2. Goals for This Program
This program will help you to:
Define performance management
Identify phases in the performance management process and
activities performed in each phase
Identify and document duties, tasks, and SMART
performance standards
Record observations of staff behavior
Coach staff to sustain/improve performance
Conduct effective performance management discussions
Utilize the tools available at Penn State for performance
management (Job Profile, JRW, SRDP)
Apply skills learned in previous training (Crucial
Conversations, ITLP) to performance management
2
3. Outline
3
Overview of Performance Management
The Performance Management Cycle
II. Feedback & Coaching
Observing and documenting behavior
Ongoing feedback
Mid-year discussions
I. Planning
Duties, tasks, and performance standards
Setting development goals
III.Assessment
Writing performance reviews
Performance level definitions/guidelines
Conducting performance discussions
Session 1
Session 2
4. Overview
This section will help you to:
Define Performance Management
Identify the phases of the Performance
Management cycle and timeline
Define commonly used Performance
Management terms as used
Explain how the tools used for Performance
Management work together
4
5. Shared Responsibilities for
Performance Management
Task Supervis
or
Direct
Report
Others
Document Duties in the
JRW
Set Performance
Standards
Provide Feedback
Gather input from others
Provide Self-Input
Fill in SRDP
Sign SRDP
5
7. Guidelines for a positive work
climate
Inform Staff of your expectations
Provide a supportive work environment,
including necessary resources
Deliver appropriate and accurate feedback
Ensure staff receive appropriate rewards,
recognition and feedback for work
8
What other factors are important?
http://cyber.law.harvard.edu/questions/ITSPMPilot
8. What is Performance
Management?
Performance Management is an ongoing
communication process that involves both the
manager and the staff member to:
Identify and describe the job responsibilities and
relating them to the mission and goals of the
organization
Develop realistic performance standards
Discuss feedback about performance
Document examples of positive and negative
performance
Plan professional development opportunities to
sustain and improve staff performance
9
9. Performance Management and
Competencies
10
The
“What”
The
“How”
Job Duties
Performance
Standards
Results focused
Action-Oriented
Competencies
Core
Unit-Specific
Job-Specific
ITS Community
Principles
Behaviorally Focused
Development Oriented
Emphasize
organization values
and/or individual
abilities
Examples Characteristics
12. Tools used in the Performance
Management Process
Job Profile
Link Evaluate
Questionnaire
Job Responsibilities
Worksheet (JRW)
Observed Behaviors
Self Input
Input from Others
Evaluation/Assessment
(SRDP)
13
Defined Expectations
& Performance Standards
13. Activity - Discussion
14
Discuss your current thoughts on Performance Management
-What tools do you use?
-What challenges do you face?
-What do you like/dislike about the process?
14. I: Planning
15
•Define Job Duties
•Set Performance
Standards
•Set development goals
•Establish resources
needed
•Identify supports &
barriers
•Use tools provided to
discuss and document
plans
15. I. Planning: Overview
Planning includes 2 major activities:
Define Job Duties
Define Performance Standards associated with
each duty
Planning is Collaborative
Result = Job Responsibilities Worksheet
(JRW)
16
Plan
Feedback
Assess
16. Define Job Duties
A job duty is a specific work segment
composed of several tasks that are performed
by an individual
Guidelines:
Use duties from job profiles as appropriate
Describe each major area of responsibility
Elaborate on duties to explain the context
Ensure the staff member understands the impact
Each job should currently have a JRW with the
Duties section completed
17
Plan
Feedback
Assess
17. Document Responsibilities in the
Job Responsibilities Worksheet (JRW)
Enter
Responsibiliti
es in the
“Duties”
section of the
JRW
Confirm or
Update % of
Time, New
Duty, and
Essential
Functions
columns
18
Plan
Feedback
Assess
18. Performance Standards
A Performance Standard reflects results that are
expected when a job duty is performed
satisfactorily.
Standards are:
Based on the position, not the individual
Observable, specific indicators of success
Meaningful, reasonable, and attainable
Describe "fully satisfactory" performance once trained
Expressed in terms of Quantity, Quality, Timeliness,
Cost, Safety, or Outcomes
“Exceedable” – employees should know that they can
exceed expectations
19
Plan
Feedback
Assess
19. Creating “SMART”
Performance Standards
Examples:
Implement update of on-line graduate application program by October 1, 2006
Reconcile Budget & Expense statements within a week of receipt from Finance
Office (ongoing).
Reduce telephone expenses by 15% within the first half of the fiscal year.
Design and implement use of spreadsheet by (date) to track loan of departmental
audiovisual resources.
Specific
A focused, concise, concrete statement that tells
what needs to be accomplished (Who, what,
where, why?)
Measurable
Establish concrete criteria for measuring
progress, and define the level of acceptable
performance
Attainable
Expected results are within the authority, skill, and
knowledge level of the employee; resources are
available
Results-Oriented Goals should measure outcomes, not activities
Time-Framed Grounded within a timeframe - Set target dates
for achieving expected outcomes
20
Plan
Feedback
Assess
20. Example
Performance Standards
Provide support to user groups and/or committees
and participate in communication/outreach efforts
Standard 1: Create a bi-weekly blog post related to
web 2.0 technology use in teaching, posted by noon
every other Thursday on the ITS blog (Start date: Sept
17, 2009)
Standard 2 : Attend all scheduled ABC committee
meetings; Provide status updates to supervisor within
24 hours regarding this office’s involvement in
committee activities
Standard 3: Submit proposals to present at industry
conferences; After presenting, submit trip reports via
ITS blog within 24 hours of return
21
Plan
Feedback
Assess
21. Your turn…
Suggest Performance Standards for the following
duty:
Conduct workshops and training sessions on
Google Apps for faculty, staff and students
Standard 1: Deliver topic-specific content and demonstrate steps
to complete applicable exercises
Standard 2: Create and post to class discussion forum a minimum
of 48 hours prior to each class session; respond to questions
within 24 hours
Standard 3: Provide a minimum of 2 practical examples for each
application
Standard 4: Promptly respond to participant questions; If answer
is unknown, follow up and respond within 48 hours
22
Plan
Feedback
Assess
22. Activity
Write Performance Standards
Using the JRW
provided, or one that
you brought with
you, identify
performance
standards for 1-2 of
the Duties listed
23
Plan
Feedback
Assess
23. Document Performance
Standards in the JRW
Enter
Performan
ce
Standards
for each
Duty
(Optional,
recommende
d): Identify
which
Competency
is related to
the Duty
24
Plan
Feedback
Assess
24. Development Action Plan
25
The Development Action Plan focuses on
areas employees want to develop in order to
grow in their jobs or advance their careers.
Some areas to consider:
Performance outcomes
Development areas
Career planning
University/Department/Unit plans, goals, and
direction
Plan
Feedback
Assess
25. Development Action Plan
Skills not currently possessed
(or requiring improvement)
needed for current role
Possible future assignments
outside the scope of current
job
Skills needed for anticipated
or desired future role
Specific steps to be taken to
gain skills/experience:
Training classes, seminars,
etc
Activities
Mentor relationships
Actions to be taken by
employee
Current job responsibilities
that staff already has skills to
execute
Generic statements without
associated actions (i.e.
“Improve communication
skills” without courses,
practice, activities)
Activities not related to
university/unit goals or needs
Activities not related to
professional development
26
What SHOULD be in
Development Action Plans…
What should NOT be in
Development Action Plans….
Plan
Feedback
Assess
26. JRW and the Development
Action Plan
How do the JRW and Development Action Plan
work together?
JRW includes duties and corresponding performance
standards currently assigned to the employee
Development Action Plan consists of:
Improvements that need to be made to fully achieve
existing duties (potentially related to a competency)
Developmental assignments that require additional
knowledge, skills, and/or behaviors
Skills that supervisor or staff expect will be needed for
future activities, or as preparation for an anticipated future
role
The JRW is a “living document” – review
throughout the year
27
Plan
Feedback
Assess
28. Feedback
•Document and discuss
observed behavior
•Discuss results to date
•Provide effective
feedback
•Review and refine
objectives
•Remove barriers to
II. Feedback
30
29. II: Feedback
This section will help you to:
Document performance observations using the
CARE method
Provide effective informal feedback
Apply Crucial Conversations and/or ITLP skills to
coaching
Conduct a mid-year discussion
31
Plan
Feedba
ck
Assess
30. Feedback Phase
The second phase in Performance
Management includes 3 key elements:
Observing and Documenting Behaviors
Providing ongoing, timely feedback
Specific to a situation, event, interaction, project
Mid-Year Discussion
Progress toward annual goals
Review of JRW
32
Plan
Feedba
ck
Assess
31. Reasons to record
Performance Observations
Basis for specific verbal feedback
Basis for evaluative comments for the annual
review
Ensure annual reviews are objective and fact-
based
Ensure that annual reviews reflect the entire
review period
Record changes in responsibilities, and
standards of performance
Substantiate promotions, discipline, salary
increases, etc
33
Plan
Feedba
ck
Assess
32. Guidelines for documenting
performance observations
Document behavior relevant to competencies,
responsibilities – both Positive and Areas for
Improvement
Describe specific, observable behaviors
Avoid assumptions; follow up to get facts
What? When? Why? Where? Who?
Use the CARE method:
Circumstances
Action observed
Results of action observed
Expectation or standard
34
Plan
Feedba
ck
Assess
33. Example CARE Scenario:
While I was out of the office for three days, an Associate Vice
President called to request a “rush” on a written justification for
some computer equipment that we had discussed. Although he is
not responsible for such administrative issues, Felippe took the
initiative to draft the justification so that I could review and send it
first thing this morning. The AVP was particularly pleased with our
timely response, and our chances of receiving the funds for the
equipment are brighter.
Component Example from above scenario
Circumstances While I was out of the office for three days, and Associate Vice
President called to request a “rush” on a written justification for some
computer equipment that we had discussed.
Action Felippe took the initiative to draft the justification so that I could review
and send it first thing this morning
Result The AVP was particularly pleased with our timely response, and our
chances of receiving the funds for the equipment are brighter
Expectation Felippe is not responsible for such administrative issues [Note that
Felippe exceeded expectations in the area of judgment and problem
solving]
35
Plan
Feedba
ck
Assess
34. Ongoing Feedback
All Verbal feedback
Describe the specific behavior
Explain effects of behavior
Ask, Listen, Discuss
Reinforcing Feedback
Acknowledge good work
Thank the employee
Corrective Feedback
Focus on the behavior, not the employee
Review the standard of performance; agree on corrective
actions
Ask how you can help
Follow up
36
When you see it, Say it!
Plan
Feedba
ck
Assess
35. Rating Scale
Significantly Exceeds Expectations
Employee performs assigned responsibilities in a consistently
superior manner
Exceeds Expectations
Employee performs assigned responsibilities in a manner that often
exceeds communicated standards
Meets Expectations
Employee performs assigned responsibilities consistently well
throughout the review period.
Partially Meets Expectations
Employee performs satisfactorily in some aspects of his/her assigned
responsibilities but not in others.
Does Not Meet Expectations
Employee performs assigned responsibilities in an unsatisfactory
manner, has not responded to constructive feedback, or has not
37
Plan
Feedba
ck
Assess
36. Use Crucial Conversations
Skills
Get Unstuck
Start with Heart
Learn to Look
Make It Safe
Master My Stories
STATE My Path
Explore Others’ Paths
Move to Action
38
Plan
Feedba
ck
Assess
37. Coaching
39
Coaching involves:
Helping others learn through formal or informal
methods
Providing reinforcing and corrective feedback
Guiding others to perform tasks
Goal is to improve work-related behaviors
Coaching is NOT:
Doing it for them
Providing solutions
Plan
Feedback
Assess
38. ITLP Coaching for
Performance
Listen with Care
Concentrate
Ask Questions
Recap
Express Interest
Coaching Skills
Building Relationships
Drawing out ideas
Speaking purposefully
Making assessments
Designing Practices
Facilitation
Anticipating and Resolving
Breakdowns
40
Presenting
Topic
Ask Open-
Ended
Questions
Determine the
Commitment
Ask questions
to create
possible
practices
Anticipate
Breakdowns
Summarize
Follow up
Plan
Feedback
Assess
39. Mid-Year Discussion
Schedule a meeting
Time, Location
Prepare for the mid-cycle status review
Gather feedback materials, documented observations
Invite employee to bring their own examples/documentation
Discuss performance to date
Goals achieved, goals remaining
Provide specific examples
Ask for employee’s perspective
Discuss expectations
Your expectations
Employee’s expectations; possible roadblocks
Update JRW if necessary
Complete the discussion
Complete documentation
Commit to follow up
41
Plan
Feedba
ck
Assess
40. How does this relate to the SRDP?
Assessment42
Planning
Feedback
Assessment
41. Updates to the SRDP
43
Update 1: Inclusion of
documented responsibilities
from JRW. Supervisor is to
document actual results
achieved.
Update 2: Inclusion of
Competencies for Success.
Supervisor is to document
employee’s success at
demonstrating each
competency
Plan
Feedback
Assess
Introduction – Introduce instructor(s), course, participants (go around room and ask names/offices)
Tell participants logistics – length of class, breaks, hand sanitizer/cleaning packets, bathrooms, water fountains, etc
Review goals of the course
Ask participants if there is anything else that they were hoping to get out of the course
Discussion with class – brainstorm what elements of performance management are responsibilities of managers and of staff
Small Groups – each group evaluates all tasks and all roles
Flip Charts, small groups, etc
Large group de-brief facilitated by instructor
Others = other managers, peers, customers, students, parents, etc
Alternate: Stop/Start/Continue conversation
Activity: List elements of the situation that lead to poor performance management. Can you identify with either of the roles in the video?
Point of the video = even when managers think they’ve been completely clear about expectations, sometimes their direct reports have a different impression. This course is about helping you to communicate and document expectations so that everyone is on the same page.
Instructor note: STOP video at 2:27 before the ad for Crucial Conversations comes on.
Activity: List elements of the situation that lead to poor performance management. Can you identify with either of the roles in the video?
Instructor note: STOP video at 2:27 before the add for Crucial Conversations comes on.
Good performance management fosters this type of environment – where employees have clear expectations, receive feedback, and are in a supportive environment
Use Interactive Question Tool to solicit feedback here… participants can suggest and/or vote on suggestions they like.
** Reinforce ITS Community Principles, Diversity **
Discussion: Other factors participants have found to be important
The Performance Management Process helps supervisors to:
See how well employees are achieving goals and carrying out duties
Have a basis for coaching
Have a basis for identifying high performers
Identify training and development needs
Support career development opportunities
Competencies, Community Principles and Unit-Specific Factors are all elements of Performance Management. Job Duties define what needs to be done, while competencies, community principles, and unit-specific factors describe how it is to be done. For example, using “Problem Solving” (a competency), the employee can build an operating budget, one of his/her job duties.
Performance Standards are how you’re measured (the goal to achieve)
Review Performance Management Cycle
Stress that it’s a CYCLE – even though there’s a “Start Here”, the process is ongoing…Assess leads back into Plan for the next year
2 Purposes of this slide – first to give the calendar timing of events; second to demonstrate that both managers and staff are responsible for Performance Management throughout the year.
Job Profile – exists for each Job Position; used in the hiring and leveling processes; should contain representative tasks and responsibilities for that job
Link Evaluate Questionnaire – (confirm with HR) – tool used to identify which competencies are demonstrated at what level for each position. As a reminder, the five competencies measured are Effective Knowledge, Accountability & Self- Management, Teamwork & Leadership, Communication and Innovation & Problem-Solving
JRW – Job Responsibilities Worksheet – Has previously been used to define current duties for a specific job. Is now being expanded to include specific tasks and performance standards associated with each duty. We will discuss this in depth in the next module (Plan).
Observed Behaviors – You will be given a framework during this class for observing and documenting behaviors
Self-Input – Employees should be encouraged to provide input regarding their perspective on accomplishments and goals for the year
Input from others – Supervisors should request input from other managers who have worked with the employee throughout the performance year
Assessment/Evaluation –This refers to the annual assessment completed for each employee. Currently, this is the SRDP; however, this training does not specifically deal with filling out the SRDP. It is intended to provide guidelines for evaluation and documentation of performance assessment regardless of the form used.
Possibly use build slide here to build from left to right. Indicate how many clicks so instructor knows when slide is complete.
Find out if Link Evaluate Questionnaire is going away
Discussion: What are the challenges you currently face in Performance Management?
Large group discussion
[Sr Director leveling moment – possibly open conversation with strengths/weaknesses in Performance Mgt]
Introduce Plan section of Cycle
Section Objectives:
Use the Job Profile and Questionnaire to identify job duties
Establish tasks and performance standards for a job duty
Use the SMART framework to create performance standards
Document job duties, tasks, and performance standards in the Job Responsibilities Worksheet (JRW)
Explain the relationship between the JRW and the Development Action Plan
3 Major tasks within Plan
Collaboration between manager and direct reports
End result of this phase is a completed JRW
This means that we’re introducing new elements and specificity to the JRW. In the past, it’s been seen as a tool that is used for job classification. Now, it will be used for not only job classification, but also to set specific objectives (performance standards) that can be used throughout the Performance Management process
Duties are entered in the “Duties” section of the JRW, and should indicate whether the duty is essential, and the percentage of the job spent on the duty
This part of the JRW should already be completed – you should have gone through this process last year.
***What about long-term use of this training????
Impact section – Make sure that staff member can describe the impact (repeat back) of their responsibility – who will see it, be impressed by it, be delayed by it?
- Know your direct reports – what motivates them? What type of impact should you identify to motivate this specific person?
Figure out the “why it matters”
Point out the areas of the JRW related to Job Duties:
Duty section – clarify what should be entered there. Not to the task level – that will come later.
See if can consolidate with SMART on next page
Need Susan to confirm these examples
Ask the class to identify 1-2 Performance Standards that could be associated with these Tasks.
Consolidate Example slides together – build slide
Step 1: Show sample duty/PS pairing (possibly slightly incorrect – ask them to evaluate)
- 2 correct samples
Step 2: Show sample duty; Ask for PS in large group
Step 3: Small group – use your JRW, select duty, write PS.
Maintain a professional appearance and demeanor as documented in office policy manual
Abide by documented dress code
Treat colleagues with respect
Need Susan to confirm these examples
This list is an example of performance standards for the tasks on the previous page (not a comprehensive list – the participants may identify others that are good examples as well)
Resources Needed:
Job Profile & Questionnaire
JRWs with Duties filled in (provided by instructor, or brought with participants)
SMART guidelines handout
Sample JRW with T&PS completed for each position
Swap with a partner – Review and discuss how they were able to do a SMART Performance Standard
Resized font/boxes
The Development Action Plan focuses on areas employees want to develop in order to grow in their jobs or advance their careers.
Some areas to consider:
Performance Outcomes: What new skills or behaviors are required to achieve this year’s objectives?
Development Areas: Based on performance feedback from past years, where has the employee fallen short?
Career Planning: What new skills and behaviors should the employee work on to prepare for their future career?
University/Department/Unit Plans, Goals and Direction
Development activities should focus not only on the job a person currently holds but also on jobs that may be of interest to the person in the future.
Items can move from someone’s Development Action Plan to their JRW if they become assigned responsibilities or tasks
Icebreaker video – no specific teaching points. Illustrates a bad performance review scenario
Point out where we are in the overall Performance Management cycle.
Important to stress that the Coach phase is all year – everyone should be getting feedback more often than just their annual review
Objectives for this section:
Document performance observations using the CARE method
Provide effective informal feedback
Apply Crucial Conversations and/or ITLP skills to coaching
Conduct a mid-year discussion
Ongoing, timely
Open-Ended question – Why bother recording performance observations?
Seems like a “time suck” and not sure why it matters
**Look for a tool that can do this**
Slide is intended to provide participants with reasons that observing and documenting are important.
--this is a tool to help them so that they have documentation to reference for the annual review
Focus on FACTS – facts of the situation, behavior, results, impacts, etc
Circumstances
Context in which a behavior is observed; May include task, people, resources, processes, stress
Action observed
The presence or absence of specific behaviors related to the task
Results of action observed
The outcome of action taken to accomplish the task
Expectation or Standard
The pre-specified standard of performance for completing the task
Participants can look at participant guide for full description of CARE attributes
Walk through scenario and demonstrate how each part of CARE can be filled in with information from scenario.
All Feedback:
Explain effects - Explain how the behavior benefits or negatively affects you, the employee, and/or the work unit
Ask the employee for comments; then listen and discuss
Express your confidence in the employee’s ability to meet/maintain a high level of performance
Acknowledge: Take care to acknowledge in a way specific to that employee – some employees do not want public recognition while others thrive on it.
Corrective:
Follow up - with additional feedback on improvement efforts – recognize progress
Sit down with your staff – have a discussion about what these mean. What does it take to be a 3, 4, 5?
Use this as a tool in your coaching sessions and Mid-year discussions
Get Unstuck
Identify where you’re stuck
Backtrack to the Crucial Conversation
Step out of Content, Observe Process, and Fix It
Start with Heart
Stay Focused on what you really want
Refuse the Sucker’s Choice
Learn to Look
Look for crucial conversations, silence/violence, your own style under stress
Make It Safe
It’s all about intent – Mutual Purpose, Mutual Respect
Master My Stories
Retrace your path to action
Act – Notice your behavior
Feel – Get in touch with your feelings
Tell a Story – What story is creating these emotions?
See/Hear – Get back to the facts
Watch for victim, villain, helpless stories
STATE My Path
Share Your Facts, Tell your story, Ask for others’ paths, Talk tentatively, Encourage Testing
Explore Others’ Paths
AMPP – Ask, Mirror, Paraphrase, Prime
Move to Action
Decide how to Decide
Agree on WWWF – Who will do What by When and what Follow-up will be taken. Document the agreement.
***Need to see what information from HRDC Coaching training can be pulled in for this section***
Reinforce & Recognize
Providing specific, sincere, positive, appropriate reinforcement of desired behaviors
Develop & Mentor
Takes place before people participate in major activities or events
Includes learning process focus, allows for some mistakes
Empowers staff to think through and decide courses of action
Improve & Correct
Providing specific feedback about behaviors that should be changed, including examples
Supervisor must listen to staff member’s perspective
Requires developing staff member agreement to action
May encounter resistance, rationalizations, defensiveness
From http://www.yale.edu/hronline/focus/documents/Revise11-19Mid-YearPerformanceDiscussions.pdf
Schedule a meeting
Identify a mutually-agreeable time for meeting
Secure a private meeting space
Ask your employees to come prepared
Major accomplishments achieved so far
Their priorities for the rest of the year.
Prepare for the mid-cycle status review.
Collect and review all documented observations
Review your files of what has been accomplished to date
Identify any key development points that should be addressed in the remainder of the performance year
Discuss performance to date.
Share with the employee what goals you think they have done effectively so far this year.
Tell the employee what goals you'd like them to focus on for the rest of the year.
Provide specific, behavioral examples of what the employee is doing particularly well, and of anything that needs to change.
Ask the employee for their perspective on how the job is going.
TIP: Questions like "What's going well?" and "What needs to be improved?“ can be useful.
Discuss your expectations — and the employee’s expectations —
about what the employee should accomplish by the end of the year.
Agree on how goals should be prioritized for the remainder of the assessment year.
Ensure a shared understanding of performance expectations to minimize unpleasant surprises at the year-end performance review.
Find out what challenges or roadblocks are faced by the employee. Ask how you can help eliminate roadblocks, and then follow through.
Update the employee’s JRW, if necessary
Complete the discussion
Thank the employee for their hard work and encourage them in their work for the remainder of the year.
Document the discussion and give a copy to the employee.
Group discussion of how course materials apply in their groups/units/teams?
