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Performance Management Process
The
Annual Appraisal/Review Process: Five Simple Steps for
Supervisors
1.
As the supervisor, you should initiate the
annual Appraisal/Review process by using the employee's
work plan to transfer each of the work plan dimensions
or job responsibilities to a blank Performance Management
Appraisal form, as these are the items that you are
rating on the employee's performance.
2.
You may choose to provide your comments and
rating of the employee's performance for each of the
dimensions/job responsibilities and then allow the employee
to review your comments and add his/her own comments.
Or, you may allow the employee to make his/her comments
first, then you, as the supervisor make your comments
and select the ratings for each item on the form, however
the employee must see the appraisal again to review
your comments and ratings.
NOTE:
The supervisor should select the rating for each performance
item, not the employee. The employees may only comment,
good/bad/indifferent about each rating, job responsibility
or dimension.
The
annual Appraisal/Review is not meant to be an exercise
in pushing paper back and forth. As well as being a
tool for documenting performance, this should also be
a time used for communicating with your employee about
his/her work style, work ethic, and overall mood. Also,
employees who do not receive regular feedback concerning
their positive performance are more likely to become
disgruntled due to lack of appreciation. The annual
performance process gives you an opportunity to tell
those employees how much their contributions are valued.
Remember,
the performance appraisal covers the entire time period
of March 1 - February 28, not just the last few weeks
or months before the end of the appraisal period. Changes
in management, procedures, responsibilities, etc., may
have resulted in a change in the performance expectations.
A glowing review during the previous period does not
necessarily mean the employee is still performing at
that level. In addition, a change from a rating of "4"
to a rating of "3" does not necessairly indicate
the employee is a poor performer. A rating of "3"
means the person is adequately performing their job
responsibilities, thus meeting expectations. In considering
a higher rating, supervisors need to consider what the
employee is doing or contributing that elevates their
performance and document how the employee is exceeding
expectations.
3.
Appraisal forms are not complete until the
"OVERALL" rating has been scored and the supervisor
has written "OVERALL" comments.
4. Once you, as the supervisor, have
included your "OVERALL" comments and rating,
both you and the employee must sign the Appraisal. Before
submission to Human Resources, your supervisor must
review the form and sign as well. (Employee - Supervisor
- Supervisor's Supervisor)
5. Provide a copy of the evaluation
to the employee, keep a copy for your records, and submit
the original to Human Resources.
Questions
regarding the completion of the annual performance appraisals
may be referred to:
Mark Beam,
Classification and Compensation, x 7-2010
Shirley Greene
Jackson, Employee Training and Staff Development,
x 7-2636
Cindy Edwards,
Employee Relations, x 7-6015
UNC
Charlotte's Legal Policy
Statement #54 mandates the use of the State's Performance
Management system and outlines the process of managing
employee performance.
"The work performance of all permanent employees
subject to the provisions of 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 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)." -
Excerpt from first paragraph of PS #54
The Performance
Management Process
Upon
hiring an employee into a position, the Performance
Management Process begins with the development of an
employee's work plan. (Click
here to view a Sample Work Plan). There
are two methods used for developing work plans.
"Dimension
Oriented" and "Task Oriented".
Dimension Oriented work plans provide you, the supervisor,
a broader scope of evaluating your employee than Task
Oriented work plans.
Dimension Oriented work plans use terms
such as:
|
Service Orientation |
Objectivity |
|
Attention to Detail |
Teamwork (Cooperation) |
|
Initiative |
Judgment |
|
Communication |
Technical / Professional Knowledge |
Task Oriented work plans use terms
such as:
| Photocopy |
Sort
mail |
| Answer
phones |
Keep
a logical filing system |
| Type
correspondence for faculty |
Type
mailing labels |
| Input
data into computer |
Update
web site |
The
Performance Management process continues with an Interim
Review that should take place midway through the
Performance Cycle (September). During this
time, the supervisor should sit down with the employee
and the work plan that was developed to discuss any
performance related issues that may be occurring.
Written documentation should be discussed and provided
to the employee outlining the steps that should be taken
to correct the performance related issue if any exist.
At
the end of the Performance cycle (February - April),
a formal, Annual Performance Appraisal, must
be completed for each SPA (exempt and non-exempt)
employee, unless the employee is still in the probationary
period. The overall rating shall be discussed
with the employee and recorded on the Performance Appraisal.
The overall summary statements supporting the rating
shall be written. Upon completion, the Appraisal
should be submitted to Human Resources for processing.
NOTE:
The Annual Performance Appraisal should only
evaluate the tasks or dimensions that were documented
in the work plan.
The
appraisal period is also a good time to update the work
plan, noting any additional responsibilities or dimensions,
for submission to Human Resources.The Performance Management
Cycle is a two-way process. Vital information
must flow back and forth between the supervisor and
employee. Employees play an active role.
They should gather information related to their past
performance including specific data on activities and
accomplishments. It is the employee’s responsibility
to tell the supervisor if expectations seem inappropriate
and the reasons why. After expectations are negotiated
and the work plan is in place, employees must also keep
supervisors informed as changes occur so that expectations
can be met as planned.
Frequently Asked Questions
| Q:
Do Interim and Annual performance reviews apply
to both (FLSA) exempt and non-exempt employees? |
A:
Yes, all employees considered as SPA (Subject
to the State Personnel Act) must be reviewed through
this process. The Fair Labor Standards Act
classification, exempt versus non-exempt,
does not apply to Performance Management requirements. |
| Q:
My employee is still completing his/her Probationary
period. Must I complete a Performance Evaluation
for him/her? |
A:
You are not required to at this time, but you
may choose to do so. At the end of the probationary
period, you will complete a "Probationary
Performance Review" form that will serve
as the Performance Appraisal on file for the cycle. |
| Q:
My employee is performing low and has for some
time now. We discussed his/her low performance
during the Interim Review, but his/her performance
has not rebounded. I want him/her to be
eligible for the legislative increase, assuming
there is one this year. (At this point,
it is unknown if the State Legislature is planning
to enact a legislative increase for SPA employees.)
Should I still give my employee a rating of "Very
Good (4)"? |
A:
The Performance Management Cycle will be undermined
if you choose to rate him/her at the "Very
Good (4)" level. Poor performance must
be documented in order to correct his/her behavior.
By rating the employee at the "Very Good
(4)" level, you are telling him/her that
you approve of his/her low performance.
In addition, should it become necessary to begin
a formal disciplinary action against your employee,
this process will be more difficult if he/she
has received a rating of "Very Good"
on the evaluation. |
| Q:
I have much more important work to do than sit
down with my well performing employee and discuss
this. Why should I take precious time out
of my day to do this? |
A:
We all have work that is very important to do.
However, the Performance Appraisal, as well as
being a tool for documenting performance, should
also be a time used for communicating with your
employee about his/her work style, work ethic,
and overall mood. Also,
employees who do not receive regular feedback
concerning their positive performance are more
likely to become disgruntled due to lack of appreciation.
The annual performance process gives you an opportunity
to tell those employees how much their contributions
are valued. |
| Q:
I have an employee who performs his/her tasks
well. However, his/her overall demeanor
and personality while performing these tasks are
horrible. This employee brings other employee's
spirits down by the way he/she handles interactions
with others. How do I handle this because
the work plan (thus the Performance Evaluation)
is written to reflect the tasks that need to be
performed and do not address behavioral issues? |
A:
Establishing a work plan using Dimensions,
instead of tasks, can greatly assist in this situation.
Dimensions, items such as "Service Orientation",
"Teamwork/Collaboration with others",
"Communication Skills", etc.,
should be written into the work plan, with examples
of poor, good, and above average expectations,
to give your employee a basis. To better
understand Dimensions, and view an expanded list
of dimensions, visit the
Dictionary of Dimensions on the Office of
State Personnel's web page. |
|
Q:
What can an employee do if he/she is dissatisfied
with his/her Performance Appraisal rating? |
A: Employees are encouraged to discuss
their ratings with their immediate supervisor
in an attempt to resolve discrepancies in the
supervisor's expectations and the employee's performance.
An employee may also elect to review the performance
ratings and their concerns with the reviewing
official (the reviewer's supervisor). Another
option an employee has
is to submit a statement to be attached
to his/her appraisal stating the rating
they disagree with and why. Employees may
grieve overall performance ratings of "Good
(3)" or below. Employees may not grieve
ratings on each individual primary job responsibility
or dimension, just the overall performance rating. |
|
Q:
I have an employee who has transferred to another
department. Why am I being asked to do the
performance appraisal? |
A:
Since the appraisal period spans twelve months,
it is appropriate for the person who supervised
an employee the longest during the appraisal period
to prepare the performance appraisal. The
appraisal should be sent to the former employee
for their review/comments and signature, then
returned to the former supervisor for final review
and signature. A copy of the appraisal should
be sent to the employee for their records, a copy
may be kept in the former department, and the
original must be sent to the Human Resources Department.
The current supervisor
of the employee may also complete an appraisal
for the new position but often the employee is
not yet performing all responsibilities of the
new position so it may be difficult to get the
best picture of the employee's long term performance.
Having input from the previous supervisor helps
give accurate feedback that can be beneficial
for both the employee and new supervisor. |
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