Presentation on theme: "Performance Management Lead 2012"— Presentation transcript:
1 Performance Management Lead 2012 Work Plan DevelopmentPerformance Management CyclePerformance Evaluation Process
2 Objectives Why we do Performance Management 2. Performance Management as a cyclePosition Description as starting pointKey Components of the Position Description and Work PlanEmployee Review Processes Measured by the Work PlanInterim Review, Annual Performance Evaluation3. Developing a Work Plan using Measurable GoalsFunctional Competencies and SMART GoalsEntering SMART Goals in HRMSBehavioral Competency Goals4. Preparing for a Performance EvaluationComments and RatingsUsing HRMS5. Final Notes
3 Mandates and Guides – Performance Management NC Law (G.S )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)
4 From the Office of State Personnel; Form and Process Flowchart POSITIONANDINCUMBENTPOSITION &REQUIRED COMPETENCIESINCUMBENTContributingCOMPETENCY ASSESSMENTPERFORMANCEMANAGEMENTJourneyAdvancedOUTSTANDINGVERY GOODGOODBELOW GOODUNSATISFACTORYCONTRIBUTINGJOURNEYADVANCEDSALARYDETERMINATIONCAREERDEVELOPMENTPLAN
5 Performance Management as a Cycle Maximize Planning TimeOf position description and work planMinimize emphasis on “data entry” of on-line formsPerfect timing to take focus off “paperwork” of performance managementMaximize emphasis on communication and feedbackPlanning (Development of Work plan) %Managing (Interim Review &Interaction Management) %Appraising (Completion of Appraisal) %
6 Position & Employee Life Cycle Position DescriptionJob Duties + Requirements (including ADA)-Basis of career band title and level-Basis of salary range and starting salary-Basis of performance expectationsWork 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 RatingsPerformance Evaluation (annually in March)-Evaluation cycle: 3/1 – 2/28, for employees in permanent status by November 30
7 Performance Management: Work Plans Are based on position descriptionsRequire established methods of evaluationOutline to an employee what they will be measured on for that performance yearCan be updated year after yearMay result from a collaborative effort between an employee and their managerWork plans should have GOALS!
8 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 cyclePriority Order – Established by job description, ranking of functional competencies from most to least important to business needSMART Goals- Specific, Measurable, Achievable, Results-Oriented, and Time-bound – adjectives that describe how to write performance goals for employee evaluationBehavioral Competencies – valued attitudes and behaviors that support functional competencies and assist in identifying reasons for performance success and difficulties
9 Work Plan – Methods of Evaluation Checklist Supervisory ObservationSampling and StatisticsSpot ChecksPeer FeedbackThird Party FeedbackProject ResultsSelf ReportEmployee 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
10 Work Plan Timeline Develop when – Review and revise when – New position is createdPosition is modified and reallocated to new career bandReview and revise when –Position description is modified and job duties changePosition becomes vacantAt beginning of performance cycle to incorporate new goalsWhen developed, reviewed or revised –Discuss with employeeSubmit to employee for certificationSubmit to HR within 30 days of start date or effective date
11 Performance Management: Probationary and Interim Reviews Measured by Work Plan:Probationary Review for newly hired employeesDetermination of extended probation orMove to Permanent StatusInterim Review is annual for all employeesInterim Review typically occurs in SeptemberConducted by supervisor “honor system” – HR does not usually collectSemi-annual interim performance counselingStructured communication/feedback process for supervisors and employeesUNCC Legal Policy Statement # 54
12 Performance Management: Probationary Review Employees new to state universities and state government serve a probationary period“Essential extension” of selection process forAssisting employee in meeting expectations in Work PlanEnding employment in cases of unsatisfactory performance3- 9 months, 6 months is standard.< 6 requires exception> 6 is considered “extension” based on probationary reviewExtension requires Improvement PlanAt end of 9 months, employee automatically receives permanent status if manager takes no action and submits no reviewState Personnel Manuel, Section 3
13 Performance Management: Probationary Review Supervisor’s Responsibility:Help employee succeed.Terminate employee when competencies do not match business needsEmphasize importance of Work Plan SMART goalsRespond to HR prompts to complete reviewDocument “meets” or “conditional”Conditional will extend probationConditional status will be referred to Employee Relations“Meets” or above – Recommends for Permanent StatusValidate or revise Initial Competency Assessment
14 Performance Management: Annual Evaluation Measured by Work PlanAnnual cycle is March 1 – February 28Mandatory for all employees in permanent status by December 1 of the cycleSubmission deadline is April 30Two-way conversation is importantRating scale:5- Outstanding4- Very Good3- Good, meets expectations2- Below Good1- Unsatisfactory State Personnel Manuel, Section 3
15 Performance Management: Annual Career Development Plans An Annual Career Development Plan is a component of the Performance EvaluationAn action plan for enhancing an employee’s level of performance in order to excel in the current job or prepare for new responsibilitiesA list of opportunities for career development activities to enhance job performanceState Personnel Manuel, Section 10
16 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 reviewSupervisor outlines a specific plan to measure employee improvement in the weak area(s)Supervisor and employee agree to the conditionsState Personnel Manuel, Section 10
17 Performance Evaluation ≠ Competency Assessment Red Flag- watch out for confusionFor 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:
18 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 occurInitial 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 increaseInitial Competency Assessment may justify starting salary lower or higher than market rate. After initial assessment, there is no annual requirementPerformance ratings of “below good” may result in a smaller or no increase only when the General Assembly legislates an across-the-board increaseSubsequent Competency Assessments document competency development and may justify career progression increase if new competencies are required for new dutiesPerformance Management s an on-going process of communication and feedback throughout the evaluation cycleA Competency Assessment should be reviewed every 3 years to determine whether demonstrated competencies are meeting new competency requirementsPlease note: Current state legislation and budget restrictions do not support pay adjustments based on the performance evaluation process. Performance evaluations may be a factor in legislative increases, but in recent years have only been used, if at all, to prohibit increases for employees not meeting expectations Measures demonstrated competencies against market standards to determine fair compensation. Used to assess employee based on the position’s required competencies (competency profile).
19 Performance Management – Developing Goals in the Work Plan OngoingFeedback &CoachingGoalSetting(April / May)InterimReview(September)Year-End(March)
20 Work Plan and S.M.A.R.T. Goals SpecificMeasurableAlignedRealisticTime-boundWhen 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.
21 S.M.A.R.T. Goals in Detail Specific Measurable Aligned Realistic 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?MeasurableCan the goal be objectively measured?Can the goal be evaluated?Can the goal be managed?AlignedIs the goal important and will it have a positive impact on results?Is the goal aligned with other university, departmental, team and individual goals?RealisticIs 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-boundBy when does the goal need to be achieved?What are the incremental measurement points?How does this goal impact other departments and other people?
22 Sample Functional Competency Goals in Work Plan
23 Sample Functional Competency Goals in Work Plan
24 Sample Functional Competency Goals in Work Plan 4
26 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.
27 Ongoing Activity: Observe, Note, Discuss After work plan is developed or revised, document work habits or behaviors you notice effectively contributing to goal achievementRecord and mention to employee any work habits or behaviors you notice not effectively contributing to goal achievementFor new employee, a more formal discussion at 3 months is recommendedDon’t wait until the Interim Review memo from HR to talk about performance goals!
28 Preparation for End of Cycle: Performance Evaluation Prepare – gather your documentation of performanceAsk your employee to prepare: If desired, supervisors may encourage employees to provide self-evaluations to which they may then respondAsk your employees to also contribute to ideas for their training in the next FY.Ask your employees to think about their career growthConsider 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.
29 Preparation for End of Cycle: Performance Evaluation. Provide a “rating” for each expectationDiscuss any potential “mine fields” with your supervisor (the appraisal reviewer) before having employee discussionAfter 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!!!
34 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 changeThe term “annual appraisal” is synonymous with “annual performance evaluation.” The new system uses the term “evaluation” so moving forward, try to use that terminology
35 Human Resources Contacts All Position & Salary Inquiries on current employees:Amy Braun, (AA, DA, CU, Fin. Svcs, no IT)Hal Walter, (IT, Bus. Aff., Bus. Svcs., FM)Steve Barnhart (work unit changes, action status, reporting)All Recruitment, New Hire, Promotion Inquiries:Kieffer Gaddis, 70670Tracy Worthey, (probationary review)Robyn Flowers, (advertisements)Improvement Plans, Performance, and Disciplinary questions:Jeanne Madorin 70659Cindy Edwards 70658