Rubrics and Performance Management Systems

Rubrics have a wide range of applications beyond academic assessment.  By definition they are rating scales used for performance assessment.  Mertler (2001) states that they consist of “specific pre-established performance criteria, used in evaluating student work on performance assessments” (p. 2).  While the application of rubrics in education are well documented and practiced, their use also applies to performance management systems.  The U.S. Securities and Exchange Commission manages such a system which is named the Evidence-based Performance Management System (EPMS).

The EPMS is a primary tool of the agency to improve individual and group performance.  The performance of individuals and teams are aligned to the mission and vision of the agency.  The EPMS consists of rating scales as associated with five critical performance factors.  These factors are based on pre-established standards for each grade, and in some cases, to specific occupational series.  The EPMS is an analytic rubric, although checklists may be used for specific individual or team task assignments.  A holistic rubric was not used, in part, because error in any single part of the process cannot be tolerated due to legal and employee/labor relations implications.  The rubric scores are tallied at the end of each performance appraisal cycle and converted to an overall rating.  These annual ratings form the basis for merit pay decisions and may also be used as a part of Performance Improvement Plans, reduction-in-force calculations, and award and disciplinary actions.

The EPMS at the SEC demonstrates that rubrics have a wide range of applicability beyond the educational environment.

References:

Mertler, Craig A. (2001). Designing scoring rubrics for your classroom. Practical Assessment, Research & Evaluation, 7(25).

Pierce, W. (2006). Designing rubrics for assessing higher order thinking. AFACCT Conference Presentation Columbia, MD, on January 13, 2006.