Performance Management Lead 2012

1. Performance ManagementLead 2012 Work Plan Development Performance Management Cycle Performance Evaluation Process

2. Objectives • 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

3. 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)

4. From the Office of State Personnel; Form and Process Flowchart POSITION AND INCUMBENT POSITION & REQUIRED COMPETENCIES INCUMBENT Contributing COMPETENCY ASSESSMENT PERFORMANCE MANAGEMENT Journey Advanced • OUTSTANDING • VERY GOOD • GOOD • BELOW GOOD • UNSATISFACTORY • CONTRIBUTING • JOURNEY • ADVANCED SALARY DETERMINATION CAREER DEVELOPMENT PLAN

5. 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) 20% • Managing (Interim Review & Interaction Management) 60% • Appraising (Completion of Appraisal) 20%

6. 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

7. 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!

8. 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, Results-Oriented, 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

9. Work Plan –Methods of Evaluation Checklist

10. 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

11. 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 UNCC Legal Policy Statement # 54

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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 Evaluationis 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:

18. Performance Management vs. Competency Assessment

19. Goal Setting (April / May) Year-End Review (March) Interim Review (September) Ongoing Feedback& Coaching Performance Management – Developing Goals in the Work Plan

20. 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, focus on customer service. Goals are written at the “good” level.

21. 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?

22. Sample Functional Competency Goals in Work Plan

23. Sample Functional Competency Goals in Work Plan

24. Sample Functional Competency Goals in Work Plan 4

25. Behavioral Competencies in the Work Plan

26. Sample Behavioral SMART Goals in the Work Plan • The total number of functional and behavioral competencies listed in a work plan should not exceed 12.

27. 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!

28. 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.

29. 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!!!

30. Performance Evaluation Results (SMART Goal Comments)

31. Performance Evaluation Results (SMART Goal Comments)

32. Snapshot of Performance Evaluation 4

33. Final Behavioral Goal Comments

34. 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 “evaluation” so moving forward, try to use that terminology

35. 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