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Performance Management - employee

  1. 1. _____________________________________________________________________________________________________________________________________________________________ Commonwealth of Virginia Performance Management Presented by: Office of Human Resources Germanna Community College March 2001 Employee Workbook Commonwealth of Virginia Performance Management/Compensation Reform Compensation Reform
  2. 2. Objectives _____________________________________________________________________________________________________________________________________________________________ Performance Management/Compensation Reform 3
  3. 3. CONTENTS 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
  4. 4. 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
  5. 5.  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
  6. 6. Goals – Performance - Rewards __________________________________________________________________________________________________________________________________ LINKING… Quality Workforce Creates an Environment that Linking Individual & Rewards: Team Goals to Career Development Training Creativity &Risk Taking Agency’s Mission & Extraordinary Contributions Agency’s Strategic Goals Coaching Delegating Quality Customer Service Feedback Periodic Evaluations Performance Management/Compensation Reform 4
  7. 7. Philosophical Shift _____________________________________________________________________________________________________________________________________________________________ History That Led To The New Design Notes 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. Performance Management/Compensation Reform 5
  8. 8. Philosophical Shift _____________________________________________________________________________________________________________________________________________________________ Notes  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. Performance Management/Compensation Reform 6
  9. 9. Philosophical Shift _____________________________________________________________________________________________________________________________________________________________ Notes 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. Performance Management/Compensation Reform 7
  10. 10. Philosophical Shift _____________________________________________________________________________________________________________________________________________________________ Notes 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 Performance Management/Compensation Reform 8
  11. 11. Rating Levels _____________________________________________________________________________________________________________________________________________________________ Notes 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. . Performance Management/Compensation Reform 9
  12. 12. 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 Components Feature Current New as of 4/1/2001 Agency Options Commonwealth of Virginia Requirements Rating levels 5 levels: 3 levels: • Exceptional • Contributor • Exceeds Expectations • Extraordinary • Meets Expectations Contributor • Fair But Needs • Below Contributor Improvement • Does Not Meet Expectations Salary Increases Fixed Formula-based Evaluation Form Standard Agency Unique Appraisal of employee Supervisor-only • Supervisor • Employee self- assessment • Others as appropriate Appraisal of team/group None Team/Group Employee feedback on None Upward feedback for supervisor’s performance developmental purposes provided to supervisor’s rater Performance Management/Compensation Reform 10
  13. 13. Overview of Changes _____________________________________________________________________________________________________________________________________________________________ (Table 5, page 22 of Final Report: Reform of the Classified Compensation Plan) Performance Management/Compensation Reform 11
  14. 14. New Features _____________________________________________________________________________________________________________________________________________________________ Notes 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 Performance Management/Compensation Reform 12
  15. 15. Performance Management _____________________________________________________________________________________________________________________________________________________________ Successful Performance Management Characteristics of a successful performance management Notes 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 Performance Management/Compensation Reform 13
  16. 16. Performance Management _____________________________________________________________________________________________________________________________________________________________ Notes 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. Performance Management/Compensation Reform 14
  17. 17. 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 Role Phase 1: Performance Planning Determine organizational Objectives and Purpose * Goal setting and establishing of Positions measures that are “SMART”: Identify Core Responsibilities Specific, Measurable, Attainable, Identify Special Assignments Relevant, and Time Framed Optional Evaluation Factors Employee Development * Making a personal plan Changes in the EWP (M.A.P.P.) for your own career Performance Planning Meeting growth and development Phase 2: On-Going Feedback Gather Information for Evaluations (data sources) * Professionally and gracefully Give Feedback During the Cycle receiving feedback from your Conduct Interim Evaluation Meeting supervisor Document Exceptional or Substandard Performance Handle Poor Performance * Tactfully giving feedback to your Personnel Changes supervisor that will recognize helpfulness and address problems Phase 3: Annual Evaluation Review Employee Self-evaluation * Recognize your own strengths Complete the Evaluation and weaknesses and document Obtain Reviewer Approval your performance Conduct the Evaluation Meeting * Provide input to your supervisor about your own performance for your annual evaluation Special Circumstances * Depending on your agency’s Probationary Period approach to performance Below Contributor Evaluation management, you may be able to Team Evaluations provide formal feedback about Appeal of the Evaluation your supervisor’s and co-workers’ Upward Feedback performance Performance Management/Compensation Reform 15
  18. 18. Employee Work Profile _____________________________________________________________________________________________________________________________________________________________ No t e s The Employee Work Profile Please refer to the EWP in your Appendix for a walk through of the Performance Evaluation Form ( page 45). Performance Management/Compensation Reform 16
  19. 19. Employee Transition _____________________________________________________________________________________________________________________________________________________________ Performance Management Transition Schedule Evaluations Agencies should use existing performance Evaluation Cycle Ending October 24, 2000 planning and evaluation forms. Future Evaluations Agencies should use new EWP. New Implementation is 2001. Short cycle begins EWP combines elements of current 4/01/01 and ending 10/24/01 position description and current performance Planning and Evaluation Forms. Evaluations Prior 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 Evaluations - 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. Performance Management/Compensation Reform 17
  20. 20. Employee Transition _____________________________________________________________________________________________________________________________________________________________ No t e s 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. Performance Management/Compensation Reform 18
  21. 21. Goal Setting _____________________________________________________________________________________________________________________________________________________________ SMART Measures General Need Define the need SMART S Specific M Measurable A Attainable R Relevant T Time Framed Review & Clarify costs and benefits Revise Plan Action Steps Brainstorm obstacles and challenges List 3 solutions for each obstacle Performance Management/Compensation Reform 19
  22. 22. Self Assessment _____________________________________________________________________________________________________________________________________________________________ No t e s 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 Performance Management/Compensation Reform 20
  23. 23. Performance Feedback _____________________________________________________________________________________________________________________________________________________________ The Five Minute M.A.P.P. Make A Personal Plan NOW Your current job position: What changes would you like to make? YOU Training/Education needed: Identify Opportunities for Learning: E x e r c i s e 6 MONTHS FROM NOW Career Goal: Training/Education Needed: Identify Opportunities for Learning: 5 YEARS FROM NOW Career Goal: e Training/Education Needed: Identify Opportunities for Learning: Performance Management/Compensation Reform 21
  24. 24. Performance Feedback _____________________________________________________________________________________________________________________________________________________________ Performance Feedback Notes 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 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. Performance Management/Compensation Reform 22
  25. 25. Performance Feedback _____________________________________________________________________________________________________________________________________________________________ Notes 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. Performance Management/Compensation Reform 23
  26. 26. Performance Feedback _____________________________________________________________________________________________________________________________________________________________ Factors That Make People Reluctant to Give Feedback:  They don’t think it matters or will make a Notes 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 Performance Management/Compensation Reform 24
  27. 27. Self Assessment _____________________________________________________________________________________________________________________________________________________________ Notes 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. Which Performance Management/Compensation Reform 25
  28. 28. Self Assessment _____________________________________________________________________________________________________________________________________________________________ Which example is best? E x e r c i s e 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. Positive Feedback: 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. Constructive Feedback: Performance Management/Compensation Reform 26
  29. 29. 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 Performance Management/Compensation Reform 27
  30. 30. Self Assessment _____________________________________________________________________________________________________________________________________________________________ Self -Assessment Notes Self-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.” Performance Management/Compensation Reform 28
  31. 31. Self Assessment _____________________________________________________________________________________________________________________________________________________________ Notes Self-Assessment What 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 Performance Management/Compensation Reform 29
  32. 32. The Self-Assessment Process – Keys to Success Notes 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
  33. 33. 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. R E V I E W (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, included provisions 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 Meets formula performance completion funding criticism expectations upward contribution training feedback communicated coaching communicating
  34. 34. Appendix _____________________________________________________________________________________________________________________________________________________________ Appendix Performance Management/Compensation Reform 32
  35. 35. Appendix _____________________________________________________________________________________________________________________________________________________________ PERFORMANCE MANAGEMENT Acknowledgment of Extraordinary 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. Performance Management/Compensation Reform 33
  36. 36. 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: Supervisor’s Signature: Date: 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.
  37. 37. Appendix _____________________________________________________________________________________________________________________________________________________________ Performance Increases and Formula 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 is approved.  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 employees Each 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.
  38. 38. 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 Reform 36
  39. 39. 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 2 EACH EMPLOYEE’S .03 * 10,000=$300 .03 * 10,000=$300 INCREASE COST 8 * 300 = $2,400 2 * 300 = $600 TOTAL 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 CONTRIBUTOR EXTRAORDINARY CONTRIBUTOR PERCENT INCREASE 2.4% 5.4% NUMBER RECEIVING 8 2 EACH EMPLOYEE’S .024 * 10,000=$240 .054 * 10,000=$540 INCREASE COST 8 * 240 = $1,920 2 * 540 = $1,080 TOTAL COST $1,920 + $1,080 = $3,000 Performance Management/Compensation Reform 37
  40. 40. 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 CONTRIBUTOR EXTRAORDINARY CONTRIBUTOR PERCENT INCREASE 2.4% 3.6% NUMBER RECEIVING 5 5 EACH EMPLOYEE’S .024 * 10,000=$240 .036 * 10,000=$360 INCREASE COST 5 * 240 = $1,200 5 * 360 = $1,800 TOTAL 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. Performance Management/Compensation Reform 38
  41. 41. Appendix _____________________________________________________________________________________________________________________________________________________________ Instructions for Completing Employee Work Profile (EWP) Introduction The 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 Information 1. 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. 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.

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