SUPERVISOR'S GUIDE TO
PERFORMANCE MANAGEMENT- DEVELOPMENT
FOR CLASSIFIED EMPLOYEES
PREPARED BY
TEXAS WOMAN'S UNIVERSITY
OFFICE OF HUMAN RESOURCES (OHR)
 

1. Purpose of the Performance Management-Development Plan
   a. Performance management focuses on the supervisor's basic responsibility:
       achieving results through the efforts of other individuals. A performance
       management concept broadens the understanding of what performance
       evaluation is all about and place performance evaluations in a larger and more
       understandable context.
   
   b. Performance evaluation is not a system that exists to produce a completed form
       or to provide performance documentation. It is but one part of a communication
       procedure and mechanism to be used by a supervisor and subordinate in
       achieving the performance and rewards both desire. When a supervisor adopts a
       performance management stance, open communications are encouraged and the
       employee will find it easy and desirable to approach the supervisor any time there
       is a job performance question. Likewise, the supervisor can make periodic
       adjustments in the employee's job performance without the employee feeling
       threatened. Performance management approaches must be flexible enough to
       accommodate this reality.
   
   c. Supervisors should initiate and encourage the interactive techniques necessary for
       effective performance management. Performance evaluation is but one function of
       effective supervisor and subordinate interaction. The procedures outlines in this
       guide are intended to assist each supervisor in improving the communication and
       evaluation process.
    

2. How to Use the Performance Management-Development Plan
   
   a. The correct use of a performance management-development plan does not only
       involve completing and discussing with the employee a few evaluation forms. The
       use of performance evaluation forms is but one part of a total system. It is not an
       end or a beginning; it is part of a continuous cycle. The communications which aid
       an employee in improving job performance come only through the proper
       utilization of all phases of a performance-development plan.
   
   b. There are five phases to this performance management-development plan:
   
       (1) The preparation phase;
   
       (2) The rating phase;
   
       (3) The administrative review phase;

              (4) The appraisal interview and goal setting phase; and

              (5) The follow-up phase.

3.    The Preparation Phase

        a. The preparation phase consists of:
            (1) Developing with the employee a clear position description or task list and clear

                 statements describing a job well done using clearly stated job standards or

                 work goals;

            (2) Maintaining records on performance; and

            (3) Providing feedback to the employee on how well the employee is doing.

        b. The position description should list specific duties (task) and responsibilities for the

            employee's specific job in the department or section. This is not the classification

            specification developed by the Human Resources Department.

        c. The position description should have the following elements to be effective:
            (1) The principle duties and responsibilities of the employee, written so they can be

                  clearly understood;

            (2) The supervisory aspect of the job, clearly defined; and

            (3) The supervisory relationships of the job, who supervises the employee and

                 who the employee supervises.

        d. The supervisor and the employee should work together to keep the position

            description (task list) current, realistic, and understandable.

        e. The job performance standards, factors or work goals contained in the job

           description are statements of conditions that will exist when a job is performed

           satisfactorily (see page 9). On the left hand side of page 7 are sample job

           responsibilities for several positions as they might appear in a departmental job\

           description or task list. On the right hand side of the page are examples of

           performance standards for each job responsibility listed.

        f. Performance standards are best:

            (1) Identified with a specific job responsibility in the job description

                 (sometimes one job responsibility will have several performance

                 standards);

            (2) State in precise terms expressing quantity, quality, manner of performance

                  and time;

            (3) Developed jointly by the supervisor and the employee;

            (4) Periodically updated to reflect changes in work conditions; and

            (5) Used to describe results the supervisor wants to obtain.

        g. Developing and communicating these performance standards are sometimes called

           goal-setting activities. The better the supervisor and the employee understand what

           is to be done, the better the chance it will be done and the better the supervisor's

           appraisal will be of how well it was done.

        h. Every job has observable factors of quantity, quality, time, and cost which will help

            to identify satisfactory performance. The employee should know in advance what

            the supervisor is going to measure and what level of quantity, quality, time, and

            cost will indicate satisfactory performance on the job. Clear job descriptions, well

            defined performance standards, and goals are essential to good supervision and

            good performance management. The clearer the employee's understanding of what

            is to be accomplished, the greater the probability of success. An employee's

            progress or success can be measured only in terms of how well the work goals are

            accomplished or the desired results obtained. Ideally, goals and job standards are

            so clear that the employee can evaluate the work performed before the supervisor

            gets around to it.

        i. Annual evaluations are to cover a period of one year, from the time of the last

           evaluation to the current evaluation. Keeping accurate records on how the

           employee is doing is necessary. Formal evaluation requires the supervisor to

           summarize the work of an employee up to an entire year. Keeping a record of

           notable incidents affecting an employee will help the supervisor make summaries of

           the work in a more accurate and just manner.

        j. Each supervisor should develop an incident file. This is a file in which the supervisor

           keeps written factual examples of specific occurrences that are better than average

           or less than average (see example on p. 12). Very good things go into this file; less

           than satisfactory things go into it as well. This file should be a record that describes

           who, what, when, and where, along with the consequences of the incident. The

           following rules are recommended in maintaining an incident file:

         (1) Keep a separate file on each employee;

         (2) Do not make the file secret, let the employee examine the file upon request (It is

               against the law to maintain secret files on your employees.);
 

         (3) Always discuss the incident with the employee before putting a record of any

               incident in the file; and

         (4) Continually review the files and destroy materials 3 to 4 years old.

4.    The Rating Phase

       a. The rating phase consists of the completion of the appropriate form. Prior to

           completion of the rating form, however, a supervisor should review the job

           description, the defined performance standards, the incident file and other factual

           material. The form should objectively summarize the effectiveness of an employee's

           work since the last formal review.

        b. Contact the Human Resources Department to obtain an evaluation form.

5.    The Administrative Review Phase

       a. After the rating form has been completed, but before it is discussed with the

           employee, the supervisor should review the proposed ratings with the supervisor's

           administrator. The purpose of the review by the next higher administrator is two

           fold

          (1) The administrator serves as a leveling agent to bring about consistency between

                the various evaluators (supervisors) in a given area of responsibility; and

          (2) The discussions between the supervisor and the administrator provide feedback

                to the supervisor as to how the supervisor may be fulfilling the supervisory role

                and how well the supervisor's individual unit might be functioning.

        b. Individual employee work objectives are quite often redefined in discussions

            between a unit supervisor and the administrator. In this manner, each supervisor is

            a link in a communication chain both to the employee above and the employee

            below in that organizational unit. Two levels of supervision are thus brought into

            the goal setting and review process for each employee.

        c. After review, both the supervisor and the administrator sign the rating form.
 

6.    The Appraisal Interview Phase

       a. A supervisor should discuss an employee's work performance with the employee

           frequently enough to provide the employee with adequate feedback to perform the

          work satisfactorily. The frequency of these discussions differs with each individual

          and is dependent on the individual employee's skill level, type of work

          performed, work environment, etc. The frequency of discussion should be often enough

          to build up an atmosphere which encourages an exchange of ideas and feelings about

          the job between the employee and supervisor, so as to eliminate an uncomfortably

          strained atmosphere.

        b. An optional self-evaluation form is available should the administrator choose to receive

            evaluation information on the employee's perspective of his own performance

            assessment. The self-evaluation assists in developing the two-way communication of

            job standards and expectations and to set goals. The employee should complete the

            self-evaluation and take it to the formal appraisal interview.

        c. The formal appraisal interview, as recommended in this guide, immediately follows an

            official written evaluation. It is a summary of the other less formal evaluations or

            discussions that have taken place throughout the year.

        d. These interviews are but one opportunity for the supervisor to perform one of the

            most important tasks of a supervisor, that of providing feedback to employees. It
            allows the employee to determine how the employee is doing, both generally and in
            relation to specific objectives. It also provides an opportunity for the employee to give
            feedback to the supervisor.

        e. The formal appraisal interview takes considerable preparation. To prepare for this

            interview the supervisor should:

            (1) Let the employee know ahead of time when the formal appraisal will take place

                 since the employee is also entitled to prepare for the interview;

            (2) Review the employee's job description; and

            (3) Review the completed rating form, incident file, and any other records indicating

                 degrees of performance.

        f. The appraisal interview should be conducted in private, close to the employee's work

           area. This will reduce any feelings of strangeness or strain.

        g. The best appraisal interview is one in which the employee being appraised does most

            of the talking and accurately appraises the work performance. This is ideal. Starting

            the interview and getting the employee involved immediately in the discussion is

            extremely important. From the start, strive for a friendly and relaxed atmosphere.

            Begin by explaining the purpose of the appraisal and its value. The supervisor should

            then discuss the job itself and the performance standards which have been established

            before discussing how well the employee may have met these standards. The

            supervisor should let the employee know that the supervisor is really interested in

            making the interview as productive as possible for the employee and for the

           department. The supervisor should show appreciation of the employee's successes and

           direct any criticism at the employee's work, rather than at the employee personally.

        h. Discuss the evaluation and write out with the employee the coaching, counseling and

            training activities the employee will be needing before the next formal review to

            continue to grow, to develop new skills, or to improve other aspects of job

            performance. Identify any recommended changes in job performance needed to

            promote the employee's development.

        i. The evaluator should be a good listener, should be patient, and should ask leading

           questions that permit learning about the department or office. Above all, the evaluator

           must not be argumentative. The objective is not to criticize, but to help the employee

           understand and accept the positive and negative aspects of job performance.

        j. The interview should be closed by summarizing both the good and the poor aspects of

           the employee's past performance. A plan of action should be developed with the

           employee. Such a plan should include specific objectives and, if appropriate, time

           tables for the supervisor and the employee that will assist the employee in improving

           work performance.

        k. An optional goal setting form is available should the administrator choose to establish

            goals with the employee.

        l. Finally, the supervisor should have the employee sign the appraisal form and provide a

           copy.

        m. The distribution of the Employee Performance Evaluation forms should be made by

             the supervisor as follows:

            (1) The first copy to Human Resources Department for placement in the employee's

                  personnel file;

            (2) The second copy should be given to the employee; and

            (3) The third copy marked "Department" should be retained by the department for its

                  files.

7. The Follow-up Phase

        a. The follow-up phase involves the supervisor making sure the plan of action agreed

            upon during the appraisal interview is being carried out. This may be something the

            supervisor agreed to do, or something the employee agreed to do.

        b. It also involves creating a climate of communication so open that the employee will

            find it easy and desirable to approach the supervisor for further help or discussion at a

            later date.

        c. The follow-up phase of one evaluation also becomes the preparation phase for the

            next evaluation. In this manner, the cycle continues from the employee's first day of

            work until retirement, or other separation.

 

EXAMPLES FROM INDIVIDUAL JOB DESCRIPTIONS AND PERFORMANCE
STANDARDS
 

Secretary

Carpenter Foreman

Cashier

Administrative Assistant

INCIDENT FILE

Employee:           Mary L. Jones     

Classification:      Secretary  

Date of Hire:       September 1, 1987

PERFORMANCE FACTORS

Examples of Factors to be Considered

1. Attendance
   The degree to which the employee reports for and remains at work as required. Consider:
   
   a.     Rate of absenteeism both excused and unexcused;
   b.     How the employee's attendance affects the ability of the work unit to complete
           work objectives;
   c.     Getting to work on time - punctuality;
   d.     Staying on the job after reporting for work.
    

2. Quality of Work
   The degree of correctness of work performed. Consider:
   
   a.     Accuracy and skill in performing tasks;
   b.     Neatness and thoroughness in completing work requirements;
   c.     Professional and/or technical competence.
    

3. Work Habits
   The degree to which the employee follows instructions and observes work rules. Consider:
   
   a.     How work instructions are followed;
   b.     Care and use of equipment;
   c.     Concern for safety regulations;
    

4. Initiative
   The degree to which the employee is self-motivated in completing work assignments. Consider:
   a.     Self-reliance in completing assignments;
   b.     Suggestions for work improvements or solving work problems;
   c.     Action taken for self-improvement;
   d.     The degree to which an employee is a "self-starter" and finds work to do.
    

5. Dependability
   The degree to which an employee can be relied upon to accept responsibility and complete work assignments. Consider:
   
   a.     Reliability for meeting deadlines and following instructions;
   b.     The degree to which an employee can be relied on to get the job done.
    

6. Cooperation
   The degree to which an employee gets along with other employees on the job. Consider:
   
   a.     Willingness to cooperate and be helpful to co-workers;
   b.     Employee's effect on the morale of other employees;
   c.     Getting along with co-workers;
   d.     Effectiveness in working with others under stressful work situations.
    

7. Quantity of Work
   The amount of acceptable work produced. Consider:
   
   a.     Circumstances under which work is performed (space, equipment available, etc.);
   b.     Amount of work produced relative to employee's skill level;
   c.     Amount of work done.
    

8. Adaptability
   The degree to which an employee adjusts to new or different work situations. Consider:
   
   a.     Effectiveness in performing work at different work sites and under varying
           conditions.
   b.     Application of job knowledge and skills to new or unfamiliar work;
   c.     Apparent learning speed;
   d.     Apparent attitude toward variable work situations.
    

9. Reasoning
   The degree to which an employee uses good sense and makes sound decisions; consider:
   
   a.     Effectiveness and approach in assembling data and facts in making decisions;
   b.    Application of basic intelligence and good sense in performing work;
   c.    How the employee thinks before he/she acts.
    

10. Equal Employment Efforts
    The degree to which an employee extends effort and cooperates with the letter and spirit of the Affirmative Action policy.
    
    a.     For supervisors consider:
            1. The attainment of goals and time tables in all personnel actions;
            2. The establishment of a work environment which is free from bias or prejudice
                on the part of the supervisor and other employees;
            3. The degree to which full opportunities for selection and promotion of women
                and minorities is provided;
            4. The prevention of harassment of employees placed through affirmative action
                efforts.
    b.     For non-supervisors consider:
            1. The absence of harassment, derogatory remarks and other evidences of
                prejudice;
            2. The degree to which the employee cooperates with and supports the letter and
                spirit of the affirmative action program;
            3. The degree to which the employee attempts to avoid conflict with other
                employees of different racial or ethnic groups.
     

11. Public Contact
    The manner in which the employee deals with the public through telephone conversation, correspondence, or face-to-face contact. Consider:
    
    a.     Honesty, tact, helpfulness, and courtesy;
    b.     How the employee presents himself/herself;
    c.     Effectiveness in handling difficult confrontations;
    d.     If the employee presents a good public image.
     

12. Planning and Organizing Work
    The degree to which the employee plans and organizes work effectively. Consider:
    
    a. Timeliness and thoroughness in planning work;
    b. Effective and efficient utilization of time and resources;
    c. How goals and objectives are set;
    d. Methods used in approaching work assignments.
     

13. Communications
    The degree to which the employee effectively expresses herself/himself both orally and in writing. Consider:
    a. Effectiveness in utilizing the English language;
    b. Effectiveness in writing clearly and concisely;
    c. Effectiveness in making clear, concise oral reports and presentations,
    d. How well ideas are put across and understood by others;
    e. How well the employee communicates with the supervisor and/or subordinates.
     

14. Supervisory Ability
    
    a.     Effectiveness in scheduling and assignment tasks to gain desired results;
    b.     Effectiveness in setting a positive example for subordinates and for providing
            leadership;
    c.     Effectiveness in training and counseling subordinates;
    d.     Effectiveness in solving problems and in making decisions;
    e.     Effectiveness in objectively and fairly evaluating subordinate's performance.

15. Management Ability
      The degree to which the employee effectively manages a program, division, or

      department. Consider:

    a.     Effectiveness in developing and implementing policies and procedures;
    b.     Ability to meet goals and objectively, efficiently, and economically;
    c.     Creativity in solving problems;
    d.     Effectiveness in integrating and coordinating work with other programs, divisions, or
           departments.


PERFORMANCE LEVELS

1. Unsatisfactory
   The employee's performance consistently fails to meet work requirements. The employee shows either an unwillingness or an inability to improve. It characterizes and employee who performance is well below average. This rating indicates inadequate and unacceptable performance.
    

2. Below Standard
   The employee's performance sometimes fails to meet work requirements. This rating indicates performance that is some times less than satisfactory and requires that steps be taken to improve performance. It characterizes and employee whose performance is sometimes below average.
    

3. Meets Standards
   The employee's performance meets job requirements, but does not exceed job requirements. The employee regularly demonstrates a willingness and ability to meet an acceptable level of performance. Work is usually well done and is consistent with desired job standards.
    

4. Above Standard
   The employee's performance often exceeds work requirements. The employee demonstrates an ability to exceed an acceptable level of performance. It characterizes a better than average employee who does more than what is expected.
    

5. Superior
   The employee is clearly superior in meeting work requirements. The employee consistently demonstrates an exceptional desire and ability to achieve a superior level of performance. The employee's own high standards have increased the effectiveness of the unit and set an example for the employees to follow. This rating characterizes an excellent employee who consistently does far more than is expected.