1. business and industrial
2. business operations
3. business plans

Performance Management
Lead 2012
Work Plan Development
Performance Management Cycle
Performance Evaluation Process
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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
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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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From the Office of State Personnel;
Form and Process Flowchart
POSITION
AND
INCUMBENT
POSITION &
REQUIRED
COMPETENCIES
INCUMBENT
Contributing
Journey
COMPETENCY
ASSESSMENT
PERFORMANCE
MANAGEMENT
Advanced
•CONTRIBUTING
•JOURNEY
•ADVANCED
SALARY
DETERMINATION
•OUTSTANDING
•VERY GOOD
•GOOD
•BELOW GOOD
•UNSATISFACTORY
CAREER
DEVELOPMENT
PLAN
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)
Managing (Interim Review &
Interaction Management)
Appraising (Completion of Appraisal)
20%
60%
20%
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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
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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!
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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, ResultsOriented, 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
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
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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
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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 3
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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 conditions
State Personnel Manuel, Section 10
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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:
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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 A Competency Assessment should be
process of communication and feedback reviewed every 3 years to determine whether
throughout the evaluation cycle
demonstrated competencies are meeting new
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competency requirements
Performance Management –
Developing Goals in the Work Plan
(
Year-End
Review
(March)
Goal
Setting
April / May)
Ongoing
Feedback
& Coaching
Interim
Review
(September)
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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, focus20on
customer service. Goals are written at the “good” level.
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?
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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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Sample Functional Competency
Goals in Work Plan
4
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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
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should not exceed 12.
Ongoing Activity: Observe, Note,
Discuss
 After 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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Preparation for End of Cycle:
Performance Evaluation.
 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!!!
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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
4
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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
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“evaluation” so moving forward, try to use that terminology
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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