The Rater is an employee’s direct supervisor. The Rater sets employees’ goals, monitors performance, provides feedback, and provides an annual evaluation of employees’ performance.
The Employee is the recipient of the Rater’s feedback. The Employee should also be engaged in his/her performance by proposing goals and seeking development opportunities.
The Reviewer manages the Rater and may also assign work to employees while indirectly managing their performance. Reviewers provide the first level of approval for employees’ performance evaluations.
Human Resources sets each agency’s performance management strategy as well as the Performance Evaluation Policy. HR is a great resource for Raters when they have questions about managing employee performance or navigating through ePerformance. Human Resources provides the final level of approval for all employee performance evaluations.
Performance Management Best Practices
Frequently Asked Questions
For general assistance with performance management, a good place to start is the online Performance Management Guide. This Guide is for all employees regardless of job level or role. It discusses topics such as those listed below.
ePerformance Job Aids and other resources can be found by visiting http://das.ohio.gov/ePerftoolkit. Additionally, the ePerformance team can be contacted by emailing ePerformance@das.ohio.gov or calling 614-728-8973.
Raters are also strongly encouraged to participate in Lead Ohio: Foundations of Supervision. Course schedules as well as registration links may be found via myOhio’s myLearning button. This professional development opportunity has three (3) courses directly related to performance management.
Finally, your agency’s Human Resources and/or Labor Relations staff can help with performance management questions.
List of Competencies and Descriptions
Position Competencies FAQ
Competency Behavioral Anchors
Competency Development Guide
Click here to download the complete Performance Management Guide.
Click the below sections to focus on a specific subject area from the Guide.
Performance management includes setting expectations for your employees, observing their job performance, providing them feedback, and evaluating how well they meet the performance expectations. The tabs on this website contain brief information about the best way to accomplish performance management tasks. The guide in its entirety can be found by clicking here.
A formal performance evaluation cycle will benefit you and your employees by:
The State of Ohio performance management cycle consists of four steps that occur in a continuous loop:
This illustration indicates that most of the cycle is spent on observing performance and providing feedback. While your agency’s performance evaluation policy provides the cycle dates for completing evaluations in the ePerformance system, the steps of communicating expectations and observing performance and providing feedback should occur on a regular, frequent basis. These regular conversations can be informal, however. Frequent meetings may be helpful, but are not required.
In ePerformance, expectations and goals are set at the beginning of the process within the Establish Evaluation Criteria step. Related job aids can be found in the ePerformance Toolkit. Depending on the specific position, five (5) or fewer goals and performance expectations are recommended for each performance evaluation cycle.
Performance expectations are the requirements for work product quantity, quality, timeliness, and results that apply to regular and routine job duties. Performance expectations are the same for every employee performing the same job, so if multiple supervisors in your agency oversee employees in the same classification performing the same work, all supervisors should agree on the performance expectations for that work.
Goals are the improvements employees should make to their work activities or the products they create that could help them make a better or larger contribution toward achieving the agency’s purpose. Improvement goals can be different for different employees.
Process each case within 45 days to comply with Ohio Revised Code.
Return voicemail messages within 1 business day.
Research and summarize the pros and cons of 3 methods of process improvement within the next 6 months.
Decrease the average amount of time you take to process a case by 10% while maintaining your current quality ratings within the next 12 months.
To write an effective goal, you need to:
When using quality as a measure of job performance, you can use descriptive measures and examples so the employee will understand the level of performance you are expecting. For example, “Write a user-manual for the software that is easily understood by our employees” or “Create a safety message that is easy to remember like stop, drop, and roll.”
There are many methods of goal-setting: SMART goals, Cascading Goals, Project Goals, etc.; however, not all methods of goal-setting are appropriate for all types of work. The following table discusses popular methods of goal-setting and the circumstances in which they are most and least successful.
Does not work well for:
Goals are set from the top-down and goals at each subsequent level should tie back to the goal at the level above.
The first two or three levels of executive management.
The entire organization. Not every goal needs to tie directly back to a supervisor’s goal and cascading through the entire organization takes a long time as each level’s goals have to be completed before moving on to the next level.
A format for writing goals in which the goal must be Specific, Measureable, Achievable, Relevant, and Time-bound.
Most employees. Also used to ensure you have included pertinent information in the goal.
Goals that need to be relevant over a long time, such as a year, or some tasks that require innovation.
A series of goals within a project that has a defined beginning and ending.
Employees whose work can be broken up into meaningful milestones.
Employees who continuously make a product.
Not in employee’s control:
Respond to 10 customer inquiries a week. The employee is not in control of how many inquiries are submitted each week.
Improve efficiency of processing requests by using the new software system. The employee is not in control of the software system. It may malfunction or may not be user-friendly.
In the employee’s control:
Respond to customer inquiries within 24 hours of their submission, either with an answer or with a timeline of when the customer will receive the answer. The employee can control how quickly he or she responds to the inquiries.
Improve knowledge of how the new software system works by taking the training class and reviewing the manual within the next 2 months. The employee can control how familiar he or she is with the system.
Reduce the unit’s budget by 10% by Fiscal Year 2016 without compromising the quality of services and goods that the unit purchases for the agency.
Identify one program area where we can reduce costs without compromising the quality of services and goods purchased for the program within two months.
In this example, the goals contain specific outcomes, include a timeline, and are somewhat challenging. All of the goals allow the employees to determine the best way to approach the goal. The analysts also have performance expectation goals that do not tie directly back to the supervisor’s goal. This is because the regular work of the procurement unit must still be conducted in addition to the special project of reducing the budget. When the supervisor discusses the goals with the analysts, he or she should discuss the unit’s goal of reducing the budget and how the analysts’ activities will help achieve that goal.
Competencies are the combination of the knowledge, skills, and abilities required for successful job performance summarized into categories (e.g., the competency “Coaching and Developing Others” combines identifying development needs and taking actions to help others improve their skills). The ePerformance system has 42 competencies from which supervisors can choose for the evaluation of their employees. These competencies were carefully selected to be applicable to many classifications across the state.
There are three categories of competencies:
The following example is the competency list for a Deputy Director at an agency that uses both Agency-wide and Classification-specific competencies
Communicating with Supervisors, Peers, and Subordinates
Making Decisions and Solving Problems
Developing Objectives and Strategies
Monitoring and Controlling Resources
Within the first few weeks of the evaluation cycle, you should relay your expectations and goals to each of your employees (e.g., by January 15 for January’s annual cycle) during a one-on-one meeting with each individual employee to encourage open discussion and allow for clarification if necessary.
It is important to explain what specific actions and behaviors will be required for the employees to receive a “Meets Expectations” on their performance evaluations.
The actions and behaviors required to earn the “Meets Expectations” rating should be the same for all employees in the same classification performing the same job duties in the agency. The table below outlines the generic rating definitions that you can use to help define each item’s expected actions and behaviors.
1. Does Not Meet
Fails to meet standards (e.g., employees with this rating fail to satisfactorily perform most aspects of the position; performance levels are below established requirements for the job; employee requires close guidance and direction in order to complete routine assignments).
2. Meets Expectations
Fully meets standards (e.g., achieves acceptable standards of performance, expectations and requirements; results can be expected which are timely and accurate; performance constitutes what is expected of a qualified, experienced employee performing in this position).
3. Exceeds Expectations
Exceeds standards (e.g., consistently goes above the communicated expectations for the job responsibility or goal; demonstrates a unique understanding of work beyond assigned area of responsibility; achievements are obvious to subordinates, peers, managers and customers).
Anytime your performance expectations or goals for your employees change, you should discuss those changes with your employees as soon as possible.
Providing feedback is an extremely important part of being a supervisor. Providing feedback will:
The best way to provide feedback is to:
Providing negative feedback may be one of your least favorite tasks to perform as a supervisor. Unfortunately, delaying or avoiding negative feedback will cause more harm than good. Consequences of delaying or avoiding negative feedback include:
The best way to provide negative feedback is to:
The following examples will demonstrate how to change vague feedback into the specific, detailed feedback that will help your employees improve their performance.
Performance meets expectations:
“Your report was well received at the meeting today. Good job.” While it is a good idea to praise satisfactory work, no details are included as to why the report was well received.
“Your report was well received at the meeting today. The graphs you included illustrated the data clearly, and when I read the rest of the report, I noticed that the executive summary captured all of the important details. Good job.” The supervisor specifically described what he or she liked about the report, making it likely that the employee will continue to use appropriate graphs and pay close attention to what information should be included in the executive summary in the future.
Performance exceeds expectations:
“This project had a great outcome. You really exceeded my expectations this time.” The employee will not know exactly what actions he or she took that the supervisor thought affected the outcome.
“The process you implemented decreased the timeline to complete this project by so much that we saved 15% of our budget. You really exceeded my expectations for this project.” The supervisor included the actions the employee took and what he or she thought was great about the outcome.
Performance does not meet expectations:
“This report isn’t good enough to present to our managers. You need to fix this by Monday.” While the employee will know the work doesn’t meet expectations, he or she will not know whether it is the format of the report, the content, or both that should be improved.
Every supervisor will benefit from training your brain to be a better observer of employee job performance. When you observe your employees’ job performance, you should:
One of the best ways to track and remember employee behaviors is to keep a performance log for each of your employees. Methods to create a performance log include:
2/5/2015 - Observed Paul provide great customer service today when he was interacting with an angry customer at the customer service desk. Paul listened well and provided the information the customer needed. The customer left calmer than he had arrived.
Individual Goal and Competency Ratings
Summary and Overall Performance Ratings
· Does Not Meet
· Meets Expectations
· Needs Improvement
· Exceeds Expectations
When summarizing and evaluating expectations, you should:
“You are a good team player.” While it is important to identify that the employee works well with others, there is no information to indicate why the employee works well with others.
Objective behavior and results
“I saw you consistently demonstrate good teamwork skills when you listened patiently to your coworkers and helped them find solutions during the rollout of the new software.” The supervisor specifically described what behaviors he or she observed, making it likely that the employee will continue to conduct him or herself that way in the future.
“You bring great professionalism to the office.” The employee will not know exactly what actions he or she took that the supervisor thought were great.
“I frequently hear you praise the efforts of your coworkers and you always take time to find an answer or the correct person to ask when your coworkers ask you a question.” The supervisor included the actions the employee took that makes him or her great to work with.
“You display a bad attitude during meetings.” While the employee will know his or her behavior doesn’t meet expectations, he or she will not know what actions could be improved.
The goal of your meeting with your employee is understanding. At the end of the meeting, your employee should understand what his/her ratings are and why you provided the ratings you did. Your employee does not need to agree with your ratings, but he/she does need to understand them. Understanding is an easy goal to achieve if you have been providing feedback about your employee’s performance and goal progress throughout the year. The performance evaluation meeting offers you the chance to discuss performance as a whole and repeat any important feedback.
When conducting performance meetings you should:
Supervisors should identify ways for employees to develop their knowledge, skills, or abilities on a regular basis. While training classes and seminars are good tools to use in the developmental process, most employees will develop the majority of their knowledge, skills, or abilities through on-the-job experiences.
During this development, you will provide a specific kind of feedback called coaching. When you coach your employees, your conversations should focus on what your employees could change in the future, rather than focusing on what was ineffective in the past.
For example, when you coach your employee, you would ask “what techniques could you use to keep the meeting on track with the agenda?” rather than telling your employee “we did not meet the objectives of the agenda in the meeting because you let everyone get off track.”
Coaching can be used to enforce effective behavior as well as correct ineffective behavior. When you coach your employees, you should:
The ePerformance system has two methods for documenting performance improvement:
Both the PIP and the CDP go through the same approval process as any other performance evaluation document in the system. They can work with or be independent of another performance document, such as an annual or ad hoc evaluation. If you rate an employee overall as anything below “Meets Expectations,” you will need to create a PIP for that employee. More information about how these documents work in the system can be found in the ePerformance Toolkit. Your agency’s Performance Evaluation policy has specific information about how your agency uses these features.
The State offers performance management tools in many forms. The ePerformance Toolkit contains system job aids, quick reference guides, a list of available competencies, and the Statewide Performance Evaluation policy.
The DAS Office of Learning and Professional Development also offers several performance management courses to supervisors through the LEAD Ohio program (a mandatory training program for new supervisors) include:
Exempt employees can also take advantage of the Performance Management Learning Program available in Learn It Ohio.
Finally, the State Library of Ohio offers many resources about Performance Management. A librarian will help you locate resources that directly address your performance management questions.
Bailey, S. (2014, May 13). The pay-for-performance fallacy. Talent Management.
Cascio, W. F. & Aguinis, H. (2011). Applied Psychology in Human Resource Management (7th ed.). Boston: Prentice Hall.
DeNisi, A. S. & Peters, L. H. (1996). Organization of information I memory and the performance appraisal process:
Evidence from the field. Journal of Applied Psychology, 81(6), 717-737.
Fiske, T., & Taylor, S. E. (1984). Social Cognition. London: Addison-Wesley.
Grote, D. (2011). How to be good at performance appraisals. Boston: Harvard Business Review Press.
Ilgen, D. R., Fisher, C. D., & Taylor, M. S. (1979). Consequences of individual feedback on behavior in organizations.
Journal of Applied Psychology, 64(4), 349-371.
Ilgen, D. R., Peterson, R. B., Martin, B. A., & Boeschen, D. A. (1981). Supervisor and subordinate reactions to performance appraisal sessions. Organizational Behavior and Human Performance, 28, 311-330.
Kluger, A. N. & DeNisi, A. (1996). The effects of feedback interventions on performance: A historical review, a meta-analysis, and a preliminary feedback intervention theory. Psychological Bulletin, 119(2), 254-284.
Landy, F. J. & Farr, J. L. (1983). The measurement of work performance: Methods, theory, and applications. New York: Academic Press.
Larsen, J. R. (1989). The dynamic interplay between employees’ feedback-seeking strategies and supervisors’ delivery of performance feedback. Academy of Management Review, 14(3), 408-422.
Latham, G. P. (2004). The motivational benefits of goal-setting. Academy of Management Executive, 18(4), 126-129.
Liden, R. C. & Mitchell, T. R. (1985). Reactions to feedback: The role of attributions. Academy of Management Journal, 28(2), 291-308
Liner v. Montgomery County Engineer, State of Ohio State Personnel Board of Review 2013-REM-02-0080 (2014).
Locke, A. E. & Latham G. P. (2002). Building a practically useful theory of goal setting and task motivation: A 35-year odyssey. American Psychologist, 57(9), 705-717.
London, M., Mone, E. M., & Scott, J. C. (2004). Performance management and assessment: Methods for improved rater accuracy and employee goal setting. Human Resource Management, 43(4), 319-336.
Mueller-Hanson, R. A. & Pulakos, E. D. (2015). Putting the “performance” back in performance management. SHRM-SIOP Science of HR White Paper Series. Society for Human Resources Management and Society for Industrial and Organizational Psychology.
Murphy, K. R. & Cleveland, J. N. (1995). Understanding Performance Appraisal. Thousand Oaks, CA: SAGE Publications.
National Research Council (1991). Pay for performance: Evaluating performance appraisal and merit pay. Washington,D.C.: National Academy Press.
Northcraft, G. B., Schmidt, A. M., & Ashford, S. J. (2011). Feedback and the rationing of time and effort among competing tasks. Journal of Applied Psychology, 96(5), 1076-1086.
Roch, S. G. & O’Sullivan, B. J. (2003). Frame of reference rater training issues: Recall, time and behavior observation training. International Journal of Training and Development, 7(2), 93-107.; Thornton, G. C. & Zorich, S. (1980).
Training to improve observer accuracy. Journal of Applied Psychology, 65(3), 351-354. Witt, L. A. (1998). Enhancing organizational goal congruence: A solution to organizational politics. Journal of Applied Psychology, 83(4), 666-674.
Woehr, D. J. & Feldman, J. (1993). Processing objective and question order effects on the causal relation between memory and judgment in performance appraisal: The tip of the iceberg. Journal of Applied Psychology, 78(2), 232-241.
For assistance with ePerformance, contact us:
800-409-1205, option 6
Human Resources’ role is to gather and compile data from performance results to create potential successor pools, which are comprised of individuals who possess the skills necessary for the exempt positions that could become vacant. In addition, Human Resources supports supervisors in completing items such as performance evaluations, stay interviews, and periodic coaching meetings as well as in developing employees for their next role.
Managers play a vital role in succession planning by effectively communicating with employees and taking an active role in employee development. The most effective succession planning involves managers who promote and encourage employee development. Managers should evaluate employees’ interest in the succession planning process and help develop employees for their next role.
Employees exempt from collective bargaining play an important role in succession planning. Exempt employees should think about their preferred career path and find ways to look into several positions of interest. Exempt employees who are interested in development either within their current pay grade (laterally) or in a higher pay grade (promotionally) should inform their manager of their interest and begin to develop a plan to achieve the desired position.
9-Box Job Aid
Knowledge Transfer Plan
Sample Succession Plan
NASPE – Workforce and Succession Planning
PA TIMES – Workforce and Succession Planning in Government
Ray Justice, HCM Manager
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Columbus, Ohio 43215
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