Performance Management Program

1. SPAPerformance Management School of MedicineBonnie Smith, Employee Relations ConsultantOffice of Human ResourcesDerek Hoar, Employee & Management Relations ConsultantApril 2011

2. 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

3. 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

4. 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

5. 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

6. 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.

7. Interaction with Other Policies • Layoff • Selection Criteria (in priority order): • Classification • Appointment Type • Relative Efficiency • TSSD • Diversity

8. 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) Accounting Technicians (J) Student Services Specialist (A) Business Services Coordinators (C)

9. Interaction with Other Policies • Step 2: Appointment Type • Permanent retained before temp, probationary, time-limited appts. Administrative Support Specialists (J) Perm Perm Perm Temp Perm

10. 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. Administrative Support Specialists (J) O O G VG BD BD Ap Ap

11. 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. Administrative Support Specialists (J) O O O O BD BD BD BD 1990 1999 2004 2003

12. Interaction with Other Policies • Layoff • Selection Criteria (in priority order): • Classification • Appointment Type • Relative Efficiency • TSSD • 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.

13. Performance Management Program • 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)

14. North Carolina Rating Scale Outstanding Very Good Good Below Good Unsatisfactory

15. Work Plans Complete data entry for all personnel actions into HRIS by established University deadlines. U BG G VG O 5 pm – 1stMonof Next Biweekly Timely? Quantity? Accuracy? Autonomy? Manner? Timely? Quantity? Accuracy? Autonomy? Manner?

16. 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.

17. 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.

18. 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

19. 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!

20. 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?

21. 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.

22. 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 aboveand belowGood 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

23. 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.

24. Recalibration • “Things get out of whack” due to changes in: • Budget • Staffing • Facilities • Resources • Technology • Management priorities • May result in changes to: • Performance expectations • Job duties • Position design/levels • Organizational structure

25. Recalibration of Performance Expectations • Realign performance expectations/ratings at GOOD level. • Collective effort by management team. • Meet with your OHR Consultants (C&C, E&S, and E&MR). • Clearly communicate with employees why it is occurring. • Clarify what “good” means and how it relates to work plan. • Seek collaboration with employees in redrafting work plans. • Set several work planning conferences. • Be active in the process.