Employee performance management

The program is for represented or non-represented staff of state agencies.

The PMC program was our previous confirmation process that allowed state agencies to offer performance-based incentives to their employees. In 2011, it was suspended by the Legislature due to scarcity of funds, and in 2016 was replaced by the CPC program, which realigns better with industry best practices.

New best practices and research suggest that traditional performance management methodologies are losing effectiveness in the ever-changing business climate. To ensure the state of Washington is moving toward being an choice employer, we have adopted a more innovative performance management program.

The purpose of confirmation is for employers to be able to verify that they’re prepared to make performance-based decisions in a transparent manner that ensures the public’s trust. Ultimately, our goal is to build a performance-based culture in state government where organizational goals and performance measures cascade throughout the agency to teams and to each employee’s individual performance goals and targets.

1. Start by reading the CPC program overview [PDF].
2. Contact us at shrplanning@ofm.wa.gov to discuss the best next steps for your agency.
3. Use the following guides as your agency works through the process:
   1. Application Guide – Final Application Submittal Guide [PDF]
   2. Preliminary Readiness Assessment [PDF]
   3. Employee Performance Management Program Survey [PDF]

1. Pre-application (includes appointing a project manager, convening a workgroup, completing the preliminary readiness assessment tool, and the preliminary application packet)
2. Program development (includes developing model PDPs and working on the seven CPC program components)
3. Final application (includes submitting the final application to OFM, briefing, deliberations and a decision by OFM)
4. Implementation (includes training to supervisors on your performance incentive program, monitoring, annual reporting to OFM, and improving program components)

For more detail on these steps, see the program overview [PDF].

Our program incorporates a WAC requirement component, the six best practice components of an innovative performance management process.

See a detailed PDF version of this diagram.

We developed a pyramid-type model that allows each agency to visually gauge how it is progressing toward becoming a choice employer.  It’s understood though that performance management is a journey, and agencies will be at different points along that journey. We’ve built in the flexibility that agencies require to continually push their organization to improve. This pyramid-type model should be used to motivate and drive each agency to the ultimate platinum-level goal to ensure the highest level of employee and organizational performance.

See a PDF version of this diagram.

• Keep it simple. The purpose of interim reviews is to promote focused discussion between supervisors and employees during the year.
• Build a culture that values frequent feedback. Reinforce the expectation that employees deserve frequent feedback and that a primary function of supervisors is to help employees be successful.
• Consider multiple interim reviews. Semi-annual or quarterly reviews may prove more beneficial than just one per year.

• Contractual restrictions. Some Collective Bargaining Agreements only allow one formal review per year. Consider other alternatives such as informal feedback that is recorded in a supervisory file.

Research suggests that high-quality individual development plans can increase an employee’s potential for promotion by up to 38%. The IDP is usually included in the Training and Development Section (Part 2) of the Performance and Development Plan.

Strategies for success

• Connect training to business goals. Ensure that all learning activities contribute to achieving business goals. Supervisors should help employees understand the business plan and deliverables, and how their work impacts organizational performance.
• Focus on a few key development areas. Select two or three areas of knowledge and skill the employee should concentrate on building.
• Focus on both the current job and career development. Develop knowledge and skills that are relevant to current job requirements, anticipated future assignments, and possible promotions. If a succession program exists, integrate related training and competency development with those of the program.
• Include a variety of development opportunities. Both training and experiential learning should be included on the IDP. Use a mix of formal classroom training, job shadowing, mentoring, e-learning, assignment to a project team, cross-training, temporary supervisory assignments, and rotational assignments.
• Develop the IDP in collaboration with the employee. Employees should have a vested interest in their own development. They also have unique insights into their personal developmental needs and career aspirations.

Identifying the key results expected is the first step in developing an employee’s performance plan. Integrating measurable targets into those results:

• Shows employees the specific thresholds for meeting expectations.
• Explains how outstanding performance differs from just meeting expectations.
• Opens a dialogue between the employee and supervisor on how expectations will be met, and what resources will be required.

Strategies for success

• Measure outcomes rather than outputs. Supervisors often struggle with getting to results because outputs are easier to define than the actual outcomes they produce. Consider using the “so that” method:
  • “Complete at least 10 inspections per month, arranging for the correction of 97% of identified hazards within 14 days…” so that “the safety program achieves at least 11,500 inspections, and corrects at least 7,300 serious hazards…” so that “Washington is ranked as one of the top five safest places to work.”
• Identify up front how to best measure results. Will performance be measured through personal observation, customer feedback, peer review, or something else? Knowing the method helps to create meaningful, measurable targets.
• Use customer feedback ratings. For positions that serve customers, consider using formal and informal survey processes to gather customer feedback. Set rating targets for areas such as availability, accuracy, and responsiveness.

• Take steps to reinforce the value that performance makes a difference. This includes:
  • Clear communication of executive commitment.
  • Management accountability with clear supervisor expectations.
  • Supervisor training.
• Hire the right supervisors. Successfully handling performance problems requires specific talents and skills. Not everyone has the ability (or desire) to do it well. Develop core supervisory competencies, and hire those who demonstrate strong aptitude.
• Build trust and partnerships between supervisors and HR. Roles must be clear, understood, and respected. HR should know and focus on achieving supervisors’ business results. Supervisors should understand HR’s role in managing risk and promoting executive management’s policies and values.
• Build constructive relationships with labor union personnel. Use positive relationships with union staff or shop stewards to help employees make reasonable choices and focus on the actions needed to move forward and be successful.
• Ensure communication between supervisors and their appointing authorities. Supervisors should clearly understand the expectations of the leader authorized to take disciplinary action. Before taking a lower level action (e.g., written reprimand), supervisors should make sure the appointing authority wouldn’t prefer to escalate the discipline to a higher level.
• Identify the source of the problem before taking action. Not all performance issues are willful. Disciplinary action is unlikely to improve performance if the cause is a lack of clear expectations or the death of a family member. Review the employee’s past performance and talk directly with him or her before jumping to conclusions.
• Focus on success. The purpose of corrective and disciplinary action is not to punish an employee. It’s to alert the employee that there is a significant issue that needs to be addressed. The ultimate goal is to improve the performance.
• Address issues immediately. Postponing action often results in ‘paying twice,’ as the organization deals with both the individual’s productivity loss and the negative impact on the morale and productivity of other employees.
• Identify required competencies. Supervisors and employees should clearly understand the knowledge skills, abilities, and behaviors required to meet performance expectations. This allows supervisors to assess whether a competency gap is the driver of a productivity problem, and determine an appropriate course of action.
• Consider implementing a performance work plan. A work plan outlines the actions an employee must take to improve his or her performance. A workplan typically includes:
  • The specific performance elements requiring improvement.
  • An action plan detailing what steps the employee must take to meet performance expectations.
  • Timeframes for achieving performance targets.
  • Standards and expectations for performance in measurable or observable terms.
  • Information about the support management will provide.
  • Information about what will happen once the work plan is completed.
  • Signatures from both the employee and supervisor.
• Give employees access to external support. Performance issues are often the result of personal life difficulties such as illness, home life issues, or substance abuse. Make sure that employees are aware of access to individual support through the Employee Assistance Program.

• Analysis Paralysis. It is easy to avoid taking action until every possible alternative is considered. Failure to decide has consequences.
• Failure to escalate. Some supervisors shy away from corrective or disciplinary action in favor of repeated performance counseling. Yet underperforming employees sometimes need incentive – in the form of consequences – to improve. Be sure to escalate to higher levels of action until the desired results are achieved.
• Labor Relations. A poor understanding of the collective bargaining agreement (CBA) and employees’ rights to representation can delay or halt attempts to address performance issues. Supervisors should receive training in both the CBA and principles of labor relations.
• Disability Accommodation. Employers have a legal obligation to discuss possible accommodations if an employee notifies them that a performance problem may be caused by a disability. The purpose of the discussion is to determine whether there are accommodations that will allow the employee to successfully perform the job’s essential functions.
• Individuals’ differing expectations. Employees may have conflicting ideas of what constitutes ‘productivity’ or ‘appropriate conduct.’ Culture, religion, gender, generation, and other factors contribute to these differences. Problems may arise if management is not clear about their own expectations or is unaware of underlying conflicts between employees.
• Lack of documentation or prior performance management. Inexperienced supervisors may not properly document their conversations and actions. New supervisors may inherit performance problems that previous employers failed to address. Often the best strategy is to start from scratch with good documentation and performance management.
• Failure to address senior leaders’ performance issues. How the organization deals with senior managers sends a strong message to employees. Ignoring the poor performance of senior managers tells employees that performance is not important. It is critical that the organization’s senior leaders’ model good performance management.

• Provide weekly feedback and coaching. Confront difficult subjects right away. Recognize accomplishments as they occur.
• Let employees know exactly how they are performing. Refer to the deliverables in the employee’s performance plan.
• Focus on what the employee needs to do in order to be successful. Draw attention to behaviors and results. Involve the employee in defining issues and developing solutions.

• Keep it simple. The purpose of interim reviews is to promote focused discussion between supervisors and employees during the year.
• Build a culture that values frequent feedback. Reinforce the expectation that employees deserve frequent feedback and that a primary function of supervisors is to help employees be successful.
• Contractual restrictions. Some Collective Bargaining Agreements only allow one formal review per year. Consider other alternatives such as informal feedback that is recorded in a supervisory file.

• Clearly define the problem. The goal is to improve performance, not just improve attendance. Clearly establish and understand the specific impact of missed work, such as:
  • Lack of availability for customers
  • Lost productivity
  • Missed deadlines or deliverables
  • Impact on other employees’ deliverables, productivity, or morale
• Set clear standards. Supervisors often assume that employees understand their expectations about flexing their schedules, taking breaks, and submitting leave requests. Many issues can be resolved by simply communicating specific expectations.
• Monitor and document employee attendance. Analyzing attendance to determine whether a true pattern or problem exists, and intervene at the earliest possible opportunity.
• Consider requiring medical verification. If records indicate a pattern of sick leave abuse, consider requiring the employee to provide medical verification of their illness.
• Be aware of other laws affecting leave use. There is a complex web of federal and state laws that impact leave from work, including the Family and Medical Leave Act (FMLA), Paid Family & Medical Leave, Americans with Disabilities Act (ADA), Title VII of the Civil Rights Act of 1964, Uniformed Services Employment and Reemployment rights Act (USERRA), and Workers Compensation. Thoroughly analyze whether employees have specific legal rights before taking any action.
• Assess whether the problem is temporary or chronic. Many people experience a short-term personal crisis that requires absence from work. Issues can include acute personal illness, family illness or death, substance abuse treatment, spousal abuse, and/or family legal trouble. Whether the issue is temporary or long-term may impact the course of action an employer chooses to take.
• Don’t take personal responsibility for the source of the problem. It is not an employer’s job to fix underlying problems, but rather to provide resources to employees that may help them improve their performance.

• Shifting behavior. When confronted with one type of leave abuse (e.g., calling in sick every Monday after payday), some employees will stop that behavior but begin exhibiting another problem (e.g., tardiness or long lunch breaks). When responding to this kind of abuse, consider setting strong and comprehensive standards for the employee covering all aspects of attendance.
• Up / Down cycles. Some employees will correct attendance issues when first confronted, only to return to old behavior several months later. Consider implementing a performance improvement plan with a long monitoring timeframe during which the employee must demonstrate improvement.
• Concerns about treating employees differently. Some supervisors fail to take action because they believe they have to ‘treat everyone the same.’ It is appropriate to set stricter standards for employees with attendance problems. Treating them differently is not a punishment, it is a targeted strategy to help improve their performance.
• Employees who come to work sick. Also known as ‘presentee-ism’, Many employees choose to come to work sick rather than use up their sick leave or take leave without pay. Persuading or forcing employees to take leave can be difficult. Other options include requiring the employee to provide a doctor’s release before returning to work, or assigning the employee to work from home rather than infect other staff.