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Performance ManagementLead 2012

Work Plan Development

Performance Management Cycle

Performance Evaluation Process

Objectives

1. Why we do Performance Management

2. Performance Management as a cycle Position Description as starting point Key Components of the Position Description and Work Plan Employee Review Processes Measured by the Work Plan

Interim Review, Annual Performance Evaluation

3. Developing a Work Plan using Measurable Goals Functional Competencies and SMART Goals Entering SMART Goals in HRMS Behavioral Competency Goals

4. Preparing for a Performance Evaluation Comments and Ratings Using HRMS

5. Final Notes 2

Mandates and Guides – Performance Management

NC Law (G.S. 126-7)

The Performance Management System shall ensure that all employees:

(1) are aware of what is expected of them,

(Write a clear and concise work plan)

(2) are provided with continuous feedback about their performance,

(Monitor and Coach – Interaction Management)

(3) are provided with opportunities for education, training and development, and

(Encourage improved performance and growth)

(4) are rewarded in a fair and equitable manner.

(Consistently rate all employees)

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CAREERDEVELOPMENT

PLAN

Advanced

SALARYDETERMINATION

POSITIONAND

INCUMBENT

POSITION &REQUIRED

COMPETENCIES

INCUMBENT

Contributing

JourneyCOMPETENCY ASSESSMENT

PERFORMANCEMANAGEMENT

• OUTSTANDING• VERY GOOD• GOOD• BELOW GOOD• UNSATISFACTOR

Y

• CONTRIBUTING• JOURNEY• ADVANCED

From the Office of State Personnel; Form and Process Flowchart

Performance Management as a Cycle Maximize Planning Time

Of position description and work plan Minimize emphasis on “data entry” of on-line forms Perfect timing to take focus off “paperwork” of

performance management Maximize emphasis on communication and feedback

Planning (Development of Work plan) 20% Managing (Interim Review &

Interaction Management) 60%

Appraising (Completion of Appraisal) 20%5

Position & Employee Life Cycle

Position Description Job Duties + Requirements (including ADA)

-Basis of career band title and level-Basis of salary range and starting salary-Basis of performance expectations

Work Plan (submit within 30 days of hire) Performance Expectations

-Basis of probationary review (for new hires, six months after hire)-Basis of interim review (for permanent employees, mid-cycle)-Basis of Performance Evaluation and Ratings

Performance Evaluation (annually in March)-Evaluation cycle: 3/1 – 2/28, for employees in permanent

status by November 30 6

Performance Management: Work Plans Work plans:

Are based on position descriptions Require established methods of evaluation Outline to an employee what they will be measured

on for that performance year Can be updated year after year May result from a collaborative effort between an

employee and their manager

Work plans should have GOALS!7

Performance Management: Work Plans Functional Competencies – “Building blocks” of career

band title and level; standardized required components of the position.

Job Duties – Originate in Position Description. Task examples of what the employee must do vs. SMART goals stating how you expect specific tasks to be done during the performance cycle

Priority Order – Established by job description, ranking of functional competencies from most to least important to business need

SMART Goals- Specific, Measurable, Achievable, Results-Oriented, and Time-bound – adjectives that describe how to write performance goals for employee evaluation

Behavioral Competencies – valued attitudes and behaviors that support functional competencies and assist in identifying reasons for performance success and difficulties

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Work Plan –Methods of Evaluation Checklist

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Supervisory Observation Sampling and Statistics

Spot Checks Peer Feedback

Third Party Feedback Project Results

Self Report

Employee submits his or her own assessment of annual work accomplishments to supervisor prior to supervisor entering comments on the evaluation in HRMS.

In some departments, this is expected practice.

It is not required as a method

Work Plan Timeline

Develop when – New position is created Position is modified and reallocated to new career band

Review and revise when – Position description is modified and job duties change Position becomes vacant At beginning of performance cycle to incorporate new goals

When developed, reviewed or revised – Discuss with employee Submit to employee for certification Submit to HR within 30 days of start date or effective date

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Performance Management: Probationary and Interim Reviews

Measured by Work Plan:

Probationary Review for newly hired employees Determination of extended probation or Move to Permanent Status

Interim Review is annual for all employees Interim Review typically occurs in September Conducted by supervisor “honor system” – HR does

not usually collect Semi-annual interim performance counseling Structured communication/feedback process for

supervisors and employees

UNCC Legal Policy Statement # 54

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Performance Management: Probationary Review Employees new to state universities and state

government serve a probationary period “Essential extension” of selection process for

Assisting employee in meeting expectations in Work Plan Ending employment in cases of unsatisfactory performance

3- 9 months, 6 months is standard. < 6 requires exception > 6 is considered “extension” based on probationary review Extension requires Improvement Plan At end of 9 months, employee automatically receives

permanent status if manager takes no action and submits no review

State Personnel Manuel, Section 312

Performance Management: Probationary Review Supervisor’s Responsibility:

Help employee succeed. Terminate employee when competencies do not match

business needs Emphasize importance of Work Plan SMART goals Respond to HR prompts to complete review Document “meets” or “conditional”

Conditional will extend probation Conditional status will be referred to Employee Relations

“Meets” or above – Recommends for Permanent Status Validate or revise Initial Competency Assessment

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Performance Management: Annual Evaluation Measured by Work Plan Annual cycle is March 1 – February 28 Mandatory for all employees in permanent status by

December 1 of the cycle Submission deadline is April 30 Two-way conversation is important

Rating scale: 5- Outstanding 4- Very Good 3- Good, meets expectations 2- Below Good 1- Unsatisfactory State Personnel Manuel, Section 3

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Performance Management: Annual Career Development Plans An Annual Career Development Plan is a

component of the Performance Evaluation

An action plan for enhancing an employee’s level of performance in order to excel in the current job or prepare for new responsibilities

A list of opportunities for career development activities to enhance job performance

State Personnel Manuel, Section 10

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Performance Management: Improvement Plan

Corrective action plan – A short-term action plan that is initiated when an employee’s performance fails to meet expectations. Its purpose is to achieve an improvement in performance.

Complete to assist employee who is not meeting expectations (rated in any area “below good” - 2)

A plan may be created any time during the performance cycle, but is typically designed in response to a probationary, interim, or annual review

Supervisor outlines a specific plan to measure employee improvement in the weak area(s)

Supervisor and employee agree to the conditionsState Personnel Manuel, Section 10 16

Performance Evaluation ≠ Competency Assessment

Red Flag- watch out for confusion For Managers coming into the state university system from pay-for-

performance companies, the role of the Performance Evaluation

is difficult to distinguish from the role of the competency

assessment.

The Competency Assessment is a tool for validating or adjusting

pay based on demonstration or development of required functional

competencies, as noted in the Compensation session this morning.

The following table clarifies distinct purposes of each process:17

Performance Management vs. Competency Assessment

Performance Management (Supervisor’s Expectations)

Competency Assessment (State of NC Compensation Market Standards)

Performance Management begins with the mandatory Work Plan and communicates expectations on which the evaluation will occur

Initial Competency Assessment identifies whether candidate meets required competencies and is selected as “most qualified”

Performance Management includes a mandatory annual performance evaluation but currently no specific rating is tied to a salary increase

Initial Competency Assessment may justify starting salary lower or higher than market rate. After initial assessment, there is no annual requirement

Performance ratings of “below good” may result in a smaller or no increase only when the General Assembly legislates an across-the-board increase

Subsequent Competency Assessments document competency development and may justify career progression increase if new competencies are required for new duties

Performance Management s an on-going process of communication and feedback throughout the evaluation cycle

A Competency Assessment should be reviewed every 3 years to determine whether demonstrated competencies are meeting new competency requirements

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Performance Management – Developing Goals in the Work Plan

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Ongoing Feedback

& Coaching

GoalSetting

(April / May)

InterimReview

(September)

Year-EndReview(March)

Work Plan and S.M.A.R.T. Goals

Specific

Measurable

Aligned

Realistic

Time-bound

When setting goals, the functional competencies act as the main guide and reference. Goals should be set that not only address what is expected, but also how it will be achieved. For example, the "what" covers quality or quantity expected, deadlines to be met, cost to deliver, etc. The "how" refers to the behavior demonstrated to achieve outcomes, for example, focus on customer service. Goals are written at the “good” level. 20

S.M.A.R.T. Goals in Detail

Specific Does the goal refer to a specific area of performance? Is there only one, very clear picture of what success looks like when this goal is met?

Measurable Can the goal be objectively measured? Can the goal be evaluated? Can the goal be managed?

Aligned Is the goal important and will it have a positive impact on results? Is the goal aligned with other university, departmental, team and individual goals?

Realistic Is there a 50 to 66% chance the goal can be achieved? Can the goal be achieved given available resources? Are the competencies required to achieve the goal available?

Time-bound By when does the goal need to be achieved? What are the incremental measurement points? How does this goal impact other departments and other people? 21

Sample Functional Competency Goals in Work Plan

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Sample Functional Competency Goals in Work Plan

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Sample Functional Competency Goals in Work Plan

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Behavioral Competencies in the Work Plan

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Sample Behavioral SMART Goals in the Work Plan

The total number of functional and behavioral competencies listed in a work plan should not exceed 12. 26

Ongoing Activity: Observe, Note, DiscussAfter work plan is developed or revised,

document work habits or behaviors you notice effectively contributing to goal achievement

Record and mention to employee any work habits or behaviors you notice not effectively contributing to goal achievement

For new employee, a more formal discussion at 3 months is recommended

Don’t wait until the Interim Review memo from HR to talk about performance goals!

Preparation for End of Cycle: Performance Evaluation Prepare – gather your documentation of performance

Ask your employee to prepare: If desired, supervisors may encourage employees to provide self-evaluations to which they may then respond Ask your employees to also contribute to ideas for their

training in the next FY. Ask your employees to think about their career growth

Consider methods of evaluation. What other feedback have you received over the year regarding this employee?

Schedule a formal appointment for the employee to discuss the performance results either before or after you submit your written comments, based on your preference.

Make every effort not to have to re-schedule. Most employees are nervous and this will help set them at ease.

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Provide a “rating” for each expectation

Discuss any potential “mine fields” with your supervisor (the appraisal reviewer) before having employee discussion

After your comments and ratings on their goal achievements are entered into the evaluation, the employee will be asked to certify the following statement:

“…my manager met with me and reviewed this work plan with me. In addition, I have reviewed the work plan and have had the opportunity to ask questions and make comments during this meeting.”

When employee returns to you, you submit to Evaluation Reviewer (your manager).

No evaluation results should be a surprise!!!

Preparation for End of Cycle: Performance Evaluation.

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Performance Evaluation Results (SMART Goal Comments)

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Performance Evaluation Results (SMART Goal Comments)

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Snapshot of Performance Evaluation

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Final Behavioral Goal Comments

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Final Notes and Reminders

If employee comes off probation in December, January or February, annual performance evaluation not due until end of following cycle (ex: hired in July 2011, 1st evaluation June 2013) In these cases, you must be diligent in providing feedback

without the mandatory requirements! If employee changes jobs through on-campus recruitment during

cycle, both supervisors are responsible for contributing to annual appraisal (make notes on performance when a person leaves your unit to provide next supervisor)

If employee’s job changes through supervisor request (title, level, or competency change), supervisor is responsible for revising work plan within 30 days of change

The term “annual appraisal” is synonymous with “annual performance evaluation.” The new system uses the term “evaluation” so moving forward, try to use that terminology 34

Human Resources Contacts

All Position & Salary Inquiries on current employees: Amy Braun, 70651 (AA, DA, CU, Fin. Svcs, no IT) Hal Walter, 70655 (IT, Bus. Aff., Bus. Svcs., FM) Steve Barnhart 70657 (work unit changes, action status, reporting)

All Recruitment, New Hire, Promotion Inquiries: Kieffer Gaddis, 70670 Tracy Worthey, 70668 (probationary review) Robyn Flowers, 70667 (advertisements)

Improvement Plans, Performance, and Disciplinary questions: Jeanne Madorin 70659 Cindy Edwards 70658

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