Draft PERFORMANCE MANAGEMENT SYSTEM Guideline2015

DRAFT PERFORMANCE MANAGEMENT SYSTEM GUIDELINE2015

1 List of Abbreviations:

1. APA: Annual Performance Agreement

2. AWP: Annual Work Plan

3. CC: Core Competencies

4. GPMS: Government Performance Management System

5. HR: Human Resource

6. HRC: Human Resource Committee

7. IWP: Individual Work Plan

8. PE: Performance Evaluation

9. RC: Ranking Committee

10. RCSC: Royal Civil Service Commission

2 Contents

ROYAL CIVIL SERVICE COMMISSION Introduction This PMS manual shall be used as a guideline to manage and evaluate performance in the Civil Service. The overall objective of the PMS is to differentiate performers from non- performers based on their contribution to the organizational goals and objectives. Thus, it seeks:

 To align individual performance goals with the organization’s strategic goals/visions;  To ensure organizational effectiveness by cascading institutional accountabilities to the various levels of the organization’s hierarchy;  To enhance agency’s overall performance by differentiating performer from non performer

Towards achieving these objectives, this manual shall therefore provide guideline on:

1. Preparation of IWP and identification of Core Competencies

2. Evaluation of IWPS and Core Competencies

3. Framework for forced ranking

4. Protocol of forced ranking

5. Performance based HR Actions

6. Appeal procedures and

7. PMS calendar

ROYAL CIVIL SERVICE COMMISSION Page 4 1. Guideline for preparation of Individual Work Plan An IWP is a clear plan of action for an individual in an agency to organize and manage daily work activities to effectively contribute to achieving the annual objectives of the agency. A rigorous individual work planning exercise will ensure alignment of daily works done by civil servants to the higher order strategic objectives of their agencies thereby making the individual performance appraisal more purposeful and effective.

Identifying clear annual organizational objectives is critical to developing clear individual work plans for individual staff in any agency. The system of annual performance agreement signing provides this clarity by requiring agencies to identify clear organizational objectives on an annual basis. The system mandates each Ministry, Dzongkhags and selected Autonomous Agencies to sign annual performance agreement with the Prime Minister, and the performance agreement system is cascaded down to Department, sector and division levels respectively.

Having clarity on how to achieve the objectives through formulation of strategies is the next critical step for guiding individual staff to plan their own activities. One of the most critical inputs to developing a work plan is to know the resources required. The annual performance agreements are signed based on available resources after the annual budget is approved. The approved annual budget of the agency must provide adequate information on available resources for individual staff to develop their work plans realistically.

Proper scheduling of activities in the individual work plans is key to managing work effectively on a daily basis. Individual work schedules and milestones must be synchronized to the overall timelines and milestones of the organization. The annual performance agreements provide the organization level milestones and timelines for the objectives through the target values of success indicators.

The following sections provide specific guidelines to prepare individual work plans for civil servants in all government organizations.

1.1. Formulation of Division Outputs After Ministerial and Departmental Annual Performance Agreements are signed, divisions shall come up with clear outputs for the fiscal year based on their departmental objectives. As such, division outputs must be clearly substantiated by success indicators and target values in the same format as Departmental and Agency Annual Performance Agreement.

A division may have one or more outputs and they must be achievable and measurable on an annual basis. These division outputs are achieved as a result of activities implemented by individuals working in the division. Activities to be executed by individual must be clearly identified based on the following broad guidelines

ROYAL CIVIL SERVICE COMMISSION Page 5 1.2. PMS for agencies with the Annual Work Plan (AWP) The development of the IWP for those agencies, which does not have APA will be based on the Annual Work Plan.

1.3. Formulating Activities for Individuals 1.3.1 Types of activities

Activities could be broadly categorized into two- Specific annual activities geared towards achieving annual objectives of an agency, and support activities which are generic in nature, and support the implementation of the specific activities. The specific annual activities are to be formulated within the context of the annual performance agreement objectives and target and implemented by the line Departments, and these activities are commonly called line functions or core functions. The support activities are common administrative, planning, finance services, commonly called staff functions, which must be provided to the line departments by the support divisions. These staff functions are common and cross cuts across different agencies under the Royal Government. The annual performance agreements of agencies have clearly identified agency objectives based on which division outputs and line function activities could be identified. However, staff function related outputs and activities are not captured in the agency annual performance agreements, as these are support and input related activities.

1.3.2 Guidelines for Identifying Activities

Activities are essential work items that an individual need to execute in order to achieve the division outputs. Activities should succinctly indicate how an individual intends to utilize inputs and overcome constraints to attain the outputs. Each activity listed must be related to one of the outputs, and only activities, which have direct contribution to achievement of division outputs, should be included in the individual work plan.

Ancillary activities, for e.g, notesheet writing, fund releases, sending invitation letters, writing meeting minutes,etc should not be included in individual work plans. Activities must be broken down into clear distinct measurable work items and activities must be defined using action words. Activities should not be kept broad with implementation duration spread over more than 3 months. Monthly milestones must be set for activities, which may take more than one month to execute. Activities must be provided with clear timelines, synergized with the output timelines of Division, which in turn should be aligned to Departmental and Agency success indicator timelines.

ROYAL CIVIL SERVICE COMMISSION Page 6 1.4. Individual Work Plan Format Employee Name Employee ID Position title Position level Division Department Division Output Target Values (Excellent) (Good) (Need Improvement)

The above IWP format must be used to prepare individual work plans for both staff and line function staff. All the employee details-Employee ID, Position title, Position level, Division and Department- must be filled up. Relevant Division Output shall be picked up from the outputs identified for the division and put under the “Division Output” Column. Following the guidelines under Section II. b.ii, individual activities shall be reflected under the “Activities” Column. Against each activity, appropriate activity performance measures like date, numbers, percentage and other milestones need to be put

1.4.1 Developing IWPs for Line Function

Division outputs for line functions must be drawn from the approved annual performance agreement of the agency.

1.4.2 Developing IWPs for Staff Function

Following is a generic list of division outputs categorized by different staff functions to help the cross cutting division staff prepare their individual work plans. In addition to the following, specific outputs that need to be achieved by the support divisions, which have direct relevance to the objectives of the Agency, can also be included.

Success indicators are means to verify success or failure of the intended outputs. Indicators can be qualitative or quantitative. Every output should have one or more indicators. Indicators must be Specific, Measureable, Achievable, Realistic and Timely.

ROYAL CIVIL SERVICE COMMISSION Page 7 Division Output Sis Human Resource Annual HR plans formulated Timeline for plan ToR for each job position formulation Competencies required for each position No of staff to be recruited Competency development plan by timeline Deployment plan by timeline Annual HR plans implemented No of post vacancies filled Recruitment and deployment up Transfer No of trainings conducted Promotion Deployment as percentage Development of approved staffing pattern Separation HR Audit PMS implemented Individual work plans collected on time/ Administration Admin support services provided SoPs for Admin service efficiently and effectively SDS with TAT for Admin service Unit cost reduction (Functional pool vehicles at all times) Office infrastructure and property Employee satisfaction 1 maintained and managed Inventory management system developed Occupational Health and Safety standards implemented Internal Audit Annual internal Audit plan formulated Timeline by which plan is formulated Annual internal Audit plan implemented No of audit reports produced

% reduction in RAA audit memo % of Follow up actions implemented by the agency

Policy and Polices formulated No of policies/timeline by Planning which specific no of policies

1 Refer annexed form

ROYAL CIVIL SERVICE COMMISSION Page 8 are formulated AWPs/APAs prepared Timeline by which AWPs/APA are prepared Implementation of AWP/ APAs Frequency of Monitoring monitored and evaluated and No of Reports Published Legal Legal services rendered SDS2 and TAT 3for legal services Awareness and education on laws No of awareness programs conducted ICT ICT plan4 for agency formulated Timeline by which plan is formulated Efficient and Effective ICT services Internet down time <1% delivered Agency network services down time <1% Agency website ranking score No of IT enabled services in operation Finance5 Annual Budget Prepared and Submitted % of Budget proposed in as per Agency AWP/APA accordance with AWP/APA and budget call notification Timeline for budget submission Annual Budget Implementation % of budget utilized monitored and reported mid-term budget review carried out Budget utilization status report Financial discipline ensured Reduction in Audit memo, SOPs, TAT Procurement Quality goods and services procured Compliance to procurement rules & regulations Reduction in audit memo Client and Employee satisfaction Materials/properties effectively Managed % Cost reduction

2 Service delivery standards

3 Turnaround Time

4 Agency ICT plan shall include development of IT tools, systems, databases which will help the agency in delivering its services.

5 Include Accounts and Budget

ROYAL CIVIL SERVICE COMMISSION Page 9 Inventories updated TAT for issuance of supplies

1.5. Guidelines for Identifying Core Competencies The supervisor should identify core competencies based on the requirement to their individual employee to achieve the performance target. The number of core competencies may differ as per the requirement of specific department/division in the agency.

Refer Annexure 1& 2for Sample Core Competencies, and Complete performance Appraisal form.

ROYAL CIVIL SERVICE COMMISSION Page 10 2. Performance Evaluation Guideline

2.1. Evaluating IWP Score This evaluation guideline will serve as the basis for the supervisors to provide ratings for the targets specified in the Individual Work Plan (IWP) during beginning of the appraisal cycle. In IWPs, individuals are required to set three levels of target values. For Eg.

Employee Name Employee ID Position title Position level Division Department Division Output Activities Target Values (Excellent=3) (Good=2) (Need Improvement=1) Annual HR plans Conduct HR July 2015 August September 2015 formulated requirements 2015 Assessment

If an individual has performed the activity and achieved excellent target value, the corresponding rating will be 3. Similarly, if s/he achieves “good” target value, the corresponding rating will be 2 and for activities in “need improvement” target, the rating will be 1.

Employee Name Employee ID Position title Position level Division Department Division Activities Target Values Target Employee Final Output (Excellent=3) (Good= (Need achieved Remark Rating by 2) Improvement=1) specified supervisor by individual Annual Conduct HR July 2015 August September October Rainfall 1 HR plans requirements 2015 2015 2015 formulat Assessment e Develop July 2015 August September August 2 human 2015 2015 2015

ROYAL CIVIL SERVICE COMMISSION Page 11 resource development strategy Develop July 2015 August September June 3 human 2015 2015 2015 resource deployment strategy IWP Score (Total / No. of activities) 6/3= 2

2.2. Evaluating Core Competencies The rating of IWP will be an average of the total rating received on individual work plan. This will form only 70% of the total evaluation. The next 30% will be generated from the evaluation of core competencies, which will be done as follows.

The ratings of the core competencies will be based on the target that has been agreed between the supervisor and supervisee. For e.g.

Core Supervisor to Final Score Competency Definition explain the by Supervisor behavior displayed by individual Outstanding Good Need Improvement

Teamwork: Puts agency’s Help and Help direct Mr. X helped 2.5 success ahead support team other of department others to members but customers but or division’s solve do not needs to success. customer cooperate improve in PR problems and with other accomplishes teams or agency’s departments. goals. Service Maintain Treat all Respond to Respond to 2 Delivery/or helpful and customers customers customers ientation courteous with dignity, defensively or defensively or manner, even respect and a in an in an when faced welcoming unfriendly or unfriendly or with hostility attitude. uncaring way. uncaring way

ROYAL CIVIL SERVICE COMMISSION Page 12 from customers and/or other stressful conditions. CC rating (total/ no. of activities) 4.5/2=2.25

2.3. Final Evaluation IWPs and Core Competencies: The final rating for the individual will consist of 70% IWP and 30% CC.

In the example above, the final rating will be as follows

Particular Scorereceived % Final Score allocated IWP Rating 2 70% 1.4 CC Rating 2.5 30% 0.75 Total 2.15 The final rating corresponds to good. The scale for ratings will be as follows 2.1 to 3= Outstanding 1.1 to 2= Good Less than or equal to 1 = Need Improvement

The final ratings from IWP and CC will be used as an input during the force ranking of the employees.Therefore, the PE rating of IWP and CC does not reflect individual’s actual/final evaluation.

3. Forced Ranking Framework

3.1. Agency Categorization Framework (ACF) Agency Categorization Framework (ACF) is a tool that will be used for the purpose of categorizing employees into different performer category. This framework will use the Government Performance Management System (GPMS) report (score) as the basis for categorization of employees into different performer category.

These categories will be used for the purpose of ranking employees into different performer categories as follows:

Agency GPMS Report on Performer Category (%) Category Agency’s achievement (%) Outstanding Good Need Improvement

Category 1 90 -100 4 94 2 Category 2 80-89 3 93 4 Category 3 70- 79 2 92 6

ROYAL CIVIL SERVICE COMMISSION Page 13 Category 4 Less than 69 1 91 8

3.2. The framework for forced ranking of Agencies with AWP(without APA) will be based on standard distributions as follows: Performer Category (%)

Outstanding Good Need Improvement

3 95 2

 The Ranking Committee consisting of Head of the Agency and the Chief of the Divisions will do the ranking of the employees.

 The PE rating of the Chief of Divisions will be done by the Head of agency and considered as the ranking result.

 The Head of Agency’s performance will be done by their supervisor similar to current practice as per BCSR 2012 [ status quo]

3.3. Rationale for percentage distribution of performer category The rationale for percentage distribution of performer category is based on cost benefit analysis of the percentage distribution

3.3.1 Meritorious Promotion for outstanding performer

The total pay and allowance budget allocated annually is Nu. 8359.28 million. In the professional and management category, the implication to the total budget (in terms of salary) is highest for meritorious promotion from P3 to P2. Likewise for supervisory and support category, the implication to the total budget is highest for meritorious promotion from S2 to S1. Taking this as the basis, the following is derived

For e.g. P3: Nu. 23,995, P2: Nu. 27,370, Difference: Nu. 3375

ROYAL CIVIL SERVICE COMMISSION Page 14 % No. of CS Total Cost Additional Cost on the approved budget distribution (26,000) (million) (8359.28 million) 4 1040 421.2 5.04% 3 780 315.9 3.78% 2 520 210.6 2.52% 1 260 105.3 1.26% Taking the best case scenario, where all agencies perform 90% and above, the highest capping of 4% distribution, the total cost implication will be within 5% of the annual budget.

3.3.2 HR action for ‘Need Improvement’ category

a. Since the civil servants who is categorized in need improvement category will not be promoted for that year, therefore there will be savings in the total annual budget

For e.g. P3: Nu. 23,995, P2: Nu. 27,370, Difference: Nu. 3375

% distribution No. of CS Total Cost Additional Cost on the (26,000) (million) approved budget (8359.28 million) 8 2080 842.4 10.08% 6 1560 631.8 7.56% 4 1040 421.2 5.04% 2 520 210.6 2.52% Taking the best case scenario, where all agencies perform 90% and above, the lowest capping of 2% distribution will save 2.52% of the total annual budget.

b. If 2% of the total civil servants require necessary HR Development program, the total cost for this HR Development will be Nu.130 million (calculation in Annexure 3) which can be met from the 2.52% (210.6m) savings on the annual budget

3.4. Definition of Performer Category Performer Category Definition

Outstanding Excellent performer both in terms of meeting performance targets as specified in the IWPs as well as in core competencies Good Meets performance targets as specified in IWPs and meets basic requirement of core competencies

ROYAL CIVIL SERVICE COMMISSION Page 15 Need Improvement 1. C1: Substance Abuser 2. C2: Willing to perform but do not have the capacity/ Redundant skills 3. C3: Does not perform although he/she has the necessary skills *C = Category

3.5. Performance Evaluation for Management The performance of management, which includes Executives, Chief of Division, Sector head and rankers shall be as follows:

GPMS report/AWP report on Agency’s Executives/Chief of Division Achievement (%) 90-100 Outstanding 70-89 Good

Less than 70 Need Improvement

3.6. Guiding principle for ranking civil servant at various position level in line with 10.3

1.5.1. Executive (EX3-EX1):

 If the executive head agencies, the agency’s score will be proxy for his/her performance

 If the executivehead departments, the ratio between agency and department (70:30) will be the performance rating of the executive.

ROYAL CIVIL SERVICE COMMISSION Page 16 1.5.2. Specialist (ES3-ES1)

 If the specialist head agencies, the agency’s score will be proxy for his/her performance

 If the specialist head departments, the ratio between agency and department (70:30) will be the performance rating of the executive.

 All other specialist who do not head agencies/departments, the ratio between agency and department (50:50) will be the performance rating of the specialist

1.5.3. P1 Level

 If the P1 head divisions, their performance rating will be department’s score

 All other P1 who do not head divisions will fall in the general pool considered for forced ranking purposes.

1.5.4. P2-P5, S1-S5:

 Forced ranked as per agency’s score or department’s score as per the framework

1.5.5. O- level

 Status Quo: Evaluated by the immediate supervisor based on the standard performance evaluation forms

3.7. Forced Ranking of the Employees In line with Agencification Framework agencies are categorized into eight categories

1. Ministries

2. Commission

3. Authority

4. National Centers

5. National Institutes

6. Thromdes

7. Dzongkhags

8. Others

ROYAL CIVIL SERVICE COMMISSION Page 17 ROYAL CIVIL SERVICE COMMISSION Page 18 Forced Ranking of the employees will be different for different agencies as follows:

Agency Type Profile/Position Title Performance Ranker/Additional Comments

Head of Ministry/Secretary Ministry’s Score as NA proxy 1. Ministry Head of Ratio between NA Department/Director/Director Ministry’s score as General proxy Head of the Division/Chief of Division Department’s score NA as Proxy Secretariat Services/Staff Function Rank them Director of Directorate to rank Employees according to them with Division Chiefs Ministry’s score to different performer category Core Division/Line Function Rank them Director of respective according to departments to rank employees Department’s under each departments with score to head of division representing different employees under each division performer category Head of the Commission/Secretary Agency’s Score as NA proxy 2. Commission Head of Directorate/Director Agency’s NA performance Division head/Chief of Division Ratio between NA Agency’s score and Division’s score (70:30)

ROYAL CIVIL SERVICE COMMISSION Page 19 Agency Type Profile/Position Title Performance Ranker/Additional Comments

Employees Secretariat Services/Staff Function Rank them Director of directorate according to Agency’s score to different performer category Secretariat Services/Staff Function Rank them Division head and chaired by according to Secretary Division’s score to different performer category Head of Dzongkhag/Dzongdag Dzongkhags NA performance Head of Staff Function/Dzongab Dzongkhags NA performance Planning Services, Legal Services, Internal Rank them Dzongdag Audit Services, Kidu services, Environment according to Employees services dzongkhag’s 3.Dzongkhags performance to different performer category Staff function/HR Services, IT Services, Rank them Dzongrab Finance and Admin. Services according to dzongkhag’s performance to different performer

category Sectors/Health Sector, Education Sector, Rank them Sector Head: Note: A sector RNR Sector-Agriculture, Livestock & Forests, according to should have at least three staffs Census, Culture, land record etc dzongkhag’s to be ranked by sector head performance to including himself/herself. If the different sector has less than 3 staffs, performer Dzongdag will represent them. category However, the sector head shall provide written feedback on his/her staff to Dzongdag. DunkhgagStaff Administrative Staff, including GAO and Rank them Drungpa: Gewog Accountants according to Note: dzongkhag’s Drungpa shall receive written performance to feedback from Gup, HR and different Planning Services on GAO’s performer Performance. category Drungpa shall receive written feedback from Dzongkhag Accounts Officer on Gewog’sAccountant’s performance. Sector/Education, Health and RNR- Rank them Sector Head and Drunpa: Agriculture, Livestock & Forest according to IWPs will be evaluated by sector dzongkhag’s head but force ranking will be performance to done by Sector head different inconsultation with drungpa performer category Gewog Staff GAO, Gewog Accountants Rank them Dzongrab:

according to Note:Dzongrab shall receive dzongkhag’s written feedback from Gup, HR performance to and Planning on GAO’s different performance performer category Sector/Education, Health and RNR- Rank them Sector Head: Agriculture, Livestock & Forest according to Note: Sector heads to get written dzongkhag’s feedback on individuals from Gup performance to for the purpose of ranking. different performer category 4.Authority, Head of Authority/National 5.National Centre/National Institute/Thromde/ NA Centre, Director/Director Agency’s 6.National General/Specialist/Executive performance Institute, Secretary 7.Thromde& Head of Division/Chief Ratio between NA 8.Others Agency’s score and Division’s score (70:30) Secretariat Services/Staff Function Rank them Head of Secretariat Services according to Employees Agency’s performance to different performer category

Secretariat Services/Staff Function Rank them Chief of Divisions according to Division’s performance to different performer category

ROYAL CIVIL SERVICE COMMISSION Page 23 4. Protocol for Forced Ranking

4.1. Pre-requisite for Forced Ranking In order to force rank employees, the pre-requisite will be as follows:

1. GPMS/AWP report Completed

The GPMD will publish an annual report on the agency’s performance. Similarly, other competent agencies will prepare report on agencies with AWP.

2. Performance Appraisal Completed

PE ratings of all Civil Servants will be completed which comprise of IWP (70%) and Core Competencies (30%)

4.2. General Protocol for Forced Ranking Thegeneral protocol for force ranking shall consist of three phases as follows:

4.2.1. Phase 1: Distribution

Atthis initial phase, the agency shall identify under which category the agency will fall and accordingly determine the percentage of performer category as per 7.1. Further, the basis for percentage of performer categories (Outstanding, Good and Need improvement) shall depend on Section 10, which specifies whether the basis for distribution of percentage is based on agency’s/Department’s/Division’s score.

The head of agency in consultation with the rankers/ranking committee shall initiate the distribution phase and formally communicate the percentage distribution for department/division.While determining distribution of percentage for different performer category, HR division should provide with staff strength from S5-P1 for each Department/Division to make informed decision for percentage distribution.

4.2.2 Phase 2: Ranking

The Ranking Committee (RC) membersafter having been provided with the % distribution of Outstanding, Good and Need Improvement for the Department/Divisions shall do a preliminary ranking of individuals under their respective department/division/sector based on the achievements/PE rating of IWPs and core competencies.

As per the PMS schedule, the RC chaired by the Head of the agency shall convene ranking meeting during which each individual under each department/division shall be

ROYAL CIVIL SERVICE COMMISSION Page 24 identified for different performer category. The identification of performer category may start with “outstanding” performer, followed by “need improvement category” and rest will fall under “Good”.

For ranking purposes for difference agencies, refer Section 10.

4.2.3Phase 3: Endorsement of result

The ranking result shall be endorsed by the Ranking Committee upon compilation by the HRD based on the distribution made by the RC. Thisranking result shall be considered as the final PE rating of the individual and updated in the CSIS by HR Division. The endorsed results will be communicated to concerned individual by their respective supervisors.

Based on the results of Force Ranking exercise, HR Division shall prepare targeted HR intervention as per Section 12. All HR action should be endorsed by the HRC.

ROYAL CIVIL SERVICE COMMISSION Page 25 ROYAL CIVIL SERVICE COMMISSION Page 26 5. Performance linked HR Actions Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement Rankers 1. Nominate 1. Targeted 1. Will be on Waiting list. (Clauses from BCSR on waiting for the Civil Leadership list apply). Servants Trainings Award for Excellent Service - 8 years(Bronze), 12 years (Silver), 15 years(Gold) of consecutive performance 2. Recognition with EX/ES 3- Head of Agency, Head of Certificate by EX/ES 1 Department, Dzongdag the RCSC for outstanding performance of 4 consecutive year 3. Consider/reco mmend for next level promotion. Other conditions as per Promotion rules apply P1 Chief of Division, 1. Nominate 1. Award 50% marks 1. Not Eligible for executive Positions for next 2 years Dzongrab, Dungpa, Sector for the Civil for PE rating during 2. Refer him/ her to relevant authority

ROYAL CIVIL SERVICE COMMISSION Page 27 Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement Servants open competitions 3. Targeted capacity development program (in-country) Award for 2. Provide Targeted Excellent Leadership Trainings Service for Bronze - if 6 years of consecutive performance 2. Recognition with Certificate by the RCSC for outstanding performance Heads of 4 consecutive year 3. Award full mark for PE rating during open competitions 4. Assign as mentor/guide in the Agency to co-work with the NI category Others Offtgs Chief of 1. Meritorious 1. Award 50% marks 1. Not Eligible for promotion if the recent performace Department/ Divisions, promotion for PE rating during is NI. However, if candidate has 3 good and above Sector Heads based on open competition performance rating in the past 4 years, he/she shall recommendati 2. Targeted be eligible for next promotion. on from the Leadership Trainings 2. Debar from participating in any open competition MHRC with 3 years of for next one year. 3. Not allow to head the agency/sector.

ROYAL CIVIL SERVICE COMMISSION Page 28 Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement consecutive 4. Provide in-country targeted capacity development performance. program. Other 5. Refer him/her to relevant authority conditions apply. 2. Nominate for the Civil Servants Award for Excellent Service for Bronze - if 6 years of consecutive performance 2. Recognition with Certificate by the RCSC for outstanding performance of 4 consecutive year 3. Award full mark for PE rating during open competitions

ROYAL CIVIL SERVICE COMMISSION Page 29 Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement Specialist ES3 - ES1 (Non rankers who 1. Nominate 1. Targeted specialized Trainings 1. Will be on Waiting list. (Clauses from BCSR on waiting list are in pooled employee for for the Civil apply). forced ranking) Servants 2. Refer him/ her to relevant authority Award for Excellent Service - if 8 years(Bronz e), 12 years (Silver), 15 years(Gold) of consecutive performanc e 2. Recognition with Certificate by the RCSC for outstanding performanc e of 4 consecutive year 3. Consider/re commend for next level promotion. Other conditions as per Promotion

ROYAL CIVIL SERVICE COMMISSION Page 30 Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement rules apply

Forced Pooled P1 specialist position not 1. Meritorious 1. Award 75% marks 1. Not Eligible for promotion if the recent performace Ranked Employees heading division, Others Promotion6 if 3 for PE rating during is NI. However, if candidate has 3 good and above (S5 - P1) years of open competitions performance rating in the past 4 years, he/she shall outstanding 2. Normal be eligible for next promotion. Promotion if 4 years performance. 2. Debar from participating in any open competition 2. Nominate of consecutive for next one year. for the Civil performance** Servants 5. Provide basic capability development opportunities Award for for improvement in performance, Excellent 6. Prohibit to avail any long term training study leave Service upto six months in the succeeding year , (Bronze) if 6 7. Attach the employees under outstanding years of performer in Agency/Department/Division for consecutive Mentoring, coaching and guidance performance 8. Refer him/her to relevant authority 3. Award full 9. Redeploy/Retrain the employee wherever his/her mark for PE skills are necessary rating during open competitions 4. Recognition

6 For promotion all relevant clause on Promotion from BCSR will apply

ROYAL CIVIL SERVICE COMMISSION Page 31 Manageme Position HR Actions Profile nt Level Outstanding Good Need Improvement with Certificate and other awards by the Agency through HRC 5. Assign as mentor/guide in the Agency to co-work with the NI category 1. Status-quo 1. Status-quo 1. Status-quo 1. Status-quo 1. Status-quo

Operational O4 - O1 Driver, Dispatcher, Receptionist, Telephone Operator)

ROYAL CIVIL SERVICE COMMISSION Page 32 6. Appeal Procedure A civil servant, who is not happy with the decision of the RC can appeal to the relevant authority as specified in Section 3.2. However, the appeal submitted shall be supported by sufficient evidence of injustice.

6.1. Appellate authority to review appeal cases on Force Ranking: 6.1.1.The HRC of the respective agency shall be the first level to review and decide the appeal pertaining to FR;

6.1.2. RCSC shall be the highest appellate authority to review the decision rendered by the HRC of the Agency, if there is any appeal against the decision of HRC.

6.2. Appeal period: 6.2.1. Aggrieved civil servant shall appeal to respective HRC within 5 working days from the declaration of final FR ratings;

6.2.2. Any appeal to RCSC against the decision of HRC shall be submitted within 5 working days from decision of HRC.

6.3. Appeal process 6.3.1 HRC of the working agency;

1. The HRC of the working agency should deliberate on the appeal within 5 days from the date of the appeal received, and form Investigation Team , if required.

2. The investigation, if required, shall be conducted within 10 days after the formation of the IT.

3. The IT shall report the findings to the HRC within 2 days.

4. The HRC, after receiving the investigation report, shall render final decision within 5 working days.

5. The HRC shall convey the decision of the HRC.

6.3.2. Royal Civil Service Commission

1. A civil servant aggrieved by the decision of the HRC of the working agency shall appeal to the RCSC within 5 working days.

2. The RCSC shall deliberate on the appeal within 5 days from the date of the appeal received, and form an Investigation Team, if required.

ROYAL CIVIL SERVICE COMMISSION Page 33 3. The investigation, if required, shall be conducted within 10 days after the formation of the IT.

4. The IT shall report the findings to the RCSC within 2 days.

5. The RCSC, after receiving the investigation report, shall render final decision within 5 working days.

6. The RCSC shall convey the decision of the Ministry.

7. The decision of the RCSC shall be final and binding.

ROYAL CIVIL SERVICE COMMISSION Page 34 ROYAL CIVIL SERVICE COMMISSION Page 35 7. PMS Calendar PMS Calendar

Sl. Reference Activities Responsible Fe Ma Ma No Annexure/Form Jul Aug Nov Dec Jan Apr Jun b r y As per Section Supervisor and By Developing IWPs and core 1.1, PE 1 concerned Civil 30t competencies forms (IWP and servants h CC) Supervisor and 2 Submit PE Form to HRD concerned Civil 15th servants Supervisor and As per Section 3 Mid Term Review of IWP and CC concerned Civil 1.1, PE forms 15th - servants (IWP and CC) 30th Supervisor and 4 Submit the revised PE Form to HRD concerned Civil 15th servants Evaluation of IWPS and CCs in PE As per Section 15th - 5 Supervisor Form 3.2 30th As per Section 7, Forced Ranking Exercise for the 6 Ranking Committee Section 10, evaluation of the previous year Section 11 7 Updating of PE Rating in CSIS HRD

8 Performance linked HR actions HRD Section 12

ROYAL CIVIL SERVICE COMMISSION Page 36 8. Annexures

Annexure 1: Core Competencies Sample: Core Competencies Indicators of Indicators of Satisfactory Indicators of Ineffective and Definition Effective Behaviour Behaviour Behaviour  Puts  Help and support  Help direct team agency’s success others to solve customer members but do not ahead of problems and accomplishes cooperate with other department or agency’s goals. teams or departments. business unit 1. Teamwork: success.  Put team's  Willingly accept  Work only to success ahead of accountability for team serve self-interests and personal success. success. meet personal goals  Help to keep  Give credit and  Criticize or team performance recognition to others who disregard other team and morale high have contributed to the members' opinions, even during periods team. strengths or contributions. of intense pressure or heavy workload.  Work to  Communicate  Blame others for resolve conflict openly and respectfully mistakes and/or setbacks among team when addressing problems that negatively affect members by with other team members. team results. showing respect for others' opinions and working toward mutually agreeable solutions.  Coach less  Share information  Do not share experienced team and expertise with others information or expertise members and to help them achieve team with others when needed. motivate others to goals. achieve common goals. 2. Service  Maintain  Treat all customers  Respond to Delivery/orientati helpful and with dignity, respect and a customers defensively or on courteous manner, welcoming attitude. in an unfriendly or even when faced uncaring way. with hostility from customers and/or other stressful conditions.  Regularly  Work to gain a  Fail to consider update clear understanding of the effect of personal actions understanding of problems and situations on customers

ROYAL CIVIL SERVICE COMMISSION Page 37 customers' needs faced by customers.  and quickly adapt solutions, as needed, to changing customer demands.  Anticipate  Listen for and  "Pass the buck" to customers' needs respond to customer others or is not accessible and respond requests or problems in a to respond to customers' appropriately before timely manner. needs. the situation requires action.  Take  Follow through on  Fail to follow extraordinary commitments to customers through on commitments actions to meet despite time pressures or to customers customers' needs obstacles. when required.  Regularly  Meet established  Do not meet exceed established customer standards most established customer customer service of the time. standards. standards. 3. Cost Efficiency:  Achieves all  Achieves results  Do not meet targets set within within set budget but with results within allocated the allocated some compromise on resources resources without quality compromising on the quality  Delivers  Delivers as per the  Do not deliver as more than the set targets set and budget per the set targets and target within same allocated budget allocated allocated resources  Handles and  Handles and uses  Handles and uses uses office resources office resources carefully office resources carelessly optimally  Minimizes waste  Make efforts to  Wastes his Agency and of his Agency and minimizes waste of his nation’s resources nation’s resources Agency and nation’s resources    4. Ethics and Always loyal and Conscientious at all times  Breach the norms and integrity faithful to the Tsa- values of the society. wa-sum  Upholds Fulfill his duties and  Dispute the Royal both explicit and responsibilities reliably Government, Agencies, implicit terms and superiors, peers and understandings he subordinates has with the Royal Government, public,

ROYAL CIVIL SERVICE COMMISSION Page 38 family, agency, superiors, peers, subordinates and clients  Demonstrate  Act in a way that is  Speak and act in a way s exemplary ethical and that deserves that is not in conformity behavior and actions and retains confidence of to the civil service values at all times all those with whom he of integrity, deals; professionalism, honesty, impartiality, accountability, loyalty, and leadership.  Deal with the public  Intend all his thoughts and  Harbour personal and their affairs actions at benefiting the propaganda while fairly, efficiently, system, society and discharging official duty; promptly, effectively country; and sensitively  Maintain self-  Displays self-  Intentionally delay discipline and self- discipline and self-respect a service or ignore a client respect at all times when necessary 5. Above and  Excellent  Shows initiatives to  Do not participate beyond the call of service delivered in participants in n any extra assignments duty (Additional addition to normal services/assignment task): assigned beyond normal assigned responsibility responsibility  Ready and  Performs  Do not willing to take additional responsibility perform/participate when additional when assigned additional responsibilities responsibility by are assigned one’s own initiatives  Involves in  Shows willingness  Complain about different learning to learn and take additional his job, and remain activities learning apathetic and unproductive  Volunteers to  Willingness to volunteer  Do not volunteer serve the nation in to serve the nation in times to serve the nation in times of need of need times of need

ROYAL CIVIL SERVICE COMMISSION Page 39 Annexure 2: Appraisal Form

Section A: Employee Details

APPRAISAL PERIOD: EMPLOYEE ID No. NAME OF THE EMPLOYEE: POSITION TITLE: POSITION LEVEL: DIVISION: DEPARTMENT/AGENCY:

SECTION B: Individual Workplan (IWP: 70%)

Targets Target Employee’s Final Score by Division Activities Achieved Feedback/c Supervisor Output specified omment/ju by stification individual Out Goo Ne stan d=2 ed ding im =3 pr ov e m en t= 1 1. 1.1…………..

1.2…………..

2. 2.1…………… 2.2……………

ROYAL CIVIL SERVICE COMMISSION Page 40 Final Score B. Total/No. of activities =…………

Appraisee’s Signature: Appraiseer’s Signature: Date: Date:

SECTION C: Core Competencies (30%)

Core Supervisor to Final Score by Competency Definition explain the Supervisor behavior Good=2 Need displayed by Outstanding=3 Improvement= individual 1

Final Score C: (Total/ No. ofCC)…………………

SECTION D: Final Performance Evaluation Score [70:30 (IWP:CC)]

Particular Score received % Allocated Final Score Appraiser’ Head of s Agency’s Comment, Comment if any if any.

B. IWP Score 70%

ROYAL CIVIL SERVICE COMMISSION Page 41 C. CC Score 30%

Appraisee’s Signature: Date

Appraiseer’s Signature: Date

Annexure 3: Cost Analysis for Need Improvement Category Training period = one week

Approximate budget = 0.25M/week

Allocated budget for FY15-18 = 3520M % No. of CS (total Cost Implication Need Improvement % 26,000) (million) 1 260 65

2 520 130

3 780 195

4 1040 260

5 1300 325

6 1560 390

7 1820 455

8 2080 520

9 2340 585

10 2600 650

11 2860 715

ROYAL CIVIL SERVICE COMMISSION Page 42 12 3120 780

13 3380 845

14 3640 910

15 3900 975

Annexure4:Sample Individual Work Plans 1. HR Officer

Employee Name Employee ID Position title: HR Officer Position level Division Department Division Output Activities Target Values (Excellent= (Good=2 (Need 3) ) Improvement=1) Annual HR plans Conduct HR requirements July 2015 August September 2015 formulated Assessment 2015 Develop human resource development strategy Develop human resource deployment strategy Annual HR plan Recruit additional staff as Implemented per approved staffing pattern Conduct Capacity development as per HRD plan Deploy staff based on HR deployment plan PMS implemented Collect IWPs Compile PE reports and process HR actions Polices formulated Study references & other

ROYAL CIVIL SERVICE COMMISSION Page 43 readings & discuss on the new policies Draft & review policies as per the Policy Protocol& make improvements Review & screen policies with GNH screening tool & present the results to the management & GNH Commission AWPs/APAs Analyse FYP, study budget prepared call notification & resource availability for the new FY Coordinate & prepare AWPs with clear targets & indicators, & update the PlaMS Coordinate, discuss & synergize objectives, actions, indicators & targets& finalize APA Implementation of Collect & review AWP/ APAs reports/data on the monitored and delivery of targets & fund evaluated utilization Hold meetings, resolve issues hampering AWPs/APAs delivery Update progress in the PLaMS& maintain APA appraisal reports

ROYAL CIVIL SERVICE COMMISSION Page 44 2. Legal Officer

Employee Name: Employee ID: Position title: Legal Officer Position level Division Agency Division Output Activities Target Values (Excellent= (Good=2 (Need 3) ) Improvement=1) 1. Legal services 1. Advise agencies on the rendered. requirement of legislation for implementing agency’s policies/mandate. 2. Prosecution. 3. Provide legal support to civil servant charged in respect of decisions taken in good faith or intent pursuant to official duties. 4. Administer and enforce compliance of CSAB 7and BCSR.

7 Civil Service Act of Bhutan

ROYAL CIVIL SERVICE COMMISSION Page 45 5. Review RAA 8Audit Report and HR Audit report. Recommend appropriate action as per CSAB and BCSR. 6. Exercise general disciplinary control on civil servants. 2. Awareness and 1. Review HR decisions for education on laws. developing synergies with relevant laws within agency. 2. Disseminate information on laws to agencies to create legal awareness within agency on change of laws.

3. Internal Auditor

Employee Name Employee ID Position title: Internal Auditor Position level Division Department Division Output Activities Target Values (Excellent) (Good) (Need Improvement) Assess Organization Annual January Feb 28/29 March 30 AWP/APA and identify target 30 Annual internal areas Audit plan Undertake consultative Feb 30 March 30 Later than March formulated Meeting 30 Draft and seek endorsement May 30 June 30 July 30 of Annual Audit Work Plan Annual internal Undertake Internal Audit as 90-100% 80-90% Less than 80% Audit plan per the Annual Audit Plan implemented Conduct system wide Risk 2 1 0 assessment and awareness Report on the Audit Review and prepare report on 2 1 0 Follow-up Action Follow-up action by the with necessary concerned recommendation/ad divisions/individuals visory notes

8 Royal Audit Authority

ROYAL CIVIL SERVICE COMMISSION Page 46 submitted to the Senior Management/Secret ary/Head of Agency

4. Procurement Officer

Employee Name Employee ID Position title Position level Division Department Division Output Activities Target Values (Excellent=3) (Good=2 (Need ) Improvement=1) Quality goods and Annual procurement plan 1st mth of 2nd beyond services procured prepared financial yr Month Market assessment and Bidding documents prepares Procurement of goods and services in Compliance to procurement rules & regulations Materials/properties Economized and adequate effectively Managed supply of materials ensured Proper inventory management and record maintained

ROYAL CIVIL SERVICE COMMISSION Page 47 5.Finance/Accounts Officer

Employee Name Employee ID Position title: Accounts/Finance Officer Position level Division Department Division Output Activities Target Values (Need (Excellent=3) (Good=2) Improvement=1) Annual Budget Coordinate the preparation of February 28 March Later Prepared and budget proposal as per budget 31 Submitted as per call notification Agency AWP/APA Prepare budget proposal for the FY 2015-16 Attend budget discussion and get it finalized. Annual Budget Disseminate/ brief on the Implementation Approved Budget for FY 2015-16 monitored and and Budget Notification to the reported sector heads, Gewogs concerned. Budget utilization forecast are properly done on quarterly basis as per the utilization module in line with the approved budget. Get the budget releases on time Ensure daily transaction reports are generated monthly and cross checked. Ensure monthly expenditure reports are provided to the concerned authorities Financial discipline Manage team of Accountants for ensured smooth & timely execution of various accounting processes Guide and supervise that the expenditure are made appropriately within the budget and used judiciously. Check and see all payments are made legitimately. Ensure all transactions are properly carried out through systems (PEMS)

ROYAL CIVIL SERVICE COMMISSION Page 48 Ensure all receipts are acknowledged in accordance with FRR 2001 and other rules and regulations. Monitor the deposits such as revenue and non-revenues are deposited timely and adequately within the time frame and the reports submitted on time. Check that the goods are delivered on time by suppliers. If not impose penalties as per the financial rules and regulations. Monitor the financial and physical progress and funds judiciously used for planned activities Validate and ensures that the salaries are disbursed correctly and timey by the accountants. Advice the dealing project/workshop coordinator on the financial rules and procedures prior to carrying out of the activities and avoid audit observations later Ensure adjustment of advances (PA/PWA) before June closing Assisting with annual audits

ROYAL CIVIL SERVICE COMMISSION Page 49 6. Administrative Officer:

Employee Name

Employee ID Position Title:Administrative Officer

Position level Division

Department Division Output Activities Target Values

(Excellent) (Good) (Need Improvement) Admin support Provide office amenities when Two days 1 week More than 1 services provided required by employees [based week efficiently and on agency’s TAT/SOPs effectively Maintain Office working environment conducive Office Conduct Customer survey July August Later infrastructure and Annually property maintained and managed

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