Subject:
PERFORMANCE MANAGEMENT PROGRAM
Section:
HR
Part:
Policy
Statement:
16
Effective Date: 7/15/02
Return
to Policies & Procedures
TO:
All Supervisors of SPA Employees
FROM:
Leonard L. Covington
Director of Human Resources
DATE:
July 15, 2002
RE:
Managing the Performance of Employees Subject to the State Personnel
Act
Policy
The work performance of
all permanent employees subject to the State Personnel Act
("classified" or " SPA" employees) will be
appraised at least annually by the immediate supervisor of the
employee and reviewed by a higher level supervisor, as
appropriate. The appraisal of the employee performance is to
be job related and not influenced by gender, ethnic category,
religion, physical or mental handicap, or age (as provided by
law). By adopting this policy, the University seeks to achieve
the objectives listed below.
The information
contained in this policy statement is to be communicated to all
classified (SPA) employees and all supervisors who participate in
the performance appraisal of classified (SPA) employees.
Objectives
The Performance
Management System has the following objectives:
1. Clarify performance expectations in
conjunction with the position description and organizational goals
in order to ensure employees know what is expected of them.
2. Provide the basis upon which an employee
makes a commitment to fully acceptable performance.
3. Improve employee performance by providing
feedback through effective two-way communication with the
appropriate supervisor.
4. Provide an objective and equitable basis
for appraising employee performance.
5. Provide a fair and equitable basis for
making personnel management decisions including permanent status,
promotion, performance pay, development opportunities, reduction in
force and discipline.
The Performance
Management Process
The performance
management process is the sequence of actions supervisors take when
interacting with employees about their job performance and includes:
determining the key elements of the job, developing performance
expectations, providing and interim review of job performance, and
providing an annual performance appraisal. Interaction between
supervisor and employee is required at each step of the
process.
1.
Key Elements of the Job
Before realistic performance expectations can be established,
the work to be performed needs to be clearly articulated and
prioritized based on the importance of each task and its value to
the University. Duties and responsibilities for employees are
determined by the appropriate supervisor and normally include:
a. Routine
task/assignments. These are tasks that are
"assigned" on a regular basis and affect the goals and
objectives of the University.
b. Special Projects and
Assignments. These are non-routine tasks
that the employee and the supervisor have mutually developed in
priority order.
The employee job
description and the organization goals for the Department of Office
serve as important source documents in identifying the key elements
of every job.
2. Performance
Expectation
At the beginning of each annual performance cycle, each
classified employee will meet with his/her supervisor to jointly
develop performance expectations, which identify minimum acceptable
levels (meets expectations) of performance for the employee.
The supervisor is expected to:
a. Explain the performance management
process to the employee so that the employee understands the
importance of his/her role in the process as well as of the
supervisor and the reviewer (supervisor's supervisor).
b. Take the lead in developing and
subsequently updating performance expectations at the beginning of
each annual performance cycle.
c. Provide the employee a signed and dated
copy of the performance expectations.
d. Use the techniques of modeling, coaching
and reinforcing throughout the cycle to sustain good performance and
improve poor performance. 3.
Interim Performance Review
The interim review is conducted at the midpoint of the
Performance Management Cycle and provides the opportunity for the
supervisor to meet the employee and informally review the employee's
progress in meeting the performance expectations established for
each significant task and to make appropriate modifications, if
appropriate. The supervisor is expected to:
a. Take the lead in meeting with the
employee to discuss performance as measured against expectations.
b. Communicate an interim rating of
actual performance for each significant task of the employee.
c. Provide guidance for improving
performance, as appropriate.
d. Communicate an interim overall rating to
the employee.
e. Continue to model, reinforce and coach
the employee. 4.
Annual Performance Appraisal
Annually, at the end of the Performance Management Cycle, every
supervisor will meet with the employees supervised to review each
employee's actual performance as compared to the expectations
established at the beginning of the evaluation period. In
conducting the performance appraisal the supervisor is
expected to:
a. Discuss how well the work was performed,
identify good performance, and performance which needs to be
improved.
b. Determine, communicate and explain the
rating of each significant task in terms of meeting, exceeding or
failing to meet the established expectation.
c. Discuss the overall performance rating
and develop, where appropriate, a plan to improve overall
performance and performance for each expectation, which has not been
rated on the "meets" level.
d. Record the results of the performance
evaluation and performance interview on the Performance Management Appraisal
Form. The Performance Management Appraisal
Form is to be signed and dated by the Employee, Supervisor, and
Reviewer. Components of the
Performance Management System The
University's system of performance management will include the
following components: 1.
An individual work plan (Performance Management Support Form)
prepared annually for each classified (SPA) employee which includes
performance expectations and incorporates an interim review of
performance. In completing the Support Form,
primary job responsibilities and workplace dimensions
are included and further broken down into significant job
responsibilities for
which performance expectations are developed using indicators which
measure both results and behaviors such as quality, timeliness,
manner of performance, cost effectiveness, and quantity. Each
supervisor is expected to identify at least two (2) workplace job
dimensions, of which one must be "customer service"
for incorporation into each employee's work plan. Information
about the employee's performance is obtained from reports,
observations, customer feedback, review of the work products, etc. Performance
expectations are written to establish the minimum acceptable level
of performance. This should provide the motivated employee an
opportunity to exceed expectations. Performance
expectations for classified (SPA) supervisors and managers must
include expectations for the significant tasks of Performance
Management and Equal Opportunity. Performance
expectations are to be established for probationary employees and
reviewed at end of the probationary period to determine if the
employee will be given permanent status. The Support
Form will be completed, signed and dated by the employee,
supervisor and reviewer, after which a copy will be given to the
employee. 2.
An overall performance rating scale of five levels defined as
follows: OUTSTANDING PERFORMANCE:
Performance is far above the defined job expectations. The
employee consistently
does outstanding work, regularly going far beyond what is expected
of employees in this job. Performance that exceeds
expectations is due to the effort and skills of the employee.
Any performance not consistently exceeding expectations is minor or
due to events not under the control of employee. VERY
GOOD PERFORMANCE: Performance meets the defined job
expectations and in many instances, exceeds job expectations.
The employee generally is doing a very good job. Performance
that exceeds expectations is due to the effort and skills of the
employee. GOOD PERFORMANCE: Performance
meets the defined job expectations. The employee generally
performs according to the expectations and is doing a good
job. The employee is doing the job at the level for employees
in this position. The good performance is due to the
employee's own effort and skills. BELOW
GOOD PERFORMANCE: Performance may meet some of the
expectations but does not meet the remainder. The employee
generally is doing the job at minimal level, and improvement is
needed to fully meet the expectations. Performance is less
than a good job. Lapses in performance are due to the
employee's lack of effort or skills. UNSATISFACTORY
PERFORMANCE: Performance generally fails to meet the
defined expectations or requires frequent, close supervision and/or
the redoing of work. The employee is not doing the job at the
level expected for employee in this position. Unsuccessful job
performance is due to employee's own lack of effort or skills. 3.
A performance appraisal (Performance Management Appraisal Form) is
completed on every employee annually (no less than every 12
months). A development plan will be included as part of the
performance appraisal. In completing the
Performance Management Appraisal Form, the supervisor is expected to
meet with the employee to ensure the accuracy of the primary job
responsibilities and significant task performance expectations as
recorded on the Performance Management Support Form. The
supervisor's evaluation of the individual significant tasks and the
overall performance is then completed, after which a performance
interview is held with the employee. The employee is
provided an opportunity to comment on the supervisor's evaluation.
NOTE:
The Appraisal Form is to be dated and signed by the supervisor and
the employee and may be sent to the reviewer before being
discussed with the employee by the supervisor. If the employee
refuses to acknowledge that a review and discussion occurred by
signing the appraisal, the supervisor will have a third party to
acknowledge the employee's refusal sign and forward the appraisal to the reviewer. The
reviewer is to sign and date the appraisal and provide the employee
a copy of the completed Performance Appraisal. The
content of appraisals is considered to be "information personal
in nature" and such is releasable only on a
"need-to-know" basis. No
information contained in a completed evaluation may be changed
without the employee's knowledge. Changes require the date and
initials of the employee, supervisor and Reviewer. As
part of the evaluation process, the employee and supervisor
are expected to:
* Discuss strengths and identify areas for further
improvement/development.
* Agree on a plan for improvement/ development and
record the plan in the section of the Appraisal Form
established for developmental planning. This
will serve as an action plan for maintaining good performance and
improving performance determined to be in need of improvement. The
plan is to include the knowledge and skills that the employee needs
to acquire or improve and time frames for completion or demonstrated
improvements. 4.
An education/training program to provide information and skills
necessary for employees, supervisors, and managers to effectively
operate the system of performance management. This
program will be carried out by the Training and Staff Development
Specialist, under the guidance of the Director of Human Resources. 5.
A dispute resolution procedure using the established grievance
procedures for classified (SPA) employees. This
procedure will be used for reviewing and resolving disputes
concerning performance ratings and/or performance salary decisions. Relationship
of Performance Management to Other Personnel Systems Performance
Management is an integral part of the overall management of the
University. Information from the Performance Management System
pertaining to classified (SPA) employees will be one of the factors
considered in making other personnel management decisions.
Decisions concerning promotions, transfers, training and staff
development, discipline and other personnel actions are influenced
by information from performance appraisals. Performance salary
increase decisions come directly from annual performance appraisals. In
order to achieve internal consistency in personnel administration,
the following requirements apply:
1. A current Performance Appraisal must be
on file for an employee before any of the favorable personnel
actions listed above can be approved.
2. Favorable personnel actions must be
consistent with an employee's current performance appraisal.
3. Personnel action requests that are
inconsistent with an employee's current performance appraisal will
require a request and written justification for exception to policy. Trainees
and probationary employees are required to have a work plan (Support
Form) completed within 30 calendar days from the date of
employment. Trainees and probationary employees who are
employed on or before the first day of an annual Performance
Management Cycle and who hold a permanent appointment by the last
day of the cycle will be considered to have worked the entire cycle. Employees
whose duties and responsibilities change (either in their current
position or in a new position) must have a new Support Form
completed within 30 days of the new assignment. A
performance Appraisal Transfer Form is to be completed prior to the
last day of work for employees who transfer within State
Government. The employee, supervisor and reviewer are required
to date and sign the form. Responsibilities The
Chancellor is responsible for ensuring the Performance
Management System is developed and implemented in accordance with
the requirements of the Legislature and the State Personnel
Commission and is approved by the State Personnel Director. The
Chancellor is also responsible for determining sanctions to be
levied if all provisions of this policy are not met. The
Manager of Employee Relations/Training has the responsibility to: 1.
Develop, publish, implement, and administer procedures consistent
with University and State policies pertaining to performance
management. 2.
Provide training and assistance to effectively implement the
Performance Management System. 3.
Provide supervisors necessary documents and forms in a timely manner
to facilitate compliance with the suspense date associate with the
Performance Management System. 4.
Review Performance Management Support Forms and Appraisals to ensure
consistency, timeliness and compliance with University and State
policy. 5. Provide
technical assistance to employees, supervisors and managers. 6.
Provide appropriate management reports to include:
a. Spread of ratings within each
department/office for employees by gender, ethnicity and
occupational activity code.
b. Annual report to the Office of State
Personnel. Supervisors at
all levels are responsible for effectively managing the performance
of subordinate employees in accordance with this policy and the
procedures established by the Director of Human Resources.
This responsibility shall be included as a significant task of the
work plan (Support Form) for all classified (SPA) supervisors and
managers. Special Note: To
offer as much flexibility to offices and units throughout the
University as it regards when to conduct the Annual Performance
Appraisal Review, the following Work Cycle options are available to
the Unit Directors and above: Cycle
A May
1 Apr 30 Cycle
B June
1 May 31 Cycle
C July
1 June 30
Unit Directors should select the cycle
that is appropriate for staff employees in their units and advise
Sabrena McDonald in the
Office of Human Resources by August 31, 2004 of that selection.
This will allow Human Resources to properly notify each unit of the
suspense dates for receipt of pertinent Performance Management Program
documents. FORMS
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