Performance Management - employee

_____________________________________________________________________________________________________________________________________________________________

Commonwealth of Virginia

Performance ManagementPresented by:

Office of Human ResourcesGermanna Community College

March 2001

Employee Workbook

Performance Management/Compensation ReformCommonwealth of VirginiaCompensation Reform

C O N T E N T S

Page

Training Objectives............................................................................................................................................................3

Links............................................................................................................................................................4

History That Led To The New Design............................................................................................................................................................5

Performance Management Philosophy Statement ............................................................................................................................................................7

Philosophical Shift............................................................................................................................................................8

Rating Levels............................................................................................................................................................9

An Overview............................................................................................................................................................10

New and Enhanced Features............................................................................................................................................................11

Successful Performance Management ............................................................................................................................................................12

Performance Management Process............................................................................................................................................................13

Transition Schedule............................................................................................................................................................16

Personal Learning Goals............................................................................................................................................................17

SMART Measures............................................................................................................................................................18

Career Planning-Growth and Development............................................................................................................................................................19

Five Minute M.A.P.P.............................................................................................................................................................20

Performance Feedback............................................................................................................................................................21

Individual Exercise............................................................................................................................................................25

Self-Assessment............................................................................................................................................................27

Check For Understanding............................................................................................................................................................30

Appendix............................................................................................................................................................31

Objectives of this Training Course

This training will equip you to:

Enhance your level of comfort with the performance management process

Recognize how you can contribute to the achievement of the organization’s vision and your unit’s objective(s)

Understand the performance management program

Identify components of on-going feedback and self assessment

Identify the three levels of performance management

Understand the elements and tools used in performance evaluation

Identify SMART measures

Goals – Performance - Rewards__________________________________________________________________________________________________________________________________

LINKING…

Performance Management/Compensation Reform

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Linking Individual &Team Goals to

Agency’s Mission &Agency’s Strategic Goals

Quality WorkforceCareer Development

TrainingCoaching

DelegatingFeedback

Periodic Evaluations

Creates an Environment thatRewards:

Creativity &Risk TakingExtraordinary Contributions

Quality Customer Service

Philosophical Shift_____________________________________________________________________________________________________________________________________________________________

History That Led To The New Design

The Final Report: Commission on Reform of the Classified Compensation Plan (dated January 14, 2000) provides a background to compensation reform. Highlights of the report are given below. The current classified performance management program, Employee Incentive Pay Program (EIPP), was developed in 1989-90 as a pay-for-performance system. The Commonwealth of Virginia was one of the very first to implement a pay-for-performance system. Its intent was to create an effective performance program that involved both the employee and the supervisor jointly to define job elements and performance expectations. The implementation was designed to include the linkage of employee performance to pay. Since its implementation, EIPP has received wide criticism, especially since it has been funded fully or partially only three times in nine years.

In considering how to design a new employee performance management program, the Commission directed the Technical Advisory Committee (TAC) to address the significant deficiencies and inadequacies of the current system. A major challenge was to develop a new system that would restore Supervisor and employee perceptions of fairness, trust and consistency in pay for performance. The Commission recognizes that this will be a gradual process and will not happen immediately.

The Employee Advisory Committee (EAC) brought to the Commission and TAC’s attention numerous drawbacks in the current system. The most significant drawbacks include the following:

Employees lack confidence in the EIPP performance management process.

EIPP has been inadequately funded. There has been inadequate training of Supervisors and

employees on a consistent basis. Employees expressed the lack of a feedback process to

comment on supervisor performance.


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Supervisors and employees express confusion over the many rating levels. “Meets expectations” is perceived as negative rating, and too many employees are rated as “exceptional”.

Employees feel there is not adequate communication about their performance during the rating cycle.

The existing pay structure has limited the effectiveness of EIPP and the ability of supervisors to embrace pay-for-performance.

The poorly supported utilization of EIPP over the years has created inconsistency and credibility issues.

Employees want a performance management system that effectively addresses poor performance.

There is no provision in the performance management system for the recognition of team performance.

In addressing the above concerns, the TAC identified specific goals and objectives for a new performance management program. The EAC supports these goals and objectives. They are:

To provide monetary reward to better performing employees.

To provide a program for ongoing mandatory training of supervisors and employees.

To provide a refined, more systematic process to address non-performance (non-performers).

To provide options to agencies (one size doesn’t fit all).

To allow recognition of group/team performance.

To allow employee input for developmental purposes into a supervisor’s evaluation.

To consistently and adequately fund performance through the annual average salary increase, as approved by the Governor and General Assembly.


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Compensation Reform Philosophy

The Commonwealth’s compensation philosophy is to pay employees in a manner

sufficient to support and develop a high performance workforce that provides quality services in a fiscally responsible manner to

the citizens of Virginia.

The Goals of Compensation Reform are:

Attract qualified employees Retain qualified employees Reward sustained high

performance Support line management in

accomplishment of organizational objectives.

Performance Management Philosophy

The Commonwealth of Virginia is committed to providing a performance management process that rewards employees for their work contributions in a fair and equitable manner.


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Philosophical Shift

There is an increased emphasis on coaching, feedback, and delegating. For example, to coach is to provide frequent, positive feedback and recognition, to foster career development and to provide honest feedback for improvement. Other features include the following:

Setting goals jointly

Partnering for career development between employees and supervisors

Empowerment within roles–duties & responsibilities

Self-assessment opportunity

Assessment of supervisors by their staff for professional development

Consistent funding for performance and pay practices for flexibility


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Rating Levels_____________________________________________________________________________________________________________________________________________________________

Rating Levels

One of the most recognizable features of the new system that will require a shift in thinking, is that the previous number of rating levels has been reduced from five (5) to three (3) levels. The new rating levels are defined as follows:

Contributor: This rating recognizes work that is at or above the performance standards by meeting and achieving the criteria of the job function throughout the performance cycle. Employees at this level are achieving the core responsibilities and performance measures as outlined by the supervisor.

Extraordinary Contributor: This rating recognizes work that is characterized by exemplary accomplishments throughout the performance cycle and performance that considerably and consistently surpasses the criteria of the job function. To be eligible to receive an overall rating of Extraordinary Contributor, an employee must have received at least one documented Acknowledgement of Extraordinary Contribution form during the rating cycle. However, receipt of this form does not guarantee or necessarily warrant an overall rating of Extraordinary Contributor.

Below Contributor: This rating recognizes job performance that fails to meet the criteria of the job function. An employee who receives at least one Notice of Improvement Needed/Substandard Performance form may receive an overall rating of Below Contributor on the annual rating. An employee cannot be rated Below Contributor on the annual evaluation if he or she has not received at least one Need Improvement/Substandard Performance form during the performance cycle.

There is a significant meaning associated with the word “contributor.” The term “contributor” is intended to convey a sense of commitment, purpose, and obligation that each employee has in contributing to performance, whether it be through individual or team performance. All state employees should take pride in the “contributions” that they make on a daily and long-term basis.

References: Performance Planning and Evaluation Policy 1.40. Human Resources Management Manual, and Final report: Reform of the Classified Compensation Plan, January 14, 2000..


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Overview of Changes_____________________________________________________________________________________________________________________________________________________________

An Overview of Changes

The Performance Management program includes features that are totally new as well as features that are enhanced or revised from the previous program.

Performance Management ComponentsFeature Current New as of

4/1/2001

Com

mon

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Req

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Rating levels 5 levels: Exceptional Exceeds Expectations Meets Expectations Fair But Needs

Improvement Does Not Meet Expectations

3 levels: Contributor Extraordinary

Contributor Below Contributor

Salary Increases Fixed Formula-based

Evaluation Form Standard Agency Unique

Age

ncy

Op

tion

s

Appraisal of employee Supervisor-only Supervisor Employee self-

assessment Others as

appropriateAppraisal of team/group None Team/Group

Employee feedback on supervisor’s performance

None Upward feedback for developmental purposes provided to supervisor’s rater

(Table 5, page 22 of Final Report: Reform of the Classified Compensation Plan)


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New Features_____________________________________________________________________________________________________________________________________________________________

New and Enhanced Features:

New Features

Employee self-assessment Probationary period performance – Management

option to extend up to 18 months

Revised or Enhanced Features:

Rating reduced from 5 to 3 Appraisal instrument Formula based increases Standard Probationary Period is 12 months effective

9/25/2000

Optional Components May Vary Based on Agency Direction:

Appraisal of team/group Appraisal of employee by others Upward feedback for developmental purposes

provided to supervisor’s evaluator


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Performance Management_____________________________________________________________________________________________________________________________________________________________

Successful Performance ManagementCharacteristics of a successful performance management process:

Must support the operations of the agencies Must allow for individual performance to be tied to the

objectives of the group and/or work unit Ensures that agency productivity is enhanced

Must be a process that facilitates each employee’s career development Should be equally important to the employee &

supervisor Successful only where there is good, constructive

communication between employees & supervisors

Must provide the evaluative tool that determines salary actions The new system differentiates between those who are

maintaining the performance standard expected of all employees (Contributor) and those who are not meeting job expectations or minimum requirements (Below Contributor)

Additionally, there is a level (Extraordinary Contributor) for those who provide exemplary services above and beyond the performance standards expected in the position and who provide contributions/services outside the normal duties of their jobs.

Must provide quality feedback to employees While salary increases are important to employees,

receiving feedback and being satisfied with their own performance can be a great motivator than money for most employees

Employees need to feel that they are treated fairly and with respect.

Employees, and supervisors must understand the system and believe in it On-going training for all levels

Provides rewards for performance


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Performance Management_____________________________________________________________________________________________________________________________________________________________


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What You Need to Know About Performance Management

In the next few pages, each step of the Performance Planning and Evaluation cycle will be introduced to familiarize you with the documents, communications and requirements.

Each employee plays an active role in performance ce management by:

contributing to goal setting and creating measurements

managing your work and projects as set forth in your Employee Work Profile and Performance Plan

keeping your Supervisor informed when deadlines cannot be met or there is a problem that he or she should know about

asking for help when you need it and helping others when appropriate

providing praise to your Supervisor and co-workers for reinforcement and tactful, constructive feedback for desired changes

providing input to your supervisor during the performance evaluation process

It is important to utilize new and/or different skills to get the most from the performance management system.

This training program will help you learn new concepts and skills so you can benefit from the new system.

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Performance Planning and Evaluation_____________________________________________________________________________________________________________________________________________________________

Your Role in Performance Planning and Evaluation

Every step of the performance management process has clearly identified goals and requirements. The process begins with the creation of the new Employee Work Profile (see appendix 1) to the end of the cycle, which includes the evaluation meeting.

Phases and Components Your RolePhase 1: Performance Planning

* Goal setting and establishing measures that are “SMART”: Specific, Measurable, Attainable, Relevant, and Time Framed

* Making a personal plan (M.A.P.P.) for your own career growth and development

Determine organizational Objectives and Purpose of PositionsIdentify Core Responsibilities Identify Special AssignmentsOptional Evaluation FactorsEmployee DevelopmentChanges in the EWPPerformance Planning Meeting

Phase 2: On-Going Feedback* Professionally and gracefully receiving feedback from your supervisor

* Tactfully giving feedback to your supervisor that will recognize helpfulness and address problems

Gather Information for Evaluations (data sources)Give Feedback During the CycleConduct Interim Evaluation MeetingDocument Exceptional or Substandard PerformanceHandle Poor PerformancePersonnel Changes

Phase 3: Annual Evaluation* Recognize your own strengths and weaknesses and document your performance

* Provide input to your supervisor about your own performance for your annual evaluation

Review Employee Self-evaluationComplete the EvaluationObtain Reviewer ApprovalConduct the Evaluation Meeting

Special Circumstances * Depending on your agency’s approach to performance management, you may be able to provide formal feedback about your supervisor’s and co-workers’ performance

Probationary Period Below Contributor EvaluationTeam EvaluationsAppeal of the EvaluationUpward Feedback


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Performance Planning and Evaluation_____________________________________________________________________________________________________________________________________________________________


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Employee Work Profile_____________________________________________________________________________________________________________________________________________________________

The Employee Work Profile

Please refer to the EWP in your Appendix for a walk through of the Performance Evaluation Form ( page 45).


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No t e s

Employee Transition_____________________________________________________________________________________________________________________________________________________________

Performance Management Transition Schedule

E valuations Evaluation Cycle Ending October 24, 2000

Agencies should use existing performance planning and evaluation forms.

F uture E valuations Implementation is 2001. Short cycle begins

4/01/01 and ending 10/24/01

Agencies should use new EWP. New EWP combines elements of current position description and current performance Planning and Evaluation Forms.

E valuations P rior to 4/01/01 Agencies should extend current performance plans if no significant changes have occurred in employee duties. Employee should be notified of extension and of re-signing necessary.

If employee duties changed significantly a new plan should be developed and signed

E valuations - 2001

New EWP should be used Performance throughout the entire year should be considered (beginning October, 25, 2000).

** Training on the use of the EWP and performance management process will be presented prior to implementation.


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Employee Transition_____________________________________________________________________________________________________________________________________________________________

Personal Learning Goals

You and your supervisor should try to identify one or two Personal Learning Goals for each performance cycle. Write them in the “SMART” format (Specific, Measurable, Attainable, Relevant and Time Framed).

After identifying the Learning Goals, the Learning Steps should lay out a specific set of activities that will be performed to achieve each learning goal. For each Learning Step the required Resources – such as formal training, supervisory mentoring, on-the-job-training, a new computer application – to perform it should be identified. If possible, a date should be associated with each step to serve as a milestone.

The following exercise will give you an opportunity to practice the SMART measures that will be used to set these personal learning goals.


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No t e s

Goal Setting_____________________________________________________________________________________________________________________________________________________________

SMART Measures

Define the need

S Specific

M Measurable

A Attainable

R Relevant

T Time Framed

Clarify costs and benefits

Brainstorm obstacles and challenges

List 3 solutions for each obstacle


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General Need

SMART

Review &Revise

Plan ActionSteps

Self Assessment_____________________________________________________________________________________________________________________________________________________________

Career Planning – Growth and Development

Your growth and development in your work unit is as important as the work that you do. You should take personal responsibility for your individual career planning process. You should set personal goals that will guide your development to both expanded opportunities and broader horizons in the workplace. Assessing your individual capabilities and expectations for development should follow a logical process. Take a look at the present and the future to help in attaining the goals associated with your work and the opportunities that exist there. Planning is a helpful tool and certainly can lead to brighter outcomes. The following information will provide an excellent beginning to the planning process.

Determine your personal goals as they link to the goals of your unit and your agency goals.

Assess your own development needs by determining gaps between what you are required to do in your job and your current knowledge and abilities

Make a personal plan for reaching goals so you have a way to identify your needs and track your progress

Identify opportunities for learning such as training workshops, special assignments, or reading professional books or journals

Use all available internal & external resources such as agency-sponsored training workshops or local community college courses


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Performance Feedback_____________________________________________________________________________________________________________________________________________________________

The Five Minute M.A.P.P.Make A Personal Plan

NOW

6 MONTHS FROM NOW

5 YEARS FROM NOW


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YOU

Your current job position: What changes would you like to make? Training/Education needed: Identify Opportunities for Learning:

Career Goal: Training/Education Needed: Identify Opportunities for Learning:

Career Goal:

Training/Education Needed: Identify Opportunities for Learning:

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Performance Feedback

You probably experience two types of performance feedback:

Formal feedback: Usually takes place during a performance evaluation discussion, is documented according to the Commonwealth’s system, and affects your pay increase. This formal discussion is documented and becomes a part of your official personnel record.

Informal, on-going feedback: Usually takes place on a day-to-day, as needed basis as a way to correct problems and/or communicate expectations, needs, or appreciation. This kind of feedback is not typically documented, although supervisors and employees are being encouraged to document performance to facilitate the evaluation process.

Why is feedback necessary?

establishes a work climate in which people know what is expected so they can be more productive

Takes out the “guess work” that wastes time and frustrates people!

creates positive, open communications about work performance between Supervisors and employees

Reduces stress and conflict – Builds trust


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Two-way feedback: This is feedback that flows between you and your supervisor. An “upward feedback” tool has been created to facilitate this process formally; however, you can also have informal, on-going discussions with your supervisor about your performance and how his/her performance affects your work.

360 Degree Feedback: This is feedback from people who work with you – in addition to your supervisor. Your peers, teammates, customers, and your supervisor complete the 360 degree- or full circle feedback. See the appendix for a more detailed definition. This feedback process is an option available to state agencies.



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Tips For Receiving Feedback

Ask that the situation be described specifically.

Listen for understanding. Repeat back what was said to be sure you understand – before you defend or explain your point of view.

Make sure you understand what the Supervisor wants you to do.

Describe your point of view – especially if there are discrepancies between what the Supervisor is addressing and the situation as you perceive it.

Stay focused on the performance issue and not personalities, other people, or your opinions about broader issues. This is not a good time to “vent.”

Describe what you will do about the performance issue and offer suggestions for how you can improve the situation or continue the good performance. (Not all feedback is negative!)

Ask for help and/or resources as appropriate.

Write notes for yourself and keep in a file for future reference. This will help you to recall the discussion later and track your progress as well.

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Factors That Make People Reluctant to Give Feedback:

They don’t think it matters or will make a difference

They don’t have the skill to do it and lack confidence

They get too busy to take the time for it

They think people already know what they are thinking

They fear retaliation or upsetting someone


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Self Assessment_____________________________________________________________________________________________________________________________________________________________

Which


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N o t e s Tips For Giving Upward Feedback

Everyone needs feedback! Your supervisor may be receiving less feedback than you think! He or she needs to know what they are doing that is helpful.

Feedback must be timely to be meaningful. Timing is everything!

You must be sincere – vague statements about how “great” someone is may come across as an empty compliment. You need to be specific AND sincere about the action or behavior that you want to praise.

When someone responds to your feedback, listen and avoid interrupting.

Feedback can reinforce good or exceptional performance or help your supervisor know how to provide you with what you need to get the job done. So, it is worth the time and effort to periodically discuss problems, issues, and what is going well with your supervisor.

Treat others as you would want to be treated. Give feedback with respect for the individual and his or her feelings of pride. You can model the way to give feedback by how you interact with your supervisor and teammates.

Planning for feedback is important. Make sure that you are clear about what you want to communicate and make sure the person is ready to receive the feedback.

Write notes for yourself and keep in a file for future reference. This will help you to recall the discussion later and track your progress as well.

Self Assessment_____________________________________________________________________________________________________________________________________________________________

Which example is best? To Your Supervisor: Thanks for allowing me to attend the conference last week. It was great!

To Your Supervisor: Thanks for supporting my attendance at last week’s professional administrative assistant conference. I learned several new techniques that will help me to be more organized. You certainly are a supervisor who supports my growth and development. I really appreciate that!

Which example is best? To Your Supervisor: I have a difficult time getting my monthly XYZ expense report done by the deadline when I don’t receive your input until the day before my report is due. Your input is critical to the report so I end up getting the report submitted late making it look like I didn’t do a good job. Could you help me out by getting it me no later than the 20th of each month? That way our department will meet its timely reporting goal!

To Your Supervisor: Could you possibly give me your information for my monthly report earlier next month?

Now it is your turn:Think of some things you need to discuss with your supervisor. Think of at least one positive, appreciative thing you should tell your supervisor. Write the message using the “Tips for Giving Upward Feedback” on the previous page.

Now think of at least one criticism, or constructive thing you should tell your supervisor. Write the message using the “Tips for Giving Upward Feedback” as well as the “good” examples above as a guide. Remember to emphasize the impact of the supervisor’s actions or inactions on your performance. Remember to offer a suggestion regarding the desired results and the benefits.


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Positive Feedback:

Constructive Feedback:

Self Assessment_____________________________________________________________________________________________________________________________________________________________

Benefits of Improving Your Feedback Skills:

Builds my relationship with my supervisor Improves my line of communication with my supervisor Makes my job easier Eliminates surprises when I have my annual evaluation meeting


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Self Assessment_____________________________________________________________________________________________________________________________________________________________

Self -AssessmentSelf-assessment is an important starting point for gathering input beyond the traditional source: the “Supervisor.” The benefit is increased involvement in the process of assessing strengths and areas in need of improvement, thus increasing commitment to career and performance planning.

Another benefit is increased motivation. You will be more motivated to accomplish a task or reach a goal that you helped to create. The new Performance Planning and Evaluation Policy 1.40 requires that “Each employee must be afforded an opportunity to provide the supervisor with a self-assessment of job performance for the rating period.”

“Agencies may also elect to allow subordinate input into the evaluation of supervisors.” This is called “Upward Feedback.”


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Self Assessment_____________________________________________________________________________________________________________________________________________________________

Self-AssessmentWhat are the Benefits?

Benefits of Self –Assessment for You:

By reviewing the progress and goals you’ve achieved you’ll gain a sense of accomplishment

You’ll see for yourself where you need to spend more time and attention (areas in need of improvement)

You’ll be prepared to “toot your own horn” and maybe remind your supervisor of things that were not documented

You’ll be prepared to accept responsibility for what needs improvement

Benefits of Self-Assessment for your Supervisor:

By listening to your point of view, your supervisor may gain a different perspective

Involving you in the process builds trust and respect between you and your supervisor

They’ll learn of any differences of opinion about performance and can prepare for that

Your input increases the quality of the review


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Self Assessment_____________________________________________________________________________________________________________________________________________________________

The Self-Assessment Process – Keys to Success


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Keep track of your accomplishments

Maintain a cooperative tone

Recognize areas that need improvement

Be honest with yourself

Keep a file:

notes about your accomplishments thank you letters or e-mails that

applaud your work notes about deadlines you met and

those you didn’t with reasons why “progress” or other reports that

highlight the milestones you’ve reached or results achieved

documented performance discussions you’ve had with your supervisor

Self Assessment_____________________________________________________________________________________________________________________________________________________________

Check For Understanding

Multiple Choice: Choose best answer.

1. This term is intended to convey a sense of commitment, purpose, and obligation that each employee has toward performance.(a) exceptional (b) contribution (c) expectations

2. This period of time is revised for standard probationary performance.(a) from 12 months to 18 months (b) from 6 months to 18 months(c) from 6 months to 12 months

True or False:

3. (T) (F) Both the current and the new performance program, includedprovisions for a planning stage conducted at the beginning of each rating period for each employee.

4. (T) (F) Extraordinary contributor or exceptional performance can be used to describe performance that exceeds expectations on a regular basis.

5. (T) (F) An agency may use “multiple source” feedback. The agency should provide appropriate training to employees and supervisors on giving and receiving feedback.

6. The employee who is rated as an “extraordinary contributor” has at least one “event” during the rating cycle which is ___________by the rater and reviewer as a Recognition of Extraordinary Contribution.

8. Criticism of the system that is in place is based on a lack of consistent __________, lack of consistent _____________ of Supervisors and employees, and a lack of a ___________ process to comment on supervisor performance.

9. The rating levels in the previous system provided confusion over the many rating levels. One level “___________ ______________” was perceived as a negative rating, and too many employees were rated as ___________________.

10. The pay out for performance was based on a fixed, across the board increase but is now based on a ___________________ -based system.

Words you can use:

rater exception expectations documented delegated feedback

formula performance completion funding criticismMeets expectations

upward


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R

E

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W

Appendix_____________________________________________________________________________________________________________________________________________________________

contribution training feedback communicated coaching communicating

Appendix


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Appendix_____________________________________________________________________________________________________________________________________________________________

PERFORMANCE MANAGEMENT

Acknowledgment ofExtraordinary Contribution

Name: Employee ID# or SS#:

Position Number: Agency & Division:

Work Title:

This form documents and recognizes you for the extraordinary contribution you have made in the performance of your duties. You are commended for your exemplary accomplishment/performance.

Description of specific extraordinary contributions:

Supervisor’s Signature: Date:

Reviewer’s Comments: Signature: Date:

Employee’s Comments: Signature: Date:

Note: An employee must receive at least one Acknowledgement of Extraordinary Contribution during the performance cycle to be eligible for an overall “Extraordinary Contributor” rating on the performance evaluation conducted in the same performance cycle. Receipt of one or more Acknowledgement forms does not automatically entitle an employee to the “Extraordinary Contributor” rating.


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Appendix

_____________________________________________________________________________________________________________________________________________________________

PERFORMANCE MANAGEMENT

Notice Of Improvement Needed/Substandard Performance

Name: Employee ID# or SS#:

Position Number: Agency & Division:

Work Title:

This form documents that you must make immediate improvement in the performance of your duties. Continued poor performance as described below may result in an overall “Below Contributor” rating on the annual performance evaluation conducted in this performance cycle.

Description of specific performance deficiencies and improvements needed:

Improvement plan:


Reviewer’s Comments: Signature: Date:

Employee’s Comments: Signature: Date:

Note: An employee who receives at least one Improvement Needed form during the performance cycle may receive an overall “Below Contributor” rating on the performance evaluation conducted in the same performance cycle. Receipt of one or more of these forms does not automatically warrant a “Below Contributor” rating.


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Appendix

_____________________________________________________________________________________________________________________________________________________________

P erformance I ncreases and F ormula

Average Increase

Each year, the Governor and the General Assembly will approve an average performance increase for classified state employees. This is called the Statewide Average Salary Adjustment.

Example: A 3% Statewide Average Salary Adjustment isapproved.

The amount of the average increase will be based on available funding and on the size of increases that other employers are providing.

Each agency will receive a fixed dollar amount, based on that agency’s total payroll and the Statewide Average Salary Adjustment percentage, to pay for the salary increases.

Example: Agency XYZ has 10 employeesEach employee’s salary is $10,000.The total payroll is $100,000 (10 * $10,000)3% for this agency is $3,000 (.03 * $100,000)

The average salary increase for performance in each agency cannot exceed the Governor- and General Assembly-approved Statewide Average Salary Adjustment.

An agency may, by designation in the Agency Salary Administration Plan, treat sub-agencies or sub-units of the agency separately. If so, the average increase in each sub-agency or sub-unit is limited to the Statewide Average Salary Adjustment.

Agencies may not use funds from other sources for performance increases. Agencies may not save performance funding ($3,000 in the example above) for other purposes.


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Appendix_____________________________________________________________________________________________________________________________________________________________

Agency Flexibility

As long as agencies do not exceed the Statewide Average Salary Adjustment, they will have flexibility in determining the amount of salary increase that employees will receive. The following limitations will apply to this flexibility:

Within the agency, sub-agency, or sub-unit, all employees with the same rating will receive the same increase.

Employees rated “Below Contributor” will not be eligible for a performance increase.

Employees rated “Contributor” must receive between 80% and 100% of the Statewide Average Salary Adjustment.

Example: If the Statewide Average Salary Adjustment is 3%, the increase for Contributors can equal any percentage from 2.4% (0.8 * 3.0%) to 3.0% (100% of 3.0%)

Employees rated “Extraordinary Contributor” must receive between 100% and 250% of the Statewide Average Salary Adjustment.

Example: If the Statewide Average Salary Adjustment is 3%, the increase for Extraordinary Contributors can equal any percentage from 3.0% (100% of 3.0%) to 7.5% (2.5 * 3.0%)

The amount of spread between the increases given to employees rated “Contributor” and “Extraordinary Contributor” will be affected by the amount of difference the agency wants to make and by the number of employees with each rating. To ensure the most effective use of performance funds, agencies should determine the actual percentage increases after all of their evaluations are completed each year.

Performance Management/Compensation Reform36

Appendix_____________________________________________________________________________________________________________________________________________________________

Examples:

1) Agency XYZ doesn’t want to make a distinction in salary increases for “Contributor” and “Extraordinary Contributor” performance. The agency decides to grant all of its employees 3% increases, or 100% of the average increase. Assume that 8 employees are rated “Contributor” and 2 are rated “Extraordinary Contributor.”

RATING

CONTRIBUTOR EXTRAORDINARY CONTRIBUTOR

PERCENT INCREASE 3% 3%NUMBER RECEIVING 8 2EACH EMPLOYEE’SINCREASE

.03 * 10,000=$300 .03 * 10,000=$300

COST 8 * 300 = $2,400 2 * 300 = $600TOTAL COST $2,400 + $600 = $3,000

2) The next year, agency XYZ decides to give the greatest possible salary difference between “Contributor” and “Extraordinary Contributor” performance. The agency limits “Contributors” to 80% of the 3% average, or 2.4% increases. It has a small number of employees rated “Extraordinary Contributor,” so there is enough money left to provide those rated “Extraordinary Contributor” 5.4% increases (180% of 3%).

RATING


PERCENT INCREASE 2.4% 5.4%NUMBER RECEIVING 8 2EACH EMPLOYEE’SINCREASE

.024 * 10,000=$240 .054 * 10,000=$540

COST 8 * 240 = $1,920 2 * 540 = $1,080TOTAL COST $1,920 + $1,080 = $3,000


Appendix_____________________________________________________________________________________________________________________________________________________________

3) In the third year, agency XYZ still wants to provide the greatest possible pay difference, but this year one-half of the employees in the agency are rated “Extraordinary Contributor.” Therefore, even by giving those rated “Contributor” 2.4% increases, the agency can only afford to give the employees rated “Extraordinary Contributor” 3.6% increases (120% of the 3% average).

RATING


PERCENT INCREASE 2.4% 3.6%NUMBER RECEIVING 5 5EACH EMPLOYEE’SINCREASE

.024 * 10,000=$240 .036 * 10,000=$360

COST 5 * 240 = $1,200 5 * 360 = $1,800TOTAL COST $1,200 + $1,800 = $3,000

Other Considerations:

Probationary employees may receive smaller increases than other employees with the same rating, depending on how long they have been employed at the end of the performance cycle. Agencies may also reduce the amount of increase for employees who are on extended leave during the performance cycle.

Employees who receive promotions, voluntary transfers, reassignments, demotions, role changes, or in-band adjustments are eligible to receive the same percentage based on their performance evaluation as those employees who do not.


Appendix

_____________________________________________________________________________________________________________________________________________________________

Instructions for Completing Employee Work Profile (EWP)

IntroductionThe Employee Work Profile is a combination of the employee work description, performance plan, and evaluation assessment. Sections I, II, III, and IV are written or reviewed by the supervisor and the employee at the beginning of the evaluation cycle to determine work plans and development needs. Sections V, VI, VII, VIII and IX then are completed by the supervisor and reviewed with the employee at the end of the cycle. Agencies may develop their own forms, as long as the required features are included. A combined form, including both the position responsibilities and the performance plan and evaluation may be used, or separate forms may be developed. These forms should be formatted in a way to allow them to be shared under Freedom of Information (FOI) or with other agencies, so SSN and other sensitive personnel info should not be included.

Part I – Position Identification Information1. Position Number: Enter assigned position number. (Required Field)2. Agency Name & Agency Code; Division/Department: Enter agency name and agency code; division or

department name as appropriate. (Required Field)3. Location Code and Work Location Code: Enter the location code for the agency and for the work area.

(Required Field)4. Occupational Family & Career Group: Enter the assigned occupational family and career group.

(Required Field)5. Role Title & Code: Enter the position’s Role title and code. (Required Field)6. Pay Band: Enter the pay band to which this role is assigned. (Required Field)7. Work Title: Enter the employee’s work title if used. (Optional Field)8. SOC Title & Code: Enter the assigned SOC title and code. (Required Field)9. EEO Code: Enter the appropriate EEO code. (Required Field)10. Level Indicator: Check the appropriate box for employee, supervisor, or manager. (Required Field)11. Supervisor’s Position Number: Enter the supervisor’s assigned position number. (Required Field)12. Supervisor’s Role Title & Code: Enter the supervisor’s role title and code. (Required Field)13. FLSA Status: Check the appropriate box to designate the position as exempt or non-exempt under the

Fair Labor Standards Act. (Required Field)14. Date: Enter the date the Employee Work Profile is effective (normally the date the position is established

or that changes are made to the work assignments). (Required Field)

Part II – Work Description & Performance Plan (required as part of the Work Description, but agencies may define the components.)15. Organizational Objective: A brief statement describing how the position links to the work unit, division or

agency’s objective(s). This statement helps the supervisor and employee align the position's work assignments and priorities to agency-desired outcomes and results.

16. Purpose of Position: A brief description of the reason the position exists. This statement should link to the organizational objective and capture the most important service or product expected from the employee in the position. This statement gives the reader a good idea of the purpose of the position without going into detail.


39

Appendix_____________________________________________________________________________________________________________________________________________________________

17. KSA’s and/or Competencies: A description of the expertise required to successfully perform the work assigned to the employee. It may be used in hiring new employees or to describe the competency or skill level of the incumbent.

18. Education, Experience, Licensure, Certification: Enter the educational background that would be required for entry into position. Also, list any occupational certifications or licenses that the employee must hold.

19. Core Responsibilities (A – F): Core responsibilities are defined as primary and essential to the work performed and are written as broad sets of major duties or functions. The core responsibilities must provide sufficient information to assign the position to the proper Role, determine FLSA exemption status, and provide a basis for performance evaluation. List up to five core job responsibilities in order of their importance to the whole job. Statements should be brief and do not have to include every detail of the position’s activities. Performance management is preprinted and a required core responsibility for all supervisory employees.

20. Measures for Core Responsibilities (A – F): Identify the qualitative and/or quantitative measures against which each responsibility will be assessed.

21. Special Assignments (G - H): Special assignments are considered brief in nature and typically are not extended beyond the performance period. Statements should be brief and do not have to include every detail of the assignment.

22. Measures for Special Assignments (G - H): Identify the qualitative and/or quantitative measures against which each assignment will be assessed.

23. Agency and Departmental Objectives (I – L): Objectives are defined as strategic business objectives to achieve goals set by the agency or division/department. They also may include behavioral competencies that are critical to the employee’s success. Identifying objectives and/or competencies on the work plan helps to support organizational values and goals and reinforces each employee’s role in meeting those goals.

24. Measures for Agency/Departmental Objectives (I – L): Identify the qualitative and/or quantitative measures against which each objective will be assessed.

ADDENDUM – An Organizational Chart must be included with the Work Description/Performance Plan. (required)

Part III – Employee Development Plan (required as part of the performance plan but agencies may define the components)25. Personal Learning Goals: List any learning goals identified by the employee and/or the supervisor.26. Learning Steps/Resource Needs: Indicate specific steps that need to be taken and by whom to

accomplish the learning goals. This may include training, coaching, or other learning methods.

Part IV – Review of Work Description/Performance Plan (Required)27. Employee’s Comments, Signature, & Date28. Supervisor’s Comments, Signature, & Date29. Reviewer’s Comments, Signature, & Date

Part V – Employee/Position Identification Information (required for Development Plan and Performance Evaluation)30. Position Number: Enter assigned position number. (Required)31. Agency Name & Agency Code; Division/Department: Enter agency name and agency code; division

and department name as appropriate. (Required)32. Employee Name: Enter employee’s full name. (Required)33. Employee ID Number: Enter unique ID number to identify employee. (Required)

Part VI – Performance Evaluation (required but agencies may define the components)34. Core Responsibilities - Rating Earned (A – F): Check the appropriate rating earned by the employee

during the performance cycle.


Appendix_____________________________________________________________________________________________________________________________________________________________

35. Core Responsibilities - Comments on Results Achieved (A – F): Describe the employee's performance including documentation to support the earned rating.

36. Special Assignments - Rating Earned (G - H): Check the appropriate rating earned by the employee. 37. Special Assignments - Comments on Results Achieved (G - H): Describe the employee's performance

including documentation to support the earned rating. 38. Agency Objectives - Rating Earned (I – L): Check the appropriate rating earned by the employee.

(optional)39. Agency Objectives - Comments on Results Achieved (I – L): Describe the employee's performance

including documentation to support the earned rating. 40. Other Significant Results for the Performance Cycle: Record any significant aspects of the employee’s

job performance that are not addressed elsewhere in the evaluation. Only include comments that are related to the employee’s job performance.

Part VII – Employee Development Results (required but agencies may define the components)41. Year-end Learning Accomplishments: Summarize accomplishments related to the personal learning

goals that were set at the beginning of the cycle.

Part VIII – Overall Results Assessment and Rating Earned42. Overall Rating Earned: Check the appropriate overall rating earned by the employee during the

performance cycle. (Required)

Part IX – Review of Performance Evaluation (Required)43. Supervisor’s Signature & Date44. Reviewer’s Comments, Signature, & Date45. Employee’s Comments, Signature, & Date

Optional SectionsConfidentiality Statement – allows an agency to identify confidentiality as a critical organizational value and to establish clear consequences if confidentiality is violated.Annual Requirements – provides a method to easily gather and track certain agency-specific information on an annual basis.Physical/Cognitive Requirements – documents essential and marginal job functions for use in accommodating certain medical issues.


Appendix_____________________________________________________________________________________________________________________________________________________________

EMPLOYEE WORK PROFILE

WORK DESCRIPTION/PERFORMANCE PLAN

PART I – Position Identification Information1. Position Number: 2. Agency Name & Code; Division/Department:

3. Location Code and Work Location Code: 4. Occupational Family & Career Group:

5. Role Title & Code: 6. Pay Band:

7. Work Title: 8. SOC Title & Code:

9. EEO Code: 10. Level Indicator: Employee Supervisor Manager

11. Supervisor’s Position Number: 12. Supervisor’s Role Title & Code:

13. FLSA Status: Exempt Non-Exempt

14. Date:

PART II – Work Description & Performance Plan15. Organizational Objective:

16. Purpose of Position:

17. KSA’s and or Competencies required to successfully perform the work (attach Competency Model, if applicable):

18. Education, Experience, Licensure, Certification required for entry into position:


Parts I, II, III, and IV are written or reviewed by the supervisor and discussed with the employee at the beginning of the evaluation cycle.

Appendix_____________________________________________________________________________________________________________________________________________________________

19. Core Responsibilities 20. Measures for Core ResponsibilitiesA. Performance Management (for employees who

supervise others)Examples of Measures for PerformanceManagement: Expectations are clear, well communicated, and relate to the

goals and objectives of the department or unit; Staff receive frequent, constructive feedback, including interim

evaluations as appropriate; Staff have the necessary knowledge, skills, and abilities to

accomplish goals; The requirements of the performance planning and evaluation

system are met and evaluations are completed by established deadlines with proper documentation;

Performance issues are addressed and documented as they occur.

Safety issues are reviewed and communicated to assure a safe and healthy workplace.

B.

C.

D.

E.

F.

21. Special Assignments 22. Measures for Special Assignments


Appendix_____________________________________________________________________________________________________________________________________________________________

G.

H.

Optional23. Agency/Departmental

Objectives24. Measures for Agency/Departmental Objectives

I.

J.

K.

L.

ADDENDUM – ORGANIZATIONAL CHART

This page is printed separate from the remainder of the Work Description/Performance Plan because it contains confidential employee information.


Appendix_____________________________________________________________________________________________________________________________________________________________

PART III – Employee Development Plan25. Personal Learning Goals

26. Learning Steps/Resource Needs

Part IV - Review of Work Description/Performance Plan27. Employee’s Comments: Signature:

Print Name:

Date:

28. Supervisor’s Comments: Signature:

Print Name:

Date:

29. Reviewer’s Comments: Signature:

Print Name:

Date:


Appendix_____________________________________________________________________________________________________________________________________________________________

EMPLOYEE WORK PROFILE PERFORMANCE EVALUATION

The following pages are printed separate from the remainder of the EWP because they contain confidential employee information.

PART V – Position Identification Information30. Position Number: 31. Agency Name & Code; Division/Department:

32. Employee Name: 33. Employee ID Number:

PART VI – Performance Evaluation34. Core Responsibilities -

Rating Earned35. Core Responsibilities - Comments on Results Achieved

A. Extraordinary

Contributor

Contributor

Below Contributor

B. Extraordinary

Contributor

Contributor

Below Contributor

C. Extraordinary

Contributor

Contributor

Below Contributor

D. Extraordinary

Contributor

Contributor

Below Contributor

E. Extraordinary

Contributor

Contributor

Below Contributor

F. Extraordinary

Contributor

Contributor

Below Contributor

36. Special Assignments - Rating Earned

37. Special Assignments - Comments on Results Achieved


Parts V, VI, VII, VIII, and IX are written or reviewed by the supervisor and discussed with the employee at the end of the evaluation cycle.

Appendix_____________________________________________________________________________________________________________________________________________________________

G.

Extraordinary Contributor

Contributor

Below Contributor

H.


Contributor

Below Contributor

38. Agency/Department Objectives - Rating Earned

39. Agency/Department Objectives - Comments on Results Achieved

I.


Contributor

Below Contributor

J.


Contributor

Below Contributor

K.


Contributor

Below Contributor

L.


Contributor

Below Contributor

40. Other significant results for the performance cycle:


Appendix_____________________________________________________________________________________________________________________________________________________________

Part VII - Employee Development Results41. Year-end Learning Accomplishments:

Part VIII - Overall Results Assessment and Rating EarnedAn employee must receive at least one Performance Management Need Improvement/Substandard Performance form during the performance cycle in order to be eligible for an overall “Below Contributor” rating during the same performance cycle.

An employee who earns an overall rating of “Below Contributor” must be reviewed again within three months.

An employee must receive at least one Acknowledgment of Extraordinary Contribution form during the performance cycle in order to be eligible for an overall “Extraordinary Contributor” rating during the same performance cycle. However, the receipt of an Acknowledgment of Extraordinary Contribution form does not guarantee an overall performance rating of “Extraordinary Contributor” for that performance cycle.

42. Overall Rating Earned


Contributor

Below Contributor

Part IX - Review of Performance Evaluation43. Supervisor’s Comments: Signature:

Print Name:

Date:


Appendix_____________________________________________________________________________________________________________________________________________________________

44. Reviewer’s Comments: Signature:

Print Name:

Date:

45. Employee’s Comments: Signature:

Print Name:

Date:


Appendix_____________________________________________________________________________________________________________________________________________________________

EMPLOYEE WORK PROFILE – AGENCY OPTIONAL SECTIONS

Confidentiality Statement:

I acknowledge and understand that I may have access to confidential information regarding [employees, students, patients, inmates, the public]. In addition, I acknowledge and understand that I may have access to proprietary or other confidential information business information belonging to [Agency]. Therefore, except as required by law, I agree that I will not: Access data that is unrelated to my job duties at [Agency]; Disclose to any other person, or allow any other person access to, any information related to [Agency] that

is proprietary or confidential and/or pertains to [employees, students, patients, inmates, the public]. Disclosure of information includes, but is not limited to, verbal discussions, FAX transmissions, electronic mail messages, voice mail communication, written documentation, “loaning” computer access codes, and/or another transmission or sharing of data.

I understand that [Agency] and its [employees, students, patients, inmates, public], staff or others may suffer irreparable harm by disclosure of proprietary or confidential information and that [Agency] may seek legal remedies available to it should such disclosure occur. Further, I understand that violations of this agreement may result in disciplinary action, up to and including, my termination of employment.

______________________________________________ ______________Employee Signature Date

Annual Requirements:Activity Current? If so, Date completed?Required In-Service or other training Yes _____________Date No N/AValid Licensure/Certification/Registration Yes _____________Date No N/AEmployee Health Update Yes _____________Date No N/A

Physical/Cognitive Requirements (Indicate by each E = Essential, M = marginal, or N/A)

Physical Demands and Activities:Light lifting <20 lbs. Standing Sitting BendingModerate lifting 20-50 lbs. Lifting Walking ClimbingHeavy lifting >50 lbs. Reaching Repetitive motionPushing/pulling Other

Emotional Demands: Mental/Sensory Demands:Fast pace Avg. pace Memory Reasoning LearningMultiple priorities Reading Analyzing LogicIntense customer interaction Verbal communicationMultiple stimuli Written communicationFrequent change Other


Appendix

_____________________________________________________________________________________________________________________________________________________________

Interim Evaluation Form

Employee Name:

Supervisor Name: Meeting Date:

Performance Areas Fully Meeting Job Criteria or Job Responsibilities

Performance Areas Identified for Improvement/Substandard

Additional Discussion Items (e.g., project updates, progress on priorities, training and professional development, employee’s concerns)

Next Steps in Employee Development (for both the supervisor and employee)

Employee’s Signature: Date:



51

Probationary Progress Review

Projected Probationary End Date:Review Interval:

3-month 6-month Probationary Period End Other:

Employee Name (Last, First, Middle) Employee ID Number

Position Number Role Title Working Title

Agency Sub-Division

Employment Date Supervisor’s Name Supervisor’s Title

Comments on Overall Progress (Attachments may be added if necessary. Indicate # of attachments here: ____)

Overall Results of Review

Contributor Performance shows consistent achievement toward meeting established performance expectations.

Below Contributor Performance shows deficiencies which interfere with the attainment of performance expectations.

Employee Development PlanPersonal Learning Goals Learning Steps/Resource Needs

Comments On ReviewSupervisor’s Signature: Date:

Employee’s Signature: Date:


52

Business

Performance Management - employee