DAOD 5006-1, Performance Management Program for DND Employees


1. Introduction

Date of Issue: 2005-04-29

Date of Last Modification: 2015-03-06

Application: This DAOD is a directive that applies to employees of the Department of National Defence (DND employees) and an order that applies to officers and non-commissioned members of the Canadian Armed Forces (CAF members) who act as managers or supervisors of DND employees.

This DAOD does not apply to the following:

  • executive group (EX);
  • employees appointed to term positions whose term is less than three months;
  • seasonal employees;
  • students;
  • contractors; and
  • casual workers.

Supersession: CPAO 9.18, Civilian Performance Management and Review

Approval Authority: Assistant Deputy Minister (Human Resources – Civilian) (ADM(HR-Civ))

Enquiries: HR Policies and Programs, Performance Management and Development Program Unit

2. Definitions

manager (gestionnaire)

An employee who is accountable for exercising delegated authority over human resources (i.e., staffing and/or labour relations delegation). In addition, a manager ensures that business results are delivered and that overall management functions – including recruiting, resourcing and retaining staff – are carried out. (Directive on Performance Management, Treasury Board)

Note – For purposes of this DAOD, “employee” in this definition includes a CAF member.

performance management (gestion du rendement)

Helps employees understand their individual contribution to the business objectives of the government. It is a comprehensive approach that includes setting commitments, performance objectives and expected behaviours, assessing results, and providing continuous feedback and coaching. An effective performance management program aligns individual work with departmental and government-wide strategic and operational goals where strong performance is recognized and unsatisfactory performance is addressed promptly. (Directive on Performance Management, Treasury Board)

supervisor (superviseur)

An employee who has the responsibility for day-to-day supervision of other employees, e.g., assign work, set priorities, assess performance, and approve or recommend approval of leave. (Directive on Performance Management, Treasury Board)

Note – For purposes of this DAOD, “employee” in this definition includes a CAF member.

3. Overview

Background

3.1 This DAOD supports the Treasury Board (TB) Directive on Performance Management that:

  1. sets out the responsibilities related to the administration of a consistent, equitable and rigorous approach to performance management throughout the government; and
  2. reinforces the importance for all employees of demonstrating the knowledge, skills, competencies, behaviours and commitment required in the performance of their duties in service to Canadians.

Purpose

3.2 The purpose of this DAOD is to set out the instructions needed to implement DAOD 5006-0, Civilian Performance Planning and Review, in order to emphasize the importance placed by managers, supervisors, DND employees and their organizations on sustaining a culture of high performance within the DND.

Objectives

3.3 The objectives of this DAOD are to:

  1. foster a healthy workplace that respects the values of the public service and the DND, and promotes leadership, determination and the achievement of results;
  2. ensure that DND employees are productive and have the knowledge, skills, competencies, behaviours and commitment required to perform their duties;
  3. ensure that individual tasks coincide with organizational objectives and that excellence is recognized in performance to achieve these objectives;
  4. ensure that measures are taken promptly in the case of unsatisfactory performance;
  5. ensure that managers feel they have adequate support when exercising the skills they need to manage difficult performance cases;
  6. ensure that internal performance evaluation procedures are fair, equitable and applied consistently across the DND; andensure that DND employee performance records are kept in compliance with TB policies and directives on recordkeeping and information management.

4. Operating Principles

Background

4.1 The DND and the CAF are committed to establishing ongoing feedback and coaching, along with the development and recognition of DND employees by managers and supervisors, including official and unofficial recognition of their achievements.

4.2 In order to ensure the consistent application of the performance management of DND employees, all managers and supervisors must:

  1. take mandatory performance management training;
  2. consistently use performance agreement forms and other standardized tools created for DND employees; and
  3. use a consistent and systematic approach to the planning of learning that is integrated with performance management forms and procedures.

4.3 The framework for the Performance Management Program for DND employees provides that:

  1. a talent management plan (see paragraphs 6.19 and 6.20) may be developed for any DND employee who exceeds performance expectations;
  2. an action plan (see paragraphs 6.21 to 6.23) must be developed for any DND employee whose performance is unsatisfactory;
  3. there must be active monitoring of any DND employee on probation (see paragraphs 7.10 to 7.12);
  4. there must be fair and consistent use of the overall performance rating (see paragraphs 6.17 and 6.18); and
  5. reports on compliance, performance expectations and results must be standardized across the DND and the Government of Canada.

4.4 Performance management review panels must be created to monitor the application of this DAOD and to analyze performance evaluation results.

5. General

Performance Management Process for DND Employees

5.1 Performance management refers to the ongoing process of planning, development, coaching, mentoring, feedback and performance evaluation for each DND employee. The Performance Management Program strives to standardize reports on compliance, performance expectations and results of the performance management process within the DND, in compliance with TB policies and directives, in order that the reports are comparable, fair and equitable across the core public administration.

Expectations Pertaining to Managers, Supervisors and DND Employees

5.2 Managers and supervisors must strive to achieve desired business outcomes, including those relating to the performance management of DND employees and the performance of general management duties.

5.3 DND employees must:

  1. understand the mission and objectives of their organization as well as the fact that performance management is a partnership and shared responsibility between the manager or supervisor and the DND employee;
  2. strive for excellence in the performance of their duties and fulfillment of their employee engagement by demonstrating the knowledge, skills and competencies required to perform their duties as well as complying with the DND and CF Code of Values and Ethics; and
  3. participate in the performance management process under the Performance Management Program in order to understand their related roles and responsibilities.

5.4 The performance of DND employees must be actively monitored. Mandatory performance management reviews, based on commitments made in the performance agreement, are conducted mid-year and at the end-of-year. Managers and supervisors must ensure that DND employees understand the potential consequences of unsatisfactory performance.

5.5 If there are questions or problems, managers and supervisors may obtain advice and assistance from human resources officers, who act as front-line resource persons and who are able to put them in contact with labour-relations officers and other human resources professionals as needed, particularly in cases that:

  1. involve challenging performance management;
  2. require an action plan; or
  3. necessitate the termination of employment during probation.

Mandatory Training for Managers and Supervisors

5.6 Managers and supervisors must successfully complete mandatory performance management training as a prerequisite:

  1. to evaluating the performance of DND employees;
  2. for obtaining a human resources subdelegation; and
  3. for retaining the subdelegation.

5.7 In respect of managers and supervisors, the Director General Civilian Human Resources Management Operations (DGCHRMO) is responsible for:

  1. coordinating their access to mandatory performance management training;
  2. providing them with consultative services for performance management and the preparation of Learning and Development Plans (LDPs) (formerly known as “Personal Learning Plans” or “PLPs”); and
  3. providing them with guidance and assistance as required.

5.8 A level 1 (L1) advisor must ensure that the managers and supervisors working in their organization have:

  1. sufficient information about the corporate business planning process to be able to effectively set work objectives for their direct subordinates;
  2. received mandatory performance management training and have the required support to effectively manage the performance of their DND employees; and
  3. the required competencies to manage a diverse workforce and provide support to DND employees, including feedback, coaching and mentoring, to ensure that DND employees are able to fulfill the mission of their organization.

5.9 To properly apply the Performance Management Program, managers and supervisors must understand and comply with all the performance management requirements set out in the collective agreements of DND employees.

6. Performance Agreements

Annual Performance Agreement

6.1 In accordance with the Directive on Performance Management, a performance agreement, which includes work objectives, competencies (or expected behaviours) and an LDP, must be made for each DND employee no later than April 1 of each year by the manager or supervisor of the DND employee.

Evaluation Period

6.2 The performance agreement must specify the evaluation period. The period normally corresponds to a fiscal year, i.e. April 1 to March 31 of the following year, but it may cover a shorter time, e.g. if a DND employee is on extended sick leave, in language training, or joined the work team during the fiscal year.

Performance Expectations and Evaluation Criteria

6.3 When drawing up the performance agreement, it is important that the DND employee understands the performance expectations related to their work and the evaluation criteria used to assess their performance.

Forms and Tools

6.4 The manager or supervisor is required to use the performance agreement forms and other standardized tools developed for DND employees in order to prepare the various parts of the performance agreement.

6.5 Managers and supervisors must consult the following TB documents, along with other performance management support tools, to obtain more information on preparing performance agreements:

  1. Directive on Performance Management;
  2. Performance Management: A Shared Commitment to Sustaining a Culture of High Performance – Manager’s and Supervisor’s Guide;
  3. Frequently Asked Questions on the Performance Management Program for Employees; and
  4. Instructions for Completing the Public Service Performance Agreement.

Work Objectives

6.6 The section of the performance agreement on work objectives describes the results that the DND employee is expected to achieve at work over the coming fiscal year. The related performance indicators or standards are used as measurement criteria to assess whether the work objectives are being or have been achieved. The DND employee is responsible for understanding and doing what is necessary to achieve the work objectives.

Competencies

6.7 The performance agreement establishes the following four core public service competencies that all DND employees must demonstrate:

  1. showing integrity and respect;
  2. thinking things through;
  3. working effectively with others; and
  4. showing initiative and being action-oriented.

6.8 Managers and supervisors may, if necessary, also include additional functional or technical competencies related to the position of a DND employee.

Learning and Development Plan

6.9 The purpose of the LDP, which is an integral part of the performance agreement for each DND employee, is to help the DND employee meet the expectations set out in the performance agreement, excel in their duties, and advance their career. Learning objectives and related formal and informal learning and development activities, such as mentoring, coaching and on-line training, must be included in the LPD in the following three areas:

  1. mandatory job-specific learning, i.e. training or courses that must be completed:
  2. given the position or delegated job authorities; or
  3. periodically to maintain occupational certification or professional standards;
  4. specialized job-specific learning, i.e. training or learning that allows the DND employee to acquire the specific competencies and knowledge needed to master the tasks related to their position; and
  5. career development learning, i.e. learning and development opportunities likely to help the DND employee advance their career.

6.10 A DND employee must discuss with their manager or supervisor any learning requirements specific to their situation and relevant options for meeting the learning objectives (see DAOD 5031-50, Civilian Continuous Learning and Professional Development). In collaboration with their manager or supervisor, a DND employee must also develop their annual LDP based on the performance expectations for the position, competency requirements and the career aspirations of the DND employee, while taking into account the budget and time dedicated to achieving the LDP.

6.11 Required training provided by the Canada School of Public Service must also be incorporated into the LDP.

6.12 For reference purposes, a DND employee should retain all the results given by a learning provider with regard to required training, mandatory training and the certifications and competencies established in the performance agreement.

6.13 To ensure that LDP learning has real usefulness in the work of a DND employee, the DND employee must seek out opportunities to apply their new knowledge and competencies once learning activities have been completed.

6.14 The LDP must be updated by the manager or supervisor and DND employee throughout the evaluation period to ensure that it reflects the results of the completed learning activities for required occupational certifications or professional standards, required training under TB policies and competencies identified in the performance agreement of the DND employee. At the end of the period, the LPD requirements of a unit must be incorporated into the human resources plans of the unit and its L1 advisor organization.

6.15 The manager or supervisor must ensure that investments in time and money for learning activities are prioritized to first support the performance objectives for current work, followed by the professional development interests of the DND employee.

6.16 In conjunction with L1 advisor organizations, the DGCHRMO must ensure that all completed training activities are recorded in the Human Resources Management System (see DAOD 5031-50).

Overall Performance Rating

6.17 At the end of the evaluation period, the manager or supervisor must:

  1. assess the extent to which the DND employee has met the performance expectations set out in the performance agreement; and
  2. assign an overall performance rating to the DND employee.

6.18 A common evaluation scale is used government-wide to facilitate the evaluation and monitoring of DND employee performance. The performance rating is an integral part of the performance agreement.

Talent Management Plan

6.19 Consideration should be given to developing a talent management plan (section G of the Public Service Performance Agreement form) for DND employees who exceed performance expectations. The plan:

  1. must document learning and assignment opportunities that allow the DND employee to develop their potential for career advancement and take on more responsibilities; and
  2. may be drawn up at any time during the year and is then integrated into the performance agreement.

6.20 It is also important to officially and unofficially recognize the efforts of such DND employees on a regular basis throughout the evaluation period.

Action Plan

6.21 An action plan (section F of the Public Service Performance Agreement form):

  1. must be developed to help a DND employee who is having difficulty meeting their performance expectations;
  2. must describe the specific steps and measures that will allow the DND employee to improve their performance, e.g. coaching, closer monitoring of their work by the manager or supervisor, taking specific courses or following a set of guidelines; and
  3. may be drawn up at any time during the year and is then integrated into the performance agreement.

6.22 If the performance of the DND employee does not improve by a specified deadline, consequences may include withholding their next scheduled pay increment, demotion or termination of employment.

6.23 The DGCHRMO provides oversight of issues relating to employee performance that require an action plan and offers advice in this area.

7. Obligations During the Evaluation Period

Performance Agreement

7.1 No later than April 1 of each year, a meeting must take place between each DND employee and their manager or supervisor so that they can jointly establish the annual performance agreement, setting specific performance expectations for the DND employee and establishing work objectives that reflect the objectives set out in the business plan of the unit or L1 advisor organization. The performance agreement serves as the basis for the annual written performance evaluation.

Ongoing Obligations

7.2 Throughout the evaluation period, the manager or supervisor must informally discuss with a DND employee their progress in order for the DND employee to know if they are on the right track with regard to performance expectations, with a view to achieving their work objectives. Individual performance must be enhanced through fair, constructive and respectful feedback, and timely coaching and mentoring.

7.3 The manager or supervisor must ensure that a DND employee has the tools and training needed to meet the requirements in terms of the knowledge, skills, competencies, behaviours and commitment to perform their duties.

7.4 When a learning activity is planned, the manager or supervisor must meet with the DND employee prior to the activity to review the learning objectives to see how they are related to job performance. Once the training is completed, the manager or supervisor meets again with the DND employee to emphasize the application of the new knowledge and competencies on the job and assess the impact of the training on the DND employee and on the contribution of the DND employee to the workplace.

7.5 Managers and supervisors should informally or formally recognize the achievements and contributions of their DND employees.

7.6 The manager or supervisor must identify unsatisfactory DND employee performance and promptly take appropriate action, as well as identify relevant measures and objectives to help the DND employee improve their performance by means of an action plan.

Mid-Year Review

7.7 A mid-year review for each DND employee must take place no later than October 1 and consist of an informal discussion in order for the manager or supervisor to:

  1. assess progress and achievements of the DND employee with regard to the established performance expectations; and
  2. provide feedback and, if necessary, modify work objectives, competencies and the LDP.

Performance Evaluation and Overall Performance Rating

7.8 Toward the end of the evaluation period, the manager or supervisor must provide an official, written performance evaluation after determining which results were achieved and the manner in which this was done, along with an overall performance rating (see paragraphs 6.17 and 6.18).

7.9 The second reviewer is the person at least one level higher than the manager or supervisor who completed the performance agreement or evaluation. The second reviewer must verify, as appropriate, that:

  1. the performance management process was fair; and
  2. the process was applied in a uniform manner in compliance with this DAOD.

DND Employees on Probation

7.10 A DND employee on probation must establish a performance agreement with their manager or supervisor at the start of the period. A DND employee on probation must also have the benefit of a mid-period probation review to:

a. discuss the progress made toward successful completion of the probation; and

b. modify, if necessary, their LDP.

7.11 At least one month prior to the end of the probationary period, the DND employee must receive:

  1. an end-of-probationary period evaluation;
  2. a performance rating; and
  3. either a certificate indicating the successful completion of probation or a notice of termination of employment.

7.12 The DGCHRMO provides oversight and advice on matters pertaining to the performance of DND employees on probation, particularly with respect to DND employees requiring an action plan.

8. Performance Management Review Panels

General

8.1 Every L1 advisor must establish one or more performance management review panels for their organization. DND must establish such a review panel for DND as a whole. The key role of the panels is to examine performance evaluations and ensure that the Directive on Performance Management is being applied and its requirements are being followed in a consistent and fair manner.

Activities

8.2 Specifically, performance management review panels must:

  1. track and monitor the performance agreement completion rate for the evaluation period;
  2. determine whether operational priorities are reflected in the performance agreements;
  3. check that mid-year reviews are performed for each DND employee;
  4. examine the records of DND employees whose performance exceeded expectations and ensure that follow-ups were done;
  5. examine the records of DND employees who did not meet performance expectations and ensure that follow-up was done;
  6. actively monitor probationary periods; and
  7. provide advice and recommendations to managers and supervisors about challenging cases and performance problems.

Note – The responsibilities of a performance management review panel may be added to the mandate of an existing L1 advisor committee. For more information about the panels, see the Performance Management Review Panels and DND – Roles and Responsibilities of Performance Management Review Panels.

9. Consequences

Consequences of Non-Compliance

9.1 Non-compliance with this DAOD may have consequences for both the DND and the CAF as institutions, and for DND employees and CAF members as individuals. Suspected non-compliance will be investigated. The nature and severity of the consequences resulting from actual non-compliance will be commensurate with the circumstances of the non-compliance.

Note – In respect of the compliance of DND employees, see the Treasury Board Framework for the Management of Compliance for additional information.

10. Responsibilities

Responsibility Table

10.1 The following table identifies the responsibilities associated with this DAOD:

The … is or are responsible for …
ADM(HR-Civ)
  • ensuring the implementation of the Performance Management Program, including the following minimum requirements:
    • the drawing up, in writing, of performance agreements that include LDPs, for all DND employees;
    • the use of the common evaluation scale; and
    • the creation of a system to formally and informally recognize performance excellence.
L1 advisors
  • ensuring that the implementation and coordination of Performance Management Program activities and procedures are carried out in compliance with this DAOD;
  • ensuring that managers and supervisors are assessed on their performance relating to the management of DND employees and on their compliance with this DAOD; and
  • setting up L1 advisor performance management review panels as an integral part of the Performance Management Program.
Director General – Workforce Development (DGWD)
  • providing advice, interpretation, guidelines and tools to help implement this DAOD;
  • ensuring that the performance records of DND employees are kept in a manner that complies with the following TB documents:
    • Policy Framework for Information and Technology;
    • Policy on Information Management;
    • Directive on Information Management Roles and Responsibilities; and
    • Directive on Recordkeeping;
  • maintaining information collecting systems that allow the DND to generate internal reports and meet TB information requirements;
  • maintaining a register of the distribution of overall performance ratings of DND employees;
  • monitoring to ensure that managers and supervisors comply with this DAOD and the relevant standards, take corrective action as needed and report on these actions as part of internal review and evaluation processes;
  • conducting an annual internal evaluation of the effectiveness of the Performance Management Program; and
  • notifying ADM(HR Civ) of any non-compliance with this DAOD.
DGCHRMO
  • consulting the DGWD in order to align operational performance management objectives with learning and professional development services offered through the Civilian Human Resources National Service Centres and the Learning and Career Centres; and
  • ensuring, through the service centres, that talent management and action plans are sent to the performance management review panels and are processed in a timely manner.
L1 advisor performance management review panels
  • analyzing the performance ratings to help the DND Deputy Minister make strategic decisions on workforce management;
  • assessing the effectiveness of the Performance Management Program, particularly the extent to which managers and supervisors are fulfilling their performance management responsibilities; and
  • operating in a manner compatible with the way in which authorities related to business planning and other human resource management functions are delegated.
managers and supervisors
  • tracking the completion rate of performance agreements and LDPs.
DND employees
  • clearly understanding and striving to achieve their work objectives; and
  • assuming responsibility for their own professional and leadership development, and managing their careers.

11. References

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