Managing Performance Through People
    Leicestershire County Council’s
     Performance Guidance (2009)

             for...
Contents

    PART ONE – MANAGING PERFORMANCE THROUGH PEOPLE
              PERFORMANCE DEVELOPMENT REVIEW (PDR)


1 Introd...
PART 2 – MANAGEMENT COMPETENCY FRAMEWORK


1 Introduction
2 Benefits
3 What are competencies?
4 How will the framework be ...
PART 1 – MANAGING PERFORMANCE THROUGH PEOPLE – PDR
GUIDANCE

1 Introduction and scope

The main purpose of the Performance...
2 Performance Management and the benefits of the PDR process

Performance Management is the achievement of the organisatio...
These responsibilities begin prior to the actual review discussion, as it is detailed and
considered preparation that will...
(ii) Reviewee responsibilities

Prior to the meeting the reviewee should ensure that they have:-

   •   Reviewed their pr...
opportunity to reflect on their own performance, to think about their development needs,
plans for the future and to talk ...
(vi) The meeting should also be an opportunity for the reviewee to discuss their career
     aspirations and personal ambi...
(i) Setting Objectives

When setting objectives it is useful to use the SMARTER acronym for the objectives.

    Specific ...
Realistic:-
and relevant to the reviewee's role and where they aspire to be. Realistic might mean
allocation of resources....
(i) Career Aspirations

As part of a performance assessment it is important to discuss with an individual their
personal a...
Aspirational

   •   Learning and development targeted at preparing an individual for the
       requirements of future ro...
For further information, the County Council’s Equality and Diversity Strategy 2008 –
2010 can be accessed at (insert link)...
10 Appendix A – Reviewer and Reviewee Preparation Notes

                                   Previous year
                ...
Forthcoming Year
                                   Targets/Objectives
What objectives need to be set?               What ...
Appendix B – Giving and receiving feedback

Giving feedback

Be positive:–
Any discussion about an employee’s development ...
Receiving feedback

Be prepared for constructive criticism:–
In order for any development discussion to be useful, there n...
PART 2 – MANAGEMENT COMPETENCY FRAMEWORK GUIDANCE

1 Introduction

The Management Competency Framework is part of the over...
3 What are competencies?

 A competency clearly defines and describes behaviours needed to perform effectively at
 work. T...
(ii) Induction/Probation

As part of their induction, managers should familiarise themselves with the framework
and discus...
Values
                                         Customer Focus




                                      Equality and Dive...
Example extract:


Title of the                                              High level definition
management priority



...
Management levels
The framework is for all LCC managers. A manager is defined as a person who has
responsibility for manag...
6 Assessing performance against the Management Competencies

Assessing performance is not an ‘exact science’ however it sh...
your area of responsibility’ there needs to be evidence of effective performance within
the whole of that area.

Once the ...
2   Meets Some                    • There is evidence of some behaviours being
    Expectations                    demonst...
N/R    No opportunity to            • This rating should only be used if there has been
        demonstrate expected      ...
Reviewee
Once the date for your PDR has been arranged you will need to complete the following
before the PDR meeting with ...
Following the Review meeting
Ensure that all sections of the PDR have been completed and any ratings that you
agreed to ch...
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Transcript of "Guidance for Managers PDR"

  1. 1. Managing Performance Through People Leicestershire County Council’s Performance Guidance (2009) for Managers
  2. 2. Contents PART ONE – MANAGING PERFORMANCE THROUGH PEOPLE PERFORMANCE DEVELOPMENT REVIEW (PDR) 1 Introduction and scope 2 Performance management and the benefits of the PDR process 3 Roles and responsibilities (i) Reviewer (ii) Reviewee 4 The PDR meeting (i) Preparation (ii) Conducting the annual PDR meeting (iii) Records (iv) Review meeting 5 Appeals 6 Setting objectives 7 Learning and Development (i) Career Aspirations (ii) Learning Pathways (iii) Personal Development Records 8 Equality and Diversity (i) Positive Action 9 Summary 10 Appendices
  3. 3. PART 2 – MANAGEMENT COMPETENCY FRAMEWORK 1 Introduction 2 Benefits 3 What are competencies? 4 How will the framework be used? An overview 5 The Management Competency Framework 6 Assessing performance against the management competencies • Sources of evidence • Making an assessment • The rating scale : Table A • Completing an assessment 7 Links with National Occupational Standards for Managers
  4. 4. PART 1 – MANAGING PERFORMANCE THROUGH PEOPLE – PDR GUIDANCE 1 Introduction and scope The main purpose of the Performance and Development Review (PDR) process is to ensure that all staff working for the County Council have access to a regular discussion about their performance and development needs in relation to their job role. An effective PDR will provide individual members of staff with a sense of direction and purpose and help to motivate them to perform well in their role for the County Council. The aim of this guide is to provide all managers and staff with information on the PDR scheme for Leicestershire County Council. The guide describes best practice for managers and is accessible for all staff to ensure they understand their responsibilities and those of their manager in conducting regular and effective PDRs. The process is a mandatory requirement of all managers who have day-to-day managerial responsibility for staff. Within the management competency framework, there are competencies relating to managing people which includes an expectation that managers conduct regular and effective performance and development reviews. All staff must receive at least 1 full PDR meeting within a 12 month period and at least 1 formal PDR review meeting. The scheme applies to all members of staff including long term temporary and fixed term staff. Casual staff and short term temporary staff should receive an induction into their job and managers will need to ensure that they consider training and development needs but may feel that a full PDR is not appropriate or proportionate to the employment contract. Where a casual or temporary member of staff works for the County Council for 6 months or more and is likely to continue in that role then a PDR is necessary. This guide will take you through the whole PDR process and ensure that you have access to the right support, best practice guidance and paperwork to get the most out of the process. It is important that the PDR process is seen in the context of service planning and the County Council’s objectives.
  5. 5. 2 Performance Management and the benefits of the PDR process Performance Management is the achievement of the organisation’s goals through setting objectives, managing and monitoring performance against these objectives, and providing the coaching and training that ensures all staff are equipped with the skills and knowledge to deliver the required results. The focus of performance management is on continuous development and performance improvement. The PDR process is an essential element of performance management, where the focus is upon: • Encouraging effective people management and ongoing communication between managers and staff • Establishing a fair and consistent base so people know what is expected of them • Helping people to achieve higher levels of performance and be recognised for doing so • Making sure that people are as effective as they can be • Establishing greater accountability for delivery of targets and objectives • Implementing a consistent approach across the Council • Ensuring corporate priorities are included in targets and objectives • Increasing the focus on ‘what matters’ • Establishing closer links between service planning and individual performance • Encouraging employees to take greater responsibility for their performance and development Performance can only be assessed if there is clarity of expectations, and there is evidence against which to assess. Targets and objectives should therefore reflect the corporate, service and individual priorities, with staff taking responsibility for their performance and for their development needs. 3 Roles and responsibilities The manager responsible for the day-to-day management of the member of staff is the Reviewer and the member of staff is the Reviewee. The responsibility for ensuring that a productive discussion takes place at a PDR meeting rests equally with the Reviewer and the Reviewee.
  6. 6. These responsibilities begin prior to the actual review discussion, as it is detailed and considered preparation that will often determine the success of the meeting. It is important for both parties to remember that the PDR framework should be used to promote continuous performance improvement and lifelong learning. (i) Reviewer responsibilities Managers should ensure that prior to the PDR meeting they have:- • Reviewed the previous PDR forms • Are familiar with and have communicated the relevant contents of the key plans appropriate to the member of staff’s work. These could include Corporate Strategy, Departmental Service Plan and/or Team Plan, relevant partnership or national plans that have implications for the service area • Arranged a mutually convenient time and date (consider part-time workers) and provided at least a week’s notice • Familiarised themselves with the Management Competency Framework (if applicable) • Given the Reviewee time to prepare and make notes on key areas to be discussed in the PDR meeting • Ensured that enough time is allocated for the meeting • Arranged to hold the meeting in a private and appropriate environment • Considered the objectives and targets set, and the reviewee’s performance and achievements against these targets • Reviewed any learning or development activities undertaken in the previous period and evaluated its impact • Reviewed the job description and the duties and responsibilities of the job • Considered whether there are further developmental needs and how these might be met. • Advised the Reviewee if there are specific areas they wish to discuss so they have time to prepare • After the meeting, ensure that the PDR paperwork is completed and signed
  7. 7. (ii) Reviewee responsibilities Prior to the meeting the reviewee should ensure that they have:- • Reviewed their previous PDR • Reviewed their personal development record • Familiarised themselves with the Team or Service Plan and other key plans which may impact on their work. • Familiarised themselves with the Management Competency Framework (if applicable) • Considered any areas that their manager has advised them they will be addressing in the meeting • Reflected on areas of good performance including the way in which they work as well as what has been achieved • Considered what examples of performance might be useful for the discussion • Reviewed any learning or development activities undertaken and the impact of these activities • Reviewed the job description and the duties and responsibilities of the job • Considered whether there are areas for improvement in performance and if there are any development needs to support progress 4 The PDR meeting (i) Preparation Successful PDR meetings are well planned and conducted effectively by both the reviewer and the reviewee. There are some useful guidance notes for assisting with preparation in Appendix A, and in the previous section under roles and responsibilities. (ii) Conducting the annual PDR meeting The Annual PDR meeting is the opportunity for an open discussion between the member of staff and their line manager about their performance over the past year and the plans for the following 12 months. The PDR should be completed using the Corporate PDR form for either staff (non-managers) or managers It is an essential element of setting objectives, targets and standards for staff and managing and monitoring how they are doing. It gives every member of staff an
  8. 8. opportunity to reflect on their own performance, to think about their development needs, plans for the future and to talk to their manager about their work and the service. The exact style and duration of the meeting will vary depending on the job and the working arrangements of the manager and member of staff. Some managers and their staff meet and talk daily or have structured supervision arrangements whereas others may not have the same opportunity due to the nature of their service, their work environment or working arrangements. The following is a guide to getting the most out of the process for both the manager and the member of staff and ultimately the service:- (i) The meeting should open with the reviewer setting the reviewee at ease and ensuring that the purpose and scope of the meeting is clear. It is also important to ensure that the intended outcomes are clear for the reviewee. The purpose of the PDR meeting is to have a 2-way discussion about the reviewee and their performance in their job. (ii) Clarifying the job role and expectations of the reviewee is a useful start to open the discussion based on the job description and the previous PDRs objectives, targets and standards. It is also important for the member of staff to understand the context of their role in what the Council is trying to achieve. This is a key indicator of the Investors in People standard. (iii) Reviewing performance can be difficult but is an essential element of the process. Assessing performance is detailed in the next section. Providing the reviewee with an opportunity to reflect on their own performance first will enable the reviewer to focus on examples of good performance initially and to praise the reviewee. The discussion should flow from talking through examples of work and how they have contributed to meeting the objectives, targets and standards previously set. (iv) It is important to discuss where there may have been instances of below average or poorer than expected performance using examples and ensuring the reviewee relates this to the overall performance of the service. The reviewee should be enabled to openly and honestly discuss any problem areas. The purpose is to improve future performance and there should be an opportunity for the reviewee to discuss what support or development they may need to achieve an improvement. It is also important to consider jointly whether there are any constraints which may have prevented high performance and what the causes might be. There are some guidance notes on giving and receiving feedback in Appendix B. (v) From the reflective discussion of past performance the meeting should progress to the future and what the reviewee’s developmental needs are to achieve an improvement in performance. The reviewer should be clear about the objectives, targets and standards to be achieved in the next period and how these will be assessed and supported. Further guidance about setting objectives, targets and standards are covered in section 5 (iii).
  9. 9. (vi) The meeting should also be an opportunity for the reviewee to discuss their career aspirations and personal ambitions. It is important that the reviewer enables this discussion without raising expectations or false hopes but through providing the right guidance and support. (iii) Records After the PDR meeting the reviewer should ensure that the PDR form is completed and sent to the reviewee either within 2 weeks of the meeting or within an alternative timescale agreed between the reviewer and reviewee. Learning and Development needs should be sent to the Learning and Development Service. The member of staff should sign the form if they agree with the record and return it to their manager. In the event that agreement cannot be reached the Appeals process can be implemented (see section 8) (iv) Review meeting The purpose of the formal PDR review meeting is to ensure that the objectives, targets and standards agreed at the full PDR meeting are on track and that the member of staff is receiving any development agreed at that meeting. The meeting should be recorded in the PDR. Where possible, there should be an equal period between meetings and 2 per year is the minimum. Where it is felt necessary PDR meetings can be conducted more regularly. 5 Appeals On the rare occasions when a Reviewer and Reviewee fail to agree on issues raised during the PDR, the Reviewee has the right to appeal. This appeal will normally be made to the Reviewer’s line manager. The Appeal process should not be used to resolve any issues currently covered by other HR policies and procedures.
  10. 10. (i) Setting Objectives When setting objectives it is useful to use the SMARTER acronym for the objectives. Specific – Measurable – Achievable – Realistic – Time-bound – Evaluated - Reviewed Specific:- This means being precise about what you want the reviewee to achieve – the objective should be concrete, detailed, focused and well-defined. (i.e., don't just put 'improve team working' put something like 'to improve team working by the introduction of flexible working hours; performance management etc.") Useful questions •Is the objective well understood? •Is it clear who is involved? •Is it clear where this will happen and what needs to happen? •Is the outcome clear? •Will this objective lead to the desired results? Measurable:- You have to be able to measure the success of the objective - otherwise you won't know whether it's been achieved or not. The source of the measurement needs to be identified so you are able to track progress towards the objective. Useful questions •How will you know that the objective has been achieved? •Can you obtain the measurements needed? Achievable:- Objectives need to be within the control of the individual. The objective should be challenging yet possible to attain. This has to be agreed by Reviewer and Reviewee. Useful questions •Can you do it within the proposed timeframe? •Do you understand the limitations and constraints? •Can you do this with the resources you have? •Is it possible?
  11. 11. Realistic:- and relevant to the reviewee's role and where they aspire to be. Realistic might mean allocation of resources. Useful questions •Do you have the resources available to achieve the objective? •Is it possible to achieve the objective? Time-bound:- All objectives must have a date for achievement/completion otherwise reviewees will not know what they are working to. It also helps with interim reviews to see whether objectives are on target or not. Timescales should stretch reviewees but not be impossible to achieve. Useful questions •When will the objective be accomplished? •Is there a stated deadline? Evaluated and Reviewed It is important that when setting objectives you also consider how and when they will be Evaluated and Reviewed. There are preparation forms in Appendix A which will help both reviewer and reviewee with this aspect of the process. The Interim review meeting and ongoing supervision sessions can be used to discuss progress towards the achievement of objectives and review and refine them if appropriate. 7 Learning and Development The Council is committed to taking a more planned and strategic approach to managing our people. This means the identification and nurturing of staff with the right skills, attributes and ambitions to develop further. The PDR meeting is also an opportunity to explore the learning and development needs of staff to enable them to meet the objectives, targets and standards required of them. It is committed to providing flexible and innovative ways of meeting the development needs of all staff and the manager should consider all the options available, and take advice from the Learning and Development service, where appropriate. Discussion should focus on prioritising learning requirements. Managers should consider the most effective and most cost efficient way of meeting the needs identified.
  12. 12. (i) Career Aspirations As part of a performance assessment it is important to discuss with an individual their personal ambitions and potential for future promotional opportunities. PDRs should not just be about identifying development for the current job. Developing someone for their next job with the Council has benefits for the entire organisation. (ii) Learning Pathways Learning pathways have been developed for all levels of management within the organisation. The learning pathway is designed to help managers and employees examine all aspects of their learning and development requirements and clearly signpost employees to the development provision which is most appropriate to their level and job role. Learning Pathway New Employee Grades 1 - 8 Grades 9 - 12 Grades 13 - 15 Grades 16+ Induction Management Competency Framework Service Specific and CPD Developmental Aspirational Refresher . Service Specific and CPD • Learning and development related to specific ongoing professional development and technical training related to job role and service area. • These requirements will be set by Departments in relation to their statutory and national training requirements. Developmental • Learning and development targeted at supporting an individual to enable them to perform effectively in their current role. • Development activities focused on grade specific job requirements related to skill and/or competency issues.
  13. 13. Aspirational • Learning and development targeted at preparing an individual for the requirements of future roles, for example promotion to a higher grade. • Please note individuals will not be able to attend programmes that are identified as ‘aspirational’ until all service specific and development programmes have been completed. Refresher • Learning and development targeted at refreshing prior learning due to time elapsed since attendance or due to changes in legislation/approach/practice. Meeting learning and development needs Learning and development needs may be met through a variety of activities. For example: Shadowing Guided reading Self directed study Coaching E learning Workshops/Conferences Qualification courses Managers are reminded that they should consider the most effective and most cost efficient way of meeting the needs identified. (iii) Personal Development Records Personal development records are an important record of an individuals learning and development record and history. It is the responsibility of every individual member of staff to maintain their own personal development record and to make use of the record during the PDR process. A section of the PDR form relates to personal development planning. The Learning and Development service may be able to assist with the initial information but all staff should try to record and maintain their own Personal Development Records including details of their qualifications and professional memberships. 8 Equality and diversity It is important that every employee within the Council is aware of the Council’s Equality and Diversity Strategy, specifically the key aims of the strategy and how equality and diversity relates to the work of their section and to their individual job role. Managers are expected to include these discussions within the PDR meeting and identify how individuals through their work can help promote equalities and diversity both within the organisation and through the services they deliver.
  14. 14. For further information, the County Council’s Equality and Diversity Strategy 2008 – 2010 can be accessed at (insert link) (i) Positive Action The Council is committed to working towards a workforce that represents, at all levels, the community it serves. Ethnic minority and disabled staff are under-represented at management level. As part of this positive action the Council is providing positive action measures such as management development training, mentoring, shadowing, coaching or other development activity for ethnic minority and disabled staff where they demonstrate an interest in pursuing a career in management. Whilst these opportunities are available to all staff, special consideration should be given to what development opportunities you can make available to ethnic minority and disabled staff that are interested in a management role at Leicestershire County Council. 9 Summary The PDR process is an important managerial responsibility to ensure that all staff have the opportunity to discuss their work with their manager on a regular and structured basis. It is the cornerstone of performance management in the County Council and a key process by which the efforts of individual members of staff are aligned with the priorities of the organisation and ultimately the public we serve. The discussion that takes place should be honest and open for both parties to ensure that all staff understand what is expected of them and how they can achieve the right level of performance in all aspects of their work. This includes service standards, quality standards, organisational values, customer care and behavioural elements. PDR’s are not optional – they are essential to getting the best out of staff and to ensuring that staff have the right skills and attributes to perform to the best of their potential for the good of the Council’s services.
  15. 15. 10 Appendix A – Reviewer and Reviewee Preparation Notes Previous year Overall Reflection General overview of performance for previous year. (May include: most enjoyable/least enjoyable aspects; issues, challenges or obstacles etc. i.e. has it been a good year or not so good year? Why?) Targets/Objectives What targets were set? Were the targets met and how? (If not, why not?) Learning & Development Achievements What were the benefits on an individual, What were the main achievements and/or section and department basis? strengths? Were there any issues, challenges or obstacles? Team Issues?
  16. 16. Forthcoming Year Targets/Objectives What objectives need to be set? What are the expected success criteria? (SMARTER) (i.e. how will you know if the objectives have been achieved?) Learning & Development Achievements What development is required to support Note down any updates or information that completion of the objectives? (Consider needs to be discussed such as new how this will be met and evaluated) Corporate Guidelines; Equality & Diversity; data quality, risk assessment; Investors in People; and Business Plans etc.) Additional comments I.e. Are there any things that reviewee’s feel their Manager could do differently or improve, that would support them in their post?
  17. 17. Appendix B – Giving and receiving feedback Giving feedback Be positive:– Any discussion about an employee’s development should be as positive as possible. Praise at the beginning of the discussion will help get people to relax and feel comfortable about the discussion. Praise should be sincere and deserved and relate to a specific piece of work rather than “good year’s work, well done”. Beginning the discussion on a positive note means that areas where there may be disagreement or possible conflict will be approached better by both parties. Not only should the discussion begin on a positive note but it should also end in a positive way with both sides feeling that they were able to express their views and reach a reasonable compromise. Be objective:– Focus on skills and behaviours, not the person. Try to avoid words like: fault, mistake or incompetence. You need to be able to identify what improvements need to be made based on any shortfalls from a given standard. Be specific:– When praising or discussing weaker areas with an individual, you need to be specific. Always have examples at hand to give the employee more of an idea of those areas which need improvement or development and to provide a basis for moving forward to action plans. e.g. “Let’s consider what we need to do exactly to bring your interviewing skills up to the required standard”. Own the feedback:– You should be prepared to be accountable for the feedback that you give and should only give feedback on behaviour that you have actually observed. Be assertive and straightforward in discussing feedback. Be timely:– You should provide feedback as near to the time when you observe the behaviour or performance as possible, therefore regular feedback during the year (not just at PDR time) is essential. Timely follow up to feedback to ensure that agreed development needs are being addressed is also important. Listen:– When you constructively criticise any individual’s work you have to be prepared to listen to their response. This may include criticism of the way you manage or details of the organisational barriers preventing the individual from carrying out their work effectively. In amongst the accusations there may be grievances that need to be noted and action taken where possible. On the other hand, don’t allow yourself to get involved in detailed discussions about the organisation in general. It is important to steer the discussion back towards the individual and their role.
  18. 18. Receiving feedback Be prepared for constructive criticism:– In order for any development discussion to be useful, there needs to be some identification of areas where improvements could be made. If it is your work being discussed, you need to accept that there may be some criticism of your work from your manager. However, this criticism is not intended to be a personal attack and if you feel it is, you should say so. You try to be aware of your own performance and open minded about receiving feedback. The most important thing is to view the criticism positively Be clear about the feedback:– If you are not sure what the exact feedback is, ask your manager to be specific and if possible give you an example. e.g. “Can you give me some specific instances?” Listen:– To the feedback, consider it and act on points which you and your line manager think are high priority. Focus on the content of the feedback, not your reaction to it so that you can clearly understand what you are being praised for and what you could do better in the future. Be ready to respond:– If you feel the feedback is justified be prepared to say so. This will help move the discussion on to a point where an action plan can be agreed. If you disagree with the feedback, try and state why you disagree and in particular, mention anything that you feel is hampering your work. Try and keep these comments short and sharp unless you are asked to elaborate. It is important that you feel free to raise issues if they are pertinent to your work but make sure you are not just coming up with excuses! Be proactive:– Ask for feedback regularly during the year, particularly about what is going well and what could have gone better. Ask for guidance and support when you need it. In addition, if there are changes in your personal life that may affect your work in some way, tell your line manager straight away as they cannot support you if they do not know. You should also be open about your interest and aspirations for the future so that your line manager can support you.
  19. 19. PART 2 – MANAGEMENT COMPETENCY FRAMEWORK GUIDANCE 1 Introduction The Management Competency Framework is part of the overall strategy for supporting the development of Leicestershire County Council’s managers. The framework defines the core behaviours that all managers across the authority are expected to demonstrate in their day to day work regardless of their specific role. This document is an updated version of the Management Competency Framework which was launched in 2007. It has been updated based on feedback from managers at all levels and also to reflect the changing priorities of the Council. Further updates will be made on an annual basis to ensure that the framework continues to meet the Council’s needs. The aim of the framework is therefore to enhance both individual and organisational performance. 2 Benefits Individual benefits • Individuals can see more clearly the contribution they make towards achieving objectives. • Individuals know what is expected from them in terms of performance in their job role. • Individual performance can be managed more objectively and individually, supporting performance improvement. • Learning and development can be mapped against recognised measurable individual performance. • Career progression and personal development can be structured. • Confidence is promoted from knowing the job is being ‘done well’. Organisational benefits • Management roles can be designed based on the framework. • Training and development needs can be identified more easily because expectations of performance are clear. • Performance improvement is simpler because it is based on agreed criteria. • Development can be directly linked to organisational needs and to the skills, knowledge and behaviours required for each competency. • The framework provides a link between recruitment and retention and staff development and training. • The framework is set within the clear context of the organisational values, corporate responsibilities, customer focus and equality and diversity.
  20. 20. 3 What are competencies? A competency clearly defines and describes behaviours needed to perform effectively at work. These behaviours are both observable and measurable and taken together within the competency framework describe effective management practice. They explain HOW we need to perform our roles, rather than WHAT we need to deliver. For managers there are two key components to the management role: • Behavioural competencies and • Technical knowledge required for a particular job, for example professional qualifications. Leicestershire County Council’s Management Competency Framework details the behavioural competences that all managers across the organisation are expected to display in their day to day work. 4 How is the framework used? – An overview Management Competency Framework Continuing Induction/ Succession Recruitment PDR Professional Probation Planning Development Managers Development Pathway (i) Recruitment The competency framework should be used as part of the PDR process for all jobs which have management responsibilities. The competencies can be used to inform both the Person Specification and the Job Description. At interview, some questions will be focused on key areas within the framework to test if there is evidence of these behaviours being demonstrated within previous job roles.
  21. 21. (ii) Induction/Probation As part of their induction, managers should familiarise themselves with the framework and discuss with their manager any areas which require clarification and development in terms of their job role. During the probationary period the expectation is that managers will demonstrate the behaviours required across the range of situations they encounter during that time. As part of the probationary interview, strengths should be highlighted and areas for further development discussed to inform the individuals first development plan. (iii) Performance and Development Reviews The competency framework is used as part of the PDR process for managers. Reviewers and Reviewees are required to make an assessment against the framework detailing the level of performance against each of the competencies as defined by the supporting statements. A discussion based on the assessments will then take place. The purpose of the discussion is to ensure that effective performance is recognised and valued and to identify areas for continuing development. (iv) Continuing Professional Development Managers should aim to gain experience/have opportunities to develop the behaviours across all the competency areas in relation to their own management level. However, wherever possible managers should also seek out opportunities to develop the behaviours required at the more senior levels within the framework. 5 The Management Competency Framework The Management Competency Framework is built upon key organisational foundations which underpin Leicestershire County Council’s culture and ways of working. The themes of Equality and Diversity and Customer Service underpin the framework as they are fundamental both in the development and management of the organisation, and the delivery of services. In addition, managers are expected to be guided by the Organisational Values and the Council’s Corporate Responsibilities. The management priorities – Deliver High Performance; Manage and Develop People; Lead, Inspire and Motivate; Build Relationships to Achieve Results and Champion Continuous Improvement cover the key areas in which Leicestershire County Council expects its managers to perform. They are applicable to all managers.
  22. 22. Values Customer Focus Equality and Diversity Corporate Responsibilities As Managers in Leicestershire County By: Council, we will: Deliver high performance Managing people and resources to create more effective and efficient service delivery. Manage and develop people Developing high performing teams, enabling continuous learning for all employees and celebrating success. Lead, inspire and motivate Setting a clear purpose, direction and targets for individuals and teams. Build relationships to achieve results Engaging effectively with all relevant stakeholders and maximising co-operative relationships even in difficult circumstances. Champion continuous improvement Creating an environment where new ideas are encouraged and all managers lead change.
  23. 23. Example extract: Title of the High level definition management priority Deliver High By managing people and resources to create more effective and efficient service delivery. The four competency Performance clusters are – Managing and Development Self, Managing Resources, Managing Projects and Managing Customers. Using the supporting statements as a guide, assess each of the competencies. Level 1 Level 2 Level 3 (Up to Grade 12 (Grades 13 - 15 ) (Grades 16 - 22) • Takes responsibility for organising • Balances urgency against • Prioritises own/service activities Managing and own work to achieve objectives in importance to ensure objectives are in the context of corporate Developing Self order of priority. met. needs as a whole to ensure own, service and corporate • Manages time effectively to • Balances own priorities with the objectives are met. ensure tasks are completed and needs of others when tackling deadlines are met. competing demands. • Consults with and makes use of ‘experts’ to enhance personal • Demonstrates a flexible approach • Demonstrates a flexible approach effectiveness and to share best practice. to meet changing demands. and a persistence and resourcefulness to get things done. • Develops personal ways to manage stress, conflict or other • Reflects on own practice and is pressures. aware of own strengths and weaknesses. • Seeks regular formal/informal feedback from others. • Anticipates the need for different skills and knowledge and takes • Seeks out and takes opportunities appropriate action. to develop, including CPD, learning from others, taking on new responsibilities and keeping up to date with new developments. Supporting statements applicable to Competencies each level of manager Management Priorities are the key areas of focus of managers and contain up to four related Competencies. Competencies identify the key behaviours which managers are expected to demonstrate. Supporting Statements are examples of the types of behaviours that LCC would expect to observe within this competency, when a manager demonstrates effective behaviour relevant to their level. The supporting statements for each level outline in general terms the main responsibilities for each level of manager and provide the context for assessment. The Supporting Statements are cumulative, i.e.: those at Level 1 apply also to managers at Level 2 and Level 3 also. Likewise, Supporting Statements at Level 2 also apply to managers at Level 3.
  24. 24. Management levels The framework is for all LCC managers. A manager is defined as a person who has responsibility for managing others and for conducting another’s Performance and Development Review. The framework is not applicable to those employees who fall within managerial grade bands who do not have any responsibility for managing others. The framework comprises of three management levels:- • Level 1 - Managers graded up to 12 • Level 2 - Managers graded 13 -15 • Level 3 - Managers graded 16 -22 Grade/ Definition Level Level 1 • Responsible for a single integrated team. (Up to grade • Responsible for planning and delivering short term operational work 12) activities. • Works within clearly defined policies with specific objectives. • Understanding, influencing, empathising and communicating with people are important considerations in achieving service delivery and objectives. • Receives direction from senior managers. Level 2 • Responsible for a service area and one or more inter-related teams. (Grades 13-15) • Responsible for operational service forward planning, and establishing priorities. Contributes towards strategic planning of services within the political and partnership context of LCC. • Works within broad functional policies and objectives. • Required to influence, develop and motivate people to achieve objectives. • Receives general guidance only. Level 3 • Responsible for development of a major service or group of services. (Grades 16-22) • Required to lead on corporate wide processes/projects and in partnership with other organisations. • Responsible for strategic planning of services. Required to set direction and provide leadership within the political and partnership context of LCC. • Involved in the development of new concepts and approaches, requiring analytical and creative thinking which contribute significantly to organisational change and development. • Required to influence, develop and change the motivation and behaviour of people to achieve organisational priorities.
  25. 25. 6 Assessing performance against the Management Competencies Assessing performance is not an ‘exact science’ however it should be based on evidence and examples of behaviour. Managers will need to rate their own performance and also the performance of any other manager for whom they are required to conduct a Performance and Development Review (PDR). Sources of Evidence There are two main types of evidence that can be used to demonstrate effective performance.  Products and outcomes of work activities such as documents or records of activities (‘what’ was achieved).  Evidence of ‘how’ an activity was carried out; these may be self report examples and /or feedback from others who have observed performance. Examples of evidence could include:- • Actions taken to implement improvements. • Actions taken to address issues or in response to feedback received. • Feedback received from others. • Personal learning and development records. • Reports, minutes of meetings. • Planning documentation. Making an Assessment Read through the supporting statements for each of the competencies. Remember that the supporting statements are cumulative and it is expected that managers demonstrate the supporting statements at all levels below their grade. Consider each of the statements and determine whether there is evidence or examples of behaviour of performance in that area. It is expected that behaviours should be demonstrated throughout the individual’s management role and that ‘one-off ‘examples of behaviour are not necessarily sufficient evidence to suggest that an individual performs well in that area. Behaviours need to be consistently demonstrated throughout the individuals day-to-day interactions and any arrangements or processes put in place need to be followed through and shown to be effective. Where statements refer to the team, there needs to be evidence of effective behaviours relating to all members for whom they are responsible and not just evidence of effective management of a few individual members. Equally, where statements refer to ‘within
  26. 26. your area of responsibility’ there needs to be evidence of effective performance within the whole of that area. Once the evidence has been identified and examples of performance in each of the areas can be determined then the rating should be made based on the criteria set out in Table A. The Rating Scale – Table A The Rating Scale is laid out as follows: 1 – Low...2…3…4... – High...N/R (No Rating) Scale Definition Guidance 1 Performance is • Little, none or contrary evidence of behaviours Unacceptable. expected being demonstrated. Does not demonstrate Actions the behaviours expected. • Consider if the person is capable/has the ability to (NB: Behaviours develop the behaviours required? expected are those stated in the o If Yes - need to set clear targets and Management timescales for improvement and agree Competency development activities/support that are Framework and also in likely to have maximum impact on the relevant Job improving performance. On-going Description) monitoring required. o If No or no improvement after setting clear targets and timescales for improvement, see Capability Procedure guidance.
  27. 27. 2 Meets Some • There is evidence of some behaviours being Expectations demonstrated but cannot be relied upon to do this on all occasions when required. Demonstrates some of the expected behaviours. • Clear priority areas for development. Development needs in Actions one or more number of key areas. • Set clear targets and timescales for improvement. Requires support to • Agree:- develop behaviour in key o activities and specific improvements areas. required o review and monitoring arrangements o support and supervision arrangements 3 Meets Expectations • Consistently meets the requirements of all the supporting statements. Demonstrates the expected behaviours on Actions all occasions. • Further development in this area must be Significant strengths and considered carefully to identify what ‘added value’ development needs is to be gained. Development activities likely to be focused on refining focused on refining and improving skills/behaviours current skills/behaviours. in key areas of work or keeping up to date with ‘new’ practices /initiatives and ‘refresher’ training. Exceeds Expectations Actions 4 Frequently demonstrates • Consider opportunities for developing behaviours at a higher mentoring/coaching role. level than is expected and acts as a role model • Development activities likely to be focused on to others. keeping up to date with ‘new’ practices /initiatives and ‘refresher training. Coaches and supports others utilising breadth of experience and /or specialised depth of expertise.
  28. 28. N/R No opportunity to • This rating should only be used if there has been demonstrate expected no opportunity to demonstrate the expected behaviours. behaviours in the current management role, for example when new in post etc. • Opportunities for developing in this area need to be identified and arranged to ensure that all areas within the framework are covered. Completing the assessment Preparation Reviewer It is the Reviewer’s responsibility to arrange and agree the date for the Performance and Development Review. Reviewers will need to ensure that sufficient notice is given to allow time for both parties to complete the assessment against the Management Competency Framework prior to the PDR meeting. You need to access the PDR form for managers on the CIS (insert link) and complete the following:- (i) First familiarise yourself with the framework and the management level you will be assessing the Reviewee against. (ii) For each of the five Management Priorities consider each of the competencies and their supporting statements and rate the individual’s current level of performance (see guidance on the rating scale - insert link). (iii) You should ensure that you take into account performance over the whole of the review period and be able to give examples /evidence of performance to support your rating. (iv) As part of your preparation you may also want to consider prior to the meeting what the objectives, targets and standards are that need to be set/linked to the service/team plan for the Reviewee.
  29. 29. Reviewee Once the date for your PDR has been arranged you will need to complete the following before the PDR meeting with your line manager. 1 Access the PDR form for managers on the CIS (insert link) and complete the following: 2 Familiarise your self with the framework relevant to your management level. 3 For each of the Management Priorities consider the competencies and supporting statements and rate your current level of performance (see guidance on rating scale -Insert link). 4 You should ensure that you take into account your performance over the whole of the review period and be able to give examples /evidence of performance to support your rating. 5 As part of your preparation you may also want to consider prior to the meeting your suggestions about what the objectives, targets and standards linked to the service/team plan should be set. 6 You should also give some thought as to your development needs and career aspirations. Further guidance on completing the PDR can be found on the PDR form. At the PDR meeting • Discuss the ratings for each of the five Management Priorities and their associated competencies. • Where there are differences in ratings discuss the reasons for these and ‘agree’ on a final rating. • In the event of not being able to reach agreement the manager should record the rating which in their judgement corresponds to the level of performance demonstrated. • For each area make a note of strengths/achievements and agree areas for development. • Complete the remainder of the PDR (as per the guidance in the document).
  30. 30. Following the Review meeting Ensure that all sections of the PDR have been completed and any ratings that you agreed to change following the discussion have been updated. • Send a copy of the learning and development requirements to the Learning and Development Service. • Send a completed copy to the Reviewee and retain a copy for your own records. • Plan in a provisional date for the interim formal review in 6 months time. • Agree arrangements for 1-1 meetings. 7 Links with National Occupational Standards for Managers The National Occupational Standards for Management and Leadership were approved in May 2004. They describe the level of performance expected in employment for a range of management and leadership functions and activities. Further details about the units can be found by accessing their website: http://msc.managers.org.uk Leicestershire County Council’s Management Competency Framework covers many of the same key areas and the relevant links between the competency clusters and the National Occupational Standards are shown in the diagram above. Examples and evidence of effective practice collated in preparation for assessment against the Management Competency Framework will provide some of the evidence required within the relevant units for the National Occupational Standards. Equally, engaging in development activities in relation to the competencies within the framework will provide some of the underpinning knowledge, skills and understanding detailed within the units of the National Occupational Standards and other associated management frameworks.

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