Performance Appraisal Training- Engineering Division Bruce Ullman October 2011.

Performance Appraisal Training-Engineering Division

Bruce Ullman

October 2011

• Improve writing of expectations•Promote common understanding of ratings & their application• Review communication requirements • Review process timeline and flow

PurposePurpose

Writing Expectations

Writing Tips Using the S.M.A.R.T. Checklist Examples

Not so SMART (Mediocre) SMART (Good) Really not SMART (Poor)


• List group/your own objectives for the year• What are you expected to produce, accomplish, etc?

• Whom are you supposed to serve, assist, etc?

• Assign each objective to one or more employees--including yourself if appropriate—as long as

• They have the right skills

• They will have the time

• You can provide the resources

• You have given them the authority

• Identify a measurable outcome for each objective

• Add a timeframe or quality metric if appropriate

Writing Good ExpectationsWriting Good Expectations

Writing TipsWriting Tips

• Write it so it’s appropriate for someone of the person’s grade and experience

• Write it so both of you know what is expected • Use action verbs and clear metrics• Allow room to excel if possible• Don’t list tasks or job duties; just outcomes• You don’t have to cover every aspect of the job

• Don’t mix unrelated objectives• Don’t repeat or restate Core expectations

Choose Your Words Wisely

ACTION VERBS OBJECT WEAK WORDS EVALUATION

Produce …plan, system Assist Outstanding

Create …method, procedure Support Superior

Improve …process, performance Lead Excellent

Complete …project Oversee Peerless

Repair …equipment, system Monitor Weak

Learn …task, procedure Coordinate Poor

Collect …data, input, consensus Help Unique

Document …procedure Manage

Inspect …equipment, system Multiple

Solve …problem Various

Develop …training, solution Quality

Implement …program, process Expert

Eliminate …backlog, problem Often

SSignificantIs it worth doing, or is it just busy work?

MMeasurableIs there a way to tell when it’s done and how well?

AAchievableIs it something the employee can really do?

RRelevantDoes it support the group’s (and therefore the Lab’s) goals?

TTimelyCan it be completed within the reporting period?

What Is a SMART Expectation?What Is a SMART Expectation?






Assist in keeping ABC magnet array functioning. Line Employee

• Relatively specific• Weak verbs

• Who is actually accountable?• Lots of room for disagreement

• No standard or time frame

Not-So-SMART ExpectationsNot-So-SMART Expectations

Take the lead in troubleshooting magnet problems. Team Leader/Supervisor






• Measurable verbs• Appropriate to level of ratee

• Room to excel• Reasonable time frame

• States what must be done, not how

Make it a SMART ExpectationMake it a SMART Expectation

Assist in keeping ABC magnet array functioning. Line Employee

Take the lead in troubleshooting magnet problems. Team Leader/SupervisorEnsure causes of system failures in the ABC magnet array are identified and eliminated within 24 hours of notification by Accelerator Operations. Team Leader/Supervisor

Identify and eliminate causes of system failures in the ABC magnet array within 24 hours of notification by supervisor or Crew Chief. Line Employee







Lead the widget alignment team effectively. Oversee related work in Hall X and manage tools and equipment. Team Leader/Supervisor

• Some specificity• Weak verbs• Lots of room for disagreement• No standard or time frame• States the obvious






Continue to document your repair work using the “xyz” format. Be sure to include tools used, time signed out, time signed in, condition when signed out, condition when signed in, serial number of item, manufacturer, and series. Keep supervisor informed of all work within 2 hours of completion. Line Employee


• Measurable• Little room for disagreement

• Clear standard and time frame• Significant?• Too much “how” detail






Make it a SMART ExpectationMake it a SMART Expectation

• Measurable verbs• Appropriate to level of ratee

• Room to excel• Reasonable time frame

• States what must be done, not how

Lead the widget alignment team effectively. Oversee related work in Hall X and manage tools and equipment. Team Leader/SupervisorContinue to document your repair work using the “xyz” format. Be sure to include tools used, time signed out, time signed in, condition when signed out, condition when signed in, serial number of item, manufacturer, and series. Keep supervisor informed of all work within 2 hours of completion. Line Employee

Provide solutions to alignment problems in Hall X and see they are implemented such that experiments are not compromised or delayed. Team Leader/Supervisor

Solve Hall X alignment problems assigned to you as quickly as resources allow and document them for future reference. Line Employee






You are expected to complete complex design assignments while handling multiple tasks and projects. You will work under general project supervision and report directly to work managers or engineers. Significant latitude in prioritizing and choosing design methods and formats will be given to you. With this, you are expected to independently identify and solve moderately complex design problems. You are held responsible for the overall quality and schedule of your designs as you coordinate your efforts with other designers and engineers both inside and outside of the group. Furthermore, you are tasked to clearly report your progress, risks, difficulties, and alternative methods to the group’s mangers and Project Engineers.

• Contradiction?•“Significant latitude,: independently identify” •“clearly report…to…managers, etc.

• How many is “multiple?”• Stating the obvious?

Fixing a Poor ExpectationFixing a Poor Expectation

Complete complex design assignments to the satisfaction of work managers and engineers while successfully handling multiple other tasks and projects






Serve as an electrical team lead. Duties include working with the electrical group supervisor to plan and prioritize work, directing and monitoring other technicians to complete approved work, training other technicians on technical and safety aspects of approved work, and keeping the electrical group supervisor informed.

• Sounds like a job description• Other than keeping the supervisor informed, how is this expectation measured?• What is the electrical team supposed to produce?

• That is what this person should be expected to deliver

Fixing a Poor ExpectationFixing a Poor Expectation

Plan and prioritize your team’s work to the satisfaction of the electrical group supervisor. Ensure approved work is completed, technicians have training and resources to work safely and effectively, and supervisor is aware of progress and/or problems.

PitfallsPitfalls

• Too much detail, confusing structure, unclear objective

• Unrelated tasks in same expectation• Restating the job description• Too little “outcome” and too much “process”• Assigning things that belong to someone else• Trying to include everything the person does• Repeating a core expectation • Wimpy or misleading words


Performance Ratings

Definitions Examples

Technical Expectations Core Expectations Rating Tips

Performance Ratings

5 = Exceeded All Job Expectations - Performance exceeded the goals and standards established for the position. Demonstrated performance is so exceptional that any knowledgeable observer would recognize the overall high quality of the results achieved by the employee

4 = Exceeded Most Job Expectations - Performance exceeded most goals and standards and successfully achieved all other job requirements that contribute to the success of the Lab

3 = Achieved Job Expectations - Performance consistently met and may have exceeded some of the goals established for the position. This rating reflects solid and reliable performance; characteristics of a fully qualified, experienced employee who is contributing to the success of the Lab

2 = Marginally Met Job Expectations - Performance met some job goals, but many requirements of the position were not successfully achieved. Further effort, training, and/or counseling are needed before a higher level can be achieved

1 = Did Not Meet Job Expectations - Performance failed to meet the goals and standards for the position. Employee requires frequent guidance in completing routine tasks. Immediate and specific development is necessary to bring the employee to a satisfactory performance level.

5 = Exceeded All (aspects of the) Expectation - Performance exceeded the goals and standards established for the expectation in every way

4 = Exceeded Most (aspects of the) Expectation - Performance exceeded the goals and standards in some, but not all aspects/measures

3 = Achieved Expectation – Performance met expectation as stated; reflecting solid and reliable performance

2 = Marginally Met Expectation - Performance met aspects of the expectation, but the expected outcome was not completely achieved

1 = Did Not Meet Expectation - Performance failed to meet the expectation as stated, even though the ability to meet it was under the employee’s control

How do you Rate a SMART Expectation?


Work with System Owners and Accelerator Operations to maintain a safe and reliable operation of all I&C system equipment in support of Accelerator operating schedule for both physics and machine development.

Both System Owners and Accelerator Ops personnel complained about your tardiness in dealing with issues with I&C systems.

Rating Comment

3

Accelerator Ops personnel cited your efforts as key to keeping I&C system equipment working.4

5

2

Both System Owners and Accelerator Ops personnel cited your efforts as critical in keeping I&C system equipment working flawlessly.

Your diligence in this area has kept things running smoothly for the most part.

Provide layouts and detail design and drawings for the Boeing FEL as directed by the project engineer.

Rating Comment



Project Engineer reported that your layouts, designs, and drawings often had to be sent back to be redone.

3

Project Engineer reported that your layouts, designs, and drawings often exceeded his expectations for detail, accuracy, or timeliness.4

5

2

Project Engineer reported that your layouts, designs, and drawings always exceeded his expectations for detail, accuracy, and timeliness.

Your work in this area was solid and useful.

Provide technical support for JLAB projects. This will include in-house modifications and/or upgrades and out-of-house design and fabrication projects. This can include tasks in electrical, instrumentation, controls, and programming areas. Your work should be performed in a safe manner and be of high quality. Where applicable, you will provide as-built drawing updates to the design team at the end of production.

Rating Comment

Your technical support for a wide variety of design and fab projects has been great. It was not only uniformly excellent work, but your as-built drawing updates were often ahead of schedule.



3

4

5

2

Your technical support for a wide variety of design and fab projects has been outstanding. The quality was superior and your as-built drawing updates were always ahead of schedule.

Your technical support for design and fabrication projects is greatly appreciated.

Your technical support in this area was sometimes late; causing delays for others.

Build prototype magnets per customer instructions: this includes, but is not limited to, designing and building fixtures for winding, winding the coils per specifications, assembling the coils, and mechanically and electrically inspecting the coils.

Rating Comment

Your magnet work resulted in several positive comments from your customers about how closely you met their specifications, even when the specs themselves were less than perfect.



3

4

5

2

Your magnets have been so superior that our customers are asking for only you to work on them. You obviously set the standard in this area and everyone knows it.

You have shown both the technical expertise and work ethic expected of a senior machinist.

You built two magnets without doing a final inspection. Both yielded electrical problems when they were inspected. This is not what we expect of a senior machinist.

Rating Core Expectations

Safety: Understands and applies JLab's rules and policies for safety, health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others.

Teamwork/Respect: Values the individuality and diversity of people, both internal and external to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by adhering to team commitments, effectively communicating with team members, proactively assisting others, displaying cooperation, and recognizing the successes of others.

Communication: Provides information people need to know to do their jobs. Two way process that provides individuals information so that others can make accurate decisions; is timely with information; has patience to hear others, asks questions to gain understanding and responds appropriately.

Accountability: Takes responsibility for tasks delegated to him/her. Retains responsibility for tasks and follows through to completion. Willing to stand up and be counted for decisions he/she has made or in which he/she has participated.

Service Focus: Dedicated to meeting the expectations and requirements of internal staff and external stakeholders; gets first-hand information and uses it for improvements in services or products; establishes and maintains effective relationships and gains their trust and respect.

20202020

Rating Core ExpectationsSafety

Understands and applies JLab's rules and policies for safety,

health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others.

• Did he/she do this all or most of the time? Rating is 3• Did he/she do sometimes, but not normally? Rating is 2• Did he/she do this all the time and make a significant contribution to…

…an individual or group beyond his/her own? Rating is 4 …the entire division or the Lab? Rating is 5

20202020

Rating Core ExpectationsTeamwork/Respect

Values the individuality and diversity of people, both internal and external

to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by

adhering to team commitments, effectively communicating with

team members, proactively assisting others, displaying

cooperation, and recognizing the successes of others.

• Did he/she do this all or most of the time? Rating is 3• Did he/she do sometimes, but not normally? Rating is 2• Did he/she do this all the time and make a significant contribution that promoted…

…teamwork? Rating is 4 …broad cooperation or diversity? Rating is 5

20202020

Provides information people need to know to do their jobs. Two way process that provides individuals information so that others can

make accurate decisions; is timely with information; has patience to

hear others, asks questions to gain understanding and responds appropriately.

• Did he/she do this all or most of the time? Rating is 3• Did he/she do sometimes, but not normally? Rating is 2• Did he/she do this all the time and make a significant contribution that promoted…

…information transfer? Rating is 4 …broad cooperation or understanding? Rating is 5

Rating Core ExpectationsCommunication

20202020

Rating Core ExpectationsAccountability

Takes responsibility for tasks delegated to him/her. Retains

responsibility for tasks and follows through to completion. Willing to

stand up and be counted for decisions he/she has made or in which he/she has participated.

• Did he/she do this all or most of the time? Rating is 3• Did he/she do sometimes, but not normally? Rating is 2• Did he/she do this all the time and make a significant contribution that resulted in…

…saving some time, work, or money? Rating is 4 … saving a great deal of time, work, or money? Rating is 5

20202020

Rating Core ExpectationsService Focus

Dedicated to meeting the expectations and requirements of internal staff and external stakeholders; gets first-hand information and

uses it for improvements in services or products; establishes and maintains effective relationships and gains their trust and respect.

• Did he/she do this all or most of the time? Rating is 3• Did he/she do sometimes, but not normally? Rating is 2• Did he/she do this all the time and make a significant contribution that resulted in…

…saving some time, work, or money? Rating is 4 … saving a great deal of time, work, or money? Rating is 5

20202020

Safety: Understands and applies JLab's rules and policies for safety, health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others.

On at least one occasion, you cut corners to get a job done on time. Though no one was hurt, it was a clear violation of the safety work plan for the job.

Rating Comment

You are a safe and environmentally aware worker and the fact is well known around the group.

How do you Rate a CORE Expectation?


3

4

5

2

You are always on top of every situation, giving useful advice and guidance. You have shown you are not afraid to hold up work until a safety issue is resolved.

Because of your prompt recognition of a ladder safety problem and the STOP work order you issued, a potential fall and paint spill was avoided.

Teamwork/Respect: Values the individuality and diversity of people, both internal and external to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by adhering to team commitments, effectively communicating with team members, proactively assisting others, displaying cooperation, and recognizing the successes of others.



Rating Comment

While you independent work continues to be excellent, your brash and insensitive comments about your team members’ work diminish your effectiveness.

You are a team member all the way and a pleasure to work with.3

4

5

2

I knew I could count on you to help acclimate our first female team member, and I was right. She seems to have responded well to your mentoring.

Your mentoring of our new team member has resulted in her complete integration into the team. She reports that having you to help her was the deciding factor in her decision to stay at the Lab.

Rating TipsRating Tips

• Understand the employee’s rationale for his/her ratings• Don’t leave the first meeting still in the dark

• Rate each expectation objectively before you consider the overall rating

• Start by assuming a 3 is appropriate• i.e. he/she met the expectation as stated

• Think of specific examples of where he/she exceeded the expected performance or fell short of it

• Use these to adjust rating up or down


Communicating

When to meet What to say

Communicating

Two meetings are essential1. Look at self assessment and discuss 2012 expectations2. Deliver appraisal and firm up 2012 expectations

First meeting Ask him/her to help you understand the self-assessment ratings

Do his comments support them? If you think his rating is too high, ask for examples or clarification If you think his rating is too low, tell him why you think so

Go over your proposed 2012 expectations to ensure he/she knows what you expect and what will generate certain ratings

Communicating


Draft appraisal Make comments with emphasis on supporting ratings other than

3 Focus on most heavily weighted

Even if ratings are all 3, say something encouraging Use Professional Development box

Communicating


Second meeting Start with positive comments Discuss each expectation rating individually Suggest additional things you’d like to see in future

Communicating

Be honest and caring Find something positive to say if you can Call a spade a spade; sweeping mediocre performance under the rug is a

minefield Use specific examples, both good and bad

Much easier if expectation was SMART Focus on performance, not personality

You’re a great guy

Everyone likes you

You’re lazy

You’re not the sharpest knife in the drawer

I don’t like your attitude

You don’t seem to care about anyone elseYou’ve been late 8 times in the past month

I have had to correct your work too many times

The magnet engineer says he can’t do without you

Why do you keep asking for more project funds?

You beat that deadline by 2 weeks

I’m impressed with your accuracy


Process and Timeline

Process and TimelineProcess and Timeline

10/1/11 Supervisors activate appraisals for direct reports

10/11/11 If required, Home Unit Manager (HUM) notifies Work Unit Manager (WUM) or Service Provider to complete employee’s matrixed evaluation

10/12/11 Employees complete and forward self-assessments to supervisors WUM or Service Provider completes matrix evaluation and sends to HUM

10/24/11 Supervisors conduct initial meeting with direct reports to discuss self-assessment & next year’s expectations

11/2/11 Supervisors draft appraisals & finalize next year's expectations

11/11/11 Supervisors complete appraisal and submit for calibration

11/23/11 Calibration done; Calibrator sends appraisals to HR for review

12/14/11 HR reviews & releases completed appraisals to supervisors

12/16/11 Supervisors deliver appraisal at final meeting

12/16/11 Employees sign appraisals to acknowledge receipt

NLT

Performance Appraisal Training- Engineering Division Bruce Ullman October 2011.

Documents

Transcript of Performance Appraisal Training- Engineering Division Bruce Ullman October 2011.