1. Working together for a safer world PPP Mid-Year Review Guidelines An ideal opportunity to formally clarify what an individual has achieved to date and discuss what is still to be achieved by the end of June. January is a critical checkpoint to consider progress and changes that may have occurred since July (due to both internal and external influences).

2. What is the purpose? One of the most poignant pieces of feedback coming out of the 2012 PPP SNAP Survey was that frequency of PPP and the need for more regular reviews (rather than just annually) is a critical success factor for an effective PPP…………. The Mid-Year Review is therefore a key event in the performance calendar and managers should miss it at their peril if they want to achieve good results and high performance. This important checkpoint in January allows the perfect opportunity to track an individuals progress towards meeting their objectives set back in July (considering what has been achieved to date and what still needs to be achieved). It is also important to review and acknowledge achievements against relevant behavioural competencies (BCs) and personal development plans (acknowledging achievements and discussing future development plans). This quick guide provides suggestions on how to make the most of this important PPP checkpoint.

3. Hints and Tips for Managers Consider whether there has been a change in the business, perhaps the priorities or plans have shifted. This may well have implications for individuals and their objectives. It is not a good idea to wait until the end of the performance cycle to discover situations as above. This may result in an individual not meeting some of their objectives which could impact their performance review outcome. Review the individual’s personal development plan. Are they getting all the support and training they need to help them achieve their objectives? Review the BC Development Guide for learning suggestions. Often an objective, once met, leads to another necessary piece of work. This should be considered as a new objective. If an individual has already met one or more of the objectives then you should rate the individual objective using the new 5 point rating scale which will help you accurately describe to what extent the objective was achieved (see further slides and Performance Ratings Guidance on the PPP website ) for further assistance. Use the PPP form as a working document to regularly track progress rather than only looking at it once or twice a year. Taking time to spend with the individual to discuss their performance and development will have a powerful impact on their level of engagement and performance. You should consider this as an important part of your role as their line manager.

4. Hints and Tips for Employees Be proactive in setting a meeting with your manager to discuss your progress against your year end objectives. Take ownership of your own performance and development. Consider whether the objectives set back in July are still relevant. Perhaps other factors have meant that the objective has to change. Consider whether there has been a change in the business, perhaps the priorities or plans have shifted. This may well have an impact for you and your objectives. It is not a good idea to wait until the end of the performance cycle to explain to your manager situations as above. This may result in some of your objectives not being met, therefore highlight issues early. Consider your progress against relevant BCs as well as your personal development plans. Are you getting all the support and training you need to help achieve your objectives? Review the BC Development Guide for learning suggestions. Often an objective, once met, leads to another necessary piece of work. This should be considered as a new objective. Ensure that this is recorded on your PPP form as achievement data. Your manager will use the new 5 point ratings scale to rate individual objectives set in July that you may have already achieved. This will include any you have not achieved in terms of meeting any timescales set. Keep your PPP as a “live” document to track progress rather than only looking at it once or twice a year. Regularly record achievements as and when they occur, ready to share with your manager when necessary.

5. Rating individual objectives One or more of an individuals objectives set in the beginning of the cycle in July may have been achieved by the mid year review. It makes sense therefore for the individual and the manager to discuss and rate the individual objective using the new 5 point scale whilst it is all fresh in your memory. Objectives not met, where a deadline has passed should also be given the appropriate rating. Here is a reminder of the 5 point rating scale to rate individual Objectives. The scale helps to accurately describe to what extent each objective was achieved. The PPP Ratings Guide contains more detailed guidance. Managers and employees will think about the examples/evidence they have, or need, to demonstrate whether the expected level of performance has been achieved. This may include feedback from other people, either within LR or externally, in addition to your own examples/evidence.

6. Key things to Remember when reviewing performance against objectives: It is much easier to identify whether targets and measures have been achieved if they are described accurately and clearly at the beginning of the process when the objective is first agreed. Remember that progress and performance against objectives should be reviewed throughout the year, not just at the formal PPP reviews, whilst details are fresh in peoples mind. If an objective changed or became irrelevant after it was set (because of a change to the business priorities for example), the objective should either have been changed to reflect the new circumstances, or removed or a new objective agreed instead, before the final PPP review.

7. Rating individual BCs Managers and employees will have highlighted at least 4 BCs from the individual’s role profile to focus on at the beginning of the performance year. As with the objectives, the 5 point rating scale should be used to rate to what extent each required behaviour level is being met. The suggestion is though that managers only rate BCs at the end of the year when the individual has had ample opportunity to demonstrate BCs as required. The mid-year review however is an ideal opportunity to review the progress an individual has made in this regard. This is particularly important if there are performance shortfalls in this area. You should not wait until the end of the performance year to highlight this shortfall or indeed rate an individual as amber if feedback has not been provided previously! Again, examples/evidence from both parties will help to demonstrate whether the expected level of behaviour has been achieved including feedback from other people. 5Demonstrates all indicators for this behaviour at the required level and most at the level above 4Demonstrates all indicators for this behaviour at the required level and some at the level above 3Demonstrates most indicators for this behaviour at the required level 2Demonstrates some indicators for this behaviour at the required level but the majority at the level below 1Demonstrates a limited number of indicators for this behaviour and/or several of the negative indicators

8. Key things to Remember when reviewing performance against BCs: Everyone should be demonstrating all the BCs at the level required for the role; this includes the indicators at the levels below as the scales are intended to be 'cumulative'. F or example, if you are required to achieve level C for ‘External Focus’, you are also expected to display the behaviours described in levels A and B for this BC. Remember that reviewing BCs throughout the year picks up shortfalls early and gives the individual ample opportunity to develop the BC (use the BC Development Guide for suggestions on how to develop each BC). If one of the BCs featured on the role profile but not highlighted as a key focus for PPP begins to negatively impact performance during the year, then this BC should have been re-prioritised as a focus before the final PPP review.

9. Online PPP System The PPP online system can be used to record progress as part of the PPP Mid-Year Review. There is a box within the objective section and BC section of the form for you to record any comments or achievement data (see below example). There is also a box for the manager to record their comments. You can access the system via the Applications Tab on the Hub or via the new PPP site. If you have already initiated your PPP back in July using the system, your form will be visible on the PPP homepage and it will indicate who the form is currently assigned to (you or your manager). Only the assignee at that point in time can edit the form (see top tips on next slide and/or full User Guide).User Guide

10. Top Tips for using Online PPP System If you have already initiated your PPP form back in July, your form will be visible on your PPP homepage with information about who currently has access to edit the form (you or your manager). Remember only one person can view and amend the live document at any one time so if you have submitted the form to your manager then you will not have access to this until it comes back to you with comments (and vice versa manager to employee). If you have not yet used the online form, the employee NOT the manager must initiate it in the first instance (as the system reads the employee records from the LR People system) To initiate a brand new PPP click on the blue button “Start New PPP” The system will now ask you which cycle you want to start. Select the appropriate cycle (i.e. 2014-15). Note: the system will only allow you to create one form within a cycle. A short pause will then take you to a new form, click on the Employee Details Screen to verify your details. If the employee details screen is blank (i.e. no details are showing), this is an error and you must raise an IT helpdesk call as your login credentials need to be updated. If your managers details are incorrect you can manually change them within the system to continue but note this will not change your LRP record. Complete each section. It is always a good idea to click the PREVIEW button to save a copy of your form onto your PC before you submit it to the other party. You must click either SAVE or SUBMIT otherwise you will lose your updates within the system. The manager should not close the form – this option should only be selected at the end of the PPP cycle – if you do this before, the form will be archived and will have to be retrieved manually by IT helpdesk

11. Lloyd’s Register and variants of it are trading names of Lloyd’s Register Group Limited, its subsidiaries and affiliates. Copyright © Lloyd’s Register [Entity]. 2013. A member of the Lloyd’s Register group. Karen Williams OD Consultant Organisational Development / Group HR T +44 (0)20 8423 1563 E karen.williams@lr.orgkaren.williams@lr.org Lloyd’s Register Group Services Limited 71 Fenchurch Street, London EC3M 4BS Working together for a safer world