DHR Managers Guide to the Performance Management Process

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DHR Managers Guide to the Performance Management Process

  1. 1. DHR Manager's Guide to the Performance Management Process Planning Performance Developing Coaching Performance Performance Evaluating Performance
  2. 2. DHR Manager’s Guide to the Performance Management Process The DHR Manager's Guide to the Performance Management Process was developed by the Georgia Department of Human Resources, Office of Human Resource and Organization Development (HROD) and the Office of Human Resource Management (OHRM). Department of Human Resources July, 2001
  3. 3. Table of Contents Page Section 1: General Information About the Performance 3 Management Process (PMP) • Background and Purpose of the New PMP • DHR and PMP Section 2: Performance Planning 7 Section 3: Performance Coaching 13 Section 4: Performance Evaluation 16 Section 5: Performance Development 21 Section 6: Salary Increases 23 Section 7: Forms 26
  4. 4. DHR Manager’s Guide to the Performance Management Process Section 1: General Information -3-
  5. 5. DHR Manager’s Guide to the Performance Management Process Section 1: General Information Background and Purpose The Performance Management Process (PMP) was a major component of the GeorgiaGain Project. Under the guidance of a Task Force made up of State Agency Directors, including the Commissioner of DHR, the GeorgiaGain Project restructured human resource policies, procedures, and systems. The ultimate objective was to build a state workforce committed to the delivery of quality public service. In 2001 GeorgiaGain was changed to PerformancePLUS when significant modifications were made in performance compensation and performance management. This revision of the DHR Manager’s Guide introduces changes in the rating scale and in compensation provided by PerformancePLUS. The Performance Management Process (PMP) intends to support efficient management and a motivated workforce through two objectives: Ensuring two-way communication between supervisors and employees to determine job responsibilities, performance requirements, accomplish- ments, and areas for improvement in meeting job requirements; and Providing supervisors with objective, job-related information on which to base administrative decisions such as salary increases, promotions, and discipline. To support these objectives, supervisors attend PMP training to become familiar with forms and processes for: Developing a Performance Plan at the beginning of the review period; Coaching and documenting performance throughout the year; Evaluating performance and developing performance ratings at the completion of the review period; and Developing employees. In addition to these responsibilities, supervisors are expected to provide information about the PMP to employees. This is important because training is provided to supervisors rather than to all employees. Successful and positive -4-
  6. 6. DHR Manager’s Guide to the Performance Management Process communication between supervisors and employees includes sharing PMP information and agency commitment to the PMP with all staff. DHR and the PMP DHR will use the Performance Management Process for all employees who are to receive performance evaluations in both the classified and unclassified services. Employees on hourly positions, re-employed retired employees or temporary employees on positions not eligible for benefits will not be part of the Performance Management Process. DHR use of the PMP is guided by Policy # 701 in the Human Resource/Personnel Policy Manual, “Performance Management.” This policy specifies the forms, timeframes, and procedures to be followed within DHR. This policy and related forms are located at the OHRM website which may be accessed at: http://www2.state.ga.us/departments/dhr/ohrm.html It is essential that new supervisors attend PMP training at the earliest possible time in order to carry out this essential aspect of supervision. Purpose of this Guide The DHR Manager’s Guide is intended to be a convenient reference for supervisors who have completed the PMP training and to provide up-to-date information to all managers regarding PMP policies and procedures. Since some information may have changed since some managers received PMP training, the Manager’s Guide will provide them with the most current information available. Manuals from PMP training are helpful for reviewing key elements in the training, but may be difficult to use for quick reference as supervisors need specific information on aspects of the PMP. DHR supervisors who attend training provided by the Georgia Merit System rather than by DHR trainers will also need a guide which highlights information specific to DHR. Therefore, this guide intends to: Serve as a supplement to Human Resource/Personnel Policy #701; Summarize key aspects of the PMP training with an eye on operational use; Emphasize definitions, procedures, and timeframes used in DHR; -5-
  7. 7. DHR Manager’s Guide to the Performance Management Process Emphasize the roles of the evaluating supervisor and reviewing manager as they are used in DHR; and Increase the motivational emphasis to be placed on the importance of Meeting Expectations. The Manager’s Guide is not designed to be all-inclusive or to take the place of training or Human Resource/Personnel Policy #701. When questions or issues arise that are not addressed in the Manager’s Guide, contact your supervisor, the Office of Human Resource Management (OHRM), or Office of Human Resource and Organization Development (HROD). -6-
  8. 8. DHR Manager’s Guide to the Performance Management Process Section 2: Performance Planning -7-
  9. 9. DHR Manager’s Guide to the Performance Management Process Section 2: Performance Planning Overview The first step in the Performance Planning Process is to develop a Performance Plan for each classified or unclassified employee who is eligible to be considered for a salary increase for that performance period. Developing a Performance Plan involves: Making an initial determination of the Job Responsibilities and Individual Responsibilities the employee will perform; Defining Performance Expectations at the “Meets Expectations” level for each Responsibility; Determining which, if any, Responsibilities are to be marked “Critical;” NOTE: Evaluating supervisors who use PMTools software to complete PMF Plans are not to designate responsibilities with the options “Important” or “Very Important.” Responsibilities should be designated as either “Applicable” or “Critical.” Determining if any of the Statewide Responsibilities – Customer Service, Teamwork, and Organizational Commitment – are to be marked “Critical;” Determining if the Performance Management Responsibility is applicable; and Indicating specific expectations under Terms and Conditions of Employment as appropriate. The Performance Plan is developed by the evaluating supervisor and discussed with the reviewing manager prior to a meeting with the employee to discuss the plan. Employees may submit input for consideration by the supervisor in developing the Performance Plan. At the planning meeting, the employee and supervisor may agree on minor changes to the Performance Plan agreed upon with the reviewing manager; however, significant modifications require further discussion with the reviewing manager and approval before they can be included. After the planning meeting, the evaluating supervisor and employee sign the Performance Plan. Employees may be given a specified period of time, not to exceed 5 work days, to review their PMF before signing. Efforts are to be made to -8-
  10. 10. DHR Manager’s Guide to the Performance Management Process resolve disagreements between employees and evaluating supervisors over responsibilities and expectations in the PMF. The employee will receive a copy of the plan signed by the evaluating supervisor, reviewing manager, and the employee. Timeframes Generally performance plans are written for the time period July 1 – June 30. If an employee is in a position for a portion of the evaluation year, the performance plan is to cover the time period from the date the employee is placed in the position until the employee leaves the position or through June 30, whichever is appropriate. Performance plans must be developed within 45 calendar days of the employee being placed in a new position. The evaluating supervisor must meet with each employee within 45 calendar days of a new performance review period. If the above requirement is not met, the employee may file a complaint with the Employment Practices and Concerns Section, Office of Human Resource Management. In the event of a complaint, the Office of Human Resource Management will take appropriate steps to ensure the employee receives a Performance Plan within 15 calendar days of notification. Job and Individual Responsibilities Job Responsibilities – The Department recommends that Performance Plans have 3-8 job responsibilities. Each job responsibility should have 2-5 performance expectations, each containing at least one of the measurement criteria: quantity, quality, timeliness or cost. Individual Responsibilities – There is no requirement that a Performance Plan have any individual responsibilities. However, use of individual responsibilities is recommended as a way of developing employees and utilizing specific strengths that an employee possesses. If individual responsibilities are used in a Performance Plan, there should be only 1-2 in any one plan. -9-
  11. 11. DHR Manager’s Guide to the Performance Management Process Critical Responsibilities “Critical” responsibilities are defined as follows: Critical responsibilities are responsibilities which are so essential for success in the position that if they are not performed adequately it would most likely result in unacceptable overall job performance. It should be noted that, at most, only a few (generally three or less) job responsibilities should be marked as Critical. In many instances a Performance Plan would not have any job or individual responsibilities marked as Critical. Rarely, if ever, would all responsibilities in a Performance Plan be marked as Critical. Just because a responsibility is not marked as Critical does not mean it is not important. Only responsibilities that are essential for success in a position should be marked Critical. Some factors to consider in determining whether a responsibility is Critical include: Positive or negative consequences to the organization or to the public for either fulfilling or not fulfilling the responsibility; Responsibilities that have major health or safety implications; Responsibilities that have significant financial or budgetary implications such as overseeing or managing large budgets or other resources; Responsibilities with major “political” implications; The proportion of the employee’s total work time required by a responsibility; and/or, Any other consideration that is of great significance to the public, clients, customers, or the organization. Designating a responsibility as Critical is the only method DHR permits for indicating that one responsibility is more important than another. Evaluating supervisors are not to use any kind of “weighting” system which includes numbers or percentages. Since “weighting” is not permitted, supervisors should be careful not to overuse the Critical designation since it is the only way to indicate that one responsibility should receive more emphasis than another. - 10 -
  12. 12. DHR Manager’s Guide to the Performance Management Process NOTE: Evaluating supervisors who use PMTools software to complete PMF Plans are not to designate responsibilities with the options “Important” or “Very Important.” Responsibilities should be designated as either “Applicable” or “Critical.” It is important to remember that any responsibilities that are designated Critical should be noted in the planning phase, at the beginning of the plan year, and noted on the PMF. Statewide Responsibilities Customer service, teamwork, and organizational commitment have been identified as Statewide Responsibilities on the Performance Management Form (PMF). All three responsibilities are considered “Applicable” within DHR. Whether any or all of these should be marked “Critical” will be determined by evaluating supervisors and reviewing managers. Performance Expectations Two or more Performance Expectations should be written on the PMF for each Job and Individual Responsibility. There are usually 2 – 5 Performance Expectations for each responsibility. These expectations will be written to describe performance that “Meets Expectations.” Supervisors are expected to focus on motivating employees to successfully perform their responsibilities and expectations. This is best accomplished by emphasizing what is needed to achieve a rating of “Meets Expectations.” Not all employees can achieve ratings better than “Meets Expectations,” for those ratings are reserved for exceptional performance on a consistent basis. On the other hand, the Performance Management Process is intended to ensure that all employees have the guidance and feedback they need to achieve a rating of “Meets Expectations.” Therefore, supervisors should be aware of the importance of emphasizing the “Meets Expectations” level of performance as a key to motivating all staff to achieve what they are all capable of achieving. A supervisor’s positive attitude and communication are essential to promoting the idea that “Meets Expectations” is a meaningful achievement. Planning Meeting The planning meeting between employee and evaluating supervisor is to occur within 45 calendar days of the employee being placed in a new position. Prior to this meeting, the evaluating supervisor must discuss the proposed Performance Plan with the reviewing manager. Supervisors may seek input from employees as - 11 -
  13. 13. DHR Manager’s Guide to the Performance Management Process they develop the Performance Plan, but review and discussion of the Performance Plan should also be deferred until the official planning meeting. During the planning meeting, evaluating supervisors will discuss the Performance Plan with employees before signatures are entered on the PMF. Based on the discussion, the evaluating supervisor may agree to minor changes. Concerns that would result in significant modifications in the Performance Plan must be discussed by the evaluating supervisor and the reviewing manager before the plan can be finalized. Employees may be given a specified period of time, not to exceed 5 working days, to review their PMF plans before signing. Efforts are to be made to resolve disagreements between employees and evaluating supervisors on responsibilities and expectations. If employees express the belief that their PMF plan is arbitrary, capricious, non job-related or unrealistic, and efforts to resolve the differences are not successful, evaluating supervisors must inform employees in writing, within 2 work days, of their right to request a review and provide information to employees concerning the designated reviewing official. A written request for review must be submitted to the designated reviewing official within 5 work days of receiving completed PMF plans. When the plan is finalized, the PMF should be signed by the employee, the evaluating supervisor, and the reviewing manager. After the PMF is signed by the reviewing manager, the evaluating manager will ensure that the employee receives a copy. If the employee refuses to sign the PMF, the evaluating supervisor and the reviewing manager will sign the form. It should be noted on the plan that it was discussed with the employee and the employee chose not to sign the form. A copy should be provided to the employee. An employee’s signature on the form indicates that a discussion was held. The employee’s signature on the PMF does not waive the right of the employee to request a review of responsibilities or expectations. - 12 -
  14. 14. DHR Manager’s Guide to the Performance Management Process Section 3: Performance Coaching - 13 -
  15. 15. DHR Manager’s Guide to the Performance Management Process Section 3: Coaching Overview Performance Coaching is the key supervisory activity that occurs during a performance period. It involves on-going communication, both formal and informal, that motivates employees by letting them know where they stand in accomplishing expectations and responsibilities. There are three steps to Performance Coaching: Observing performance Providing regular performance feedback – formal and informal, positive or corrective, as appropriate Documenting performance – which includes supervisory documentation throughout the performance period, a required interim review and any changes to the PMF due to significant modifications to responsibilities or expectations. Communication and Motivation One of the objectives of the PMP is to ensure the two-way communications that result in a motivated workforce. Effective two-way communications build relationships of trust and respect. Supervisors who observe and document performance have the basis for providing formal and informal recognition and appreciation as well as correction and guidance. The term “Performance Coaching” draws on sports analogies to emphasize the strong relationships that develop between athletes and their coaches. It is a relationship based on performance enhancement, not just a social relationship. Relationships between supervisors and employees should be mutually satisfying and respectful as they focus on work performance – just as the coaching relationship focuses on athletic performance. Documenting Performance Supervisors need to prepare and collect documentation during the performance period to back up comments they will enter as Actual Performance on the PMF during Performance Rating. There is no required format for documentation. The content of documentation needs to be appropriate to support descriptive - 14 -
  16. 16. DHR Manager’s Guide to the Performance Management Process statements of Actual Performance that include information, as appropriate, that is specific, job-related, and behavior-based. Managers will have better justification or substantiation for ratings as they increase the documentation maintained during the performance period. It is also recommended that employees keep their own files to document their performance. Information from the employee’s file can be provided to the supervisor as additional information to be used in the evaluation process. Periodic conferences to review performance should be documented and kept in the supervisor’s file. Supervisors may choose to use the Management Review Form (MRF) to document these conversations, but use of the MRF for these conferences is not required. When the MRF is used for this purpose, supervisors are to provide a copy to the employee; however, the MRF is not to be sent to the official personnel file. Interim Review Evaluating supervisors should meet with employees on an on-going basis to give performance feedback throughout the evaluation period. Evaluating supervisors must meet with employees at least once during the review period to conduct an interim review of work performance and adherence to terms and conditions of employment. The interim review may be documented on the PMF, the Management Review Form (MRF), or by notations of meetings in supervisory files. Copies of this documentation will be kept in the supervisor’s file and may be kept in the files of the reviewing manager, but they are not to be sent to the official personnel file. Modifying the Performance Plan New assignments, projects, or priorities may impact what is expected of the employee during the review period. On-going communication is essential to make sure the employee knows what is expected in the current environment. Most of these developments amount to small changes in the Performance Plan which do not require modification of the PMF. Significant modifications to Job and Individual Responsibilities or Performance Expectations must be documented on the PMF. These changes must be reviewed and approved by the reviewing manager and must lead to a meeting between the evaluating supervisor and employee to discuss modifications to the Performance Plan. - 15 -
  17. 17. DHR Manager’s Guide to the Performance Management Process Section 4: Performance Evaluation - 16 -
  18. 18. DHR Manager’s Guide to the Performance Management Process Section 4: Performance Evaluation Overview The Performance Management Process culminates with a meeting between evaluating supervisor and employee to rate performance, discuss appropriate salary increase, and discuss Development Planning for the employee. Timeframes for completing evaluations and conducting meetings will be determined by the Office of Human Resource Management each year. Before the evaluation meeting, the evaluating supervisor should: • Review documentation of performance in their supervisory file. Employees may submit documentation or other information they feel should be taken into consideration. • Write descriptions of Actual Performance for all responsibilities – Job, Individual, Statewide, and, if applicable, Performance Management – and for Terms and Conditions of Employment. • Rate each responsibility, and decide an Overall Rating for Job and Individual Responsibilities which includes performance on the Statewide and, if applicable, Performance Management Responsibilities. Extraordinary circumstances beyond an employee’s control should be closely reviewed prior to recording a rating of Did Not Meet Expectations for any “Critical” responsibility. • Rate each of the Terms and Conditions and decide an Overall Rating for Terms and Conditions. • Meet with the reviewing manager to discuss the proposed evaluation and receive approval before meeting with the employee or providing a copy of the evaluation to the employee. • Refer to the Division or Office timeframes regarding reviews of PMFs. • Schedule a meeting with the employee upon approval by the reviewing manager and notification by the Office of Human Resource Management. - 17 -
  19. 19. DHR Manager’s Guide to the Performance Management Process During the evaluation meeting, the evaluating supervisor should discuss: • Descriptions of Actual Performance for Job and Individual Responsibilities, Statewide Responsibilities, Performance Management Responsibility (if applicable), and Terms and Conditions of Employment. • Ratings for each item based on descriptions of Actual Performance. • Overall ratings for Job and Individual Responsibilities and Terms and Conditions of Employment. • Salary decisions based on the overall ratings. • Development Planning for the employee as appropriate. (Evaluating supervisors may prefer to discuss Development Planning in a separate meeting.) • Employee right to request a review if a rating of “Did Not Meet Expectations” was received in the Overall Rating for Job and Individual Responsibilities or the Overall Rating for Terms and Conditions of Employment – and if the employee believes the rating is arbitrary, capricious, or not reflective of actual performance or adherence to Terms and Conditions of Employment. Written notification of the right to request a review will be given which includes the name, title, address, and telephone number of the designated reviewing official. After the meeting, the evaluating supervisor will: • Receive and attach employee comments to the PMF if any are submitted within 5 work days of the evaluation meeting. • Sign the PMF and provide an opportunity for the employee to sign, indicating that a performance evaluation review meeting was held. If the employee does not sign the PMF, the evaluating supervisor must note on the form that the evaluation was discussed with the employee and that the employee chose not to sign the form. • Provide a copy of the PMF to the employee after all signatures are obtained. - 18 -
  20. 20. DHR Manager’s Guide to the Performance Management Process Job and Individual Responsibilities 100% Responsibilities and Expectations – Some jobs involve responsibilities or expectations which must be performed without fail 100% of the time in order to avoid violating legal, regulatory, health, safety, or other binding requirements. Supervisory judgment and careful documentation is needed when rating these responsibilities and expectations. Overall Rating – Determining the Overall Rating for Job and Individual Responsibilities is an exercise in applying judgment to the ratings arrived at for each responsibility. Judgment is essential in reaching a balanced overall perspective on job performance that can be explained and justified from documentation. Factors to be considered include whether a responsibility was marked as Critical or whether 100% responsibilities or expectations are involved. DHR does not use any kind of “weighting” process which applies numbers or percentages to compare responsibilities or performance expectations to each other. It is permissible, however, to use numbers or percentages as measurement criteria for individual performance expectations. Critical responsibilities have been designated, according to the definition, as “so essential for success in the position that if they are not performed adequately it would most likely result in unacceptable overall job performance.” A rating of Did Not Meet Expectations on a critical responsibility will “most likely” result in unacceptable overall job performance. Supervisory judgment based on documentation and extenuating circumstances, if any, will determine the impact of failing to meet expectations on a Critical responsibility. The minimum acceptable rating to enable an employee to receive a performance-based salary increase is Met Expectations. - 19 -
  21. 21. DHR Manager’s Guide to the Performance Management Process Terms and Conditions of Employment Overall Rating – Using the rating scale that was applied to each of the terms and conditions of employment, evaluating supervisors will rate the employee’s overall adherence using the same scale. Determining the Overall Rating for Terms and Conditions is an exercise in applying judgment to the ratings arrived at for each of the Terms and Conditions of Employment. Factors to be considered include the overall impact of one or more ratings of Needs Improvement or Did Not Meet Expectations. The minimum acceptable rating to enable an employee to receive a performance-based salary increase is Needs Improvement. Review of Performance Evaluation Acceptable Performance – Employees cannot request a review of the performance evaluation if the Overall Rating for Job and Individual Responsibilities is at least Met Expectations and the Overall Rating for Terms and Conditions is at least Needs Improvement. Reviewing Official – Employees who receive a rating of Did Not Meet Expectations on either the Overall Rating for Job and Individual Responsibilities or the Overall Rating for Terms and Conditions may submit a written request for a review to the designated reviewing official within 5 work days of receiving a copy of the evaluation. The designated reviewing official will be identified in written notification that is given the employee at the meeting to discuss the evaluation. The official cannot be the first or second level supervisor of the employee. Designated reviewing officials are to review PMF evaluations and supporting documentation provided by employees and evaluating supervisors. Discussions should be held with employees and evaluating supervisors regarding the requests for review. Within 15 work days of receiving the request for a review, the designated reviewing official will issue a written response. If changes are to be made to PMF evaluations, determinations will be made on a case by case basis regarding the appropriate official to make the changes (i.e., the evaluating supervisor, reviewing manager or designated reviewing official) and the appropriate officials(s) to sign the modified PMF evaluation. - 20 -
  22. 22. DHR Manager’s Guide to the Performance Management Process Section 5: Performance Development - 21 -
  23. 23. DHR Manager’s Guide to the Performance Management Process Section 5: Performance Development The Performance Management Process encourages the development of employees. Supervisors should discuss development plans with each employee. A development plan must be completed for each employee who receives “Does Not Meet Expectations” for Responsibilities or Terms and Conditions of Employment or a rating of “Needs Improvement” for Terms and Conditions of Employment. Objectives – A structured approach to development supports three objectives: Enhancing employee strengths Decreasing employee areas that need improvement Meeting organizational needs Sending employees to training events, which may involve registration and other costs, may be an appropriate activity to achieve these goals; however, Development Planning does not give preference to any specific method of development. Supervisors should be guided by the three objectives of Development Planning and the current level of employee proficiency when choosing specific developmental activities. Section 9 of the PMF – This section of the form provides space for the components of an Employee Development Plan. Evaluating supervisors are encouraged to complete the columns for developmental goals and development activities as a component of the performance planning meeting or at a later meeting scheduled for discussing Development Planning. The column for actual progress should then be completed during the evaluation meeting, thus laying the groundwork for a new Development Plan at the planning meeting for the next review period. - 22 -
  24. 24. DHR Manager’s Guide to the Performance Management Process Section 6: Salary Increases - 23 -
  25. 25. DHR Manager’s Guide to the Performance Management Process Section 6: Salary Increases Performance-based salary increases are awarded annually on October 1 to eligible employees. To be eligible for a performance-based salary increase, employees must: Receive an Overall Rating for Job and Individual Responsibilities of at least Met Expectations. Receive an Overall Rating for Terms and Conditions of Employment of at least Needs Improvement. The State Personnel Board releases guidelines that will be followed by DHR to implement salary increases for each evaluation period for employees who Met or Exceeded Expectations. Employees who receive an overall summary rating of Met Expectations on PMF evaluations will receive the standard increase based on the amount identified for the evaluation period. Employees who receive an overall summary rating of Exceeded Expectations on PMF evaluations will receive the standard increase plus a lump sum identified for the evaluation period. Special provisions regarding the calculation of performance based salary increases for employees who transfer between State agencies during the period of July 1 through September 30 may be included in the State Personnel Board guidelines. Each year a specific amount of funding is allocated for performance based salary increases. Due to limited funds, the increase amounts may be reduced if the Department exceeds its allocated budget. If the increase amounts must be reduced, the reduction percentage will be the same for all employees of the Department who receive performance based salary increases. Unless otherwise authorized by the State Personnel Board, the following limitations apply: Employees who are at or above the pay grade maximum salary for their jobs on October 1 are not eligible for performance based salary increases. - 24 -
  26. 26. DHR Manager’s Guide to the Performance Management Process Performance based salary increases for employees who are near the pay grade maximum can only be granted up to the pay grade maximum. - 25 -
  27. 27. DHR Manager’s Guide to the Performance Management Process Section 7: Forms - 26 -
  28. 28. Instructions for Use of the Performance Management Form (PMF) General In a planning session at the beginning of the performance period, the supervisor and the The Performance Management Form (PMF) is used to document employee performance plans employee: and two types of evaluations based on those plans. The evaluations documented on the PMF are: • discuss the responsibilities and expectations for the coming year, making changes or (1) annual performance evaluations leading to salary increase recommendations, and additions as necessary in Section 3; (2) evaluations performed at the end of working test periods to support permanent status decisions. Please note: (1) To document permanent status decisions, agencies may choose to use the shorter Management Review Form (MRF), rather than using the PMF. (2) The MRF cannot be used to document a salary increase decision: a full evaluation, documented on the PMF, is required for the annual performance evaluation that determines salary increase recommendations. (3) The same PMF may be used to document both a salary increase decision and a permanent status decision, so long as: (a) the same performance plan is in effect, (b) the PMF documenting one type of decision has been completed no more than 90 days prior to the effective date for the other type of decision, and (c) the agency policy does not require that a new PMF be completed. (4) A PMF must be completed and signed not more than 90 days prior to the effective date of a salary increase. The PMF consists of nine sections: 1: Employee Information 6: Salary Increase Recommendation 2: Performance Plan Signatures 7: Employment Status 3: Job and Individual Responsibilities 8: Evaluation Signatures 4: Terms and Conditions of Employment 9: Employee Development Plan 5: Overall Ratings Additional pages may be attached to any section of the form if space is insufficient. Planning Prior to the beginning of the new performance period, the supervisor: • enters in Section 3 responsibilities and performance expectations for the employee and indicates which responsibilities are critical to the job; • enters under Performance Expectations in Section 4 any additional expectations related to terms and conditions of employment that are specific to the job or work unit; • reviews the preliminary plan with his or her manager to ensure that the proposed responsibilities and expectations are appropriate in light of overall unit plans and work assignments.
  29. 29. Page 2 • review the pre-printed "statewide" responsibilities in Section 3 and check the boxes that PMF is being used simultaneously for both types of evaluation). Follow agency policy for apply to the employee and the job. (Each agency should have a policy on whether filing and distribution of copies. inclusion of any or all of these responsibilities is required on every employee's Plan or is discretionary on the part of the supervisor.); • review the preprinted Performance Management Responsibility in Section 3 and, if the employee directly supervises other employees, mark it as "Critical"; • review the expectations related to terms and conditions outlined in Section 4; • identify any developmental or training goals for the upcoming performance period and enter in Section 9; • enter signatures and dates in Section 2. (The PMF, with responsibilities and expectations entered, constitutes the employee's individual Performance Plan. After the Plan is reviewed and signed by the reviewing manager, the supervisor retains a copy, gives a copy to the employee, and processes/files other copies as directed by agency policy.) • if a significant change is made to the Performance Plan during the year, following discussion of the change, the supervisor should have the employee sign in the indicated space in Section 2. Annual Performance Evaluation At the end of the performance period, the supervisor uses the Performance Management Form to document the evaluation of the employee's performance. The supervisor rates the employee's performance on the individual items in Sections 3 and 4 In Section 9, the . supervisor notes any progress the employee has made in meeting developmental or training goals. In Section 5 the supervisor enters an overall rating for Job and Individual Responsibilities and an overall rating for Terms and Conditions of Employment. In Section 6, the supervisor indicates whether the employee is eligible for a performance increase. (Actual awarding of increases is subject to availability of funds and to modification of pay delivery policies.) In order to be eligible, the employee must receive an overall rating of Met Expectations or higher on the Job and Individual Responsibilities component of the evaluation. An employee who receives an overall rating of Did Not Meet Expectations on either Responsibilities or Terms and Conditions is not eligible for an increase. Employees receiving an overall rating of Needs Improvement on the Terms and Conditions may or may not be eligible for a performance increase, depending on individual agency policy. The completed PMF is reviewed by the supervisor's manager. The supervisor then conducts the performance evaluation meeting with the employee. Both parties sign the document in Section 8 to indicate that the meeting has taken place. After the PMF is signed by the reviewing manager, it is filed according to agency policy, a copy is given to the employee, and the supervisor retains a copy. Permanent Status Review If the PMF is used to document an evaluation leading to the granting of permanent status, the form is completed in the same way as for an annual performance evaluation, but instead of indicating a salary increase recommendation in Section 6, the supervisor puts a checkmark in the "Permanent Status Approved" box in Section 7 (or puts checkmarks in both sections, if the
  30. 30. Page 3 State of Georgia PERFORMANCE MANAGEMENT FORM (PMF) Unit Print Date MS 10-60 (8/95) Department ID Section 1: Employee Information Last Name, First Name MI Employee ID Position No. Performance Period from: to: Class/Job Title Class/Job Number Supv. Position No. Supervisor's Title and Class/Job Number Section 2: Performance Plan Signatures Performance Plan Signatures--Employee Performance Plan Signatures--Supervisor/Manager I understand my job and individual responsibilities, the performance expectations, and the I have discussed the job and individual responsibilities, performance terms and conditions under which I am expected to work. expectations, and terms and conditions with the employee. Comments: Comments: Date Employee Signature Date Evaluating Supervisor Signature I understand the changes made to my responsibilities and performance expectations or terms and conditions. I have reviewed the Performance Plan and find the requirements appropriate. Comments: Date Employee Signature Date Reviewing Manager Signature [ ] Annual Performance Evaluation [ ] Permanent Status Evaluation [ ] Personnel File [ ] Employee Copy [ ] Supervisor Copy
  31. 31. Page 2 Section 3: Job and Individual Responsibilities Instructions: Describe the employee's key responsibilities. These may be Job Responsibilities (ongoing responsibilities typically performed by incumbents in the job) or Individual Responsibilities (responsibilities assigned to this particular employee, such as time-limited special projects or individual developmental goals). Indicate the responsibilities -- typically no more than three -- that are critically important to successful performance of the job. Describe performance expectations for each responsibility. At the end of the performance period, describe the employee's actual performance and indicate the rating achieved. Performance Job or Individual Responsibility Performance Expectations Actual Performance Rating [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded
  32. 32. Page 3 Performance Responsibility Performance Expectations Actual Performance Rating [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded [ ] Critical Expectations [ ] Did Not Meet [ ] Met [ ] Exceeded Instructions: Performance Management is 1. Defines goals and/or required results at beginning of Expectations a key responsibility of all supervisors and performance period and gains acceptance of ideas by creating a must be marked as critical on each shared vision. [ ] Did Not Meet supervisor's performance plan. Check "Not 2. Communicates regularly with staff on progress toward defined [ ] Met Applicable" only if employee does not goals and/or required results, providing specific feedback and [ ] Exceeded supervise. initiating corrective action when defined goals and/or required results are not met. [ ] Not applicable 3. Confers regularly with staff to review employee relations climate, [ ] Critical specific problem areas, and actions necessary for improvement. 4. Evaluates employees at scheduled intervals, obtains and Performance Management Responsibility considers all relevant information in evaluations, and supports staff by giving praise and constructive criticism. Creates and maintains a high 5. Recognizes contributions and celebrates accomplishments. performance environment characterized by 6. Motivates staff to improve quantity and quality of work performed positive leadership and a strong team and provides training and development opportunities as orientation. appropriate.
  33. 33. Page 4 Instructions: Listed below are responsibilities which support the State's strategic goals. If any of these "statewide" responsibilities do not apply, they should be marked "not applicable." Check the appropriate box to indicate whether the responsibility is "not applicable," "applicable" or both "applicable and critical." Performance Responsibility Performance Expectations Actual Performance Rating [ ] Not Applicable 1. Communicates accurate information to others in a professional and Expectations [ ] Applicable courteous manner; conveys a willingness to assist. 2. Shows consideration for others, works cooperatively with any co- [ ] Did Not Meet [ ] Applicable and Critical worker, provides constructive feedback without undue criticism of [ ] Met others; displays appreciation of differences in approaches, personalities, Teamwork [ ] Exceeded and viewpoints of others. 3. Solicits input of those who are affected by plans or actions; gives credit Encourages and facilitates cooperation, and recognition to others who have contributed; demonstrates concern pride, trust, and group identity; fosters for treating people fairly and equitably. commitment and team spirit; works 4. Accepts responsibility for own mistakes and takes action to prevent cooperatively with others to achieve goals. similar occurrences; works to resolve conflicts and to identify solutions in which all parties benefit. 5. Identifies team goals and ways to work with coworkers to accomplish those goals; works to keep group activities productive/focused on results. [ ] Not Applicable 1. Treats customers with respect, courtesy and tact; listens to customer Expectations [ ] Applicable and interacts with customer as a person while maintaining business relationship. [ ] Did Not Meet [ ] Applicable and Critical 2. Communicates with customers and obtains all information necessary to [ ] Met determine and address their specific needs; tactfully explains why, if Customer Service [ ] Exceeded service cannot be provided. 3. Offers options, as appropriate, so that customers can decide what they Works and communicates with the general want to do; demonstrates fairness and good judgement when seeking public, internal customers and/or external possible exceptions or in going the extra mile to meet customers' customers to provide information and expectations. quality services and/or products targeted to 4. Responds to customers in manner and timeframe promised or follows up meet customer expectations. to explain status; demonstrates understanding of, and concern for, the customer's situation and perspective. 5. Provides clear, accurate information; explains procedures or materials or provides supplemental information; anticipates problems and questions; asks for customer feedback on procedures, products or services. [ ] Not Applicable 1. Demonstrates eagerness to learn and assume responsibility; seeks out Expectations [ ] Applicable and accepts increased responsibility; displays a "can do" approach to work. [ ] Did Not Meet [ ] Applicable and Critical 2. Shows persistence and seeks alternatives when obstacles arise; seeks [ ] Met alternative solutions; does things before being asked or forced to by Organizational Commitment [ ] Exceeded events. 3. Works within the system in a resourceful manner to accomplish Displays a high level of effort and reasonable work goals; shows flexibility in response to process changes commitment to performing work; operates and adapts to and accommodates new methods and procedures. effectively within the organizational 4. Accepts direction and feedback from supervisors and follows through structure; demonstrates trustworthiness appropriately. and respon-sible behavior.
  34. 34. Page 5 Section 4: Terms and Conditions of Employment Instructions: Every employee must be evaluated on each of the five categories of terms and conditions shown below. Specific performance expectations that pertain to the agency, the work unit, or the particular job should be entered under Performance Expectations. At the end of the performance period, describe the employee's actual performance and indicate the appropriate rating for each category. Performance Terms and Conditions Performance Expectations Actual Performance Rating Works When Scheduled Works when scheduled; begins and ends work as expected; calls in according to policy when [ ] Did Not Meet arriving late for work or when absent; observes [ ] Needs Improvement provisions of Fair Labor Standards Act; [ ] Met observes policies on break and lunch periods; uses work time appropriately. Requests and Uses Leave Appropriately Submits leave requests on a timely basis. [ ] Did Not Meet Requests and uses the proper type of leave in [ ] Needs Improvement accordance with established rules and policies. [ ] Met Provides documentation for use of leave when required. Dresses Appropriately Presents a neat, clean appearance; dresses appropriately for job. Practices personal [ ] Did Not Meet hygiene. Wears clothing suitable to job task and [ ] Needs Improvement environment based on clientele served. Wears [ ] Met full, regulation uniform, if required. Observes Health, Safety and Sanitation Policies Observes established policies on health, safety, [ ] Did Not Meet security and sanitation; notifies proper [ ] Needs Improvement authorities of circumstances or situations that [ ] Met present potential health hazards. Follows All Other Rules and Policies Performs work according to rules, regulations, policies, and guidelines. Ensures required [ ] Did Not Meet licensures and certifications are current. Does [ ] Needs Improvement not improperly use or knowingly permit others to [ ] Met use state property improperly. Does not engage in activities other than official business during working hours. Does not engage in prohibited political activity. Does not report for work under the influence of alcohol or drugs.
  35. 35. Page 6 Section 5: Overall Ratings Section 6: Increase Recommendation Overall Rating for Job & Individual Responsibilities Overall Rating for Terms & Conditions [ ] NOT Eligible for Performance-Based Increase* [ ] Eligible for Performance-Based Increase [ ] Did Not Meet Expectations* [ ] Did Not Meet Expectations* Section 7: Employment Status [ ] Met Expectations [ ] Needs Improvement [ ] Exceeded Expectations [ ] Met Expectations [ ] Working Test/Permanent Status Approved * Note: Any employee rated in Section 5 as Did Not Meet Expectations is ineligible for a Performance-Based Increase Section 8: Evaluation Signatures Employee Signature and Comments Supervisor/Manager Signatures and Comments I have reviewed the contents of this form with my supervisor and have been This rating reflects my evaluation of the employee's performance. I have discussed this advised of my ratings and employment status or increase eligibility status. I evaluation with the employee. have made any comments I wish in this section. My signature does not necessarily indicate agreement. Date Evaluating Supervisor Signature Reviewing Manager Comments (if any): Date Reviewing Manager Signature ____________ Date Employee Signature Date Appointing Authority Signature (optional)
  36. 36. Page 7 Section 9: Employee Development Plan Instructions: List developmental goals or areas for improvement that will be addressed by on-the-job development assignments and/or by formalized training experiences. Indicate actions to be taken by supervisor and/or employee and specify the time frame for their completion. At the end of the performance period, describe any progress the employee has made in meeting development or improvement goals. Developmental Goals/Areas for Improvement Planned Development/Training Activities (Employee's and Supervisor's Input) (Agreed Upon by Employee and Supervisor) Actual Progress
  37. 37. [ ] Working Test Mid-Point Review MANAGEMENT REVIEW FORM [ ] Interim Progress Review [ ] Working Test/Permanent Status Review [ ] Other Review MS 10-61 (7/96) Name Employee ID. Hire/Promotion Date Class/Job Title Position No. Review Date Agency Work Unit Department ID Review Period from to Statewide Responsibilities NI M N/A Terms and Conditions NI M N/A 1. Teamwork [] [] [] 1. Works When Scheduled [] [] [] 2. Customer Service [] [] [] 2. Requests and Uses Leave Appropriately [] [] [] 3. Organizational Commitment [] [] [] 3. Dresses Appropriately [] [] [] 4. Observes Health, Safety and Sanitation Policies [] [] [] 5. Follows All Other Rules and Policies [] [] [] Job and Individual Responsibilities (Give 4-5 word Identifier) NI M N/A 1. [] [] [] 2. [] [] [] 3. [] [] [] 4. [] [] [] 5. [] [] [] 6. [] [] [] Recognition/Comments Performance/Terms and Conditions Improvements Needed Developmental Goals I have discussed the contents of this form with my supervisor and have been I have discussed the progress of this employee relative to Permanent Status Approved [ ] advised of my performance status relative to the responsibilities/terms and the responsibilities/terms and conditions stated in the conditions stated on my performance plan. employee's performance plan. _ _ Employee's Signature Date Supervisor's Signature Date Reviewing Manager's Signature Date

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