is of vital importance for the Public Service  Faces citizens / customers with decency and courtesy, fairly and impartially and develops constructive relationships  Understands the views and needs of citizens / customers and handles disputes that may arise regarding their expectations, which are related to the services provided by his Department  Is patient and keeps his temper when handling cases of difficult citizens / customers  Provides the necessary information in relation to regulations / forms for informing the client further, if deemed necessary  Complies with the standards of service set in his department  Suggests ways to improve / enhance the quality of services offered to citizens / customers  Implements innovative practices, utilizes and uses relevant information for improving the services provided to the citizens / customers

Communication skills – Professional relationships  Expresses himself with clarity and precision both in writing and speaking  Adapts his communication style depending on the person he communicates with and confirms that there is a mutual understanding  Communicates with confidence in meetings within and outside the Public Service  Expresses his personal views with confidence and persuasiveness and brings forward arguments so as to achieve consensus with his supervisors and colleagues and to gain their support  Listens and appreciates/ respects the views of his colleagues  Creates and promotes relationships of mutual trust, solidarity and effective cooperation/ collaboration with his colleagues and partners  Creates and utilizes valuable partnerships and contacts both on a local and international level  Shares his ideas and the information he has for the common benefit

Initiative in the execution of duties  Assumes responsibilities and gives effective solutions quickly to problems that arise within his area of competence  Identifies and suggests new methods / procedures for the enhancement /

43



improvement of the way the work is carried out as well as of the quality of the work Completes successfully the work assigned to him with minimum guidance from his supervisor

Accountability, responsibility and professionalism in the execution of duties  Demonstrates diligence and seriousness to his work  Takes responsibility for his actions in relation to his work and avoids to blame others without making a self-criticism  Is discreet and handles professional issues with caution and discretion  Performs his duties with impartiality and integrity  Makes strong effort and works with passion in the execution of his work  Is willing to take on new, additional and / or enhanced duties  Utilizes working hours effectively for the benefit of the Public Service  Complies with the working hours and he is not unjustifiably absent  Is willing to work beyond normal working hours if requested by his supervisor or if deemed necessary

Additional criteria for staff with Supervisory duties Supervision of work  Allocates work to his subordinates rationally, equitably and fairly taking into account their workload, qualifications, experience and skills, within the context of the action plans developed for his Division/ Sector  Sets timeframes, monitors the progress of the work carried out by his staff and provides support, guidance and coaching where necessary  Ensures that the appropriate procedures/ laws / regulations / circulars are followed by his staff for the execution of the work  Ensures that the objectives set are achieved  Seeks to continuously enhance the quality of the work carried out by him and by his subordinates  Ensures that the working hours of his subordinates are utilized effectively for the benefit of the Public Service

Performance management – Staff appraisal 44

    

Promotes a culture of performance management and appraisal Complies with the provisions and procedures of the performance appraisal system within the set timeframe He is impartial in his judgment when appraising his staff Conducts discussions of substance with his subordinates during the appraisal meetings Manages poor/ unsatisfactory performance

Human resource management  Identifies the training and development needs of his subordinates and creates individual development plan with each one of his subordinates, which are discussed and agreed with the other members of the top and middle level management  Encourages his staff to take initiatives, suggest new ideas and share new experiences, knowledge and practices  Provides ongoing coaching/ guidance and support as well as timely and constructive feedback to his staff  Ensures the motivation, encouragement and reward of his staff  Utilizes the skills/ capabilities of his staff  Creates a spirit of teamwork and cooperation, resolves conflicts in the team and solves problems of staff in his area of competence  Understands the difficulty / resistance of staff to change and provides the necessary support

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Competency framework LEVEL 3: Staff with High School diploma or tertiary education Planning and organisation of individual work  Prioritizes his work in order of importance and priority  Ensures that he executes his work within the expected / defined timeframes without any reminders from his Supervisor  Is flexible and adjusts his priorities depending on the circumstances and the instructions given to him  Is aware of the objectives of his department/ division/ sector and contributes towards their achievement

Awareness, efficiency and effectiveness in the execution of work  Is aware of the developments in his field and he utilizes/ uses them in his work  Is aware and complies all relevant procedures/ laws/ regulations/ circulars as well as the instructions of his Supervisor in the execution of his work  Is diligent and ensures the proper execution of his work  Handles/ deals with the various issues/ problems that arise in the execution of his duties properly and swiftly, through analysis and assessment  Identifies opportunities for his personal development which he discusses with his Supervisor

Positivity to change for the improvement of the way the work is executed and of the work environment  Faces innovations / best practices / systems introduced in his Department with positivity, open mind and enthusiasm  Seeks to understand the need for change  Develops a climate of positivity amongst his colleagues with regards to changes adopted in his Department  Demonstrates flexibility and adjusts easily to new conditions

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Citizen service  Recognizes that the citizen/ customer (internal and external) service is of vital importance for the Public Service  Faces citizens / customers with decency and courtesy, fairly and impartially and develops constructive relations  Understands the views and needs of citizens / customers and handles disputes that may arise regarding their expectations, which are related to the services provided by his Department  Is patient and keeps his temper when handling cases of difficult citizens / customers  Provides the necessary information in relation to regulations / forms for informing the client further if deemed necessary  Complies with the standards of service set in his department  Suggests ways to improve / enhance the quality of services offered to citizens / customers  Implements innovative practices, utilizes and uses relevant information for improving the services provided to the citizens / customers

Communication skills – Professional relationships  Expresses himself with clarity and precision both in writing and speaking  Adapts his communication style depending on the person he communicates with and confirms that there is a mutual understanding  Listens and appreciates/ respects the views of his colleagues and creates relationships of mutual trust and effective cooperation  Shares his ideas and the information he has for the common benefit  Understands what information is needed by the person he speaks with and he identifies and provides the information timely

Initiative in the execution of duties  Assumes responsibilities and gives effective solutions quickly to problems that arise within the span of his responsibilities  Identifies and suggests new methods / procedures for the enhancement / improvement of the way the work is carried out as well as of the quality of the work Completes successfully the work assigned to him with minimum guidance from his supervisor

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Accountability, responsibility and professionalism in the execution of duties  Demonstrates diligence and seriousness to his work  Takes responsibility for his actions in relation to his work and avoids to blame others without making a self-criticism  Is discreet and handles professional issues with caution and discretion  Performs his duties with impartiality and integrity  Demonstrates passion and interest for his work  Is willing to take on new, additional and / or enhanced duties  Utilizes working hours effectively for the benefit of the Public Service  Complies with the working hours and he is not unjustifiably absent  Is willing to work beyond normal working hours if requested by his supervisor or if deemed necessary

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Annex H Cyprus Public Service: Code of Ethics (in summary) ___________________________________________________________________

PUBLIC SERVANTS STANDARDS OF CONDUCT DURING DIRECT CONTACT WITH CITIZENS, EITHER IN PERSON OR BY TELEPHONE ___________________________________________________________________

Public Servants, by definition, shall serve all the citizens, expressing and executing the will of the State.

Hence, this is why one of the most fundamental articles in the Public Service Laws of the Republic of Cyprus sets out the obligations and standards required of public servants, particularly in relation to their dealings with the public. Specifically, article 60 holds that public servants must: • Observe appropriate behaviour, courtesy and honesty.

• Never act or conduct themselves in such a manner that could potentially denigrate the status of the public service, in general, or, in particular, the status of the office they hold or that could potentially undermine public confidence in the public service.

• Endeavour to serve the members of the public in an objective, fair and impartial manner.

The above strictly legal obligations of public servants towards citizens are translated, in everyday language, as:

Propriety Professionalism Integrity

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Annex I How to assess one’s own performance What is self assessment?

A self assessment is your evaluation of your own performance. The purpose of doing it is to help you think about how you have performed in your role over a defined period of time. It is an opportunity to describe and evidence your contributions and achievements and reflect on any problems and challenges. In the main, these should relate to the expectations set in your objectives and competencies – although you should also consider work you‟ve done that may not be covered by an objective or competency.

Self assessment also plays a critical part in the manager/jobholder relationship. A selfassessment invites you as the job holder to take an active part in the discussion about your performance over the past year and as such can provide the basis for a more constructive conversation about performance. Your line manager should encourage and support you in carrying out your self assessment, and provide coaching and assistance on how to do it effectively as part of fulfilling their line management role.

Benefits The benefit of self assessment is it allows you to be involved in the process of assessing your strengths and areas for development. All this will help your line manager clearly understand both how you perceive your own performance and contributions and what evidence you have brought together to underpin your views. In short, it helps you to be proactive in the performance process. Self assessment also encourages you to think about your achievements in a way that can be helpful when preparing for any future job applications.

When to carry out a self-assessment You should carry out a self assessment at mid and end-year (but they can be done more frequently, for example, to support quarterly discussions too). To support this, you are encouraged to maintain an ongoing record of achievements throughout the performance management cycle. By documenting achievements and challenges as they occur you will save time when you carry out a formal self assessment at mid or end-year. You should draft your self assessment on your performance review form ahead of your performance appraisal review meeting so that it can form the basis for the discussion.

Following the review discussion, you then have the opportunity to finalise your self assessment before submitting it to your line manager.

Tips for writing a self-assessment There is no set format or word count limit. However, below are some tips you should consider when approaching a self assessment. It is recommended that you keep the assessment factual, concise and to the point. It should be an evidenced based reflection of progress against the “what” (delivery of objectives) and the “how” (behavioural objectives).

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Check that you understand your role, responsibilities and objectives.

Give your line manager a clear picture of how you have understood the performance expectations, met them and the impact they have had. Evaluate your performance (for mid-year or How to: undertake a performance management self assessment 4 end of year) and record your indicative rating in your self assessment. You may find it helpful to refer to the performance wave.

Keep a log File emails and letters which provide insight into how others have valued your contributions or where you have received useful feedback to act on to develop and improve. Go back over documents and emails to help you remember your earlier accomplishments. Think about maintaining a journal or performance folder during the year to collect records of feedback and achievements. Then you can use your records as evidence that you can reference in your self assessment

Seek regular feedback during the year Ask for feedback from a range of colleagues who are in your team, whom you manage, or who you have worked with. Feedback will give you a greater insight into the impact you have on your team and wider work area. See feedback as an opportunity to find out what you have done well and a chance to learn, rather than a threat. Referring to feedback received in your self assessment, will help you demonstrate to your line manager not only what people value about your performance but also how you have acted on constructive comments about how you can improve. Feedback requests could be for specific tasks or behaviours, about particular improvement areas or impacts, as well as for a broader overview.

Try to evaluate yourself as objectively and specifically as possible.

For example “I follow up and resolve all customer complaints within one hour”, rather than “My customer service skills are good” ; "I completed the report in five weeks, one week ahead of schedule" rather than “My work is completed within deadlines". One method to help you to do this is the STAR model:

Situation

Task Activity/Action Result

Describe the conditions under which you achieved the critical elements of your objectives, including additional activities you completed.

Describe “what” you did during the year which helped create the results you achieved.

Describe “how” the actions you took contributed to your results.

Describe what you accomplished

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Annex J Performance Appraisal Form (Sample)

Personal details Name

Staff number

Job title

Date current role began

Line manager

Period of report

Performance against SMART objectives (Specific, Measurable, Achievable, Realistic and Timed)

‘What’ (to include what is required, measures, outcomes/deliverables and timeframe) 1

‘How’ (to include steps to take to achieve the ‘what’, including the skills, knowledge, behaviours, values and competencies required) 1

2

2

3

3

4

4

5

5

6

6

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Development needs (record any agreed development activity and timescales) ‘What’

‘How’

1

2

3

Mid-year performance review Include examples of performance against the „what‟ delivery of outcomes and the „how‟ demonstrating behaviours, competencies and values.

‘What’

‘How’

Progress against development needs 1

2

3

Employee’s additional comments

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Manager’s additional comments

Signature of line manager

Date

Signature of employee

Date

End-of-year performance review Include examples of performance against the „what‟ delivery of outcomes and the „how‟ demonstrating behaviours, competencies and values ‘What’

‘How’

Progress against development needs 1

2

3

Employee’s comments

Manager’s comments

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Signature of line manager

Date

Senior manager’s comments Signature of senior manager

Date

Signature of employee

Date

Final rating Agreed final rating

Signature of senior manager

Outstanding

Good

Must improve

Date

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Annex K How to run a moderation meeting Mid-Year Mid-year consistency checking At the mid-year point line managers should undertake a moderation meeting within their peer groupings to ensure that there is still a clear understanding about performance expectations and be re-assured that a consistent approach is being taken across the organisation.

Conducting a light touch moderation exercise at the mid-point in the year provides an opportunity for managers to establish the likely distribution of performance ratings by using employees‟ peer groupings mid-year indicative markings.

The mid-year moderation results should broadly reflect the performance of the business area. If it doesn‟t then you have the time to look at the reasons and take appropriate action or be given/give support.

If performance expectations are applied consistently you should find the expected performance range is kept on track reducing the prospect of significant variation at the end of the year.

The mid-year moderation also allows for a formal check that employees‟ objectives remain SMART and are relevant.

End-of-year moderation End year moderation is a meeting where managers review the performance of a group of employees against their peers. The outcome of the moderation meeting results in an employee‟s agreed rating for the performance management year. Meetings should take place shortly after the end-of-year performance review.

Who attends Moderation is a cascade system i.e. Permanent Secretaries moderate the ratings of Directors General; Directors General moderate the ratings of Directors and so on.

Principles of moderation The following table explains the principles that are recommended for conducting a performance management moderation meeting.

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Objective and consistent

Pragmatic

Transparent

Diversity and equality

A manageable number of employees should be considered together to enable an effective review of ratings to occur in meeting the expected distribution. This may mean that groups of employees who report to different senior managers are combined. Objective examples of an employee‟s performance in the performance appraisal report should be used in agreeing the final rating against peer groups.

The process should not be too onerous or too complicated.

You should only attend the moderation meeting if you have a reason to be there.

As a line manager or appropriate nominee attending a moderation meeting, you should be clear about why an employee has been awarded a given rating and you should be able to explain this clearly to them.

Those involved in moderation should be aware of a commitment to the principle of equal opportunity. This means avoiding unconscious bias, promoting equitable treatment and avoiding unfavourable impact on particular groups which would result in discrimination or inequality e.g. women and part time workers.

Record of validation meeting outcomes (to be sent to Perm Sec cc PAPD) Name of Chair (senior manager):

Moderation group:

Location of moderation meeting:

Date of moderation meeting:

Number of employees in each recommended rating group: Please note: the „Must Improve‟ box should be pre-populated with: 

the number of employees dismissed because of poor performance during the performance year



the number of employees undergoing formal managing poor performance action at the end-of-year review stage 1 (8–15%) („Must Improve‟)

2 (60–82%) („Good‟)

3 (10–25%) („Outstanding‟)

Names of those line managers who attended: Chair‟s signature:

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Annex L How to manage a complaint following a disagreement The appeals process allows employees who are not satisfied with the outcome of the process to raise an appeal and demonstrate the reason(s) why they feel the outcome or decision is unreasonable.

An appeal is a review of the decisions reached and the basis for those decisions.

The appeal is the final consideration of the case.

The appeal will be heard by the senior manager and another manager at a senior level, ideally from another Ministry.

Employees might consider requesting an appeal for the following reasons:   

They believe new evidence has come to light that could justify a change to the original decision; They believe the decision was unfair due to the relevant policy not being applied correctly; or They believe the decision was unreasonable.

Employees have a right to appeal a decision within 15 working days of receiving the written decision.

How do employees appeal?

By completing an Appeal Notification Form (DN: suggest this is designed in Cyprus) and sending it along with a supporting statement to the manager who will hear your appeal.

The employee does not need their line manager‟s permission to lodge an appeal but they should notify their line manager of this action.

What happens then?

The employee will be invited to attend an appeal hearing, usually within 10 days of the appeal manager receiving their appeal. They should attend the appeal hearing, as it is their opportunity to set out the reasons why they believe the rating assigned to them is unreasonable. They may be accompanied by a work colleague or Trade Union representative; it is the employees responsibility to make the arrangements for this and notify the appeal manager of who will be attending with them.

The appeal panel will consider the appeal including any additional evidence or mitigation provided and make a final decision on the allegations. If the appeal hearing manager is in a position to do so, they will advise the employee of their decision in the appeal hearing. The outcome will be communicated to the employee, in writing, within five working days of the decision.

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Annex M 3600 feedback for Permanent Secretaries 360 degree feed back, is a performance appraisal system that gathers feedback on an individual from a number of sources, typically including those to whom we are held to account, peers, direct reports and stakeholders/customers.

This may supplement a self assessment.

Its supporters claim that this gives managers and individualsâ€&#x; better information about their skills and performance, as well as working relationships, compared with more traditional appraisal arrangements.

With 360 degree feedback, typically eight to 10 people complete questionnaires describing the individual's performance. There is a strong argument for obtaining wideranging information to form an accurate and balanced picture of performance.

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Sample 360 appraisal form A PERSONAL DETAILS: Name of Reportee: Your Name: Your Relationship to the Reportee: B FEEDBACK ON THE REPORTEE: For the Period:

April 2013 – January 2014

The end of year feedback for Permanent Secretaries includes 3600 feedback to take into account both „what‟ they achieved and „how‟ they achieved it (focusing on their leadership behaviour and people management skills). Your feedback is appreciated in order to form a rounded picture of performance. Specific examples are helpful.

What worked well and why? Please provide two examples.

Where would a different approach or behaviour have worked better and why?

Please provide one example.

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Annex N Roles and responsibilities: ‘our pledge’ to implement a new Performance Appraisal system Purpose: To highlight the joint ownership of the performance management process and the key roles and responsibilities of individuals. NB: It is suggested that this is handed out at the end of the performance appraisal training sessions.

Employee’s pledge – I will:      

ensure I have defined Specific, Measurable, Achievable, Relevant and Time bound (SMART) objectives at all times, reviewing them on a regular basis raise promptly any issues I have in achieving my objectives pro-actively seek and act upon regular, constructive, feedback continuously seek ways to improve and take an active and positive interest in my development take personal responsibility for my own performance contributing to organisational and team outcomes, working to the best of my ability, and provide relevant examples at performance review meetings to demonstrate my work and an evidence base for my rating

Line manager’s pledge – I will:      

ensure that my employees have SMART objectives which are up to date and that they are clear about their role and responsibilities and what is expected of them provide regular constructive feedback on my employees‟ performance throughout the year to support their development and ensure they have the skills and knowledge relevant to their job role recognise good work proactively manage any areas of poor performance empower and motivate my employees to carry out work to the best of their ability ensure that I hold mandatory review meetings with my employees

Senior manager’s pledge – I will:    

ensure that my line managers and employees have SMART objectives and that these are updated as required ensure that my line managers and employees are holding regular performance discussions throughout the year and that line managers address any development needs identified by taking appropriate action ensure that mandatory review meetings take place ensure that line managers are recognising the contribution of their staff

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

ensure that poor performance is identified by line managers and proactively managed.

Together – we pledge to:      

use policy, procedures and supporting tools to complete all performance actions to the required deadlines be committed to the performance appraisal process prepare for and positively participate in regular performance discussions contribute to an effective performance management culture in the Cyprus Public Service offer constructive feedback to colleagues as required support and promote the Civil Service competencies and Code of Ethics

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