Performance ManagementPerformance Management in many organizations has a single component: the performance review.  Some organizations have a process allowing employees to make cases for themselves and to write up self evaluations of their own performances.  More sophisticated organizations have rating systems administered out of Human Resources in which people are polled about whether an individual is exceeding expectations, is meeting expectations or needs improvement in various areas.  But, at the heart of it all is the once-a-year conversation between manager and employee in which one employee is judged by others — all of whom are flawed human beings with subjective views of what constitutes “performance”.

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Performance Management: Non-Template

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Performance Management Concerns

The problem with a Performance Management system conceived and executed in this way is multi-fold:

  • It often has an after-the-action and generalized focus, so comments are not meaningful.
  • It is a highly subjective evaluation, and it reflects the manager’s level of comfort with the person and the process more than a true assessment of the person’s contribution.
  • There is often a tendency to focus on what was wrong more than what was right, and, even when there is an appreciation of strong performance, there is usually little analysis of what made it so and how it can be further strengthened or taught to others.
  • Where there is a shortfall relative to expectations, disappointment and disapproval usually replace engaged, constructive, meaningful development-oriented feedback with specific, practical suggestions for how to do better in the future.

With the majority of organizations realizing that business performance is directly tied to group and individual performance, pressure has increased to implement performance management processes. Research has identified key, required actions that include involving all employees in the process, reinforcing annual reviews with ongoing meetings and using multiple reviewers to ensure rounded results.

When the Performance Management mindset is shifted from one of unilateral judgment to one of collaborative goal-setting and development in which managers act as coaches helping people to do their best and achieve their potential, performance at all organizational levels will soar.

Performance Management: Example


General

The Performance Management Form (PMF) is used to document employee performance plans and two types of evaluations based on those plans.  The evaluations documented on the PMF are:

(1)      annual performance evaluations leading to salary increase recommendations, and

(2)      evaluations performed at the end of working test periods to support permanent status decisions.

 

Please note:

(1)   To document permanent status decisions, agencies may choose to use the shorter Management Review Form (MRF), rather than using the PMF.

(2)   The MRF cannot be used to document a salary increase decision: a full evaluation, documented on the PMF, is required for the annual performance evaluation that determines salary increase recommendations.

(3)   The same PMF may be used to document both a salary increase decision and a permanent status decision, so long as:

(a)    the same performance plan is in effect,

(b)   the PMF documenting one type of decision has been completed no more than 90 days prior to the effective date for the other type of decision, and

(c)    the agency policy does not require that a new PMF be completed.

(4)   A PMF must be completed and signed not more than 90 days prior to the effective date of a salary increase.

 

The PMF consists of nine sections:

1:     Employee Information                                     6:     Salary Increase Recommendation

2:     Performance Plan Signatures                          7:     Employment Status

3:     Job and Individual Responsibilities                 8:     Evaluation Signatures

4:     Terms and Conditions of Employment            9:     Employee Development Plan

5:     Overall Ratings

 

Additional pages may be attached to any section of the form if space is insufficient.

 

Planning

Prior to the beginning of the new performance period, the supervisor:

  • enters in Section 3 responsibilities and performance expectations for the employee and indicates which responsibilities are critical to the job;
  • enters under Performance Expectations in Section 4 any additional expectations related to terms and conditions of employment that are specific to the job or work unit;
  • reviews the preliminary plan with his or her manager to ensure that the proposed responsibilities and expectations are appropriate in light of overall unit plans and work assignments.

 

In a planning session at the beginning of the performance period, the supervisor and the employee:

 

  • discuss the responsibilities and expectations for the coming year, making changes or additions as necessary in Section 3;
    • review the pre-printed “statewide” responsibilities in Section 3 and check the boxes that apply to the employee and the job.  (Each agency should have a policy on whether inclusion of any or all of these responsibilities is required on every employee’s Plan or is discretionary on the part of the supervisor.);
  • review the preprinted Performance Management Responsibility in Section 3 and, if the employee directly supervises other employees, mark it as “Critical”;
  • review the expectations related to terms and conditions outlined in Section 4;
  • identify any developmental or training goals for the upcoming performance period and enter in Section 9;
  • enter signatures and dates in Section 2.  (The PMF, with responsibilities and expectations entered, constitutes the employee’s individual Performance Plan.  After the Plan is reviewed and signed by the reviewing manager, the supervisor retains a copy, gives a copy to the employee, and processes/files other copies as directed by agency policy.)
  • if a significant change is made to the Performance Plan during the year, following discussion of the change, the supervisor should have the employee sign in the indicated space in Section 2.

 

Annual Performance Evaluation

At the end of the performance period, the supervisor uses the Performance Management Form to document the evaluation of the employee’s performance.  The supervisor rates the employee’s performance on the individual items in Sections 3 and 4.  In Section 9, the supervisor notes any progress the employee has made in meeting developmental or training goals.  In Section 5 the supervisor enters an overall rating for Job and Individual Responsibilities and an overall rating for Terms and Conditions of Employment.

 

In Section 6, the supervisor indicates whether the employee is eligible for a performance increase. (Actual awarding of increases is subject to availability of funds and to modification of pay delivery policies.)  In order to be eligible, the employee must receive an overall rating of Met Expectations or higher on the Job and Individual Responsibilities component of the evaluation.  An employee who receives an overall rating of Did Not Meet Expectations on either Responsibilities or Terms and Conditions is not eligible for an increase. Employees receiving an overall rating of Needs Improvement on the Terms and Conditions may or may not be eligible for a performance increase, depending on individual agency policy.

 

The completed PMF is reviewed by the supervisor’s manager.  The supervisor then conducts the performance evaluation meeting with the employee.  Both parties sign the document in Section 8 to indicate that the meeting has taken place.  After the PMF is signed by the reviewing manager, it is filed according to agency policy, a copy is given to the employee, and the supervisor retains a copy.

 

Permanent Status Review

If the PMF is used to document an evaluation leading to the granting of permanent status, the form is completed in the same way as for an annual performance evaluation, but instead of indicating a salary increase recommendation in Section 6, the supervisor puts a checkmark in the “Permanent Status Approved” box in Section 7 (or puts checkmarks in both sections, if the PMF is being used simultaneously for both types of evaluation).  Follow agency policy for filing and distribution of copies.

 

 

PERFORMANCE MANAGEMENT FORM

(PMF)

 Department Name                        Print Date
Department ID

Section 1:  Employee Information

Last Name, First Name  MI

Employee ID

Position No.

Performance Period

From: to:
Class/Job Title

Class/Job Number

Supv. Position No.

Supervisor’s Title and Class/Job Number

Section 2:  Performance Plan Signatures

                                  Performance Plan Signatures–EmployeeI understand my job and individual responsibilities, the performance expectations, and the terms and conditions under which I am expected to work.Comments:

 

                                                                                                                                                                           

Date                                                     Employee Signature

 

I understand the changes made to my responsibilities and performance expectations or terms and conditions.

 

 

 

                                                                                                                                                                                

Date                                                     Employee Signature

Performance Plan Signatures–Supervisor/ManagerI have discussed the job and individual responsibilities, performance expectations, and terms and conditions with the employee.Comments:

 

                                                                                                                   

Date                             Evaluating Supervisor Signature

 

I have reviewed the Performance Plan and find the requirements appropriate.

Comments:

 

 

 

                                                                                                                                                      

Date                                      Reviewing Manager Signature

  Annual Performance Evaluation             Permanent Status Evaluation    Personnel File         Employee Copy       Supervisor Copy
Agency Official to whom request for review of the contents of this form should be submitted.

 

 

 

Section 3:  Job and Individual Responsibilities

Instructions:   Describe the employee’s key responsibilities.  These may be Job Responsibilities (ongoing responsibilities typically performed by incumbents in the job) or Individual Responsibilities (responsibilities assigned to this particular employee, such as time-limited special projects or individual developmental goals).  Indicate the responsibilities — typically no more than three — that are critically important to successful performance of the job.  Describe performance expectations for each responsibility.  At the end of the performance period, describe the employee’s actual performance and indicate the rating achieved.

Job or Individual Responsibility

Performance Expectations

Actual Performance

Performance

Rating

  Critical Expectations
  Did Not MeetMetExceeded
  Critical Expectations
  Did Not MeetMetExceeded
  Critical Expectations
 Did Not MeetMetExceeded
  Critical Expectations
  Did Not MeetMetExceeded
  Critical Expectations
  Did Not MeetMetExceeded

 

 

Responsibility

Performance Expectations

Actual Performance

Performance

Rating

  Critical Expectations
  Did Not MeetMetExceeded
  Critical Expectations
   Did Not MeetMetExceeded
  Critical Expectations
  Did Not MeetMetExceeded
Instructions:  Performance Management is a key responsibility of all supervisors and must be marked as critical on each supervisor’s performance plan. Check “Not Applicable” only if employee does not supervise.Not applicableCritical

 

Performance Management Responsibility

 

Creates and maintains a high performance environment characterized by positive leadership and a strong team orientation.

1.  Defines goals and/or required results at beginning of performance period and gains acceptance of ideas by creating a shared vision.2.  Communicates regularly with staff on progress toward defined goals and/or required results, providing specific feedback and initiating corrective action when defined goals and/or required results are not met.3.  Confers regularly with staff to review employee relations climate, specific problem areas, and actions necessary for improvement.4.  Evaluates employees at scheduled intervals, obtains and considers all relevant information in evaluations, and supports staff by giving praise and constructive criticism.

5.  Recognizes contributions and celebrates accomplishments.

6.  Motivates staff to improve quantity and quality of work performed and provides training and development opportunities as appropriate.

ExpectationsDid Not MeetMet

Exceeded

 

 

Instructions: Listed below are responsibilities which support the  strategic goals.  If any of these  responsibilities do not apply, they should be marked “not applicable.”  Check the appropriate box to indicate whether the responsibility is “not applicable,” “applicable” or both “applicable and critical.”

Responsibility

Performance Expectations

Actual Performance

Performance

Rating

  Not ApplicableApplicableApplicable and Critical

Teamwork

 

Encourages and facilitates cooperation, pride, trust, and group identity; fosters commitment and team spirit; works cooperatively with others to achieve goals.

1.  Communicates accurate information to others in a professional and courteous manner; conveys a willingness to assist.2.  Shows consideration for others, works cooperatively with any co-worker, provides constructive feedback without undue criticism of others; displays appreciation of differences in approaches, personalities, and viewpoints of others.3.  Solicits input of those who are affected by plans or actions; gives credit and recognition to others who have contributed; demonstrates concern for treating people fairly and equitably.4.  Accepts responsibility for own mistakes and takes action to prevent similar occurrences; works to resolve conflicts and to identify solutions in which all parties benefit.

5.  Identifies team goals and ways to work with coworkers to accomplish those goals; works to keep group activities productive/focused on results.

ExpectationsDid Not MeetMet

Exceeded

  Not ApplicableApplicableApplicable and Critical

Customer Service

 

Works and communicates with the general public, internal customers and/or external customers to provide information and quality services and/or products targeted to meet customer expectations.

1.  Treats customers with respect, courtesy and tact; listens to customer and interacts with customer as a person while maintaining business relationship.2.  Communicates with customers and obtains all information necessary to determine and address their specific needs; tactfully explains why, if service cannot be provided.3.  Offers options, as appropriate, so that customers can decide what they want to do; demonstrates fairness and good judgement when seeking possible exceptions or in going the extra mile to meet customers’ expectations.4.  Responds to customers in manner and timeframe promised or follows up to explain status; demonstrates understanding of, and concern for, the customer’s situation and perspective.

5.  Provides clear, accurate information; explains procedures or materials or provides supplemental information; anticipates problems and questions; asks for customer feedback on procedures, products or services.

ExpectationsDid Not MeetMet

Exceeded

  Not ApplicableApplicableApplicable and Critical

Organizational Commitment

 

Displays a high level of effort and commitment to performing work; operates effectively within the organizational structure; demonstrates trustworthiness and respon-sible behavior.

1.  Demonstrates eagerness to learn and assume responsibility; seeks out and accepts increased responsibility; displays a “can do” approach to work.2.  Shows persistence and seeks alternatives when obstacles arise; seeks alternative solutions; does things before being asked or forced to by events.3.  Works within the system in a resourceful manner to accomplish reasonable work goals; shows flexibility in response to process changes and adapts to and accommodates new methods and procedures.4.  Accepts direction and feedback from supervisors and follows through appropriately. ExpectationsDid Not MeetMet

Exceeded

 

 

 

Section 4:  Terms and Conditions of Employment

Instructions:  Every employee must be evaluated on each of the six categories of terms and conditions shown belowSpecific performance expectations that pertain to the agency, the work unit, or the particular job should be entered under Performance Expectations.  At the end of the performance period, describe the employee’s actual performance and indicate the appropriate rating for each category.

Terms and Conditions

Performance Expectations

Actual Performance

Performance

Rating

Works When ScheduledWorks when scheduled; begins and ends work as expected; calls in according to policy when arriving late for work or when absent; observes provisions of Fair Labor Standards Act; observes policies on break and lunch periods; uses work time appropriately. Did Not MeetNeeds Improvement

Met

Requests and Uses LeaveAppropriatelySubmits leave requests on a timely  basis.  Requests and uses the proper type of leave in accordance with established rules and policies.  Provides documentation for use of leave when required. Did Not MeetNeeds Improvement

Met

Dresses AppropriatelyPresents a neat, clean appearance; dresses appropriately for job.  Practices personal hygiene.  Wears clothing suitable to job task and environment based on clientele served.  Wears full, regulation uniform, if required. Did Not MeetNeeds Improvement

Met

Observes Health, Safety andSanitation PoliciesObserves established policies on health, safety, security and sanitation; notifies proper authorities of circumstances or situations that present potential health hazards. Did Not MeetNeeds Improvement

Met

Adheres to HIPAA Regulations

Adheres to established policies on privacy and security requirements for compliance with the Health Insurance Portability and Accountability Act (“HIPAA”), as applicable by Agency policy.

 Did Not MeetNeeds ImprovementMetNot Applicable
Follows All Other Rules and PoliciesPerforms work according to rules, regulations, policies, and guidelines.  Ensures required licensures and certifications are current. Does not improperly use or knowingly permit others to use state property improperly.  Does not engage in activities other than official business during working hours.  Does not engage in prohibited political activity.  Does not report for work under the influence of alcohol or drugs. Did Not MeetNeeds Improvement

Met

 

 

Section 5:  Overall Ratings

Section 6:  Increase Recommendation

Overall Rating for Job & Individual Responsibilities

Overall Rating for Terms & Conditions

  NOT Eligible for Performance-Based Increase*Eligible for Performance-Based Increase
  Did Not Meet Expectations*Met ExpectationsExceeded Expectations   Did Not Meet Expectations*Needs ImprovementMet Expectations

Section 7:  Employment Status

  Working Test/Permanent Status ApprovedNot Applicable

*  Note:  Any employee rated in Section 5 as Did Not Meet Expectations is ineligible for a Performance-Based Increase

Section 8:  Evaluation Signatures

                                    Employee Signature and CommentsI have reviewed the contents of this form with my supervisor and have been advised of my ratings and employment status or increase eligibility status.  I have made any comments I wish in this section.  My signature does not necessarily indicate agreement.                                         Supervisor/Manager Signatures and CommentsThis rating reflects my evaluation of the employee’s performance.  I have discussed this evaluation with the employee.
                                                                                                                                                      Date                                                              Evaluating Supervisor Signature
Reviewing Manager Comments  (if any):

 

                                                                                                                                                      

Date                                                               Reviewing Manager Signature

 

 

                                                                                                        ____________ Date                                                       Employee Signature                                                                                                                                                       Date                                                          Appointing Authority Signature (optional)
Agency Official to whom request for review of the contents of this form should be submitted.       

 

 

 

Section 9:  Employee Development Plan

Instructions:  List developmental goals or areas for improvement that will be addressed by on-the-job development assignments and/or by formalized training experiences.  Indicate actions to be taken by supervisor and/or employee and specify the time frame for their completion.  At the end of the performance period, describe any progress the employee has made in meeting development or improvement goals.

Developmental Goals/Areas for Improvement

(Employee’s and Supervisor’s Input)

Planned Development/Training Activities

(Agreed Upon by Employee and Supervisor)

 

Actual Progress