1. SCS Performance Management Guide for job holders and line managers

2. Introduction and navigation 2SCS Performance Management: guide for job holders and line managers Performance management is at the heart of how leaders and their team work together, and with others. It is a core business process that involves building a shared understanding of what success looks like and how it can be delivered and maintained. Effective performance management is critical for creating a high performance culture, with a focus on quality service delivery. It comprises of rigorous individual performance planning and assessment together with personal development. This guide is designed for the SCS and their line managers. It’s purpose is to enable job holders and managers to understand the key elements of the SCS performance management process and procedure, and their individual roles and responsibilities. Performance management is at the heart of how leaders and their team work together, and with others. It is a core business process that involves building a shared understanding of what success looks like and how it can be delivered and maintained. Effective performance management is critical for creating a high performance culture, with a focus on quality service delivery. It comprises of rigorous individual performance planning and assessment together with personal development. This guide is designed for the SCS and their line managers. It’s purpose is to enable job holders and managers to understand the key elements of the SCS performance management process and procedure, and their individual roles and responsibilities. Navigation You can navigate to the section that interests you using the menu or you can browse the full guide using the previous and next page buttons. Throughout this guide you’ll see the following buttons: Previous Page - return to the previous page viewed Next Page - proceed to the next page in the topic Home - return to the main menu Navigation You can navigate to the section that interests you using the menu or you can browse the full guide using the previous and next page buttons. Throughout this guide you’ll see the following buttons: Previous Page - return to the previous page viewed Next Page - proceed to the next page in the topic Home - return to the main menu

3. Main Menu 3SCS Performance Management: guide for job holders and line managers Introduction and navigation Performance management approach Performance planning Performance reviews Performance assessment Performance differentiation (moderation) Frequently asked questions Click here to access the full HR Practitioners’ guide

4. Performance management approach 4SCS Performance Management: guide for job holders and line managers 1. Performance Planning Individual and line manager set the performance objectives in line with business goals. 1. Performance Planning Individual and line manager set the performance objectives in line with business goals. 2. Performance Review and Assessment Individual and line manager meet in-year and end of year to review and assess performance delivered. 2. Performance Review and Assessment Individual and line manager meet in-year and end of year to review and assess performance delivered. 3. Performance Differentiation Each individual is assessed on their relative contribution to the organisation, against their peers. 3. Performance Differentiation Each individual is assessed on their relative contribution to the organisation, against their peers. Objectives must make clear how the individual will deliver in: - Business/delivery; - Finance/Efficiency; - People/Capability; - Corporate Contribution. Objectives are moderated for quality and linkage to business goals. Objectives must make clear how the individual will deliver in: - Business/delivery; - Finance/Efficiency; - People/Capability; - Corporate Contribution. Objectives are moderated for quality and linkage to business goals. Delivery against objectives; Leadership skills and behaviour shown; Strengths and development areas. Mid-year changes are recorded, and any agreed actions are taken forward. Delivery against objectives; Leadership skills and behaviour shown; Strengths and development areas. Mid-year changes are recorded, and any agreed actions are taken forward. Best performers are identified, retained and developed; weakest performers are identified and managed to gain improvements. Any deterioration in an employee’s performance should be identified and addressed promptly.. Best performers are identified, retained and developed; weakest performers are identified and managed to gain improvements. Any deterioration in an employee’s performance should be identified and addressed promptly..

5. Performance planning (1) 5SCS Performance Management: guide for job holders and line managers The job holder is responsible for drafting their objectives at the beginning of the performance reporting year and agreeing these with their manager. Each member of the SCS must have at least one objective under each of the following headings: Business delivery Finance/efficiency People/capability Corporate objective These objectives must mirror commitments made in the relevant Single Departmental Plan (SDP). SCS must also record their development objective(s), which should focus on professional capability. The job holder is responsible for drafting their objectives at the beginning of the performance reporting year and agreeing these with their manager. Each member of the SCS must have at least one objective under each of the following headings: Business delivery Finance/efficiency People/capability Corporate objective These objectives must mirror commitments made in the relevant Single Departmental Plan (SDP). SCS must also record their development objective(s), which should focus on professional capability. Check list: Objectives set out ‘what’ needs to be achieved in the performance reporting year and also ‘how’ objectives will be achieved using the key behaviours in the Competency Framework and Leadership Statement.Competency Framework Objectives should be SMART (Specific, Measurable, Achievable, Relevant, Timed). Finalised objectives must be cascaded by the job holder to at least the management level below. Agreed objectives should be recorded on the SCS Performance Agreement form. SCS Performance Agreement form Within departments, line managers should ensure that performance objectives are moderated for relevance, completeness and stretch. Check list: Objectives set out ‘what’ needs to be achieved in the performance reporting year and also ‘how’ objectives will be achieved using the key behaviours in the Competency Framework and Leadership Statement.Competency Framework Objectives should be SMART (Specific, Measurable, Achievable, Relevant, Timed). Finalised objectives must be cascaded by the job holder to at least the management level below. Agreed objectives should be recorded on the SCS Performance Agreement form. SCS Performance Agreement form Within departments, line managers should ensure that performance objectives are moderated for relevance, completeness and stretch.

6. Performance planning (2) 6SCS Performance Management: guide for job holders and line managers Finance/efficiency: Objectives should cover what the job holder will do to control costs or drive efficiencies. They should record budgets for which they are responsible for on the SCS Performance Agreement form. Where, exceptionally, an SCS job holder has no individual budgetary responsibilities, they should set their finance /efficiency objective at a wider corporate level. Finance/efficiency: Objectives should cover what the job holder will do to control costs or drive efficiencies. They should record budgets for which they are responsible for on the SCS Performance Agreement form. Where, exceptionally, an SCS job holder has no individual budgetary responsibilities, they should set their finance /efficiency objective at a wider corporate level. People/capability: Objectives should show clearly what the job holder will do in term of people development and increasing the capability of their teams. This should take into account feedback gathered using the 360-feedback tool. This objective should clearly map onto the behaviours and standards set out in the Leadership Statement.Leadership Statement People/capability: Objectives should show clearly what the job holder will do in term of people development and increasing the capability of their teams. This should take into account feedback gathered using the 360-feedback tool. This objective should clearly map onto the behaviours and standards set out in the Leadership Statement.Leadership Statement Corporate objective: This mandatory objective expects all members of the SCS to make a contribution to the running, performance and reputation of the Civil Service, over and above their day job. Business delivery: Objectives should be those for which the jobholder is personally accountable in order to deliver business goals and outputs.

7. Performance reviews 7SCS Performance Management: guide for job holders and line managers Performance reviews are part of an on-going process to discuss the continued relevance of the jobholder’s objectives, how individuals are performing against expected standards and should be used to address any short-term or long-term development needs. Objectives should be revised in line with changing governmental and departmental priorities, and any amendments to the Single Departmental Plan. Managers and job holders should make time to discuss development needs, longer–term career aspirations and options. The 9-box Performance and Potential grid can be used to help assess, retain and develop high calibre employees who show the potential to become top performers. Departments will be asked to provide details of their 9 box grid assessments to the Senior Leadership Committee (SLC). Performance reviews are part of an on-going process to discuss the continued relevance of the jobholder’s objectives, how individuals are performing against expected standards and should be used to address any short-term or long-term development needs. Objectives should be revised in line with changing governmental and departmental priorities, and any amendments to the Single Departmental Plan. Managers and job holders should make time to discuss development needs, longer–term career aspirations and options. The 9-box Performance and Potential grid can be used to help assess, retain and develop high calibre employees who show the potential to become top performers. Departments will be asked to provide details of their 9 box grid assessments to the Senior Leadership Committee (SLC). Check list: Job holders and line managers ensure that they are holding regular performance conversations throughout the year. Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in mid and end-year formal assessment. Objectives are reviewed once a quarter by job holders with their managers, to ensure continuing relevance. Managers must not wait until the mid-year or year-end point to raise performance issues. If the job holder’s objectives require changing, the original objectives should not be changed; the revised objectives should also be recorded on the SCS Performance Agreement Form. SCS Performance Agreement Form Check list: Job holders and line managers ensure that they are holding regular performance conversations throughout the year. Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in mid and end-year formal assessment. Objectives are reviewed once a quarter by job holders with their managers, to ensure continuing relevance. Managers must not wait until the mid-year or year-end point to raise performance issues. If the job holder’s objectives require changing, the original objectives should not be changed; the revised objectives should also be recorded on the SCS Performance Agreement Form. SCS Performance Agreement Form

8. Performance assessment (1) 8SCS Performance Management: guide for job holders and line managers Performance must be formally assessed at both the mid-year and end-year point. Performance should be regularly reviewed to ensure there are no surprises in terms of the messages that are communicated to job holders at the formal assessment stages. A written narrative of formal performance discussions should be agreed by the job holder and line manger and recorded on the SCS Performance Agreement form. Performance is assessed against ‘what’ has been achieved and ‘how’ it has been achieved. Ministerial feedback, where appropriate, will be collected in advance of mid and end-year performance discussions by the Permanent Secretary and HR Director and cascaded. Performance must be formally assessed at both the mid-year and end-year point. Performance should be regularly reviewed to ensure there are no surprises in terms of the messages that are communicated to job holders at the formal assessment stages. A written narrative of formal performance discussions should be agreed by the job holder and line manger and recorded on the SCS Performance Agreement form. Performance is assessed against ‘what’ has been achieved and ‘how’ it has been achieved. Ministerial feedback, where appropriate, will be collected in advance of mid and end-year performance discussions by the Permanent Secretary and HR Director and cascaded. Check list: SCS must ensure they complete the unconscious bias e-learning available on CS Learning as this will inform their approach to the appraisal process. Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in mid and end-year. Job holders are required to record the staff engagement scores from the Civil Service wide People Survey for the team for which they are responsible. If this disaggregation is not available, they should record their department or agency-level engagement scores. These scores should form part of the mid and end-year narrative provided on their response to these scores. Check list: SCS must ensure they complete the unconscious bias e-learning available on CS Learning as this will inform their approach to the appraisal process. Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in mid and end-year. Job holders are required to record the staff engagement scores from the Civil Service wide People Survey for the team for which they are responsible. If this disaggregation is not available, they should record their department or agency-level engagement scores. These scores should form part of the mid and end-year narrative provided on their response to these scores.

9. Performance assessment (2): mid-year 9SCS Performance Management: guide for job holders and line managers Mid-year reviews should take place in October/November. The aim of the mid-year review is to formally assess the job holder’s performance in the first half of the performance year. This is an opportunity to consider the on-going applicability of their objectives and address any development needs. There is no requirement at the mid-year review stage to assign a performance grouping to individuals. Mid-year reviews should take place in October/November. The aim of the mid-year review is to formally assess the job holder’s performance in the first half of the performance year. This is an opportunity to consider the on-going applicability of their objectives and address any development needs. There is no requirement at the mid-year review stage to assign a performance grouping to individuals. Check list: Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in their mid-year assessment. Line managers should assess Job holder performance by taking account of both, ‘what’ they have achieved, and ‘how’ they have achieved it. Job holders and managers must agree a written record of the mid-year performance discussion and this should be recorded on the SCS Performance Agreement Form.SCS Performance Agreement Form Check list: Job holders are responsible for seeking feedback on their performance from their managers, peers and staff, where appropriate, and building up a portfolio of evidence for use in their mid-year assessment. Line managers should assess Job holder performance by taking account of both, ‘what’ they have achieved, and ‘how’ they have achieved it. Job holders and managers must agree a written record of the mid-year performance discussion and this should be recorded on the SCS Performance Agreement Form.SCS Performance Agreement Form

10. Performance assessment (3): end-year 10SCS Performance Management: guide for job holders and line managers End-year reviews should take place close to the reporting year-end in March/April. Managers should make a judgement over whether objectives have been met, not met or exceeded using the following criteria: ‘What’ they have achieved. ‘How’ they achieved it – the degree to which they have demonstrated the behaviours in the Leadership Statement and the Civil Service Competency Framework Leadership Statement Civil Service Competency Framework Demonstration of Civil Service values – individuals have a contractual duty to observe the Civil Service Code, and leaders are expected to exemplify these values. Degree of difficulty or ease of meeting the objectives in light of actual events. End-year reviews should take place close to the reporting year-end in March/April. Managers should make a judgement over whether objectives have been met, not met or exceeded using the following criteria: ‘What’ they have achieved. ‘How’ they achieved it – the degree to which they have demonstrated the behaviours in the Leadership Statement and the Civil Service Competency Framework Leadership Statement Civil Service Competency Framework Demonstration of Civil Service values – individuals have a contractual duty to observe the Civil Service Code, and leaders are expected to exemplify these values. Degree of difficulty or ease of meeting the objectives in light of actual events. Check list: 360-degree feedback on the job holder must be collected as part of the end-year appraisal process using the CS Learning 360-degree feedback tool. This is mandatory for all SCS. All SCS must ensure they complete the unconscious bias e-learning available on CS Learning as this will inform their approach to the appraisal process. The performance review narrative and indicative end-year performance grouping (Low, Top or Achieving) should be recorded on the SCS Performance Agreement form and signed off by both the job holder, line manager and countersigning officer. Please note that performance groupings are finalised following the moderation process. Check list: 360-degree feedback on the job holder must be collected as part of the end-year appraisal process using the CS Learning 360-degree feedback tool. This is mandatory for all SCS. All SCS must ensure they complete the unconscious bias e-learning available on CS Learning as this will inform their approach to the appraisal process. The performance review narrative and indicative end-year performance grouping (Low, Top or Achieving) should be recorded on the SCS Performance Agreement form and signed off by both the job holder, line manager and countersigning officer. Please note that performance groupings are finalised following the moderation process.

11. Performance differentiation (moderation) 11SCS Performance Management: guide for job holders and line managers Following end-year assessment, departments differentiate SCS members performance relative to their peers, assigning individuals to one of three performance groups shown below: End-year performance markings are then moderated in groups, typically according to grade, to ensure consistency and that the performance group distribution (above) is met. An individual cannot be ranked higher than ‘achieving’ if they have not met their finance/efficiency objective and can only be placed in the “top” performance group if they have exceeded at least one finance/efficiency objective. Following end-year assessment, departments differentiate SCS members performance relative to their peers, assigning individuals to one of three performance groups shown below: End-year performance markings are then moderated in groups, typically according to grade, to ensure consistency and that the performance group distribution (above) is met. An individual cannot be ranked higher than ‘achieving’ if they have not met their finance/efficiency objective and can only be placed in the “top” performance group if they have exceeded at least one finance/efficiency objective. Check list: End-year performance markings must be moderated. Therefore, if managers share their recommendations with individuals they should make clear that it is an initial recommendation and is subject to change at moderation. Jobholders who are assigned to the “Top” performance group should be considered for any departmental/agency talent management procedures to retain and develop them further. Jobholders who are assigned to the “Low” performance group should be made aware that they are performing below their peers and should have performance development plans drawn up. This should not be a trigger for formal poor performance procedures, but rather for intensive support, training and coaching. Check list: End-year performance markings must be moderated. Therefore, if managers share their recommendations with individuals they should make clear that it is an initial recommendation and is subject to change at moderation. Jobholders who are assigned to the “Top” performance group should be considered for any departmental/agency talent management procedures to retain and develop them further. Jobholders who are assigned to the “Low” performance group should be made aware that they are performing below their peers and should have performance development plans drawn up. This should not be a trigger for formal poor performance procedures, but rather for intensive support, training and coaching. Performance group% of staff TopTop 25% AchievingNext 65% LowBottom 10%

12. Frequently asked questions 12SCS Performance Management: guide for job holders and line managers Q: If a members of the CS has left the department during the performance year do they still need to be assessed? A: If a job holder leaves their post within 60 days of mid or end-year review then they are still eligible for moderation. However, if they have left the Civil Service entirely they will not be entitled to any bonus or performance reward. If they have left 60 days before moderation, they should be moderated in their new department. Q: If a members of the CS has left the department during the performance year do they still need to be assessed? A: If a job holder leaves their post within 60 days of mid or end-year review then they are still eligible for moderation. However, if they have left the Civil Service entirely they will not be entitled to any bonus or performance reward. If they have left 60 days before moderation, they should be moderated in their new department. Q: How does an SCS job holder appeal the decision on their end-year performance group rating? A: If a job holder wishes to appeal their performance grouping at the end-year then they will need to follow their departmental grievance procedures or any other measures in place in a Department to allow for the review of a management decision regarding performance markings. Q: How does an SCS job holder appeal the decision on their end-year performance group rating? A: If a job holder wishes to appeal their performance grouping at the end-year then they will need to follow their departmental grievance procedures or any other measures in place in a Department to allow for the review of a management decision regarding performance markings.