Performance Management for Staff - CUPA-HR...Performance management is a year-round process which...

Performance

Management

for Staff

Presented By

Office of Human Resources

Professional & Organizational Development

Learning Objectives:

In this session you will:

Understand the performance management program and your role as an

employee

Recognize the benefits of setting goals and practice using the SMART

technique to set your performance and development goals

Discover criteria for capturing your performance milestones and practice

using the STAR technique to document your accomplishments

Understand the components of the employee self-assessment and

understand how performance is evaluated using ratings and behavioral

anchors

Practice conducting difficult performance discussions with your supervisor

Learn techniques to conduct effective one-on-one discussions with your

supervisor

Personal Objectives:

I would like to learn more about the following aspects of performance

management:

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Performance Management for Staff

Group Discussion: Considering the University of La Verne’s 2020

Strategic Plan, what are the benefits of a comprehensive performance

management program for employees, supervisors, students, and the

University?

1. Employee Benefits:

2. Supervisor Benefits:

3. Student Benefits:

4. University Benefits

Strategic Alignment:


Types of Reviews:

Several types of performance management documents are available to provide

employees with performance feedback throughout the year:


Self-

Assessment

Required annually for all Classified, Administrative Professional, and

Senior Managers. Completed by the employee.

Performance

Review

Required annually for all Classified, Administrative Professional, and

Senior Managers. Completed by the Supervisor.

Introductory

Review

An introductory review required during a new employee’s first 6 months of

continuous employment or an existing employee’s first 180 continuous

days after assuming a new set of job responsibilities. A review is required

at the end of the 2nd, 4th, and 6th month time period. Completed by the

Supervisor.

Mid-Cycle

Review

A mid-cycle review is an optional performance review to be utilized when

there is a performance deficiency that they employee is not meeting. A

mid-cycle review should be utilized if coaching and feedback has not

produced the desired changes in performance. A mid-cycle review is a

formal documentation of the employee’s performance and requires the

involvement of the Office of Human Resources, before it is issued to the

employee. Completed by the Supervisor.

360 Degree

Assessment

A 360-degree assessment is a method of collecting opinions about an

individual's performance from a wide range of individuals, including peers,

direct reports, their supervisor, and other key contacts inside and outside

the institution, such as customers or vendors. The goal of a 360 degree

assessment is to foster ongoing development.

Performance

Improvement

Plan

A plan implemented by a supervisor designed to provide an employee

with constructive feedback regarding performance-related concerns, and

outlining specific areas of performance requiring improvement.

Employees on a Performance Improvement Plan are not considered in

good standing. Completed by the Supervisor.

The Performance Management Cycle:

1.Set Goals & Expectations

In setting goals and expectations, supervisors and employees identify the

performance goals and results expected during the academic year. The

foundation of establishing performance expectations is a completed job

description (PDQ) that is reviewed, understood and signed by both the

supervisor and employee on an annual basis.

2.Review Milestones

To review milestones, both the supervisor and employee are expected to track

achievements relative to the established performance goals and expectations.

Together, the supervisor and employee identify the methods to track progress

throughout the year and agree upon a frequency to discuss and review

milestones. The supervisor also manages performance throughout the year

through feedback and coaching.

3.Evaluate Performance

The supervisor is accountable for evaluating performance on an annual basis

through a completed performance evaluation. Employee performance is both

rated and qualitatively reviewed. Feedback is expected to be provided in a

face-to-face meeting with the employee.


Performance Management Steps:

There are five specific steps of the University’s performance management

program:


Step #1: Annually Due by July 31st

Employee Completes Self-Assessment

Step #2:

Employee meets with Supervisor to share Self-Assessment

Step #3:

Supervisor Completes Performance Appraisal

Step #4:

Supervisor Conducts face-to-face performance review meeting with the

Employee

Step #5: Annually Due by October 31st

A current PDQ must also be reviewed and signed as standard part of the

annual performance evaluation process.

Supervisor electronically signs review; Employee electronically acknowledges

and signs review; Next lever Manager reviews and electronically signs review;

Supervisor finalizes and electronically submits review

Employees have the opportunity to provide comments, which are reviewed by

Human Resources.

Purpose of Setting Expectations:

Setting performance expectations require establishing what will be done,

why it needs to be done, and how it will be accomplished. During the

discussion, you should achieve:

What Why How

Understanding Ensure that during the

performance period you focus

your efforts on achieving the

desired results and using the

required behaviors. This

eliminates confusion and

disagreement.

• Expected outcomes

are specific

• Measures are

determined

• Time frames for

performance and

measurement are

established

Alignment You want to know that what you

do is important and contributes

to your success as well as that

of your department and the

institution.

• Expectations link to

department and

institution

objectives

• Required behaviors

support

achievement of

expectations

Agreement When you agree with the

expectations and indicate a

willingness to be held

accountable for achieving them,

you will take more initiative and

be more dedicated in delivering

the required results and taking

the required actions.

• Expectations are

within your control

• Required actions

are clear

• You can measure

progress toward

achievement


Criteria for SMART Goals:

You and your Supervisor are most likely to achieve understanding,

alignment, and agreement when you work together to develop objectives

that are SMART – that is, they meet the following criteria for well-written

objectives:

In setting goals and expectations, there are several types of goals that may

be incorporated into the performance appraisal:

• Development goals - goals established for personal or professional

growth.

• Improvement goals - goals established to correct performance that is

below minimum expectations and requires performance improvement.

• Innovative goals – inspiring goals established for creating a new

process, functions or programs.

• Stretch goals – ambitious goals established to challenge an employee

to grow particular knowledge or skills.

Specific Defines results to be accomplished within the scope of

the job

Measurable Defines quantity, cost, or quality metrics to determine

progress

Attainable Is it achievable and within your capabilities

Relevant Supports achievement of work group or organizational

goals

Time Bound Specifies due date or frequency of action


Write Your SMART Goals:

Instructions:

In the space below, write one personal work goal. When complete, evaluate

it to ensure you included all five SMART components.

Goal: S

M

A

R

T


Action Verb Results in Measurable

Terms

By When

Start with an action

verb, such as:

• Increase

• Complete

• Conduct

• Attain

• Achieve

Include a measurement,

such as:

• How much

• How many

• How much better

• How much faster

• Costing how much less

Include a due date or

time frame, such as:

• Daily

• Weekly

• By June 30, 2017

• By end of the 2016-

17 academic year

Review Milestones:

Performance management is a year-round process which means meetings

should be held with your Supervisor throughout the year to discuss and reassess

your progress toward achieving goals and performance objectives.

Listed below are some of the ways you can capture your performance

achievements:

Sources Things you can utilize

Documentation • Structured Notes

• Reviewsnap Journal entries

• Work Samples - copies of work that illustrate the

performance dimensions being measured.

• Certificates of completion, training, etc.

Feedback • Letters

• Reports

• Email

• Third-Party Comments

Observation • Trends in performance

• Critical incidents

• Outstanding successes


Criteria for Capturing Performance Milestones:

Effectively capturing performance milestones provides timely information on

both successful performance and any issues that need support from your

Supervisor. An easy way to track and capture feedback is to use the STAR

approach:


Situation/TaskWhat was the task, problem, opportunity or

challenge?

ActionWhat did you specifically say or do to handle the

situation/task?

Result

What changed, for better or worse, because of the

your actions and what was the impact or

consequences of that result?

Write your Own STARs:

Instructions:

Identify two job success factors. Think of a personal accomplishment you

can write as a STAR for each job success factor. In the space below, write

the Situation or Task, Action and Result.


Date:

Situation or Task:

Action:

Result:

Date:

Situation or Task:

Action:

Result:

Self-Assessment:


There are seven steps to follow in completing your self-assessment:

Reflection on your

Performance

• Review the self-assessment form. You may print out

a blank copy from Reviewsnap as well.

• Gather feedback you received from your last

performance evaluation, as well as other feedback

you received throughout the academic year. This

may include: Reports, emails, certificates, and a

copy of your current PDQ.

Performance Goals

and Results

• Evaluate your performance on each goal using the

University Rating Scale, and provide any comments

in the comment box.

Job Success

Factors

• Evaluate your performance on each job success

factor using the University Rating Scale, and provide

any comments in the comment box.

Focus on the

Future

• Identify future goals that you would like to focus on

in the next performance period.

Strengths/

Development

Targets

• Describe your strengths (what you do well) and

development targets you want to focus on during the

next performance period. Include training and

development activities that you believe are relevant

to achieving your job performance goals.

Overall Comments • List any topics, issues, or problem areas that you

wish to discuss with your Supervisor during you next

review.

Preparation for

meeting with your

Supervisor

To prepare for the Performance Evaluation discussion

with your Supervisor:

• Finalize your self-assessment on Reviewsnap

• Schedule time to review it with your Supervisor

• Confirm the date, time, and location of your

performance evaluation meeting

Evaluation of Performance


Performance evaluations are most productive when they are collaborative and

there have been discussions about performance throughout the year. The

performance evaluation meeting should be a two-way conversation.

Once you complete your self-assessment, you should meet with your

Supervisor to discuss it. This helps you and the Supervisor gain understanding,

alignment, and agreement.

There are five sections in the performance evaluation, which mirror the five

sections in the self-assessment:

Evaluation of Performance:

For each job success factor, Supervisors must provide a numeric rating of the

employee’s performance. The University utilizes the following 5-point rating scale:

Note: Half ratings are an option. i.e.: 3.5, 4.8

When Supervisors provide a rating of 1, 2, or 5, comments are required, using

specific examples and facts, not judgments or assumptions.

Examples:

Unclear: This was not your best work.

Specific: Carl, the project was completed three weeks later than you originally

estimated and contained at least five major errors, such as spelling

and incorrect calculations.

Unclear: You do a good job running meetings.

Specific: Miranda, everyone on the team appreciates the way you facilitate

meetings. You identify the areas in which we are confused, you

summarize to help us stay on track, and you maintain your neutrality.


SCALE RATINGS DEFINITIONS

5 Exceptional

Performance

Performance and job success factors were exceptional for the

employee’s position. Employee consistently exceeded all

expectations while producing outstanding results.

4 Exceeds

Expectations

Employee made a significant contribution demonstrating highly

effective performance. Employee has exceeded most performance

and job success factor expectations.

3 Meets

Expectations

Employee made a meaningful contribution to the success of the

University. Key performance and job success factor expectations

were fulfilled.

2 Improvement

Required

Performance and/or job success factors fell below expectations for

the positon.

1 Unsatisfactory

Performance

Employee does not meet the minimum performance job

requirements for the position.

0 N/A Unable to rate performance.

Evaluation of Performance:

To provide further guidance on evaluating performance, the University

established behavioral anchors for each job success factor. Behavioral anchors

are specific, easy-to-apply examples of behaviors that demonstrate the

competency and proficiency level.

Example of Communication Key Behaviors:


Demonstrates effective written and

oral communication skills

Communicates clearly and

knowledgeably

Shares information with others

Seeks input from others

Adapts communication to diverse

audiences

Protects private and confidential

information

UNSATISFACTORY

PERFORMANCE

IMPROVEMENT

REQUIRED

MEETS

EXPECTATIONS

EXCEEDS

EXPECTATIONS

EXCEPTIONAL

PERFORMANCE

Reports and other

documents are

poorly written—

unclear, overly

simplistic, or

grammatically

incorrect.

Written and

oral skills need

development;

often

disorganized

and/or not

appropriate for

audience.

Writes and

speaks clearly,

persuasively,

and concisely;

focuses on the

needs of specific

individuals and

groups.

Written and

verbal

communication

are consistently

clear, persuasive,

and audience-

appropriate.

Communication

is of the highest

caliber; clear,

persuasive,

accurate, and

focused on the

needs of specific

individuals and

groups.

Difficult Performance Discussions:

Occasionally, there may be instances when conversations may not go as

planned and negative emotions may escalate. A few examples include:


Emotion Things a Supervisor can do to help

Defensiveness • Listen carefully. Reassure the employee that the goal

is to help them improve, not to criticize.

• Keep the conversation future-focused. Obtain

examples to give context to your feedback, but the

emphasis should be on the future actions the

employee can take to improve.

Anger • Avoid getting into a combative frame of mind.

• Remain calm. Take a deep breath and allow a moment

of silence before you react or speak.

• Don’t lose sight of the goal of the conversation, which

is to help the employee

• Think through what you are saying—is it accurate and

useful from the employee’s point of view?

Embarrassment • Again, keep the focus on future actions.

• Offer perspective.

• Remind the employee of their strengths and

accomplishments.

Dejection • Give them a moment to regain their composure. Relax;

don’t rush through the conversation.

• When they are ready, resume the conversation.

• Continue to offer help and support.

Activity: Brainstorm other possible performance discussions that could be

challenging. List actions you would want your Supervisor to take:

One-on-One Performance Conversations:

Conduct a one-on-one meeting with your Supervisor and take the initiative to ask

for the direction and support you need to accomplish assigned tasks and goals.

Consider actions you can take in the following steps:

Guidelines for conversations:

Short – 15-30 minutes maximum

Frequent – at least monthly

Focused on what you want to discuss

Scheduled in advance

Steps Actions

Before the

Meeting

• Schedule the meeting

• Review progress on action steps from prior

discussions

• Choose topics and identify any challenges or road

blocks to discuss with your leader

• Write your notes down

During the

Meeting

• Explain your goals for the meeting

• Ask for the direction and support you need for each

goal or task

• Discuss and decide on actions to be taken by you

and write them down

• Discuss and decide on actions to be taken by your

Supervisor and write them down

After the

Meeting

• Follow up and monitor your own progress

• Reprioritize your tasks and objectives as needed

• Write down any agenda items for the next meeting


Managing Up for Successful Performance Conversations:

When You Need Conversation Starters

Direction and/or

Information

• What do you want me to work on?

• What are my goals?

• What does a good job look like?

• What do I need to know?

• How do I start?

• What are the next steps?

• How will you stay in touch with me?

• Who can help me?

• What resources are available to help?

Direction and

Support

• I need more clarity on this goal

• I need perspective. Am I making progress on…?

• I need feedback on my work

• I’m concerned/confused about…

• I’m overwhelmed by…

• Who can help me?

Support and

Encouragement

• I’m concerned about…and need you to be a

sounding board. Then I can decide what to do.

• What do you think of this idea? I’d like to discuss it

with you before I go any further.

• I’m stuck and need some encouragement to move

ahead

• I’d like your vote of confidence on my idea to…

To Share with

Your Supervisor

• I’d like to tell you about…

• Here’s a status report on…

• I need more authority on this goal or task

• This is what I’ll do on…

• Here’s a new goal or project I’d like to tackle…

• I’d like your help in acknowledging the success of

the team on…


Planning Your One-on-One Performance Conversations:

Think of a performance related conversation you want to conduct with your

Supervisor. In the spaces below, plan out your conversation in the “before the

meeting” section. With a partner, role play the conversation and debrief.

Steps Actions

Before the

Meeting

During the

Meeting

After the

Meeting


Performance Management Resources:

Several performance management resources are available within the HR

Portal:

New Staff Members:

• Quick Reference Guide – Overview

• Quick Reference Guide – Additional Features

Current Staff Members:

• Quick Reference Guide – Setting Goals

• Quick Reference Guide – Self Assessment


Supervisors:

• Quick Reference Guide – Introductory Review

• Quick Reference Guide – Setting Goals

• Quick Reference Guide – Performance Appraisal

• Quick Reference Guide – Behavioral Anchors

• Quick Reference Guide – Finalize Review


Additional Resources:

1. Quick Reference Guide – Performance Management Timeline

2. Quick Reference Guide - Performance Management Flow Chart

3. Quick Reference Guide – Performance Management Sections

4. Quick Reference guide – Performance Management Rating Definitions

5. Quick Reference Guide – Frequently Asked Questions


Suggested Readings:

Analyzing Performance Problems or You Really Oughta Wanna, second edition by Robert F.

Manger and Peter Pipe. Published by Pittman Management and Training of Belmont, CA in

1984.

The Business of Listening by Diane Bone. Published by Crisp Publications of Los Altos, CA in

1988.

“Choosing Performance Management: A Holistic Approach,” CUPA Journal, Summer 1995,

v.46, no.2, pp.13 -18 by Rogers Davis, Assistant Vice Chancellor, Human Resources, UCSD.

Coaching and Counseling by Marianne Minor. Published by Crisp Publications of Los Altos,

CA in 1989.

The Empowered Manager by Peter Block. Published by Jossey-Bass Publishers in San

Francisco in 1987.

First Break All the Rules: What the World’s Greatest Managers Do Differently by Marcus

Buckingham, Curt Coffman. Published by Simon and Schuster of New York in 1999.

Giving and Receiving Criticism by Patti Hathaway. Published by Crisp Publications of Los

Altos, CA in 1990.

Masterful Coaching by Robert Hargrove. Published by Jossey-Bass/Pfeiffer of San Francisco

in 2002.

Maximum Performance Management: How to manage and compensate people to meet world

competition 2nd ed. by Joseph H. Boyett, Ph.D. et al. Published by Glenbridge Publishing

Ltd. of Lakewood, Colorado in 1993.

Measurement of Work Performance: Methods, Theory and Application by Frank J. Landy and

James L. Farr. Published by Academic Press of New York in 1983.

Perfect Phrases for Performance Reviews: Hundreds of Ready-to-Use Phrases That

Describe Your Employees’ Performance by Douglas Max, Robert Bacal. Published by

McGraw-Hill in 2002.

A Supervisor’s Guide for Performance Management by the U.S. Department of Labor.

Published by U.S. Department of Labor of Washington, D.C. in 1989.


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NOTES


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