Performance Management

Introduction

An effective performance management process sets the foundation aligning the individual's efforts with the university's goals.

·         By linking individual employee work efforts with the organization’s mission and objectives, the employee and the organization understand how that job contributes to the organization.

·         By focusing attention on setting clear performance expectations (results + actions & behaviors), it helps the employee know what needs to be done to be successful on the job. 

·         Through the use of objectives, standards, performance dimensions, and other measures it focuses effort. This helps the department get done what needs to be done and provides a solid rationale for eliminating work that is no longer useful.

·         Through regular check-in discussions, which include status updates, coaching, and feedback, it promotes flexibility, allowing you and the employee to identify problems early and change the course of a project or work assignment.

·         By emphasizing that an annual review should simply be a summary of the conversations held between you and the employee during the entire cycle, it shifts the focus away from performance as an “annual event” to performance as an on-going process.

An effective performance management process, while requiring time to plan and implement, can save you and the employee time and energy. Most importantly, it can be a very effective motivator, since it can help you and the employee achieve organizational success

Concepts & Definitions

Performance Management - Definition

Performance management is an ongoing process of communication between a supervisor and an employee that occurs throughout the year, in support of accomplishing the strategic objectives of the organization. The communication process includes clarifying expectations, setting objectives, identifying goals, providing feedback, and reviewing results.

Managing Employee Performance – The Cycle

Overseeing performance and providing feedback is not an isolated event, focused in an annual performance review. It is an ongoing process that takes place throughout the year. The Performance Management process is a cycle, with discussions varying year-to-year based on changing objectives.

The cycle includes Planning, Checking-In, and Review.

·         To begin the planning process, you and your employee review overall expectations, which includes collaborating on the development of performance objectives. Individual development goals are also updated. You then develop a performance plan that directs the employee's efforts toward achieving specific results to support organizational excellence and employee success.

·         Goals and objectives are discussed throughout the year, during check-in meetings. This provides a framework to ensure employees achieve results through coaching and mutual feedback.

·         At the end of the performance period, you review the employee's performance against expected objectives, as well as the means used and behaviors demonstrated in achieving those objectives. Together, you establish new objectives for the next performance period.

Phase I: Planing

Guiding Principles

Performance Expectations = Results + Actions & Behaviors

·         Results are often measured through the use of objectives and standards

·         Actions and Behaviors can be measured through the use of performance dimensions.

Written, verifiable mutually understood performance expectations:

·         Serve as an objective basis for communicating about performance

·         Enable the employee to differentiate between acceptable and unacceptable results

·         Increase job satisfaction because employees know when tasks are performed well

·         Inform new employees of your expectations about job performance

·         Encourage an open and trusting relationship with employees

Performance Expectations = Results + Actions & Behaviors

To perform well, employees need to know what is expected of them. The starting point is an up-to-date job description that describes the essential functions, tasks, and responsibilities of the job. It also outlines the general areas of knowledge and skills required of the employee an employee to be successful in the job.

Performance expectations go beyond the job description. When you think about high quality on-the-job performance, you are really thinking about a range of expected job outcomes, such as

·         What goods and services should the job produce?

·         What impact should the work have on the organization?

·         How do you expect the employee to act with clients, colleagues, and supervisors?

·         What are the organizational values the employee must demonstrate?

·         What are the processes, methods, or means the employee is expected to use?

In discussing performance expectations an employee should understand why the job exists, where it fits in the organization, and how the job's responsibilities link to organization and department objectives. The range of performance expectations can be broad but can generally be broken into two categories:

·         Results (The goods and services produced by an employee often measured by objectives orstandards)

·         Actions & Behaviors (The methods and means used to make a product and the behaviors and values demonstrated during the process. Actions and Behaviors can be measured through performance dimensions.)

Performance expectations serve as a foundation for communicating about performance throughout the year. They also serve as the basis for reviewing employee performance. When you and an employee set clear expectations about the results that must be achieved and the methods or approaches needed to achieve them, you establish a path for success.

Expectations should always be set in accordance with UC policies and union contracts. For additional information, please see:

·         Academic Personnel Policies

·         Personnel Policies for Staff Members (including local and system-wide procedures)

·         Labor Relations: Contracts

Defining Results

Click on any of the following items for additional information:

S.M.A.R.T. Performance Objectives and Standards

Performance objectives and standards are two of the most common methods to define expected results. Both objectives and standards are most useful when, in addition to being written down and verifiable, they are:

·         Specific

·         Measurable

·         Attainable

·         Relevant

·         Timely

Specific – Objectives and standards should let employees know exactly which actions and results they are expected to accomplish.

Measurable – Whenever possible, objectives and standards should be based on quantitative measures such as direct counts, percentages, and ratios..

Attainable – The objective or standard should be achievable, but challenging, and attainable using resources available.

Relevant – Individual goals, objectives and standards should be in alignment with those of the unit and the department in support of the University’s mission.

Timely – Results should be delivered within a time period that meets the department and organization’s needs.

Objectives and standards identify baselines for measuring performance results. From performance objectives and standards, supervisors can provide specific feedback describing the gap between expected and actual performance.

Objectives and Standards – Is it “OK” to Have Both?

It can be very useful to define both objectives and standards for a position, but it is not necessary.

Standards are directly linked to job-task completion.
Example: Ensure that all grant requests are written, reviewed, and submitted to the granting agency/foundation by the required deadlines.

Objectives are broader in scope, go beyond day-to-day standards, and are clearly linked to helping the organization or department meet its goals and objectives.
Example: Identify three new grant/funding sources by the end of FY 2006.

In some cases, you and the employee may find it better to set a series of standards with only a few objectives, while in other situations it may make more sense to set objectives alone.

Objectives and Standards – Some Advantages and Disadvantages

The advantages and disadvantages outlined below can give guidance on when to use objectives or standards or both.

Objectives – Advantages	Objectives – Disadvantages	Standards – Advantages	Standards - Disadvantages
Ties unit/organization’s objectives to employee’s objectives. Specific to individual. Facilitates employee and supervisor communication. Future – oriented. Flexible. Can be put into place for all employees, but more easily used for employees with a broader scope of responsibilities, and a mixture of non-routine and routine work.	Can focus on annual results, while ignoring routine aspects of job. Care must be taken to ensure objectives are realistic. Can be compromised by changing circumstances. Too much flexibility. Must be consistent with culture and can be time consuming to implement a fully integrated system.	Tied to job duties and responsibilities. Best when applied to any employee performing the same job duties. Facilitates communication. Makes it very clear how performance will be measured. Standards can exist for any job. They are particularly useful in jobs where for health, safety, legal and/or operations reasons work must be done in a certain way. They are also more easily put into place for jobs that have a large number of routine tasks required.	Can become too task oriented. Less flexible when responsibilities of a position change. If standards are not reviewed and updated regularly, it can hold the employee and unit back. May not provide enough challenge for employee. Takes time to develop.

Performance Objectives

Click on any of the following items for additional information:

Characteristics of Objectives

A performance objective is a future state of achievement that helps the organization succeed and create value. It is a direct link between the work an employee does and the department and organization’s overall objectives and mission. As the organization’s needs change and direction shifts, so will an employee’s performance objectives.

·         Performance objectives express mutually understood agreements for results that an employee is expected to produce during the performance review period.

·         Performance objectives are not separate from an employee’s job, but part of the job.

·         Performance objectives are “ends” towards which you and your employee direct effort and focus resources.

For these reasons it is best not to dictate objectives, but set them through discussion, negotiation, compromise, and agreement.

While much has been written about differences between objectives, targets, and goals, there are no real differences. There are some authors who may make a distinction based on scale and time, but for our purposes the term “objective” will be used.

Why Set Objectives

Objectives force you and the employee to think of planning for results, not just planning activities. Identifying objectives encourages you and the employee to continually look for ways to improve overall department effectiveness and efficiency, and link individual and departmental operations and results to the overall planning and mission of the University. Objectives set through a collaborative process between the employee, supervisor, and department elicit commitment.

Expressing Performance Objectives

It helps to set objectives using the following format:

To [Action verb] [Key Result] by [Date] at [Cost of (if applicable)]

Examples of Performance Objectives:

·         Implement update of on-line graduate application program by October 1, 200x

·         Reduce telephone expenses by 15% within the first half of the fiscal year.

·         Identify three new funding sources by the end of FY 200x, and ensure that all grant requests are written, reviewed, and submitted to the granting agency/foundation by the respective deadlines.

The following questions may help generate ideas for performance objectives. Based on departmental/unit objectives:

·         What can this employee do to improve the overall effectiveness of the work unit?

·         Has the employee suggested program or process changes that help us meet our objectives and can be completed during the appraisal period?

·         What needs to be done to improve the quality of our service? What refinements can we make to our operations? What needs to be introduced or eliminated?

·         What are we ready to do now that we could not do last year (due to increased resources, system modifications, changed priorities, updated skills, etc.)?

·         What skills, processes, products must be updated to meet client (student, faculty, staff, community) demand?

Considerations When Developing Objectives

You and the employee should develop objectives together whenever possible.

·         Set short-term goals with a long-term view. Objectives are generally set for periods of a year or less, which may sacrifice long-term gain to generate results in the short-term.

·         Identify critical issues and possible obstacles 

·         Do not underestimate resource needs.

·         Build in flexibility.  Regular status update and check-in meetings make it much easier to identify problems or shifts in unit priorities and change course.

Performance Standards

Click on any of the following items for additional information:

Characteristics of Performance Standards

Standards describe the conditions that must exist before the performance can be rated satisfactory. Performance standards are approved expressions of the

·         Performance threshold(s),

·         Requirement(s), or

·         Expectation(s)

employees must meet to be reviewed at particular levels of performance.

A standard focuses on task completion. It is specifically tied to duties/responsibilities. A performance standard should:

·         Be realistic, in other words, attainable by any qualified, competent, and fully trained person who has the authority and resources to achieve the desired result

·         Be “exceedable.” Employees should know that they can and should exceed expectations. Standards should not be used as an excuse to maintain the status quo if change is needed.

·         Describe the conditions that exist when performance meets expectations

·         Be expressed in terms of quantity, quality, time, cost, effect, manner of performance, or method of doing

·         Be measurable, with specified method(s) of gathering performance data and measuring performance against standards

Expressing Standards

The terms for expressing performance standards are outlined below:

·         Quantity: specifies how much work must be completed within a certain period of time, e.g., enters 30 enrollments per day.

·         Quality: describes how well the work must be accomplished. Specifies accuracy, precision, appearance, or effectiveness, e.g., 95% of documents submitted are accepted without revision.

·         Timeliness: answers the questions: By when, how soon, or within what period, e.g., all work orders completed within five working days of receipt.

·         Effective Use of Resources: used when performance can be reviewed in terms of utilization of resources: money saved, waste reduced, etc., e.g., the computer handbook project will be completed with only internal resources.

·         Effects of Effort: addresses the ultimate effect to be obtained; expands statements of effectiveness by using phrases such as: so that, in order to, or as shown by, e.g., establish inventory levels for storeroom so that supplies are maintained 100% of the time.

·         Manner of Performance: describes conditions in which an individual's personal behavior has an effect on performance, e.g., assists other employees in the work unit in accomplishing assignments.

·         Method of Performing Assignments: describes requirements; used when only the officially-prescribed policy, procedure, or rule for accomplishing the work is acceptable, e.g., 100A Forms are completed in accordance with established office procedures.

Create Standards for Key Areas of Responsibility

Write performance standards for each key area of responsibility on the employee's job description. Focus on tasks that have the greatest importance; it is not necessary to write standards for every task.

Standards are usually established when an assignment is made, and should be reviewed if the employee's job description is updated. Whenever possible, have employees participate in developing standards. The discussion of standards should include the criteria for achieving satisfactory performance and the proof of performance (methods you will use to gather information about work performance).

In departments where more than one person does the same task or function, standards may be written for the parts of the jobs that are the same and applied to all positions doing that task.

Remember, changes in performance standards may require notice for represented employees. CUE, for example requires notice. In addition, there are contracts that cover specialized professions, such as Nurses and Police, that have their own standard-setting and evaluation processes. Refer to the appropriate labor contract and contact Employee Relations when setting standards.

Identifying Actions & Behaviors for Success - Performance Dimensions

In addition to objectives and standards (which focus on end results) it is important to consider other aspects of performance. As discussed earlier, Performance Expectations = Results + Actions & Behaviors.

Understanding the actions and behaviors that employees can use to perform the job is often as important to success as end results. Behavior is the day-to-day activity in which people engage to produce results and relates closely to the process side of work.

Focusing on the way people go about their work is based on the belief that doing things correctly will lead to positive organizational results. However, many actions and behaviors are not easy to measure. For this reason, managers and employees should discuss difficult to quantify aspects of performance in terms that are

·         Specific,

·         Observable,

·         Job-related, and

·         Behavioral.

When described in this way, behaviors and actions can be grouped into performancedimensions that can be used to review job performance.

For example, if success in meeting an objective such as “updating an on-line graduate application program” requires strong interpersonal skills, then the employee should know that s/he will have to build solid relationships, collaborate, and incorporate ideas and suggestions made by colleagues. Performance will be reviewed on how well behaviors associated with the dimension, interpersonal skills, are demonstrated in reaching the objective.

Characteristics of Performance Dimensions

Performance dimensions are defined based on the job and the work itself.

In creating a performance dimension you start with the job and state the range of behaviors employees must exhibit to successfully meet or exceed job expectations. These behaviors are then grouped into broad categories that we are calling “dimensions.” Performance dimensions help answer the question: “How does someone act and/or behave when s/he does the job well?”

Since dimensions are broad categories, a specific dimension generally applies to any employee working in a given job. It is also possible for departments and units and even entire organizations to have dimensions that apply to any employee who works in the group.

In addition to strong interpersonal skills, other examples of performance dimensions include:

·         Customer Service Orientation

·         Teamwork

·         Effective Communication

·         Valuing Diversity

·         Analysis and Problem-Solving

·         Decision-Making and Results Orientation

·         Adaptability

·         Fostering a Safe and Secure Environment

This list is by no means exhaustive. Each organization should agree on the definitions used for a dimension and the job or job groups to which a dimension will be applied. It is common, for example, to have a series of dimensions that apply to all supervisors and/or managers in an organization. The definition and validation of dimensions is a key objective of the Staff Infrastructure Steering Committee (SISC) Performance Management Working Group.

Expressing Performance Dimensions

For dimensions to be an effective means of measuring performance, they must have two characteristics:

·         Have a clear general definition, and

·         Have well-defined levels of performance at each point along a rating scale.

This definition of Teamwork is one example of a performance dimension definition.

The Teamwork Dimension describes how employees build alliances to solve problems and achieve objectives, work cooperatively and respectively with co-workers, use diplomacy and tact when interacting with others, diffuse tension, help manage conflict, collaborate, foster collegial and cooperative attitudes, relate well to all kinds of people regardless of level inside or outside of organization, and contribute to the overall success of their work units and departments by sharing knowledge and information.

Teamwork is then defined for each point along a rating scale. For the 2008 Performance Rating Scale, please see the Performance Rating Scale.

Performance Dimensions and Competencies – There is a Difference

Performance dimensions focus on the actions that need to be taken by anyone doing that job to get the work done. As discussed above, performance dimensions are groupings of behaviors/actions and are defined based on the requirements and expectations of the job.

In contrast, a competency is a cluster of knowledge, skills and abilities that describes a general trait that an employee has or should have to perform a job. While competencies relate to the individual, performance dimensions relate to the job.

For example, a performance dimension for a Budget Analyst’s position may be to “Prepare budget documents and reports.” It will then be useful to measure how well an employee holding the job:

1.    “Presents information in a clear, concise manner that illustrates budget issues that need to be resolved”,

2.    “Produces timely budget documents and reports that are tailored to each customer’s needs. and,

3.    Frequently uses graphics and other aids to summarize and synthesize data.

If the person holding the position is a highly competent communicator and knowledgeable about the budget process, then there is an overlap between the performance dimension “Prepare budget documents and reports” and the employee’s “communication” and “technical knowledge” competencies.

Since competencies focus on an employee’s traits they are useful in hiring and development. Performance dimensions, which focus on the job, are useful for performance management and review.

Finalizing Performance Expectations

Put Expectations in Writing

A written summary of your discussions during the planning process serves as a record of your mutually understood expectations. Putting expected results (objectives and standards) and expected actions/behaviors (performance dimensions) in writing is useful when

·         Allocating resources,

·         Discussing budgets, and

·         Prioritizing programs.

Mutually developed written expectations also help focus feedback and minimize ambiguity when it is time to assess results.

Verify Expectations

Performance expectations should be verifiable. Early in the performance management cycle, you, with input from the employee, should identify how and where evidence about the employee's performance will be gathered. 

Measurable (quantitative) expectations are the easiest ones to verify. Frequently, however, expectations cannot be put into measurable terms easily or accurately. At this point, consider developing qualitative expectations, which can generally be made verifiable by spelling out the criteria to be fulfilled, behaviors to be demonstrated, and/or target dates to be met.

Specifying how performance expectations will be verified at the time the responsibility is assigned helps employees keep track of their progress and makes check-in meetings and performance status updates much more focused and efficient.

There are many ways to verify performance; some of the most common are:

·         Specific work products (tangible evidence that can be reviewed without the employee being present)

·         Reports and records, such as attendance, safety, inventory, financial records, etc.

·         Checklists that can be completed by a client or supervisor listing specific, observable criteria that need to be met in order for an expectation to be considered complete. Criteria usually require a “yes” or “no” answer, such as: “implement a new program by [x] date.”

·         Direct observation

·         Rating scales that define, as precisely as possible, behaviors at different levels of performance (behaviorally anchored rating scales).

·         Commendations or constructive or critical comments received about the employee's work

Creating Development Goals

Managers and employees should work together to create development plans as part of the annual performance management process. The plan can focus on skills aimed at job mastery or combine job mastery with professional development skills.

·         Job mastery skills are those that are necessary to successfully perform one's job.

·         Professional development skills are the skills and knowledge that go beyond the scope of the employee's job description, although they may indirectly improve job performance.

Development plans commonly include classes, but can also include elements such as cross-training and special project participation.

Phase II: Check In

Check-In: Providing Observation and Feedback

Once performance objectives and standards are established, you should observe an employee’s performance and check-in with them regularly, providing feedback. You have a responsibility to recognize and reinforce strong performance by an employee, and identify and encourage improvement where it is needed.

Some types of jobs and responsibilities have built-in feedback. In these jobs the knowledge of the results comes from work activity itself, such as when an electrician repairs a broken switch and it begins to work, when a development officer in charge of a capital campaign begins to receive donations, or when a SAO successfully helps a student through a difficult process.

This kind of feedback is very effective because it is immediate. However, even jobs with immediate feedback can benefit from external feedback, since it contributes to an employee’s overall knowledge of his/her results and work.

As a manager, you are most likely providing informal feedback almost every day. By observing and providing detailed feedback, you play a critical role in the employee's continued success and motivation to meet performance expectations.

Guiding Principles

Effective observation and feedback can:

·         Strengthen communication between you and the employee

·         Help the employee attain performance objectives and meet standards

·         Increase employee motivation and commitment

·         Maintain and increase the employee's self-esteem

·         Provide support

Coaching - An Effective Feedback Tool

Coaching is a method of strengthening communication between you and the employee, and can be used during check-in sessions. Coaching helps to shape performance and increase the likelihood that the employee's results will meet your expectations. Coaching sessions provide you and the employee the opportunity to discuss progress toward meeting mutually established standards and objectives.

A coaching session focuses on one or two aspects of performance, rather than the total review that takes place in a performance appraisal.

Key Elements of Coaching

To make your coaching session effective, you must understand the key elements of coaching:

·         Coach when you want to focus attention on any specific aspect of the employee's performance.

·         Observe the employee's work and solicit feedback from others.

·         When performance is successful, take the time to understand what is working and the reasons behind it.

·         Advise the employee ahead of time on issues to be discussed.

·         Discuss alternative solutions.

·         Agree on action to be taken.

·         Schedule follow-up meeting(s) to measure results.

·         Recognize successes and improvements.

·         Document key elements of coaching session.

Questions to Consider When Coaching

To provide effective feedback you must understand the elements of performance and analyze marginal performance. Keep these questions in mind:

·         How is the employee expected to perform?

·         Does the employee understand these expectations? If not, why not?

·         Does the employee know what successful results look like? How do you know?

·         Does the employee know the performance is marginal? How do you know?

·         Are there obstacles beyond the employee's control? Can you remove them?

·         Has the employee ever performed this task satisfactorily?

·         Is the employee willing and able to learn?

·         Does satisfactory performance result in excessive work being assigned?

·         Does unsatisfactory performance result in positive consequences such as an undesirable task being reassigned?

Coaching Behaviors

To make the most of coaching the employee, remember to follow these coaching guidelines:

·         Focus on behavior, not personality.

·         Ask the employee for help in problem identification and resolution. Use active listening to show you understand.

·         Set specific goals and maintain communication.

·         Use reinforcement techniques to shape behavior.

During the Coaching Session

When conducting a coaching session to provide positive feedback, keep the following ideas in mind:

·         Describe the positive performance result or work habit using specific details.

·         Solicit your employee's opinion of the same product or behavior.

·         Ask the employee to identify elements that contributed to success (adequate time or resources, support from management or other employees, the employee's talent and interest in the project).

·         Discuss ways in which you and the employee can support continued positive results.

·         Reinforce for the employee the value of the work and how it fits in with the goals of the work unit or department.

·         Show your appreciation of the positive results and your confidence that the employee will continue to perform satisfactorily.

·         If appropriate, document your discussion for the employee's file.

When you conduct a coaching session to improve performance, you may want to use the following format:

·         Describe the issue or problem, referring to specific behaviors or expectations.

·         Involve the employee in the problem-solving process to identify the problem.

·         Brainstorm and write down possible solutions.

·         Decide on specific actions to be taken by each of you to correct the problem.

·         Agree on a follow-up date.

·         Document key elements of the session. Give one copy to the employee and place another in the employee’s file.

If your coaching session is conducted to address poor work habits such as continued tardiness, keep these steps in mind:

·         Describe in detail the poor work habit observed.

·         Say why it concerns you, in terms of its specific impact on the department.

·         Ask why it occurred and listen non-judgmentally to the explanation. Describe the need for change and ask for ideas.

·         Discuss each idea and offer your help.

·         Agree on specific actions to be taken and set a specific follow-up date.

·         Document key elements of the session. Give one copy to the employee and place another in the employee’s file.

Follow-Up Discussion

To conduct a follow-up discussion, consider the following steps:

·         Review the previous discussion(s).

·         Discuss the business reason why the situation/problem continues to be a cause for concern and ask for reasons why the situation continues.

·         Indicate consequence of continued lack of improvement. (No threats! This isn't an oral warning.)

·         Agree on action to be taken and set a follow-up date, if appropriate.

·         Convey your confidence in the employee.

·         Document key elements of the session. Give one copy to the employee and place another in the employee’s file.

Phase III: Review

Review is the final phase of the performance management cycle. It provides an excellent opportunity for you to communicate with the employee about past performance, evaluate the employee's job satisfaction, and make plans for the employee's future performance.

Performance review is the process of measuring an employee’s performance in the current position. Many terms are used for this process, including evaluation, appraisal, and assessment, and usage varies depending on policy and/or contract language.

The performance review summarizes the employee's contributions over the entire reviewperiod.  While policy and contract state that an employee should be assessed at least once a year, it is strongly suggested that employees receive some form of review on a more frequent basis. It may occur as often as you believe is necessary to acknowledge the employee for accomplishments and to plan together for improved performance.

Guiding Principles

Some goals of the performance review process are to help the employee:

·         Feel positive about the job

·         Feel appreciated for specific contributions

·         Benefit by specific, constructive feedback

·         Keep informed about current and future performance objectives

·         Keep motivated to do well and to develop

·         Stay involved as a participant in the process

A key goal for you and the employee is to recognize the degree to which an employee was successful, or how well the employee met expectations, be they objectives, standards, performance dimensions or some other measure.

Preparing for the Review

Both you and the employee play an important role in creating a productive performance review process. Here are some suggestions to get the employee involved:

·         Schedule a mutually convenient time and place for the performance review discussion. Allow enough time and ensure privacy.

·         Explain that you would like the discussion to be a dialog, with input from both of you included in the final written document.

·         Give the employee some options about how to prepare for the discussion. For example:

·         Ask the employee to prepare a self-appraisal using the same form you will use for your draft. The employee can address accomplishments and things that could be done better. Explain that you will be doing the same and that you may exchange these documents a few hours before your meeting

·         Give the employee a list of questions to consider to evaluate his own performance. Sample questions might be:

·         What have been your major accomplishments?

·         What could you have done better?

·         What could I do as your supervisor to help you do your job better?

·         Would you like to see your responsibilities change? If so, how?

Prepare the review document, including as much information as possible - 

·         job description

·         professional development over the review period

·         performance standards and objectives

·         previous assessment

·         letters of commendation and/or criticism

·         input provided by key clients and colleagues

·         samples of work

·         records of disciplinary action

Consider the question: “What can I do to help the employee do the job better and achieve developmental goals?”

Rating Scales and Sample Review Forms

In preparing for the review conversation, you will be completing a form which generally involves rating an employee’s work using a rating scale. 
Managers and supervisors of non-represented staff should use the Performance Evaluation and Planning (PEP) forms. Managers and supervisors of represented staff should use the current forms approved by their respective bargaining units. Sample forms for represented staff are also available on the Forms page.

Conducting the Assessment Discussion

Continue the momentum you have established throughout the year with your ongoing discussions about performance. You want to set the tone for an open and productive discussion. Outlined below are some steps you can take to make it as successful as possible.

·         Create a supportive environment by stating clearly the purpose of the discussion. Be as non-threatening and open as possible since the employee may be tense or uncomfortable.

·         Discuss key areas of responsibility and give examples of specific results. Have the employee go first, based on the self-assessment or the questions you provided in advance. Be sure to ask clarifying questions - if needed - to make sure you understand the employee’s viewpoints.

·         Readily acknowledge performance that reinforces the goals of the work unit.

·         Discuss what could have been done better. Identify your concerns and listen to the employee's explanations.

·         Focus on future performance.  Involve the employee in developing action plans, identifying problems and resolution options. This can help the employee identify where s/he needs to take responsibility for improvement.

·         Make sure you and the employee have a common understanding of future expectations regarding performance.

·         Discuss the employee's interests and potential new responsibilities. Discuss both of your roles in achieving new objectives while maintaining ongoing responsibilities.

·         Conclude on a positive note. Emphasize the benefits of your conversation and be clear that you remain available to respond to suggestions, questions or concerns.

Regardless of your efforts, there may be occasions where an employee will request that s/he have a representative present during the discussion. If that happens, please contact Employee Relations.

The Final Review Document

Ask the employee to sign and date the review form, and explain that this signature acknowledges discussion of the contents, not necessarily agreement with them. Route the document to your manager for final signatures. Give a copy of the signed assessment to the employee, and place a copy in the personnel file.