1. E Xecutive Summary

Page 2

CONTENTS

1. EXECUTIVE SUMMARY

Purpose and Context

1.1 Staff play a critical role in NOMS delivering against its objectives and have an important role to play in preventing victims by changing lives. Getting the best out of individuals and managing performance fairly, is now more important than ever. It is important that we help individuals feel engaged and motivated to deliver their best and provide support to help them continue to develop. This policy focuses on being clear, honest and fair with staff. Clear about performance objectives and standards, honest about what is required and how that should be delivered, and fair in providing feedback against a more consistent standard.

1.2 The Performance Management policy provides guidance to managers and staff about how individual performance should be assessed and agreed. Individuals will be supported and developed to meet clearly defined levels of performance and will receive feedback on how they have performed.

Desired outcomes

1.3 The effective management of staff is a key means by which we deliver the work of NOMS and clear guidance and support should be available to staff to help them undertake their performance management responsibilities effectively. This Instruction and the complementary guidance available on My Services are intended to provide a simple and clear explanation of the mandatory requirements of NOMS staff performance management process.

Application

1.4 All staff must be familiar with all sections of this performance management policy. The relevant Probation Capability Policy should be referred to if appropriate. See My Services for further information and guidance.

1.5 All managers with line management responsibility are required to read and follow all sections of the Performance Management policy as required. Processes should be planned and scheduled in advance to support activities for the beginning, mid, and year-end processes.

1.6 All managers are bound by a public sector equality duty to eliminate discrimination. Historically, people with some protected characteristics have experienced disproportionately negative outcomes in staff performance management processes. Particular care must therefore be taken at all stages of the reporting cycle, whether the engagement, objective-setting or assessment stage, to ensure fairness and objectivity for all. (For further guidance see My Services; for learning tools see Civil Service Learning).

Mandatory actions

1.7  All actions in this Instruction are mandatory unless otherwise specified and are shown in italics. All levels of management and all employees must ensure that they are aware of these mandatory actions and ensure this policy is implemented and adhered to.

Resource Impact

1.8 Managers are already required to actively manage performance, clarify standards, support continuous development, meet regularly with staff, and assess achievements. Where processes are put in place at the beginning of each reporting year to plan and schedule the necessary activities, it is anticipated that this policy will create greater clarity for staff, and support a high performance culture.

Advice and Guidance

1.9 Advice and Guidance on the application of this instruction is available from the HR Contact Centre in Shared Services on 0845 010 3504.

(Approved for publication)

pp. Susan Frew

Deputy Director of Human Resources, NOMS

Carol Carpenter

Director of Human Resources, NOMS

2. PERFORMANCE MANAGEMENT POLICY

Policy Principles

2.1 Performance Management is a tool which helps us to deliver high quality services and improve the way we manage our staff. Giving fair and constructive feedback on what is good, and not so good, helps us to achieve what we set out to achieve and to create an environment where we continually improve. The following principles underpin the performance management policy:

·  performance will be proactively managed with a focus on continuous improvement and individual development, and managing poor performance in order to facilitate efficient business delivery in line with the Civil Service values.

·  performance will be managed in a fair and transparent way reinforced by Civil Service values and the policy complies with: employment legislation; Advisory, Conciliation and Arbitration Service (ACAS) best practice; Equality Act 2010; and the Civil Service Management Code.

·  performance will be managed in line with the Civil Service Code of Conduct.

Scope of Policy

2.2 This policy applies to all permanent and fixed term employees in the NPS; all roles and Pay Bands below the Senior Civil Service (Deputy Directors are SCS).

Policy Summary

2.3 Performance management is key to driving up individual and organisational performance and providing greater value for money to deliver high quality public services. The performance management policy provides a framework for managing performance throughout the year, laying the foundations of expected standards of performance and facilitating employee engagement.

2.4 Performance is evaluated against both the ‘What’ (delivery of objectives) and the ‘How’ (demonstration of behaviours, competencies and NOMS and Civil Service values) with equal weighting. Objectives must be set at the beginning of the performance management year and reviewed at regular performance discussions throughout the year. The end-of-year process consists of an agreed validation or consistency check process to confirm the distribution of performance ratings.

2.5 Employees who are part of the validation process will be assessed against their peers in groups within the NOMS Agency (see My Services for details).

3. PERFORMANCE MANAGEMENT PROCEDURE

3.1 Flowchart Overview of Procedure (Accessible version at Appendix 1)

Performance Planning

3.2 The performance management year runs for a period of 12 months from 1 April each year. At the start of the performance year, performance distribution ranges will be agreed for the NOMS Agency and countersigning and line managers must carry out consistency checking and objective setting, to ensure there is a common understanding of performance expectations.

Distribution Ranges

3.3 The purpose of a guided distribution range is to establish an expectation and set a context for managing performance and conducting consistency checking or validation.

3.4 The guided distribution ranges are set out below, though this may change at the end of the year dependent on the NOMS Agency delivery or overall performance. 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 and those who have been dismissed for poor performance during the year.

3.5  The percentage given against each performance rating is intended as an estimate of the split of employees within the NPS. It is not prescribing a requirement that this percentage of staff must be always be placed within each rating.

3.6  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. However, all ratings should be supported by evidence of the employee’s performance in the Staff Performance and Development Report (SPDR). Managers and countersigning managers should be able to account for outcomes, if they are asked to do so, by referring to the information provided in the SPDR.

Consistency Checking

3.7 Consistency checking involves countersigning and line managers ensuring that there is a shared understanding of performance expectations and that those expectations are being applied consistently across their business. 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.

3.8 These simple checks should take place at the beginning of the performance year and before the mid-year review is held. The consistency check will include some further actions as part of the end-of-year process as detailed in paragraphs 3.48 and 3.49. For further guidance see My Services.

Objective Setting

3.9 The line manager holds overall responsibility for setting objectives at the start of the performance year. The line manager and employee have joint responsibility for ensuring objectives are discussed and understood, and where possible the employee should produce the first draft of their objectives, with support from their line manager if required.

3.10 The line manager is responsible for ensuring the objectives are relevant to the job role, as well as Specific, Measurable, Achievable, Realistic and Timed (SMART). 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. Guidance on how to set SMART objectives is available on My Services.

3.11 Whilst objectives may be set that go beyond the end of year, clear achievements and 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.

3.12 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.

3.13 Line managers should ensure their staff are clear about how their objectives link to NOMS targets through their team/business plan. In addition any generic objectives, which apply across NOMS, should be tailored for the employee, so they understand their contribution to the team and wider NOMS.

3.14 Objectives should be succinct and as a guide 4-6 are usually sufficient. A leadership/people management objective is mandatory as an objective for First Line Managers, Pay Bands 5 and above, even where exceptionally they do not line manage any staff. Employees and line managers should take into account the ‘People Cluster – Engaging People’ section of the Civil Service Competency Framework when setting this objective. It is also recommended that budget holders have a financial management objective.

3.15 Objective setting should take into account the experience of the employee in the role for staff transferring into new roles / promotees. For guidance see My Services.

3.16 An employee’s working pattern will be taken into account before any objectives are agreed. It is the responsibility of managers to ensure reasonable Equalities Act 2010 adjustments are made to an employee’s objectives to ensure that they have the same opportunity to meet them as any other employee.

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

Personal Development

3.18 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.

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

Regular Performance Discussions

3.20 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.

3.21 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 values). It is not necessary to discuss all objectives and competencies at every performance discussion.