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Guidelines on Performance Management for Certain Senior Excluded or Unrepresented Managers and Specialists (E/U PM)


Appendix A - Definitions

Excluded

An employee who occupies a position excluded from collective bargaining by reason of the nature of the duties of the position, as determined under the Public Service Labour Relations Act.

Immediate superior

for the purposes of these guidelines, the person to whom the manager/specialist reports. In the majority of situations, the immediate superior will be an executive.

Manager

for the purposes of these guidelines, the term “manager” is understood to mean “people manager”, defined as: an employee who is accountable for exercising delegated human resources authority (i.e. staffing and/or labour relations delegation. In addition to ensuring business results are delivered and overall management functions are carried out, a manager leads people, recognizes and rewards achievement, manages performance, develops people, manages change and promotes corporate values, ethics and culture of the organization.

Performance award

a financial award based on the achievement of ongoing and/or key commitments, which may be in the form of an in-range increase or lump sum payment, as set out in the Performance Pay Administration Policy for Certain Non-Management Category Senior Excluded Levels.

Review period

April 1 to March 31

Specialist

for the purposes of these guidelines, an employee occupying a position in a group and level specified in section 2.2 who is not a manager as defined in this section.

Unrepresented

an employee who is not represented by a bargaining agent and not subject to collective bargaining.

Appendix B - Performance Agreements

This appendix sets out the requirements for performance agreements for section 6 of the Guidelines on Performance Management for Senior Excluded or Unrepresented Managers and Specialists (E/U PM).

1. Alignment

Performance agreements should demonstrate alignment with:

  • Priorities of the government,
  • Priorities of the Clerk of the Privy Council as Head of the public service,
  • The department's Report on Plans and Priorities, and
  • The performance agreement of the immediate superior, such that each manager's/specialist's performance agreement is an operationalization of the immediate superior's agreement.

2. Valid Performance Agreements

To be considered valid for the purpose of performance awards, performance agreements should include the following:

  • The period covered by the agreement,
  • Ongoing Commitments,
  • Key Commitments (except for various situations as noted in various sections of appendices),
  • Performance measures of successful achievement of the commitments,
  • A written assessment of actual results achieved during the fiscal year and the level of Key Leadership Competencies demonstrated, and
  • The signatures of the manager/specialist and the immediate superior when the commitments are approved.

2.1 Ongoing Commitments

  • Ongoing Commitments are the principal results that the manager/specialist is expected to accomplish so that the department can achieve its business mandate.
  • Ongoing Commitments are part of the continuing responsibilities of the position that do not normally change from year to year. They reflect a balanced representation of core accountabilities such as: financial management (budget), human resources management, business planning, policy development and operational program delivery and, self-development (including Key Leadership Competencies, values and ethics).
  • A minimum of four (4) and a maximum of seven (7) Ongoing Commitments are to be established.

2.2 Key Commitments

  • Key Commitments are areas of focus over and above Ongoing Commitments for the fiscal year. They can reflect change initiatives linked to business plans, corporate departmental priorities and/or priorities identified by the Clerk of the Privy Council as Head of the public service. They are intended to be challenging but achievable with effort.
  • Normally Key Commitments change from year to year.
  • At least one (1) Key Commitment and a maximum of three (3) Key Commitments are to be established.

2.3 Performance Measures

  • Performance measures describe how an observer would know that the results are achieved within the fiscal year and define standards for the expected level of achievement of these results.
  • The choice of a performance measure implies that quantifiable data/information indicating performance achievement is available and that efforts are made to obtain the information defined in the specific measure.
  • If feasible, performance measures can also describe what characterizes levels of performance that are above expectations.
  • Performance measures are established at the start of the fiscal year when commitments are established and can be adjusted during the fiscal year. There are one (1) to three (3) performance measures per Ongoing and Key Commitment.
  • Departments are responsible for ensuring that performance measures are reviewed periodically to ensure they are measuring the right results.

2.4 Development

  • Performance agreements are used to identify individual development priorities for managers/specialists, including the development of Key Leadership Competencies.

2.5 Mid-year review of performance agreements

  • Performance agreements are reviewed at least once a year.
  • Revisions can be made throughout the fiscal year to the performance agreement, dictated by such factors as changed priorities or assignments or changes in immediate superior. Each new revision is signed and dated by the manager/specialist and immediate superior.
  • A manager/specialist can have a number of performance agreements in any particular fiscal year.

3. Performance Agreement Templates

Departments can develop customized templates for performance agreements, which should contain, as a minimum:

  • Identification data: name of manager/specialist and immediate superior, dates covered by the performance agreements, dates of reviews of the performance agreement,
  • Ongoing Commitments, performance measures and results to be achieved,
  • Key Commitments, performance measures and results to be achieved,
  • Confirmation that a mid-year discussion and review has taken place,
  • Confirmation that Key Leadership Competencies were considered in determining the assessment and performance rating,
  • Narrative assessment and rating summary,
  • Signatures of the employee and immediate manager, and
  • The following privacy statement:

“Personal information will be protected under the provisions of the Privacy Act and will be stored in Standard Bank, Performance Reviews and Employee Appraisals PSE 912. This document can be used by the Canada Public Service Agency for audit or program evaluation purposes”.

Appendix C - Requirements for the Management and Assessment of Performance

This appendix sets out the requirements for the management and assessment of individual performance for section 6 of the Guidelines on Performance Management for Certain Senior Excluded or Unrepresented Managers and Specialists (E/U PM).

1. Management of Performance

1.1 Management of performance includes, as a minimum:

  • Agreement between the manager/specialist and immediate superior of:
    • the expectations for the results that are to be achieved,
    • how they are to be achieved (Key Leadership Competencies), as well as
    • the performance measures that will be used to assess the individual's performance.
  • Communication of expectations and priorities related to business planning and Key Leadership Competencies.
  • For managers, emphasis should be placed on Key Leadership Competencies related to people management. An Assessment Tool is available to assist in establishing expectations and assessing results. For specialists, Key Leadership Competencies relevant to the role should be identified.
  • Regular feedback to managers/specialists concerning their performance and learning and development opportunities to help improve their performance,
  • Support for individual development in Key Leadership Competencies,
  • Support for horizontal initiatives within and between departments in the core public administration, as well as other jurisdictions and levels of government through recognition of such teamwork in the individual performance agreements, and
  • Communication of performance assessment standards including clear information on what makes some commitments challenging, important or critical to the organization's mission.

2. Assessment of Performance

2.1 Assessment of performance includes, as a minimum:

  • An assessment of the manager's/specialist's performance against the Ongoing and Key commitments, including an assessment of how the results were achieved, based on the Key Leadership Competencies and values and ethics,
  • At mid-year and end of year, one-on-one discussions between the manager/specialist and immediate superior, that includes constructive feedback and identification of, and support for, development and learning needs,
  • Where performance is judged to be below expectations, timely notification to the manager/specialist that change is expected, along with identification of steps to be taken. When performance is rated at Level 1 (Did Not Meet), an Action Plan to Improve Performance is recommended.

2.2 Assessment of performance is to be equitable and consistent, with differentiation made between levels of performance.

2.3 A written assessment of performance that normally takes place within one month of the end of the fiscal year.

3. Rating Scale

Note: This is a change from the current 5 level rating scale for this group to a 4 level scale.

The performance level descriptions below are used to assess and rate performance for both Ongoing and Key commitments. This is the same rating scale as used for executives and the same provisions apply regarding further subdivision of the scale or use of different nomenclature in that:

  • Levels 2-4 can be further subdivided, provided that definitions are developed to describe the expected level of performance and that these are communicated to employees at the beginning of the fiscal year.
  • Non-numeric titles can be substituted for the numbered levels, provided they are cross-referenced to the four levels for reporting purposes.

Level 4 (Surpassed)
(former Outstanding)

  • Delivered on all commitments and exceeded expectations in the delivery of major commitments;
  • Consistently delivers results that provide exceptional value to stakeholders and the organization;
  • In delivering commitments, is seen as an organizational role model in demonstrating the departmental/leadership competencies.

Level 3 (Met All)
(former Fully Satisfactory or Superior)

  • Delivered on all commitments;
  • A strong contributor to stakeholder and organizational successes;
  • In delivering commitments, clearly demonstrated the departmental/leadership competencies.

Level 2 (Met Most)
(former Satisfactory)

  • Delivered on the most important commitments but not necessarily on all commitments;
  • Performance results indicate a need for development in some areas;
  • In delivering commitments, demonstrated a need to show improvement in the departmental/leadership competencies.

Level 1 (Did Not Meet)
(former Unsatisfactory)

  • Delivered on some but did not deliver on one or more of the most important commitments; OR
  • Performance results fall below expected standards; OR
  • In delivering commitments, had ongoing difficulty in demonstrating the departmental/leadership competencies.

Note: An Action Plan to Improve Performance is recommended for managers/specialists who receive a Level 1 assessment.

Level 0 (Unable to Assess)

A manager/specialist is considered 'Unable to Assess' when there has been insufficient opportunity (e.g. fewer than three (3) months) to allow for the achievement of performance commitments. This does not mean that the individual does not have a performance agreement, just that there has been insufficient opportunity for achievement against the commitments. There are 4 situations where Unable to Assess could apply for both Ongoing and Key Commitments:

  1. New to the core public administration.
  2. Newly appointed from another occupational group.
  3. Acting in an excluded or unrepresented position for fewer than four months.
  4. Absent from the job for a significant period of the performance cycle, e.g. leave without pay or sick leave.

There are two situations where managers/specialists might be considered Unable to Assess for key commitments only:

  1. Managers/specialists on language training have only one Ongoing Commitment for the duration of the language training - attendance at language training in order to meet the language requirements of the position, and must be considered to have met Ongoing Commitments (Level 3 rating). Since there are no Key Commitments for the period of training, they receive an Unable to Assess rating for Key Commitments in that period.
  2. Situations where no Key Commitments were established for the performance cycle, for example, a manager/specialist whose job consists of a single project or assignment to accomplish for the performance cycle.

Note: Direction on compensation aspects for performance pay will be updated by Treasury Board of Canada Secretariat during 2008-09. In the meantime, the following policy should be used as a reference: Performance Pay Administration Policy for Certain Non-management Category Senior Excluded Levels, dated April 1, 2008.



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