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E-Performance
Management Process
September 2009
Table of Contents
Introduction
Components of Performance Management
Performance Management Process Overview
E-Performance System Business Process Flow
Performance Management Process Timeline
The Performance Management Four Phase Model
Phase I: Performance Planning
Section 1: Statewide Core Competencies
Section 2: Individual Goals and Competencies
Section 3: Job Responsibilities
Section 4: Individual Development Plan
Phase II: Coaching and Development
Giving Positive Feedback
Performance Deficiencies
Giving Corrective Feedback
Conducting Feedback Discussions
Phase III: Performance Evaluation
Employee Self-Evaluation
Evaluating Competencies
Evaluating Goals and Responsibilities
Evaluating/Reviewing the IDP
Calculation of Performance Ratings
Meeting With the Employee
Phase IV: Recognizing Performance
3-4
5
6
7
8
9
10-12
13-15
16-20
21-22
23
24-28
25
26
26
28
29-35
29
30-31
32
32
33
34
36
Developing employees.
BUREAU VERITAS will use the Performance Management Process for all
employees who are to receive performance evaluations in both the
classified and unclassified services. Employees on hourly positions, reemployed retired employees or temporary employees on positions not
eligible for benefits will not be part of the Performance Management
Process.
Manuals from PMP training are helpful for reviewing key elements in
the training, but may be difficult to use for quick reference as
supervisors need specific information on aspects of the PMP.
Goals that are linked to the agencys mission, visions and goals.
briefly describes the business process flow and the timelines associated with
different aspects of the process.
Sections B E detail the four phases of the PMP process in approximately
the same sequence that they would take place during the year: 1)
performance planning, 2) coaching and development, 3) performance
evaluation, and 4) recognizing performance.
The Appendix contains sample copies of the various forms used in the
Performance Management Process.
When reading this Guide, supervisors and managers should keep in mind
that their agencies may have developed additional, agency-specific
policies or procedures related to the Performance Management
Process.
Forms
HR Admin.
The
by
Agency
typical
forms
Initiate in
used
the Pakistan Performance
Evaluation
Process
Management ProcessPerformance
are contained in the Appendices.
Document
Electronic forms are Creation
available through the SPA Website:
http://www.spa.ga.gov/agencyservices/retention/pmp_index.asp.
Establish Evaluation
Manager and
Employee
Criteria Planning
Phase and
Agreement
Revise
E-Performance
System Business Process Flow
Complete Evaluation
Criteria (Planning Phase)
Manager Approval
Required
Manager
and
Employee
Manager
Complete
Employee
SelfEvaluation
Complete Managers
Evaluation of
Employees
Performance
Consolidate
Feedback into
Managers
Evaluation
Managers
Manager
Obtain Managers
Manager
Approval
HR Admin
Obtain HRs
Approval
Manager and
Employee
Conduct Review
with Employee
Manager
and
Employee
10
Acknowledge and
Finalize Review
11
Date
Action
Supervisor collaborates with the employee to identify goals,
responsibilities, competencies and targets for upcoming year,
June
July
to
August
Septemb
er to
performance.
Decembe
r
to
February
March
to
April
May
to
June
12
13
14
Identify goals
Identify Competencies
15
Performance Expectations
The employee will be evaluated on competencies, goals, and responsibilities.
All of these comprise the performance expectations for the job.
Cascading down the strategic objectives of the State and the agency
into specific goals for the employee
16
All executive agencies are required to evaluate the work of both classified
and unclassified employees under state law 45-20-21. Executive agencies
are agencies managed by an appointed commissioner.
If the Performance Management Process has been adopted for use, it must
be applied to both classified and unclassified employees. This is in
accordance with OCGA 45-20-1 (b); it is the policy of the state that agencies
treat all employees equitably, whether included in the classified or
unclassified service.
A performance plan must be prepared for an employee no later than 45 days
from the date that that employee is hired, transferred, promoted, or
demoted.
At the beginning of each new performance year, supervisors meet with each
of their employees to plan performance for the upcoming period.
The Role of the Employee and the Manager in the Planning Process
17
The manager develops proposed goals and performance expectations for the
upcoming year, using the goals of the agency/division, responsibilities for the
job, and input from the employee. The manager also identifies areas and
objectives that he or she feels should be in the employees IDP. Once
complete, the manager and the employee can meet to discuss and
collaborate on the plan. After this meeting, the manager makes any changes
and forwards it to his/her manager for review. Depending upon your specific
agency guidelines, the managers manager may need to approve the plan
prior to the plan moving forward.
After the performance plan has been reviewed by the managers
manager, the manager and employee then have their formal performance
planning meeting. If agreement is reached at this meeting, then
acceptance of the plan can be acknowledged.
During the planning meeting, the manager should:
Identify and explain the actions and behaviors necessary to meet the
expectations. The employee needs to know what successful performance
looks like. The manager should also give examples of actions and
behaviors that could lead to a rating of exceptional performer.
Discuss the activities, target dates, and how progress will be measured
for the Individual Development Plan.
18
19
20
21
Customer Service
Results Orientation
Accountability
Talent Management
Transformers of Government
23
24
Customer Service
Accountability
Talent Management
Transformers of Government
Results Orientation
Judgment and
Decision Making
Communication
Flexibility
Project Management
Conflict Management
Initiative
Teaching Others
Team Leadership
Cultural Awareness
Professional Development
25
Introduction to Goals
A goal is a measurable outcome or result that needs to be achieved. Goals
should be tied to individual and organizational success.
Goals are the heart of a good performance plan and should be written so you
can identify:
Aligned Goals/Cascaded Goals: These are goals that are aligned with
the vision, mission, and goals of the State and the agency. The goals are
cascaded throughout the organization and translated to be relevant to
each level of the organization.
26
B.
27
The plan should be written in the active voice and free of jargon,
subjective terms, and confusing sentence constructions. The
employee, the supervisor, the managers manager and the agencys
administrative staff must be able to understand what is expected from
the employee and how the employees work will be evaluated.
C.
Quality
each month.
Describes how well or how thoroughly work is
performed. It is used to measure accuracy,
appearance of a result, usefulness, or
effectiveness. Quality often requires some type
of judgment. This judgment must be based upon
Timelines
pre-determined criteria.
Specifies how quickly work is produced.
Cost
deadlines.
Assesses performance in terms of the amount of
28
In the ePerformance system this section is free form and thus a manager
can customize to adapt to the goals and to the managers style.
29
4. For some agencies and positions, you may need to look at the work
team or units goals and objectives. If it is difficult to link to the
division goals, break it down further.
By identifying how this job supports the achievement of an agencys,
divisions, or units goal, you will have an easier time identifying performance
goals. At this point, it is important to list all the possibilities.
Step Two: Identify Desired Job Results
A typical job has many assigned tasks and duties. Some are more important
than others. When performance plans are written based upon a task or
activity list, we often find ourselves with vague and hard to measure
expectations. Focusing on desired results instead of specific tasks makes
measurable expectations clearer and more meaningful.
List five to seven desired results and the customers for these results. Dont
forget any internal customers. Then, circle one to three results that are
critical to the completion of the goal.
Step Three: Measure success
Success can be measured by how things got accomplished and when they
were accomplished (refer to the ABCs of writing goals). The example in
Appendix C provides examples of measures.
Step Four: Monitor Progress
30
Identify a feedback or reporting process that will provide you with the
information you need to evaluate the employees performance. For each
method that you identify, you will determine who should be responsible for
compiling, reporting, analyzing, etc.
Identify potential methods to monitor progress and results. For each
method proposed, assign responsibilities for yourself and your employee.
31
32
33
learn new capabilities, skills, and knowledge; acquires the skills needed to
continually enhance his/her contribution to the State and to his/her
respective profession
34
35
Weighting Guidelines:
25%
25%
50%
Total 100%
Rating Scale
The rated sections of the performance plan will use the same 5-point rating
scale when performance is evaluated at the end of the review period. These
36
Label
Description
Exceptional
Performer
Tier 5
Successful
Performer-Plus
Tier 4
expectations.
Successful
Performer
Tier 3
37
Successful
Performer-
minus
Tier 2
Unsatisfactory
Performer
Tier 1
Not Rated
38
39
40
Giving instructions.
Demonstrating a procedure.
Providing Feedback
Providing feedback to an employee is an important skill. Whether it is
positive feedback designed to commend the employee for doing particularly
well or corrective feedback designed to improve performance, it should be
specific, individualized and delivered by the supervisor in person. Below are
the two communication models for feedback.
Positive Feedback Model
Ask the employee for a solution to the problem and for commitment.
41
42
Giving praise in a public setting allows other employees to see that good
performance is acknowledged. Realize, however, that some individuals do
not like to be praised in public and use your best judgment.
5. Mean what you say.
Provide honest feedback for specific achievements; never give positive
feedback because its this employees turn. Support the employee and
demonstrate that you appreciate his or her efforts.
43
Performance Deficiencies
Supervisors must assess the reasons for an employees performance
deficiencies. When employees dont know what to do or how to do it, the
supervisor, as coach, teaches and provides training opportunities. When
employees wont do their jobs, the supervisor must probe to identify
problems and help the employee see the necessity for acceptable
performance.
44
Ask the employee for a solution to the problem and for commitment.
45
46
47
1. What did I say to clearly state the purpose of the discussion? How did I
describe the poor performance that I observed?
2. Did the employee have adequate time to recount his or her version of the
situation? If new information was determined, how did I adequately
acknowledge it? How did I minimize excuses?
3. Did I actively listen to the employee? What about balancing listening and
telling? What questions did I ask?
4. How was I forthcoming and open about the performance expectations?
5. Did I help the employee feel at ease and understand my concerns? What
non-threatening language did I use?
6. How did I show that I understood what the employee had to say?
7. How did I take care to protect the employees self-esteem?
8. Did I guide the discussion with facts?
9. Did I gain commitment from the employee? Did the two of us determine
and agree on an action plan to improve performance? Did we reconfirm
the expected level of performance? What did we do to accomplish this?
10.
48
Goal Achievement
Competencies
Major Achievements
49
50
Notes and information from the performance diary throughout the year
Email file
Evaluating Competencies
51
These are examples of what behaviors could look like and are not
inclusive of all behaviors that demonstrate each level of performance
for the competency. Rather, this is a tool to help guide evaluations of
employee performance and should not be used as a checklist for
employees behaviors. The agency, division, or the manager may identify
other behaviors that are important.
These examples are on a three-point scale, while the rating scale is a fivepoint scale.
Unsatisfactory
Performer
Helpful: Fails to
Exceptional
Successful Performer
Helpful: Willingly
Performer
Helpful: Anticipates
provide assistance
provides assistance
and information to
and useful
customers or
information to meet
to provide service;
52
begrudgingly
customer needs;
takes ownership of
provides minimal
takes appropriate
customer issues,
service; fails to
actions to provide
identify or solve
accurate information
to improve customer
customer service
to customers;
service; makes
assumes ownership
useful improvement
incorporate learning
of customer issues
suggestions to the
and takes
appropriate manager
appropriate steps to
or leader.
correct problems.
Courteous: Fails to
Courteous: Greets
Courteous:
greet customers
customers promptly
Maintains a
promptly and be
professional and
polite in interactions;
respectful demeanor
is not attentive to
phone; listens
the customer or
attentively to verify
serving customers; is
considerate of
understanding of
attentive to
customers needs;
customers needs,
to leave a positive
quickly establishes
impression with
and maintains
periods; Continually
customers;
positive relationships
improves
inappropriately
with customers;
relationships with
reacts to situations
takes an interest in
customers by
customers and
focusing
empathic to the
understands their
individualized
needs of the
attention;
customer.
by remaining patient,
empathizes with a
variety of customers
situations.
53
understood; acts
respectfully and
diplomatically to
defuse even the most
difficult situations
with ease.
Accessible: Is
Accessible: Is easy
Accessible: Makes
difficult to contact in
contact in person or
the customer in
phone; takes an
unreasonably long
responds promptly
phone by being
time in responding to
and courteously to
customer requests
customer requests
schedule in order to
address reducing
information; finds
unreasonable
times are
ways to reduce
reasonable; makes
fails to make
helpful information
identifies ways to
information about
about services or
improve the
services or the
their agency
accessibility of
agency available to
available to the
information and
customer.
is in their power to
customer.
do so.
54
55
The manager should review the goals, objectives, and activities outlined on
the employees IDP. Actual performance and accomplishment of activities
should be compared to the identified activities, goals, and objectives. The
manager should note those that were completed successful and note any
comment or feedback. Likewise, the manager needs to review those items in
the IDP that were not achieved.
There may be numerous reasons why these werent achieved which the
manager needs to consider. For example, the one of the goals was for the
employee to attend a class on project management. However, the agencys
budget for training was cut, so the employee wasnt afforded the
opportunity. If there are items that were not accomplished that were in the
employees power to do, then the manager needs to decide how to discuss
this and provide appropriate feedback and coaching during the review
session.
The manager may want to revisit these items and put them on the upcoming
years IDP.
If the development activities were designed to work on deficiencies in
performance, then the manager should identify the ramifications for the
employee for not completing the activity.
56
57
example, an employee has two goals that are the most critical for the
position. The manager may thus want to give the most weight to the
Individual Goals and Competencies section, and less for the other two
sections. The weighting is used to attach importance to the most important
aspects of an employees job.
Weighting guidelines:
The weightings need to total to 100%.
25%
25%
50%
Total 100%
58
Managers should:
1. Take all information and documentation related to the employee's
performance to the meeting.
2. Begin by explaining the purpose of the meeting.
The purpose of meeting with the employee is:
59
gives his or her own rating and leads a discussion of any differences
between the two ratings.
Where the employee's performance is rated "Successful Performer minus" or Unsatisfactory Performer, the manager should be prepared
to cite specific examples of the performance that was expected.
9. Try to agree with the employee on appropriate action plans for improving
performance (either in this meeting or in a future meeting specifically
designated for development planning).
60
Plans should spell out what is expected from both the employee and
the manager. If the manager shows that the organization has a stake
in the employee's performance, the individual will be more likely to
accept improvement plans willingly.
10.
Summarize the major points of the discussion and explain how the
12.
and offer any assistance that might help the employee to succeed.
13.
or--if the employee has refused to sign the evaluation or there have been
any significant areas of disagreement--meet with the Managers Manager
to discuss the situation. It may be possible to resolve any disagreement
between the manager and the employee in a joint meeting with the
Managers Manager, without the employee resorting to the formal review
process.
Performance Evaluation - Multiple Managers
61
When an employee has been supervised by more than one manager during a
performance period (because of a promotion, change in manager, or
transfer), ideally each manager should complete an evaluation for the time
they directed the employee's work.
Managers should always try to complete an evaluation on an employee who
is transferring to another division or agency or to another work unit within
the agency, or provide the new manager input on the employees
performance.
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Performance
Incentives
Recognition
Flexibility
Freedom in approach to work
Stretch goals
Achievement
Personal Growth
Ways to gain marketable skills
Interesting / visible projects
Challenging Work
Opportunities to improve /
innovate
63