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Workshop Objectives

0 Explain the need for the adoption of the SPMS;


0 Specify solutions for the common problems that will be

encountered in the SPMS adoption;

0 Explain the key activities of the office/individual

responsible for each phase of the SPMS cycle;

0 Identify the specific forms/tools to be used in the

implementation of the SPMS and accomplish such forms


correctly and on time; and,

0 Formulate and validate success indicators for their

respective scope of functions.

Program Flow
Understanding
the SPMS and
the key changes
it brings

MODULE 2
Managing SPMS
as a change

MODULE 1

The SPMS
players,
activities and
tools/forms
Success
Indicators
workshop

MODULE 3
SPMS Pilot
timeline and
deliverables

MODULE 4

MODULE 1

Understanding the SPMS and


the Key Changes it Brings

Objectives
0 Define SPMS.
0 State the CSC policy on the SPMS
adoption and the consequence of its noncompliance.
0 Identify the key changes based on the
existing PMS.
0 State the benefits of adopting the SPMS.

WHAT is SPMS?
0 Enhancement of existing Performance

Management System

0 Shall be administered to continually foster

the improvement of individual employee


efficiency and organizational effectiveness
(CSC Resolution No. 1200481 )

CSC Memorandum Circular No. 6, s-2012 promulgated in CSC Resolution No. 1200481
dated March 16, 2012 re: Guidelines in the Establishment and Implementation of Agency
Strategic Performance Management System (SPMS)

GCG Memo Circular No. 2013-05


Subject: 2013 Interim Performance-based Bonus
dated November 6, 2013

FAIRNESS

Key Changes*
Aspects

PMS

SPMS

Appraisal Period

Semi-annual

Annual with Mid-year


Assessment

No. of PMS tools

(2) TRMF and PAF

(4) Performance Scorecards,


PACER, FOCCIs and iLEAPs

all tools for each PMS phase are integrated


in one form
Type of PMS Form

Separate tool for each SPMS phase

TRMF
For rank-and-file: PAF

For officers: EMOPS

Committee:

PERC

PMT

Scoring

Standardized score (e.g.: 1-6)

Weight-based score

Rating practice

Ratees initial rating not


recognized by the process

Ratees initial rating part of the


process

For officers:

For supervisors:

SPS
IPS

For non-supervisors:

*Still for review and comments of executives and managerial officers

Salient Features*
0 Adopting the Balanced Scorecard Framework

(Performance Scorecards)

0 Annual rating with mid-year assessment


0 Pre-set targets and performance standards (Success

Indicators) and success indicators-based scoring

0 Individual performance rating limit/ceiling (based

on the office-level performance rating)

0 Competency assessment integrated in the

performance feedback mechanism

*Still for review and comments of executives and managerial officers

Balanced Scorecard

Success Indicators (examples)

Individual-level Rating Limit


Division A

Numerical Rating

Adjectival

Division A Rating

Very Satisfactory

Employee 1

Very Satisfactory

Employee 2

Outstanding

Employee 3

Satisfactory

Employee 4

Very Satisfactory

Employee 5

Very Satisfactory

Average rating of
staff: 20/5=4

Very Satisfactory

Office-level Rating: 4.20

Very Satisfactory

No. of Employees
(including DC) = 5

SAMPLE

Organizational Benefits

Personal Benefits
0 Reliability
0 Objectivity

0 Fairness

MODULE 2

Managing SPMS
as a Change

Objectives
0 Identify the barriers to successful
adoption of SPMS.
0 Identify possible solutions to

facilitate effective adoption of


SPMS.

Possible Barriers of SPMS Adoption


0 Self-interest
0 Fear
0 Conscientious Objection or Differing Perceptions
0 Suspicion
0 Conservatism

Develop a Compelling Vision


0 Consider how things will be

better with the SPMS

0 Must be more than

SLOGANEERING

0 Need to have individual visions

and need to know how that fits


into the organizations vision

0 Need to see how they fit into

that vision

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Change Is a Journey, Not a Blueprint


0 SPMS is not yet a perfect tool, your help will

contribute to its perfection.

0 Things may change right after the orientation

AND WHILE WERE IMPLEMENTING IT.

Prepare for Implementation Dip


0 Things Often Get Worse Before

They Get Better


0 Increase the Communication

0 Change the Medium and Words


0 Focus on What Is Ahead
0 Provide As Much Information As

Possible

0 Allow Resistance to Surface and

Manage It

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MORE POINTS TO REMEMBER


0 Need to balance preparing for and implementing.
0 Understand and own the past.
0 Start where people are most receptive.
0 People dont resist their own ideas.
0 Establish a darn good reason to change.
0 Say it once, say it twice and say it again

BUT monitor COMMUNICATION.


0 Dont resist resistance.

Final Thoughts
Somebody Has to Do Something, and Its Just
Incredibly Pathetic That It Has to Be Us.
Jerry Garcia, the Grateful Dead
The Ultimate Measure of a Man Is Not Where
He Stands in Moments of Comfort, but Where
He Stands at Times of Challenge and
Controversy Martin Luther King, Jr.

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MODULE 3

The SPMS Players,


Activities and
Tools/Forms

Session Objectives
0 Explain the key activities of the

office/individual responsible for each phase


of the SPMS cycle

0 Identify the specific forms/tools to be used in

the implementation of the SPMS and


accomplish such forms correctly and on time

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PhilHealth SPMS Cycle Major Activities

Identification and Designation of Raters and Ratees


Session on Targets-setting and Assignment of
Relevant Tasks (START)

Rewards

Planning
Certify Compliance with Accomplishment of
Performance Scorecards

Consensus-led Appraisal of Performance (CLAP)

Review
Learning and Education Action Planning (LEAP)

Gather Feedback on Observed Competencies

Monitoring
Checkpoint Meeting (CHECK)

Levels of Planning & Assessment


SG 26 and above
(including OICs)

SG 18-25
(including OICs)

SG 18 and below

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SPMS Calendar
Nov

Dec

CLAP

LEAP

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Performance Scorecard:
Initial Rating; Office
Rating and Final Rating

CARS
iLEAPS

START

MIDYEAR
ASSESSMENT

Performance Scorecard:
Targets & Success
Indicators

CHECK
1-2
FOCCI, PACER,
Targets
Adjustments

CHECK
3-4
FOCCI, PACER,
Targets
Adjustments

CHECK
5-6
FOCCI, PACER,
Targets
Adjustments,
Preliminary
Rating

CHECK
7-8
FOCCI, PACER,
Targets
Adjustments

CHECK
9-10
FOCCI, PACER,
Targets
Adjustments

Performance Planning
and Commitment Setting

Identification
of raters and
ratees

Setting of
Performance
Targets,
Measures and
Standards

Certification
on the
Compliance
with the
Accomplishm
ent of
Performance
Scorecards
(CCAPS)

Validation of
CCAPS

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Identification and Designation


of Raters and Ratees
0 Rater can only be assigned a

maximum of seven (7) ratees

0 The list of raters with their

corresponding ratees shall be


summarized using the SPMS
Information Sheet (SIS)

SIS Submission
0 SIS shall be submitted to

HRD within November 15


to January 15

0 Non submission of SIS

will invalidate the


performance appraisal
forms of the concerned
employee

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Setting of Performance Targets, Measures


and Standards
Executive and Managerial Officers
Performance Scorecard (EMOPS)
Supervisors
Performance Scorecard (SPS)
Individual
Performance Scorecard (IPS)

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Setting of Performance Targets, Measures


and Standards
Executive and Managerial Officers Declare respective
Performance Scorecard (EMOPS)
targets for the year
Supervisors
Performance Scorecard (SPS)

Individual
Performance

Must be signed by
concerned officer and
approved by supervisor

Shall be cascaded to all


concerned supervisors
and employees for
reference in the
Scorecard (IPS) preparation of SPS and
IPS

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Setting of Performance Targets, Measures


and Standards
Must indicate particular

Executive and Managerial Officers person responsible for


the accomplishment of
Performance Scorecard (EMOPS)
the initiatives

Supervisors
Performance Scorecard (SPS)

Must detail the Success


Indicators for all
strategic objectives
targeted for the year
Conduct START

Shall be disseminated to
Individual
Performance Scorecard (IPS)all concerned employees
for reference in the
preparation of IPS

START: Session on Target-setting and


Assignment of Relevant Tasks

Department/Office
Head
o Reviews contents of SPS

o Discuss Success Indicators for

the applicable appraisal period


o Agree on the performance

Ratee/Supervisor
o Makes necessary revisions on the

SPS according to agreements


o Finalizes the SPS not later that

two (2) days after the START

standards to be applied in the


assessment of the ratees
performance for the appraisal
period

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Setting of Performance Targets, Measures


and Standards
Executive and Managerial Officers
Performance Scorecard (EMOPS)
Supervisors
Performance Scorecard (SPS)
Individual
Performance Scorecard (IPS)

Establish individual
performance
commitments for the
year in accordance
with the targets
contained in
supervisors SPS
Detail the Success
Indicators for all
strategic objectives
targeted for the year
Conduct START

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CCAPS: Certification on the Compliance


with Performance Scorecards
0 All sectors must submit the CCAPS for

the appraisal period to the HRD/HRU


together with the SIS within November
15 to January 15

0 Non-submission of the certification will

disqualify concerned employees and


officers from the grant of performancebased incentives and other personnel
actions that would require performance
rating

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Validation of CCAPS
0 HRD/HRU shall validate all CCAPS by randomly

checking the availability of accomplished EMOPS, SPS


and IPS per office within two (2) weeks after
submission of the certification

0 HRD/HRU shall upload the information in the SPMS

database

0 If evident discrepancies are found, the head of the

department who signed the certification shall be held


administratively liable for such inconsistency

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Objectives
0 Translate office-level performance measures

to division/team level and individual-level


performance measures;

0 Set targets corresponding to the

performance measures identified; and

0 Identify possible performance results

scenarios for each target set.

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Success Indicators
Performance
Measure
Client
Satisfaction

Performance
Targets

Performance
Scenarios

85%

Met

Cycle time

3 hours

Exceeded

No. of
reports

10 reports

Below

Translation of Goals

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Performance Measures
0 Quantitatively tell us something important

about our products, services, and the


processes that produce them.

0 Tool to help us understand, manage, and

improve what the Corporation does.

0 Provide us with the information necessary to

make intelligent decisions about what we do.

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Performance measures let us know 0 How well we are doing


0 If our processes are in statistical control
0 If we are meeting our goals
0 If and where improvements are necessary
0 If our customers are satisfied

Performance Measure
0 Is composed of a number and unit of

measure.

0 The number gives us a magnitude (how

much) and the unit gives the number a


meaning (what).

0 Always tied to a goal or an objective (the

target).

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Types of Performance Measures


Single-dimensional
unit

Multi-dimensional
unit

0 show the variation in a

0 expressed as ratios or

process or deviation
from design
specifications

two or more
fundamental units

Examples of Performance Measures


Single-dimensional
0 Hours
0 Minutes

Multi-dimenstional
0 km per liter (a performance

measure of fuel economy)

0 Number of reports

0 number of accidents per million

0 Number of errors

hours worked (a performance


measure of companys safety
program)

0 Number of CPR-certified

employees
0 Length of time to design

hardware

0 number of on-time vendor

deliveries per total number of


vendor deliveries

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Categories of Performance Measures


0 Effectiveness
A process characteristic
indicating the degree to
which the process
output (work product)
conforms to
requirements.
Are we doing the right things?

0 Efficiency
A process characteristic
indicating the degree to
which the process
produces the required
output at minimum
resource cost.
Are we doing things right?

Categories of Performance Measures


0 Quality
The degree to which a
product or service meets
customer requirements
and expectations.

0 Timeliness
Measures whether a unit of
work was done correctly and
on time. Criteria must be
established to define what
constitutes timeliness for a
given unit of work. The
criterion is usually based on
customer requirements.

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Categories of Performance Measures


0 Productivity

0 Safety

The value added by the


process divided by the
value of the labor and
capital consumed.

Measures the overall


health of the
organization and the
working environment of
its employees.

Examples
0 Employee Satisfaction Index/Rate
0 Employee Productivity Index
0 Cycle time
0 Volume of documents stored
0 No. of policies implemented
0 No. of PAFs encoded

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Performance Ratings
Numerical Rating Adjectival Rating Description/Definition of Rating
130% above

Outstanding

115% - 129%
90% - 114%
51% - 89%

50% and below

Performance exceeded expectations by 30% and above the


planned targets.
Performance demonstrated was exceptional in terms of quality,
technical skills, creativity and initiative, showing mastery of the
task.
Accomplishments were made in more than expected but related
aspects of the target.
Very Satisfactory Performance exceeded expectations by 15% to 29% of the
planned targets.
Satisfactory
Performance met 90% to 114% of the planned targets. However,
if it involves deadlines required by law, it should be 100% of the
planned targets.
Unsatisfactory
Performance only met 51% to 89% of the planned targets and
failed to deliver one or more critical aspects of the target.
However, if it involves deadlines required by law, the range of
performance should be 51% to 99% of the planned targets.
Poor
Performance failed to deliver most of the targets by 50% and
below.

Solid Performance Results


Time/ Quantity

1
O

2
VS

3
S

4
US

5
P

Quality

VS

US

Effectiveness

VS

US

Efficiency

VS

US

Not lower than


14% exceeded
but higher than
89%

Below 90% but


higher than
50%

Below 50%

Scenario Code

Cut-off excess
points/weight

Not lower than


Not lower than 29% exceeded
30% exceeded but higher than
14%

Score

Additional points/weight based


on the actual excess of the
performance results from the
performance targets

Plus or minus points/weight based on the actual


performance results

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Mixed Positive Performance Results


Scenario Code

10

11

Time/ Quantity

VS

VS

Quality

VS

VS

Not lower
than 30%
exceeded

Not lower
than 29%
exceeded
but higher
than 14%

Not lower
than 30%
exceeded

Not lower
than 14%
exceeded
but higher
than 89%

Not lower
than 29%
exceeded
but higher
than 14%

Not lower
than 14%
exceeded
but higher
than 89%

Cut-off excess
points/weight in
Time/Quantity
Quality measure*
Score

*Subject for discussion/decision by Management

Mixed Negative Performance Results**


Scenario Code

12

13

14

15

16

17

18

19

20

21

22

23

Time/ Quantity

US

VS

US

US

VS

US

Quality

US

US

VS

US

VS

US

Cut-off excess
points/ weight
in Time/
Quantity

Not
lower
than
30%
exceed
ed

Below
90%
but
higher
than
50%

Not
lower
than
29%
exceed
ed but
higher
than
14%

Below
90%
but
higher
than
50%

Not
lower
than
14%
exceed
ed but
higher
than
89%

Below
90%
but
higher
than
50%

Not
lower
than
29%
exceed
ed but
higher
than
14%

Below
50%

Below
90%
but
higher
than
50%

Below
50%

Not
lower
than
30%
exceed
ed

Below
50%

Quality
measure*
Score

*/** Subject for discussion/decision by Management


**Considered incomplete or unaccomplished

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Example: Performance Measures Translation


Office-level

Customer
Satisfaction

Employee
Satisfaction

Target

85%

85%

Division/ Section/
Team-level

Target

Turn-around
time
Cycle time
Delivery time
Product
quality rating

5 days

% personnel
w/significant
competency
gaps trained
Consistency in
payroll
issuance

80%

2 hours
1st day of
the month
80%

95%

Individual-level

Target

Quota
Courtesy
Rating
No. of on-time
delivery
No. of
assessed
products

180/day
90%
100
100

No. of training 10
programs
conducted
Turn-around
15 days
time in payroll
processing

Performance Monitoring and Coaching


Module 3-C

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Performance Monitoring
and Coaching

Gather Feedback on
Observed Competencies
Peer or
Co-Worker

Direct Clients
FOCCIs

Subordinates
(if applicable)

Supervisor

Feedback on Observed Competencies for Coaching and Improvement Sheet

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When to gather FOCCIs


0 Prior to conduct of Checkpoint Meeting (CM)
0 Gather from at least one of the ratees

Peers/co-workers
Direct Clients
Subordinates (if applicable)

34

Conduct of Checkpoint Meeting (CM)


0 Held at least once a month

CM Activities
1.

Progress tracking & initial accomplishments

2.

Coach, mentor and counsel using data gathered


from FOCCIs & ensure the following:
0 Timely & appropriate steps are taken to keep a

program/program/activity on track
0 Objectives and goals are met
0 Necessary support systems are provided
0 Enabling environment/intervention is fostered
0 Potentials are managed, developed & maximized

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CM Activities
0 Identify hindrances and other

obstructions and make some plans


and solutions to eliminate these

0 Agree on certain checkpoints and

schedule to ensure fulfillment of


the targets

0 Document progress and coaching

data using the Progress,


Accomplishments and Coaching
Engagement Records (PACER)

36

Adjustment of Targets &


Commitments
0 New mandates and program;
0 New special assignments
0 Done prior to the deadline of the

new or revised performance targets

0 Made only during the progress

review and performance coaching


phase; and,

0 Synchronized with the corporate

and office targets.

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38

Preliminary Performance Rating


0 In June-July checkpoint meeting,

the rater must determine the


preliminary performance rating of
ratees with indication of
unsatisfactory or poor
performance

0 Issue a warning/reminder memo

to these ratees and provide


developmental interventions for
their urgent performance
improvement

Performance review, rewards and


sanctions
Module 3-D

39

Submission of
Performance
Scorecards,
iLEAPS and
CARS

Issuance of
Warning/
Reminder on
Unsatisfactory
or Poor
Performance

Determination
of Initial
Performance
Rating
Assessment of
Observed
Competencies

Performance
Review &
Appraisal Proper,
and Individual
Development
Planning

Finalization of
Performance
Ratings

Conduct of
Consensus-led
Appraisal of
Performance
Session
(CCLAPS)

Conduct of
Learning and
Education for
Action
Planning
Session
(LEAPS)

Determination of Initial Performance Rating

40

41

Assessment of Observed Competencies


0 Supervisors FOCCIs
0 Summarize 10 sets of other FOCCIs using

Competency Assessment Results Summary


Sheet (CARS)

42

43

CLAPS: Consensus-led Appraisal of


Performance Session
0 Within 5 days upon receipt of initial performance

rating

0 Discuss if targets were achieved


0 Identify lessons learned
0 Mutually agree on perf. data and rating given
0 Remind that rating may be adjusted
0 Record in the performance scorecard

LEAPS: Learning & Education for Action


Planning Session (LEAPS)
0 Discuss CARS
0 Identify learning interventions
0 Document agreements from the

LEAPS using the iLEAPS

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Finalization of Performance Ratings

* Done within 5 days


after CLAPS

Only when the Officelevel PRs are


finalized and
approved that the
raters may proceed
with the finalization
of IPR

Ensure that average


of all individual
ratings under the
office is not higher
than the Office-level
PR

If IPR is higher than


the score/rating
limit, calibrate
through
ratio/proportion
method

Scorecards must be
signed by ratee, rater
and NHS once final
If not in agreement,
ratee must submit a
letter of appeal to
NHS cf. PMT

Submit to HRD

45

Issuance of Warning/Reminder on
Unsatisfactory or Poor Performance
The rater must issue a written notice/advice to ratees, whose
determined performance rating is either unsatisfactory or
poor, that such performance ratings may cause them to be
dropped from the rolls.

Submission of Performance Scorecards,


iLEAPs and CARS
0 Submit to HRD between November 15

and January 15 of the next year

0 HRD will not accept incomplete entries

or no signatures

0 CARS form part of Corporations

competency inventory

0 Failure to submit result in non-

entitlement to performance-based
personnel actions and shall be used as
ground for an administrative case.

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Steps on Accomplishing CARS


0 Average per competency
0 Average per group of competencies per type

of respondents
0 Rank competencies based on average score.
0 Average the overall score per group of
competencies and type of respondent.
0 Identify which group of competencies is the
strength and the area for improvement .

Rating Computation
Measure

Weight

Target

Results

Formula

Customer
Positive
Feedback

30%

85

60

Cycle time
(in hours)

20%

Target/Results
X Weight

No. of days
(to process
request)

10%

150

175

Target/Results
X Weight

No. of policies
(to develop)

40%

Computation

Score

(Weight/Target)
x Results

(Weight/Target)
x Results

Total 100%

47

Rating Computation
Weight

Target

Results

Customer
Positive
Feedback

Measure

30%

85

60

Cycle time
(in hours)

20%

No. of days
(to process
request)

10%

150

No. of policies
(to develop)

40%

Formula

Computation

Score

(Weight/Target)
x Results

30%/85
x 60

21%

Target/Results
X Weight

6/3
x 20%

40%

175

Target/Results
X Weight

150/175
x 10%

9%

40%/3
X4
x100

53%

(Weight/Target)
x Results

Total 100%

123%

SAMPLE COMPUTATION

Performance rewards and sanctions


Module 3-E

48

Performance Rewarding
Informal Rewards

Formal Rewards
0 Individual Category
0 Model Employee Award
0 Model Supervisor Award
0 Model Executive Officer

Award

0 Team Category
0 Exemplary LHIO Award
0 Star PRO Award
0 Distinguished Critical

Support Office Award

Sanctions
0 Employees disqualification

from performance-based
personnel actions

0 Administrative sanction for

violation of reasonable office


rules and regulations and
simple neglect of duty

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0 The procedure for filing complaints and imposing

administrative sanctions shall be in accordance with the CSCs


RRACS.

0 Failure on the part of the Office Head and/or supervisors to

comply with the required notices to their ratees for their


unsatisfactory or poor performance during rating period shall
be a ground for an administrative offense for neglect of duty.

0 Non-submission of agency SPMS to the Civil Service

Commission for review/approval shall be a ground for


disapproval of promotional appointments issued by concerned
agency heads as stipulated on CSC Memorandum Circular No. 6,
s-2012.

50

SPMS Calendar of Pilot-Test


Jun
Nov

Jul

Dec

CLAP

LEAP

Jan

Aug
Feb

Mar

Sep
Apr

May

Oct
Jun

Jul

Nov
Aug

Sep

Oct

Performance Scorecard:
Initial Rating; Office
Rating and Final Rating

CARS
iLEAP

START

MIDYEAR
ASSESSMENT

Performance Scorecard:
Targets & Success
Indicators

CHECK 1

CHECK 2

CHECK 3

CHECK 4

CHECK 5

FOCCI, PACER,
Targets
Adjustments

FOCCI, PACER,
Targets
Adjustments

FOCCI, PACER,
Targets
Adjustments,
Preliminary
Rating

FOCCI, PACER,
Targets
Adjustments

FOCCI, PACER,
Targets
Adjustments

Deliverables
Required Docs

Schedule

Agreed Date of
Submission

Success Indicators by
Division

First week of July

September (1st week)


Latest (2nd week)

SIS and CCAPS

First week of July

September (1st week)


Latest (2nd week)

FGD on Performance
Planning Phase
FGD on Performance
Monitoring Phase
FGD on Performance
Review Phase

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