Performance Agreements

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erformance Agreements in the Public Service: Directives and Guidelines

Performance Agreements

in the Public ServiceDirectives and Guidelines for Senior Managers

Second editionJanuary 2001

Office of the Permanent Secretary, OPM

Auberge de Castille, Valletta CMR 02, Malta

[email protected]

Contents
mailto:[email protected]


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Preface to the Second Edition

Introduction to the Handbook

Objectives and applicability

Organisation of the Handbook

Definition of terms

Part 1: Drawing Up the Performance Plan

Introduction

Revision of the Business Plan

Updating of departmental commitments to projects and

initiatives

Revision of functions and overall objectives

Role delineation

Key tasks

Performance targets

Finalisation and approval of the performance plan

Part 2: Reviewing and Assessing Performance

Introduction

Self-assessment by the Senior Manager

Assessment by the Reviewing Officer

Preliminary rating by the Reviewing Officer


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Definitive rating by the Permanent Secretary

Annex I: Role Delineation Statements

The Permanent Secretary: A Role Delineation

Directors General and Directors: A Role Delineation

Annex II: Specimen Key Tasks and Performance Targets

Annex III: Specimen Performance Review Report

Preface to the Second Edition

The Public Service has changed dramatically over the last ten years. It has become a more

forward-looking and dynamic organisation. Managers increasingly have high-quality

facilities and advanced technology at their service. They have more freedom to manage,

and they manage for results. Performance now matters more than procedure. Rules are

important, but results are even more important.

This transformation was brought about by a wide-ranging programme of change over the

last decade, in line with the recommendations made by the Public Service Reform

Commission in 1990. Performance managementsetting specific targets linked to

Ministerial and Departmental goals, and holding individuals accountable for the

achievement of those targetshas been the driving aim of many of these changes. It has

found expression in various initiatives: Business Planning; Category A Performance

Agreements; the Performance Management Programme for lower-level staff; and most

recently the Quality Service Charter initiative.

Performance Agreements for officers in Category A remain one of the most important

elements of the new results orientationboth as a performance management mechanism in

its own right, one which applies to the highest levels in the Public Service, and as a means

to facilitate the implementation of other initiatives. Used properly, Performance

Agreements can be a powerful mechanism for the achievement of Government priorities

and objectives. They are a vital tool of accountability and the keystone of the top

management chain of command throughout Ministries and Departments.


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At the heart of the system of Performance Agreements is the annual performance planning

and review process. One of the cardinal duties of a senior public officer is to undertake this

process in respect of his or her subordinates. Its effectiveness depends on senior managers

willingness to ensure that performance targets are specified in concrete terms and to

appraise achievements carefully in terms of the targets.

This document will assist senior managers in going about their duty of appraisal in a

correct and effective manner. This Handbook supersedes the first edition of the Directivesand Guidelines on Performance Agreements which was issued in 1996, and incorporates

the changes subsequently made to the system. It should be read carefully by all senior

managers and brought to the attention of newly promoted officers. I am confident that

senior managers have the motivation and the ability to utilise the Performance Agreement

system effectively, to the ultimate benefit of this country and its public whom we all serve.

2 January 2001

J R Grima

Permanent Secretary, OPM

Introduction to the Handbook

Objectives and applicability

1. This Handbook, incorporating directives and guidelines, is intended to assist in:

q the annual preparation of performance plans by and for officers on a Performance

Agreement down to Assistant Directors, all such officers being referred to in this

Handbook as Senior Managers; and

q the annual review and assessment of the performance of Senior Managers in

accordance with the plans.

2. The directives are to be considered binding on public officers involved in performance

management, and should be followed as and where applicable.

3. The guidelines are on matters such as the framing of key tasks and performance targets

and the assessment of a Senior Managers performance and potential. These guidelines

will need to be interpreted flexibly according to circumstances and the Senior Managers

position. Reviewing Officers should however ensure that the general thrust of these


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guidelines continues to apply.

Organisation of the Handbook

4. Following this general introduction, Part 1 of the Handbook deals with the formulation

and revision of the annual performance plan which is incorporated in an appendix to each

Senior Managers Performance Agreement. Part 2 of the Handbook deals with the end-of-

year review and assessment of the Senior Managers performance.

5. This Handbook also contains three annexes:

q Annex I reproduces the role delineation statements concerning Permanent

Secretaries, Directors General and Directors, as referred to in paragraph 15 below;

q Annex II contains a set of specimen key tasks and performance targets drawn up in

accordance with paragraphs 1622;

q Annex III consists of a specimen Review Report drawn up in relation to the key

tasks and performance targets at Annex II.

Definition of terms

6. In the interest of conciseness, certain terms are understood as follows throughout this

Handbook:

q Senior Manager: any Officer in Category A whose performance is subject to

review by means of a Performance Agreement.

q Department: any organisational unit, including a division, section or office, that is

directly under the responsibility of a Senior Manager.

q Performance plan: a list of key tasks and performance targets which is drawn up

on an annual basis and is normally incorporated within Appendix A to thePerformance Agreement. The plan is the core of the Performance Agreement.

q Key task: a major task or assignment, expressed in broad terms, which is included

in a Senior Managers performance plan.

q Performance target: a specific deliverable, a number of which accompany each

key task, and which is expressed in concrete terms.


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q Non-plan assignment: a task which is assigned to a Senior Manager during the

course of a year but is not incorporated in the Senior Managers performance plan

for that year.

q Review Report: an annual report on a Senior Managers performance along the

lines shown at Annex III to this Handbook.

q Reviewing Officer: a Senior Managers immediate superior.

q Senior Reviewing Officer: the Reviewing Officers superior (where applicable).

Part 1

Drawing Up the Performance PlanIntroduction

7. The development of a performance plan should follow six stages:

(a) revision, if necessary, of the Business Plan in accordance with the

allocation of funds in the Estimates;

(b) updating of the Departments commitments to projects and initiatives in

accordance with Government policies and priorities;

(c) revision, if necessary, of the functions of the Senior Managers

Department and of the overall objectives of his or her position as listed in

Appendix A to the Performance Agreement;

(d) preparation by the Senior Manager of an initial list of key tasks;

(e) preparation of performance targets to accompany and give substance to

the key tasks;

(f) finalisation and approval of the performance plan.

Each of these stages is discussed in detail below.


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Revision of the Business Plan

8. The Business Plan encapsulates the priorities that have been set for the Department with

the approval of the Minister and the Permanent Secretary. Accordingly, the Business Plan

should have a very important influence on the formulation or revision of key tasks. A

primary focus of the Senior Managers performance plan should be the fulfilment of the

Business Plans programme for the year.

9. The Business Plan should if necessary be revised and updated to take account of the

approved allocation of resources in the Estimates for the new year. The Senior Manager

should subsequently review the revised Business Plan and ensure that the objectives and

initiatives set out therein are reflected as applicable in his or her performance plan.

Updating of departmental commitments to projects and initiatives

10. The Business Plan should also fully reflect the Departments commitments to projects

and initiatives under the ongoing Public Service Change Programme (EU harmonisation,

service quality improvement, efficiency gains, and Ministry-specific initiatives). Senior

managers should liaise constantly with their Ministrys Office of Review to ensure that

data on projects and initiatives pertaining to their Departments is up to date and accurately

reflects departmental initiatives and priorities as determined within the Ministry.

11. As in the case of the Business Plan, the updated Public Service Change Programme

project data should be closely reflected in the Senior Managers performance plan. The

Reviewing Officer should carefully vet the plan to ensure that this is the case.

Revision of functions and overall objectives

12. Appendix A to the standard Performance Agreement lists the functions of the Senior

Managers Department. The Appendix also lists the Senior Managers overall objectives

for the three years of the Performance Agreement. These objectives will closely reflect the

Senior Managers position description and should in addition:

q derive from the functions of the Department

q be closely interlinked

q reflect the overall strategic objectives of the Government as applicable to the

Department.

13. It is unlikely that substantial changes would be required in the functions and overall

objectives listed in Appendix A to the Performance Agreement during the course of a three-


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year cycle. However, adjustments may be required owing to changes in ministerial

portfolios or the redistribution of administrative functions. In addition, the overall

objectives may benefit from refinement in the light of experience gained. Such adjustments

may be recorded by a brief note signed by the Senior Manager and his or her Reviewing

Officer and attached to the Performance Agreement.

14. The overall objectives are a point of reference in the formulation of key tasks. They

will also assist in the assessment of general management performance during the end-of-year review. See Part 2 for guidance on the review process.

Role delineation

15. This section is a standard feature in the Performance Agreement of Permanent

Secretaries, Directors General and Directors. It derives from the delineation of the roles of

Ministers, Parliamentary Secretaries, Permanent Secretaries and Heads of Department as

set out by the Prime Minister in a letter-circular dated 5 February 1991. The texts

applicable to Permanent Secretaries and Directors General/Directors respectively arereproduced at Annex I to this Handbook. No changes are required to this section on an

annual basis, but because of the importance of these responsibilities, particularly in relation

to the collective interests of Government, they constitute an important criterion for the

evaluation of performance.

Key tasks

16. Key tasks encapsulate the outputs which a Senior Manager is expected to deliver

during the year. They are the basis from which specific performance targets are derived.

Specimen key tasks and related performance targets may be found in Annex II.

17. Key tasks are likely to require considerable revision and change from one year to the

next. Some key tasks will have been completed, others dropped or postponed, and others

substantially altered. New tasks may be added in reflection of new projects or initiatives

being taken up by the Ministry.

18. At the beginning of the year the Permanent Secretary (OPM) may specify, in

compliance with Government directives, one or more standard key tasks for incorporation

in the performance plans of Category A officers. These key tasks would reflect general

management obligations common to most such officers, or Government-wide priorities

such as the improvement of service quality or harmonisation with EU directives. Senior

Managers should include these key tasks in their draft plans as applicable and in

accordance with instructions.

19. Additional key tasks for the new year should be drawn up by the Senior Manager in


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accordance with these principles:

(a) Key tasks should relate to and be compatible with:

r the Governments strategic objectives as related to the Department,

including the Public Service Change Programme;

r the priorities set by the Minister and the Permanent Secretary; and

r the overall objectives listed in Appendix A to the PerformanceAgreement.

(b) The majority of key tasks should derive from or bear a close relationship

to the Business Plan as revised and the Departments projects and initiatives

under the Public Service Change Programme.

(c) Some key tasks should address critical management issues affecting the

Departments performance, including the need to improve service delivery,

unless these issues are adequately covered in the standard key tasks drawn

up under paragraph 18 above.

Performance targets

20. The Senior Manager should draw up a set of performance targets relating to each key

task in his or her initial list. On its own, a key task is no more than a broad heading or a

statement of intentions: performance targets link it to specific and identifiable results.

Time spent on determining performance targets is an investment which would facilitate

better performance review and assessment later on.

21. Depending on the key task, performance targets may legitimately relate to both the

Senior Managers own personal activities and the output of his or her Department,

including where applicable targets set by the Senior Manager for subordinates. Targets

should usually be expressed in the form of:

q Quantity: how many units of output (payments issued, transactions made,

applications processed) should be expected per period of time or in total over theyear?

q Quality: suitable targets could refer to the error rate (in the case of a high volume

of routine transactions), superior officers overall level of satisfaction with reports

or other documents prepared by the Senior Manager, the number of public

complaints against the Department, or the number of cases instituted against it

before adjudicating authorities.


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q Timeliness: project milestones, project completion dates, or other deadlines.

q Cost: depending on the nature of the deliverable, cost per unit of output or the

maintenance of costs within budget.

22. The following principles should also be kept in mind when framing performance

targets:

(a) More than one of the above dimensions may be applicable to each key

task, depending on the nature of that task and the data that is available or can

be collected.

(b) Targets should be expressed in concrete terms.

(c) A target should be set at a level attainable by an officer of average

capabilities. It can be set with reference to historical data, comparative

information, or, in the absence of either, according to what appears feasible.

(d) The number of performance targets per key task will vary but should not

generally exceed five.

Finalisation and approval of the performance plan

23. The finalisation of the performance plan should proceed according to the following

steps:

(a) On the basis of the initial list, the Reviewing Officer and the Senior

Manager should agree on a revised set of about six to not more than ten

key tasks focusing on the most critical activities, objectives, or areas of

concern, to make up the performance plan. The Reviewing Officer should

ensure that the standard key tasks drawn up by the Permanent Secretary

(OPM) are incorporated in the revised list as and where applicable.

(b) The Reviewing Officer and the Senior Manager should also agree on theperformance targets applicable to each of the key tasks in the revised list.

(c) While the Senior Managers agreement to the revised performance plan

is desirable, the final word in the event of significant and persisting

disagreement rests with the Reviewing Officer.

(d) The finalised performance plan, drawn up along the lines of the specimen

at Annex II, should be signed by the Senior Manager and the Reviewing


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Officer and incorporated within Appendix A to the Performance Agreement.

Part 2

Reviewing and AssessingPerformance

Introduction

24. The review of a Senior Managers performance should not wait until the end of the

year. Informal monitoring and feedback by the Reviewing Officer should be ongoing

throughout the year. In addition, a formal mid-term review of the Senior Managersperformance should be held. The mid-term review will enable any necessary revisions to

the performance plan to be made, but even more importantly address any issues concerning

the Senior Managers performance.

25. The end-of-year review and assessment should take place in accordance with the

following sequence:

(a) self-assessment by the Senior Manager of his or her own performance;

(b) assessment by the Reviewing Officer;

(c) preliminary rating by the Reviewing Officer on the basis of the Senior

Managers performance;

(d) vetting and definitive rating by the Permanent Secretary of the Ministry

concerned.

Each of these steps is explained in further detail below.

Self-assessment by the Senior Manager

26. The Senior Manager should complete sections 1 and 2 of the Review Report, a

specimen of which appears at Annex III.

27. Under section 1 of the Review Report, the Senior Manager should list key tasks and


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performance targets in the same order as they appear in the performance plan.

28. Under section 2 of the Review Report (on the opposite page) the Senior Manager

should:

q list the results achieved against each performance target (comments such as

"achieved on time", "achieved by ", "partly achieved", or "not achieved" being

sufficient for the purpose if the quantity, quality, timeliness and cost wereappropriately delineated in the performance plan at the beginning of the year);

q mention positive and negative factors affecting the achievement of results (such as

unexpected support, changing requirements, unforeseen difficulties, or a shift in

priorities towards non-plan assignments); and

q list achievements relating to non-plan assignments (including any personal

initiatives).

Assessment by the Reviewing Officer

29. Following completion of the self-assessment, the Senior Manager should meet his or

her Reviewing Officer. The Reviewing Officer should reach agreement with the Senior

Manager on the achievements claimed under section 2 of the Review Report. The meeting

should also help the Reviewing Officer arrive at a fair assessment of the Senior Managers

performance on the basis of paragraph 32(a) below, with reference also to the mid-term

review.

30. In addition, a balanced assessment should include consideration of general

management performance (to the extent that this is not captured in key tasks). General

management activities can usually be derived with reference to the overall objectives as

listed in the Performance Agreement. Typical examples would be those at paragraph 32(b).

31. The assessment may also give consideration to the Senior Managerspotential as well

as his or her actual performance, particularly where there appears to be a divergence.

Potential can be assessed through an evaluation of personal qualities or competencies suchas those at paragraph 32(c). However, the Reviewing Officer should ensure that only

actual performance is taken into account for rating purposes.

32. The full list of assessment criteria thus includes:

(a) Achievements (in relation to the performance plan):

r results achieved as compared to the performance plan;


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r factors judged by the Reviewing Officer to have impeded or

facilitated the fulfilment of targets;

r non-plan assignments, including those undertaken on the Senior

Managers own initiative, provided they are related to Government

priorities.

(b) General management performance (in so far as not already captured in

the performance plan),including:

r leadership (motivation of staff, good utilisation of manpower, and

maintenance of discipline);

r maintenance of expenditure within approved votes, attainment of

revenue targets, or collection of arrears;

r timeliness and quality of other deliverables such as replies to

parliamentary questions or audit queries, memoranda for higher

officers and Ministers, and returns to central agencies

r compliance with administrative directives, policies or regulations.

(c) Personal qualities or competencies (to assess potential),including:

r intellect and sound judgement;

r ability to think strategically and approach problems positively;

r ability to communicate effectively;

r initiative and ability to deliver results;

r empathy with the needs and concerns of the public;

r ability to manage information;r understanding of Government processes;

r commitment.

33. Information about (b) and (c) above may be sought from various sources, including

monthly reports, confidential enquiries or letters to the press. In addition, opinions may

also be sought from public officers in the Ministry and in central agencies, customers, and

other parties affected by or with an interest in the Senior Managers performance.

34. The Reviewing Officers assessment on the basis of these criteria should be

summarised under section 3 of the Review Report. The Reviewing Officer should seek to

arrive at a constructive but frank overall assessment of the Senior Managers performance,

highlighting strengths and weaknesses and suggesting remedial action for the latter,

including training and development where appropriate.

35. If the Senior Manager disagrees with the Reviewing Officers assessment of his or her

performance, and the disagreement cannot be resolved, the Senior Manager may within


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seven days make written representations to the Senior Reviewing Officer. The latters

assessment of the Senior Managers performance shall be final.

Preliminary rating by the Reviewing Officer

36. The Reviewing Officer (or, in the event of disagreement, the Senior Reviewing

Officer) should arrive at a preliminary rating on the basis of his or her assessment as

summarised under section 3 of the Review Report. The rating should relate to actualperformance as assessed through the criteria at paragraph 32(a) and (b) since performance

appraisal is only concerned with results. Diligence or effort on its own, unaccompanied by

tangible achievements, does not merit a performance bonus.

37. The rating should be made according to the following scale (figures in brackets refer to

the applicable performance bonus):

q Unsatisfactory (0%): performance did not meet the expectations associated with a

Category A position. Routine tasks may have been undertaken with reasonable

competence, but a substantial number of performance targets were not met.

q Satisfactory (13%): performance was generally adequate, though performance

targets may not always have been fully met (excluding targets not met for

justifiable reasons). Non-plan assignments and routine general management duties

were mainly, though not necessarily always, performed satisfactorily.

q Commendable (47%): performance was fully satisfactory, reflecting competence

and adeptness. Targets (excluding those not met for justifiable reasons) were met

and sometimes exceeded. Non-plan assignments and routine general management

functions were performed consistently well.

q Superior (812%): significant and tangible breakthroughs, going beyond

expectations, were achieved. The level of performance was beyond that normally

considered competent. Expectations relating to non-plan assignments and general

management performance were exceeded.

q Exceptional (1315%): results were consistently and substantially beyond normal

expectations and have been generally recognised by senior officers as a model of

excellence. Performance of non-plan assignments and routine general management

functions went well beyond expectations.

38. An unsatisfactory rating is a mechanism to identify poor performers and Reviewing

Officers should be fully prepared to use it as such. An officer awarded a nil bonus should

be kept under particular scrutiny during the subsequent performance assessment cycle, and


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continued poor performance may lead to early termination of the officers Performance

Agreement.

39. At this stage the Reviewing Officer should neither complete section 4 of the

Review Report nor discuss the rating with the Senior Manager, pending the approval

of a definitive rating.

Definitive rating by the Permanent Secretary

40. The Reviewing Officer should refer the preliminary rating to the Permanent Secretary

at the Ministry concerned, who should review the ratings of all subordinate Officers in

Category A to ensure consistency of treatment within the Ministry.

41. Unless otherwise directed by the Permanent Secretary (OPM), and subject to

paragraphs 42 and 43 below, each Permanent Secretary should ensure that awards within

his or her Ministry are allocated as follows to officers in each grade of the Category A

structure:

(a) an exceptional rating (1315%) may not be awarded to more than 10% of

the officers eligible for a bonus;

(b) a superior rating (812%) should not be awarded to more than 40% of

eligible officers;

(c) a commendable rating (47%) should be awarded to about 20% ofeligible officers;

(d) a satisfactory rating (13%) should be awarded to about 20% of eligible

officers;

(e) an unsatisfactory rating (nil bonus) should be awarded to about 10% of

eligible officers.

42. The percentage parameters set out at (b) and (c) above may be exceeded if acompensating reduction is made in the number of officers receiving a higher rating. The

parameters at (d) and (e) are indicative and some variation is possible, provided that the

overall distribution within these two rating levels taken together remains substantially

undisturbed.

43. Paragraph 41 does not apply to Ministries with a very small number of officers in a

particular grade on a Performance Agreement. Consultations in respect of such officers

should be held with the Permanent Secretary, OPM.


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44. Once the ratings are finalised by the Permanent Secretary of the Ministry, the

following procedure should apply:

(a) the Reviewing Officer should inform the Senior Manager about his or her

approved rating at a formal interview;

(b) section 4 of the Review Report should be completed and signed by the

Senior Manager, the Reviewing Officer and the Permanent Secretary;

(c) one copy of the Review Report should be retained by the Ministry and

another sent to the Director General (Management and Personnel Office)

under confidential cover;

(d) the Permanent Secretary at the Ministry should request the Director

(Treasury) to effect payment of the approved bonus, copying the request to

the Permanent Secretary (OPM).

45. Payment notices should reach the Director (Treasury) within the timeframe established

by the Permanent Secretary (OPM) at the start of each performance review cycle. Bonus

payments shall be withheld in the case of notices that are submitted late or that do not

respect the parameters set out at paragraph 41 above.

46. All information relating to the performance of individual officers should be

treated as confidential.

Annex I

Role Delineation Statements

The texts reproduced below appear in Appendix A to the Performance Agreements ofPermanent Secretaries and Directors General/Directors respectively.

The Permanent Secretary: A Role Delineation

The Permanent Secretary is accountable to the Prime Minister for the role delineated for

his or her position. He or she has the responsibility to support the general policies and

priorities of the Government and to operate within the context of the management practices


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and procedures established for the Government as a whole.

The following is a listing of the generic duties of a Permanent Secretary:

(1) to provide support and advice to the Minister, among other things by:

r anticipating issues in the House of Representatives or the media

r managing current issues and problems, keeping the Minister fully

informed

r providing advice

r generating ideas to support the Ministers agenda

r encouraging a climate in which the Minister and Ministry staff can

work effectively together;

(2) to ensure the implementation of:

r major projects

r policy formulation and direction

r sectoral strategic and business plan development

r amending and drafting legislation;

(3) to provide leadership, among other things by:

r managing and motivating Directors General and Directors through

delegation and progress reportingr establishing effective collective leadership through the Ministry

Management Committee

r ensuring that Directors General/Directors establish effective

collective leadership through Departmental Management Committees

r instilling within the Ministry a receptiveness and enthusiasm for

reform initiatives

r looking for leaders with the ability to build teams, make decisions,

deliver results and communicate effectively;

(4) to manage financial resources effectively, among other things by:

r coordinating the production of Estimates from Departments,

parastatal and other associated bodies and the establishment of

priorities among conflicting claims on resources

r ensuring compliance with Ministry of Finance/Treasury requirements

and policies

r appreciating the need for cost-consciousness and promote re-


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examination of policies

r identifying major programmes where review is necessary

r keeping working methods under review and being ready to consider

new ways to secure value for money;

(5) to manage human resources effectively, among other things by:

r ensuring compliance with MPO/SDO requirements and policies, PSCregulations and agreements with the unions

r establishing a climate in which staff are involved, understand goals

and feel recognised and rewarded

r motivating all staff to find new ways of doing things

r promoting staff development to meet new challenges and provide

future leaders

r discussing appointments in Category A with the Permanent Secretary

(OPM) and staff movements in other categories with Management

and Personnel Officer carrying out performance appraisal of Directors General/Directors;

(6) to manage the handling of communications with the public, among other

things by:

r working closely with constituted bodies and others to promote

solidarity, exploring ideas and explaining decisions

r working to develop effective and sensitive communications with the

public throughout the Ministry and in parastatal organisationsr promoting initiatives to improve customer service;

(7) to contribute to the collective management of Government, among other

things by:

r ensuring that due account is taken of the interests and views of other

parts of Government

r contributing to discussions on major Government policies

r providing long-term, strategic direction

r participating in meetings of Permanent Secretaries convened by the

Permanent Secretary, OPM

(8) in consultation with Directors General/Directors, where appropriate, to:

r determine departmental role delineations

r arrange for organisational restructuring


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r coordinate complement allocation

r ensure proper training and development

r ensure establishment of effective management information systems

r authorise capital acquisition within delegated authority

r establish effective linkages within the Ministry and with other

Ministries

r arrange for effective operations audits.

Directors General and Directors: a Role Delineation

In accordance with the Prime Ministers letter-circular of 5 February 1991 on the

delineation of roles, a Director General or Director is:

q responsible to the Permanent Secretary for:

r programme development, management and results

r customer services

r the development and implementation of organisational structures

r the development of operational and business plans

r policy proposals

r financial expenditures/revenue

r staff management: appointments within delegated authority

performance appraisals

discipline

r capital acquisitions within delegated authority

r optimisation of operationsr inter/intra-departmental linkages

r formulation of operating procedures/guidelines

r job descriptions (initial compilation and maintenance of currency);

q a member of the Ministry Management Committee;

q a member of other boards and committees as deemed appropriate;

q chairperson of the Departmental Management Committee.

Annex II

Specimen Key Tasks and


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Performance Targets

See paragraphs 1622 of this Handbook. These key tasks and performance targets relate to

most of the standard headings set out in OPM Circular 1/2001 and are based on the sample

key tasks therein. However, they are only examples and a Senior Manager should draw up

his or her own key tasks and targets in accordance with the directives in force at the time.

GENERAL MANAGEMENT AND CORPORATE RESPONSIBILITIES

Key tasks Related performance targets

Lead and motivate staff and fulfil

corporate responsibilities

q Set clear targets and expectations for subordinates

(ongoing)

q Provide staff with opportunities for training in lin

with Departmental needs (ongoing)

q Deal rigorously and discerningly with staff

progressions and confirmation of appointments

(ongoing)

q Apply disciplinary measures as necessary with

fairness yet rigour, and impose penalties

appropriate to the seriousness of the offence

(ongoing)

q Manage staff and financial resources in accordanc

with the law and Government policies (ongoing)

q Provide timely and effective response to any

queries by the National Audit Office or the

Ombudsman.

Provide advice and support to the

Permanent Secretary and the Minister

on matters within the Departments

competence

q Draw up documents that provide relevant

information concisely and accurately

q Provide timely, accurate and comprehensive

briefings as necessaryq Make recommendations as and when requested

that are creative, systematically thought through,

practical and well attuned to administrative and

political realities

q Prepare immediate replies to Parliamentary

Questions (ongoing).


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Undertake and implement operations

review of the Department

q Commission and brief consultants and ensure that

report is delivered by 31 March

q Draw up implementation strategy with full staff

participation by 31 May

q Draw up staff training programme by 30 June

q Implementation of operations review to be

complete by 31 December.

EFFICIENCY GAINS


Bring about demonstrable efficiency

gains leading to identifiable cost

savings

q Begin spot checks to curtail unauthorised absence

by staff from the office by 31 January

q Implement measures to stabilise or reduce staffsick leave by 31 March

q Realise recurrent cost savings in the appropriate

cost centre of 10% per month as from July 2001

following introduction of the computerised

applications logging system

q Release two staff from the Department,

maintaining output and service quality at current

levels, by 31 December following implementation

of operations reviewq Reduce overall non-programme recurrent

expenditure requirements by 5% by 31 December

Reduce fraud in applications q Present proposals to Permanent Secretary on

establishment of applications auditing system by

30 April

q Commission first audits by 30 September

q Institute court action against 25 most serious caseby 31 December.

SERVICE QUALITY IMPROVEMENT



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Maintain or improve service quality

commitments under the Departments

Quality Service Charter

q Keep turnaround time for postal applications to a

maximum of three working days for 95 per cent o

applications (ongoing)

q Promptly investigate and provide rapid redress as

appropriate to any public complaints about the

Departments services, whether made to the

Department or in the media (ongoing)

q Introduce computerised applications logging

system by 30 June

q Set up departmental website including

downloadable application forms by 30 June

q Reduce average waiting time to 10 minutes outsid

peak periods and 15 minutes during peak periods

by 31 December.

MINISTRY-SPECIFIC INITIATIVES


Update legislation governing the

Departments operations

q Undertake review of relevant developments locall

and abroad and present options to Permanent

Secretary by 30 June

q Prepare draft of legislative amendments by 30

Septemberq Finalise amendments prior to clearance by the

Attorney Generals Office by 15 October.

Annex III

Specimen Performance ReviewReport

This Annex is intended to serve both as a template for the review of the performance of

Senior Managers and as a specimen to suggest what a completed report would look like.

The specimen key tasks and performance targets used here by way of example are those

appearing in Annex II.


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Sections 1 and 2 of this performance review report are on alternating pages that correspond

with each other, facilitating direct comparison of performance targets and results. Other

approaches may also be used, for instance merging both sections and putting a statement of

results directly after each target.

Name of Senior Manager:

................................................................

Position:

................................................................

Ministry/Department:

................................................................

Name of Reviewing Officer:

................................................................

Position: ................................................................

Section 1: Basis of Review

Key tasks and performance targets as per Appendix A of

he Performance Agreement.

Section 2: Self-Assessment

Results achieved against each performance target and

relation to non-plan assignments; and factors impedingfacilitating the achievement of results.

Lead and motivate staff and fulfil corporateesponsibilities:

Lead and motivate staff and fulfil corporateresponsibilities:


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Set clear targets and expectations for subordinatesongoing)

Achieved: targets set through performanceagreements, PMP and mid-term reviews held for direct subordinates.

Provide staff with opportunities for training in linewith Departmental needs (ongoing)

Achieved. 10 staff have been trained in variousareas relating to departmental policy andadministration, IT skills etc.

Deal rigorously and discerningly with staffprogressions and confirmation of appointmentsongoing)

Achieved. Meetings were held with all staff up forprogression/confirmation of appointments. Twoprogressions out of 17 have been withheld.

Apply disciplinary measures as necessary withairness yet rigour, and impose penalties appropriateo the seriousness of the offence (ongoing)

One serious and two minor cases occurred, allresulting in appropriate penalties.

Manage staff and financial resources in accordancewith the law and Government policies (ongoing)

Applicable legislation and policies have beenobserved at all times.

Provide timely and effective response to any queriesby the National Audit Office or the Ombudsman.

No queries concerning the Department were madby NAO or the Ombudsman.

Provide advice and support to the PermanentSecretary and the Minister on matters within theDepartments competence:

Provide advice and support to the PermanentSecretary and the Minister on matters within tDepartments competence:

Draw up documents that provide relevant informationoncisely and accurately

Provide timely, accurate and comprehensivebriefings as necessary

Make recommendations as and when requested thatare creative, systematically thought through,practical and well attuned to administrative andpolitical realities

A number of policy documents were preparedconcerning issues pertaining to the Department.

Some of these documents dealt with complexmatters and involved considerable thought andresearch. A number of face-to-face presentationsand meetings were also held. It is understood thathese policy inputs have been found satisfactory.Several recommendations have been acted upon[here one may list examples].

Prepare immediate replies to Parliamentary

Questions (ongoing).

Partly achieved. Seven PQs dealt with the

Department. Replies were drawn up within one dain 5 cases and within 3 days in the remaining two

Undertake and implement operations review ofhe Department:

Undertake and implement operations review othe Department:

Commission and brief consultants and ensure thateport is delivered by 31 March

Achieved by end of April on account of revisionsbeing needed. This unexpected delay had an impon subsequent stages, though eventually the timelag was partially recovered.


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Draw up implementation strategy with full staffparticipation by 31 May

Achieved by end of June.

Draw up staff training programme by 30 June Achieved by end of July.

mplementation of operations review to be completeby 31 December.

Achieved with two-week delay.

Bring about demonstrable efficiency gainseading to identifiable cost savings:

Bring about demonstrable efficiency gainsleading to identifiable cost savings:

Begin spot checks to curtail unauthorised absencesby staff from the office by 31 January

Achieved. Spot checks on attendance begun inJanuary and repeated subsequently at one- to twweek intervals. Unauthorised absences havedeclined virtually to nil.

mplement measures to stabilise or reduce staff sickeave by 31 March

Achieved. Departmental doctor has visited 50% ostaff reporting sick since beginning April. Rising

trend of sick leave has stabilised over the year ascompared to the previous year.

Realise recurrent cost savings in the appropriateost centre of 10% per month as from July 2001ollowing introduction of the computerisedapplications logging system

Partly achieved. Monthly recurrent costs in the cocentre in question have declined by 8 per cent.

Release two staff from the Department, maintainingutput and service quality at current levels, by 31

December following implementation of operations

eview

Achieved. Both staff were retained to cover forresignations, but the Department now has two fewpositions in its complement.

Reduce overall non-programme recurrentxpenditure requirements by 5% by 31 December.

Partly achieved. Recurrent expenditure is expecteto decline by 4.5 per cent in the new financial yea

Reduce fraud in applications: Reduce fraud in applications:

Present proposals to Permanent Secretary onstablishment of applications auditing system by 30

April

Achieved.

Commission first audits by 30 September Achieved.

nstitute court action against 25 most serious casesby 31 December.

Partly achieved. 18 court cases are currently undway. Discussions are proceeding on theengagement of legal services by the Ministry in oto make more rapid progress.


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Maintain or improve service qualitycommitments under the Departments QualityService Charter:

Maintain or improve service qualitycommitments under the Departments QualityService Charter:

Keep turnaround time for postal applications to amaximum of three working days for 95 per cent ofapplications (ongoing)

Partly achieved. The target has been met for anestimated 92 per cent of applications.

Promptly investigate and provide rapid redress asappropriate to any public complaints about theDepartments services, whether made to theDepartment or in the media (ongoing)

Two complaints were made in the press, and repwere issued within a week in both cases. Redresshas been provided in one case.

ntroduce computerised applications logging systemby 30 June

Achieved with four-week delay owing to persistensoftware bugs.

Set up departmental website including downloadableapplication forms by 30 June

Achieved. Around 10% of new applications arecurrently being made on downloaded forms.

Reduce average waiting time to 10 minutes outsidepeak periods and 15 minutes during peak periods by1 December.

Partly achieved. Non-peak waiting time average iminutes while peak time is 17 minutes.

Update legislation governing the Departmentsoperations:

Update legislation governing the Departmentsoperations:

Undertake review of relevant developments locallyand abroad and present options to PermanentSecretary by 30 June

Achieved by end of September.

Prepare draft of legislative amendments by 30September

Partly achieved. First draft of legislative amendmeis currently with the Minister.

Finalise amendments prior to clearance by theAttorney Generals Office by 15 October.

Not achieved. This project is being held in abeyanas Cabinet has decided to give priority to otherlegislation at the present time.

Section 3: Assessment by the Reviewing Officer

Overall assessment of: (a) achievements and factors listed under section 2; (b) general management

performance (routine duties not captured in the performance plan); and, where considered relevant, (c) the

Senior Managers personal qualities or competencies.

This officer has compiled a very creditable record of achievements against targets over the pastyear. He has met (and in some cases exceeded) most of his targets. Where targets have notbeen met, the shortfall has been relatively minor and often the result of factors beyond theofficers control. These results have been obtained notwithstanding a high ongoing volume ofroutine work requiring constant intervention on his part.


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Since his appointment, this officer has exerted a firm grasp on his Department. He has tightenedup discipline considerably, yet he appears to have maintained good relationships with his staffand morale within the Department appears to be good. The Departments performance is verygood and has continued to improve tangibly over the past year.

The officers knowledge of departmental policy and legislation is comprehensive and verysound, and he has demonstrated an ability to keep track of wider developments and relate themto departmental affairs. He has quickly established himself as the main point of reference onsuch matters within the Ministry.

This officers commitment, competence and indeed enthusiasm are unquestioned. He ispotentially a very good candidate for higher-level positions.

Section 4: Overall Performance Rating/Bonus

Overall rating, with reference only to actual performance under (a) and (b) in section 3 above. To be

completed following approval of rating by the Permanent Secretary of the Senior Managers Ministry.

Rating is Superior with a bonus of 10 per cent.

Signed:______________ ______________ ______________

Senior Manager

Reviewing Officer

Permanent

Secretary

Date:______________

Documents

Performance Agreements