Chapter 2 – Performance Management Process

Learning Objectives

2.1 Understand that performance management is an ongoing process including the interrelated components of prerequisites, performance planning, performance execution, performance assessment, performance review, and performance renewal and recontracting.
2.2 Conduct a job analysis to determine the job duties, needed knowledge, skills, abilities (KSAs), and working conditions of a particular job.
2.3 Write a job description that incorporates the KSAs of the job and information on the organization, unit mission, and strategic goals.
2.4 Understand that the poor implementation of any of the performance management process components has a negative impact on the system as a whole.
2.5 Understand that a dysfunctional or disrupted link between any of the performance management process components has a negative impact on the system as a whole.
2.6 Understand important prerequisites needed before a performance management system is implemented including knowledge of the organization’s mission and strategic goals and knowledge of the job in question.
2.7 Distinguish results from behaviors and understand the need to consider both in performance management systems.
2.8 Describe the employee’s role in performance execution and distinguish areas over which the employee has primary responsibility from areas over which the manager has primary responsibility.
2.9 Understand the employee’s and the manager’s responsibility in the performance assessment phase.
2.10 Understand that the appraisal meeting involves the past, the present, and the future.
2.11 Understand the similarities between performance planning and performance renewal and recontracting.
2.12 Create results- and behavior-oriented performance standards.

Chapter Outline

Overview
1. Prerequisites
2. Performance Planning
3. Performance Execution
4. Performance Assessment
5. Performance Review
6. Performance Renewal and Recontracting

1. Prerequisites
• Knowledge of the organization’s mission and strategic goals
• Knowledge of the job in question

o Knowledge of mission and strategic goals
• Strategic planning
– Purpose or reason for organization’s existence
– Where organization is going
– Organizational goals
– Strategies for attaining goals

 Consider the level of strategic integration of HR function in Queensland public
sector study

• Cascade effect throughout organization
Organization  Unit  Employee

o Knowledge of the job
• Job analysis of key components
– Activities, tasks, products, services, processes
• KSAs required to do the job
– Knowledge
– Skills
– Abilities

 Give examples of KSAs for a Trailer Truck Driver

• Job Description
--  Job duties
--  KSAs
-- Working conditions
-- Get generic job descriptions from Occupational Informational Network (O*Net) http://online.onetcenter.org/
• Job Analysis
--  Can be conducted using a variety of tools
o Interviews
o Observation
o Questionnaires (available on Internet)
--  All incumbents should review information and provide feedback
o Frequency of tasks
o Criticality of tasks

 How did Deaconess Hospital use information regarding mission, strategic goals,
and individual jobs in their PM system?

2. Performance Planning
Results
• Key accountabilities
• Specific objectives
• Performance standards

 How are objectives different from performance standards? 
 How might this be demonstrated in a professor’s performance plan?

o Key Accountabilities
-- Broad areas of a job for which the employee is responsible for producing results

o Specific Objectives
  -- Statements of outcomes
  -- Important 
  -- Measurable

o Performance Standards
-- “Yardstick” to evaluate how well employees have achieved each objective
• Information on acceptable and unacceptable performance, such as
 quality
 quantity
 cost
 time

Behaviors
• How a job is done

 Why might a salesperson prefer to be measured based on behaviors rather than results?

Competencies
• Measurable clusters of KSAs
–   Knowledge
– Skills
– Abilities
 Critical in determining how results will be achieved

 What kinds of competencies could be measured in an on-line course?

Development Plan
• Areas that need improvement
• Goals to be achieved in each area of improvement

3. Performance Execution
Employee Responsibilities
• Commitment to goal achievement
• Ongoing requests for feedback and coaching
• Communication with supervisor
• Collecting and sharing performance data
• Preparing for performance reviews

Manager Responsibilities
• Observation and documentation
• Updates
• Feedback
• Resources
• Reinforcement

 How does Lockheed Martin emphasize the joint responsibilities of both
employees and managers for performance execution?

4. Performance Assessment
 Manager assessment
 Self-assessment
 Other sources (e.g., peers, customers, etc.)

Multiple Assessments are Necessary
• Increase employee ownership of process
• Increase commitment to system
• Provide information to be discussed at review
• Ensure mutual understanding of expectations

5. Performance Review
Overview of Appraisal Meeting
• Past
– Behaviors and results
• Present
– Compensation to be received as a result
• Future
– New goals and development plans

 How is this model different from the results of the survey of 150 organizations in
Scotland?

Six Steps for Conducting Productive Performance Reviews
• Identify what the employee has done well and poorly
• Solicit feedback
• Discuss the implications of changing behaviors
• Explain how skills used in past achievements can help overcome any performance problems
• Agree on an action plan
• Set a follow-up meeting and agree on behaviors, actions, and attitudes to be evaluated

6. Performance Renewal and Recontracting
 Same as/different from Performance Planning
•   Uses insights and information from previous phases
• Includes review of and possible adjustment of goals in accordance with organization’s mission and strategy
• May require new accountabilities
• May involve development of new competencies
• Cycle begins again

Performance Management Process: Key Points
•  Ongoing process
•  Each component is important
o If one is implemented poorly, whole system suffers
•  Links between components must be clear

Performance Management Process: Summary of Components
1. Prerequisites
2. Performance Planning
3. Performance Execution
4. Performance Assessment
5. Performance Review
6. Performance Renewal and Recontracting
 
Worked Solutions for End-of-Chapter Cases

Case Study 2.1 Job Analysis Exercise

Sample response:

Description: Attends class and engages in active learning and memorization to complete assignments and meet objectives of the class.  Performs tasks such as taking notes, voicing opinions and questions, researching companies or current business practices, interacting with team members, and balancing time to get all assignments complete.  May also give oral presentations, analyze balance sheets or economic trends, or defend recommendations given on a company’s operating procedures.  Problem-solving skills and originality are also needed. 

Tasks
• Attend class
• Complete homework
• Participate in group/team projects
• Write papers
• Conduct research
• Participate in extracurricular activities 

Knowledge
• Language:  Knowledge of the structure and content including the meaning and spelling of words, rules of composition, and grammar.
• Mathematics:  Knowledge of arithmetic, algebra, geometry, statistics, and their applications.
• Computers:  Knowledge of computers including hardware, software, and applications.
• Administration and Management:  Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
• Psychology:  Knowledge of human behavior and performance; individual differences in ability, personality, and interests; learning and motivation.
• Communications and Media:  Knowledge of media production, communication, and dissemination techniques and methods. This includes alternative ways to inform and communicate via written, oral, and visual media.

Skills
• Reading Comprehension:  Understanding written sentences and paragraphs in work-related documents.
• Active Listening:  Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
• Writing:  Communicating effectively in writing as appropriate for the needs of the audience.
• Speaking:  Talking to others to convey information effectively.
• Mathematics: Using mathematics to solve problems.
• Critical Thinking:  Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
• Active Learning:  Understanding the implications of new information for both current and future problem solving and decision making.
• Learning Strategies:  Selecting and using training/instructional methods and procedures appropriate for the situation when learning or teaching new things.
• Monitoring:  Monitoring/assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action. 
• Complex Problem Solving:  Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions.
• Judgment and Decision Making:  Considering the relative costs and benefits of potential actions to choose the most appropriate one. 
• Time Management:  Managing one's own time and the time of others. 

Abilities
• Oral Expression:  The ability to communicate information and ideas in speaking so others will understand.
• Speech Clarity:  The ability to speak clearly so others can understand you.
• Written Comprehension:  The ability to read and understand information and ideas presented in writing.
• Oral Comprehension:  The ability to listen to and understand information and ideas presented through spoken words and sentences.
• Written Expression:  The ability to communicate information and ideas in writing so others will understand.
• Fluency of Ideas:  The ability to come up with a number of ideas about a topic (the number of ideas is important, not their quality, correctness, or creativity).
• Deductive Reasoning:  The ability to apply general rules to specific problems to produce answers that make sense.
• Mathematical Reasoning:  The ability to choose the right mathematical methods or formulas to solve a problem.
• Information Ordering:  The ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules (e.g., patterns of numbers, letters, words, pictures, or mathematical operations).
• Originality:  The ability to come up with unusual or clever ideas about a given topic or situation, or to develop creative ways to solve a problem.
• Number Facility:  The ability to add, subtract, multiply, or divide quickly and correctly.
• Inductive Reasoning:  The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
• Memorization:  The ability to remember information such as words, numbers, pictures, and procedures.
• Selective Attention:  The ability to concentrate on a task over a period of time without being distracted.
• Time Sharing:  The ability to shift back and forth between two or more activities or sources of information (such as speech, sounds, touch, or other sources).
(Suggested points: 10, .5[2.2], .5[2.3])

Case Study 2.2 Disrupted Links in the Performance Management Process at Omega, Inc.

1a. prerequisites  performance planning

There is no link between the first two phases of the process.  While the franchise owners laid out all of the prerequisites, they did not use them in performance planning.  While the employees and managers agreed on goals, since the link was broken, these goals did not relate to meeting the organization’s goal of customer service.  Furthermore, they did not develop job descriptions that described what must be accomplished on the job, including the knowledge, skills, and abilities that are necessary.  The franchise owners can overcome this deficiency by developing job descriptions and an appraisal form that lists what the employees are accountable for, explaining how performance will be judged.  Furthermore, the organization’s mission of quality customer service needs to be communicated in the goals that are set and in the performance evaluated. 

1b. performance planning  performance execution

The link between planning and execution exists, as employees and managers both have an understanding of the goals and feedback is given on how to reach those goals.  This link will be even stronger when employees have a better idea of the skills and tasks that they must complete in order to receive high performance ratings. 

1c. performance execution  performance assessment

   Currently there is no link from execution to performance assessment.  Employees have no way of assessing themselves on their goal attainment.  Furthermore, since the key accountabilities and skills were never identified, the manager has nothing to document but results.  Employees need to be given regular updates on how many sales they have, any customer feedback that has been received, and feedback from their managers on how well they are performing the necessary tasks. 

1d. performance assessment  performance review

Since there is currently no formal assessment, this disrupts the link to performance review.  While the manager and employee are meeting to discuss progress, they do not have a form to follow.

1e. performance review  performance renewal and recontracting

Since currently the performance review is not a formal meeting where there is a specific form or goals to discuss, it is hard to identify where performance is breaking down and where it is good.  Thus, there can be no renewal or recontracting.
 
1f. performance renewal and recontracting  prerequisites

Because there is no renewal or recontracting, it cannot be linked to prerequisites.
(Suggested points: 5, .5[2.4], .5[2.5])

2. Given your answers to question #1, what can be done to fix each of the disrupted links in the process?

2a. prerequisites  performance planning

The franchise owners can strengthen the link between prerequisites and performance planning by developing job descriptions and an appraisal form that lists all of the things that the employees are accountable for, explaining how performance will be judged.  Furthermore, the organization’s mission of quality customer service needs to be communicated in the goals that are set and in the performance evaluated. 

2b. performance planning  performance execution

This link will be even stronger when employees have a better idea of the performance they must provide in order to receive high performance ratings. 

2c. performance execution  performance assessment

Employees need to be given regular updates on how many sales they have, any customer feedback that has been received, and feedback from their managers on how well they are performing the necessary tasks. 

2d. performance assessment  performance review

The creation of a standardized appraisal form will improve the review phase and its link with the assessment phase. 

2e. performance review  performance renewal and recontracting

The manager and employee need to reassess the goals set, brainstorm ideas where performance can be improved, check with Omega to ensure their needs are being met, and then begin the process again. 

2f. performance renewal and recontracting  prerequisites

If Omega’s needs are being met, and the organizational goals remain unchanged, then the prerequisites are in place to begin the process again.  If the needs are not being met, organizational goals and individual job descriptions need to be changed to meet their needs.   
(Suggested points: 5, .5[2.1, .5[2.6])

Case Study 2.3: Performance Management at the University of Ghana

(Note:  This response is provided for a potential grader, and thus identifies EVERY flaw and possible resolutions.  The student is only asked to identify ONE flaw.)

1. & 2.  An important flaw of the Balme library performance management system is that the prerequisites were not taken care of before the process was implemented.  There is no mention of the mission of the library.  Furthermore, there is no mention of each individual department and how each contributes to the library’s mission.  Second, there is no documentation on the key components of each job.  Employees do not know what tasks need to be done, or how they should be completed.  The employees also do not know what KSAs are needed.  Without this information, managers cannot establish criteria for job success. 

Thus, because the groundwork of the performance management process was not laid before the system was implemented, the rest of the system is likely to fail.  Performance planning cannot be accomplished without the prerequisites.  Without knowledge of the library’s goals, the manager cannot explain to each employee how their input leads to the accomplishment of those goals.  Furthermore, in the absence of a job analysis and a resulting job description, managers cannot discuss with their employees what they were responsible for or how they should perform their work.  Finally, performance standards cannot be set if accountabilities are not specified, and development plans cannot be written without performance standards. 

Without prerequisites and planning, performance execution will not be successful.  Employees and supervisors cannot agree on or engage in dialogue surrounding performance expectations that were never set.  Similarly, without execution, performance assessment is impossible.  Neither managers nor employees can evaluate performance, because neither party knows what it takes to do the job, what dimensions the employee should be measured on, and what goals the employee was supposed to reach. 

Performance review is meaningless unless there is a performance evaluation to discuss.  Finally, employees and managers cannot renew and recontract performance because they were not engaging in the process to begin with, so they do not know what was effective and what needs to be adjusted. 
For question #1: (Suggested points: 3, [2.1])

For question #2: (Suggested points: 5, .5[2.4]), .5[2.5])

3. (Note: The student was asked to identify one problem.  This response addresses all of the problems identified in the responses to 1 & 2 above.  It is only necessary for the student to recommend solutions to the specific problem identified.)

To correct these problems Balme library must first set organizational goals.  Next, job descriptions are needed for each job in the organization.  Then, the library needs to communicate to each employee how his or her job responsibilities tie into the organizational goals (prerequisites).  Next, managers need to explain to the employee his or her key accountabilities, then set specific objectives for each accountability.  Also,  performance standards need to be determined.  Finally, the manager and employee need to write a developmental plan that includes a description of areas that need improving and goals to be achieved in each area (planning). 

Next, there is a need to create employee commitment toward achieving the goals and proactively seeking feedback from his or her supervisor.  The supervisor must observe and document the employee’s performance, update the employee on any changes in the goals of the library, and provide resources and reinforcement to the employee so the employee is motivated and successful in meeting his or her goals (execution). 

Both the employee and the supervisor must evaluate his or her performance (evaluation).  Next, the employee and the manager must meet to discuss employee performance, what the employee has done effectively and ineffectively, and what changes need to be made to improve performance (review). 

During the final component of the PM process, employees and managers use information gathered during the review period to make adjustments to the goals set, and both commit to their roles in meeting these goals.  Executing these steps in the order described will help the Balme library staff get their performance management system on track. 

For question #3: (Suggested points: 5, [2.1])

Additional Cases and Worked-Solutions

Case Study:  Front Range Medical Associates (FRMA)

Front Range Medical Associates (FRMA) is a small medical practice owned by four doctors who are general practitioners.  The mission of FRMA is to provide the best healthcare and medical assistance for the families of Granite, a mid-sized city at the base of the Rocky Mountains. FRMA employs three clerical employees, four nurses, two physicians’ assistants, two laboratory technicians, and a custodian. Since this company is in the United States of America, one clerical employee spends most of his time identifying what insurance coverage is available to the various patients and negotiating costs with the various insurance companies.  Although the company has employed some of the employees since 1974, it has relied on generic job descriptions and the institutional memory of Lenore, the head clerk, and Roseanne, the head nurse.  However, Roseanne retired last summer and Lenore is planning to retire in a year.  The nurses now report directly to the doctors, who also oversee the physicians’ assistants. The doctors have noticed that the previously well-run underpinnings of their practice have developed some glitches.  They have hired you to help them get things running smoothly again. 

1. Dr. Beasley, the senior member of the practice, tells you that he has heard that a performance management system might be a good idea.  He asks you to explain the key features of such a system to him. Please provide him with a detailed discussion.
(Suggested points: 2, [2.1])

2. One of the problems at FRMA is that job duties are unclear.  Discuss the information you would need to help FRMA resolve this problem and explain how you would get this information.
(Suggested points: 10, .5[2.2], .5[2.6])

3. The following is part of a generic job description for registered nurses obtained from O*Net.   
29-1111.00 - Registered Nurses:  Assess patient health problems and needs, develop and implement nursing care plans, and maintain medical records. Administer nursing care to ill, injured, convalescent, or disabled patients. May advise patients on health maintenance and disease prevention or provide case management. Licensing or registration required.

Expand this generic job description in the context of FRMA’s mission.
(Suggested points: 10, [2.3])

4.  You are advising Dr. Beasley about developing a performance plan for the employees in the practice.  What factors should he consider in developing this plan?
(Suggested points: 5, [2.7])

5.  Explain the responsibilities of the supervisor and the employees during the  performance execution and review phases.
(Suggested points: 5, 2.5[2.8], 2.5[2.9])

Answers:

1. (Note: The following is taken directly from the summary in the text.  It is important to use correct vocabulary in describing the concepts.)

“Performance management is an ongoing process.   It never ends.  Once established in an organization, it becomes part of an organization’s culture.  The performance management process includes six closely related components: (a) prerequisites, (b) performance planning, (c) performance execution, (d) performance assessment, (e) performance review, and (f) performance renewal and recontracting.” 

2. Part of the problem is that FRMA needs a more detailed mission.  The mission statement explains the reason for FRMA’s existence: to provide the best healthcare and medical assistance for the families of Granite.  However, it does not say anything about FRMA’s goals or strategies; there is no cascade effect throughout the organization.  Thus, I would need to work with the doctors and staff to develop a more detailed mission statement. 

Then, we need to do a job analysis for each job in order to develop up-to-date job descriptions.  We can begin with generic job descriptions from the Occupational Informational Network (O*Net at http://online.onetcenter.org/) and then interview the doctors, any supervisors, and the employees to determine the accuracy of the job descriptions.  It is important to list job duties, KSAs (knowledge, skills, and abilities required to do the job), and working conditions.  The incumbents should also review the information developed and provide feedback regarding the frequency and criticality of the tasks they do. 

3. Assess patient health problems and needs, develop and implement excellent nursing care plans, and maintain medical records for the families of Granite. Administer excellent nursing care to ill, injured, convalescent, or disabled patients. May advise patients on superior health maintenance and disease prevention or provide case management for the families of Granite. Licensing or registration required.

4. Performance planning includes the consideration of results and behavior, as well as a developmental plan.  A discussion of results needs to include key accountabilities (i.e., broad areas for which an employee is responsible), specific objectives for each key accountability (i.e., goals to be reached), and performance standards (i.e., what are acceptable and unacceptable levels of performance).  A discussion of behaviors needs to include competencies (i.e., clusters of KSAs).  Finally, the developmental plan includes a description of areas that need improving and goals to be achieved in each area.

5. During the performance execution phase, management is responsible for observation and documentation; updating employees; providing feedback to employees; providing employees with the resources they need to do their jobs; and providing reinforcement to the employees.  Employees are responsible for doing their jobs, with a commitment to achieving the goals developed during the performance planning process.  They should make ongoing requests for feedback and coaching and communicate regularly with their supervisors.  They should collect and share performance data with their supervisors.  They should also  prepare for their performance reviews.

During the performance review phase, the supervisor should review past behaviors and results, discuss any rewards that will be provided in the present, and work with the employee to set new goals and development plans.  The employee is responsible for having completed a self-assessment prior to the performance review meeting.  In addition, the employee should plan on participating actively in the discussion of his or her performance and help with development of the new action plan.

Case Study:  KS Cleaners (KSC)

KS Cleaners (KSC) is a small company that provides several services to its customers:  dry cleaning of clothes, laundry, ironing, and some clothing repair work.  KSC specializes in low-cost volume, promising that dry-cleaning will be returned to its customers the day after it is turned in.  The charge is $1.50 US for each item dry-cleaned; there is an extra charge for ironing, although ironing is usually not necessary because the items are placed on clothes hangers immediately after they are removed from the dryers.  Laundry is $1.00 US per item, with an extra charge for ironing if desired.  Clothing repair, such as hemming, replacement of buttons and zippers, etc., is charged by the hour.
In addition to Kevin, the owner and manager, there are eight employees:  two dry cleaners, a seamstress, and five general duty employees, who rotate where they are needed among front counter customer service and sorting clothes, loading the machines, removing clothes from machines, folding or hanging up the items, and preparing them for pickup.  Kevin has found that he can hire teenagers for the general duty positions, because these duties don’t require much training.  The company needs employees who are focused on customer satisfaction and quick turnaround; when there are slow times, however, these high school students often work on homework or socialize, which is acceptable behavior as long as the work gets done and the customers are happy.
Pay ranges from minimum wage for the general duty employees to $15 per hour for the dry cleaners.  The seamstress is paid on a negotiated piecework basis, depending on the complexity of the task.

This shop has been doing so well that Kevin is thinking about opening another shop.  He has done some research and realizes that he will need to formalize procedures that, heretofore, he has run almost by instinct.  A new manager will need to operate the new shop in a fashion that is identical to the successful way he has run his current shop.  Although he dreads the process, he recognizes that it is time to document procedures and to formalize job descriptions.  He has hired you to help him to develop a formal performance management process.

1. In the context of KS Cleaners, critically evaluate the availability of any prerequisites to implementing a performance management process. 
(Suggested points: 10, [2.6])

2. Discuss your plans for developing formal job descriptions for the employees at the second shop.
(Suggested points: 10, .7[2.2], .3[2.3])

3. Explain key features of developing performance plans for the employees.  Provide examples of factors you would consider in developing such plans for the dry cleaner.
(Suggested points: 10, [2.7])

4. In the context of KSC, create two results-oriented performance standards for the  general duty employees.
(Suggested points: 10, [2.12])

5. The following information was taken from the O*NET report for 41-2021.00 - Counter and Rental Clerks: 
Knowledge:  Customer and Personal Service — Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
Skill: Speaking — Talking to others to convey information effectively.
Ability: Oral Comprehension — The ability to listen to and understand information and ideas presented through spoken words and sentences.
Work Activities requiring the above competencies:  Working Directly with the Public — Dealing directly with the public.

Discuss the factors that should be considered in establishing behavior-oriented performance standards for the general duty employees.  Give an example of such a standard.
(Suggested points: 10, [2.12])

6.  Provide a detailed discussion of both the responsibilities of the manager and the responsibilities of the general duty employees during the performance execution phase.
(Suggested points: 2, [2.8])

7.  Explain the process that Kevin should use to get information when he is developing the performance assessments for the general duty employees.
(Suggested points: 10, [2.9])

Answers:

1. The prerequisites to implementing a performance management process are knowledge of the organization’s mission and knowledge of the job(s) in question.  Neither of the prerequisites is in place officially; however, there is some information in the description that could be used to begin to develop these prerequisites. 

For example: the mission will probably include some of the following information, because this is what the company is about:

a. KSC specializes in low-cost volume, promising that dry-cleaning will be returned to its customers the day after it is turned in 
b. customer satisfaction
c. quick turnaround

There is some information about the jobs involved, but more will be needed before a performance management process can be implemented.

2. Each job requires a job analysis (dry cleaner, seamstress, general duty employee, and manager).  Note:  Kevin is currently the manager of this shop, but, since he intends to open a new shop, he will need to define those duties and hire a manager for one of the shops; the manager will be reporting to Kevin.

The job analysis will include a description of job duties, required knowledge, skills, and abilities (KSAs), and working conditions.  I would collect data from current incumbents and their supervisor (Kevin), both by interviewing and observing them. 

I would check the information I gained against the information that is online at the Occupational Informational Network (O*NET at http://online.onetcenter.org/gen_search_page) to see if I’ve left out anything important or if I need to get more information.  (Note:  It is not necessary to know the URL.  It is provided because some people are more likely to remember the URL than the name of the Network…either response is fine.)

When I have this information, it will be important to incorporate the company and unit missions, when they have been developed.

3. Performance planning includes the consideration of results and behaviors, as well as a developmental plan for each individual employee.  Note that results and behaviors must be within the employee’s control.

A discussion of results needs to include key accountabilities (i.e., broad areas for which the employee is responsible), specific objectives for each key accountability (i.e., goals to be reached), and performance standards (i.e., what are acceptable and unacceptable levels of performance). 

A discussion of behaviors needs to include competencies (i.e., clusters of KSAs – knowledge, skills, and abilities). 

Finally, the developmental plan includes a description of areas that need improving and goals to be achieved in each area.

For example, in terms of results, the dry cleaner is responsible for (accountability) ensuring that clothes are spotted and cleaned promptly.  Perhaps a specific objective would be that all incoming clothes should be cleaned before the end of the day and an acceptable performance standard would be that 10 loads per day are cleaned and no more than two items per day need to be re-cleaned. 

The dry cleaner might be responsible for displaying competency in some of the following behaviors:  Knowledge of chemicals necessary to use for cleaning specific fabrics; Skill in determining causes of stains and deciding what cleaning methods to use; Ability to communicate with general duty employees to keep them productive.

4. (Note:  Evaluate responses based on how clearly the standards are defined.  Do they consider quality, time, cost, and/or quantity?  Is the standard within the employee’s control?  Have they provided information on what it takes to meet the standard?  How will we know if the standard has not been met?)

Sample response:
Hanging clothes:  Performance is acceptable if the employee, on average, removes and hangs up at least 60 items of clothing per hour.  No more than one item every 2 hours should have wrinkles from being left in the dryer too long or from being incorrectly hung.  The quantity standard has not been met if the employee, on average, removes and hangs less than 60 items of clothing per hour.  If more than four items per day have wrinkles from being incorrectly hung or being left in the dryer too long, the employee has not met this standard for quality.

5. (Note:  Evaluate responses based on how clearly the standards are defined.  Are the standards within the employee’s control?  Have they provided information on what behaviors and competencies it takes to meet the standard?  How will we know if the standard has not been met?)

Sample response:
Working Directly with the Public: It is important to consider the behaviors that will be necessary for the employee to meet the goal of “customer satisfaction.”  The KSAs described above are necessary for the employee to work at the counter, dealing with customers. It is important to describe behaviors and competencies that are within the employee’s control.   Thus, the employee should be competent in talking to the customer and determining what services the customer needs.  The employee should be able to listen to the customer and understand information the customer provides.  The employee should be able to determine if the customer is having trouble and look for ways to help him or her receive satisfactory service. For example, one competency performance standard might be a requirement for good manners in dealing with strangers.

6. The manager is responsible for observing and documenting the general duty employees’ performance, providing updates and resources to do the job, giving feedback, and reinforcing positive behavior.

In addition to a commitment to actually doing the job and achieving planned goals, the general duty employees have an ongoing responsibility to ask their manager for feedback and coaching.  They need to communicate with the manager, collect and share performance data regarding how they are doing, and prepare for the performance reviews.

7. In addition to using his own observation and documentation, Kevin should ask the general duty employees to assess their own performance and to assess their fellow employees’ performance.  He should also use feedback he has received from the dry cleaner, the seamstress, and the customers regarding each employee’s performance.  When they know that their assessments are based on multiple sources of feedback, employees feel that they have more ownership of the process and become more committed to the performance management system.  The feedback that Kevin gathers will provide information that can be discussed at the review meeting; it will help Kevin and the individual employees to have a mutual understanding of expectations.

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