Employee Performance Planning and Appraisal in Missouri State Government

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Employee Performance Planning and Appraisal in
Missouri State Government
An Online Reference Guide for Supervisors and
Managers
Developed byState of MissouriOffice of
AdministrationDivision of PersonnelSeptember
2009 Edition
2
Contents

• Click the following links to quickly arrive at
  each area.
• Introduction
• Performance Planning
• Establishing and Communicating Performance
  Objectives
• Continuous Appraisal
• Observation, Documentation and Feedback
• Performance Appraisal
• Formal Discussion and Review of Employee
  Performance

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Introduction

• The mission of Missouri State Government is to
  provide essential services to Missouri citizens.
  Meeting this commitment requires that each state
  employee performs his or her job as capably as
  possible. To this end, among the most
  fundamental of a supervisors responsibilities is
  planning specific, measurable work objectives,
  and the observation, evaluation and development
  of each employees performance.
• To perform these critical tasks and encourage
  productivity, excellence and results from their
  employees, supervisors must
• Clearly communicate what they expect each
  employee to do
• Observe each employees performance providing
  continuous feedback and
• Review the employees performance in relation
  to pre-established job components
• and objectives.
• To support this process, the Division of
  Personnel, in conjunction with the Information
  Technology Services Division developed the online
  Productivity, Excellence and Results for Missouri
  (PERforM) appraisal system to facilitate the
  development of annual performance objectives, and
  the electronic storage and reporting of employee
  performance appraisal records.
• Continued

4
Introduction

• This new process also provides many related
  benefits which include
• Better job definitions. This process will result
  in a better definition and understanding of the
  duties, tasks and responsibilities of individual
  jobs. The supervisor and employee will have a
  clearer mutual understanding of the job and will
  have similar expectations about results.
• Greater initiative and self-direction. When
  performance objectives are clearly defined and
  expressed, employees can better manage
  themselves. Less need exists for detailed
  supervision and review. More time is available
  to the supervisor for goal setting, planning, and
  more effective leadership.
• Greater consistency among raters. Performance
  objectives developed at the onset of the
  appraisal period communicate directly to upper
  management job needs. This assists upper
  management in understanding the experiences of
  the first line supervisor, opens lines of
  communication, and helps ensure consistency in
  both expectations and ratings. It provides an
  opportunity to achieve greater consistency in
  performance objectives and, as a result, more
  consistent appraisals.
• Improved management confidence in sensitive
  actions. One of the key elements in improving
  productivity and enhancing organizational
  effectiveness is managements willingness to take
  prompt decisive action when such action is
  clearly in the best interest of the organization.
  This willingness depends, to a degree, on the
  confidence that supervisors and managers have in
  their ability to support sound personnel
  management decisions. This system provides
  structure and guidance in crucial areas of the
  supervisory process that should develop
  confidence in and improve the ability of
  supervisors to support decisions in legal and
  administrative proceedings and other critical
  workplace planning activities.

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• By using this guide, you will
• Explore how the appraisal process and the PERforM
  system can be used to develop employees and
  achieve organizational results.
• Review each phase of the employee performance
  cycle to determine how the PERforM system and
  other related techniques and strategies can
  improve your effectiveness as a Rater or
  Reviewer.
• Receive information to confidently develop,
  communicate and evaluate key performance
  objectives for employees.

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• Some Disappointing Statistics
• Only 29 of workers are actively engaged in their
  work
• 54 are not engaged
• 17 are actively disengaged
• Only 20 of American workers feel that they work
  in an environment that allows them to be their
  best
• Source Gallup Management Journals semi-annual
  Employee Engagement Index and Harvard Business
  Review

• Keeping Employees Engaged in Their Work
• Engaged workers contribute to good working
  environments where people are productive and
  accountable. They stay with the organization
  longer and are more committed to quality and
  growth than are the other two groups of
  not-engaged and actively disengaged workers.
  This occurs when employees have
• a strong trusting relationship with their
  manager
• clear communication from their manager
• a clear path set for focusing on what they do
  best that enables them to take risks and stretch
  for excellence.
• Expectations, clarification and measurement are
  the keys to helping employees stay in the engaged
  range, and to keeping them involved and
  committed. Engaged employees need strong
  relationships and clear communications from their
  managers. They also need to be challenged in
  their areas of talent and strengths to help them
  to continue to grow.

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How do you think your agency rates in setting
and clarifying employee expectations and
promoting employee development? To see what you
think, rate each statement below using the scale
provided. Needs Improvement

Exceptional
? ? ? ? ?
? ? ? ? ?
Organizational Self-Assessment

• Employees have the skills, abilities and
  resources to do their jobs effectively.
  
• Leaders have effective coaching and feedback
  skills.
• Employees know what a good job looks like.
• Managers set clear goals and objectives with
  their direct reports.
• Employees feel that their development is a
  priority to their supervisor.
• Supervisors and managers are held accountable for
  communicating work objectives to their employees.
• Employees feel that good performance is treated
  differently than poor performance.
• Employees feel and know that their work is
  meaningful and important.
• Individual, team and division performance
  expectations are aligned.
• Top management communicates and behaves as if
  employees are critically important to the
  organizations success.

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Organizational Self-Assessment
The 10 statements on the preceding slide
represent the fundamental importance of
conducting performance appraisals and the need to
establish an organizational culture that supports
and encourages the appraisal process.The
Self-Assessment prompts further thought
regardingWhat is working well?What needs to
be improved?What is hindering progress?Response
s to the Self Assessment can become the catalyst
in examining organizational issues or concerns
that can help or hinder the appraisal process.
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Who Is to be Appraised?

• Any employee who
• Has 12 months of state service by January 1 in
• the year in which the appraisal is being
• completed (based on SAM II Leave
• Progression Start Date) and
• Is in a benefits eligible position as designated
  by
• the agency.
• All employees who meet the above criteria will be
  required to have one annual performance appraisal
  completed between January 1 and March 31 of each
  year. Employees who do not meet the above
  criteria may be may be directed by state policy,
  agency policy, or the Director of the Division of
  Personnel to receive an annual appraisal
  conducted in the PERforM system.

Any employee who meets the criteria may be
exempted from having an annual appraisal. The
immediate supervisor will be responsible for
making this exemption which must be approved by
the next level supervisor. Such exemptions must
be done in accordance with all applicable state
and agency policies. (e.g. An employee may
transfer to your agency in December with enough
prior state service to be included in the
required rating group yet does not have enough
time with your agency to accurately assess his or
her performance.)
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Types of Appraisals

• PERforM will accommodate 3 types of appraisals
• Annual Appraisal (Required)
• Employees will be required to have one (1) annual
  rating each year during January 1 and March 31.
• Annual appraisals can serve as the basis for
• Determining developmental needs for
• employees
• Potential promotions for employees
• Eligibility for with-in grade salary
  advancements
• Order of layoff and/or reinstatement from layoff
  
• Potential disciplinary action
• No employee will be allowed more than one annual
  rating per year except in the case when a rating
  is amended either by a decision of the agency or
  as a result of an employee inquiry. Amended
  annual ratings will replace the original rating.

• Original Probationary Appraisal
• PERforM will accommodate ratings for the end of
  an employees probation at anytime during the
  year. Probationary appraisals may be optional for
  some agencies and required by other agencies.
  They generally occur at the end of an employees
  probationary period and serve to indicate whether
  the employees probation should be ended or
  extended.
• Special Appraisal
• Special performance appraisals are also optional
  in PERforM but may be required by specific
  agencies. Examples of circumstances for special
  appraisals include, but are not limited to
• Interim performance appraisals
• As a means to improve employee performance
• Change in supervisor
• Lateral transfer

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Roles and Responsibilities to Ensure PERforMs
Success

• Employee
• Participates fully in the performance discussion
  cycle throughout the year (planning,
  documentation/feedback and review) brings
  issues/concerns about the completion of their
  performance objectives to their supervisors
  attention.
• Rater (Supervisor)
• Establishes the performance objectives for
  employees he or she supervises, and closely
  monitors the performance and development of those
  employees to determine, document, and implement
  training, coaching, counseling, communication,
  and other such strategies as appropriate to
  ensure that each employee has every opportunity
  to succeed.
• Reviewer (The Raters Supervisor)
• Ensures that each Rater is conducting employee
  performance planning and appraisal activities as
  required by the agency consults with Raters as
  needed to determine if performance objectives
  established for employees accurately reflect the
  needs of the position and the employee reviews
  summary appraisal ratings to help the Rater avoid
  common appraisal errors serves as an
  intermediary if/when the employee disagrees with
  the Raters appraisal.
• Continued

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Roles and Responsibilities

• Upper Level Agency Management
• Ensures the PERforM system and the appraisal
  process is implemented and administered
  throughout the agency appropriately and on a
  timely basis continually reviews PERforM data to
  determine when/if agency personnel actions
  related to staffing, development, retention and
  pay are required.
• Agency Personnel/Human Resources Staff
• Provides support to their agency users via
  information, training and established policies
  and procedures to ensure the system and appraisal
  process is fully understood and functions
  successfully performs internal agency
  maintenance within the PERforM system to
  identify, establish and maintain correct
  reporting structures.
• Office of Administration/Division of Personnel
• Oversees the statewide implementation and
  continued use of the PERforM system via statewide
  training, communication or policies as needed
  communicates information to user agencies on the
  effectiveness of the system and modifies or
  updates the system to ensure PERforM continues to
  meet the needs of each agency.

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PERforM System established with the name of each
employee to be rated by the Rater

• First Glance The PERforM Process
• The performance appraisal process is based on 5
  performance components that are used for all
  employees regardless of the agency.
  Supervisors and managers have 3 additional
  components.
• Supervisors are responsible for developing
  performance objectives for the components of each
  employee he or she supervises.
• Performance objectives must be established and
  communicated (verbally and in writing) to
  employees at the beginning of the appraisal
  period which typically begins on January 1.
• Supervisors observe, document, coach, redirect
  and provide interim reviews as needed for
  employees during the appraisal period to provide
  every opportunity for employees to succeed in
  their jobs.
• All required employees receive an ANNUAL
  APPRAISAL rating or rating exemption between
  January 1 and March 31.
• Supervisors score employees on a 1 10 scale for
  each component. The average score for all
  components will determine the employees overall
  performance rating Exceptional, Outstanding,
  Successful or Needs Improvement.
• Ratings must be approved by the next level
  supervisor (Reviewer) before being communicated
  to the employee and the appraisal must be
  signed by the Rater, Reviewer and employee before
  it can be considered complete.
• Employees are given an opportunity to respond to
  their rating after the appraisal is complete.

PLANNING
January 1 March 31 Rater establishes
performance objectives for Employee in PERforM
and initiates Perf. Plan
January 1- March 31 Rater meets with Employee to
communicate performance objectives for the
appraisal periodEmployee receives Performance
Plan
PERFORMING
January 1 December 31 Rater observes, documents
employee performance during the appraisal
periodcoaches and redirects as needed
REVIEWING
January 1 March 31 (following appraisal
period) Rater evaluates employee
performanceScores job components and enters
written feedback in PERforMSubmits to Reviewer
for approval
NO YES
Reviewer approves appraisal
Rater/Reviewer/Employee sign the appraisal Rater
meets with Employee to review/discuss the
performance appraisal and plan for next appraisal
period
January 1- March 31 Performance appraisal is
completed Next appraisal period begins
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PERforM

• The secure online PERforM System located on the
  State of Missouris Intranet provides supervisors
  (Raters) and Reviewers with an easy-to-use tool
  to successfully manage each phase of the
  performance cycle.
• From the Users Home Page, he or she can access
  other links to
• Develop/Update/Review Performance Plans
  (objectives)
• Create Annual, Probationary or Special
• Appraisals
• Evaluate (score) performance
• components
• Attach documentation to support ratings
• Track current and pending appraisals
• Provide written feedback on appraisals
• Generate (print) Performance Plan and Appraisal
  documents for employees to sign

• Home Page functionality includes clickable links
  on action words (Develop/Update Performance
  Objectives, Create New Appraisals, and
  View/Update Appraisals) that take the user to
  another page where the selected action is
  performed.
• Learn more about each function and screen in
  PERforM at www.perform.mo.gov

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The Performance Cycle
PERforM
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• The Performance Cycle
• Performance Planning
• Establishing and Communicating Performance
  Objectives
• During this phase, the supervisor and employee
  meet to discuss the duties of the position and
  what constitutes SUCCESSFUL performance of
  these duties. This meeting/s provides the
  employee with a clear understanding of his or her
  job and the supervisors expectations for
  satisfactory performance. A performance planning
  meeting will take place at least once a year (and
  when the employee is first hired or when an
  individual becomes a new supervisor). Prior
  toor as a result of the employee/supervisor
  meetingssupervisors will have the responsibility
  to create a written work plan (Performance Plan)
  for each employee he or she supervises
  documenting expected performance objectives using
  the online PERforM system.

Performance Planning
Performance Appraisal
Continuous Appraisal
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Communication at the Beginning of the Appraisal
Period
Idea!

• The success of the PERforM system depends, to a
  large degree, on the communication between the
  supervisor and employee at the beginning of the
  appraisal period to explain the appraisal
  processand initiate an ongoing dialogue centered
  around the achievement of performance objectives.
  

The supervisor must ensure that The employee
understands the process. Performance objectives
are clearly understood. Every effort is made to
achieve agreement on the reasonableness of the
objectives. The employee understands that the
rating at the end of the appraisal period will
reflect performance as measured against
established performance objectives The employee
understands that the supervisor will provide
reasonable assistance throughout the appraisal
period including feedback as to the employees
progress The employee understands that the
supervisor is committed to taking action
necessary to promote the success of the
organization.
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A Place to Start

• Defining and communicating to employees the
  overall purpose or essential function of
  their jobs can pave the way for any discussion
  about performance. It communicates how the
  employee fits into the organizations big
  picture and why their job performance is
  important. To write a clear and meaningful job
  purpose, try using this simple formula
• The ____________________ is responsible for
  ________________ to ________________.
• (Job Title)
  (What)
  (Why)
• "Job title" is the title of the job. This may be
  the actual job classification or the working job
  title.
• "What" describes the main function of the job.
  It is not the place to list all job tasks.
• "Why" explains why the job is done. This should
  be written very clearly to avoid confusion. When
  an employee understands the why of their job,
  they are more likely to understand their role in
  the organization.
• Heres an example of a clearly written job
  purpose
• The financial accountant is responsible for
  completing all ledger entries and balances to
  provide an accurate record of division
  transactions and for the preparation of monthly,
  year-end and statutory accounts.

What
Job Title
Why
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Career Development

• Reasons for discussing career development goals
  include
• Identifying job duties that could be strengthened
  or enriched to
• support growth and development in the
  employees current position.
• Determining training needs which could enhance
  employee performance and expertise.
• Discussing areas of dissatisfaction in a current
  position and possible opportunities for change.
• Identifying individuals who are interested in
  advancing within their occupational area.
• Preparing employees for higher level positions
  within the agency.
• Coaching individuals who wish to pursue other
  career opportunities either because they desire a
  change or have reached a plateau in their current
  position.
• A career development discussion may also head off
  potential performance problems due to the
  employees loss of interest, insufficient
  training, or inadequate challenge.
• Employees should only be expected to participate
  in career development discussions on a voluntary
  basis, and it is not necessarily an issue for all
  staff members.

Career Development is also an important part of
the performance planning process. It provides
the opportunity to discuss employee interest in
activities that could develop new knowledge,
skills, abilities, and further career goals.
Some supervisors may prefer a separate meeting
for this type of discussion. Regardless of when
the discussion occurs, it should happen not less
than once a year. Emphasis on career
development is based on the belief that providing
opportunities for growth and development is
essential to retaining skilled employees and to
meeting the State of Missouris future workforce
needs.
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Career Development Encouraging Ideas

• Options for employee development include
• State sponsored and/or outside training
  programs
• Academic programs for adult learners
• Reading materials, training videos, audio
  tapes, etc.
• Developmental assignments
• Rotation of job assignments
• On-the-job training
• Participation in committees and special
  projects
• Leading a change initiative
• Attending certain meetings with or in place of
  the supervisor
• Mentoring a co-worker
• Representative to an inter-agency task force
• Writing and presentation skills development

• Employees may have useful suggestions concerning
  their own developmental activities, but the
  supervisor should be prepared with suggestions
  too. Supervisors can consult with colleagues who
  have had employees with similar development
  needs, their Human Relations Office and the
  Division of Personnel.

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Performance Components
A performance component is a major area of
responsibility critical to the success of each
employees job. New to the State of Missouris
appraisal process is the establishment of
across-the-board performance components used to
evaluate all employees.

• Employees
• State employees (regardless of job
  classification) will be rated on 5 specific job
  components.
• Knowledge of Work
• Quality of Work
• Situational Responsiveness
• Initiative
• Dependability

• Supervisors/Managers
• In addition to the 5 components listed above,
  individuals designated as supervisors or managers
  by their agency that have performance appraisal
  responsibility for one or more employees will
  also be evaluated on the following 3 components
• Performance Planning and Documentation
• Leadership
• Management Skills
• Information about each component begins on the
  next page.

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Performance ComponentsKnowledge of Work

• Definition
• The employees technical knowledge of job
  functions they are required to perform and the
  general understanding of the policies, procedures
  and processes as they relate to the overall
  mission of the organization.
• This component should also address the employees
  ability to obtain new skills and further develop
  his or her existing skills through attending and
  successfully completing optional or required
  training as well as the employees ability and
  willingness to share knowledge with team members.

• Examples of Performance
• Successfully complete formal training sessions
  and fulfill prescribed continuing education
  requirements.
• Train other staff on policies and procedures or
  use of equipment.
• Obtain required certifications or licenses.
• Use expertise to make a work process more
  efficient by reducing costs, reducing lead times
  and/or improving accuracy.
• Be aware of and use available resources to find
  answers, solutions and ideas.

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Performance ComponentsQuality of Work

• Definition
• Addresses the level of accuracy and proficiency
  with which the employee completes assigned work.

• Examples of Performance
• Ensure projects are completed on time.
• Day-to-day activities occur as scheduled.
• Work products (e.g. reports, registrations,
  inspections, etc.) are complete, accurate, timely
  and understandable.
• Reduce workplace injuries.
• Reduce incidents of client/resident/inmate abuse
  and neglect.
• Assess the consequence of errors upon operations,
  reports, service delivery, etc.

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Performance ComponentsSituational Responsiveness

• Definition
• This component addresses the employees skills
  and abilities to respond to internal and external
  stakeholders, develop and maintain effective
  relationships, respond to inquiries and
  circumstances as necessary as well as the
  employees ability to tolerate stressful
  situations, adapt to changes and remain alert and
  aware of his or her surroundings. This includes
  the employees proficiency and accuracy of
  written and verbal communication as well as the
  employees ability to maintain the correct
  balance between tact and firmness.
• This component encompasses the performance
  related accomplishments and problems typically
  associated with the employees work attitude and
  demeanor that can often be difficult to
  objectively evaluate on their own.
• This is the broadest component and provides an
  opportunity to consider the employees ability to
  exhibit stability and consistency of performance
  under pressure, challenge, opposition,
  confrontation, heavy workload, criticism and
  changing priorities.

• Examples of Performance
• Responds to/tracks customer complaints/concerns.
• Effectively communicates with family members of
• clients, residents, inmates, etc.
• Exhibits a willingness to work in a team.
• Actively listens to new ideas.
• Understands and values diversity.
• Maintains a professional attitude when receiving
• assignments.
• Remains calm and reasonable in tense situations.
• Delivers negative feedback constructively.
• Shifts focus based on organizational priorities.
  
• Accepts constructive feedback.
• Contributes and listens during meetings and
  other
• group discussions.
• Remains cognizant of potential security breeches
  
• Proactively addresses health and safety risks.

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Performance ComponentsInitiative

• Definition
• This component addresses the employees ability
  and desire to actively seek out new solutions,
  tasks, opportunities or development that improve
  the organizations ability to accomplish its
  mission in a more effective and efficient manner
  as well as improve the employees value to the
  organization by furthering his or her own
  professional development.

• Examples of Performance
• Seeks to assist team members and supervisors
  beyond the regular position requirements.
• Looks for opportunities to improve processes that
  lead to reduced costs, reduced lead times and/or
  increased accuracy.
• Acts independently without specific instruction,
  as appropriate.
• Remains results oriented, where applicable.
• Notices problems and develop options for
  potential solutions.

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Performance ComponentsDependability

• Definition
• This component addresses the employees ability
  to complete assignments accurately and on time as
  well as the employees ability to follow required
  procedures and guidelines. This area may also be
  used to assess the employees attendance for
  attendance sensitive functions.

• Examples of Performance
• Meet prescribed project deadlines as assigned.
• Responds to inquiries (calls, emails, etc.) from
  stakeholders in a timely manner.
• Arrives to work on time and minimizes unscheduled
  absences.
• Schedules sick and annual leave responsibly.
• Does not abuse sick leave.

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Supervisor/Manager ComponentsPerformance
Planning and Documentation

• Definition
• Addresses the employees ability to ensure
  adequate supervision of his or her applicable
  staff, primarily focusing on the accuracy,
  completion and communication of the performance
  planning and appraisal process.

• Examples of Performance Planning Documentation
• Complete performance appraisals of direct reports
  on time.
• Ensure distribution of overall performance rating
  scores of all direct and indirect staff members
  conform to PERforM guidelines/policy.
• Resolve all employee responses to performance
  ratings in a timely manner as directed by policy.
• Clearly outline and communicate performance
  objectives to employees at the beginning of each
  appraisal period.
• Change/update performance objectives for
  employees throughout the year if and/or when
  circumstances dictate.
• Appropriately document employee performance
  throughout the year to praise, redirect and
  evaluate the employees work as needed.

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Supervisor/Manager ComponentsLeadership

• Definition
• Addresses the employees ability to effectively
  motivate, direct and enhance the performance of
  employees.

• Examples of Performance
• Clearly communicate direction but allow staff to
  complete assigned work.
• Delegate effectively.
• Encourage and create a motivating atmosphere that
  allows direct reports, peers and other team
  members to excel.
• Identify and provide professional development
  opportunities for staff.
• Do not avoid necessary frank discussions and
  actions.

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Supervisor/Manager ComponentsManagement Skills

• Definition
• Addresses the employees ability to oversee a
  process or project the ability to organize, plan
  and strategize exhibit judgment and independent
  discretion and use resources effectively.

• Examples of Performance
• Clearly assign and identify areas of
  responsibility for all staff.
• Set clear objectives and measures.
• Monitor processes, progress and results.
• Clearly set and communicate work priorities.
• Make timely and consistent decisions that lead to
  favorable results.
• Probe multiple sources to obtain answers.
• Objectively evaluate data and information without
  allowing expected or desired outcomes to bias
  analysis.
• Effectively manage time of self and all direct or
  indirect reports.
• Avoid duplication or redundancies of work.
• Regularly seek out opportunities to reduce
  operating costs without decreasing services.
• Ensure staff is able to obtain necessary
  supplies, equipment and training to perform
  effectively.

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Performance Components and Your Employees

• Now that you are more familiar with what each
  performance component means and have reviewed
  examples of performance for each component the
  task for each supervisor (rater) is to determine
  how each component relates to the work of their
  employees.
• Consequently, before you begin to create
  performance objectives for each component, you
  must first determine what the major aspects of
  each employees job you supervise really are
  and how those aspects or parts of the job apply
  to (fit) each component.
• Will it be many of the examples of performance
  listed in this guide or does the employees job
  include other, just as critical success factors?

• Challenge
• Review the examples of performance listed for
  each component and note any additional aspects of
  performance that would apply to the employees
  you supervise.
• Once you determine what aspects of performance
  are required for each component, consider how
  successful performance will be indicated.
• What specific performance results are
• you looking for from each employee for
• each component?
• How will you know the performance has
• been achieved?
• Once you have this information, you can begin to
  work on performance objectives for each component.

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Creating Performance Objectives for Job Components

• While performance components describe major areas
  of the employees job, performance objectives
  describe the level of performance the employee is
  expected to achieve for each component.
• Establishing the correct performance objectives
  for each component is critical to the employees
  success and the PERforM process.
• Performance objectives should always be written
  to reflect performance at the level of a trained,
  experienced SUCCESSFUL employee.

• Supervisors (Raters) are responsible for
  developing performance objectives for each
  component on the employees planning document.
  This can also be a collaborative process between
  supervisor and employee.
• At least one performance objective must be
  established for each component. Typically 3 7
  objectives are needed to provide the specific
  direction and instruction the employee needs to
  be successful.
• Performance objectives must focus on position
  specific assignments, tasks, goals or projects
  that the employee is expected to complete during
  the appraisal period and should be consistent
  with the organizational goals and mission as well
  the specific duties of the position as described
  in the position description and classification
  specification.
• It is not necessary (and often not possible) to
  write objectives for every task. Objectives
  should focus on tasks or areas of greatest
  importance.
• In agencies where more than one person performs
  the same job task or function, objectives may be
  written for the parts of the jobs that are the
  same and applied to all positions doing that
  task.

32
Types of Performance Objectives

• There are typically three types of performance
  objectives
• Routine Objectives
• Routine objectives are based on tasks or
  assignments that the employee is expected to do
  on a regular basis. These objectives are
  generally consistent from one appraisal period to
  the next and part of the employees day-to-day
  work process.
• Project Objectives
• Other performance objectives may change with each
  appraisal period (i.e., special projects). These
  objectives are based on specific assignments to
  be completed or meet a specified stage of
  completion during the appraisal period. These
  objectives may change significantly from one
  appraisal period to the next. In some cases
  these objectives may evolve to become routine
  objectives in later appraisal periods after the
  project has reached the implementation phase.
• Developmental Objectives
• Developmental objectives are chosen to enhance
  the employees performance and prepare the
  employee for future positions and growth within
  the organization. Raters (supervisors) and
  employees should work together to determine when
  specific developmental objectives should be part
  of the employees performance plan.

33
Properly Written Performance Objectives

• Allow employees to understand what is expected of
  them from the beginning of the appraisal period
  making it easier for them to hit the mark and
  perform well.
• Enable the supervisor to more readily observe,
  document and coach rather than someone called
  upon to make broad judgments about the employee
  (i.e., evaluate the work, not the worker).
• Provide the employee a means of self-measure.
• Provide tangible means of clarification if/when
  disagreements about work assignments arise.
• Allow for an accurate comparison of what was
  done to what was expected, thus reducing Rater
  error in the final evaluation phase.

34
Important Points about Performance Objectives

• Performance objectives cant and shouldnt
  encompass everything
• Performance objectives are not intended to be a
  perfect or comprehensive measure of a major job
  duty most jobs are far too complex to be able
  to detail every aspect of expected performance.
• Establishing performance objectives takes time
  and thought
• First attempts may not always be the best, but
  any written objective is better than vague
  generalities or nothing at all. In most cases,
  the supervisor already has an expectation that he
  or she uses to determine how well each employee
  is performing his or her duties. Writing
  performance objectives simply provides a
  framework for the supervisor to clearly
  communicate to the employee what that expectation
  is.
• Performance objectives can be written for all
  positions
• While performance objectives may be easier to
  establish for routine or repetitive jobs, they
  can be written for high-level, non-routine
  positions too. Imagining that written objectives
  cant be established for a position is the same
  as saying that the supervisor doesnt know what
  to expect of the employee and that the employees
  work cannot be evaluated.

35
Important Points about Performance
Objectives Tip Use SMART Criteria

• Many supervisors (raters) find it helpful to
  remember SMART criteria when writing their
  objectives

• Specific means that an observable action,
  behavior, or achievement is described. It can
  also mean that the work relates to a rate of
  performance, frequency, percentage or other
  number. The objective should be specific about
  the resultnot the way it is achieved.
• Measurable means that a method or procedure must
  exist to assess and document the quality of the
  outcome. Some work is measured easily in other
  cases, behaviors or results need to be verified
  or observed.
• Achievable means that the objective must be
  obtainable. The best objectives require
  employees to stretch to obtain thembut they
  arent extreme. That is, the objective is
  neither out of reach nor below standard
  performance. Objectives set too high or too low
  become meaningless, and employees naturally come
  to ignore them.
• Realistic means that you and the employee
  have the resources to accomplish the objective.
• Time-bound means that there is a point in time
  when the work objective will start or be
  completed.

36
Performance Objectives A Closer LookDepending
upon the job, performance objectives can be
written in a variety of ways as outlined below
Objective Quantity Quality Time-Based Res
ource
Description Specifies how much work must be
completed within a certain period of time.
Describes how well the work must be
accomplished specifies accuracy, precision,
appearance, or effectiveness. Answers the
questions By when, how soon, or within what
period. Used when desired performance should
result in money saved or earned, hours worked are
reduced, materials are not wasted, etc.
Example Complete at least 50 claims per
week. 95 of reports are completed without
necessary revision. File reports to correct
agency within 3 days of receiving the
claim. The computer handbook project will be
completed with only internal resources.
37
Performance Objectives A Closer LookDepending
upon the job, performance objectives can be
written in a variety of ways as outlined below
Objective Behavior Regulation Effects of
Effort
Description Describes conditions in which an
individual's behavior (attitudes, mannerisms,
etc.) has an effect on performance. Used when
only the officially-prescribed policy,
legislative mandate, procedure, or rule for
accomplishing the work is acceptable. Addresses
the ultimate effect to be obtained expands
statements of effectiveness by using phrases such
as so that, in order to, or as shown by.
Example Speak courteously to clients to
maintain a positive image for the
agency. Forms will be completed according to
Federal mandates. Establish inventory levels
for storeroom so that supplies are maintained
100 of the time.
38
The Performance Grid A Tool for Clarifying
Performance Objectives

• Essentially, the Grid asks these questions
• What new activities, projects or tasks do you
  want the employee to do that he or she has not
  done before? (Achieve)
• What critical activities or tasks must the
  employee continue to do? (Maintain)
• What actions should the employee take or prepare
  for to prevent potential pitfalls that could
  hamper his or her performance or the continued
  delivery of products and services? (Avoid)
• What specific behaviors of the employee or
  current work processes must be changed (or
  discontinued) to improve individual and/or
  organizational effectiveness? (Eliminate)

• The Performance Grid is a tool that can help
  Raters develop performance objectives for
  employees in an organized fashionand from four
  different perspectives. It prompts the Rater to
  consider performance objectives not only in terms
  of what needs to be achieved, but also in terms
  of what needs to be maintained, avoided, or
  eliminated.

The Performance Grid
I Achieve
II Avoid
NO Do you have it?
YES
III Maintain
IV Eliminate
YES NO Do you want it?
39
The Performance Grid Application

• Challenge
• Think about one employee you currently supervise.
• List one (1) task, project or behavior that you
  believe applies to this employee for each
  quadrant of the Grid.
• As you do so, also consider if what you listed
  could or should translate into a performance
  objective for the employee.

The Performance Grid
I Achieve
II Avoid
NO Do you have it?
YES
III Maintain
IV Eliminate
YES NO Do you want it?
40
Writing Performance Objectives A 10-Step Process

• Step 1
• Spend some time thinking about your organization,
  your teams mission and employees.
• What processes are in need of improvement?
• What are the developmental needs of the people
  you supervise?
• What needs to get done and who needs to do it?
• Step 2
• Think about the position and the person the
  objectives will apply to.
• What additional information do you need before
  you can begin?
• (Examples position description, previous
  appraisals, notes from discussions with the
  employee, etc.)
• Step 3
• Think about the first component (Knowledge of
  Work) and draft the first objective.
• What does the objective address (a routine job
  function, special project, development goal)?
• How does the objective apply to the job
  component?
• Step 4
• Now that you have something down on paper, think
  about why the objective is needed.
• What result does it produce?

41
Writing Performance Objectives A 10-Step Process

• Step 5
• If necessary, modify the outcome to emphasize
  results instead of activity.
• Step 6
• Next, think about ways of measuring the work you
  have begun to specify in the objective.
• How can you tell whether or not the work or
  results occurred?
• What is the measure of those results Quality?
  Quantity? Speed? Accuracy? Frequency? etc.
• Step 7
• Go back to your objective does it include a
  measure?
• Step 8
• Think about the timeframe in which the objective
  (work) is to be accomplished.
• Specify deadlines, timeframes, due dates, etc. as
  needed.
• Step 9
• If you think it will help, ask your boss (the
  Reviewer) what he or she thinks the objective
  means and/or ask the employee who is to be
  accountable for meeting the objective what he or
  she thinks it means.
• Step 10

42
Writing Performance Objectives Remember...

• When writing objectives, be clear about what
  results you want to achieve.
• For example
• You consider establishing the following objective
  for one of your employees
• Contribute more to team meetings.

To determine if this is really the objective you
want to use, ask yourself the following
questions Q Why do I want the employee to do
this? A So other team members know what specific
projects the employee is working on. Q Why do
other team members need to know about the
employees projects? A So they will be more
effective in their own projects and avoid
duplication of effort. The objective instead
becomes Ensure all team members receive weekly
updates on your projects in order to work
effectively on their own projects.
43
Writing Performance Objectives Application

• Challenge
• Revisit the first performance component,
  Knowledge of Work.
• On your own, think about one employee that you
  supervise (and will be rating).
• Using the definition of the component, the
  Examples of Performance listed for the component
  and any other specific performance indicators
  that apply to the employees job for this
  component, create one performance objective for
  the employee.
• Then, repeat this process for the other
  components.
• Check your success by asking yourself, a
  co-worker, or the employee
• for whom the objective has been written the
  following questions
• Is the objective clear?
• Do you understand the objectives meaning?
• Is the objective SMART?

• Now that you have read more information about
  creating performance objectives, consider
  spending some time focusing on the real world
  your employees work in by applying what you have
  learned.

44
When Performance is Difficult to Quantify

• The common wisdom about performance objectives is
  that they should all be measurable and have
  measurement criteria. There is no doubt that
  clear performance objectives which specify
  measurement criteria are generally more useful
  than those that dont.
• Does that mean you can use only objectives that
  have easily measured criteria?
• As a supervisor, you have to make your own
  judgments about what you need. It may be
  sufficient in some cases to have a general goal
  (objective) that serves as a reminder to
  employees that, for example, teamwork is
  important. When you simply want to point out the
  importance of something, rather than actually
  measure that something, a general objective can
  suffice as the aiming device.

One thing about objectives and criteria you get
what you measure. Before you develop a measure
of performance, think through the consequences of
evaluating performance in that way. Make sure
that the results are what you want. Sometimes
the difference between marginal, successful and
exceptional performance is high achievement in a
few subtle aspects of ability or behavior such as
showing enthusiasm, encouraging openness, or
building strong professional relationships.
These aspects of performance can be fundamental
to results, but, because they are difficult to
quantify, they can all too easily be neglected.
Supervisors and managers who can identify those
aspects and communicate them to their employees
stand a better chance of encouraging high
performance from their staff and more readily
justify their performance appraisal comments and
ratings.
45
When Performance is Difficult to Quantify

• Use the guide below to
• Briefly describe the job and/or objective.
• Then, using each of the three performance levels
  listed below, indicate what critical behaviors,
  actions or results, achieved (or not achieved) by
  an employee in this job would represent (or
  justify) each performance level.
• By focusing on the performance you expect from
  the employee in this manner, you often create an
  observable performance objective without
  realizing it.

Challenge Consider an employee that reports to
you which you believe may have a performance
objective that is difficult to quantify in terms
of performance.
Objective Performance Level Marginal or
Below The employee fell short of the
objective. Improvement is expected. Shows
Appropriate Ability The employee successfully
met the goal or purpose of the
objective. Exceeded Expectations The employees
performance surpassed what I expected for this
objective.
Critical Behaviors, Actions or Results
46
Entering Employee Performance Objectives into
PERforM

• Initiating the Process
• Raters can begin to enter performance objectives
  for employees in PERforM by either using the link
  Develop/Update Performance Objectives under the
  Performance Objectives heading on their Home Page
  or by selecting this function from the drop-down
  menu under My Employees.
• Selecting the Employee
• Once either link is selected, the Rater will be
  taken to a page displaying a list of the
  employees he or she supervises. From this list,
  the Rater will select the employee for which he
  or she wishes to add/edit objectives.

47
Entering Employee Performance Objectives into
PERforM

• Once the Rater clicks on the name of the employee
  for whom he/she wishes to add/edit objectives,
  the Rater will view the Develop/Update
  Performance Objectives screen.
• Selecting the Appraisal Type
• From this screen, the Rater must select the type
  of appraisal to work with (Annual, Probationary
  or Special) and then click the Show Performance
  Objectives button to proceed.

48
Entering Employee Performance Objectives into
PERforM

• After the selection has been made and the Show
  Performance Objectives button has been clicked,
  the Rater will view the Develop/Update
  Performance Objectives screen which displays the
  selected employees objectives and provides
  options to add, edit and delete objectives or
  copy objectives from another employee and/or
  appraisal type.

49
Entering Employee Performance Objectives into
PERforM
Adding Objectives To add objectives, the Rater
will click the Add Objectives button to open
the Add Performance Objectives screen. The Rater
can add new objectives in this screen by typing
in the objective description, choosing a
performance component from the drop-down list and
clicking either Save or Save Add More.
When the Rater clicks Save, the new objective
will be saved to the database and a message
appears which indicates that the objective has
been successfully added. The new objective
appears in a list on the right side of the screen
so that the Rater can see what objective they
have added. When a Rater clicks Save Add
More, the new objective will be saved to the
database and the objective description text box
will be cleared allowing for the addition of
another new objective. A message will appear
indicating that the objective has been
successfully added.
To learn more about editing and deleting
objectives and copying objectives from one
employee to another, visit the Descriptions and
Usage of PERforM Screens link at
www.perform.mo.gov
50
Printing the Employees Performance Plan
To print a Performance Plan for the employee to
review and sign, follow the following steps 1.
Use the Develop/Update Performance Objectives
link, and then select the appropriate employee
name from the list provided. 2. Select an
appraisal type. 3. Click the Show
Performance Objectives button.
51
Printing the Employees Performance Plan

• 4. Click the Performance Plan Print Preview
• button.

5. Once selected, the printer-friendly version
of the document is displayed
Click the Print icon near the Missouri State
Seal in the top right corner of the document.
52
Communicating Performance Objectives to the
Employee

• Once the Rater has indicated they have reviewed
  the objectives with the employee by selecting
  Yes, the red outline around the radio buttons
  disappears. The Rater cannot proceed with the
  Appraisal until this action has been completed.
• If at anytime during the appraisal period the
  Rater modifies the employees performance
  objectives, the radio button will automatically
  switch from Yes to No and the red outline
  will reappear. This will indicate the Rater must
  repeat the review process. This includes
  printing a new Performance Plan document,
  reviewing the objectives with the employee and
  obtaining the necessary signatures on the
  Performance Plan document.

Performance objectives should be clearly stated
and communicated to the employee in person so
that the employee has an opportunity to confirm
his or her understanding of the objectives.
Supervisors (Raters) will print the employees
Performance Plan document from PERforM for the
employee to keep. Both the employee, the Rater
and the Reviewer will document this communication
by signing the Performance Plan. Each agency
will determine how the original, signed
Performance Plan will be retained. In PERforM,
this communication process is not complete until
the Rater has verified in the system that the
Performance Plan has been reviewed with the
employee and all necessary signatures have been
obtained on the document. To achieve this, the
Objectives Reviewed box on the Develop/Update
Performance Objectives Screen is outlined in red
until the radio button is switched to Yes by
the Rater.
53
Communicating Performance ObjectivesTroubleshooti
ng Employee Concerns or Resistance
After you have created the employees performance
objectives, entered the objectives into PERforM
and printed the Performance Plan document for the
employee to sign, you must also communicate the
objectives to the employee. While this process
should present no surprises, it is possible that
the employee may be hesitant to accept each
objective as written due to one or more of the
situations described on this page and the next.
If this occurs, the strategies listed may help
you and the employee resolve the issue.

• Lack of Confidence in Ability
• The employee understands why it is important to
  the
• organization that the objective be met but does
  not believe
• he or she can accomplish the objective.
• Actions to Consider
• Acknowledge past accomplishments that support
  that the person has the skills and experience to
  be successful.
• Try not to judge or discount feelings. The
  objective might be easy for you, but difficult
  and frustrating for the employee.
• Share an example of when you were in a similar
  situation explain how you felt and what you did
  to accomplish the objective.
• Offer support particularly in ways most helpful
  to the individual.
• Be prepared to provide coaching to help the
  employee overcome obstacles or determine ways to
  solve anticipated problems.

54
Communicating Performance ObjectivesTroubleshooti
ng Employee Concerns or Resistance

• Lack of Control
• The employee feels that the objective cant be
  accomplished because of factors outside his or
  her control.
• Ask for ideas about how the employee can
• influence others to handle tasks associated
  
• with the completion of the objective that
• may be out of their control.
• Recount a time when you were able to
• overcome obstacles or influence people
• who initially were not cooperating.
• Offer your support to assist when things
• may require more authority or experience.

• Lack of Understanding
• The employee does not understand why the
• objective is written as it is on his or her
  planning
• document.
• Ask the individual to clarify their concern over
  the objective or the way the objective is
  written.
• Consider changing the objective if a valid reason
  to do so results from the discussion.
• If the objective remains unchanged, reiterate why
  the objective is important to the organization,
  the work team and the individual.
• Communicate your intent to help the employee
  succeed in completing the objective.
• Establish a follow-up meeting in a few weeks to
  check the employees progress.

55
The Performance CycleContinuous Observation,
Documentation and Feedback During the Appraisal
Period
The overall effectiveness of the appraisal
process depends on regular feedback between the
supervisor and employee. During this phase, the
supervisor will observe and document (as needed)
instances that pertain to how well the employee
is meeting his or her established performance
objectives. Similarly, the employee should
also be encouraged to discuss his or her
observations, issues or concerns about their job
performance with the supervisor. This regular
and timely communication allows the supervisor to
work with the employee to address instances where
performance objectives are not being met and
provide a means to correct the problem and get
the employee back on track. Recognizing
instances of good performance and other successes
pertaining to the employees work can help to
create the motivating atmosphere that allows the
employee to excel in their job and attain even
higher levels of job satisfaction.
56
The Performance CycleContinuous Observation,
Documentation and Feedback during the Appraisal
Period

The following action items are synonymous with
improving the employees current performance and
building the employees capabilities for the
future during the appraisal process
Performance Planning

• Observing and documenting performance
• Providing instruction
• Directing employees efforts
• Providing encouragement
• Correcting poor performance
• Recognizing good performance
• Listening to employee concerns and ideas
• Removing barriers to performance
• Encouraging continued learning
• Ultimately, ongoing communication between the
  supervisor and employee ensures that there are no
  surprises when the performance appraisal is held.

Performance Appraisal
Continuous Appraisal
57
Observing and Documenting Performance

• What to observe
• Important job duties
• Special projects and critical incidents
• Interactions with others
• Productivity vs. total activity
• Job performance and goal accomplishment not
  personality

• How to observe
• Review w