Performance Management
Work Plan Development
Performance Evaluation Process
Objectives
 Why would a Performance Management
System be defined under state law? (G. S.
126)
 Work Plans: What are specific, measurable
performance expectations?
 The 5-point performance rating scale
 Why is the process so important?
 HR Management System
On Boarding Sequence
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

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

Employee Hired
Share Work Plan within 30 days
Submit Work Plan within 60 days
End of Six Months (Probation in most cases)
Complete competency assessment
Do Interim Review with permanent employees
At end of cycle, do Performance Management
(March)
 As business needs change, if competency
level of employee changes, revise competency
assessment and submit with Budget form for
approval of increase
Performance Management
(Standard Program)
 History
 Work cycle year
 Rating Scale (1-5)
 Three phases:



Planning (Development of Work plan) 20%
Managing (Interim Review & Interaction
Management)
60%
Appraising (Completion of Evaluation) 20%
Mandates and Guides
NC Law (G.S. 126-7)
The Performance Management System shall ensure that all employees:
(1) are aware of what is expected of them,
(Write a clear and concise work plan)
(2) are provided with continuous feedback about their performance,
(Monitor and Coach – Interactive management)
(3) are provided with opportunities for education, training and
development, and
(Encourage improved performance and growth)
(4) are rewarded in a fair and equitable manner.
(Consistently rate all employees)
Mandates and Guides
 Office of State Personnel
State Personnel Manual, Section 10
 University Policy
Policy Statement # 54
 A work plan and Performance Management
are legal documents often used in
employment grievance hearings and court
cases
Performance Evaluation and
Competency Assessment
 Performance Management measures
whether employee meets supervisor’s
expectations for satisfactory work
 Competency Assessment measures
demonstrated competencies against market
standards to determine fair compensation
POSITION
AND
INCUMBENT
POSITION &
REQUIRED
COMPETENCIES
INCUMBENT
Contributing
Journey
COMPETENCY
ASSESSMENT
PERFORMANCE
MANAGEMENT
Advanced
•CONTRIBUTING
•JOURNEY
•ADVANCED
SALARY
DETERMINATION
•OUTSTANDING
•VERY GOOD
•GOOD
•BELOW GOOD
•UNSATISFACTORY
CAREER
DEVELOPMENT
PLAN
“Reward” is not in Compensation
 The Performance Management System has
been used to determine variable pay increases based
on numerical ratings only once in this century -- 2000.
 Employees with Performance Management ratings of
overall 1 or 2 may receive a Cost of Living
percentage but not a Career Growth percentage if the
exclusion is written into legislation.
 The SPA salary administration system has not
functioned as a ‘performance based’ system.
…But in Performance Management!
Benefits the employee by answering:
What is my role?
What do you expect?
How can I improve?
Benefits the supervisor by offering:
Identification of difficulties
Opportunities for planning
Productivity measurements
Benefits the organization by encouraging:
Better communication with employees
Response to training needs
Employee development and retention
First Step: Development of Work Plan
(Planning Phase)
 Three key parts

Functional Competencies & Behavioral
Competencies

Priority importance of Functional Competencies

The Supervisor’s Results Expectations and
Behavioral Expectations (Goals)
Functional Competencies
 Functional Competencies will tie together the Position
Description, the Work Plan, and the Competency
Assessment
 For each functional competency area, the supervisor
develops expectations (goals) of job-specific outcomes
that will result from good performance
When is the Work Plan Done?
 Best time to develop work plan is along with
the position description
 In employee’s first month, go over work plan
carefully.
 Process is to be completed 30-60 days after a
hire.
 Supervisor is prompted to submit by HR
Results Expectations for Functional
Competency Areas
 Definition – specify the desired ‘outcome’ or
‘product’ of the work performance
 Must be ‘realistic’, ‘observable’, & measurable
 Written at the meets expectation level
 Use S.M.A.R.T. criteria:
Specific
Measurable
Achievable
Realistic
Time-Bound
Writing Expectations for Functional
Competency Areas (examples)
 Customer Service, Will answer all phone
messages and emails within one business
day and if unable to provide customer with
answer will refer to appropriate person.
 Program Knowledge, Capable of explaining
functions of office to outside customers.
Direct them to appropriate person for
assistance and ensure all documentation
from vendors are assorted and forwarded to
correct department.
Writing Expectations for Functional
Competency Areas (examples)
 Information/Records Administration: Incoming
applications are keyed into system within 24
hours with no more than one error
 Work Coordination: Rooms for event and
meetings are scheduled one month in
advance. Meeting notices are sent out 2
weeks before event.
 Safety Compliance: Receives a minimum of
90% on safety inspections during reporting
periods
Behavioral Competencies
 Definition – the attitudes and values demonstrated by
an employee in carrying out responsibilities.
 Major “behaviors,” ‘how’ an employee performs the
responsibilities assigned to the position.
 The total number of behaviors and key
responsibilities listed in a work plan should not
exceed 12.

Examples: customer service, teamwork, attention to
detail, communication, organizational awareness,
leadership
Behavioral Expectations
 Definition – supervisor specifies the desired
‘process’ or ‘behavior’ in which a task is to be
performed.
 Must be ‘realistic’, ‘observable’, & measurable
(when appropriate)
 Written at the meets expectation level
Sample Behavioral Expectations
Performance Evaluations ends Work Cycle
Year
All SPA employee’s performance is evaluated during
the work cycle year:
From March 1 to the last day of the next February
General Statute mandates annual submission of 1-5
performance rating for each employee.
Rating Scale
5- Outstanding
4- Very Good
3- Good, meets expectations
2- Below Good
1- Unsatisfactory
Interim Review
 Definition – mid-cycle review of performance
 September – October (6 months into work
cycle)
 Review Functional Competency
Goals/Expectations with employees
 Discuss Successful Work Behaviors
 An improvement plan may be needed
“Improvement Plan” form on web
Evaluation/Evaluation
 Conducted at end of work cycle (March –
April). Human Resources will send
notification to supervisors mid February.
 Be prepared:



To gather your documentation of performance
and achievements throughout the year.
If desired, supervisors may encourage
employees to provide self-evaluations to which
they may then respond.
Also future goals for the next year.
Methods of Evaluation Checklist
If employee self-evaluation is used
Employee Self-Evaluation Option
 Supervisors may provide an employee with the option
of evaluating his or her own work performance.
 The employee may include comments in the
“Employee Self-Report” field for each competency.
 Employee comments must be followed by
supervisor’s own clearly identified evaluation, and the
supervisor must provide the final rating in the column
to the right
 If this option is used, “Self-Report” must be checked
on the Methods of Evaluation Checklist
Finalizing Performance
Management
 Take the opportunity to comment on your
supervisor’s comments about your
Evaluation.
 If self-report is not one of your supervisor’s
methods of evaluation, outline your major
accomplishments and include in the
employee’s comment section.
Performance Improvement/
Career Development Plans
Evaluation, (cont.)
 Evaluation should have 3 approvals:
-Employee
-Supervisor
-Reviewer
Employees can access their evaluation anytime
through HRMS.
Once approved by your Evaluation Reviewer, it
becomes permanent record in HRMS.
End of Work Cycle Intermission
Is Performance Management
Another task to do?
or is it about productivity?
Why Another Assessment?
 The State must consider all feasible
options -- including incentive pay,
variable pay, bonus pay programs, and
proactive compensation planning and
management -- to enhance the
recruitment and retention of employees
across the state’s many diverse
occupational groups.

State of NC, Office of State Personnel 2008 Compensation and Benefits Report
Competency Assessment
 Since Performance Evaluation are not
intended for merit based pay, Competency
Assessment was introduced for employee
compensation.
 A market focus was combined with a
competency-based position structure and
assessment plan
 Functional Competencies were identified for
each career band and described at three
levels of competency which each correspond
to different levels of market pay within the
band.
Career Band Market Range
(Accounting Technician)
$24,605
C-MRR: $27,831
$37,200
J-MRR: $37,200
$52,374
A-MRR: $44,752
Questions We Ask
What is this set of required competencies worth in current market?
What does the pay factor of “internal equity” and basic good judgment
allow on our campus?
Salary Administration
 Salary increases may be approved when
employee demonstrates new or better
developed competencies within the same band
level in response to business need



Funds must be available
Must have a business need
Internal alignment must be considered
Unlike the Performance Management, the
Competency Assessment is directly used as a tool
to set and increase pay based on market rates.
Example of Competency Assessment
Shortened
documentation
A “5’ is NOT “Advanced”
 Outstanding employees are found at all
market levels. The C, J, A terms define
positions in terms of market and business
need.
Compensation & Position
Management Team
 Amy Braun

Classification and Compensation Consultant 7-0651
 Hal Walter

Classification and Compensation Consultant 7-0655
 Steve Barnhart

Compensation Coordinator 7-0657