SPAPerformance Management

School of MedicineBonnie Smith, Employee Relations Consultant

Office of Human ResourcesDerek Hoar, Employee & Management Relations Consultant

May 7, 2012

Performance Management Program

Philosophy◦ The performance management program is a communications

system designed to help the employee succeed.

Program Components◦Work Plans◦Work Planning Conferences◦ Day-to-Day Observation & Documentation◦ Performance Appraisals◦ Development Activities◦ Informal Counseling Sessions

Performance Management Program

Why bother?◦ Communications system for discussing issues◦ Integrates duties with unit objectives

Both understand position better Establishes clarity on expectations Employee has more goals for achievement

◦ Sets baseline for ongoing supervision Supervisor is more aware of employee’s work Both understand personal work habits better Both understand interactions better

Roles & Responsibilities

Employee Actively participate & own the work Ask questions & keep supervisor informed

Supervisor Clarity in expectations & Honesty in appraisal Invest time upfront & use available resources

Second-Level Supervisor Review & sign all work plans & performance reviews Ensure expectations/ratings applied consistently

3rd-Level Supervisor + Quality & Consistency Control

Interaction with Other Policies

Classification and Compensation◦ Proper position description / work plan alignment:

Targets right classification Targets right pay range Targets right competency set

◦ Proper performance appraisal: Provides equitable distribution of Legislative Salary Increase (LSI) Sets eligibility for salary changes (required: “Good” overall rating or

higher) Hiring◦ Proper classification/work plan:

Targets right pool of applicants.◦ Hiring supervisors can review past evaluations.

Interaction with Other Policies

Layoff◦ Selection Criteria (in priority order):

1. Classification2. Appointment Type3. Relative Efficiency4. TSSD5. Diversity

Interaction with Other Policies

Step 1: Classification Type◦ Based on the ongoing business needs, identify which

classification has more positions than will be needed.Administrative Support Specialists (J)

Business Services Coordinators (C)

Accounting Technicians (J)

Student Services Specialist (A)

Interaction with Other Policies

Step 2: Appointment Type◦ Permanent retained before temp, probationary, time-limited

appts.Perm Perm Perm Perm Temp

Administrative Support Specialists (J)

Interaction with Other Policies

Step 3: Relative Efficiency◦ Documented performance and competencies as they relate to

the skill-sets and job duties that will continue to be performed.

O O VG G

Administrative Support Specialists (J)

BD BD Ap Ap

Interaction with Other Policies

Step 4: Total State Service◦ If employees are substantially comparable in relative

efficiency, then the employee with the least state service is selected.

O O O O

Administrative Support Specialists (J)

BD BD BD BD

1990 1999 2003 2004

Interaction with Other Policies

Layoff◦ Selection Criteria (in priority order):

1. Classification2. Appointment Type3. Relative Efficiency4. TSSD5. Diversity

◦ “Relative Efficiency” includes performance & competency. Justifying layoffs heavily dependent on performance documentation and

accurate ratings. Disciplinary Actions◦ Performance-based discipline based on expectations in work plan.◦ Performance documentation is standard evidence in grievances.

Performance Cycle◦ Runs June 1 to May 31.

Work Plan due within 30 calendar days of: ◦ Starting in new position or reclassification◦ Significant changes in duties or expectations◦ Beginning of performance cycle

Work Planning Conference ◦Must be held at least annually, even if no changes have

occurred◦ Expectations may shift-from year-to-year

Expectations in work plan are written at the “Good” level.◦ Distinction between what you “need” (G) and what you

“want” (O)

Performance Management Program

Work Plans

Complete data entry for all personnel actions into HRIS by established University deadlines.

U BG VGG O

5 pm – 1st Monof Next Biweekly

Timely?Quantity?Accuracy?

Autonomy?Manner?

Timely?

Accuracy?Quantity?

Manner?Autonomy?

Day-to-Day Supervision

Meet regularly with employee to discuss work.◦ Vital for new or revised Work Plans.◦ Important even if everything is going well.

Mid-cycle Reviews◦May occur at any time during performance cycle as deemed

appropriate by management.◦ Required if employee received a BG or U on last appraisal

for overall rating or for one or more principal functions. ◦ Documentation:

Save as a separate file, OR Date mid-cycle comments to distinguish from Annual Appraisal

comments. Do not wait until end of cycle to give feedback!

Recordkeeping

Maintain performance management file for each employee. Paper folder, email folder, electronic folder Include current position documents

Keep all items relevant to performance. Counseling memos and “tracking” performance issues Disciplinary Actions (must be removed once inactive) Kudos or other comments from others on performance Documents generated by or about employee (eg: reports)

Always ask: Have I discussed this (good or bad) with the employee?

Recordkeeping

Not Confidential◦Work Plan◦ Position Description

Confidential◦ Development Activities◦ Performance Appraisals◦ Competency Assessments

Retention◦ PM/CA – Three years in department then dispose◦ Position Description – Kept in OHR / Department

North Carolina Rating Scale

OUTSTANDING

VERY GOOD

GOOD

BELOW GOOD

UNSATISFACTORY

Performance Appraisal

Due May 31 Departments may set earlier internal deadlines for internal reviews. 2nd-Level Supervisor (Quality Control): Reviews and approves appraisal

before employees receive them. Coverage

Covers totality of performance cycle, not just performance at time of review.

Employee must have worked for the State in a permanent capacity for at least 3 months to receive annual appraisal.

Overall ratings must be reported to State annually.

Performance Appraisal

Rate performance based on standards◦ Give strong specific examples that reflect overall work◦ Avoid nit-picking minor infractions◦ Use more observation (concrete) and less inference (abstract)◦ Emphasize work performed above and below Good level◦ Assign rating

Overall performance comments◦ “Wrap-up” statement of overall contribution◦May address achievements or concerns that fall outside PFs◦ Issues that fall outside PFs may affect overall rating

Must hold a one-on-one review session with each employee

Performance Appraisal

Disciplinary action issued during performance cycle: Employee should receive no higher than a Below Good for

at least the principal function(s) relevant to the action. Based on other ratings, may receive a higher overall rating.

Sustained Performance Deficiency: If employee has: • Sustained a BG/U (on either overall rating or a principal function) …• For two or more performance reviews (mid-cycle or annual) …• Spanning at least six months.

Then this is an incident of unsatisfactory job performance that unto itself is the basis for disciplinary action if no action has otherwise been taken to address the issues.

Development Activities

Three areas on PMCA Form:

◦ “Overall Performance Comments” For discretionary activities designed to enhance employee

performance.

◦ “Performance Action Plan” For activities determined necessary to correct performance that

does not meet expectations.

◦ “Supervisor’s Comments on Competency Assessment” For activities designed to increase employee knowledge, skills,

and abilities relative to the competency level of the position.

Development Activities

Mandatory◦ If rating on one or more principal functions or on overall rating

is “BG" or “U" on any performance evaluation; or◦ Employee must acquire new body of knowledge or skill to

maintain performance at or above "Good" level or achieve competency level required for position.

Recommended (Expected)◦ At least one development activity each performance cycle for

each employee.

Development Activities

Discuss◦ Employee’s personal career goals◦ Growth opportunities within unit or University.◦ Developing competencies needed in current position

or employee’s career path Examples◦ Required/career-path credentials/certifications◦Work-related skill development/refreshers◦ Academic coursework or continuing education◦ Conference work / committee work◦Mentoring