STATE OF MAINE
PERFORMANCE MANAGEMENT FORM
SECTION 1 - GENERAL INFORMATION	
1.  EMPLOYEE’S NAME - LAST, FIRST, MIDDLE

	     	2.  DEPARTMENT, BOARD OR COMMISSION

	     	3.  DIVISION OR INSTITUTION

	     	
4.  EMPLOYEE NUMBER

	     	5.  EMPLOYEE’S CLASSIFICATION TITLE

	     	6.  PAY GRADE / STEP

	     	7.  POSITION #

	     	
8.  PERIOD OF REPORT

From:

     
	
To:

     

	9.  TYPE OF REPORT
    (check all that apply)		End of Probation		Change of Rater	
	
		Annual		Special Merit

		Extension of Probation		Merit Increase

		New Assignment		Termination
	
SECTION 2 - CONCISE DESCRIPTION OF MAJOR JOB RESPONSIBILITIES	

     	
SECTION 3 - PERFORMANCE EXPECTATIONS	
Expectations are to be developed by the supervisor at the BEGINNING of the working period with input from the employee and the concurrence of higher management.  Expectations should be listed in order of priority from most important.  Expectations should normally include maintenance activities as well as new initiatives.  At the END of the evaluation period, the results toward the expectation should be stated.  Use additional sheets if necessary.	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet

EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet
	
EXPECTATION:        

RESULT:        
	Exceeded
Met
Did Not Meet

SECTION 4 - ASSESSMENT OF COMPETENCIES RELATING TO JOB PERFORMANCE	
The qualities shown below are qualities toward which every employee should strive.  Please rate the employee on these qualities.  Consider: (1) the employee’s job description, (2) level of experience, and (3) the goals and expectations established in the previous evaluation.  Comment on each rating.  Comments are critical to documenting strengths and suggestions for improvement.

The rating factors are as follows:  NEEDS IMPROVEMENT = Improvement is needed to meet acceptable standards  SATISFACTORY = Fulfills the normal job requirements with some strong points  OUTSTANDING = Exemplifies the competency and serves as a model for others.	

CORE COMPETENCIES	
Needs
Improvement	

Satisfactory	

Outstanding
	
Initiative:  Drives for results and success.  Sets high standards of performance.  Pursues aggressive goals and works hard to achieve them.  Displays a high level of effort and commitment to performing the work.				
Adaptability:  Handles day-to-day work challenges confidently.  Is willing to adjust to multiple demands, shift priorities, ambiguity and rapid change.  Shows resilience in the face of constraints, frustrations or adversity.  Demonstrates flexibility.				
Planning and Organizing Work:  Defines and arranges activities in a logical and efficient manner.  Effectively uses resources including time, money and materials.				
Decision Making:  Shares information and involves appropriate others in the decision-making process.  Makes timely, logical decisions.  Decisions are modified based on new information when appropriate.  Takes responsibility for decisions.				
Customer Service:  Seeks feedback from internal and external customers.  Anticipates customer needs and provides quality services to customers.  Continuously searches for ways to increase customer satisfaction.				
Teamwork:  Contributes to organizational goals.  Fosters collaboration among team members and among teams.				
Interpersonal Relations:  Shows respect and tolerance for each person.  Relates well to others, possesses good listening skills, and demonstrates trust, sensitivity and mutual respect.  Recognizes the contributions diversity brings to job performance and creativity.				
COMMENTS	
     	

KNOWLEDGE & SKILL	
Needs
Improvement	

Satisfactory	

Outstanding
	
Job Knowledge:  Demonstrates appropriate level of understanding of relevant job knowledge.  Consistently expands job knowledge and keeps abreast of new developments in the field.				
Oral Communications:  Speaks clearly and expresses self well in groups and in one-on-one conversations.  Demonstrates attention to and conveys understanding of comments and questions of others.				
Written Communications:  Conveys information clearly and effectively through formal and informal documents.				
COMMENTS	
     	

TERMS & CONDITIONS	
Needs
Improvement	

Satisfactory	
Works When Scheduled:  Begins and ends work when required.  Calls in according to policy when arriving late for work or when absent.  Observes policies on break and lunch periods.  Uses work time appropriately.			
Requests and Uses Leave Time Appropriately:  Submits leave requests on a timely basis.  Requests and uses the proper type of leave in accordance with established rules.  Provides documentation for use of leave when required.			
Safety Clothing and Uniforms:  Wears appropriate safety clothing, if required.  Wears full, regulation uniform, where required.			
Observes Health, Safety and Sanitation Policies:  Observes established policies.  Notifies proper authorities of circumstances or situations that present potential health or safety hazards.			
Follows All Other Rules and Policies:  Performs work according to rules and policies.  Does not improperly use state property or knowingly permit others to do so.  Does not engage in unauthorized activities during work time.			
COMMENTS	
     	

MANAGERS  (Check here if this Section does not apply)	
Needs
Improvement	

Satisfactory	

Outstanding
	
Delegation/Follow-Up:  Assigns responsibilities.  Delegates responsibility and empowers others.  Removes obstacles.  Allows for and contributes needed resources.  Coordinates work efforts when necessary.  Monitors progress.				
Staffing:  Builds a strong team with complementary strengths.  Forms the right structures and teams.  Demonstrates leadership and holds employees accountable for safe work practices, fair employment practices and State and Federal AA/EEO requirements.				
Coaching and Counseling:  Gives timely, specific feedback and helpful coaching.  Adapts approach to each individual.				
Employee Development:  Accurately assesses strengths and developmental needs of employees.  Provides challenging assignments and opportunities for development.				
Quality Focus:  Emphasizes the need to deliver quality services.  Defines standards for quality and evaluates processes and services against those standards.				
Planning and Organizing:  Develops short and long range plans that are appropriately comprehensive, realistic, and effective in meeting goals.  Integrates planning efforts across work units.  Handles multiple demands and competing priorities.  Manages meetings effectively.				
COMMENTS	
     	

SECTION 5 - EMPLOYEE DEVELOPMENT PLAN	
Indicate recommendations for further development and training for purposes of preparing the employee for additional responsibilities or for the improvement of current job.	Planned Development/Training Activities Agreed Upon by Employee and Supervisor.	
Target Date	
Actual Process
(Did plan meet goals)?	
     	     	     	     	
SECTION 6 - PERIODIC REVIEW (This can be initiated by either the employee or the supervisor)	
The employee and supervisor may meet AS NECESSARY to review progress toward or changes to previously established expectations.  Use the space below to document the meeting.  The employee and supervisor should date and initial the document at the time of each review.  Use additional sheets if necessary.	

Date:	(Initials) Employee: 	(Initials) Supervisor:

	

Date:	(Initials) Employee: 	(Initials) Supervisor:

	

Date:	(Initials) Employee: 	(Initials) Supervisor:

	
SECTION 7 - OVERALL PERFORMANCE RATING (Check One)	

	Exceeded Expectations:

	Met Expectations:

	Did Not Meet Expectations:
	
Has exceeded overall performance expectations.  Skilled in relation to the technical and/or managerial requirements of the job.  Has skill to be consistently successful in meeting difficult challenges.

Has successfully achieved performance expectations.  In a few instances, may have exceeded some expectations and missed some, but on the balance, the individual has competently performed the duties of the job.  Demonstrates the motivation to improve performance.

Has not completely or consistently met performance expectations. Met most expectations, but has not completely reached agreement upon standards of quantity or/or quality for performance expectations.	
SECTION 8 - ADDITIONAL COMMENTS BY SUPERVISOR, IF APPROPRIATE	

     	

SECTION 9 - EMPLOYEE’S COMMENTS AND SIGNATURE	
Employee may comment on all or any part of the information contained in this document including the evaluation process.  This may include suggestions or ideas for improvement in the unit or department.  If the employee does not concur with the evaluation, check the appropriate box and explain reasons for disagreement.	

     	

	I understand my job and individual responsibilities, performance expectations and the terms and conditions under which I am expected to work.
	(DO)		(DO NOT) Concur with my supervisor’s evaluation

      EMPLOYEE SIGNATURE	DATE

SECTION 10 - MANAGEMENT APPROVAL	

MERIT INCREASE		PROBATION	
					
 Yes	 No		 Not applicable	
					
 Not applicable		 End	 Extend	

I have personally discussed the content of this document with the employee
SUPERVISOR SIGNATURE/TITLE:

	DATE	
REVIEWER SIGNATURE/TITLE:

	DATE	
AGENCY HEAD SIGNATURE/TITLE

	DATE	
USE THIS SPACE TO DOCUMENT ADVERSE DECISIONS ON MERIT INCREASE OR PROBATION:	

     	

Instructions for Use of the
Performance Management Form

The Performance Management Form is designed to serve both as a planning document and a performance management tool.  The form is used at the beginning of a rating period to develop job expectations, during the rating period as necessary to document changes to performance expectations or progress toward developed expectations, and at the end of the rating period to document performance during the rating period.  In consists of ten sections:

Section 1	General Information
Section 2	Concise Description of Major Job Responsibilities
Section 3	Performance Expectations
Section 4	Assessment of Personal Attributes Relating to Job Performance
Section 5	Employee Development Plan
Section 6	Periodic Review
Section 7	Overall Performance Rating
Section 8	Additional Comments by Supervisor
Section 9	Employee’s Comments and Signature
Section 10	Management Approval

FORM PREPARATION AT THE BEGINNING OF A RATING PERIOD
At the beginning of the rating period (upon initial appointment, promotion, demotion, reassignment, transfer, or at the beginning of each annual performance review period), the supervisor and employee:

•	Complete Section 1
•	Discuss and develop the responsibilities and expectations for the coming rating period, completing Section 2 and the “Expectations” in Section 3.
•	Discuss and agree upon a developmental plan and complete the first three columns of Section 5.  NOTE:  This section is optional, but it must be completed if the employee did not meet expectations from the previous rating period or if the employee has been rated less than satisfactory on any personal attribute in Section 4.
•	The supervisor reviews the completed sections with his or her manager and obtains approval.  The completed form, with responsibilities, expectations and developmental plans entered, makes up the employee’s performance plan for the rating period.  Both employee and supervisor keep a copy for future reference.

USE OF THE FORM DURING THE RATING PERIOD
From time to time it may be necessary for an employee and supervisor to discuss changing expectations, or progress toward previously developed expectations.  Section 6 is used to document these discussions.  Either the employee or the supervisor may initiate discussions as necessary.  The employee and supervisor should date and initial each such session.  NOTE:  Supervisor must review job performance with all new employees after three months of employment.

USE OF THE FORM AT THE END OF THE RATING PERIOD
At the end of the rating period, the employee and supervisor use the form to evaluate and record the employee’s performance.  It is strongly recommended that the supervisor and employee jointly develop this evaluation.  All supervisors should read “Overview and Instructions for Performance Management System”, especially the guidelines for conducting the performance management interview.  Provide the employee with a copy and file the original in the employee’s personnel file.

•	Summarize results toward expectations in Section 3.
•	Evaluate the employee’s personal attributes in Section 4.  Document strengths and suggestions for improvement in the appropriate Comments section.  NOTE:  If it has been necessary to discipline the employee during the rating period, the nature of the discipline and the results of the discipline must be documented on a separate sheet and attached to the performance management form.
•	Indicate actual progress toward developmental plans in Section 5.
•	Rate the overall performance for the rating period in Section 7.  NOTE:  The employee must receive a rating of “Met Expectations” or better in order to receive a merit increase.
•	Note any additional comments in Section 8.  Allow the employee to make any comments the employee deems appropriate in Section 9.
•	Obtain all necessary signatures and approvals in Section 10.

PREPARING A NEW FORM FOR THE NEXT RATING PERIOD
The final product of the performance evaluation interview is a completed form for the rating period that has ended and a new form, with Sections 1, 2, 3, and 5 completed for the next rating period.

APPEALS
Employees who are denied a merit increase may file an appeal with their department or agency head within ten (10) working days after notification of non-selection by the appointing authority.  Please contact your personnel office for a full explanation of your rights and obligations under this appeals procedure.

Performance Management System
Overview & Instructions

Introduction

Performance management is not an annual event but an ongoing process.  There should never be any surprises at the end of a performance rating period, as managers who are properly managing performance are providing continual feedback, both formally and informally, throughout the rating period.

The intent of performance management is to enable all employees to fully understand their job responsibilities and performance expectations, to understand how their contributions help their organization to meet its goals and objectives, and to identify employee developmental needs.  This is beneficial for employees, supervisors and the organization as a whole.

The performance management process has cooperation and support as its core.  The objectives are:

1.	to foster and enhance job-related communication between supervisors and employees;
2.	to update and revise job expectations on a regular basis;
3.	to provide motivation to employees;
4.	to provide supervisory support;
5.	to identify methods to achieve the goals and objectives of the Department and the organization; and
6.	to provide the basis for recommendation of a salary step increase.

These guidelines are designed to answer some basic questions about the performance management process.  Should additional questions arise, feel free to contact your Manager or your Personnel Officer.

Performance Management Overview

What is it?

An Organizational and Management System that relates performance objectives to organizational goals and objectives so that all employees understand how their jobs contribute to the success of the organization.

A Planning and Evaluation System for each employee’s performance expectations and developmental needs as they relate to the overall effectiveness of the organization.

An Accountable System to assure that responsibilities are well defined and being met.

A Communication System for two-way discussions about organizational goals and objectives, continuous improvements of work methods, individual job expectations, actual job performance, and employee developmental needs.

Why is it done?

Because people need to know what is expected of them.  Additionally, it is an opportunity to enhance communication, organizational planning, and employee growth and development.  Performance management will serve to provide an opportunity to:

1.	Develop an employee’s understanding of how the employee’s job contributes to organizational goals and objectives.
2.	Enhance employee understanding of how his/her performance compares with expectations;
3.	Identify and discuss key worker behaviors and traits that contribute to a quality organization;
4.	Assess work unit efficiency and effectiveness.
5.	Define and alter individual responsibilities and expectations.
6.	Identify potential problems before they become major;
7.	Document performance problems and build on successes.

Finally, the law requires that managers must document satisfactory performance in order to employees to progress from step to step in the salary grade.

When are Performance Interviews conducted?

For all employees – Constantly, on an informal basis and formally, upon initial appointment, appointment to another position, at the beginning of each performance review period, or at the request of the supervisor or employee to discuss progress toward or changes to previously established work expectations.

For permanent employees – Once a year prior to the employee’s performance review date.  Employees selected for or denied merit increases will be notified prior to the anniversary date.  Merit increases will be processed as expeditiously as possible so as to ensure payment of the increase in the pay period in which it is earned.

For probationary employees – Supervisors must provide employees who are on initial probation with an assessment of progress after three months of employment.  Supervisors are required to complete the Performance Management Form prior to the end of the employees probationary period in order to recommend permanent status, extension of probationary period, or termination.

Where is it done?

Wherever the work is being performed.  The essential factors for successful meetings are privacy and absence of interruptions.

Who does it?

The supervisor to whom an employee is directly responsible and the employee.

Elements of the Performance Management Process

1.  Ongoing Communications.  It is extremely important to both the supervisor and the employee to communicate frequently regarding performance expectations or changes.  This dialogue is a crucial element of successful performance management.

2.  Description of Major Job Responsibilities.  This is developed by the supervisor and the employee.  It provides a written description of the (major) job responsibilities that an employee is expected to perform during the rating period.  This description must be:

-	current (revised when responsibilities change)
-	developed jointly, preferably agreed to by the supervisor and employee but in all cases, communicated by management and understood by employees;
-	reasonable and attainable;
-	understood by the reviewer;
-	focused on critical, important aspects of the job;
-	reviewed and updated at least annually

3.  Performance Expectations.  These written statements are developed by the supervisor with the employee’s participation that serve to clarify and qualify the employee’s job responsibilities.  Performance expectations always contribute to organizational goals and objectives.

4.  Employee Attributes and Behaviors.  These are rated in order to identify employee strengths and opportunities for improvement.  These include core competencies required of all employees, terms and conditions of employment, job knowledge and skills, and where applicable, managerial competencies.

5.  Developmental Plans.  Plans are designed to indicate recommendations of further development and training to prepare the employee for additional responsibilities or to improve current job performance.

6.  Performance File.  The supervisor will maintain a file in order to provide employees with documents of successful and/or problematic performance.  All such documentation must be discussed with, signed and dated by the employee at the time of entry into the performance file.

7.  Periodic Review.  From time to time, it may be necessary to review progress toward or changes to previously established expectations during the rating period.

8.  Performance Management Form.  In completing the for, evaluators must review the employee’s performance file, strengths and weaknesses, as well as areas of growth and change, using as a starting point previously developed:

-	job responsibility descriptions
-	performance expectations
-	developmental plans
-	organizational goals and objectives

9.  Performance Management Interview.  The interview consists of a face-to-face meeting between the supervisor and the employee to review past performance expectations and plan for the future performance period.