PERFORMANCE MANAGEMENT: LEADER GUIDE
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PERFORMANCE MANAGEMENT: LEADER GUIDE
Transcript of PERFORMANCE MANAGEMENT: LEADER GUIDE
PowerPoint Presentation• Reading time: 30 min
Learn how to: • Prepare and conduct effective performance conversations
• Provide continuous feedback
• Support employees in their development
In a snapshot:
The role of leaders in the process.
Prepare for the Common Review Process and what’s new for leaders.
PERFORMANCE MANAGEMENT: LEADER GUIDE
Why Performance Management Matters
• Align individual’s goals with business goals – determine how the job of each employee can further the overall goals of Baptist Heath.
• Keep employees engaged through feedback – this will foster loyalty and motivate employees to continue to achieve.
• Focus on individual’s strengths and opportunities – examine each employee individually to partner in evaluating all aspects of their development and growth.
• Foster retention, productivity and innovation – stay on top of the needs of your employees to ensure employee retention as well as increase productivity and promote innovation.
• Promote fairness and transparency – ensure that employees feel they are treated fairly; employees are not surprised by leadership decisions; employees identify and deal with performance issues prior to the annual evaluation.
Align individual's goals with
strengths and opportunities
Foster retention, productivity
• The performance management cycle begins with setting business and developmental goals.
• Performance is then tracked against the employee’s achievements and then progress is evaluated, usually in a formal common review meeting.
• An informal midyear check-in discussion is also recommended.
• The results of the formal performance review meeting feed into the organization’s merit system and are also used in decisions regarding future employee’s growth, development and retention.
The Performance Management Cycle
• Developing and setting performance expectations with employees • Communicating and documenting throughout the performance management cycle about employees’
performance and development • Recognizing and rewarding successful performance through the cycle • Coaching for improved performance and taking corrective action as necessary • Ensuring that employees have the tools, resources and training, and development activities needed to carry
out their duties successfully
Leader Preparation
• As the common review date approaches, set a date and time to meet in advance. The time should be convenient for both you and the employee.
• You have 2 months to complete the process for all your direct reports.
• Be sure there is enough time allotted (1 – 1.5 hours) for the discussion and that this time will be free from interruptions.
• Select a place that is private and provides a confidential environment.
• Remind the employee of completing the Online Self Evaluation Assessment.
• Gather information such as the job description, individual development plans, goals and objectives from last year, and the prior year’s evaluation.
• Consider the employee’s areas of responsibility and essential job functions.
• Review employee’s self-assessment, peer’s input and additional feedback received.
• Complete the performance evaluation online and be ready to discuss with the employee.
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Self-Evaluation, Peer Feedback, and Others’ Input
• Input from peers and others is feedback that you collect from your employee’s work contacts (coworkers, internal clients, or others); invite your employee to submit names of appropriate respondents
• This enables you to get a well-rounded perspective on the quality of an employee’s work and their interpersonal effectiveness
• Keep in mind that the peer feedback MUST be confidential; you are compiling summarized comments and looking for trends and patterns
• Coaching should be provided to the individual on how to interpret their feedback and how to use it for development planning
• Feedback should measure specific behaviors and key competencies associated with job performance and success; they should be asked in behavioral terms and be actionable
• Research shows that performance, morale, and engagement can actually decline if peer reviews are not done well or if the feedback is negative and the employee gets upset; manage the process carefully!
Self-Evaluation, Peer Feedback, and Others’ Input
• Builds strong individual accountability
• Develops or improves communication and working relationships with their supervisor
• Provides recognition and an understanding of the employee’s role in contributing to department and overall business goals
• Allows employees to participate in a meaningful way in the performance management process
• Encourages employees to take responsibility for their performance
• Clarifies expectations for employees to direct their efforts
• Helps employees better understand the bases for personnel actions
• Helps with career development and growth
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Online System Evaluation Process Review
The online performance application is used to manage the annual employee performance evaluation process. The employee evaluation process consists of five steps:
Visit the Performance Management Website Leadership Tools to access the step by step system guides and job aids.
Who is eligible?
• Non-leaders will receive an e-mail notification to begin their self-evaluation process in PeopleSoft.
• The process begins with an employee self evaluation.
• Leader then reviews the self evaluation and evaluates performance. Afterwards, employee and leader have a face-to-face meeting to discuss ratings, goals and performance overall.
• Leader and employee then sign-off and submit the performance evaluation.
In the System: The “Bulk Rate” Feature
Leaders can group employees (by job title) and rate goals, competencies and overall performance at the same time.
The performance evaluation for your direct reports may be completed using a traditional approach where you click on the task for each employee’s evaluation and rate their Job Functions and Competencies; OR, you may use the “Bulk Rate” feature allowing for the simultaneous rating of employees who occupy the same position and job functions.
You may also use both options by switching between traditional and bulk evaluation forms. The ratings are saved as you enter them in either of the two forms.
• On the next page you can explore the step by step how-to guide.
• To learn more, access the “How to Bulk Rate Video Simulation and Job Aids” in the Performance Management Page or People Soft Manager Self-Service.
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PERFORMANCE MANAGEMENT: LEADER GUIDE
Bulk Rating: Step-by-Step Process
Leaders can group employees (by job title) and rate goals, competencies and overall performance at the same time.
The performance evaluation for your direct reports may be completed using a traditional approach where you click on the task for each employee’s evaluation and rate their Job Functions and Competencies; OR, you may use the “Bulk Rate” feature allowing for the simultaneous rating of employees who occupy the same position and job functions.
You may also use both options by switching between traditional and bulk evaluation forms. The ratings are saved as you enter them in either of the two forms.
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Gathering Feedback
Rating Scale
Performance will be rated 50% based on Essential Job Functions and 50% based on Core Competencies as shown on the following rating scale.
10 Essential Job Functions- 50% Rating Scale: 5 – Substantially Exceeds Expectations 4 – Exceeds Expectations 3 – Meets Expectations 2 – Minimally Meets Expectations 1 – Does Not Meet Expectations
10 Core Competencies- 50% Rating Scale: 5 – Towering Strength 4 – Talented 3 – Skilled 2 – Needs Improvement 1 – Career Staller/ Unskilled
Rate each essential job function from 1 to 5 and
each core competency from 1 to 5.
The system will average the functions and the
competencies and provide the overall score.
To consistently evaluate competencies use the electronic file:
Employee Core Competency Evaluation Guide
Consider the following:
• The guide defines key behaviors required of all employees in order to be successful.
• Assessing how well individuals demonstrate these behaviors is key in providing valuable feedback and communicating expectations during the evaluation process.
• Consider offering balanced and timely feedback during the performance conversations. Avoid generalizations and non-factual input.
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How to use the Rating Scale:
• Review the description and rating guidelines on each of the areas presented in the review system.
• The rating scale requires to rate the different areas using whole numbers such as: 1, 2, 3, 4 and 5.
• There is an area for comments where you can further explain the reasoning on your rating.
• Once you have evaluated each behavior and descriptor, rate each area based on the rating guidelines below:
How to use the Rating Scale:
If you have an employee who has been in a role less than 6 months, the recommendation is that all new employees should be proficient in all job functions at hire. For example, all Clinical Partners need to know how to measure intake and output. Even if I have not seen Jane Doe do it, unless there is evidence that she can’t, the expectation is that she is doing it to standard. “That is a 3 – Skilled”
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Actions Reflect On
Gather Information
• Gain understanding of each competency by reviewing its definition and list of behaviors (unskilled, skilled, above & beyond behaviors). Review the competency rating tool.
In addition, when assessing each competency: • Gather objective information (productivity reports, numbers, etc.). • Gather qualitative information (thank you emails, kudos, performance logs, patient
feedback, peer input, disciplinary actions, and samples of work product).
Ask Your Self • What are the competencies/behaviors the individual has demonstrated consistently over the year?
• To what extent has the individual achieved his/her developmental and/or performance goals?
• Has the individual struggled with any particular competency or essential job function?
• What is inhibiting the progress toward achieving those goals: lack of training, resources, poor direction, or anything else?
Draw Conclusions
• Assess performance. Did the individual meet the requirements and goals that were set for the year? Why or why not?
Use the 1 to 5 rating scale to assess the job functions and competencies based on your evidence.
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Best Practices for an Effective Feedback Conversation:
• Prepare, Prepare, Prepare! • Choose the proper setting and set the right
tone for the discussion • Welcome the employee • Review the online system/draft together and
finalize • Listen and take notes • Maintain good eye contact and attentive
posture • Reflect back your understanding of what s/he
has said • Don’t interrupt, but ask questions only for
clarification • Don’t be too quick to pass judgment • Focus on the expectations that have been set
at the beginning of the review period
• Focus on specific behaviors and results, not personality
• Ask for the employee’s opinions and ideas on how to approach work or resolve problems
• Focus on the future, not on the past • Emphasize strengths, as well as areas that
need improvement • Be candid and be prepared to discuss
questionable items • Support the employee’s effort to improve • Set goals, expectations and standards for the
next evaluation • Agree to meet regularly with the employee
during the evaluation period • Discuss development plans with the
employee • Summarize the session
Common causes of poor performance
Feedback techniques for the conversation
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Identify Performance Gaps and Opportunities
• If the employee’s performance is not meeting expectations and you have identified areas in his/her review that are rated a 1 – Career Staller or a 2 - Needs Improvement , use the appropriate definitions provided in the competency rating tool to provide this feedback.
• Seek the root cause and ask: Why do you think this particular competency has fallen short?
• Listen carefully to the response; give your employee the first opportunity to identify the cause. Compare your notes from his/her self-review to start having a dialogue.
• If you do not get adequate information from the employee in the reply, probe with other questions such as: • Could the problem be that you need more information or training? • Are you not getting sufficient support from me or from other team members? • What obstacles do you think you faced?
• Invite the employee to take a look into the skilled and unskilled behaviors that relate to the rating of the competency or job function.
• Continue probing until you get to the source of the problem.
• Identifying the root cause of performance gaps will create an environment of objectivity in which you and your employee can contribute in positive ways. The employee will feel less on the defensive and be open to working together with you to address ‘the cause,’ which may be outside the employee’s control.
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As you review performance gaps, keep in mind that poor performance may have some other causes. If you can identify them, you may be able to assist with some of the issues.
• Not understanding the processes. This is the place to start. What are the employee’s understanding of the processes and expectations? Provide feedback and coaching when failures to the processes or protocols happen. Remember, this should not be a surprise to the employee during the evaluation meeting.
• Personal problems. Something of a non-work nature may be the root cause of poor performance. You can refer the employee to the available resources such as the Employee Assistance Program (LifeWorks, and or Pastoral Care).
• Relationship conflicts at work. The workplace is a common place for conflict. Jealousy, competition for attention or for promotion, or simply a visceral dislike may produce conflict that impairs performance. If you can get to the bottom of the conflict, you may be able to neutralize it.
• Work overload. Even the most committed employee will burn out if the demand increases at a very fast pace. Review how you are allocating the workload. Has the bar been set unreasonably high?
PERFORMANCE MANAGEMENT: LEADER GUIDE
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The following suggestions can help you offer more useful feedback:
• Encourage the employee to articulate points of disagreement. Again, this will create an opportunity to get his or her view on the situation.
• Avoid generalizations such as “You just do not seem involved with your work.” Provide specific comments that relate to the job. For example, “I have noticed that you haven’t offered any suggestions at our service improvement meetings. Why is that?”
• Be selective. You do not need to recite every shortcoming or failing. Stick to the issues that really matter.
• Give authentic praise as well as meaningful criticism.
• Focus constructive feedback toward problem solving and action.
Move from observation to discussion:
Step 1:
Talk with the employee with an open mind. Use observed actions and behaviors – leave suppositions about the person’s motivations out of the conversation. For example, Luis’s leader could begin by saying something like this:
”Luis, your last three clinical education needs reports have missed some important information. They did not say all we needed to know about the status of our most important initiative for the stroke prevention program.
That’s information we must have.”
Then, cite the impact of the person’s performance problem or problematic behavior on individual or group goals and on coworkers:
“When the nurse manager requests the status on the information for our stroke prevention plan, I cannot say ‘I’m not sure yet’. I need key information on the items we will be covering for the staff training and
preparation for clinical education key standards on this topic. I depend on you as the clinical educator – and person in charge – to lead everyone else in our department to commit to this plan.”
PERFORMANCE MANAGEMENT: LEADER GUIDE
Step 2:
When describing performance gaps and their impact, be truthful and frank. People benefit from honesty, even though they do not like receiving negative news. Be open, but professional, by leaving motives out of your discussion. Otherwise, the person is likely to feel that he or she is under a personal attack.
When people feel they are being personally attacked, they become defensive and unreceptive to what you have to say. Here’s an example of an assumed motive:
“Luis, your failure to provide critical information in your reports tells me that you are either hiding bad news or that you do not like this type of work.”
Consider the following possible reasons for poor performance:
• Did I give the employee adequate training? • Does the employee have the skills/competencies necessary for the job? • Does the employee understand what I expect? • Have I provided the employee with adequate tools and
resources? • Are there any rules or systems in place that make it
difficult for the employee to perform well? • Has anything changed in the employee’s work situation? • Has anything happened in the employee’s personal life
that could be affecting his or her work?
Other Considerations for the Performance Conversation
• Be an active listener. To learn as much as possible from your discussion, practice active listening. Active listening encourages communication and puts other people at ease. An active listener pays close attention to the speaker and practices these good listening skills:
• Maintain eye contact • Smile at appropriate moments • Be sensitive to body language • Listen first and evaluate later • Never interrupt except to ask for clarification • Indicate that you are listening by repeating what was said about critical points
such as, “So if I hear you right, you are having trouble with…”
Active listening is one of the best tools for getting people to talk – and you want them to do most of the talking if your goal is to understand what is going right or wrong. You will learn practically nothing when you are talking.
PERFORMANCE MANAGEMENT: LEADER GUIDE
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• Ask the Right Questions. Asking the right questions will help you understand the other person and get to the bottom of performance problems, or identify areas of opportunity. Questions can be asked in two forms: open- ended and closed. Each yields a different response. Open-ended questions invite participation and idea sharing. Use them to get the other person involved and for these purposes:
• To explore alternatives: “What would happen if….?” • o To uncover attitudes or needs: “How do you feel about our progress to date?” • o To establish priorities and allow elaboration: “What do you think the major issues are • with this project?”
Closed questions, in contrast, lead to yes or no answers. Ask closed questions for these purposes:
• To focus the response: “Is the project plan for the unit on schedule?”
• To confirm what the other person has said: “So, is scheduling your time your biggest obstacle?”
Consider using open-ended questions when you want to find out more about the other person’s motivation and feelings. This line of questioning can help you uncover the other person’s views and deeper thoughts on their course of action and performance items. This, in turn, will help you formulate better advice.
A Recap – The process shared will eventually help you identify the cause of any performance gaps and problems. The cause may be a skill deficiency, poor time management or personal work habits and accountability, lack of motivation, conflict with other employees, or poor direction on your part. Whatever the cause, having identified it with the employee, you are now in a position to do something about the performance gap. In many instances, doing something involves coaching and having a development plan.
PERFORMANCE MANAGEMENT: LEADER GUIDE
Delivering Performance Management Feedback:
After you have drawn conclusions about an employee’s performance, ask yourself the following questions. If you can answer yes to any of them, then you’ve fallen prey to a common evaluation error—and you must rethink your conclusions.
Question YES/NO
• Have I rated the employee more highly than he or she deserves?
• Did I unfairly blame the employee for bad events or unfairly take credit (or give credit to someone else) for good events?
• Did I allow my first impressions to color what the employee did during this evaluation period?
• Did I allow one aspect of the employee’s performance to dominate?
• Did I judge the employee more favorably because of our similarities?
• Did I judge the employee less favorably because of our differences?
• Did I gravitate to the middle to make this evaluation easier on myself?
• Did I ignore anything exceptionally good or bad about the employee’s performance?
• Did I unfairly paint the employee as being either all good or all bad?
• Did I place too much weight on recent events?
• Have I made assumptions about or stereotyped the employee?
• Have I accurately described the employee’s performance without fear of making the employee mad or of hurting the employee’s feelings?
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Tool: Creating Developmental Goals
Goals should be set with employees, not for employees.
The purpose of setting goals is to give employees targets to focus on. If the employee hasn’t participated in establishing these goals, she or he is less likely to actively work on achieving them and finding them motivating. Involving employees in the goal-setting process is critical.
Employee Goals are projects or assignments related to the individual’s specific job that help meet unit/department goals and have specific measurements and deadlines. What, exactly, is this person supposed to accomplish in the next six months? The next year?
Writing Next Year’s Developmental Goals or Job Related Goals:
• Look at current and new unit goals
• Look at employee’s functions and how they fit
• Look at employee workload
Examples of some goals:
• Produce documentation of our business processes by the end of the year
• Develop a team action plan to increase employee engagement by (date)
• Process all pending patient rounding logs within 30 days of receipt
•Increase team participation in clinical education training events by 50%
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Tool: Individual Development Plan (IDP)
An IDP is a documented list of goals identified by both the employee and leader to improve performance or for professional development. Related activities, resources, and timelines are associated with each goal.
Writing Development Goals:
The leader and employee create the IDP together using the information provided in the Individual Development Plan website and following the 5-step process for development.
Goals can focus on: • Performance improvement • Performance enhancement • Professional skill development related to needs of unit/department/school • Career mobility
There should be at least one, but no more than two development goals at any one time.
Examples of development goals:
• Attend training on stroke certification to develop skills as a first responder in the neuro team; search in BHU and/or other sources for available classes; completion date (ADD)
• Participate in the project management committee to learn project management skills through the end of Fiscal Year (ADD)
• Sign up as a mentor in this year’s Versant Preceptor or Mentor Program to gain a deeper perspective of the organization’s priorities and career opportunities.
It is possible that an employee may not agree with a goal that you as the leader knows must be met. If this happens, make sure the employee understands that performance will be evaluated next time to the degree in which the goal is met.
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Goals can help you and your employee in different ways.
Routine goals Describing regular, ongoing activities
Examples:
from Finance Office (ongoing). • Round on patients daily.
Problem solving goals
Describing activities designed to remedy performance areas that need improvement
Examples: • Check supply inventory bi-weekly and re-order as needed to avoid
shortages starting (month/date). • Follow the protocol for environmental services when taking care of
a nursing unit.
Examples:
• Design and implement use of spreadsheet by (date) to track clinical
outcomes. • Dinning services: Research, test, and evaluate 3 new vegetarian
entrees by (date).
Describing activities the employee wants to pursue for personal development
Examples: • Register for a summer introductory course to become more familiar
with use of a new IT system. • Volunteer to be a Big Brother within the next 2 months.
Job enrichment goals
Expanding the current job with different activities
Examples: • Within 3 months, train with supervisor to assume responsibility for compiling information for quarterly patient activity report.
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Goals can help you and your employee in different ways.
Routine goals
Examples:
· Reconcile budget & expense statements within a week of receipts from Finance Office (ongoing).
· Round on patients daily.
Describing activities designed to remedy performance areas that need improvement
Examples:
· Check supply inventory bi-weekly and re-order as needed to avoid shortages starting (month/date).
· Follow the protocol for environmental services when taking care of a nursing unit.
Innovative goals
Examples:
· Design and implement use of spreadsheet by (date) to track clinical outcomes.
· Dinning services: Research, test, and evaluate 3 new vegetarian entrees by (date).
Professional and personal growth goals
Describing activities the employee wants to pursue for personal development
Examples:
· Register for a summer introductory course to become more familiar with use of a new IT system.
· Volunteer to be a Big Brother within the next 2 months.
Job enrichment goals
Examples:
• Within 3 months, train with supervisor to assume responsibility for compiling information for quarterly patient activity report.
PERFORMANCE MANAGEMENT: LEADER GUIDE
The Performance Appraisal Handbook: Legal & Practical Rules for Managers Paperback – March 28, 2007 – By: Amy DelP
Harvard Business Essentials: Performance Management: Measure and Improve the Effectiveness of Your Employees, 2006 – By: Harvard Business School Press
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Learn how to: • Prepare and conduct effective performance conversations
• Provide continuous feedback
• Support employees in their development
In a snapshot:
The role of leaders in the process.
Prepare for the Common Review Process and what’s new for leaders.
PERFORMANCE MANAGEMENT: LEADER GUIDE
Why Performance Management Matters
• Align individual’s goals with business goals – determine how the job of each employee can further the overall goals of Baptist Heath.
• Keep employees engaged through feedback – this will foster loyalty and motivate employees to continue to achieve.
• Focus on individual’s strengths and opportunities – examine each employee individually to partner in evaluating all aspects of their development and growth.
• Foster retention, productivity and innovation – stay on top of the needs of your employees to ensure employee retention as well as increase productivity and promote innovation.
• Promote fairness and transparency – ensure that employees feel they are treated fairly; employees are not surprised by leadership decisions; employees identify and deal with performance issues prior to the annual evaluation.
Align individual's goals with
strengths and opportunities
Foster retention, productivity
• The performance management cycle begins with setting business and developmental goals.
• Performance is then tracked against the employee’s achievements and then progress is evaluated, usually in a formal common review meeting.
• An informal midyear check-in discussion is also recommended.
• The results of the formal performance review meeting feed into the organization’s merit system and are also used in decisions regarding future employee’s growth, development and retention.
The Performance Management Cycle
• Developing and setting performance expectations with employees • Communicating and documenting throughout the performance management cycle about employees’
performance and development • Recognizing and rewarding successful performance through the cycle • Coaching for improved performance and taking corrective action as necessary • Ensuring that employees have the tools, resources and training, and development activities needed to carry
out their duties successfully
Leader Preparation
• As the common review date approaches, set a date and time to meet in advance. The time should be convenient for both you and the employee.
• You have 2 months to complete the process for all your direct reports.
• Be sure there is enough time allotted (1 – 1.5 hours) for the discussion and that this time will be free from interruptions.
• Select a place that is private and provides a confidential environment.
• Remind the employee of completing the Online Self Evaluation Assessment.
• Gather information such as the job description, individual development plans, goals and objectives from last year, and the prior year’s evaluation.
• Consider the employee’s areas of responsibility and essential job functions.
• Review employee’s self-assessment, peer’s input and additional feedback received.
• Complete the performance evaluation online and be ready to discuss with the employee.
5
Self-Evaluation, Peer Feedback, and Others’ Input
• Input from peers and others is feedback that you collect from your employee’s work contacts (coworkers, internal clients, or others); invite your employee to submit names of appropriate respondents
• This enables you to get a well-rounded perspective on the quality of an employee’s work and their interpersonal effectiveness
• Keep in mind that the peer feedback MUST be confidential; you are compiling summarized comments and looking for trends and patterns
• Coaching should be provided to the individual on how to interpret their feedback and how to use it for development planning
• Feedback should measure specific behaviors and key competencies associated with job performance and success; they should be asked in behavioral terms and be actionable
• Research shows that performance, morale, and engagement can actually decline if peer reviews are not done well or if the feedback is negative and the employee gets upset; manage the process carefully!
Self-Evaluation, Peer Feedback, and Others’ Input
• Builds strong individual accountability
• Develops or improves communication and working relationships with their supervisor
• Provides recognition and an understanding of the employee’s role in contributing to department and overall business goals
• Allows employees to participate in a meaningful way in the performance management process
• Encourages employees to take responsibility for their performance
• Clarifies expectations for employees to direct their efforts
• Helps employees better understand the bases for personnel actions
• Helps with career development and growth
6
Online System Evaluation Process Review
The online performance application is used to manage the annual employee performance evaluation process. The employee evaluation process consists of five steps:
Visit the Performance Management Website Leadership Tools to access the step by step system guides and job aids.
Who is eligible?
• Non-leaders will receive an e-mail notification to begin their self-evaluation process in PeopleSoft.
• The process begins with an employee self evaluation.
• Leader then reviews the self evaluation and evaluates performance. Afterwards, employee and leader have a face-to-face meeting to discuss ratings, goals and performance overall.
• Leader and employee then sign-off and submit the performance evaluation.
In the System: The “Bulk Rate” Feature
Leaders can group employees (by job title) and rate goals, competencies and overall performance at the same time.
The performance evaluation for your direct reports may be completed using a traditional approach where you click on the task for each employee’s evaluation and rate their Job Functions and Competencies; OR, you may use the “Bulk Rate” feature allowing for the simultaneous rating of employees who occupy the same position and job functions.
You may also use both options by switching between traditional and bulk evaluation forms. The ratings are saved as you enter them in either of the two forms.
• On the next page you can explore the step by step how-to guide.
• To learn more, access the “How to Bulk Rate Video Simulation and Job Aids” in the Performance Management Page or People Soft Manager Self-Service.
8
PERFORMANCE MANAGEMENT: LEADER GUIDE
Bulk Rating: Step-by-Step Process
Leaders can group employees (by job title) and rate goals, competencies and overall performance at the same time.
The performance evaluation for your direct reports may be completed using a traditional approach where you click on the task for each employee’s evaluation and rate their Job Functions and Competencies; OR, you may use the “Bulk Rate” feature allowing for the simultaneous rating of employees who occupy the same position and job functions.
You may also use both options by switching between traditional and bulk evaluation forms. The ratings are saved as you enter them in either of the two forms.
9
Gathering Feedback
Rating Scale
Performance will be rated 50% based on Essential Job Functions and 50% based on Core Competencies as shown on the following rating scale.
10 Essential Job Functions- 50% Rating Scale: 5 – Substantially Exceeds Expectations 4 – Exceeds Expectations 3 – Meets Expectations 2 – Minimally Meets Expectations 1 – Does Not Meet Expectations
10 Core Competencies- 50% Rating Scale: 5 – Towering Strength 4 – Talented 3 – Skilled 2 – Needs Improvement 1 – Career Staller/ Unskilled
Rate each essential job function from 1 to 5 and
each core competency from 1 to 5.
The system will average the functions and the
competencies and provide the overall score.
To consistently evaluate competencies use the electronic file:
Employee Core Competency Evaluation Guide
Consider the following:
• The guide defines key behaviors required of all employees in order to be successful.
• Assessing how well individuals demonstrate these behaviors is key in providing valuable feedback and communicating expectations during the evaluation process.
• Consider offering balanced and timely feedback during the performance conversations. Avoid generalizations and non-factual input.
14
How to use the Rating Scale:
• Review the description and rating guidelines on each of the areas presented in the review system.
• The rating scale requires to rate the different areas using whole numbers such as: 1, 2, 3, 4 and 5.
• There is an area for comments where you can further explain the reasoning on your rating.
• Once you have evaluated each behavior and descriptor, rate each area based on the rating guidelines below:
How to use the Rating Scale:
If you have an employee who has been in a role less than 6 months, the recommendation is that all new employees should be proficient in all job functions at hire. For example, all Clinical Partners need to know how to measure intake and output. Even if I have not seen Jane Doe do it, unless there is evidence that she can’t, the expectation is that she is doing it to standard. “That is a 3 – Skilled”
15
Actions Reflect On
Gather Information
• Gain understanding of each competency by reviewing its definition and list of behaviors (unskilled, skilled, above & beyond behaviors). Review the competency rating tool.
In addition, when assessing each competency: • Gather objective information (productivity reports, numbers, etc.). • Gather qualitative information (thank you emails, kudos, performance logs, patient
feedback, peer input, disciplinary actions, and samples of work product).
Ask Your Self • What are the competencies/behaviors the individual has demonstrated consistently over the year?
• To what extent has the individual achieved his/her developmental and/or performance goals?
• Has the individual struggled with any particular competency or essential job function?
• What is inhibiting the progress toward achieving those goals: lack of training, resources, poor direction, or anything else?
Draw Conclusions
• Assess performance. Did the individual meet the requirements and goals that were set for the year? Why or why not?
Use the 1 to 5 rating scale to assess the job functions and competencies based on your evidence.
16
Best Practices for an Effective Feedback Conversation:
• Prepare, Prepare, Prepare! • Choose the proper setting and set the right
tone for the discussion • Welcome the employee • Review the online system/draft together and
finalize • Listen and take notes • Maintain good eye contact and attentive
posture • Reflect back your understanding of what s/he
has said • Don’t interrupt, but ask questions only for
clarification • Don’t be too quick to pass judgment • Focus on the expectations that have been set
at the beginning of the review period
• Focus on specific behaviors and results, not personality
• Ask for the employee’s opinions and ideas on how to approach work or resolve problems
• Focus on the future, not on the past • Emphasize strengths, as well as areas that
need improvement • Be candid and be prepared to discuss
questionable items • Support the employee’s effort to improve • Set goals, expectations and standards for the
next evaluation • Agree to meet regularly with the employee
during the evaluation period • Discuss development plans with the
employee • Summarize the session
Common causes of poor performance
Feedback techniques for the conversation
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Identify Performance Gaps and Opportunities
• If the employee’s performance is not meeting expectations and you have identified areas in his/her review that are rated a 1 – Career Staller or a 2 - Needs Improvement , use the appropriate definitions provided in the competency rating tool to provide this feedback.
• Seek the root cause and ask: Why do you think this particular competency has fallen short?
• Listen carefully to the response; give your employee the first opportunity to identify the cause. Compare your notes from his/her self-review to start having a dialogue.
• If you do not get adequate information from the employee in the reply, probe with other questions such as: • Could the problem be that you need more information or training? • Are you not getting sufficient support from me or from other team members? • What obstacles do you think you faced?
• Invite the employee to take a look into the skilled and unskilled behaviors that relate to the rating of the competency or job function.
• Continue probing until you get to the source of the problem.
• Identifying the root cause of performance gaps will create an environment of objectivity in which you and your employee can contribute in positive ways. The employee will feel less on the defensive and be open to working together with you to address ‘the cause,’ which may be outside the employee’s control.
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As you review performance gaps, keep in mind that poor performance may have some other causes. If you can identify them, you may be able to assist with some of the issues.
• Not understanding the processes. This is the place to start. What are the employee’s understanding of the processes and expectations? Provide feedback and coaching when failures to the processes or protocols happen. Remember, this should not be a surprise to the employee during the evaluation meeting.
• Personal problems. Something of a non-work nature may be the root cause of poor performance. You can refer the employee to the available resources such as the Employee Assistance Program (LifeWorks, and or Pastoral Care).
• Relationship conflicts at work. The workplace is a common place for conflict. Jealousy, competition for attention or for promotion, or simply a visceral dislike may produce conflict that impairs performance. If you can get to the bottom of the conflict, you may be able to neutralize it.
• Work overload. Even the most committed employee will burn out if the demand increases at a very fast pace. Review how you are allocating the workload. Has the bar been set unreasonably high?
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The following suggestions can help you offer more useful feedback:
• Encourage the employee to articulate points of disagreement. Again, this will create an opportunity to get his or her view on the situation.
• Avoid generalizations such as “You just do not seem involved with your work.” Provide specific comments that relate to the job. For example, “I have noticed that you haven’t offered any suggestions at our service improvement meetings. Why is that?”
• Be selective. You do not need to recite every shortcoming or failing. Stick to the issues that really matter.
• Give authentic praise as well as meaningful criticism.
• Focus constructive feedback toward problem solving and action.
Move from observation to discussion:
Step 1:
Talk with the employee with an open mind. Use observed actions and behaviors – leave suppositions about the person’s motivations out of the conversation. For example, Luis’s leader could begin by saying something like this:
”Luis, your last three clinical education needs reports have missed some important information. They did not say all we needed to know about the status of our most important initiative for the stroke prevention program.
That’s information we must have.”
Then, cite the impact of the person’s performance problem or problematic behavior on individual or group goals and on coworkers:
“When the nurse manager requests the status on the information for our stroke prevention plan, I cannot say ‘I’m not sure yet’. I need key information on the items we will be covering for the staff training and
preparation for clinical education key standards on this topic. I depend on you as the clinical educator – and person in charge – to lead everyone else in our department to commit to this plan.”
PERFORMANCE MANAGEMENT: LEADER GUIDE
Step 2:
When describing performance gaps and their impact, be truthful and frank. People benefit from honesty, even though they do not like receiving negative news. Be open, but professional, by leaving motives out of your discussion. Otherwise, the person is likely to feel that he or she is under a personal attack.
When people feel they are being personally attacked, they become defensive and unreceptive to what you have to say. Here’s an example of an assumed motive:
“Luis, your failure to provide critical information in your reports tells me that you are either hiding bad news or that you do not like this type of work.”
Consider the following possible reasons for poor performance:
• Did I give the employee adequate training? • Does the employee have the skills/competencies necessary for the job? • Does the employee understand what I expect? • Have I provided the employee with adequate tools and
resources? • Are there any rules or systems in place that make it
difficult for the employee to perform well? • Has anything changed in the employee’s work situation? • Has anything happened in the employee’s personal life
that could be affecting his or her work?
Other Considerations for the Performance Conversation
• Be an active listener. To learn as much as possible from your discussion, practice active listening. Active listening encourages communication and puts other people at ease. An active listener pays close attention to the speaker and practices these good listening skills:
• Maintain eye contact • Smile at appropriate moments • Be sensitive to body language • Listen first and evaluate later • Never interrupt except to ask for clarification • Indicate that you are listening by repeating what was said about critical points
such as, “So if I hear you right, you are having trouble with…”
Active listening is one of the best tools for getting people to talk – and you want them to do most of the talking if your goal is to understand what is going right or wrong. You will learn practically nothing when you are talking.
PERFORMANCE MANAGEMENT: LEADER GUIDE
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• Ask the Right Questions. Asking the right questions will help you understand the other person and get to the bottom of performance problems, or identify areas of opportunity. Questions can be asked in two forms: open- ended and closed. Each yields a different response. Open-ended questions invite participation and idea sharing. Use them to get the other person involved and for these purposes:
• To explore alternatives: “What would happen if….?” • o To uncover attitudes or needs: “How do you feel about our progress to date?” • o To establish priorities and allow elaboration: “What do you think the major issues are • with this project?”
Closed questions, in contrast, lead to yes or no answers. Ask closed questions for these purposes:
• To focus the response: “Is the project plan for the unit on schedule?”
• To confirm what the other person has said: “So, is scheduling your time your biggest obstacle?”
Consider using open-ended questions when you want to find out more about the other person’s motivation and feelings. This line of questioning can help you uncover the other person’s views and deeper thoughts on their course of action and performance items. This, in turn, will help you formulate better advice.
A Recap – The process shared will eventually help you identify the cause of any performance gaps and problems. The cause may be a skill deficiency, poor time management or personal work habits and accountability, lack of motivation, conflict with other employees, or poor direction on your part. Whatever the cause, having identified it with the employee, you are now in a position to do something about the performance gap. In many instances, doing something involves coaching and having a development plan.
PERFORMANCE MANAGEMENT: LEADER GUIDE
Delivering Performance Management Feedback:
After you have drawn conclusions about an employee’s performance, ask yourself the following questions. If you can answer yes to any of them, then you’ve fallen prey to a common evaluation error—and you must rethink your conclusions.
Question YES/NO
• Have I rated the employee more highly than he or she deserves?
• Did I unfairly blame the employee for bad events or unfairly take credit (or give credit to someone else) for good events?
• Did I allow my first impressions to color what the employee did during this evaluation period?
• Did I allow one aspect of the employee’s performance to dominate?
• Did I judge the employee more favorably because of our similarities?
• Did I judge the employee less favorably because of our differences?
• Did I gravitate to the middle to make this evaluation easier on myself?
• Did I ignore anything exceptionally good or bad about the employee’s performance?
• Did I unfairly paint the employee as being either all good or all bad?
• Did I place too much weight on recent events?
• Have I made assumptions about or stereotyped the employee?
• Have I accurately described the employee’s performance without fear of making the employee mad or of hurting the employee’s feelings?
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Tool: Creating Developmental Goals
Goals should be set with employees, not for employees.
The purpose of setting goals is to give employees targets to focus on. If the employee hasn’t participated in establishing these goals, she or he is less likely to actively work on achieving them and finding them motivating. Involving employees in the goal-setting process is critical.
Employee Goals are projects or assignments related to the individual’s specific job that help meet unit/department goals and have specific measurements and deadlines. What, exactly, is this person supposed to accomplish in the next six months? The next year?
Writing Next Year’s Developmental Goals or Job Related Goals:
• Look at current and new unit goals
• Look at employee’s functions and how they fit
• Look at employee workload
Examples of some goals:
• Produce documentation of our business processes by the end of the year
• Develop a team action plan to increase employee engagement by (date)
• Process all pending patient rounding logs within 30 days of receipt
•Increase team participation in clinical education training events by 50%
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Tool: Individual Development Plan (IDP)
An IDP is a documented list of goals identified by both the employee and leader to improve performance or for professional development. Related activities, resources, and timelines are associated with each goal.
Writing Development Goals:
The leader and employee create the IDP together using the information provided in the Individual Development Plan website and following the 5-step process for development.
Goals can focus on: • Performance improvement • Performance enhancement • Professional skill development related to needs of unit/department/school • Career mobility
There should be at least one, but no more than two development goals at any one time.
Examples of development goals:
• Attend training on stroke certification to develop skills as a first responder in the neuro team; search in BHU and/or other sources for available classes; completion date (ADD)
• Participate in the project management committee to learn project management skills through the end of Fiscal Year (ADD)
• Sign up as a mentor in this year’s Versant Preceptor or Mentor Program to gain a deeper perspective of the organization’s priorities and career opportunities.
It is possible that an employee may not agree with a goal that you as the leader knows must be met. If this happens, make sure the employee understands that performance will be evaluated next time to the degree in which the goal is met.
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Goals can help you and your employee in different ways.
Routine goals Describing regular, ongoing activities
Examples:
from Finance Office (ongoing). • Round on patients daily.
Problem solving goals
Describing activities designed to remedy performance areas that need improvement
Examples: • Check supply inventory bi-weekly and re-order as needed to avoid
shortages starting (month/date). • Follow the protocol for environmental services when taking care of
a nursing unit.
Examples:
• Design and implement use of spreadsheet by (date) to track clinical
outcomes. • Dinning services: Research, test, and evaluate 3 new vegetarian
entrees by (date).
Describing activities the employee wants to pursue for personal development
Examples: • Register for a summer introductory course to become more familiar
with use of a new IT system. • Volunteer to be a Big Brother within the next 2 months.
Job enrichment goals
Expanding the current job with different activities
Examples: • Within 3 months, train with supervisor to assume responsibility for compiling information for quarterly patient activity report.
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Goals can help you and your employee in different ways.
Routine goals
Examples:
· Reconcile budget & expense statements within a week of receipts from Finance Office (ongoing).
· Round on patients daily.
Describing activities designed to remedy performance areas that need improvement
Examples:
· Check supply inventory bi-weekly and re-order as needed to avoid shortages starting (month/date).
· Follow the protocol for environmental services when taking care of a nursing unit.
Innovative goals
Examples:
· Design and implement use of spreadsheet by (date) to track clinical outcomes.
· Dinning services: Research, test, and evaluate 3 new vegetarian entrees by (date).
Professional and personal growth goals
Describing activities the employee wants to pursue for personal development
Examples:
· Register for a summer introductory course to become more familiar with use of a new IT system.
· Volunteer to be a Big Brother within the next 2 months.
Job enrichment goals
Examples:
• Within 3 months, train with supervisor to assume responsibility for compiling information for quarterly patient activity report.
PERFORMANCE MANAGEMENT: LEADER GUIDE
The Performance Appraisal Handbook: Legal & Practical Rules for Managers Paperback – March 28, 2007 – By: Amy DelP
Harvard Business Essentials: Performance Management: Measure and Improve the Effectiveness of Your Employees, 2006 – By: Harvard Business School Press
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