PERFORMANCE MANAGEMENT

PERFORMANCE MANAGEMENT

Human Resource Services

Purpose of This Module

Empower managers and employees to f ll tili th i d fsuccessfully utilize the revised performance

management process to enhance organizational performanceorganizational performance.


Objectives

1. Set goals and devise practical ways to measure progress.

2. Design and carry out individual development plans that build key competencies and enhance ability to handle important aspects of the jobhandle important aspects of the job.

3. Coach employees in ways that inspire both performance and individual growth.


Module Overview This module explains each of

PM Overview

pthese 4

components in the Performance

ManagementOverview Management Cycle.

Work Plan

Annual Review

Interim Review


Let’s Begin

PM OverviewOverview

Work Plan

Annual Review

Interim Review


WhoPM

Overview

Performance management is a collaborative process; Employees and Managers share jointprocess; Employees and Managers share joint responsibility. Employees are responsible for

demonstrating required competencies– demonstrating required competencies, – achieving performance goals, and – developing competencies valued by the organization.

M ibl f iManagers are responsible for encouraging, empowering and enabling employee performance and competency development.


PMWhat

PM Overview

• The way you assure that the right things get done well and that you are able to deliver thedone well, and that you are able to deliver the results expected within your area of responsibility.


PMWhen

PM Overview

CoachingCoaching

Performance Performance ReviewReviewPerformingPerformingWorkWork

PlanPlan

Interim Interim Note: A Work Plan must be in place within 30 ReviewReviewplace within 30 days of hire.


Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May

WherePM

Overview

Two New PM Forms

If ... Then ...• the SPA employee is in the

I f ti T h l• use the online Work Plan

Information Technology (IT) Job Family

on www.jobs.appstate.edu/hr

• the SPA employee is in • use the revised paper-• the SPA employee is in any Job Family other than IT

• use the revised paper-based 2008/2009 Work Plan Form


Where, continuedPM

Overview

2008/2009 Performance Management Form

Instructions Use the space below to document the 2008/2009 Work Plan using SMART Goals. Use additional space as needed.

Functional Competency

Required

Level

SMART Goals

Performance Appraisal M = Meets Expectations

E = Exceeds Expectations D = Does Not Meet Expectations Interim due Annual due

Interim due

12/30/08 Annual due

05/30/09


WhyPM

Overview

Treat others the way you want to be treatedMeet legal requirementsClarify expectationsGive feedbackInstigate developmentProduce resultsIt’s Management 101


How does the ProcessHow does the ProcessWork?

PM Overview

Click the icon below to view the policies, d d f P fprocedures and process for Performance

Management.

How PM WorksHow PM Works


Writing The Work Plan

PM OverviewOverview

Work Plan

Annual Review

Interim Review


WhoWork Plan

Work Plans should be written collaborativelyby the manager and employee.by the manager and employee. Manager documents the Work Plan and reviews it with the Employeep yEmployee reviews WP, notes any comments and signs the Work Plan gWork Plans may be updated as needed through the work cycle


WhatWork Plan

Meaningful goals based on:– Alignment to higher goals– Customer expectations– Clearly defined roles and responsibilitiesRaise “level” of focus results vs detailedRaise level of focus – results vs. detailed tasks.

– Publish task lists, duties, standard operating , , p gprocedures, policies, processes, “do’s-and-don’ts” elsewhere.


WhatWork Plan

Inverted ApproachOLD NEW

WhWhat

WhatHow

How

What


WhatWork Plan

Inverted Approach– old Work Plan began with what work must be

d (P i J b F t )done (Primary Job Factors)– new Work Plan begins with how the work must

be done (competencies) ( p )Old Work Plan

New Work Plan

What Primary Job Factors

How Functional Competency LevelsPrimary Job Factors

(defined as tasks, duties, special projects, assignments, responsibilities)

Functional Competency Levels (pre-defined in position description)

How “Performance Expectations”

“Method of Evaluation”

What tasks, duties, special projects, assignments,

responsibilities written as SMART Goals


What, continuedWork Plan

At least one, but up to 4 Performance Goals for each required Functional CCompetency. At least one, but up to 4 Developmental Goals requiredDevelopmental Goals required annually to– progress towards career goal(s),p g g ( )– develop competencies, and/or– improve performance.

F hi h l l d hi h i it


Focus – high level and high priority.

What are SMART Goals?Work Plan

•• SSpecific• What must be accomplished?

•• MMeasurable • How will it be objectively measured according to j y g

the standard? [quantity, quality, speed, accuracy, within budget, % satisfied customers…]]


Wh t SMART G l ?What are SMART Goals? continued

Work Plan

•• AAgreed-Upon“B k d i ” t th d k fl– “Baked-in” to the process and work flow.

•• RRelevant’– Why it’s important to the vision, mission, values,

strategic plans, objectives, etc. of the University, Division, Department, and/or Team., p ,

•• TTime-bound– When (date) must it be accomplished?


When (date) must it be accomplished?

What is an Example?Work Plan

Assumptions:• Functional Competency = Budgeting• Functional Competency = Budgeting• Level required for the job = Journey

Journey Budgeting Competency level• Journey Budgeting Competency level defined = Monitors and reconciles department budget and tracks travel anddepartment budget and tracks travel and office expenditures.


What is an Example?Work Plan

(S) Reconcile the ABC department budget (M) with 100% accuracy against the monthly ( ) y g yController’s Office reports and(T) email it to the manager in an Excel spreadsheet tt h t b th l t b i d f h thattachment by the last business day of each month

(R) to ensure the ABC department has the necessary funding to achieve it’s mission of… y gNote: Remember that “Agreement” (A) happens when you work with the employee to write the SMART G l


SMART Goals.

What it Looks Like in AppState Jobs

Work Plan AppState Jobs.Plan

Descriptions id dare provided

for each level to set

expectations for goal

alignmentalignment.

Level required for

the position –not the

employee’s

Position Level


p ycompetency

level

C iWork Plan Comparison

THE OLD THE NEW

Plan

Primary Job Factors -aka Key Results & Responsibilities KRRs, tasks, special projects,

Functional Competencies

assignments, responsibilities

Performance Expectations and Method of Evaluation

SMART Goals

Rating scale for Primary Job Factors: Outstanding, Very Good, Good, Below Good, or Unsatisfactory

Rating scale for SMART Goals: Meets Expectations, Exceeds Expectations, or Does Not MeetGood, or Unsatisfactory Expectations, or Does Not Meet Expectations

Overall Rating: O t t di V G d G d B l G d U ti f t


Outstanding, Very Good, Good, Below Good, or Unsatisfactory

WhenWork Plan

Annually by June 30th

New Hires within 30 daysUpdated throughout the cycle as needed


Where do Goals Come F ?

Work Pl From?Plan

ASU’s Mission

NC St t t Strategic

P iti

NC Statutes Strategic Plans

Di i i ’ Vi iGoal

Goal Position Description

Division’s Vision, Mission, Values Goal

Goal

Goal

Team’s Vision, Mission, Values

Competency Profile


Alignment!

WhyWork Plan

The purpose of the Work Plan is to:– set goals and devise practical ways to measure

progressdesign and carry out development– design and carry out development


HowWork Plan

Step Action1 Review the SPA employee’s approved Career1 Review the SPA employee s approved Career

Banded position description in AppState Jobs.2 Consider each functional competency and the

level* required for the position (not the Employee Competency Assessment levels.)*Contributing Journey or AdvancedContributing, Journey, or Advanced


How, continuedWork Plan

Step Action3 Work with the employee to create a list of the work3 Work with the employee to create a list of the work

(projects, responsibilities, duties, etc.) that must be accomplished within the work cycle. Think: How does the employee demonstrate theThink: How does the employee demonstrate the competency on the job as they do the work?

4 Work with the employee to match each item on the list f k (f t 3 b ) ith th f ti lof work (from step 3 above) with the functional

competencies (from step 2 above). There may be multiple matches; to select the best fit, consider the

t f ti / l ti i t i d t


percentage of time/relative importance assigned to each functional competency.

The Interim Review

PM OverviewOverview

Work Plan

Annual Review

Interim Review


WhoInterim Review

Manager and EmployeeEmployee Self Assessment is a good idea, but not required.


What – Rating GoalsInterim Review

Performance measured by the li h t f SMART G l i thaccomplishment of SMART Goals in the

Work PlanN ti l f h lNew rating scale for each goal:

M = Meets ExpectationsE = Exceeds ExpectationsE = Exceeds ExpectationsD = Does Not Meet Expectations


What – Overall RatingInterim Review

Subjective measurement based on f f SMART G lperformance of SMART Goals.

Overall Rating Scale stays the same: – Outstanding – Very Good

Good– Good– Below Good– Unsatisfactory


Unsatisfactory

What – Overall RatingsInterim Review

GOOD Performance meets the defined job expectation. The employee generally performs according to the expectations doing a good job (in some instances, exceeds job expectations.) The employee is doing the job at the level expected for employees in this position The goodjob at the level expected for employees in this position. The good performance is due to the employee’s own effort and skills.

VERY GOOD Performance meets the defined job expectations and inmany instances exceeds job expectations The employee generally ismany instances, exceeds job expectations. The employee generally is doing a very good job. Performance that exceeds expectations is due to the effort and skills of the employee.

OUTSTANDING Performance is far above the defined jobOUTSTANDING Performance is far above the defined job expectations. The employee consistently does outstanding work, regularlygoing far beyond what is expected of employees in this job. Performance that exceeds expectations is due to the effort and skills of the employee. Any performance not consistently exceeding expectation is


p y y p y g pminor or due to events not under the control of the employee.

What – Overall RatingInterim Review

BELOW GOOD Performance may meet some of the job expectations but does not fully meet the remainder. The employee generally is doing the job at a minimal level, and improvement is

d d t f ll t th t ti P f i l thneeded to fully meet the expectations. Performance is less than a good job. Lapses in performance are due to the employee’s lack of effort or skills.

UNSATISFACTORY Performance generally fails to meet the defined expectations or requires frequent, close supervision and/or the redoing of work. The employee is not doing the job at the level expected for employees in this position Unsuccessful jobexpected for employees in this position. Unsuccessful job performance is due to the employee’s own lack of effort or skills.


WhenInterim Review

Due annually by December 30th.


WhereInterim Review




Required

Level

SMART Goals



Interim due

12/30/08 Annual due

05/30/09


WhyInterim Review

Treat others the way you want to be treatedMeet legal requirementsClarify expectationsGive feedbackInstigate developmentProduce resultsIt’s Management 101


HowInterim Review

Plan to give the process the time it deserves – this is someone’s livelihood and career we’re talking aboutsomeone s livelihood and career we re talking about. Do it on time – demonstrates your leadership, mutual respect, and caring. S h d l i f lf l hSchedule – time for yourself to complete the process; an appointment with the employee to allow them time to prepare. 2-way communication – ask for input without removing responsibility; ask what they need from you.


y

How, continuedInterim Review

Balance feedback – everyone has successes d t iti f l i ithi 365and opportunities for learning within 365

days. P i d t th di i iPrivacy – conduct the discussion in a confidential setting void of interruptions. Model when you take it seriouslyModel - when you take it seriously, employees will take it seriously.


The Annual Review

PM OverviewOverview

Work Plan

Annual Review

Interim Review


WhoAnnual Review

Manager and Employee_____ _____ is a good idea, but not required. Employee Self Assessment


WhatAnnual Review

Performance measured by the li h t faccomplishment of…

SMART Goals in the Work PlanNew rating scale for each goal…Meets ExpectationsExceeds ExpectationsDoes Not Meet Expectations


What, continuedAnnual Review

Overall Performance is a _____ measurement based on performance of _____ _____. SubjectiveSMART GoalsOverall Rating Scale = gOutstanding, Very Good, Good, Good,Below Good, Unsatisfactory


WhenAnnual Review

Due annually by _____.May 30th


WhereAnnual Review




Required

Level

SMART Goals



Interim due

12/30/08 Annual due

05/30/09


WhyAnnual Review

Treat others …the way you want to be treatedMeet _____ requirementslegalClarify _____expectations


WhyAnnual Review

Give _____feedbackInstigate _____developmentProduce _____resultsIt’s Management _____


101

HowAnnual Review

_____ to give the process the time it ddeserves. Plan Do it _____ _____ to demonstrates your leadership, mutual respect, and caring.

tion time


HowAnnual Review

Schedule time for…lf t l t th dyourself to complete the process and

An appointment with the employee to allow them time to preparethem time to prepare. _____ _____ means to ask for input without removing responsibility; ask what they need g p y; yfrom you. 2-way communication


How, continuedAnnual Review

Manager writes performance evaluation and submits to 2nd Level Manager for approval.Manager & Employee meet 1 on 1 to discuss signManager & Employee meet 1-on-1 to discuss, sign and date performance evaluation.


How do I plan for thePM

Overview

How do I plan for the Work Plan?

Work Plan

Interim Review

Annual Review

EXAMPLE: Work Plan Process TimeX total number of

employeesTotal Time

Back‐Plan Dates (due June 30)

Meet with employee to write SMART goals

1 HR 3 3 HRS week of June 1

Manager documents Work Plan 30 min 3 1 5 HRS week of June 8Manager documents Work Plan 30 min 3 1.5 HRS week of June 8

Manager & Employee meet to discuss Work Plan

1 HR 3 3 HRS week of June 15

Manager reviews employee's comments

15 min 3 45 min week of June 22



Overview

How do I plan for the Interim Review?

Work Plan

Interim Review

Annual Review

EXAMPLE: Interim Performance Review

ProcessTime

X total number of employees

Total TimeBack‐Plan Dates

(due December 30)

R SMART G lRate SMART GoalsEnter comments

1 HR 3 3 HRS 2‐Dec

Schedule meetings 15 min 3 45 min 3‐Dec

Conduct Meetings 1.5 HRS 3 4.5 HRS 8‐Dec

Employees Enter Comments and Sign

30 min 3 1.5 HRS week of Dec 15

Review EmployeeReview Employee Comments

15 min 3 45 min week of Dec 15

TOTAL 3 HRS 35 min ~ 9 HRS 45 min



Overview

How do I plan for the Annual Review?

Work Plan

Interim Review

Annual Review

EXAMPLE: Annual Performance Review Process

TimeX total # of employees

Total TimeBack‐Plan Dates (due May 30)

Mgr rates SMART Goals & enters comments;

submits to 2nd Level Approver1 HR 3 3 HRS week of April 20

2nd Level approves; submits to HR

10 min 3 30 min week of April 27

HR approves; returns to Manager

10 min 3 30 min week of May 4

Manager schedules and conducts Reviews with Employees

2 HRS 3 6 HRS week of May 11

Mgr reviews Employee Comments; concludes process

15 min 3 45 min 30‐May


PM Overview

PM Action Plan GuidesWork Plan

Interim Review

Annual Review

To access PM Action Plan Guides, click on th i b lthe icon below.


PM Overview

SummaryWork Plan

Interim Review

Annual Review

We write performance and development goals in the SMART format.format. SMART = specific, measureable, agreed-upon, relevant (to the mission), time-bound.Progress towards goal achievement can be measured by:Progress towards goal achievement can be measured by: quantity, quality, speed, accuracy, % satisfied, At least 1, but up to 4 development goals are required annually. D l t l d i d t i tDevelopment goals are designed to: increase competency level, progress toward career goals, improve performance.


PM Overview

Summary, continuedWork Plan

Interim Review

Annual Review

“Coaching” includes: 2-way, informal, ongoing, balanced feedback.feedback.Focusing the performance appraisal on results is one way to ensure fairness.Effective appraisal discussions start with the premise that you treatEffective appraisal discussions start with the premise that you treat others the way you want to be treated.


PM Overview

THANK YOU!Work Plan

Interim Review

Annual Review

We welcome your feedback. Please contact Al Eb h t b h @ t t dAlyson Ebaugh at [email protected] call 828-262-7429


Documents

PERFORMANCE MANAGEMENT