What is Performance Management?

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What is Performance Management?

  1. 1. What is Performance Management?
  2. 2. Performance Management •Performance Management provides you and your employee with a opportunity to discuss development goals and jointly create a plan for achieving those goals. •Development plans should be written in a way that allows the employee to professionally grow while also contributing to university goals •Organizations that manage people right will out perform organizations that don’t by 30-40%
  3. 3. Performance Management Employees should see alignment from their goals to the University Goals University’s goals Division Goals Department Goals Individual Goals
  4. 4. The Wrong Reasons: Doing More Harm Than Good •To Criticize Past Performance •Backward Looking •Limiting Focus to Short Term Goals •Assessment Tool to Closely Tied Compensation •Treated by Supervisors as Perfunctory Chore •Provides No Good Feedback to Managers •Creates Bad Blood between Supervisors and Employees- Employees and Colleagues
  5. 5. The Right Reasons: Compass for the Future •Document Performance Employees Want to Know how they are doing Ongoing Communication between Employee and Supervisor •Set Goals •Reward Accomplishment •Map Employee Development
  6. 6. THE PERFORMANCE MANAGEMENT CYCLE: The cycle is continuous and begins with Planning. 1. Planning: 2. Development: Establish link between organizational, Discuss development of employee’s work-related department, team and individual objectives. skills, knowledge and experience. Identify and agree on important job responsibilities Base the development plan on both and individual needs. organizational and individual needs. Create standards of expected performance. Provide opportunities for development. 3. Coaching: 4. Evaluation: Observe and record the employee’s Development Review the employee’s self performance and provide feedback. evaluation. Planning Recognize accomplishments Summarize and rate the Coaching employee’s performance Resolve performance problems Hold a meeting to discuss the Revise performance and/or development Evaluation employee’s performance plans as needed Continue the cycle Hold a mid year review.
  7. 7. Preparing for the Discussion Supervisor: •Schedule time and date and confirm in advance •Have employee prepare for the meeting •Review Employee’s self evaluation •Have performance documentation available for referencing •Be prepared to respond to questions your employee may have about links to pay, effective date, performance improvement
  8. 8. Preparing for the Discussion Employee: •Evaluate their performance for the year •Develop action steps for performance improvement(s) •Prepare development plan, based on their strengths and areas for Improvement •Give a copy of employee self-evaluation to supervisor at least one week before scheduled meeting
  9. 9. What to do if the employee disagrees with the Performance Appraisal Disagreements over the written performance appraisal may arise if the employee does not believe he or she has been reviewed fairly, or if the employee is surprised by some of the content of the appraisal. If a disagreement occurs, explore what is behind the disagreement and remain open minded. Use the disagreement as an opportunity to identify expectations and reach an understanding. Remain calm and clear-headed about options. Some options include: •Editing some of the words in the appraisal •Changing a review if the employee makes a valid argument for doing so •Suggesting that the employee attach his or her comments to the appraisal document An employee may bring his or her concerns to the next management level. The employee can also meet with HR to discuss any concerns.
  10. 10. Keys to Success: Establish Goals: •Must Clearly Fit within department/division/university goals •Be systematic in your approach •Aim at realistic growth •Gain employee buy-in •Prioritize •Goals Must be SMART: Specific Measurable Achievable Relevant Time Phased •Review
  11. 11. Rewarding Accomplishments •Create Positive Environment •Be Specific •Don’t let Best efforts go Unrecognized
  12. 12. Map Employee Development •Coach and Collaborate •Develop Skills for Future Success •Provide Opportunities to develop currently needed skills •Learn Employee’s Personal Goals
  13. 13. Research Developmental Opportunities: •Training/Certification •Organizational Membership •Committee Membership
  14. 14. Define Behaviors: •Must contribute to Team success •Must consider individual work or communication style
  15. 15. Review Job Description •Opportunity to Update •Provide copy to employee •Requirements specific but not carved in stone •No “Surprise” Duties or Requirements •Review Previous Year’s Assessment
  16. 16. Errors in Conducting Performance Appraisals Halo/Horn Effect: May occur if a person is strong or weak in one area and there for rated high or low in all areas. Regency Error: Occurs when a appraiser gives more weight to recent events and discounts the employee’s earlier performance during the year. Bias Error: When a appraiser’s values, beliefs and prejudices distort ratings (Either consciously or unconsciously) Strictness Error: Occurs when appraisers believe the standards are too low and inflate the standards in an effort to make the standards meaningful n their eyes.
  17. 17. Errors in Conducting Performance Appraisals…. Leniency Error: Occurs when a appraiser does not want to give low scores. Employees in this case are given high scores. Central Tendency Error: Occurs when a appraiser rates all employees with a narrow range, regardless of differences in actual performance Contrast Error: Occurs when an employee’s rating is based on how his or her performance compares to that of another employee instead of on objective performance standards
  18. 18. And now…. for something completely different …
  19. 19. Case Study “Not a good fit” Please take a few minutes to read the case study individually; then discuss it with your table mates. Your group should be able to answer the following questions: 1. Briefly describe the situation. 2. If you were the HR Manager that met with Jim, what advice would you give him. Why? 3. What recommendations would you have to enhance Jim’s effectiveness as a leader? 4. As a leader at Loyola what best practices would you care to share with the group?
  20. 20. POINTS TO REMEMBER…. As a leader, you set the tone for the department. Set performance goals Establish expectations for behavior You can’t “over communicate” – give frequent feedback on performance Be fair and consistent; observe your team’s interactions Partner with HR before a small problem grows into a larger issue
  21. 21. Break
  22. 22. The Loyola Performance Appraisal and Improvement Document A Tool for Creative Change
  23. 23. Purpose •To Set Personal Goals •To translate Organizational Goals •To Monitor Progress •To Facilitate Ongoing Discussion
  24. 24. The Process (Part I) •Supervisor completes Goals and Objectives (Page 1) •Supervisor and Employee have a meeting over partially completed form •Employee Reviews Goals/Adds comments to form
  25. 25. The Process (Part II) •Supervisor and Employee meet and agree upon goals and action plans/follow-up •Supervisor secures authorizations and forwards originals to Human Resources
  26. 26. The Four Aspects of the Performance Document
  27. 27. Page 1- Goals and Objectives •Define specific and achievable goals •Realistic deadlines by agreement •Weighted % •Employee Rating •Supervisor Rating
  28. 28. Page 2- Behavioral Expectations •Translate behaviors provided to give relevance to department mission •Add specific behaviors not already provided •Do Not try to force Non-applicable behaviors (Management) •Define Expectations before rating
  29. 29. Page 3-Comments •Employee Comments •Supervisor Comments
  30. 30. Page 4- Future Oriented Action Plan •Development goals by cooperation •Projects and Objectives •Target Dates •Follow-up
  31. 31. Documenting Employee Performance •Performance Diary/Log •Performance Records •Document as Situations happen •Maintain balance •Keep observations job-related and use objective criteria •Support your observations with facts •Focus on the deficiencies, not the perceived underlying cause •Avoid Emotion •Avoid Conclusions •Remember…others may read your comments
  32. 32. Legal Considerations in Performance Appraisal Performance Appraisals must be: •Job Related •Absent of evidence that might imply discrimination •Evidence that proves validity of appraisal •Formal evaluation criteria that limit subjective responses •Personal knowledge of an interaction with the rated employee •A review process that prevents one manager from over influencing an employee’s career •Equitable treatment of all employees
  33. 33. Conclusion POINTS TO REMEMBER •Performance Assessment is forward Looking-Not Punitive •Performance Assessment Supports Employee’s Goals as well as Department •Salary Increases are Based on Merit, but There is NOT a 1 to 1 Corollary with this tool •Performance Assessment is Not a Yearly Chore; It is an Ongoing and Positive Conversation
  34. 34. What is Progressive Discipline?
  35. 35. Performance or Behavior? Employee problems that require corrective action generally can be classified as either performance or behavior problems. Appropriately classifying the problem into one of these two categories is an important first step and will enable the hiring manager and Human Resources to more effectively determine an appropriate response.
  36. 36. What are Behavior Problems? Behavior problems are usually completely within the employee’s control. Examples of behavior problems include misconduct, negligence, insubordination, poor attendance and other issues related to an employee’s general conduct and behavior. For example, employees make conscious decisions every day to either leave home in sufficient time to arrive at work on time or not, to be truthful or not, to follow rules and procedures or not, to follow their supervisor’s direction or not.
  37. 37. What is Progressive Discipline? When the employee’s behavior does not meet the minimum expectations, formal corrective action should be taken through progressive discipline consisting of four steps: 1) oral warning 2) written warning 3) suspension 4) termination Serious offenses may result in immediate suspension or termination.
  38. 38. Who Does Progressive Discipline apply to? Progressive discipline applies to all staff employees who have completed their review period with two exceptions: •Employees at the administrative department head level and above have special responsibilities and are not subjected to progressive discipline; and •Exempt employees may be suspended without pay but only for an entire calendar week.
  39. 39. Four Steps of Progressive Discipline Step 1: Oral Warning In cases of misconduct which may not be serious as a single incident but could become serious if a pattern develops, the supervisor should discuss the issue with the employee, tell the employee that the discussion is an oral warning and document the discussion in a departmental file.
  40. 40. Four Steps of Progressive Discipline Step 2: Written Warning If a pattern of misconduct develops or a serious incident occurs requiring more than an oral warning, the supervisor should consult with the Campus Human Resource Office about the appropriateness of a written warning. Once approved by Human Resources, a written warning should: •Document the incident of misconduct and the reasons why the department considers the infraction serious; •State what the employee must do to avoid similar misconduct; and •Indicate that future misconduct of any sort may result in suspension or termination.
  41. 41. Four Steps of Progressive Discipline Step 3: Suspension Without Pay In some cases, a supervisor may determine that while immediate discharge for repeated offenses or a single serious offence would be too severe, suspension without pay is appropriate. The facts of the case and the possible suspension (one to five days not to exceed 40 hours) should be discussed with and approved by the Campus Human Resources office prior to discussion with the employee.
  42. 42. Four Steps of Progressive Discipline Step 3: Suspension Without Pay-Continued Once the appropriate suspension document is prepared and signed, the supervisor should meet with the employee to attempt to: •Explain why the incident requires discipline, especially how the conduct is not in accordance with acceptable standards; •Indicate the length of the suspension without pay; and •Document that termination for any additional misconduct is the next step in progressive discipline. •Copies of the suspension document should be appropriately distributed.
  43. 43. Four Steps of Progressive Discipline Step 4: Termination If progressive discipline fails to improve an employee's conduct or another type of misconduct occurs, termination may result. In terminating an employee, the following procedures should be followed: In the case of a serious incident, the employee should be removed from the work place pending an investigation to determine whether discharge is warranted. •It is the department's decision, with the approval of Campus Human Resources, whether to terminate. •At this meeting, a termination document, with explanation, should be presented to the employee. •The terminated employee should go through the check-out procedure at the Campus Human Resources office.
  44. 44. Progressive Discipline Documentation Records for Employment File: A written record of disciplinary action is included in the employee's Human Resources file. Disciplinary documents will be removed from the file in 12 months if no further disciplinary actions occur during that time. Once a file is cleared of disciplinary actions, the progressive discipline process begins anew for any future incident
  45. 45. Progressive Discipline Documentation Oral Warning Documentation: There’s an old saying in employee and labor relations: “If it isn’t in writing, it didn’t happen.” Even verbal counseling should be documented. The documentation, which should include the date and time of the session, serves to memorialize the session so that it can be referred to subsequently. The employee should be told that this is only a verbal counseling but should be asked to sign the documentation.
  46. 46. Progressive Discipline: Successful Tips • Do not speak to employees “out in the open.” Employees deserve to be afforded privacy when being counseled. Regardless of the infraction, employees do not deserve to be embarrassed. • Managers should maintain a professional, calm demeanor and be firm, but speak to employees with the same respect they deserve. • Unless the severity of the incident dictates severe discipline, do not skip the “normal” steps. Usually, this results in the perception that the employer was looking to expedite the employee’s termination. Each case should be evaluated individually.
  47. 47. Progressive Discipline: Successful Tips • In all situations, if an employee is a union member, ask if he or she requests a delegate. Although not legally required, this practice demonstrates good will. If the employee declines, the employee should sign that he or she refused a delegate. Give the employee a reasonable time to seek out a delegate. In a situation where there is imminent danger, such as threatening or fighting, the employee should be told to punch out and leave the premises and contact the department to arrange for a meeting, to which he or she can bring a delegate. •Untruthful performance feedback can also have significant legal ramifications. Discipline should always be consistent with business necessity; warning notices should document the business reasons for addressing the issue
  48. 48. Progressive Discipline: Successful Tips • Remember that the notice is called a “Warning Notice” because the employer is trying to help employees correct the behavior that is getting them in trouble. Employers don’t write people up to “get” them; nor is most employees’ overall objective to get fired. • Employees fire themselves. They begin their employment with perfect performance and a perfect attendance record. As they deviate from that model, they are counseled, then warned and then suspended. If they choose to ignore these warning signs, they will have “fired themselves.” The bottom line is: firing should never be a surprise for the employee.
  49. 49. Progressive Discipline: Successful Tips • Sometimes managers hesitate to write employees up because of emotional factors. Usually, if a problem is ignored, it doesn’t go away—it gets worse. An employer is actually doing employees a disservice by ignoring their behavior, making excuses for it or being overly sympathetic. Employees appreciate knowing where they stand. One of the worst scenarios is a supervisor who fails to write up an employee who, in turn, continues to think nothing’s wrong. Then, one day, the supervisor can’t take it any more and emits a frustrated “YOU’RE FIRED!”
  50. 50. What is a Performance Improvement Plan?
  51. 51. Performance or Behavior? Performance problems are different from behavior problems primarily because they are not always completely within the employee’s control. Often the employee is not meeting the minimum expectations of the position due to a knowledge, skill or talent deficiency. In such situations it is incumbent upon the supervisor to play an active role in assisting the employee to meet the minimum expectations of the position. This could include providing additional training, regular and frequent one-on-one meetings with the employee to provide feedback, etc.
  52. 52. What are Performance Problems? When the employee’s performance does not meet the minimum expectations, formal corrective action should be taken. As is the case when dealing with behavior problems, this process generally begins with a verbal notification to the employee that he/she is not meeting the minimum expectations of the position. Continued unsatisfactory performance should be addressed with a performance improvement plan. This document should include the following items:
  53. 53. Steps for Documenting Performance Problems 1. A clear statement describing the employee’s performance deficiency, being careful to cite specific data/examples where possible. 2 . A restatement of the minimum expectations/requirements of the position. 3. A list of several tasks, activities and deliverables that must occur within a set time period (for example, must attend sales training 101, make 15 cold calls per week within the next 30 days, meet with supervisor every Friday to provide status on progress, and so on).
  54. 54. Steps for Documenting Performance Problems When developing a list of task, the length of this time period may vary depending on the specifics of the situation and the expectations presented by the supervisor in the performance improvement plan. For example, a sales representative who is consistently failing to meet his/her quota may need 90 days to receive additional training and demonstrate improvement by satisfying his/her quota for two consecutive months. A Clerical worker, on the other hand, may not require as much time to establish a record of consistently and appropriate performance. For this employee, the supervisor may determine that 30 days is a sufficient amount of time for him/her to demonstrate consistent acceptable performance.
  55. 55. Steps for Documenting Performance Problems 4. A scheduled date for formal follow-up. This will generally include a scheduled date in the future at which the supervisor and employee will formally review the employee’s progress toward the plan and determine whether or not the minimum expectations have been met. At this point decisions are usually made about whether to continue the performance improvement plan, discontinue the performance improvement plan because the objectives/expectations have been fully satisfied or terminate the employee.
  56. 56. Steps for Documenting Performance Problems 5. The consequences to the employee if the minimum expectations outlined in the plan are not met. This usually includes a statement that says failure to meet the minimum expectations outlined in the performance improvement plan will result in further disciplinary action up to and including the employee’s termination. 6. A statement that the employee signs acknowledging that he/she has read and understands the contents of the document.
  57. 57. HR’s-Corrective Action Process HR takes the following approach when assisting supervisors in dealing with employee issues in the workplace: 1. Determine whether the problem is behavior or performance related. 2. Afford the employee appropriate due process. 3. Respond appropriately to the situation by generating the best possible solution to the problem (corrective action option). 4. Appropriately document the corrective action to the employee’s personnel file. 5. Take further corrective action or terminate employment, if necessary.

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