dhr managers guide to the performance management process

PlanningPerformance

DevelopingPerformance

CoachingPerformance

EvaluatingPerformance

Performance Management Process

DHR Manager’s Guide

to the

PerformanceManagement Process

TheGuide to the Performance Management Process

was developed by theGeorgia Department of Human Resources,

Office of Human Resource and Organization Development (HROD) and the Office of Human Resource Management (OHRM).

July, 2001

Department ofHuman Resources

Table of Contents

Page

Section 1: General Information About the PerformanceManagement Process (PMP)

• Background and Purpose of the NewPMP

• DHR and PMP

3

Section 2: Performance Planning 7

Section 3: Performance Coaching 13

Section 4: Performance Evaluation 16

Section 5: Performance Development 21

Section 6: Salary Increases 23

Section 7: Forms 26

DHR Manager’s Guide to the Performance Management Process

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Section 1:

General Information


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Section 1: General Information

Background and Purpose

The Performance Management Process (PMP) was a major component of theGeorgiaGain Project. Under the guidance of a Task Force made up of StateAgency Directors, including the Commissioner of DHR, the GeorgiaGain Projectrestructured human resource policies, procedures, and systems. The ultimateobjective was to build a state workforce committed to the delivery of qualitypublic service.

In 2001 GeorgiaGain was changed to PerformancePLUS when significantmodifications were made in performance compensation and performancemanagement. This revision of the DHR Manager’s Guide introduces changes inthe rating scale and in compensation provided by PerformancePLUS.

The Performance Management Process (PMP) intends to support efficientmanagement and a motivated workforce through two objectives:

Ensuring two-way communication between supervisors and employees todetermine job responsibilities, performance requirements, accomplish-ments, and areas for improvement in meeting job requirements; and

Providing supervisors with objective, job-related information on which tobase administrative decisions such as salary increases, promotions, anddiscipline.

To support these objectives, supervisors attend PMP training to become familiarwith forms and processes for:

Developing a Performance Plan at the beginning of the review period;

Coaching and documenting performance throughout the year;

Evaluating performance and developing performance ratings at thecompletion of the review period; and

Developing employees.

In addition to these responsibilities, supervisors are expected to provideinformation about the PMP to employees. This is important because training isprovided to supervisors rather than to all employees. Successful and positive


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communication between supervisors and employees includes sharing PMPinformation and agency commitment to the PMP with all staff.

DHR and the PMP

DHR will use the Performance Management Process for all employees who are toreceive performance evaluations in both the classified and unclassified services.Employees on hourly positions, re-employed retired employees or temporaryemployees on positions not eligible for benefits will not be part of thePerformance Management Process.

DHR use of the PMP is guided by Policy # 701 in the Human Resource/PersonnelPolicy Manual, “Performance Management.” This policy specifies the forms,timeframes, and procedures to be followed within DHR. This policy and relatedforms are located at the OHRM website which may be accessed at:

http://www2.state.ga.us/departments/dhr/ohrm.html

It is essential that new supervisors attend PMP training at the earliest possible timein order to carry out this essential aspect of supervision.

Purpose of this Guide

The DHR Manager’s Guide is intended to be a convenient reference forsupervisors who have completed the PMP training and to provide up-to-dateinformation to all managers regarding PMP policies and procedures. Since someinformation may have changed since some managers received PMP training, theManager’s Guide will provide them with the most current information available.

Manuals from PMP training are helpful for reviewing key elements in the training,but may be difficult to use for quick reference as supervisors need specificinformation on aspects of the PMP. DHR supervisors who attend trainingprovided by the Georgia Merit System rather than by DHR trainers will also needa guide which highlights information specific to DHR. Therefore, this guideintends to:

Serve as a supplement to Human Resource/Personnel Policy #701;

Summarize key aspects of the PMP training with an eye on operational use;

Emphasize definitions, procedures, and timeframes used in DHR;

http://www2.state.ga.us/departments/dhr/ohrm.html


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Emphasize the roles of the evaluating supervisor and reviewing manager asthey are used in DHR; and

Increase the motivational emphasis to be placed on the importance ofMeeting Expectations.

The Manager’s Guide is not designed to be all-inclusive or to take the place oftraining or Human Resource/Personnel Policy #701. When questions or issuesarise that are not addressed in the Manager’s Guide, contact your supervisor, theOffice of Human Resource Management (OHRM), or Office of Human Resourceand Organization Development (HROD).


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Section 2:

Performance Planning


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Section 2: Performance Planning

Overview

The first step in the Performance Planning Process is to develop a PerformancePlan for each classified or unclassified employee who is eligible to be consideredfor a salary increase for that performance period. Developing a Performance Planinvolves:

Making an initial determination of the Job Responsibilities and IndividualResponsibilities the employee will perform;

Defining Performance Expectations at the “Meets Expectations” level foreach Responsibility;

Determining which, if any, Responsibilities are to be marked “Critical;”

NOTE: Evaluating supervisors who use PMTools software tocomplete PMF Plans are not to designate responsibilities withthe options “Important” or “Very Important.” Responsibilitiesshould be designated as either “Applicable” or “Critical.”

Determining if any of the Statewide Responsibilities – Customer Service,Teamwork, and Organizational Commitment – are to be marked “Critical;”

Determining if the Performance Management Responsibility isapplicable; and

Indicating specific expectations under Terms and Conditions ofEmployment as appropriate.

The Performance Plan is developed by the evaluating supervisor and discussedwith the reviewing manager prior to a meeting with the employee to discuss theplan. Employees may submit input for consideration by the supervisor indeveloping the Performance Plan. At the planning meeting, the employee andsupervisor may agree on minor changes to the Performance Plan agreed upon withthe reviewing manager; however, significant modifications require furtherdiscussion with the reviewing manager and approval before they can be included.

After the planning meeting, the evaluating supervisor and employee sign thePerformance Plan. Employees may be given a specified period of time, not toexceed 5 work days, to review their PMF before signing. Efforts are to be made to


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resolve disagreements between employees and evaluating supervisors overresponsibilities and expectations in the PMF. The employee will receive a copy ofthe plan signed by the evaluating supervisor, reviewing manager, and theemployee.

Timeframes

Generally performance plans are written for the time period July 1 – June 30.If an employee is in a position for a portion of the evaluation year, theperformance plan is to cover the time period from the date the employee isplaced in the position until the employee leaves the position or through June30, whichever is appropriate.

Performance plans must be developed within 45 calendar days of theemployee being placed in a new position.

The evaluating supervisor must meet with each employee within 45 calendardays of a new performance review period.

If the above requirement is not met, the employee may file a complaint withthe Employment Practices and Concerns Section, Office of Human ResourceManagement.

In the event of a complaint, the Office of Human Resource Management willtake appropriate steps to ensure the employee receives a Performance Planwithin 15 calendar days of notification.

Job and Individual Responsibilities

Job Responsibilities – The Department recommends that Performance Planshave 3-8 job responsibilities. Each job responsibility should have 2-5performance expectations, each containing at least one of the measurementcriteria: quantity, quality, timeliness or cost.

Individual Responsibilities – There is no requirement that a Performance Planhave any individual responsibilities. However, use of individualresponsibilities is recommended as a way of developing employees andutilizing specific strengths that an employee possesses. If individualresponsibilities are used in a Performance Plan, there should be only 1-2 in anyone plan.


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Critical Responsibilities

“Critical” responsibilities are defined as follows:

Critical responsibilities are responsibilities which are so essential forsuccess in the position that if they are not performed adequately itwould most likely result in unacceptable overall job performance.

It should be noted that, at most, only a few (generally three or less) jobresponsibilities should be marked as Critical. In many instances a PerformancePlan would not have any job or individual responsibilities marked as Critical.Rarely, if ever, would all responsibilities in a Performance Plan be marked asCritical. Just because a responsibility is not marked as Critical does not mean it isnot important. Only responsibilities that are essential for success in a positionshould be marked Critical.

Some factors to consider in determining whether a responsibility is Criticalinclude:

Positive or negative consequences to the organization or to the public foreither fulfilling or not fulfilling the responsibility;

Responsibilities that have major health or safety implications;

Responsibilities that have significant financial or budgetary implicationssuch as overseeing or managing large budgets or other resources;

Responsibilities with major “political” implications;

The proportion of the employee’s total work time required by aresponsibility; and/or,

Any other consideration that is of great significance to the public, clients,customers, or the organization.

Designating a responsibility as Critical is the only method DHR permits forindicating that one responsibility is more important than another. Evaluatingsupervisors are not to use any kind of “weighting” system which includes numbersor percentages. Since “weighting” is not permitted, supervisors should be carefulnot to overuse the Critical designation since it is the only way to indicate that oneresponsibility should receive more emphasis than another.


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NOTE: Evaluating supervisors who use PMTools software to completePMF Plans are not to designate responsibilities with the options“Important” or “Very Important.” Responsibilities should bedesignated as either “Applicable” or “Critical.”

It is important to remember that any responsibilities that are designated Criticalshould be noted in the planning phase, at the beginning of the plan year, and notedon the PMF.

Statewide Responsibilities

Customer service, teamwork, and organizational commitment have been identifiedas Statewide Responsibilities on the Performance Management Form (PMF). Allthree responsibilities are considered “Applicable” within DHR. Whether any orall of these should be marked “Critical” will be determined by evaluatingsupervisors and reviewing managers.

Performance Expectations

Two or more Performance Expectations should be written on the PMF for eachJob and Individual Responsibility. There are usually 2 – 5 PerformanceExpectations for each responsibility. These expectations will be written todescribe performance that “Meets Expectations.”

Supervisors are expected to focus on motivating employees to successfullyperform their responsibilities and expectations. This is best accomplished byemphasizing what is needed to achieve a rating of “Meets Expectations.” Not allemployees can achieve ratings better than “Meets Expectations,” for those ratingsare reserved for exceptional performance on a consistent basis. On the other hand,the Performance Management Process is intended to ensure that all employeeshave the guidance and feedback they need to achieve a rating of “MeetsExpectations.” Therefore, supervisors should be aware of the importance ofemphasizing the “Meets Expectations” level of performance as a key to motivatingall staff to achieve what they are all capable of achieving. A supervisor’s positiveattitude and communication are essential to promoting the idea that “MeetsExpectations” is a meaningful achievement.

Planning Meeting

The planning meeting between employee and evaluating supervisor is to occurwithin 45 calendar days of the employee being placed in a new position. Prior tothis meeting, the evaluating supervisor must discuss the proposed PerformancePlan with the reviewing manager. Supervisors may seek input from employees as


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they develop the Performance Plan, but review and discussion of the PerformancePlan should also be deferred until the official planning meeting.

During the planning meeting, evaluating supervisors will discuss thePerformance Plan with employees before signatures are entered on the PMF.Based on the discussion, the evaluating supervisor may agree to minor changes.Concerns that would result in significant modifications in the Performance Planmust be discussed by the evaluating supervisor and the reviewing manager beforethe plan can be finalized.

Employees may be given a specified period of time, not to exceed 5 working days,to review their PMF plans before signing. Efforts are to be made to resolvedisagreements between employees and evaluating supervisors on responsibilitiesand expectations. If employees express the belief that their PMF plan is arbitrary,capricious, non job-related or unrealistic, and efforts to resolve the differences arenot successful, evaluating supervisors must inform employees in writing, within 2work days, of their right to request a review and provide information to employeesconcerning the designated reviewing official. A written request for review mustbe submitted to the designated reviewing official within 5 work days of receivingcompleted PMF plans.

When the plan is finalized, the PMF should be signed by the employee, theevaluating supervisor, and the reviewing manager. After the PMF is signed by thereviewing manager, the evaluating manager will ensure that the employee receivesa copy.

If the employee refuses to sign the PMF, the evaluating supervisor and thereviewing manager will sign the form. It should be noted on the plan that it wasdiscussed with the employee and the employee chose not to sign the form. A copyshould be provided to the employee. An employee’s signature on the formindicates that a discussion was held. The employee’s signature on the PMF doesnot waive the right of the employee to request a review of responsibilities orexpectations.


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Section 3:

Performance Coaching


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Section 3: Coaching

Overview

Performance Coaching is the key supervisory activity that occurs during aperformance period. It involves on-going communication, both formal andinformal, that motivates employees by letting them know where they stand inaccomplishing expectations and responsibilities.

There are three steps to Performance Coaching:

Observing performance

Providing regular performance feedback – formal and informal, positive orcorrective, as appropriate

Documenting performance – which includes supervisory documentationthroughout the performance period, a required interim review and anychanges to the PMF due to significant modifications to responsibilities orexpectations.

Communication and Motivation

One of the objectives of the PMP is to ensure the two-way communications thatresult in a motivated workforce. Effective two-way communications buildrelationships of trust and respect. Supervisors who observe and documentperformance have the basis for providing formal and informal recognition andappreciation as well as correction and guidance.

The term “Performance Coaching” draws on sports analogies to emphasize thestrong relationships that develop between athletes and their coaches. It is arelationship based on performance enhancement, not just a social relationship.Relationships between supervisors and employees should be mutually satisfyingand respectful as they focus on work performance – just as the coachingrelationship focuses on athletic performance.

Documenting Performance

Supervisors need to prepare and collect documentation during the performanceperiod to back up comments they will enter as Actual Performance on the PMFduring Performance Rating. There is no required format for documentation. Thecontent of documentation needs to be appropriate to support descriptive


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statements of Actual Performance that include information, as appropriate, that isspecific, job-related, and behavior-based. Managers will have betterjustification or substantiation for ratings as they increase the documentationmaintained during the performance period.

It is also recommended that employees keep their own files to document theirperformance. Information from the employee’s file can be provided to thesupervisor as additional information to be used in the evaluation process.

Periodic conferences to review performance should be documented and kept in thesupervisor’s file. Supervisors may choose to use the Management Review Form(MRF) to document these conversations, but use of the MRF for these conferencesis not required. When the MRF is used for this purpose, supervisors are to providea copy to the employee; however, the MRF is not to be sent to the officialpersonnel file.

Interim Review

Evaluating supervisors should meet with employees on an on-going basis to giveperformance feedback throughout the evaluation period. Evaluating supervisorsmust meet with employees at least once during the review period to conduct aninterim review of work performance and adherence to terms and conditions ofemployment. The interim review may be documented on the PMF, theManagement Review Form (MRF), or by notations of meetings in supervisoryfiles. Copies of this documentation will be kept in the supervisor’s file and may bekept in the files of the reviewing manager, but they are not to be sent to the officialpersonnel file.

Modifying the Performance Plan

New assignments, projects, or priorities may impact what is expected of theemployee during the review period. On-going communication is essential to makesure the employee knows what is expected in the current environment. Most ofthese developments amount to small changes in the Performance Plan which donot require modification of the PMF.

Significant modifications to Job and Individual Responsibilities or PerformanceExpectations must be documented on the PMF. These changes must bereviewed and approved by the reviewing manager and must lead to a meetingbetween the evaluating supervisor and employee to discuss modifications to thePerformance Plan.


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Section 4:

Performance Evaluation


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Section 4: Performance Evaluation

Overview

The Performance Management Process culminates with a meeting betweenevaluating supervisor and employee to rate performance, discuss appropriatesalary increase, and discuss Development Planning for the employee. Timeframesfor completing evaluations and conducting meetings will be determined by theOffice of Human Resource Management each year.

Before the evaluation meeting, the evaluating supervisor should:

• Review documentation of performance in their supervisory file. Employeesmay submit documentation or other information they feel should be taken intoconsideration.

• Write descriptions of Actual Performance for all responsibilities – Job,Individual, Statewide, and, if applicable, Performance Management – and forTerms and Conditions of Employment.

• Rate each responsibility, and decide an Overall Rating for Job andIndividual Responsibilities which includes performance on the Statewide and,if applicable, Performance Management Responsibilities. Extraordinarycircumstances beyond an employee’s control should be closely reviewed priorto recording a rating of Did Not Meet Expectations for any “Critical”responsibility.

• Rate each of the Terms and Conditions and decide an Overall Rating forTerms and Conditions.

• Meet with the reviewing manager to discuss the proposed evaluation andreceive approval before meeting with the employee or providing a copy of theevaluation to the employee.

• Refer to the Division or Office timeframes regarding reviews of PMFs.

• Schedule a meeting with the employee upon approval by the reviewingmanager and notification by the Office of Human Resource Management.


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During the evaluation meeting, the evaluating supervisor should discuss:

• Descriptions of Actual Performance for Job and Individual Responsibilities,Statewide Responsibilities, Performance Management Responsibility (ifapplicable), and Terms and Conditions of Employment.

• Ratings for each item based on descriptions of Actual Performance.

• Overall ratings for Job and Individual Responsibilities and Terms andConditions of Employment.

• Salary decisions based on the overall ratings.

• Development Planning for the employee as appropriate. (Evaluatingsupervisors may prefer to discuss Development Planning in a separatemeeting.)

• Employee right to request a review if a rating of “Did Not MeetExpectations” was received in the Overall Rating for Job and IndividualResponsibilities or the Overall Rating for Terms and Conditions ofEmployment – and if the employee believes the rating is arbitrary, capricious,or not reflective of actual performance or adherence to Terms and Conditionsof Employment. Written notification of the right to request a review will begiven which includes the name, title, address, and telephone number of thedesignated reviewing official.

After the meeting, the evaluating supervisor will:

• Receive and attach employee comments to the PMF if any are submittedwithin 5 work days of the evaluation meeting.

• Sign the PMF and provide an opportunity for the employee to sign, indicatingthat a performance evaluation review meeting was held. If the employee doesnot sign the PMF, the evaluating supervisor must note on the form that theevaluation was discussed with the employee and that the employee chose not tosign the form.

• Provide a copy of the PMF to the employee after all signatures are obtained.


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Job and Individual Responsibilities

100% Responsibilities and Expectations – Some jobs involve responsibilities orexpectations which must be performed without fail 100% of the time in order toavoid violating legal, regulatory, health, safety, or other binding requirements.Supervisory judgment and careful documentation is needed when rating theseresponsibilities and expectations.

Overall Rating – Determining the Overall Rating for Job and IndividualResponsibilities is an exercise in applying judgment to the ratings arrived at foreach responsibility. Judgment is essential in reaching a balanced overallperspective on job performance that can be explained and justified fromdocumentation.

Factors to be considered include whether a responsibility was marked asCritical or whether 100% responsibilities or expectations are involved.

DHR does not use any kind of “weighting” process which applies numbers orpercentages to compare responsibilities or performance expectations to eachother. It is permissible, however, to use numbers or percentages asmeasurement criteria for individual performance expectations.

Critical responsibilities have been designated, according to the definition, as“so essential for success in the position that if they are not performedadequately it would most likely result in unacceptable overall jobperformance.” A rating of Did Not Meet Expectations on a criticalresponsibility will “most likely” result in unacceptable overall jobperformance. Supervisory judgment based on documentation and extenuatingcircumstances, if any, will determine the impact of failing to meet expectationson a Critical responsibility.

The minimum acceptable rating to enable an employee to receive aperformance-based salary increase is Met Expectations.


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Terms and Conditions of Employment

Overall Rating – Using the rating scale that was applied to each of the terms andconditions of employment, evaluating supervisors will rate the employee’s overalladherence using the same scale. Determining the Overall Rating for Terms andConditions is an exercise in applying judgment to the ratings arrived at for each ofthe Terms and Conditions of Employment.

Factors to be considered include the overall impact of one or more ratings ofNeeds Improvement or Did Not Meet Expectations.

The minimum acceptable rating to enable an employee to receive aperformance-based salary increase is Needs Improvement.

Review of Performance Evaluation

Acceptable Performance – Employees cannot request a review of theperformance evaluation if the Overall Rating for Job and IndividualResponsibilities is at least Met Expectations and the Overall Rating for Termsand Conditions is at least Needs Improvement.

Reviewing Official – Employees who receive a rating of Did Not MeetExpectations on either the Overall Rating for Job and Individual Responsibilitiesor the Overall Rating for Terms and Conditions may submit a written request for areview to the designated reviewing official within 5 work days of receiving a copyof the evaluation.

The designated reviewing official will be identified in written notification thatis given the employee at the meeting to discuss the evaluation. The officialcannot be the first or second level supervisor of the employee.

Designated reviewing officials are to review PMF evaluations and supportingdocumentation provided by employees and evaluating supervisors.Discussions should be held with employees and evaluating supervisorsregarding the requests for review.

Within 15 work days of receiving the request for a review, the designatedreviewing official will issue a written response. If changes are to be made toPMF evaluations, determinations will be made on a case by case basisregarding the appropriate official to make the changes (i.e., the evaluatingsupervisor, reviewing manager or designated reviewing official) and theappropriate officials(s) to sign the modified PMF evaluation.


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Section 5:

Performance Development


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Section 5: Performance Development

The Performance Management Process encourages the development of employees.Supervisors should discuss development plans with each employee. Adevelopment plan must be completed for each employee who receives “Does NotMeet Expectations” for Responsibilities or Terms and Conditions of Employmentor a rating of “Needs Improvement” for Terms and Conditions of Employment.

Objectives – A structured approach to development supports three objectives:

Enhancing employee strengths

Decreasing employee areas that need improvement

Meeting organizational needs

Sending employees to training events, which may involve registration and othercosts, may be an appropriate activity to achieve these goals; however,Development Planning does not give preference to any specific method ofdevelopment. Supervisors should be guided by the three objectives ofDevelopment Planning and the current level of employee proficiency whenchoosing specific developmental activities.

Section 9 of the PMF – This section of the form provides space for thecomponents of an Employee Development Plan. Evaluating supervisors areencouraged to complete the columns for developmental goals and developmentactivities as a component of the performance planning meeting or at a latermeeting scheduled for discussing Development Planning. The column for actualprogress should then be completed during the evaluation meeting, thus laying thegroundwork for a new Development Plan at the planning meeting for the nextreview period.


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Section 6:

Salary Increases


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Section 6: Salary Increases

Performance-based salary increases are awarded annually on October 1 to eligibleemployees.

To be eligible for a performance-based salary increase, employees must:

Receive an Overall Rating for Job and Individual Responsibilities of at leastMet Expectations.

Receive an Overall Rating for Terms and Conditions of Employment of at leastNeeds Improvement.

The State Personnel Board releases guidelines that will be followed by DHR toimplement salary increases for each evaluation period for employees who Met orExceeded Expectations.

Employees who receive an overall summary rating of Met Expectations onPMF evaluations will receive the standard increase based on the amountidentified for the evaluation period.

Employees who receive an overall summary rating of Exceeded Expectationson PMF evaluations will receive the standard increase plus a lump sumidentified for the evaluation period.

Special provisions regarding the calculation of performance based salaryincreases for employees who transfer between State agencies during the periodof July 1 through September 30 may be included in the State Personnel Boardguidelines.

Each year a specific amount of funding is allocated for performance basedsalary increases. Due to limited funds, the increase amounts may be reduced ifthe Department exceeds its allocated budget. If the increase amounts must bereduced, the reduction percentage will be the same for all employees of theDepartment who receive performance based salary increases.

Unless otherwise authorized by the State Personnel Board, the followinglimitations apply:

Employees who are at or above the pay grade maximum salary for theirjobs on October 1 are not eligible for performance based salaryincreases.


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Performance based salary increases for employees who are near the paygrade maximum can only be granted up to the pay grade maximum.


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Section 7:

Forms

Instructions for Use of the Performance Management Form (PMF)

GeneralThe Performance Management Form (PMF) is used to document employee performance plansand two types of evaluations based on those plans. The evaluations documented on the PMFare:(1) annual performance evaluations leading to salary increase recommendations, and(2) evaluations performed at the end of working test periods to support permanent status

decisions.

Please note:(1) To document permanent status decisions, agencies may choose to use the shorter

Management Review Form (MRF), rather than using the PMF.(2) The MRF cannot be used to document a salary increase decision: a full evaluation,

documented on the PMF, is required for the annual performance evaluation thatdetermines salary increase recommendations.

(3) The same PMF may be used to document both a salary increase decision and a permanentstatus decision, so long as:(a) the same performance plan is in effect,(b) the PMF documenting one type of decision has been completed no more than 90

days prior to the effective date for the other type of decision, and(c) the agency policy does not require that a new PMF be completed.

(4) A PMF must be completed and signed not more than 90 days prior to the effective dateof a salary increase.

The PMF consists of nine sections:1: Employee Information 6: Salary Increase Recommendation2: Performance Plan Signatures 7: Employment Status3: Job and Individual Responsibilities 8: Evaluation Signatures4: Terms and Conditions of Employment 9: Employee Development Plan5: Overall Ratings

Additional pages may be attached to any section of the form if space is insufficient.

PlanningPrior to the beginning of the new performance period, the supervisor:• enters in Section 3 responsibilities and performance expectations for the employee and

indicates which responsibilities are critical to the job;• enters under Performance Expectations in Section 4 any additional expectations related to

terms and conditions of employment that are specific to the job or work unit;• reviews the preliminary plan with his or her manager to ensure that the proposed

responsibilities and expectations are appropriate in light of overall unit plans and workassignments.

In a planning session at the beginning of the performance period, the supervisor and theemployee:

• discuss the responsibilities and expectations for the coming year, making changes oradditions as necessary in Section 3;

• review the pre-printed "statewide" responsibilities in Section 3 and check the boxes that

apply to the employee and the job. (Each agency should have a policy on whetherinclusion of any or all of these responsibilities is required on every employee's Plan or isdiscretionary on the part of the supervisor.);

• review the preprinted Performance Management Responsibility in Section 3 and, if theemployee directly supervises other employees, mark it as "Critical";

• review the expectations related to terms and conditions outlined in Section 4;• identify any developmental or training goals for the upcoming performance period and

enter in Section 9;• enter signatures and dates in Section 2. (The PMF, with responsibilities and expectations

entered, constitutes the employee's individual Performance Plan. After the Plan isreviewed and signed by the reviewing manager, the supervisor retains a copy, gives acopy to the employee, and processes/files other copies as directed by agency policy.)

• if a significant change is made to the Performance Plan during the year, followingdiscussion of the change, the supervisor should have the employee sign in the indicatedspace in Section 2.

Annual Performance EvaluationAt the end of the performance period, the supervisor uses the Performance Management Formto document the evaluation of the employee's performance. The supervisor rates theemployee's performance on the individual items in Sections 3 and 4. In Section 9, thesupervisor notes any progress the employee has made in meeting developmental or traininggoals. In Section 5 the supervisor enters an overall rating for Job and IndividualResponsibilities and an overall rating for Terms and Conditions of Employment.

In Section 6, the supervisor indicates whether the employee is eligible for a performanceincrease. (Actual awarding of increases is subject to availability of funds and to modificationof pay delivery policies.) In order to be eligible, the employee must receive an overall rating ofMet Expectations or higher on the Job and Individual Responsibilities component of theevaluation. An employee who receives an overall rating of Did Not Meet Expectations oneither Responsibilities or Terms and Conditions is not eligible for an increase. Employeesreceiving an overall rating of Needs Improvement on the Terms and Conditions may or maynot be eligible for a performance increase, depending on individual agency policy.

The completed PMF is reviewed by the supervisor's manager. The supervisor then conductsthe performance evaluation meeting with the employee. Both parties sign the document inSection 8 to indicate that the meeting has taken place. After the PMF is signed by thereviewing manager, it is filed according to agency policy, a copy is given to the employee, andthe supervisor retains a copy.

Permanent Status ReviewIf the PMF is used to document an evaluation leading to the granting of permanent status, theform is completed in the same way as for an annual performance evaluation, but instead ofindicating a salary increase recommendation in Section 6, the supervisor puts a checkmark inthe "Permanent Status Approved" box in Section 7 (or puts checkmarks in both sections, if the

PMF is being used simultaneously for both types of evaluation). Follow agency policy forfiling and distribution of copies.

State of GeorgiaPERFORMANCE MANAGEMENT FORM

(PMF)

Unit Print DateMS 10-60 (8/95)

Department ID

Section 1: Employee Information

Last Name, First Name MI Employee ID Position No. Performance Period

from: to:

Class/Job Title Class/Job Number Supv. Position No. Supervisor's Title and Class/Job Number

Section 2: Performance Plan Signatures

Performance Plan Signatures--EmployeeI understand my job and individual responsibilities, the performance expectations, and theterms and conditions under which I am expected to work.Comments:

Date Employee Signature

I understand the changes made to my responsibilities and performance expectations or termsand conditions.

Date Employee Signature

Performance Plan Signatures--Supervisor/ManagerI have discussed the job and individual responsibilities, performanceexpectations, and terms and conditions with the employee.Comments:

I have reviewed the Performance Plan and find the requirements appropriate.Comments:

Date Reviewing Manager Signature

[ ] Annual Performance Evaluation [ ] Permanent Status Evaluation [ ] Personnel File [ ] Employee Copy [ ] Supervisor Copy

Section 3: Job and Individual Responsibilities

Instructions: Describe the employee's key responsibilities. These may be Job Responsibilities (ongoing responsibilities typically performed by incumbents in the job) or IndividualResponsibilities (responsibilities assigned to this particular employee, such as time-limited special projects or individual developmental goals). Indicate the responsibilities --typically no more than three -- that are critically important to successful performance of the job. Describe performance expectations for each responsibility. At the end of theperformance period, describe the employee's actual performance and indicate the rating achieved.

Job or Individual Responsibility Performance Expectations Actual PerformancePerformance

Rating

[ ] Critical Expectations

[ ] Did Not Meet[ ] Met[ ] Exceeded









Responsibility Performance Expectations Actual PerformancePerformance

Rating







Instructions: Performance Management isa key responsibility of all supervisors andmust be marked as critical on eachsupervisor's performance plan. Check "NotApplicable" only if employee does notsupervise.

[ ] Not applicable [ ] Critical

Performance Management Responsibility

Creates and maintains a highperformance environment characterized bypositive leadership and a strong teamorientation.

1. Defines goals and/or required results at beginning ofperformance period and gains acceptance of ideas by creating ashared vision.

2. Communicates regularly with staff on progress toward definedgoals and/or required results, providing specific feedback andinitiating corrective action when defined goals and/or requiredresults are not met.

3. Confers regularly with staff to review employee relations climate,specific problem areas, and actions necessary for improvement.

4. Evaluates employees at scheduled intervals, obtains and considers all relevant information in evaluations, and supportsstaff by giving praise and constructive criticism.

5. Recognizes contributions and celebrates accomplishments.6. Motivates staff to improve quantity and quality of work performed

and provides training and development opportunities asappropriate.

Expectations


Instructions: Listed below are responsibilities which support the State's strategic goals. If any of these "statewide" responsibilities do not apply, they should be marked "notapplicable." Check the appropriate box to indicate whether the responsibility is "not applicable," "applicable" or both "applicable and critical."

Responsibility Performance Expectations Actual PerformancePerformance

Rating

[ ] Not Applicable[ ] Applicable[ ] Applicable and Critical

Teamwork

Encourages and facilitates cooperation,pride, trust, and group identity; fosterscommitment and team spirit; workscooperatively with others to achieve goals.

1. Communicates accurate information to others in a professional andcourteous manner; conveys a willingness to assist.

2. Shows consideration for others, works cooperatively with any co-worker, provides constructive feedback without undue criticism ofothers; displays appreciation of differences in approaches, personalities,and viewpoints of others.

3. Solicits input of those who are affected by plans or actions; gives creditand recognition to others who have contributed; demonstrates concernfor treating people fairly and equitably.

4. Accepts responsibility for own mistakes and takes action to preventsimilar occurrences; works to resolve conflicts and to identify solutions inwhich all parties benefit.

5. Identifies team goals and ways to work with coworkers to accomplishthose goals; works to keep group activities productive/focused onresults.

Expectations



Customer Service

Works and communicates with the generalpublic, internal customers and/or externalcustomers to provide information andquality services and/or products targeted tomeet customer expectations.

1. Treats customers with respect, courtesy and tact; listens to customerand interacts with customer as a person while maintaining businessrelationship.

2. Communicates with customers and obtains all information necessary todetermine and address their specific needs; tactfully explains why, ifservice cannot be provided.

3. Offers options, as appropriate, so that customers can decide what theywant to do; demonstrates fairness and good judgement when seekingpossible exceptions or in going the extra mile to meet customers'expectations.

4. Responds to customers in manner and timeframe promised or follows upto explain status; demonstrates understanding of, and concern for, thecustomer's situation and perspective.

5. Provides clear, accurate information; explains procedures or materials orprovides supplemental information; anticipates problems and questions;asks for customer feedback on procedures, products or services.

Expectations



Organizational Commitment

Displays a high level of effort andcommitment to performing work; operateseffectively within the organizationalstructure; demonstrates trustworthinessand respon-sible behavior.

1. Demonstrates eagerness to learn and assume responsibility; seeks outand accepts increased responsibility; displays a "can do" approach towork.

2. Shows persistence and seeks alternatives when obstacles arise; seeksalternative solutions; does things before being asked or forced to byevents.

3. Works within the system in a resourceful manner to accomplishreasonable work goals; shows flexibility in response to process changesand adapts to and accommodates new methods and procedures.

4. Accepts direction and feedback from supervisors and follows throughappropriately.

Expectations


Section 4: Terms and Conditions of Employment

Instructions: Every employee must be evaluated on each of the five categories of terms and conditions shown below. Specific performance expectations that pertain to the agency,the work unit, or the particular job should be entered under Performance Expectations. At the end of the performance period, describe the employee's actual performance andindicate the appropriate rating for each category.

Terms and Conditions Performance Expectations Actual PerformancePerformance

Rating

Works When ScheduledWorks when scheduled; begins and ends workas expected; calls in according to policy whenarriving late for work or when absent; observesprovisions of Fair Labor Standards Act;observes policies on break and lunch periods;uses work time appropriately.

[ ] Did Not Meet[ ] Needs Improvement[ ] Met

Requests and Uses Leave AppropriatelySubmits leave requests on a timely basis. Requests and uses the proper type of leave inaccordance with established rules and policies. Provides documentation for use of leave whenrequired.


Dresses AppropriatelyPresents a neat, clean appearance; dressesappropriately for job. Practices personalhygiene. Wears clothing suitable to job task andenvironment based on clientele served. Wearsfull, regulation uniform, if required.


Observes Health, Safety and Sanitation PoliciesObserves established policies on health, safety,security and sanitation; notifies properauthorities of circumstances or situations thatpresent potential health hazards.


Follows All Other Rules and PoliciesPerforms work according to rules, regulations,policies, and guidelines. Ensures requiredlicensures and certifications are current. Doesnot improperly use or knowingly permit others touse state property improperly. Does not engagein activities other than official business duringworking hours. Does not engage in prohibitedpolitical activity. Does not report for work underthe influence of alcohol or drugs.


Section 5: Overall Ratings Section 6: Increase Recommendation

Overall Rating for Job & Individual Responsibilities Overall Rating for Terms & Conditions [ ] NOT Eligible for Performance-Based Increase*[ ] Eligible for Performance-Based Increase

[ ] Did Not Meet Expectations*[ ] Met Expectations[ ] Exceeded Expectations

[ ] Did Not Meet Expectations*[ ] Needs Improvement[ ] Met Expectations

Section 7: Employment Status

[ ] Working Test/Permanent Status Approved

* Note: Any employee rated in Section 5 as Did Not Meet Expectations is ineligible for a Performance-Based Increase

Section 8: Evaluation Signatures

Employee Signature and CommentsI have reviewed the contents of this form with my supervisor and have beenadvised of my ratings and employment status or increase eligibility status. Ihave made any comments I wish in this section. My signature does notnecessarily indicate agreement.

Supervisor/Manager Signatures and CommentsThis rating reflects my evaluation of the employee's performance. I have discussed thisevaluation with the employee.

Date Evaluating Supervisor Signature

Reviewing Manager Comments (if any):

Date Reviewing Manager Signature

____________Date Employee Signature

Date Appointing Authority Signature (optional)

Section 9: Employee Development Plan

Instructions: List developmental goals or areas for improvement that will be addressed by on-the-job development assignments and/or by formalized training experiences. Indicate actions to be taken by supervisor and/or employee and specify the time frame for their completion. At the end of the performance period, describe any progress theemployee has made in meeting development or improvement goals.

Developmental Goals/Areas for Improvement(Employee's and Supervisor's Input)

Planned Development/Training Activities(Agreed Upon by Employee and Supervisor) Actual Progress

[ ] Working Test Mid-Point Review[ ] Working Test/Permanent Status Review

MANAGEMENT REVIEW FORM [ ] Interim Progress Review[ ] Other Review

MS 10-61 (7/96)

Name Employee ID. Hire/Promotion Date

Class/Job Title Position No. Review Date

Agency Work Unit Department ID Review Period

from to

Statewide Responsibilities NI M N/A Terms and Conditions NI M N/A

1. Teamwork [ ] [ ] [ ] 1. Works When Scheduled [ ] [ ] [ ]

2. Customer Service [ ] [ ] [ ] 2. Requests and Uses Leave Appropriately [ ] [ ] [ ]

3. Organizational Commitment [ ] [ ] [ ] 3. Dresses Appropriately [ ] [ ] [ ]

4. Observes Health, Safety and Sanitation Policies [ ] [ ] [ ]

5. Follows All Other Rules and Policies [ ] [ ] [ ]

Job and Individual Responsibilities (Give 4-5 word Identifier) NI M N/A

1. [ ] [ ] [ ]

2. [ ] [ ] [ ]

3. [ ] [ ] [ ]

4. [ ] [ ] [ ]

5. [ ] [ ] [ ]

6. [ ] [ ] [ ]

Recognition/Comments

Performance/Terms and Conditions Improvements Needed

Developmental Goals

I have discussed the contents of this form with my supervisor and have beenadvised of my performance status relative to the responsibilities/terms andconditions stated on my performance plan.

I have discussed the progress of this employee relative tothe responsibilities/terms and conditions stated in theemployee's performance plan.

Permanent Status Approved [ ]

_ _

Employee's Signature Date Supervisor's Signature Date Reviewing Manager's Signature Date

dhr managers guide to the performance management process

Business

performance development

performance planning

performance requirements

performance compensation

pmp training

dhr supervisors

documenting performance

yearevaluating performance