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The Performance Management Process

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  • 1. AVPF PERFORMANCE MANAGEMENT PROCESS USER GUIDE Issued April 2005 REV February 2006 pmprocess.doc Page 1 of 33
  • 2. Table of Contents Performance Management Process Introduction ................................................................. 3 Overview of Performance Management Process .................................................................. 4-7 Elements of the Work Plan .................................................................................................... 8-13 Coaching & Feedback ........................................................................................................... 14-17 Skip Level Communication .................................................................................................... 18-20 Summary Performance Evaluation ........................................................................................ 21-23 Key Points.............................................................................................................................. 24-25 AVPF Rebuttal Process ......................................................................................................... 26 Supervisor Checklist .............................................................................................................. 28 AVPF SPE Overview ............................................................................................................. 29 pmprocess.doc Page 2 of 33
  • 3. The Performance Management Process Introduction The Performance Management Process was adopted by AVPF in FY2002 across the entire organization. The major components of the process are the Work Plan, periodic Coaching and Feedback sessions, a Skip Level Communication session between skip level supervisor and employee followed by the Summary Performance Evaluation (SPE) at the end of the cycle. The Work Plan should facilitate a conversation between the employee and supervisor that identifies performance expectations, sets and clarifies goals and supports the exchange of useful Coaching and Feedback. A major key to the successful operation of the process is the creation of a clear and consistent Work Plan. All employees in AVPF should strive to have a Work Plan completed within 30 days of their date of hire or promotion. Since Work Plans have been in place for some time, this portion of the guide may be most useful when devising a Work Plan for a newly created position or for an existing job that is being realigned or re-defined in major ways. Once finished, the Work Plan can be revised and updated each year. The Work Plan will be reviewed and updated as necessary during the periodic Coaching and Feedback sessions. The employee’s success in completion of the goals stated in the Work Plan and the adoption of appropriate work behaviors serve as the basis for the Summary Performance Evaluation. The chart below is a simplified representation of the Performance Management cycle throughout the year. Start of Year Work Plan Summary Performance Evaluation Coaching & Feedback End of Year During Year The Performance Management Cycle pmprocess.doc Page 3 of 33
  • 4. Purpose of the Performance Management Process Planning is a natural activity for people and organizations to help us reduce uncertainty. We make lists of things we need to accomplish in our daily lives and in our jobs. Plans help us manage our time and accomplish our goals. Performance management is a method that links the planning process throughout the entire organization and locates each individual’s plan within the context of his or her department goals and critical initiatives. The purpose of the Performance Management Process is to provide staff with a better understanding of the work that needs to be done and to explore ways to optimize the processes involved with performing that work. It provides a formal mechanism for linking an individual job description with the “big picture” of their department’s and AVPF’s goals and critical initiatives. The Work Plan is a written statement identifying the work to be accomplished by a staff member to successfully support the department, division and University goals and critical initiatives. The Work Plan is a tool both employee and supervisor can use in planning and discussing the work of an employee. This ensures that both individuals have a mutual understanding of the duties and responsibilities of the employee and of the work that the employee contributes to the University. Clear job expectations help employees to make their individual contributions toward those goals. The expected benefits of the Work Plan and performance management include: • More predictability in timing of work flow and accomplish of goals • More focus on outcomes rather than personalities • Better understanding among colleagues of their team’s goals • A more adaptable work force capable of demonstrating initiative in novel situations while remaining consistent with the organization’s overall goals The process of creating Work Plans initially helps managers, supervisors, and employees think about job responsibilities in new ways. This often leads to a better description of tasks. The need to note percentage of time by each Major Area of Responsibility (MAR) generates insights about time management and priority setting. Listing the key customers helps us to think about how our efforts relate to our colleagues’ goals and how our individual efforts fit into a larger context. The Work Plan is an interactive process requiring input from both employee and supervisor. It is important to keep in mind that the value of this process does not come from how well any individual completes the forms or follows the process. Rather the value comes from the regular supervisor/employee meetings that are held to review the Work Plan, to set and review goals, and to evaluate the work. Keeping this in mind, it is imperative that Coaching and Feedback sessions are held at least 3 or 4 times a year. Responsibilities In order for the process to be effective and productive, both employees and supervisors need to understand that they share certain responsibilities. Although supervisors are accountable for pmprocess.doc Page 4 of 33
  • 5. ensuring that every employee in their area has a current Work Plan, employees have a shared responsibility for initiating the process if their supervisor does not follow through for some reason. Employees share responsibility with their supervisor for revision of the Work Plan at the start of the new performance year, preparation of the Summary Performance Evaluation, and prompting the scheduling of Coaching and Feedback sessions if necessary. Supervisors are ultimately responsible and accountable for the completion of Work Plans and Summary Performance Evaluation forms in a timely manner. They are also responsible for the time management necessary to conduct Skip Level Communication meetings and Coaching and Feedback sessions throughout the year. Supervisors should establish and maintain an environment that supports the goals of the Skip Level Communications effort. Supervisors should allow employees the time needed to prepare the Work Plan, Summary Performance Evaluation and Skip Level Communication sessions. Managers are responsible and accountable that each supervisor within their division or unit is using the elements of performance management. By signing the Work Plans and SPE forms, the manager is signifying that they have reviewed the underlying material and endorse the propriety of the process as well as the content of the reports. Managers are responsible for providing a supportive environment where the supervisors in their department utilize the Performance Management Process, including Coaching and Feedback and Summary Performance Evaluations in accordance with the purposes and goals stated above. Managers are the coaches of their supervisors just as supervisors are expected to be the performance coaches for the employees under their purview. Finally, managers are responsible for the scheduling of the Skip Level Communication sessions for their area. The Role of Department or Group Goal Setting Department or group goal setting provides AVPF units and work groups the opportunity for arriving at a shared understanding of their mission, goals, and priorities. AVPF Critical Initiatives from the Executive Lead Team will have been set and shared with units and so that some or all of each group’s goals align with the organizational goals. The executive leadership is expected to be aware of unusual or non-recurring challenges facing the organization in the coming year. In addition, they set the priorities and broad goals of the organization. It has been demonstrated that executives seek information about upcoming challenges from internal as well as external sources. By interacting with the supervisors reporting directly to them, executives learn about emerging challenges and have the opportunity to plan for them ahead of time instead of reacting to crises that could have been anticipated. Each organization has its own means and methods of strategic planning. Sometimes, but not always, this kind of planning links to the budget formation cycle. The two cycles can be on different timetables, but it quickly becomes obvious that goal attainment requires resource planning as well as goal setting. pmprocess.doc Page 5 of 33
  • 6. Ideally an annual departmental or work group goal setting process would be completed before individual Work Plans are developed. This is so that the employees and supervisors have a clear understanding of the goals of the work group or unit before discussing the employee’s individual role in that group. The earlier an organization or department’s goals enter the Performance Management Process, the more influence they can exert on the individual Work Plans that result. Who Should Complete the Individual Performance Management Process? Each area needs to determine who should be responsible to complete the first draft of the initial Work Plan. Gathering all the information needed to complete the individual Work Plan and giving time for thoughtful responses to each question may take several hours (especially when completing the Work Plan for the first time). The supervisor should reassure the employee that this is a priority, and that the supervisor will help him/her find ways to set aside some time for this activity. Before the employee completes the Work Plan for the first time, the supervisor should meet with him/her (or perhaps all employees in a group) to set the context for using the Performance Management Process for their particular area and to set expectations for how the process should be completed. The supervisor should stress that the employee can ask for further guidance or clarification at anytime. This guide should also help the employee in completing their Work Plan. If the employee completes the initial Work Plan, it would be ideal if the supervisor could review the draft plan prior to the meeting with the employee to formalize the plan. If the supervisor is familiar with the completed Performance Management Process in advance, it will make for a more productive meeting. Allow for at least an hour when meeting to discuss the Work Plan for the first time. If the employee has a split appointment and/or is working with project teams outside their immediate work group, he/she should share a copy of the completed Work Plan with the team leaders for those projects and meet with those team leaders or supervisors to discuss his/her Work Plan goals for those projects. Keep in mind that the manager of your specific unit or sub unit will also need to approve the individual Work Plans of your group. General Considerations for Completing the Performance Management Process Every employee, supervisor and manager in the AVPF organization must have an individual Work Plan to be kept current and updated at least once a year. Throughout the creation of the Work Plan, both employee and supervisor should ask as many questions as needed of each other and their manager in order to create a document that is meaningful and mutually understood. When the Work Plan is complete, a one-on-one meeting will be scheduled to discuss it (and perhaps make revisions) before formally signing the completed document. During subsequent ongoing Coaching and Feedback meetings, the supervisor and employee may revise the initial Work Plan and document changes as appropriate. The notations made during pmprocess.doc Page 6 of 33
  • 7. these periodic Coaching and Feedback meetings serve as an important part of the Summary Performance Evaluation Process completed at the end of the year. When Not to Use the Performance Management Process The Performance Management Process should not be used as the first indication of disciplinary issues. In other words, do not wait for a Coaching & Feedback session to address any disciplinary issues. These issues, (such as attendance abuse, insubordination, etc.) should be dealt with immediately as noted in University policy and in a separate context from the Work Plan. However, progress in resolving these issues might become part of the continuous improvement strategies determined by the employee/supervisor as part of the Work Plan in conjunction with a Performance Improvement Plan. pmprocess.doc Page 7 of 33
  • 8. The Elements of the Work Plan Section I. Alignment Page one of the Work Plan document is the explicit link between the departments critical initiatives and goals and the individual employee. Attach the relevant Critical Initiatives and department goals to this document if they cannot be stated in the space provided. Enter the employee’s name, title/position, department name and employee identification number (EmplID) in the spaces provided. Enter the names of the supervisor and the department manager in the spaces provided. Specify the period covered by this Work Plan (usually June 1 through May 31). Indicate the dates of the completion of the appropriate Coaching and Feedback sessions as they occur throughout the year. pmprocess.doc Page 8 of 33
  • 9. Specify the overall job goal or purpose of this employee’s job. This should be a short summary that conveys the overall purpose of the job. The Work Plan expands with more details in Section III. Major Areas of Responsibility (MAR). Indicate the full time equivalent for this job as a percentage. If the appointment is split between two or more units, the percentage will be less than 100%. An employee with no split appointment would read as 100%. When a staff member has two or more supervisors within the same unit, all supervisors should provide input for both the SPE and the work plan. An employee whose appointment is split between multiple units would require two or more work plans. The following definitions refer to sections found on the first page of the Work Plan: Term Definition AVPF Strategic These overarching strategic AVPF goals will have been written into the Goals template. It is expected that an employee’s Work Plan will eventually be linked to these AVPF goals through their department/divisions goals or critical initiatives. Employee Employee’s name as it appears on departmental records. Title/Position Employee’s working title as it appears on departmental records. Classification Department Name of Employee’s department. Supervisor Name of Employee’s direct supervisor, responsible for day-to-day supervision. Manager Name of direct supervisor’s supervisor or manager. Performance Usually June1-May 31, unless the period is shorter due to special Summary Period assignment, transfer, new hire date. Work Plan/Coaching Supervisors and employees date and initial for each of their coaching and Feedback and feedback sessions. Two sections: One for 3 sessions per year, one for 4 sessions per year. Job Goals / Purpose / This identifies the % FTE (full time equivalent) appointment that this % Appointment employee is supervised by this supervisor in this department (usually 100%). In cases where there is a split appointment, or an appointment to multiple projects, each Work Plan shall identify the portion of the overall FTE that is assigned to this supervisor or project leader for the Work Plan. Job Goals / Purpose “The employee performing this job is responsible for:” This section describes in several sentences or phrases specifically what this person in this position is responsible for, in broad terms. This section can be used to transition from a traditional description of duties to the Work Plan. Section II. Values and Behaviors This section describes the behavioral expectations of how employees are expected to fulfill their responsibilities in line with the AVPF Core Values. Work Behaviors are to be discussed as part of the Coaching and Feedback component of the Performance Management Process. Coaching and Feedback entries should be entered into this section. pmprocess.doc Page 9 of 33
  • 10. Section III. Major Areas of Responsibility Below is a sample of a Major Area of Responsibility or MAR on the Work Plan. pmprocess.doc Page 10 of 33
  • 11. This section asks the employee to complete an outline of their MAR’s percentage of total effort, and to identify specific goals, activities, and customers for each area. The employee must also assign a percentage (%) effort for each area of responsibility. A MAR is a natural clustering of tasks in an employee’s position. It answers the question, “what is the employee responsible for”. The response to this question should include big items and major clusters of responsibility and not specific tasks (e.g. “responsible for initiating network access for departments, schools, and colleges on campus” rather than “writing periodic status reports”). A Work Plan usually contains at least three, but no more than seven MARs. Each task in an employee’s job description is not necessarily a MAR. Percentage of Effort (% Effort) This percentage describes the amount of an employee’s effort that should be expended on this MAR. It enables clarification between employee and supervisor of the amount of time an employee should be spending on this MAR. A 20% effort identifies 8 hours of work per week in a given MAR. The intent is that the percentage of effort is a rough estimate to show the relative emphasis of one MAR to the others. pmprocess.doc Page 11 of 33
  • 12. It is recommended that employees not list any MAR’s that are less than 5% of their overall duties. (5% is approximately 2 hours/week.) Key Customers Identify all customers for each MAR, or in some cases, each goal. A customer is a person (internal or external to AVPF) who benefits by or relies on successful performance of this MAR. Goals This portion of the Work Plan identifies the specific goals to be accomplished in this MAR within the percentage of effort assigned to this MAR. It answers the question “What do you want to accomplish this year?” Ideal goals are SMART – Specific, Measurable, Achievable, Relatives, Timed. Activities (How are you going to accomplish your goals?) List in this column the major tasks and activities that apply to each goal in this area of responsibility. For long-term projects where milestones serve as a better measure for the goal than trying to identify specific tasks or activities, significant milestones should be identified. If useful for clarification, when listing tasks, activities or milestones include an estimated completion date for each task, activity, or milestone. In ongoing Work Plan sessions, discussion of this activities section also promotes an opportunity to discuss activities that have been added since the last meeting and to identify any activities the employee is doing that are not yet mutually agreed upon (i.e. identify any potential surprises). Coaching and Feedback Notes During the periodic Coaching and Feedback sessions, changes to the Work Plan should be noted, additional short term goals set as necessary, and both employee and supervisor are encouraged to write notations about feedback given. pmprocess.doc Page 12 of 33
  • 13. A MAR specific to supervisors This MAR is included in each Supervisor’s Work Plan and is mandatory for all supervisors in the AVPF organization. The purpose is to provide a template for the continued discussion between supervisors and their supervisor/manager concerning the professional development of the staff members under their supervision. In addition, the supervisor is required to seek direct feedback from their supervisor in order to improve their leadership and the functioning of their team. There is no percentage assigned to this MAR. pmprocess.doc Page 13 of 33
  • 14. Coaching and Feedback It is the supervisor’s responsibility to ensure that employee/supervisor hold Coaching and Feedback sessions at least three or four times a year. The purpose of these meetings is to review the previous period in order to adjust the Work Plan for the next period if necessary. Below are timelines for three or four times a year Work Plan cycles. Timeline/action required THREE TIMES PER YEAR DUE DATE ACTION FOR SUPERVISOR ACTION REQUIRED FOR HR June 1 Work Plan Begins By October 1 1st Coaching and Feedback Session Covers June 1 - September 30 for work completed Covers October 1 - January 31 for planned work Supervisor should meet with staff member to go over MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on MAR's that are going well and MAR's that need improvement and what the improvement needs to be. These comments can be on the Work Plan or on a separate sheet of paper that should be attached to the Work Plan in the supervisor's work file. A copy of the comments should also be given to the staff member. Discussion should also occur regarding planned work. Priorities for the coming quarter should be clearly defined. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching & feedback session took place. Complete Supervisors Checklist. Maintain original for your file Submit Supervisors Checklist by and send electronic copy to AVPF Unit HR Administrator. October 1 to AVPF Unit HR Administrator. By February 1 2nd Coaching and Feedback Session Covers October 1 - January 31 for work completed Covers February 1 - May 31 for planned work Supervisor should meet with staff member to go over MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on MAR's that are going well and MAR's that need improvement and what the improvement needs to be. These comments can be on the Work Plan or on a separate sheet of paper that should be attached to the Work Plan in the supervisor's work file. A copy of the comments should also be given to the staff member. Discussion should also occur regarding planned work. Priorities for the coming quarter should be clearly defined. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching & feedback session took place. Update your Supervisors Checklist. Maintain original for your Submit Supervisors Checklist by file and send electronic copy to AVPF Unit HR Administrator. February 1 to AVPF Unit HR Administrator. pmprocess.doc Page 14 of 33
  • 15. By June 1 3rd Coaching and Feedback Session (final session of year) Summary Performance Evaluation Covers February 1 - May 31 for work completed Covers entire Year (June 1 - May 31) for SPE The SPE (Summary Performance Evaluation) is completed for Submit original SPE with all this coaching and feedback session. Supervisor should required signatures by June 1 to comment in writing on MAR's that are going well and MAR's that AVPF Unit HR Administrator. need improvement and what the improvement needs to be. These comments should be included on the SPE Form. Work Values and Behaviors should also be addressed on the SPE Form as well as the Overall Performance of the staff member. A signed copy of the SPE Form should be given to the staff member. If staff member does not "Meet" Work Values and Behaviors, they DO NOT "Meet" Overall Work Performance and are not eligible for the September Salary Program. Supervisor and staff member should initial front page of Work Plan and note the date that the Summary Performance Evaluation took place. Update Supervisors Checklist. Make copy for your file and send Submit original Supervisors original to AVPF Unit HR Administrator. Checklist with Signatures by June 1 to AVPF Unit HR Administrator. By June 1 New Work Plan for coming year Submit electronic copy of new Work Plan for coming year by June 1 to AVPF Unit HR Administrator. Staff member and supervisor should work together to create or Work plan must be reviewed and revise previous Work Plan based on new conditions, approved by supervisor. assignments or revised goals and objectives for the coming year. Discussion should also occur regarding planned work. Priorities for the 1st quarter of the new year should be clearly defined. pmprocess.doc Page 15 of 33
  • 16. Timeline/action required FOUR TIMES PER YEAR DUE DATE ACTION FOR SUPERVISOR ACTION REQUIRED FOR HR June 1 Work Plan Begins By September 1 1st Coaching and Feedback Session Covers June 1 - August 31 for work completed Covers September 1- November 30 for planned work Supervisor should meet with staff member to go over MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on MAR's that are going well and MAR's that need improvement and what the improvement needs to be. These comments can be on the Work Plan or on a separate sheet of paper that should be attached to the Work Plan in the supervisor's work file. A copy of the comments should also be given to the staff member. Discussion should also occur regarding planned work. Priorities for the coming quarter should be clearly defined. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching & feedback session took place. Complete Supervisors Checklist. Maintain original for your file Submit Supervisors Checklist by and send electronic copy to AVPF Unit HR Administrator. September 1 to AVPF Unit HR Administrator. By December 1 2nd Coaching and Feedback Session Covers September 1 - November 30 for work completed Covers December 1 - February 28 for planned work Supervisor should meet with staff member to go over MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on MAR's that are going well and MAR's that need improvement and what the improvement needs to be. These comments can be on the Work Plan or on a separate sheet of paper that should be attached to the Work Plan in the supervisor's work file. A copy of the comments should also be given to the staff member. Discussion should also occur regarding planned work. Priorities for the coming quarter should be clearly defined. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching & feedback session took place. Complete Supervisors Checklist. Maintain original for your file Submit Supervisors Checklist by and send electronic copy to AVPF Unit HR Administrator. December 1 to AVPF Unit HR Administrator. By March 1 3rd Coaching and Feedback Session Covers December 1 - February 28 for work completed Covers March 1 - May 31 for planned work Supervisor should meet with staff member to go over MAR's listed on Work Plan for the covered quarter. pmprocess.doc Page 16 of 33
  • 17. By March 1 Continued 3rd Coaching and Feedback Session (Continued) Supervisor should comment in writing on MAR's that are going well and MAR's that need improvement and what the improvement needs to be. These comments can be on the Work Plan or on a separate sheet of paper that should be attached to the Work Plan in the supervisor's work file. A copy of the comments should also be given to the staff member. Discussion should also occur regarding planned work. Priorities for the coming quarter should be clearly defined. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching & feedback session took place. Complete Supervisors Checklist. Maintain original for your file Submit Supervisors Checklist by and send electronic copy to AVPF Unit HR Administrator. March 1 to AVPF Unit HR Administrator. By June 1 4th Coaching and Feedback Session Summary Performance Evaluation Covers March 1 - May 31 for work completed Covers entire Year (June 1 - May 31) for SPE Supervisor should meet with staff member to go over the entire year. The SPE (Summary Performance Evaluation) is completed for Submit original SPE with all this coaching and feedback session. Supervisor should required signatures by June 1 to comment in writing on MAR's that are going well and MAR's AVPF Unit HR Administrator. that need improvement and what the improvement needs to be. These comments should be included on the SPE Form. Work Values and Behaviors should also be addressed on the SPE Form as well as the Overall Performance of the staff member. A signed copy of the SPE Form should be given to the staff member. If staff member does not "Meet" Work Values and Behaviors, they DO NOT "Meet" Overall Work Performance and are not eligible for the September Salary Program. Supervisor and staff member should initial front page of Work Plan and note the date that the Summary Performance Evaluation took place. Update Supervisors Checklist. Make copy for your file and Submit original Supervisors send original to AVPF Unit HR Administrator. Checklist with Signatures by June 1 to AVPF Unit HR Administrator. By June 1 New Work Plan for coming year Submit electronic copy of new Work Plan for coming year by June 1 to AVPF Unit HR Administrator. Staff member and supervisor should work together to create Work plan must be reviewed and or revise previous Work Plan based on new conditions, approved by supervisor. assignments or revised goals and objectives for the coming year. Discussion should also occur regarding planned work. Priorities for the 1st quarter of the new year should be clearly defined. pmprocess.doc Page 17 of 33
  • 18. Skip Level Communication Skip Level Communication provides an opportunity for employees to have a meeting with their supervisor’s supervisor. Skip Level Communication meetings should be scheduled once a year. The goal is to improve communications and strengthen teamwork by promoting a familiarity between employees and their supervisor’s supervisor. Roles – For any given Skip Level Communication session, there are three roles: • Skip Level Manager/Supervisor • Direct Level Supervisor • Employee Each unit within AVPF determines how they will proceed with scheduling skip level sessions in their areas. Some may choose to schedule them year round while other smaller units may concentrate on doing it during a specific time of the year (i.e. May/June). Once the schedule is determined, the skip level supervisor/manager arranges for a time to meet with the employee. Every employee should have the opportunity to participate. They may decline the invitation from the skip level supervisor/manager if they choose. Skip Level Supervisor/Manager Preparation Review the employees Work Plan and/or Summary Performance Evaluation. Meet with employee’s supervisor to gain perspective on current issues likely to be brought up by employees during the sessions. Determine supervisory or first-line management goals and/or decisions that need to be reinforced during each employee session. Examine climate of the department and the AVPF Organization. Questions a Skip Level Supervisor/Manager might ask the Direct Level Supervisor: • Are there any general concerns that might be addressed? • Are there issues or needs that might be brought up during the session? • Are there issues or needs that may be explored or otherwise need reinforcing during each session? • Is there any feedback that you would like me to solicit? • Are there any questions you would like me to ask? Suggested Discussion Topics: Performance Management Process experience Employee Goals/Training – preparation required Current issues/obstacles to goal achievement Suggestions for improvement – within department or within the University at large Departmental Goals and Objectives – general discussion giving manager’s perspective and employee role General feedback for management/supervision/leadership pmprocess.doc Page 18 of 33
  • 19. Other tips: Session may last 10 – 30 minutes Cultivate a comfortable atmosphere Don’t force discussion about work issues Deal with confidential issues in the recommended manner. Ask the employee if there are actions you can take that will not breech confidentially. After the Session Note highlights after each individual session on the Skip Level Communication Form; do not include employee name. After all sessions are complete, prepare a summary. Forward copies of all Skip Level Communication forms and your summary to the AVPF Unit HR Administrator for your department. They will analyze employee needs, general concerns, and recommendations for improvement. Summarize Action Plans for your boss and your staff. (at least 3 “public” actions) Prepare an informal summary for the “direct supervisor”. Discuss feedback with them and set goals. Inform staff of actions taken if/when appropriate. If no issues have surfaced from the Skip Level sessions, then at the very least prepare a memo or email to staff thanking them for their time and reminding them they are welcome to contact you any time throughout the year. Accountability The Skip Level Manager/Supervisor is responsible for: • Formulating an action plan based on feedback received. • Communicating those actions to staff and your boss. • Discussing the summary of information exchanged with each direct level supervisor without violating confidentiality, and coming to an agreement on goals/action steps for the direct level (and skip level if necessary) supervisor based on the feedback given. As relevant, help the direct level supervisor incorporate these goals/actions into their Work Plan to be reviewed on an ongoing basis, at a minimum during the next Coaching and Feedback session. Hold Skip Level Communication sessions on an annual basis and act on the results. This should be incorporated into all skip level supervisors Work Plans. Send a copy of the forms to the departmental AVPF Unit HR Administrator if and when completed. Documentation Employee Identity should be kept strictly confidential The Skip Level Communication Form will be utilized to document discussion results (Employee’s name will not appear on the form). Do not write on the form during the session, but it’s generally recommended to keep informal notes during the conversation. pmprocess.doc Page 19 of 33
  • 20. Feedback from the AVPF Unit HR Administrators to the Department Head concerning any recognized trends, recommendations, or general concerns should follow. Overall responses or reactions concerning the Performance Management Process, in particular, should also be directed both to our internal AVPF AVPF Unit HR Administrators and department management to provide continuing input on the employee’s perception of our Performance Management Process. pmprocess.doc Page 20 of 33
  • 21. Summary Performance Evaluation (SPE) Summary Performance Evaluations (SPE) are based on approved Work Plans. The SPE is an overall summary of performance compared against expectations and goals. If a staff member has two or more supervisors within the same unit, all supervisors should provide input for both the SPE and the work plan. An employee whose appointment is split between multiple units would require two or more work plans Summary Evaluation Forms Summary Performance Evaluations should be written for all staff in AVPF at the end of the Performance Management Process. The SPE is an excel form that includes a brief instruction sheet, a page for rating the employee’s work values and behaviors, and a separate page for comments that support the ratings. Comments are required. Supervisors are required to review the draft SPE with the next level of management prior to reviewing the SPE with the employee. The SPE should then be discussed during a face-to-face session with the employee. The SPE including signatures of the employee, the evaluating supervisor and the next-level supervisor must be completed and submitted to the unit HR Administrator by May 31. This includes all new staff that are eligible for the September Salary Program. pmprocess.doc Page 21 of 33
  • 22. Overall Rating All staff will be evaluated overall for the year in their Summary Performance Evaluation with one of the following ratings: Does Not Meet (DN), Improving Toward Expectations or Needs Improvement (IE), Meets Expectations (ME), Exceeds Expectations (EE), or Sustained Excellence (SE). If the overall designation, “Does Not Meet” is indicated, there should be a separate documented Performance Improvement Plan (PIP) for improvement with milestones and timelines developed with the employee prior to the Summary Performance Evaluation session. These documented Performance Improvement Plans shall have been reviewed by the Human Resource Officer (or representative) and then submitted along with the Summary Performance Evaluation. In addition, the Work Values and Behaviors section and each MAR will receive a rating. Comments are required on the SPE form to support the rating of the Work Values and Behaviors and the MARS. Improving toward expectations or needs improvement means that either the expectations were not entirely met or that there are areas in need of improvement. The required comments should clarify whether the employee made reasonable progress toward the goal or there were circumstances beyond their control that prevented accomplishment. The comments should also clarify and specify the areas in need of improvement. The meeting to discuss the SPE also wraps up the Performance Management Process for the year. It is suggested that supervisor and employee spend 15 minutes of Coaching and Feedback on the last quarter looking back, 30 minutes discussing the SPE which takes into account the entire year looking back and lastly, 15 minutes reviewing Work Plan changes for the year looking forward. To prepare for the SPE, the employee should review their own Work Plan concerning goal achievement and complete the SPE for themselves. pmprocess.doc Page 22 of 33
  • 23. The supervisor should draft their own SPE for each employee and must discuss it with their next-level supervisor prior to the SPE session with the employee. When it is time for the actual SPE meeting, supervisors should schedule a time (an hour) with each employee before May 31. Provide the employee a copy of the supervisor prepared SPE one or two days before the scheduled meeting. During the SPE Session Introduce the session and its three purposes (Last period Coaching and Feedback, Summary Performance Evaluation, Work Plan for new cycle). Set a positive tone. Last Period Coaching and Feedback Review the Work Plan and evaluate the year’s last performance period. Provide Coaching and Feedback (“the period looking back”), and clarification of the time spent on MAR’s since the previous coaching through May. Make brief notes on the Work Plan, if applicable. Summary Performance Evaluation Come prepared to recognize and appreciate accomplishments and efforts in each MAR and in the Work Values and Behaviors Section. (“Year looking back”) Discuss any areas with the designation “Does Not Meet” or “Improving Toward Expectations” and how best to summarize it and plan for improvement. Get feedback for yourself using open-ended questions. (Examples: How can I help you do your job better? What kind of support do you need from me? ) Remember to mention the rebuttal process. (Hand them a copy.) Outline next steps of this SPE process (The form will be finalized and signed by employee/supervisor/next level supervisor; original will go in Central HR file as well as departmental HR file; copy to employee.) Creation of a new Work Plan Review new Critical Initiatives, Departmental Goals and their implication for the staff members MARs and goals. Agree on how/when the new Work Plan will be printed and signed. Thank them and volunteer to schedule a future meeting if other topics have arisen which need to be discussed. If both employee and supervisor agree with the supervisor-prepared SPE, or the form completed during the session, both can sign and date the form. If the employee feels that the evaluation is accurate, but incomplete, he or she may provide additional information to be attached to the SPE. (Please check the box on the form that indicates that additional comments are included.) An example might be a copy of an award received or completion of a training program. Additional comments need not be adversarial or in the nature of a rebuttal to be included. An employee may wish to provide more detailed data regarding their pmprocess.doc Page 23 of 33
  • 24. accomplishments during the year or amplify comments made by the supervisor. These additional comments are not required but can be included. If the employee feels that the evaluation is unfair, incorrect or does not accurately reflect their performance, they may write a rebuttal and follow the rebuttal process. This rebuttal should also be attached to the SPE package. (Please check the box on the form that indicates that additional comments are included.) After the session Finally, make copies of the completed evaluation for the employee and yourself and forward the signed original to the appropriate manager. Eventually, the completed signed original of the SPE will go into the employee’s central HRAA personnel file. Complete the supervisor checklist and at the end of the cycle, send the original signed checklist along with the original SPE’s to your department’s AVPF Unit HR Administrator by June 1. Keep a copy of the SPE for your files and send a copy to your departmental file (if applicable). Check with your AVPF Unit HR Administrator if you have questions. pmprocess.doc Page 24 of 33
  • 25. KEY POINTS TO KEEP IN MIND during the Coaching & Feedback sessions and Summary Performance Evaluations Be prepared Will any part of this SPE come as a surprise to the person? (It should not.) Can you deal with any serious performance issues prior to the SPE? If you assign “improving” or “does not meet expectations” to any area, be prepared to review in greater detail the performance expectations you have concerning this area. You should be prepared to describe what acceptable performance would look like and steps the employee might take to improve in this area. Avoid common rater errors First Impression Error - the tendency for the supervisor to make judgment decisions early. The supervisor may miss critical information exchanged later on with such a mindset. Similar to Me Error - all else being equal, supervisors will give higher ratings to employees they perceive as similar to themselves. Halo Effect - the error of positively or negatively generalizing over several dimensions of performance, based on an overall impression or salient characteristic of the employee. As a result, each performance category does not receive a valid evaluation. Primary, Recency Effect - the tendency to not treat all information equally for humans remember first impressions and most recent events best. Important information may get lost in the middle. (Always review all of your notes, records and review the calendar for key events during the year.) Sex and Attractiveness Bias - the error of factoring the employee’s sex or physical attractiveness into judgments about their performance in their position. Misinterpretation of Nonverbal Cues - the tendency to misinterpret or not question nonverbal behaviors. It is important to overcome the hesitancy to tactfully investigate the true cause of such behaviors. Judgment Bias - the error of revealing one’s own value system when reacting to an employee’s response. It is extremely important to react in a non-judgmental manner so that the employee will respond honestly and candidly to the questions posed. Any judgments should be made according to the organization’s goals and relevance to the job. DO DO NOT Schedule a meeting time that works for Conduct the meeting without adequate both the employee and yourself preparation time Be prepared for the meeting Hold a superficial discussion pmprocess.doc Page 25 of 33
  • 26. Close the door and do not allow for Discuss personality traits and attitudes interruptions (phone, pager) Dwell on isolated incidents Use language that will be clearly understood Dwell on weaknesses, faults, or shortcomings Focus on the performance, not the person Compare the employee with another or Consider the employee’s performance with oneself throughout the year Get into problem-solving or idea Use specific examples to support your generating discussions (Schedule another praise or criticism meeting to do this) Make notes to yourself in advance to Use this session to discipline an employee clarify your evaluative comments, particularly criticisms, so you can be very Repeat constructive criticism in an attempt clear to soften the blow. Say it once and then listen! Avoid absolutes such as always or never Provide excuses for bad news. State your Give the employee advance notice that observation and allow the employee to you will be asking for feedback and provide respond the questions (e.g. How can I help you do your job better? What kind of support do Use the session to discuss employee you need from me that you’re not getting?) career development plans. Schedule this for another meeting Summarize and ask the employee to Avoid telling the truth for fear of summarize disagreement of an on-going performance problem. Avoid surprises pmprocess.doc Page 26 of 33
  • 27. AVPF Summary Performance Evaluation Rebuttal Process For non-bargained-for staff members The rebuttal process is to be used by any staff member who feels the Summary Performance Evaluation does not accurately reflect his/her job performance. This process is as follows: 1. The staff member and immediate supervisor should first work together to address any concerns or differences of opinion in the evaluation. 2. If the staff member and supervisor cannot reach agreement on the concerns, these concerns should be documented by the staff member, and signed/dated by the supervisor, then attached to the evaluation form. Optionally, the Work Plan with Coaching & Feedback notes may be included. The evaluation form should then be signed and dated by the supervisor and the staff member. Copies of the entire package should be given to the employee. 3. The supervisor’s manager will review the signed evaluation (including the signed document describing the employee’s concerns) and formulate the next steps to a resolution and communicate them in writing to the supervisor and the employee. 4. If the staff member is not satisfied with the manager’s resolution, she/he may contact: • Any department manager, any direct report to Peggy Norgren or Peggy Norgren herself • The AVPF Unit HR Administrators within the department • The AVPF Human Resource Officer, Cheryl Reed • The HRAA Representative, Jon Lund For bargained-for staff members Please refer to the contract guidelines. pmprocess.doc Page 27 of 33
  • 28. Supervisor Checklist The Supervisor Checklist should be filled in with each employee name and the dates that Coaching and Feedback and SPE sessions occurred. A copy of the checklist should be included in your own summary information with your supervisor, as well as sent to your department’s AVPF Unit HR Administrator after each Coaching and Feedback session has been completed. Three times per year: Four times per year: pmprocess.doc Page 28 of 33
  • 29. AVPF SUMMARY PERFORMANCE EVALUATIONS (SPE) Rating Overview and Guidelines I. EVALUATING PERFORMANCE Review the Performance Rating Overview (#2 below). The overview describes general behavior at each of the five rating levels: "Does Not Meet Expectations", "Improving Toward Expectations OR Needs Improvement", "Meets Expectations", "Exceeds Expectations", and "Sustained Excellence". In an effort to be consistent, the detailed Work Values and Behaviors Overview (beginning on the next page) provides specific examples within each work value and behavior at the "Does Not Meet Expectations", "Meets Expectations", and "Sustained Excellence" levels. II. PERFORMANCE RATING OVERVIEW This guide overview should be used as a reference tool when rating your employee's performance during the SPE process. The examples given are broad in scope and may not apply specifically to every position in the organization. Following are broad definitions of each rating category. Does Not Meet Expectations (DN) Improving Toward Expectations Meets Expectations (ME) Exceeds Expectations (EE) Sustained Excellence (SE) (IE) OR Needs Improvement Numeric value = 1 Numeric value = 2 Numeric value = 3 Numeric value = 4 Numeric value = 5 "The unacceptable performer." "The under/inconsistent "The good, competent "The high achiever." "The role models." performer." performer." Not meeting expectations of the job Employees who perform at this level Meeting expectations of the job Regularly exceeding expectations of Consistently going well above and overall should be counseled and the job beyond the expectations of the job With the rare exception, an considered for the Performance Accomplishing all tasks in a timely, employee rated DN overall should Improvement Plan (PIP) process complete and accurate manner, Regularly exceeding expectations Consistently showing strong have been made aware of his or her with values and work behaviors when accomplishing tasks, with initiative and going 'above and unsatisfactory performance prior to consistent with the expectations of values and work behaviors often beyond' when accomplishing tasks, the performance evaluation the organization surpassing the expectations of the with values and work behaviors organization consistently surpassing the If the employee is not already being Expectations should be defined in expectations of the organization counseled through the Performance context of the amount of time the Improvement Plan (PIP) process, employee has been in position. True leaders in the organization an action plan should be put New employees can meet with sustained excellent immediately into place and follow- expectations for the particular performance throughout the entire up should occur approximately 30 timeframe they have been in year days after the review position. pmprocess.doc Page 29 of 33
  • 30. ACHIEVING RESULTS Description Does Not Meet Expectations IE Meets Expectations EE Sustained Excellence Process Improvement Accomplishing tasks by taking • Unwilling to change processes • Naturally identifies process improvements • Constantly exhibits a pattern of taking immediate action Exceeds Expectations Improving Toward advantage of opportunities to • Is not practical and pragmatic when implementing • Creates a climate in which individuals feel free to whenever there are opportunities for process improvements, Expectations improve processes. changes in processes improve processes with high levels of success • Slow to react and get involved • Adopts new processes after assessing appropriate • Willing to get involved in projects inside or outside area of • Does not respond to requests, opportunities or risks responsibility emergencies with new ideas • Implements new processes in a practical and • Extremely effective in implementing quick, effective and pragmatic way pragmatic improvements • Takes on improvements in processes independently • Seeks out and seizes continuous improvement and with enthusiasm Innovation Adopting solutions which are • Misses or fails to explore significant opportunities • Creates a climate in which individuals feel free to • Extremely resourceful Exceeds Expectations creative, resourceful and for innovation present ideas • Consistently willing to experiment and take informed risks with Improving Toward imaginative. • Takes unnecessary risks • Approaches situations with creativity and an open favorable outcomes Expectations • Unwilling to take risks mind • Continually generates innovative ideas and solutions to • Is not practical and pragmatic when implementing a • Adopts innovative solutions after assessing problems and issues solution appropriate risks • Proactively approaches solutions with creativity and an open • Uses available tools and existing information when mind creating solutions • Encourages open exchange of feedback and ideas to obtain • Implements solutions in a practical and pragmatic the best possible result way Adaptable to Change Adjusting to different people • Is resistant to change • Open minded to others’ ideas and opinions • Successfully anticipates, plans and executes change Exceeds Expectations and situations by being aware • Unable to adapt to others • Initiates and promotes change within the strategies Improving Toward of their differing motivations • Fails to react to changing business environment organization • Recognizes opportunities for improvement and motivates team Expectations and intentions. • Unable to compromise effectively with colleagues or • Actively involves team members in planning and to seek and implement productive changes Anticipating/driving changes in so adaptable as to be perceived as not having any implementing change • Shows strength of conviction, but knows when to compromise. support of business needs. conviction • Able to respond effectively to a variety of work and to • Consistently responds effectively to a changing work • Does not involve appropriate partners in the change meet the needs of a changing work environment environment process • Effective at managing during a period of change • Consistently handles crisis situations effectively • Does not demonstrate the ability to lead employees through change Customer Focused Improving Toward Expectations Understands a customer's • Does not build customer trust and/or satisfaction • Consistently maintains customer satisfaction and • Consistently builds customer trust by proactively anticipating business needs and provides • Demonstrates little or no understanding of customer trust customer needs Exceeds Expectations service levels accordingly. needs • Shows awareness of customer concerns and actively • Proactively develops and/or modifies action plans to meet the Solicits input from customers to • Does not measure customer satisfaction or take seeks ways to improve service levels changing demands of the work environment and improve improve steps to improve service levels • Identifies potential impact of business decisions on customer satisfaction relationship/satisfaction. • Does not respond to requests or inquiries in a timely customers, changes are made to meet the needs of • Proactively analyzes potential impact of initiatives on the Regarded as visible and and accurate manner the customer business and minimizes disruptions to customers and accessible by customer. • Inaccessible and/or poorly informed • Seeks feedback from customers to ensure needs are employees alike met • Actively seeks feedback from customers to ensure needs are • Researches and/or follows up on inquiries, problems, met or issues in a timely and accurate manner • Continually looks for ways to be more accessible and informed • Accessible to customers Committed to Organizational/Departmental Goals Understands • Does not understand or keep up to date with • Focused on the goals of the organization/department • Identifies issues that are relevant to the larger organization Exceeds Expectations organizational/departmental organizational/departmental issues • Sets an example for other employees through and develops solutions to manage such issues Improving Toward issues. Sees the big picture in • Fails to demonstrate an awareness of commitment to job • Demonstrates proficiency in functions outside of the immediate Expectations developing and/or adhering to organizational/departmental policies and/or • Stays informed on organizational/departmental area policies and procedures. procedures issues • Consistently emphasizes the importance of goals and • Does not demonstrate ability to prioritize or set • Ensures policies and procedures are followed by self achieving results goals and other work contacts • Sets high expectations and goals; goes above what is required • Accomplishes assignments with quality and accuracy whenever possible in a timely manner pmprocess.doc Page 30 of 33
  • 31. PROFESSIONAL COMPETENCE Description Does Not Meet Expectations IE Meets Expectations EE Sustained Excellence Professional Knowledge Using professional/technical • Does not have the basic knowledge and/or skills to • Possesses the necessary level of • Continually seeks out opportunities to expand professional knowledge Exceeds Expectations knowledge, skills, experience succeed in job knowledge and skills to succeed in job and applies this daily to the business Improving Toward and judgment to accomplish • Does not understand industry/organizational trends • Makes an effort to further his/her knowledge • Continually demonstrates a thorough, up-to-date understanding of Expectations results. and how they impact the business of industry/organizational trends and utilizes business trends in his/her position and uses other expert resources to • Does not understand technical aspects of his/her this information in his/her job drive results position; needs direction from the • Stays informed on new developments within • Actively benchmarks best practices to achieve a competitive advantage technical/operational resource his/her field in order to impact business • Regarded as an expert in technical/functional area • Does not understand the organization/department, • Demonstrates proficiency in his/her position • Demonstrates proficiency in functions outside of his/her own area how it operates, and/or the roles of its employees and is sought out as a technical/operational resource Demonstrates Initiative Accomplishing tasks by • Slow to react and get involved • Takes immediate action when situations • Constantly exhibits a pattern of taking immediate action on projects Exceeds Expectations responding quickly to issues • Does not respond to requests, opportunities or arise and issues with high levels of success Improving Toward and taking immediate action. emergencies in an appropriate fashion • Takes on assignments independently and • Proactively gets involved in projects inside or outside of area of Expectations • Repeatedly procrastinates with enthusiasm responsibility • Has difficulty staying involved • Demonstrates an appropriate sense of • Extremely effective in implementing quick, effective and pragmatic urgency solutions • Takes initiative to share ideas, conclusions • Seeks out and seizes opportunities on a consistent basis, with success and reasons for action • Eliminates barriers in the organization that interfere with projects and initiatives Professional Development and Growth Strives to expand knowledge • Does not demonstrate an interest in improving • Demonstrates an effort to further knowledge • Continuously seeks out learning opportunities and cross functional and skills to improve knowledge to improve job performance of industry/organizational trends and utilize assignments to expand professional knowledge and regularly applies this Improving Toward performance and prepare for • Does not seek to better understand this information to accomplish job tasks to the job Expectations Expectations promotion or new industry/organizational trends and how they may • Stays informed on new developments within • Actively benchmarks best practices to identify opportunities for Exceeds responsibilities. impact business the field in order to improve performance and improvement • Unable or unwilling to identify projects or tasks that service to customers • Welcomes challenging projects and exhibits flexibility to assume risks would improve development or job performance • Seeks to identify on-the-job training and and learn from mistakes • Does not initiate or take responsibility for identifying development or courses to address professional growth opportunities developmental needs Integrity and Professional Ethics Demonstrates principled • Does not demonstrate consistency between words • Demonstrates consistency between words • Consistently demonstrates effective leadership and exemplary business leadership and sound business and actions and actions ethics Exceeds Expectations ethics; shows consistency • Fails to follow through on commitments • Makes realistic commitments and follows • Consistently follows through on commitments Improving Toward among principles, values and • Is inappropriate with confidential/sensitive through • Always shows consistency between words, values and behavior Expectations behavior. Consistency in what information • Protects confidential and sensitive • Always handles sensitive and confidential information appropriately and one says and does and in one’s • Does not accept responsibility for decision-making, information with discretion behavior toward others. blames others • Accepts responsibility for decision-making. • Consistently demonstrates a high degree of responsibility • Does not adhere to established policies, Admits, corrects and learns from mistakes. • Influences others to adhere to established policies, procedures, laws procedures, laws and/or regulations • Consistently makes decisions that are in the and/or regulations best interest of the organization • Adheres to established policies, procedures, laws and/or regulations Dependable and Reliable Can be counted on to follow • Weak with administrative detail and follow through • Effectively plans, delegates and follows up • Proactively evaluates priorities to ensure the most critical aspects are through on work assignments. • Fails to complete tasks in a timely manner on work assignments completed first Exceeds Expectations Staying on top of work by • Cannot be counted on; makes excuses for late or • Accomplishes assignments on time, with • Consistently well informed about status of ongoing tasks/projects Improving Toward consistently following up and unsatisfactory work products quality and accuracy • "Go to" person; can be counted on in tough situations Expectations tracking progress of on-going • Requires a significant amount of oversight to stay on • Is organized in completing work; can be • Outstanding follow up tasks. track counted on • Consistently accomplishes work assignments ahead of schedule and • Creates confusion, is disorganized and unfocused • Makes effective use of procedures and with a high degree of accuracy and quality • Does not adhere to work schedule process • Willing to adapt schedule as needed • Is adaptable and flexible while still remaining organized • Adheres to work schedule pmprocess.doc Page 31 of 33
  • 32. COMMUNICATION Description Does Not Meet Expectations IE Meets Expectations EE Sustained Excellence Informative Improving Toward Keeping others well-informed • Does not clarify expectations and needs • Communicates what is required • Keeps all parties informed of relevant information Expectations Expectations by openly sharing information • Is easily misinterpreted and difficult to read • Promptly responds to others and keeps • Tailors message to audience. Consistently communicates in a clear, Exceeds and maintaining a steady flow • Wastes time with excessive communication or does them informed as necessary concise and confident manner of communication. not communicate enough • Approachable to others – addresses issues • Consistently maintains steady flow of information • Does not respond to others in a timely manner in an open and honest manner • Consistently adapts communication style to meet changing business • Prepares and delivers clear and needs understandable information Collaborative Approaching relationships with • Does not build working relationships with others in • Stays focused on organization's needs • Consistently builds positive and respectful partnerships and Exceeds Expectations a strong emphasis on the organization • Practices effective teamwork and relationships within the organization Improving Toward cooperative partnering and • Exhibits an unwillingness to bend collaborative efforts on a consistent basis • Excels at creating a cohesive and cooperative environment Expectations team-oriented interactions. • Gives in too easily to differing points of view • Considers differing points of view when • Establishes a strong sense of team, partnership and synergy • Does not partner with others in team oriented challenged on issues • Stays focused on common objectives interactions • Seeks to develop effective working • Effectively handles disagreements and differences of opinion, bringing • Does not work well with other individuals relationships with team and others in the teams to consensus • Perceived as negative and difficult to please organization • Takes appropriate steps when there is not consensus or alignment Two Way Communication Communicating directly and • Does not show sensitivity to the feelings of others • Gathers input from those who can champion • Effectively, positively and consistently gains other’s commitment and Improving Toward Expectations listens to other participants in a • Does not listen to employees’ and/or others’ ideas buy-in to help make or validate decisions candid, constructive, open and concerns • Builds cooperation through constructive • Consistently communicates own opinion and listens to others with Exceeds Expectations direct way. Involving others in • Does not involve others in decisions; unresponsive feedback and listening to opinions candor, tact and diplomacy decision making by seeking to the input of others • Builds harmonious and cooperative lines of • Excellent at focusing on people as well as key issues and tasks out and soliciting their • Fails to build consensus in decision making process communication • Consistently separates personalities from behaviors when opinions, attitudes and • Reacts defensively • Listens willingly to employees’ and others’ communicating with colleagues feelings. concerns • Consistently solicits open and honest feedback • Seeks the opinions of others, and selects • Proactively builds commitment through involvement with team and/or the most appropriate choice group • Avoids premature censoring of ideas • Asks for information, gathers facts and then formulates appropriate alternatives Positive and Supportive Attitude Presenting an upbeat image by • Does not remain upbeat or positive in challenging • Makes challenges and obstacles seem • Consistently welcomes challenges and obstacles Improving Toward Expectations being positive about current situations surmountable • Exhibits optimism under even the most difficult circumstances and future possibilities. • Is cynical about the organization and colleagues • Exhibits optimism under most • Consistently treats interactions with others as an opportunity to build Exceeds Expectations • Demonstrates a “can’t do” attitude circumstances positive work relationships • Does not recognize opportunities to assist • Treats interactions with others as an • Looks at setbacks as a means to grow colleagues or customers opportunity to build positive work • Consistently provides assistance to colleagues or customers • Compartmentalizes work: “That isn’t my job”. relationships • Consistently stretches job responsibility; does what it takes to achieve • Reluctantly takes on new responsibilities • Behaves positively and professionally in results work situations • Looks for the good in most situations • Demonstrates a “can do” attitude • Recognizes opportunities to assist colleagues or customers Conflict Management Addressing difficult situations • Does not confront and resolve conflict situations • Acts with tact and diplomacy • Excels at confronting small issues before they become problems Exceeds Expectations directly and confronting conflict • Excessively confrontational • Avoids unnecessary confrontations • Effectively resolves conflicts with colleagues and team members Improving Toward in a straightforward fashion. • Does not exhibit tact and diplomacy • Deals effectively and constructively with • Anticipates areas of conflict and works proactively to mitigate them Expectations • Does not compromise and/or accommodate conflicting situations • Presents facts and opinions without blaming others • Creates and maintains harmony in working relationships • Is an active participant in resolving conflict • Is willing to compromise when necessary pmprocess.doc Page 32 of 33
  • 33. FOR SUPERVISORY POSITIONS ONLY Description Does Not Meet Expectations IE Meets Expectations EE Sustained Excellence Delegation Improving Toward Prioritizes and distributes • Ineffectively distributes assignments • Effectively prioritizes work and leverages staff • Continuously assesses developmental needs of employees Expectations Expectations work appropriately. Assisting • Uses delegation to unload unwanted work appropriately • Seeks out opportunities for employees to prepare for promotion or Exceeds in the professional growth of • Unable to identify projects or tasks that would • Distributes assignments based on workload, new responsibilities staff through assigning and enhance employee development ability and career interests • Assigns challenging projects and gives staff the flexibility to take risks monitoring projects. • Does not provide necessary guidance • Sets attainable goals, reasonable timeframes Assessing developmental • Fails to follow-up with employees and monitors progress needs of staff. • Identifies developmental needs of employees Training / Staff Development Strives to improve the skills of • Does not demonstrate an understanding of staff's • Demonstrates knowledge of staff career goals • Continuously assesses strengths and developmental needs of Improving Toward others through coaching, goals and ambitions and ambitions employees Expectations Expectations mentoring and training. • Unable to identify projects or tasks that would • Identifies on the job opportunities to develop • Provides behaviorally specific feedback and coaching on a regular Exceeds enhance employee development and enhance employees' skills basis • Does not initiate or take responsibility for • Actively involved in job training and • Seeks out learning opportunities and cross-functional assignments to development development develop staff • Provides new hires with little or no training • Ensures that new employees have orientation • Consistently works with employees to expand skill sets and prepare for promotion or new responsibility Performance Management Fosters high levels of • Does not set or review goals and objectives on an • Communicates expectations and provides • Consistently communicates expectations, provides developmental accountability through fair ongoing basis developmental coaching and feedback to coaching and counseling, and gives feedback to employees and regular performance • Does not set clear expectations and does not hold employees • Establishes and communicates consistent and measurable standards Improving Toward Expectations management. employees accountable • Establishes, updates and communicates and consistently raises performance expectations of employees • Does not provide coaching or counseling consistent expectations and measurable • Maximizes the use of evaluation and performance documentation Exceeds Expectations • Does not address performance issues in a timely standards systems to improve employee performance manner and/or fails to acknowledge and address • Consistently follows policies/procedures • Redirects and/or manages the behavior of poor performers problems related to managing employees • Demonstrates an understanding of employees’ motivational needs and • Does not recognize and reward accomplishments • Consistently holds employees accountable for finds ways to consistently recognize strong performance results • Gives effective feedback; is willing to have difficult discussion, if necessary • Rewards accomplishments • Acknowledges and maximizes each staff member’s contributions • Quickly addresses performance issues through fair and consistent management practices. Teambuilding and Motivating The willingness and ability to • Does not cooperate or work well with others • Practices effective teamwork and collaborative • Consistently builds positive and respectful partnerships and Exceeds Expectations work for and with others to • Fails to participate in group activities or partner with efforts relationships within the organization Improving Toward achieve a common goal. others in team oriented interactions • Contributes toward achieving a positive • Motivates employees to exceed performance standards Expectations Strong emphasis upon • Does not build working relationships with others environment • Excels at creating a cohesive and cooperative environment cooperative partnering and • Exhibits unwillingness to bend or gives in too easily • Appropriately handles disagreements and • Effectively handles disagreements and differences of opinion, bringing team-oriented interactions. differences of opinion the team to consensus • Contributes ideas and interacts appropriately • Provides leadership and volunteers to help with group tasks with others • Contributes ideas and does whatever is necessary to ensure the team’s success • Energizes and motivates others to follow a common vision Strategic Thinking / Planning Determines opportunities • Does not seek out new ways to move the • Develops short-and long-term plans that are • Consistently balances the interests and needs of his/her own team through comprehensive organization/department forward comprehensive, realistic and effective in meeting with those of the organization/department Exceeds Expectations Improving Toward analysis of current and future • Does not plan ahead goals • Develops short-and long-term plans that are comprehensive, realistic Expectations trends. Assesses own • Does not develop plans to address short and long- • Communicates organizational/departmental and effective in exceeding goals organization's/department's term business needs strategies regularly to staff • Anticipates obstacles and works to remove them in order to strengths and vulnerabilities - • Goals and objectives remain static • Adjusts objectives as necessary consistently exceed goals makes strategic adjustments, • Does not effectively communicate organizational • Overcomes obstacles as they occur • Consistently seeks out new strategic ideas to positively impact the incorporating new strategies to staff • Maintains an environment that supports and work place information. • Does not support organizational/departmental drives organizational initiatives/decisions • Considers the external market when setting objectives initiatives/decisions – creates obstacles that slow • Re-evaluates and adjusts goals throughout the down the change process year as needed pmprocess.doc Page 33 of 33