Successfully reported this slideshow.
We use your LinkedIn profile and activity data to personalize ads and to show you more relevant ads. You can change your ad preferences anytime.

PMAP Handbook


Published on

Published in: Business, Technology
  • Be the first to comment

  • Be the first to like this

PMAP Handbook

  1. 1. Management System Colorado Department of Human Services For Supervisors and Employees Revised 03/09
  2. 2. Table of Contents Timelines and Due Dates Page 3 Required Elements of Plans and Ratings Page 4 Non-Numerical System Page 5 Performance Planning Page 6 Progress (Mid-Year) Reviews Page 8 Performance Evaluation Page 11 Special Situations Page 14 Coaching of Employees Page 15 Rating Errors to Avoid Page 17 Dispute Resolution Page 18 Compensation Philosophy Page 20 Compensation Philosophy Page 21 Performance Tracking System Page 22 Where to Go for More Information Page 27 Revised 03/09 2
  3. 3. Timelines and Due Dates The annual cycle used for the Department of Human Services is April 1 through March 31 of each year. Performance Plans must be completed no later than April 30 of each year, or within 30 days after a new employee begins work during the year. Mid-year Progress Reviews (one required) should be completed by the end of October of each year. Performance Evaluations must be completed no later than April 30 of each year. Any disputes should be resolved by June 26. Achievement pay will be determined by June 30 for the previous years’ performance. Pay will become effective July 1 and will be paid beginning in July. Revised 03/09 3
  4. 4. Required Elements of Plans and Ratings The following competencies will be included in every CDHS employee’s performance plan: Communication Effectively communicates by actively listening and sharing relevant information with co- workers, supervisor(s) and customers/clients so as to anticipate problems and ensure the effectiveness of the department. Interpersonal Skills Interacts effectively with others to establish and maintain smooth working relations. Customer Service Works effectively with internal/external customers and clients to satisfy service and product expectations. Accountability Employee’s work behaviors demonstrate responsible personal and professional conduct, which contribute to the overall goals and objectives of the department. Job Knowledge The employee is skilled in job-specific knowledge that is necessary to provide the appropriate quantity and quality of work in a timely and efficient manner. The following core competencies will also be included in every supervisor’s performance plan: Empowerment Encourage an environment, which provides the means and opportunity through open, continuous and effective communication for a person to utilize their individual strengths, ideas and talents. Make resources available for self-actualization by supporting development of leadership, ownership, responsibility and pride in their professional growth and development. Performance management Implementation of performance management for subordinate staff (plans, progress reviews, evaluations, dispute resolution and reward allocation, if applicable). Revised 03/09 4
  5. 5. Qualitative System CDHS will use a qualitative system to evaluate an employee’s overall performance. An employee’s overall performance will be evaluated as one of the following categories: Level 3 Outstanding, Exceptional, Consistently Exceeds Expectations Level 2 Proficient, Good, Successful, Consistently Meets Expectations, Occasionally Exceeds Level 1 Needs Improvement, Does Not Meet Expectations Offices must use the following rating scale to derive an overall rating: 1.0 to 1.7 = Level 1 1.8 to 2.5 = Level 2 2.6 to 3.0 = Level 3 Revised 03/09 5
  6. 6. Performance Planning The process of performance planning is basically one of making choices. The choices to be made are based upon what the employee’s job duties and expectations are, and then making sure the supervisor and employee select the most appropriate core factors/competencies that will fully describe those expectations. In some cases there will be a need to add more definition to the factors/competencies. In other cases, those factors/competencies will be enough. Whenever more clarity is needed, the supervisor and employee will need to develop and write one or more Individual Performance Objectives and add them to the performance plan. The next choice deals with the relative values you attach to the core factors/competencies and any IPOs you may have written. If you feel the core factors/competencies should be viewed as equal in value, then no “weighting” needs to occur. If they are viewed as different in value, you will need to assign weights to differentiate between the core factors/competencies. Your weights can be either numeric (i.e., numbers or percentages) or non-numeric (i.e., high, medium or low) depending on your offices’ planning process. Individual Performance Objectives can also be given a value (weight) if so desired. The final test of your performance plan is for the supervisor and employee to make sure there is enough detail to ensure both parties fully understand what is expected of the employee, how the employee’s performance is to be measured throughout the year, and what that level of performance will be worth at the end of the year after it has been achieved. Both the supervisor and employee need to ask questions of each other until both are satisfied they can answer the above test statements. Last, but not least, the supervisor and employee need to decide which person will be responsible for measuring and tracking the performance, and then reporting the results during the mid-year review and the evaluation at the end of the year. Revised 03/09 6
  7. 7. Writing Individual Performance Objectives Individual Performance Objectives (IPOs) are written statements that clearly communicate a supervisor’s performance expectations in specific areas. Writing IPOs takes time and effort. Therefore it makes sense that IPOS should be focused on are critical job tasks. No manager should be expected to write IPOs for every work activity. IPOs should always focus on end results or expected outcomes. Effective IPOs should include WHO is the performer? HOW will performance be measured or evaluated? WHEN should this happen? WHAT action/performance is expected? Effective IPOs should be “SMART.” Specific: Work objectives must be clear, concise and easy to understand. The IPO has to identify who is the performer and what action/performance is expected. Measurable: Objectives must be measurable and quantifiable wherever possible. Examination of completed work should tell whether or not the objectives were reached. Manager and employee need to agree on a way to measure this. Attainable: Although objectives should stretch and challenge an employee’s capabilities, they must be within reach. Unattainable objectives are de- motivating and can produce counter-productive behavior. Results-Oriented: Objectives should focus on results to be achieved, not on activities. Time-bound: Objectives should have milestones and deadlines, a specific date, which indicate when the objective should be achieved. Revised 03/09 7
  8. 8. Progress (Mid – Year) Reviews Progress reviews provide a formal opportunity for a supervisor and employee to discuss overall performance results. Progress review meetings allow for a summary of informal feedback and are key to managing performance on an on-going basis. The progress review discussion promotes an understanding of performance expectations so goals are attainable. The employee and the supervisor should meet at least once during the performance management cycle. It is recommended that this meeting occur near the mid-point of the performance cycle (approximately October); this provides an opportunity for the employee and supervisor to acknowledge success and develop a plan for deficiencies. More frequent progress review meetings may occur, and in fact, are strongly encouraged. In preparation for this discussion the employee and the supervisor should focus on the following key points: • Review the individual’s performance plan to determine the progress made towards objectives, individual performance objectives, special projects, etc. • Review individual objectives and office work plans to determine the extent of any required changes. • Discuss and decide upon needed changes, revisions, and/or additions to the employee’s performance plan. • Develop plans for improvement, if necessary. • If progress is insufficient, the employee and the supervisor must (1) identify the problems, (2) solicit input from the employee as well as suggestions for resolving problems, (3) determine who does what by when and then follow-through to determine progress. Revised 03/09 8
  9. 9. Preparing for the progress review discussion. In order to have a productive meeting, the supervisor needs to have reliable and valid information regarding the employee’s performance. This involves maintaining all pertinent information for each individual employee. A “significant events” file should be established and then maintained for each employee. This file contains any and all information that you collect regarding performance data for the performance management cycle. A progress review system allows the manager to collect data from many sources. The first is from the supervisor’s own data collection and personal observations of performance. The second source of information is from the individual employee. Involvement from the employee in this process is critical to its success. Ask the employee for input regarding the status of his/her performance plan. This is a critical step and eliminates the “no surprises” element at the end of the performance cycle. The third source of information is gathered from customers, peers, etc., and are key in identifying the level of services provided by the employee to the customer. The following steps are suggestions to preparing for a progress review meeting. • Schedule a meeting with employee. Tell the employee the purpose of the meeting. • Advise the employee to be prepared to discuss the current performance plan, his/her progress, and any recommended changes to the plan. The employee should bring information pertaining to objectives, IPOs, etc. • Review the status of the unit’s work plan, the employee’s performance, and the employee’s development activities. Draft a list of changes for the discussion. If the performance plan is still valid, plan to give the employee feedback on current performance. • Schedule enough uninterrupted time to discuss the performance plan based upon anticipated changes and the level of current employee performance. Revised 03/09 9
  10. 10. Conducting the progress review discussion involves keeping several important issues in mind: 1. Review one goal or objective at a time. Focus on the performance plan. The approach should be systematic and involves reviewing the plan by goals, objectives, core competencies, and IPOs. 2. Present a balanced review. Start off the discussion on a positive note. Focus on performance where the employee has been successful. Place the discussion of goals where improvement is needed between areas where there has been performance success. This will avoid the downward spiral created by saving the worst for last. 3. Offer to coach and/or counsel the employee. Today’s manager must advise and be supportive of employees by offering to them resources at the right time. Most employees “want to do a good job.” But sometimes employees don’t know “how” or “where” to acquire the knowledge or skill to be successful. For other employees, problems with organizational changes may affect their job as well as personal problems. 4. Make necessary changes in performance and development plans. Remember that performance plans are not set in stone. Through the course of the performance cycle, you and the employee may identify areas where the plan may need to be altered. When changes occur be sure they are clear to the employee and that the employee understands the effect the changes will have on the remainder of the performance plan 5. Document changes with signatures and dates. This may involve a simple signature notation on the specific portion of the performance plan OR the employee and supervisor may decide to document the agreed to changes through documentation of a new performance plan and/or memorandum addressing the changes. Revised 03/09 10
  11. 11. Performance Evaluation Conducting the Performance Evaluation Interview The performance appraisal process has never been easy for supervisors or employees. The change in Colorado State Government’s compensation culture requires managers to become involved in developing meaningful performance plans, coaching employees so that they are successful on the job, and, finally, evaluating and rewarding employees based on their performance. The performance appraisal, the third and final phase of the performance management cycle, is an opportunity to compare overall performance results with the objectives and expectations established in the performance plan. It is an opportunity for both parties to summarize formally the ongoing dialogue between the supervisor and the employee regarding the past year’s performance. The performance appraisal process consists of the following steps: . Preparing for the meeting. . Conducting the meeting. . Evaluating the employee’s performance. The following are recommended steps to a successful performance appraisal meeting. Preparing for the meeting: • Review performance results in comparison to agreed upon performance expectations. • Identify accomplishments and areas needing improvement. • Review results/accomplishments for identified development activities. This includes data gathered throughout the year and from personal observations and discussions held between the employee and the supervisor, and data solicited from customers and peers. Revised 03/09 11
  12. 12. • Develop a list of questions that solicit employee’s input in to the evaluation process. This may include an employee’s self-assessment of his/her performance prior to the meeting. • Schedule a time with the employee for the meeting. Give her/him plenty of time to prepare. Tell the employee the purpose of the meeting and ask the employee to review his/her performance to the established expectations, areas of accomplishment and needed improvement, and results of accomplishments. Conducting the performance appraisal meeting: • Review and discuss each core competency and IPOs, if applicable. Review the selected measurement standards towards achieving each objective and/or IPO. • Concentrate on performance measured against mutually understood expectations. • Solicit the employee’s perspective of his or her performance. A supervisor who accepts employee’s input recognizes their value and this builds confidence in the process. • Be factual rather than judgmental when discussing your conclusions regarding the employee’s performance. The supervisor’s conclusions and final evaluation should be based on the level of achievement for each objective and/or IPO. The key is to FOCUS on performance. • Be a good LISTENER. Maintain eye contact. This shows that you have a genuine interest in what the employee has to say. • Ask questions to gain understanding. Use open-ended questions that require the employee to engage in the discussion by expressing a fact, an opinion and/or express his/her feelings. • Summarize and reach agreement for those measurable objectives to level of achievement attained. This can be accomplished by comparing the actual results (data) to the metrics established in the performance plan. • Discuss the employee’s development plans by reviewing the specific objectives as described in the performance plan. • Ask questions to gain clarification regarding results versus expectations. • Be a good LISTENER. Remember to maintain eye contact. Don’t interrupt and ask questions to gain clarification. Revised 03/09 12
  13. 13. • In closing, summarize what has been discussed and agreed to; give the employee a chance to react, question, and/or add suggestions, and express appreciation for the employee’s participation. • Let the employee know “what’s next.” Let the employee know that you will get back to him/her once the evaluation has been completed and management has had an opportunity to review the performance evaluation. Evaluating performance. • Review the information discussed in the performance appraisal meeting. • Assess the level of results versus the stated performance expectations to determine an objective rating. • Use all the resources gathered to determine individual core competency ratings and the final appraisal rating. • Calculate the results and finalize the performance appraisal document. • Remember to focus on performance! Revised 03/09 13
  14. 14. Special Situations NEW EMPLOYEE – A performance plan is required for a new employee within 30 days of hire. In the electronic Performance Tracking System, new employees must be added to your list of Direct Reports prior to entering performance plan data. Data is downloaded into the Performance Tracking System from the personnel data base once per month. Therefore, it may be necessary to wait until the month following hire to enter data for a new employee. CHANGE IN SUPERVISOR – a departing supervisor completes an interim evaluation for all of his or her subordinate employees prior to departing (complete with rating in one of the 3 performance levels). The new supervisor completes new plans for all of his/her employees. The new supervisor uses the previous supervisor’s interim ratings on a pro-rated basis when determining the annual Final Evaluation rating. EMPLOYEE TRANSFERRING WITHIN THE DEPARTMENT OF HUMAN SERVICES – the supervisor losing the employee completes an interim evaluation (complete with rating in one of the 3 performance levels). Enter this data into the Tracking System. The receiving supervisor completes a new plan and uses the employee’s interim evaluation data on a pro-rated basis when determining the annual Final Evaluation rating. Data is entered into the Performance Tracking System. EMPLOYEE LEAVING THE DEPARTMENT OF HUMAN SERVICES - the supervisor losing the employee completes a Final Evaluation for the employee. Data is entered into the Performance Tracking System. Revised 03/09 14
  15. 15. Coaching and Feedback for Employees Feedback refers to the relaying of information about results or behavior to the person who originated the behavior. It gives that person information about how they affect others, helps to keep their behavior “on target”, and thus to achieve their goals better. 1. Feedback should emphasize positive aspects of performance. Too often feedback tends to center around corrective actions or poor performance. 2. Feedback is helpful if the person understands the information, accepts it, and is able to do something about it. 3. It is descriptive more than evaluative. Perceptions and opinions should be labeled as such and not as facts. 4. It is specific rather than general. To be told that one is “domineering” will probably not be as useful as to be told “when we were deciding the issue, you did not listen to what others said.” It refers to the relevant performance (behavior or result outcome) and not to the individual as a person. 5. If feedback is evaluative rather than descriptive, it should be in terms of established criteria, probable outcomes, or possible improvement rather than labeled “good” or “bad.” 6. It takes into account the needs of both the receiver and giver of feedback. Feedback can be destructive when it serves only the supervisor’s needs and fails to consider the needs of the person on the receiving end. 7. It should include discussion of high and low points of performance and of specific behaviors which contribute to, or limit, full effectiveness and accomplishment. 8. It is directed toward behavior that the receiver can control. Frustration is increased when a person is reminded of some shortcoming over which he or she has no control. Revised 03/09 15
  16. 16. 9. It is well-timed. In general, feedback is most useful when it is given at the earliest opportunity after the given behavior. 10.It is checked to ensure clear communication. The receiver should try to paraphrase the feedback he or she has received to see if it corresponds to what the sender had in mind. 11. Feedback includes suggestions that are made as a way to improve performance. Revised 03/09 16
  17. 17. Rating Errors to Avoid Recency: Rating only on recent performance. Data should be representative of the entire rating period. Central Tendency: Occurs when a rater gives good ratings to everyone, even those who deserve very high or very low ratings. Sunflower Effect: Rating everyone high. Favoritism: Overlooking the poor performance of “nice” employees. Prejudice: Especially on legal factors such as race, sex, national origin, religion, age, veteran status or disability. Halo Effect: Letting one predominant factor color the opinion of other factors (either positive or negative). Blind-Spot Effect: A supervisor may not see certain types of defects because they are just like his or her own. Leniency: The rater tends to give all employees favorable ratings, without differentiation between anyone. Most employees get high ratings. Compatibility: Tendency to rate people who we find pleasing of manner or personality higher than deserved. Contrast: The good player on a weak team, when compared against weaker members, receives a higher rating than deserved. Membership in a weak team: The good player on a weak team sometimes ends up with a lower rating than he or she would have if they were on a winning team. Revised 03/09 17
  18. 18. Dispute Resolution The CDHS Performance Dispute Resolution Process is designed to be an open, problem- solving, quality assurance process; preserve working relationships; be fair, consistent and objective; include review by an impartial party(s) outside the supervisory chain; assure that both the employee and the supervisor have a responsibility in the process, and allow all parties an opportunity to have their issues heard. The CDHS Performance Dispute Resolution process incorporates the following core elements. • The following are reviewable: 1. an employee’s individual performance plan, including lack of a plan; 2. an employee’s individual performance evaluation, including lack of an evaluation; 3. application of the CDHS performance-pay plan, policies, or processes to an individual employee’s plan and/or evaluation. • The following are not reviewable: 1. content of the State, CDHS, or Office Plan; 2. matters related to funds allotted to each agency and work unit; 3. performance evaluations and awards of other employees; 4. interim ratings/progress reviews. • Pursuant to Personnel Board Rule 8-30, allegations of discrimination or retaliation for disclosure of information (whistleblowing) must be filed with the State Personnel Board. • Performance evaluations that result in a corrective action are grievable and are addressed through the CDHS grievance process. • Employees are strongly encouraged to initiate discussions within their organizations by first approaching the supervisor whose actions are being disputed. • No party has the absolute right to legal representation, but may have an advisor present. The parties are expected to represent and speak for themselves. • Retaliation against any party involved in the Dispute Resolution process is prohibited. • The dispute resolution process must be concluded within 30 calendar days of initiation (e.g., within 30 calendar days of the date the performance plan is completed). In no case should a performance evaluation dispute conclude later than June 26. • Only issues presented originally in writing will be considered throughout the review process. • Dispute Resolution panel recommendations are advisory to the appointing authority, who will make the final decision. • If an employee with a pending dispute separates from the state personnel system, the dispute will be dismissed. • A description of the Dispute Resolution Process, including timelines and names or position of the appointing authority, shall be given to employees at the time of his/her evaluation. Employees must be given notice that they may, after completion of the internal process, submit a written request to the State Personnel Director for issues that concern the application of the CDHS Plan, if relevant. This notice must contain the deadlines for filing (5 working days from the date of the appointing authority’s decision), list of what must be included in the request, and the address for filing. Revised 03/09 18
  19. 19. DISPUTE RESOLUTION PROCESS Employee receives plan/evaluation from his/her supervisor (rater). Employees are encouraged to initiate discussion with their supervisor. Every effort should be made by the parties to resolve their dispute at the lowest possible level and in a timely manner. Step 1: Employee disagrees with evaluation. Employee discusses with reviewer w/in 3 working days of receipt of evaluation. Reviewer decision w/in 3 working days of discussion/ meeting with employee. Step 2: If the employee is not satisfied with results at Step 1, Is the Appointing Authority the rater or the reviewer (signatory) of the plan or employee forwards written documentation of dispute to evaluation in dispute? If YES, dispute Appointing Authority (AA) within 3 working days of the meeting is forwarded to next level supervisor. with the reviewer (cc: Human Resources). Panel may be ad hoc (formed to review Appointing Authority forwards dispute to panel formed to Panel one dispute) or standing advisory panel. issues written recommendation(s) to Appointing Authority,panel is expected to be used in the process. If panel not used, AA review all disputes in one Office/Division. A within 7 working days must demonstrate inreceived by Appointing of date dispute his/her decision how objectivity was built into the dispute resolution process. The Deputy Executive Director decides how to set up. Authority. Appointing Authority issues written decision, which is final and binding within 5 working days of the date of the panel’s recommendation(s). If AA does not concur with panel recommendation, AA must justify his/her decision to the Executive Director. External Review (State Personnel Director): On those matters relating only to the application of the Department’s plan, an employee may request that the State Personnel Director review his/her dispute. Request must be made within 5 working days of the date of the Appointing Authority’s decision. Definitions Rater – Supervisor who does initial evaluation for the employee Reviewer – Rater’s supervisor or higher-level manager Appointing Authority – Reviewer’s Appointing Authority Revised 03/09 19
  20. 20. Compensation Philosophy I.Individual Achievement Pay Adjustments • Employees must be notified by June 30 of the final decision as to whether achievement pay adjustments will be given. • Achievement pay adjustment allocation decisions are made based upon directives issued by the Department of Personnel & Administration and, where discretion is allowed, the CDHS Executive Management Team and Executive Director. Prior to the payment of annual pay adjustments, the director shall specify and publish percentage ranges for performance levels based on the available statewide achievement pay fund. • Permanent employees are eligible to earn an achievement pay adjustment each year based on the employee’s final overall rating. • All achievement pay adjustments will be a percentage of the employee’s salary and will be effective on July 1. The employee’s current department as of July 1 is responsible for payment of the adjustment. • The entire original, completed evaluation form must be forwarded to district human resources office to be placed in the employees’ official file. A record of the official performance plan, interim evaluation, and final evaluation will be maintained in the CDHS Performance Tracking System described later in this document. • Decisions regarding pay adjustments for newly hired and transferred employees are as follows and are based on our annual performance cycle of April 1 through March 31.  Employees must be employed in the state personnel system on July 1 in order to receive an achievement pay adjustment.  Employees who transfer into CDHS from another state department will be treated as though they were employees of CDHS for their current period of employment with the state and will be eligible for an achievement pay adjustment based on the CDHS requirements for pay adjustment eligibility. • Achievement Pay Adjustments will be consistent with State Personnel Board Rules and Director’s Procedures or any other special directives issues. Specifically:  Employees rated at Level 1 (needs improvement) are not eligible for any achievement pay adjustment. A Level 1 performer may not be reevaluated and will not be eligible for an achievement pay adjustment for the remainder of the year (Rules 3:19).  Employees rated at Level 2 are eligible for achievement pay adjustments up to the pay range maximum. If employee’s base pay is at the maximum or above the maximum (saved pay), the employee is ineligible for an achievement salary adjustment. Revised 03/09 20
  21. 21.  Employees rated at Level 3 are eligible for achievement pay adjustments, base-building up to the maximum of the pay range; any portion of the achievement pay adjustment amount that exceeds the maximum shall be paid as a one time lump sum in the July payroll.  All achievement pay adjustments below the pay range maximum will be base-building up to the maximum of the pay range. Base-building adjustments are permanent (barring any other action such as layoff or discipline) and are paid as regular salary.  Monetary or non-monetary incentives may be given to employees rated at Levels 2 or 3, regardless of their position in the pay range and are not calculated in the total amount of the pay adjustment.  Non-base building pay adjustments will be paid in one lump sum payment in July.  An employee granted an annual achievement pay adjustment shall not be denied the adjustment because of a corrective or disciplinary action issued for an incident after the close of the previous performance cycle.  The Department of Personnel & Administration (DPA) establishes the guidelines or parameters for achievement pay adjustments at each level and, when discretionary, the Executive Director determines the amount at each level within DPA parameters.  Regardless of performance level, an employee cannot be granted a pay adjustment or combination of pay adjustments greater than the set achievement pay adjustment maximums.  Historically and within DPA parameters, the CDHS Executive Management Team has established one specific percentage increase amount at each performance level, rather than establishing ranges of percentages. Should the Executive Management Team decide to set a pay range and distinguish between adjustments for employees rated at the same level, Executive Management Team must first establish minimum criteria for distinguishing achievement pay adjustments and have such criteria approved by the DPA. The criteria must describe how these standards reflect the CDHS mission and operational needs and how the requirement for consistent treatment of similarly situated employees is met. Funding source, method of funding, and length of state service shall not be criteria for distinguishing achievement pay adjustments. Revised 03/09 21
  22. 22. Performance Tracking System Please note: The tracking system is currently not working. If you have direct reports, please contact Laura Koeneman, 303-866-7148, for more information. The Performance Management Tracking System is an automated data system that supervisors must use to enter individual employee performance planning and evaluation data. The Office of Human Resources, Compliance and Regulatory Affairs uses this system to notify managers of due dates and delinquent evaluations or plans. The data in the tracking system is considered CDHS’ official repository for all performance management information. As such, Human Resources uses this system to generate annual reports that are mandated by statute. Managers may design simple reports that list various performance management data for their organization. In order to access the Performance Tracking System, your supervisor must have already designated you in the system as having tracking responsibilities and given you a system- generated password. TO LOG IN TO THE SYSTEM Before you begin, you will need a password. Contact your supervisor for your password. The Performance Tracking System located is on the CDHS intranet. To access, go to the following Internet address: Click the “Performance Tracking” link. It is located under “CDHS General” tab. Click “User Login.” Enter your social security number - tab to each box. Enter your password. Click “Submit.” BEFORE ANYTHING ELSE CAN BE DONE IN THE SYSTEM, YOU MUST ADD YOUR DIRECT REPORTS! A “Direct Report” is a person for whom you will be responsible to enter performance plan and evaluation data into the tracking system. In most cases, a “Direct Report” will be your subordinates. In some cases, it may be additional employees, e.g., employees who report to your immediate subordinates. Any time you hire a new employee, you must add the employee to your list of Direct Reports. Data is downloaded from the employee database to the Tracking System once per month. So, in some cases, you may need to wait a few weeks before adding the employee as your Direct Report. Revised 03/09 22
  23. 23. ADDING A DIRECT REPORT Click “Edit/Modify Direct Reports.” Click “Add a Direct Report.” Enter the employee’s last name and click “Search by Last Name” (or enter the employee’s Social Security Number and click “Search by SSN”). Highlight the employee’s name and click “Submit” (if no one else in the department shares the employee’s last name, the system will automatically default to the employee’s record). Will this Direct Report have tracking responsibility (i.e., will they have Direct Reports of their own)? If so, click the box marked “Assign Tracking System Password.” Click “Add a New Direct Report.” [Or click “Replace an Existing Report” if the new employee is a supervisor and you want to re-assign another subordinate’s list of direct reports to the new employee]. If your subordinate will not have tracking system responsibilities, leave the “Assign Tracking System Password” blank and click “Add a New Direct Report.” If you clicked the box marked “Assign Tracking System Password” a password for that employee will be generated by the system and will be shown on the screen. Write down the Direct Report’s password or print out the page containing the password and give the password to the Direct Report. That Direct Report now has access to the Tracking System. Click “OK.” To add another Direct Report, click “Add a Direct Report” and begin the process again. When finished adding Direct Reports, click “Return to Main.” Then, to exit the system click “Logout.” You may view your Direct Reports’ passwords at any time with the “View Passwords” function. Use the “Modify Direct Report Properties” button to either assign or eliminate a password at a later date. ENTERING PERFORMANCE PLAN DATA Before you begin, you will need the position number of the supervisor who developed the plan. From the Main Menu, click “Enter/View Plans and Evaluations” Click “Enter Performance Plan/Evaluation Data” Enter the fiscal year that corresponds to the plan time period (the default is the current year). Click “Performance Plans” Click on the employee’s name. Type the required information in each of the blank fields. Please note that “Date Completed” is the date the employee signed the plan. Please also note that the date must be entered: mm/dd/yyyy (e.g., 04/10/2000). The “Person Completing” refers to the supervisor who established the performance plan. Enter the Revised 03/09 23
  24. 24. appropriate three-letter agency code and the supervisor’s 5-character position number using leading zeros when necessary (e.g., 00251). Click SAVE! You will receive a confirmation message when the record has been saved. To add Performance Plan information for another direct report, click his or her name and begin the process again. When finished adding Performance Plan data for all direct reports, click “Cancel and Return to Previous Menu.” To exit the system, click “Return to Previous Menu” and “Return to Main” then click “Logout.” ENTERING INTERIM EVALUATION DATA “Interim Evaluations” are also commonly referred to as “mid-year reviews” or “progress reviews.” At least once Interim Evaluation is required for every employee each year, typically mid-way through the performance cycle year (November). Some Offices require interim evaluations more frequently. To enter interim evaluation data: From the Main Menu, click “Enter/View Plans and Evaluations.” Click “Enter Performance Plan/Evaluation Data.” Click “Interim Evaluations.” Click on the employee’s name. Type the required information in each of the blank fields. Please note that the “Date Completed” is the date the employee and supervisor met. Please also note that the date must be entered: mm/dd/yyyy (e.g., 04/10/2000). The “Person Completing” position number is a 5-character field. Use leading zeroes if necessary (e.g., 000251). “Regularly Scheduled” interim evaluations do not require a performance rating. If no performance rating is given, simply click “None” in the “Performance Rating” box. Interim evaluations that are conducted because of a change in supervisor or the employee is leaving his/her current job do require an overall rating. Click SAVE! You will receive a confirmation message when the record has been saved. To add Interim Evaluation information for another employee, click that employee’s name and begin the process again. When finished adding Interim Evaluation data for all direct reports, click “Return to Previous Menu.” To exit, click “Cancel and Return to Previous Menu” and “Return to Main.” Click “Logout.” ENTERING FINAL PERFORMANCE EVALUATION DATA A final evaluation is required for every employee each year. Final Evaluations should also be conducted for employees who are leaving employment of the Department. From the Main Menu, click “Enter/View Plans and Evaluations.” Click “Enter Performance Plan/Evaluation Data.” Enter fiscal year that corresponds to the plan time period (the default is the current year). Click “Final Evaluation.” Click on the employee’s name. Revised 03/09 24
  25. 25. Type the required information in each of the blank fields. Please note that “Date Completed” is the date the employee signed the evaluation. Please also note that the date must be entered: mm/dd/yyyy (e.g., 04/10/2000). Click SAVE! You will receive a confirmation message when the record has been saved. Once a complete Final Evaluation record is entered, it cannot be edited. Final Evaluation data is editable until the due date by following the steps outlined in the “Entering Final Performance Evaluation Data” section above. After that time, contact the system administrator. To add Final Evaluation information for another direct report, click that employee’s name and begin the process again. When finished adding Final Evaluation data for all direct reports, click “Cancel and Return to Previous Menu”. To exit the system, click “Cancel and Return to Previous Menu” and “Return to Main,” then click “Logout”. REVIEWING DATA The system provides two ways to review data: (1) The “View” function, which allows viewing data by individual employee, and (2) Designing an Ad Hoc Report, which allows viewing data for all of your Direct Reports in a report format. VIEW FUNCTION From the Main Menu, click “Enter/View Plans and Evaluations.” Click “View Performance Plan/Evaluation” Choose the type of data you want to view (e.g., performance plan data) and the appropriate year. Click the name of the employee whose record you wish to review. You may print this page. AD HOC REPORTS From the Main Menu, click “Enter/View Plans and Evaluations.” Click “Design an Ad Hoc Report.” Choose the type of data you want to review (e.g., final evaluations) and the relevant year. Click the box marked “Roll Up Report” to receive the report for all of your direct reports and all of their direct reports (if applicable). If you would like data for your direct reports only, leave this box blank. Identify the data you want to include in your report by clicking on the relevant boxes in the first column. You may include up to 5 fields in your report (e.g., last name, rating level, date of evaluation, etc.) Identify how you would like the data sorted (e.g., by last name, by supervisor, by rating, etc.) by clicking one of the circles in the second column. Click “Get Report.” These reports may be printed. Revised 03/09 25
  26. 26. DELETING A DIRECT REPORT If you have an employee who is leaving your employment (whether transferring, terminating, etc.) you should delete that person from your list of Direct Reports after you have entered the employee’s evaluation rating data into the system (interim evaluation for employees staying within CDHS; final evaluation for employees leaving CDHS). To delete a Direct Report: From the Main Menu, click "Edit/Modify Direct Report." Click "Delete Direct Report" button Highlight the employee's name and click "Delete.” (If the employee has already left the department, the name will appear at the bottom of the list). Any data that you have entered regarding that employee's plans and evaluations will remain in the system. However, you will not have access to those records once you have deleted the employee as a Direct Report. If you want to maintain hard copies of the information you have entered, you may print out the employee’s record (in View function) or generate ad hoc reports prior to deleting the employee as a Direct Report. DELETING A RECORD At times, you may find it necessary to delete a record from the tracking system. Reasons may include, for example, inaccurate or duplicate data was mistakenly entered. Since the tracking system is the official repository for all CDHS performance plan and evaluation data, it is important to maintain accurate records. To delete a record: From the Main Menu, click “Enter/View Plans and Evaluations.” Click “Delete Performance Plan/Evaluation.” Click on the type of data to be deleted and the appropriate year. You may delete Performance Plan and Interim Evaluation data only. [Final Evaluation data is actually editable until the due date by following the steps outlined in the “Entering Final Performance Evaluation Data” section above. After that time, contact the system administrator.] Click on the name of the employee whose record will be deleted. Click the box labeled “Delete This Record” that is above the record that you want to delete. Click the gray “Delete” button. HELP FROM THE SYSTEM ADMINISTRATORS For assistance with the tracking system, contact: Laura Koeneman 303-866-7148 Please note: The tracking system is currently not working. If you have direct reports, please contact Laura Koeneman for more information. Revised 03/09 26
  27. 27. WHERE TO GO FOR MORE INFORMATION CDHS PERFORMANCE MANAGEMENT PLAN – consultation Office of Employment and Regulatory Affairs and technical assistance (ERA)/ Human Resources: Laura Koeneman, 303-866-7148 COMPENSATION ISSUES – explanation of pay rules and Your assigned HR Specialist procedures, salary survey, pay ranges, performance awards North/Central: 303-866-7100 Southern: 719-546-4611 Western: 970-255-5707 DISPUTE RESOLUTION PROCESS – consultation and North/Central: 303-866-7100 technical assistance on formal dispute resolution process Southern: 719-546-4611 Western: 970-255-5707 MEDIATION – confidential facilitation of discussions North Central District: 303-866-7100 between parties to enable parties to reach agreement. Southern District: 719-546-4611 Western District: 970-255-5841 PERSONNEL RULES & PROCEDURES – interpretation, Your assigned HR Specialist consultation and technical assistance North/Central: 303-866-7100 Southern: 719-546-4611 Western: 970-255-5707 PERFORMANCE TRACKING SYSTEM – located on the CDHS Laura Koeneman, 303-866-7148 intranet at Laurie Jaeger, 303-866-7104 TRAINING – includes modules on Performance Management Florence Martinez: 719-546-4446 Fred DeSeriere: 303-866-7120 WEB SITE – contains CDHS Performance-MAP Guidelines, articles and other information, links to other websites Revised 03/09 27