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Objectives are the activities, targets and actions required to be undertaken during the year.
Competencies are the behaviours and ways of working expected of MKC colleagues in delivering those objectives.
During the appraisal, an assessment is made against each of the objectives and competencies to determine to what extent they have
been met. This assessment is combined to provide an overall performance rating and is used to make a potential assessment.
The overall performance rating summarises each colleague’s overall performance against both objectives and competencies.
The potential assessment indicates each colleague’s current and future career progression readiness.
All of this informs the production of a personal development plan setting out learning and development activities for the year ahead.
For colleagues who are not meeting expectations these will inform the required improvement plan.
In summary, there are four elements in the annual appraisal cycle, although two of them are combined, as follows:
POTENTIAL DEVELOPMENT
OBJECTIVES COMPETENCIES
ASSESSMENT PLAN
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Appraisal Scheme - A Guide 24/03/2016
Setting Objectives
Before the start of the appraisal period (i.e. before 1 April each year), line managers will consider what their service, team or section
needs to achieve in the following year and will plan the activities needed to deliver their overall objectives. They will break this down into
objectives for the various sections and/or individual colleagues in their team. Managers will meet with their team to finalise the details
and the objectives for the year ahead. These will be the objectives contained within each colleague’s appraisal and agreed before 1 April
each year.
All managers (levels 3 to 5) will have two, additional, common objectives - embedded in OASYS - in respect of the management of
people and budgets.
Competency Framework
MKC has a behavioural Competency Framework to set out clear standards and expectations of how colleagues will operate at all levels
in the Council. The Framework has been devised in partnership with colleagues and is intended to reflect what an excellent MKC
colleague is like. It enables consistency when appraising performance and it supports all other people processes including recruitment,
induction, performance management, learning and development planning and talent management.
RECRUIT
DEFINE MKC
Shortlisting
Role profile COMPETENCY
Selection
Job description FRAMEWORK
Induction
1. Customer focus
2. Communicating and engaging
3. Managing resources
4. Organising and improving performance
5. Taking responsibility
6. Team player
PLUS
7. Excellent leadership (for levels 3 – 5 only)
Assessment against these competencies uses positive signs and negative signs for each competency, at each of the five levels.
Positive signs – are examples of those behaviours and activities we want colleagues to always display at MKC.
Negative signs – are examples of activities and behaviours that are not acceptable at MKC.
The grid is not intended to be fully comprehensive - it provides sufficient examples to enable a fair, objective and evidenced assessment
for each colleague – other actions and behaviours should also be considered and discussed throughout the year and at the appraisal.
Levels
Each post is allocated to one of five levels, as follows:
Level 1 Team members
Level 2 Team leaders, specialists and professionals
Level 3 Middle managers, senior specialists and senior professionals
Level 4 Heads of service
Level 5 CLT and directors
The grids set out examples of the behaviour, actions and skills needed to meet, partly meet or not meet that competency at the
appropriate level. Colleagues are expected to demonstrate each competency at their level and meet those before that level.
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Appraisal Scheme - A Guide 24/03/2016
Appraisal Outcomes
Each colleague’s appraisal culminates in three things – an Overall Performance Rating, a Potential Assessment and a Development
Plan. Colleagues with an overall performance rating of 1 or 2 will also have a Performance Improvement Plan.
OBJECTIVES OVERALL
Objective 1 PERFORMANCE
MET RATING
Objective 2
Objective 3
PARTLY MET 5 POTENTIAL
Objective 4
ASSESSMENT
Objective 5
NOT MET 4
3
COMPETENCIES
Customer Focus
MET 2
Communicating & Engaging
DEVELOPMENT
Managing Resources
PARTLY MET 1 PLAN
Organising & Improving Performance
Taking Responsibility
NOT MET
Team Player
Excellent Leadership (LEVEL 3+)
The Overall Performance Rating - combines performance against both objectives and competencies. This is determined according to
what extent these have been met, partly met or not met. There are five ratings of 5, 4, 3, 2 or 1 (with 5 being the highest performance
rating and 1 the lowest). Initial overall performance ratings are subject to confirmation through a moderation process (see page 15).
A Performance Improvement Plan is required for all colleagues scoring 1 or 2. Incremental progression, for those who are eligible, can
only take place if colleagues have an Overall Performance Rating of 3, 4 or 5. This is explained in the table on the next page.
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Appraisal Scheme - A Guide 24/03/2016
INCREMENT
OUTCOME EXPLANATION
AWARDED *
All key objectives met, with many or all to an exceptional standard, and for those not entirely met, this
Met to an has been due to uncontrollable external or exceptional circumstances AND
5 exceptional Has regularly delivered results beyond the expectations of the role AND
Yes
standard
Consistently demonstrates the competencies to a level which exceeds expectations
All key objectives met to a good standard or, most met and for those not entirely met this has been
Met to a due to uncontrollable external or exceptional circumstances
4 good AND
Yes
EXPECTATIONS
standard
Consistently demonstrates the competencies to at least the expected level
Met to a Most but not all key objectives met to a satisfactory standard and for those not entirely met, this has
3 satisfactory been due to uncontrollable external or exceptional circumstances AND Yes
standard Consistently demonstrates the competencies reaching the expected level in all of them
Most but not all key objectives met and, for those objectives partly met or not met, there are no or
minimal uncontrollable external or exceptional circumstances that have impacted on the ability to
achieve all of the agreed objectives AND No
2 Partly met Demonstrates the competencies, reaching the expected level in all of them OR
All objectives met to the required level but has not demonstrated one or more of the competencies to
the expected level
Several or all of the key objectives not met AND/OR
1 Not met
Demonstrates few or none of the competencies to the expected level
No
Individual has more than 6 months and less than 12 months in post at 1 April. Performance to be
**New to role No
discussed and new objectives agreed. An overall rating is required but no increment is due
*Not all colleagues are eligible for an increment. Those who are eligible need to have had 1 year in post at their incremental date for this to be
considered.
**Colleagues with less than 6 months in post at 1 April should continue to use the Probationary Assessment Form.
Potential Assessment – summarises each colleague’s current prospects for ongoing career development and progression. Potential takes
into account how each person combines their natural ability with the motivation to keep learning and the impact they have on MKC’s
performance. This may be through their immediate contribution or, in the longer term, by demonstrating the highest level of performance
and potential. Looking at future career potential helps to inform the Personal Development Plan and discussions on this form an important
part of the appraisal meeting.
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Appraisal Scheme - A Guide 24/03/2016
The grid below summarises the nine categories from P1 to P9. Assessments for a colleague are not set in stone; they may change over
time, dependent upon their personal and work circumstances. There is no desire to make everyone strive to be a future leader or high
impact performer; the contributions of core employees and trusted professionals, for example, are valued too.
POTENTIAL ASSESSMENT
P2 P3
P1
GROWTH EMPLOYEE ENIGMA
FUTURE LEADER
HIGH
P4 P5
P6
POTENTIAL
P7
P8 P9
TRUSTED PROFESSIONAL
EFFECTIVE UNDER PERFORMER
LOW
PERFORMANCE
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Appraisal Scheme - A Guide 24/03/2016
Development Plan – this sets out learning and development activities for the year ahead to both support colleagues in their current roles
and support their personal development and career progression. It will be informed by the discussions during the year and at the appraisal.
It might include on the job training, mentoring, coaching, personal research, shadowing or attendance at training courses, workshops and
events. Guidance for managers on appropriate forms of support and development is available from http://staffintranet/hr-home/appraisals/appraisal-training
Moderation
The moderation process enables the comparison, between services and across the Council, of the outcomes of appraisals at directorate
and CLT level. This will ensure that appraisals are undertaken to fair and consistent standards. If a significant variation is found in one
team or service there may be a requirement for the relevant appraisal outcomes to be adjusted; in such a case the reasons will be
explained to those affected. A flowchart of this process is set out on page 15.
Guidance
More detailed guidance and advice is available http://staffintranet/hr-home/appraisals/appraisal-guidance on how to take part in an appraisal from the
perspective of both line managers and those being appraised. Appraisal is a very important people management activity and a core
aspect of building a successful team and nurturing a thriving MKC culture, so we all want it to go well. If you are unsure about what to do
or what is required of you as a colleague or manager, please ask your line manager, seek advice from your HR Business Partner or
Assistant Business Partner or, if your question is to do with the process, please call the HR Service Desk on Ext 2099.
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Appraisal Scheme - A Guide 24/03/2016
THE SEVEN COMPETENCIES
Competencies are cumulative, so you must be able to demonstrate the competencies at and below the level assigned to you. However, in most cases,
it will not be necessary to examine the competencies relating to lower levels in detail.
Has a good understanding Secures a customer friendly, Defines, models and Champions excellent service Creates an organisation-
of the services they provide safe environment for reviews customer service through high quality, wide culture of outstanding
Committed to provision of a customers standards customer focused solutions customer service
high level of customer Creates understanding of Reviews customer service Fully understands and Reviews current and future
POSITIVE SIGNS
service at all times customer service standards metrics and seeks and acts anticipates customer needs, customer trends and
Responsive and helpful to amongst team on customer feedback developing new and requirements to inform
customers; always puts the Supervises, monitors and Appropriately challenges innovative options to meet Council decisions
customers’ needs first measures customer service existing ways of working and changing requirements Allocates resources to meet
Demonstrates active and satisfaction empowers employees to Works in partnership to customer needs
listening and communicates Develops relationships with meet customer needs improve customer
clearly all customers through staff Responds to complaints and experience
Tactful and understanding of Demonstrates empathy in queries constructively
customer needs and communication Understands the current and
provides positive support Ensures customer service potential customer base
Provides timely service with standards are met
suitable and relevant
information or advice
Impatient with customers Doesn’t take ownership of Allows old fashioned and/or Doesn’t seek and use Does not consider
issues and passes them on inefficient ways of working to customer feedback customers when making
NEGATIVE
Has a ‘not my job’ mentality Does not model good Creates or maintains a needs or to reduce failure Fails to allocate resources to
practice or challenge poor blame culture demand meet customer needs
service
*Customers may be internal colleagues or those from partner organisations, citizens, councillors, other visitors and all those who interact with us.
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 2: COMMUNICATING AND ENGAGING
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
Listens actively and Ensures team are well Ensures that service Visible across the Visible and regularly
communicates with informed and up to date, objectives are understood organisation and a engages and communicates
colleagues and customers engaging with them and owned by colleagues committed member of Team consistently with staff and
clearly, concisely, accurately regularly and encouraging and managers MKC stakeholders
POSITIVE SIGNS
and in ways that promote feedback Encourages two way Manages communication, Tailors messages to the
understanding Maintains a positive team dialogue with colleagues ensuring managers and audience and listens and
Shows awareness of cultural environment through open, and peers and listens and other colleagues are always acts on feedback
issues at all times when two way communication acts on views of others well informed Reinforces messages to
communicating with others Directly addresses failures Communicates effectively Uses appropriate channels enhance understanding
An effective communicator to engage using appropriate channels to ensure messages are
both in writing and verbally Has a good level of written Has a high level of written, received and understood
Engages with and works and verbal communication presentation and verbal Encourages initiative and
effectively with colleagues skills and can express ideas communication skills proactively engages
and team members in written and oral form
Communicates work related
information to fellow team
members
Displays a negative attitude Withholds information from Does not make themselves Only uses e-mail to share Lacks conviction or changes
at work colleagues - has a available when colleagues information and works in an their opinion dependent on
NEGATIVE
Has poor communication ‘knowledge is power’ need to communicate isolated manner who they are with,
SIGNS
skills attitude Does not care if their team Ignores conflict within teams compromising their
Moans about their job and are engaged or disengaged credibility
Does not respect colleagues Does not own council wide
undermines proactivity Does not push forward any initiatives or others’ priorities Does not walk the floor or
good ideas from communicate regularly or
colleagues/employees effectively
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 3: MANAGING RESOURCES AND RISK
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
Effectively prioritises their Manages resources and Manages budgets, risk and Plans, sets and actively Sets direction, identifying
own work and ensures their risk proactively to secure services to conserve manages budgets taking key outcomes and
supervisor is kept informed maximum effectiveness resources and ensure they prompt action to resolve determining optimum means
of issues or delays Manages delegated budget, are properly applied in the variations to deliver services
Always works in a cost ensuring all spending is most cost effective way Understands and adapts Leads innovation and
POSITIVE SIGNS
effective way and properly recorded and Identifies most appropriate service to changing demand strategically commissions
safeguards resources at all accounted means to deliver services, trends and forecasts services for long term needs
times Challenges poor resource maximise savings and Identifies opportunities for Allocates resources to meet
Aware of and acts on management in team and generate additional income innovation, to grow key priorities and build
Council financial and encourages and supports Makes business case for customer base and increase future resilience and
procurement rules and steps to improve efficiency more resources income and alternative succession
constraints in their area of and effectiveness of team Seeks to understand and methods of service delivery
work Makes required cost savings eliminate failure demand
Accounts for spending and and identifies potential
procurement in a timely income generation
clear way and consistent opportunities
with regulations
Supports others to conserve
and manage resources
Wastes or is careless with Does not consider Overspends against their Fails to act to minimise Fails to respond to the
materials, equipment, alternatives that may reduce controllable budget overspends changing financial, policy
NEGATIVE
energy usage or other cost or increase income Does not regularly forecast Delays implementation of and environmental climate
SIGNS
resources Fails to challenge poor use likely budget outturn and projects or innovations Does not reallocate
Breaks financial or of resources take any required remedial which impact on the bottom resources to changing
procurement rules action line needs
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 4: ORGANISING AND IMPROVING PERFORMANCE
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
Manages own workload Identifies team and Creates clear delivery plans, Identifies key service Engages all stakeholders to
effectively to deliver individual priorities to meet monitors achievement and objectives and allocates create bold long term
effective service required timeframes adapts plans to meet resource to meet these strategic plans for the
POSITIVE SIGNS
Tells manager when under Understands and manages changing needs, resources Coaches and mentors staff, citizens of MK
pressure and what steps are workflow across the team and timescales working with all stakeholders Establishes clear success
needed to alleviate this Acts to meet changed Delegates effectively, to secure effective outcomes criteria, reviewing progress
Anticipates busy periods demands by reorganising monitoring progress and Encourages and acts on and evaluating outcomes
and prepares for them by team and individual priorities providing coaching and new ideas; challenges regularly and rigorously
organising their work as necessary support when required traditional assumptions Creates agile organisation
accordingly Seeks to continuously Reviews services and Professionally up to date resourced and able to
Supports changes being improve effectiveness and agrees improvement plans, planning for future needs respond quickly to change
implemented efficiency of service and acting to tackle poor using data, metrics and
encourages team to performance at team and networking
Actively engages in personal individual levels
and team development innovate to support this
Misses tasks or deadlines Unable to amend plans or Allows the performance of Sticks to old ways of doing Plans fail to address MK
priorities when needed the team drop off or plateau things issues
NEGATIVE
working or behaving informed and updated enough stakeholders about plans Does not anticipate need for
change
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 5: TAKING RESPONSIBILITY
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
Punctual, reliable and Influences others through Manages services by Behaves ethically, shows Makes things happen and is
professional in conduct own high standards providing leadership and active leadership and accountable for the
Takes responsibility for Creates clear and guidance, always setting an delivers on promises performance of the Council
completing own work achievable objectives for excellent example and Helps colleagues connect and personal responsibilities
POSITIVE SIGNS
without unnecessary team and individuals identifying systematic their contribution with MKC Works corporately and stops
supervision solutions plans and priorities and actions that are not adding
Works with others to deliver
Asks for guidance when wider outcomes Takes responsibility for support priorities of others value
unclear about what is contributing to delivery of Celebrates success and Establishes appropriate
Accepts constructive high level objectives
expected feedback and adapts tackles and takes systems of scrutiny, review
Listens to colleagues and actions/behaviours Addresses issues promptly, accountability for and monitoring and acts on
admits mistakes responding positively to underperformance in the findings
Acts to address changing requirements, team and wider service
Completes routine tasks to shortcomings in team and setbacks and challenges
the standard expected individual performance
Accepts responsibility for the
achievement of team
objectives
Often late for work/meetings Demonstrates low standards Allows situations to drift Acts in an underhand way Fails to address
or inappropriately dressed in behaviour or approach to without tackling them unnecessary bureaucracy
NEGATIVE
with routine tasks Puts achievement of negative feelings show to outcomes MKC’s ability to deliver
personal objectives ahead of others outcomes.
Blames others
those of colleagues Fails to take collective
responsibility for mistakes or
underperformance
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 6: TEAM PLAYER
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
Works effectively in co- Builds positive relationships Uses wide collaboration to Creates a wider team Always accessible and
operation with others within the team and add value to services and mentality by building strong works with stakeholders
Puts the interests and addresses weakness improve effectiveness links within the Council and across the region to get the
priorities of others ahead of promptly and positively Encourages input and with partner organisations best outcomes for MK
POSITIVE SIGNS
personal needs Visible, approachable and participation from colleagues Engages with colleagues Creates an environment for
Plays a full part in the team accessible across the Council to solve across the Council to find people to collaborate, share
and contributes positively at Shows an active interest in problems and innovate ways of improving services knowledge, innovate and
all times other’s opinions, ideas and Provides constructive Promotes a one Council work across boundaries
Recognises the part they well being challenge and support ethos and identifies with Provides leadership to
play in the reputation of the Provides appropriate Plays to the different colleagues’ priorities to create wider partnerships
team, service and Council practical and emotional strengths within a team to create a shared agenda
Responds positively and support to both staff and maximise effectiveness
flexibly to requests for help colleagues
and support
Has a can do attitude and
goes the extra mile
Works in an isolated way Puts own interests before Dominates group Misses opportunities to work Perpetuates divisions
the team discussions with other teams between services
NEGATIVE
the team atmosphere other people’s ideas priorities impact on their own limited strategic viewpoint
Does not make themselves Fails to maintain
available relationships with key
partners
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Appraisal Scheme - A Guide 24/03/2016
COMPETENCY 7: EXCELLENT LEADERSHIP
LEVEL LEVEL 1 LEVEL 2 LEVEL 3 LEVEL 4 LEVEL 5
Team Leaders Middle Managers
Typical posts
Team Members Specialists Senior Specialists Heads of Service CLT and Directors
in each level
Professionals Senior Professionals
or care what the big picture Offers little or no support to Does not share new learning
is. employees and does not or ways of working with their
Bad mouths MKC and the value their opinions or input peers
senior management Has a negative view of
working at MKC.
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Appraisal Scheme - A Guide 24/03/2016
1 April – 30 June 2016
Moderation Process APPRAISAL PERIOD
Managers & colleagues meet
Provisional Ratings notified
30 June 2016
OAYSYS CLOSES
Performance Improvement Plans
in place
By 31 July 2016
This seeks to ensure consistent
DIRECTORATE MODERATION
scoring across all services within
Service Directors (SD) & Heads of Service (HoS) each directorate and that all under-
(supported by HR Business Partners) moderate provisional performing colleagues have a score
outcomes and compare to standard distribution. Also of 1 or 2 and have a Performance
examine and moderate : Improvement Plan in place.
• all ratings of 1, 2 & 5
Inconsistent ratings are referred
• all direct reports to SDs and HoS
back to line managers for re-rating
• Potential assessments P1, P2, P3
and relevant colleagues are advised
Identify required changes to the provisional outcomes of outcome and the reasons for it.
Undertake a more detailed look at inconsistent areas
FURTHER ACTION
• Report to JNCE & JNC approximately October 2016
• Performance Improvement Plan progress report considered by CLT October 2016
• Appraisal scheme reviewed October – November 2016
• Recommendations considered by CLT in December 2016
• Revised appraisal scheme for 2017/18 shared with colleagues January 2017
• 2017 Appraisal Window will be 1 April to 31 May 2017
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Appraisal Scheme - A Guide 24/03/2016