Navigating Employee Performance Management

Welcome to Navigating Employee Performance Management. This course contains audio. Resources, including a summary sheet of this course, can be found in the Resources tab. After completing this course, you will be able to. Define employee performance management. Identify the steps you need to take as the supervisor at the beginning, throughout, and at the end of your employee’s performance management cycle. State your agency’s annual performance rating cycle and determine what needs to be done to successfully complete it. Differentiate between the 3 types of performance reviews. Define what a performance standard is and what makes a good one. Paula: I can’t wait for my EPR today. I know I’ve only been here for two years, but work has been great. I’ve even stepped it up since my satisfactory rating last year. Commendable, here I come! Gene: I knew I should have extended her probationary period last year. I passed her off as satisfactory, and now I’m stuck! Why did I give her the benefit of the doubt? I should have paid better attention. Her work results are just not good. I should have said something sooner. Paula: My reports are so thorough. I go above and beyond to make sure the numbers are correct, I investigate every angle, and the conclusions are perfect. Gene: There’s so much extraneous detail in these reports that don’t matter. I just can’t follow her logic here. What conclusion is she trying to draw? Ugh…This doesn’t make any sense. Plus, she turns these in consistently late. I need them by Monday mornings, not mid-day. Paula: I turn my reports in every Monday like I’m supposed to. I never miss a deadline. And, I give the resource account emails immediate attention. As soon as someone has a question, I go searching for the answer. Gene: Ugh…and her email replies to customers - 3 days is not timely. She should at least acknowledge that she received the email first and then get back to them if she needs to research an answer. Gene: Well, it’s time. This isn’t going to go well. Paula: Oh! It’s time for my EPR. This is going to be great! Gene: Good Morning, Paula! Are you ready? Paula: Yeah. Gene: Alright. Stella: Woah! Looks like I got here just in time. How do you think that’s going to go? Not well, huh? No, I think he may have skipped a couple steps in managing Paula’s performance. Let’s take it back a year and try again. Stella: Hi Gene! Gene: uh…Hey!….uh…who are you? And where are we? Weren’t we just in the office a minute ago? Stella: I’m Supervisor Stella. And yes, you were in your office a minute ago - about to give Paula here a performance evaluation. And (spoiler alert!) it wasn’t going to go well. You guys were on two completely different pages. Gene: Oh, really? How did that happen? Stella: Well, performance management is more than just an EPR at the end of the year. So, I took you back one year, so we can start at the beginning. Stella: Employee Performance Management is an ongoing process of creating a work environment that empowers your employee to perform to the best of her ability while meeting the mission and objectives of the organization. By properly managing your employee’s performance, you will empower her to get your desired work results, be able to correct any undesired work behaviors, be on the same page together, and support your organization’s mission and objectives. Stella: Performance Management is an annual process of setting goals and performance standards at the beginning, communicating throughout, and documenting how well she did at the end. Think about your employee’s annual performance cycle as a year-long trek you are about to embark on together. Before you set off, you will communicate with your employee what is expected of her. Then, you will follow up periodically, checking on how she is doing, coaching as necessary, and then documenting how well she performs her job duties. At the end, you’ll tell her how well she did through a performance review. Stella: Just as you wouldn’t go on a year-long trek through the wilderness without the proper supplies, you also need to prepare for your performance management journey with your employee. Performance management is about empowering your employee to work to the best of her ability. To do that you need 3 things – performance standards, a position description, and a supervisor log. Stella: A position description (or PD) is a list of job duties that tells your employee what tasks she does. At the beginning of every cycle, you need to log in to Supervisor Self Service and acknowledge your employee’s position description.  Gene: Wait, every cycle? Do you mean I have to acknowledge the PD every year? Stella: Yes, you need to verify it is still correct and up to date each year. It’s important to take this opportunity to discuss with your employee any changes that should be made. Once you acknowledge the employee’s PD, Supervisor Self Service will generate an email to your supervisor for acknowledgement. Then, your employee will receive an email to review and sign off on the position description as well. Gene: Oh, that makes sense. Stella: For some state-wide positions in the commonwealth, you can’t make changes to their position descriptions, because the duties must remain the same for everyone in that job title. But, even for supervisors of those positions, you still need to go into SSS and acknowledge the PD so your employees can review and sign off on them as well. If you are not sure if changes can be made to your employee’s PD, please talk with your supervisor or HR representative. Can you help Gene by acknowledging Paula’s position description? In Supervisor Self Service, click on the Supervisor Heading. Click the Position Description tile. Find Paula’s name and follow it across to the Select link. Click Select. Go down to the last line for your HR Office’s email address. Click the drop-down arrow to locate your HR office. Gene’s HR office is HS BHR Headquarters. Select his office from the drop-down menu. Click Next. Make any changes to your employee’s PD as appropriate. Then, scroll to the bottom. Click on the Supervisor Acknowledgement box to electronically sign the PD. Click on the comments box and add notes about what changes were made. If there are no changes, it is a best practice to let your employee know that this is just an acknowledgement without changes. Click Submit at the bottom of the form to forward the PD to your supervisor for their signature. Stella: Great! Now you just need Paula to sign off on those. And, once the position description is set, you need performance standards. Gene: Performance standards…I’ve never heard of those. Stella: Well, you know how a position description tells Paula what job duties she does? Performance Standards tell her how well to do those job duties using quantity, quality, and timeliness standards. Stella: Performance standards must be SMART – specific to a task, measurable, attainable (as in something the employee can actually do), relevant to a duty in the position description, and time-bound if there are deadlines or quotas to reach. Together, the position description and performance standards get you and your employee on the same page. Both of you will know what is expected of the employee’s work and how her work will be measured. Gene: So, you mean the position description would tell Paula that she needs to respond to internal customers through our resource account, but the performance standards would say that she needs to respond to all new emails within 24 hours? Stella: You’ve got it! The standard is specific enough, so Paula knows exactly what to do, measurable, because you can easily determine if all emails were responded to or not, definitely attainable, since Paula has the necessary skills and permissions to do the task, relevant to the specific job duty about responding to customer inquiries listed in the Position Description, and Time-bound because the task must be done within 24 hours of receipt. Performance standards are signed by both you and your employee, with each person keeping a copy. These standards are vital in rating how well your employee did throughout the year. Standards are written to a satisfactory-level rating, so if your employee meets the standards, you are perfectly happy with her work. Again, just like with the position description, you will not be able to make changes to performance standards if the employee’s position classification is the same as others across the state. If you are unsure if you can make changes to your employee’s performance standards, please speak with your chain of command or HR representative. This is just the basics of performance standards. During Performance Management classroom training, you will learn about weighing standards and using them to rate employees, as well as practice writing them for positions in your own work unit. Stella: Do you have a supervisor log? Gene: You mean writing down every time there’s an issue with Paula’s work in order to document it? Yes, I do have one of those. Stella: Well, that’s not the only thing a supervisor log is for. Stella: A supervisor logs helps you keep track of all projects, stories, examples, emails, and anything else that documents how well your employee is or isn’t doing at her job, as well as career goals and developmental opportunities. Having specific, documented examples of your employee’s behavior to draw from will help you throughout the performance management cycle but especially at the end of the cycle when completing her performance review, because the examples in your supervisor log are critical to properly assessing and supporting your assigned ratings. Also, keeping track of your employee’s developmental and career goals will assist you in completing that “opportunities for development” section on the EPR. Gene: Well, how should I document this stuff? Stella: Many ways. You can have a running Word document or Excel sheet, an outlook folder, a paper folder, notepad, or a combination of these – whatever works for you. Just make sure you are setting aside time at least weekly to add to the log. You don’t want to forget any important examples later. Stella: Alright, so you guys have discussed what it is that Paula does with the Position Description, how she is to complete those tasks with the performance standards, and now you have your supervisor log to document her progress. So, these three documents are important because they create that working environment that allows you guys to work to the best of your abilities. It helps you establish boundaries, set standards, and really develop that working relationship. So, you’re ready to go – off on to your annual performance management journey. Stella: Throughout the year, you will make frequent stops to check in with your employee. These “stops” are called feedback meetings and must occur regularly - either weekly, bi-weekly, monthly, or as often as necessary and practical. Regular meetings with your employee serve a few different purposes. Stella: Corrective Coaching. Corrective coaching is not discipline, although the term may give off that vibe. It’s really as simple as correcting mistakes and unproductive behaviors. Employees can’t be expected to fix incorrect behaviors if they aren’t told there is something wrong. If your employee is not meeting one of the standards, review the standard with her to ensure you are both on the same page. Employee Engagement. These feedback meetings are discussions - a 2-way street. Build rapport and a good working relationship with your employee by allowing her to ask questions and bring up her own issues and ideas. Developmental Coaching. Develop employees for their future roles, whether preparing for future work in your unit or your employee’s career goals and aspirations. Use these meeting to offer developmental opportunities and mentorship. Positive Reinforcement. Employees that are succeeding in the workplace should be told so! Praise and recognition help employees stay motivated to keep performing well. Whether you are offering praise, mentorship, coaching, or lending your ear, be sure to document in your supervisor log what was talked about at each meeting. Positive Reinforcement Feedback. Gene: Hey, Paula. I just wanted to say great job dealing with that irate customer this morning. If you ever have issues like that that you need to escalate to me, that’s fine. But the way you handled it by using the customer’s name and remaining calm was perfect. Paula: Well, thank you! I appreciate that. Employee Engagement. Gene: How’s the data project coming along? Paula: Umm, it’s going okay. Gene: Anything you need from me? Paula: Actually, yes. I ran into a roadblock trying to request some of the data that I need. Is that something that you could help with? Gene: Of course. Let me talk to my supervisor. That might be something he has to request for us then. Paula: Okay Gene: Anything else you need? Paula: Yeah. So, I have an idea about some higher-level calculations for some reports. I would just need to take an advanced Excel course to figure it out. Gene: Great. Let’s talk about this more. Tell me more about your idea. Paula: Okay. Developmental Coaching. Gene: Oh! Hey! Remember how you mentioned wanting to take on more responsibility by doing more advanced statistical calculations? Paula: Oh, Yeah! Gene: Well, I spoke with my supervisor and HR, and we got approval to get you booked in an  advanced Excel course. Paula: Well, that’s great! Gene: Glad to hear. So, we’ll look at what courses are available and book something next week. Paula: Sounds awesome. Gene: Alright! Corrective Coaching: Gene: Hey, you know what? While we have a second, why don’t we take a break? I want to talk to you about something. Paula: Sure. Paula: So, what’s going on? Gene: Well, I have noticed that I haven’t been receiving the Monday reports until Monday afternoons even though I need them in the mornings. So, is there an issue with the reports? Paula: No. I’m so sorry. I thought they were due anytime Monday, so I usually come in and just focus on the emails in the resource account because I thought they would be a priority. Gene: Ah, I see. Well, yes, you’re right. Usually those emails are priority, but with the Monday reports, I need that by 9am so I have time to review it for my 11 o’clock meeting. Does that sound something like you could reasonable do? Paula: Yeah, I think so. Sure! Gene: Great! Back to the course. Stella: Halfway through every performance management cycle is a Midpoint Progress Review, which is more formal than the regular feedback meetings. Let’s check back in with Gene and Paula. Stella: Hi Gene! How is everything going? Gene: Hey, Stella! Just great! I didn’t realize how beneficial these regular meetings were going to be. I’ve never seen Paula so engaged in her work. Stella: That’s fantastic. Well, as you’re probably aware, it’s been 6 months. You’re halfway through. It’s time for the Midpoint Progress Review. Gene: Hmmm…I don’t think I’ve ever done one of those before. Is it another form? Stella: Well, you can do it on a form as long as you discuss one-on-one what you wrote. Or, you can just have the conversation and document what was said in your supervisor log. Gene: Okay, so, how does that differ from the regular feedback meetings then? Stella: So, the Midpoint Progress Review let’s the employee know how they’re doing in EPR terms. So, if Paula’s behavior continues as it currently is (whether good or bad), this is what she can expect on her EPR at the end of the year. A good way to approach this meeting is to start with the phrase, “If I were rating you today…”  Then, let Paula know what EPR rating you would assess her performance – whether outstanding, commendable, satisfactory, needs improvement, or unsatisfactory. Then, support your rating with documented examples from your supervisor log. Be direct about how her behavior, if it continues, will affect her rating at the end of the year. You cannot assume your employee will correctly equate her performance with the possible consequences, especially if an employee is not performing well. Finally, let Paula know that she can turn this around, and give her an opportunity to improve by creating a plan. Gene: Ok. So, if Paula isn’t doing well, I would then create a plan to help her improve her performance, correct? Stella: Yes, that is correct. So, if you think there’s something she needs help on, you can talk about how to improve those things. Now, if you think that she’s going to get an overall unsatisfactory or needs improvement on the final EPR, you’ll have to call in Labor Relations. That way you can create a Corrective Action Plan (or CAP), also known as a Performance Improvement Plan or PIP. CAPs are important because you need to give your employee ample time and opportunity to improve their performance before any disciplinary action can be take. Gene: Okay, so what if Paula is doing really well? How should that conversation go? Stella: Well, if you think she might be getting a satisfactory or commendable, be prepared to answer the question, “how do I get the next higher rating?” You might be able to offer her a more challenging work assignment or other developmental opportunity. But, you need to let her know that the rating you are assessing her now only reflects the last six months. Her rating could change. She might not get a commendable or outstanding only because the same work might not be available by then.” Gene: Ah, I see. Alright, I’m going to go give Paula her progress review. Stella: Although these two example dialogues present two different types of Midpoint Progress Reviews – either for a poor performer or a good performer – these dialogues are not mutually exclusive. You could have both conversations in one review regarding different job duties. Gene: Hey, that went really well. So, what’s next? Stella: Okay, so, over the next 6 months you will continue to meet with Paula regularly and provide any feedback and support. About a month before the end of the rating cycle, you will start preparing for the EPR. Gene: Preparing…? How so? Stella: So, if you have any data you need to pull such as call logs or error reports, you can pull those. Or, it could be just what’s written in your supervisor log. Gene: Oh! That’s right. I need to pull specific behaviors from my supervisor log to compare them with the Performance Standards to determine Paula’s rating. Stella: Correct! And once you’ve assessed Paula a rating, you would then give the EPR to your supervisor, who is known as the Reviewing Officer on the form. The Reviewing Officer would make sure you have proper support for the ratings you assess, as well as make sure you’ve applied any performance standards fairly across all of your employees, and to make sure there’s nothing discriminatory. Your Reviewing Officer would then sign it and give it back to you. Gene: And then I meet with Paula, we discuss the rating, have her sign it, and take it to HR. Stella: Correct! See? You know your stuff. Gene: Alright! But, what about the other EPRs? Aren’t there more than just 1? Stella: Correct. There’s three. For employees on an anniversary cycle, the cycle you just walked through the past year is the annual cycle, which lasts for 1 year from the employee’s anniversary month to the first of the anniversary month the following year with a Midpoint Progress Review halfway through. For example, if your employee started her position in May of 2021, her annual cycle would be May 1st of this year to May 1st the following year. This would put the employee’s Midpoint Progress Review in October or November. The annual EPR is due by the last day of the anniversary month, so in this example you would have until May 31st to submit the EPR to Human Resources for it to be considered timely. Note that anytime the employee changes position numbers, their anniversary date gets reset in the system. For employees on a calendar cycle, the cycle you just walked through the past year is the annual cycle, which lasts for 1 year from January 1st to December 31st. That means the Midpoint Progress Review should occur in June or July. You then have until January 31st to submit the EPR to Human Resources for it to be timely. For employees on a federal fiscal cycle, the cycle you just walked through the past year is the annual cycle, which lasts for 1 year from October 1st to September 30th. That means the Midpoint Progress Review should occur in March or April. You then have until October 31st to submit the EPR to Human Resources for it to be considered timely. For employees on the state fiscal cycle, the cycle you just walked through the past year is the annual cycle, which lasts for 1 year from July 1st to June 30th. That means the Midpoint Progress Review should occur in December or January. You then have until July 31st to submit the EPR to Human Resources for it to be timely. Check with your reviewing officer for the process on how to submit the EPR to Human Resources. Now, if you think that she’s going to get an overall unsatisfactory or needs improvement on the final EPR, you’ll have to call in Labor Relations. That way you can create a Corrective Action Plan (or CAP). CAPs are important because you need to give your employee ample time and opportunity to improve their performance before any disciplinary action can be taken. There is also a probationary cycle, which starts off just like the annual cycle with a supervisor log, position description, and performance standards. The probationary period begins on the employee’s first day and ends 180 days later, which is about 6 months. A Midpoint Progress Review would be conducted at the 3-month mark. Probationary EPRs are due to HR by the last day of the probationary period. However, if you are encountering problems and suspect the employee won’t pass the probationary period (meaning that she would receive an overall Needs Improvement or Unsatisfactory rating on the probationary EPR), contact your Labor Relations coordinator as soon as possible! DO NOT WAIT! Labor Relations needs at least a 30-day notice to end or extend a probationary period for unsatisfactory performance. The sooner you reach out to Labor Relations, the better. The third type of performance review that you may complete is called an Interim EPR. Interims are completed at any point during the performance management cycle for any number of reasons, the most common being the following. You are leaving your position mid rating period. An Interim EPR can then be used by the incumbent supervisor to rate the employee for the full rating period. Your employee is leaving her position. An Interim EPR would give her documentation for all the time she worked and close the chapter on her current job. You are following up on a corrective action plan. Your employee worked out of class during the rating period. Your employee’s duties changed significantly. The interim EPR would be used to document the employee’s performance under the original performance standards and position description. The evaluation at the end of the cycle would  rate the employee based on the new job duties and performance standards. All interim EPRs should be submitted to HR, so that they can be added to the employee’s electronic personnel folder (or eOPF). Just some final cautions for you new supervisors out there. EPRs, when done correctly, serve as documentation of good work performed and as a tool to coach for improvement. EPRs also ensure accountability to organizational effectiveness and document employee growth. However, there are a few cases where EPRs can go bad, and an employee may file a grievance. EPRs cannot be viewed as discipline. EPRs must be free from any comments which could come across as discriminatory. Finally, you cannot rate employees for time you did not supervise them. As a new supervisor, this is probably something you will need to address, as you are likely starting mid-cycle for at least one of your employees. Here are some options. If the former supervisor completed an interim EPR, but did not submit it to HR, you can use input from that review to complete your review of the employee. Otherwise, rate the employee just for the time you supervised him or her during the rest of the cycle. If the former supervisor is still in the unit, you can complete the EPR with their input. Complete the EPR with input from your supervisor – the reviewing officer – as long as they also have knowledge of the employee’s work. If none of these options are available, the only thing you can do is to rate your employee for only the amount of time you have supervised him or her. Regardless of which option you take, you must note what you did in the Overall Comments section of the EPR using the sample language shown here. Paula: Well, my EPR is today. I’ve had my ups and downs this year, but I think I’m finally getting the hang of this. Gene: I know I should have extended her probationary period last year, but I’ve made up for it this year. Paula and I have met regularly to discuss her performance, and I think she’s really starting to get it. Paula: I’ve got these reports down, plus that advanced Excel course has really helped expand the scope. Our unit is now more productive now than ever. Gene: These reports have come a long way from the beginning of this year. And that advanced Excel course has really paid off for our unit. Plus, the reports are always on time now. Paula: Hahaha…I can’t believe I misinterpreted when these reports were due. I’m so glad he cleared that up early on. And, I always respond to emails in the resource account inbox as soon as I get them and follow up when I get an answer. Customers are much more understanding that way instead of feeling like they are just emailing a black hole. Gene: And I haven’t gotten any complaints about her timely email replies. She’s definitely on top of that resource account inbox. Gene: It’s time. We’ve talked about all of this stuff in the past, so it’ll be no surprise to her. I’m happy to deliver this rating. Paula: Well, it’s time for my EPR. I pretty much know where this is headed. Let’s go!