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  1. 1. LOYOLA COLLEGE Performance Management Program Guidebook
  2. 2. LOYOLA COLLEGE Performance Management Contents Program Guidebook Introduction......................................................................1 What Is Performance Management?.................................2 How Does Performance Management Work?..................3 Performance Management Schedule of Activities...........4 Phase I: Planning..............................................................6 Phase II: Coaching............................................................8 Phase III: Evaluating.......................................................12 Summary of Performance Management.........................19 Notes...............................................................................19 Performance Management Program Guidebook i
  3. 3. LOYOLA COLLEGE Introduction What’s Important About this Program? ∗ Loyola’s Mission: As reflected in the Loyola College Vision and Values, Loyola will strive to provide all non-faculty employees with tools and development opportunities to excel at their jobs and improve the campus community. Employees have to take responsibility for their performance, professional growth and development. ∗ Roles and Responsibilities: Employees are expected to become an active partner, taking responsibility for their performance and professional development plan. The supervisor’s role is to give the employees the tools to do the job and to offer ongoing feedback to ensure continued progress toward achieving College and employee goals. In order for this program to be effective, all supervisors and employees have to receive training. ∗ Vision and Values: Emphasis is placed on how each Employees need to understand the employee’s job fits within Loyola’s Vision and Values and how performance management program each individual carries out the Mission of the College. to improve their performance; supervisors need to learn how to improve their coaching and ∗ Rating Scale: The Overall Performance Level rating should be motivating skills. All employees consistent with the recommended range for merit increase. need to learn how to give and receive feedback effectively. ∗ Improved Performance: Loyola College’s performance management program will help achieve individual, Division, and College-wide results by:  opening up the lines of communication so employees and supervisors are working together to achieve the same goals;  providing the tools and training to identify and reward good performance;  allowing for additional input if an employee has more than one supervisor; and  planning and improving future performance. Every aspect of the performance management program is intended to facilitate communication about work performance. Performance Management Program Guidebook 1
  4. 4. LOYOLA COLLEGE What Is Performance Management? Performance management is a set of strategies and actions designed to develop and utilize all of the individual talents that exist in Loyola College to achieve optimal results. Performance management is an ongoing process that facilitates the planning, coaching and evaluating of employee performance. Employees play a major role in their own performance planning and development. Performance management gives supervisors and employees the tools to succeed. Employees and their supervisors Many organizations appraise performance – evaluating performance are mutually responsible for results and behaviors. Performance management allows organizations successful performance to manage performance with employees planning, monitoring and management and professional development. developing expected results and behaviors throughout the performance period. The performance review is just part of the performance management process. Specifically, the performance management process involves: ∗ a meeting between supervisor and their employee at the beginning of the performance cycle to plan performance, set goals and plan development; Employees must understand and accept that they are responsible for ∗ providing continuous feedback throughout the period on their own performance and performance, goals, directions and changing expectations; professional development plan. ∗ reviewing actual performance against expected performance at the end of the period; and ∗ developing plans to maintain and/or improve performance for the next period. An effective performance management program will result in improved operations for Loyola College, more highly satisfied and motivated employees and better outcomes and services. Performance Management Program Guidebook 2
  5. 5. LOYOLA COLLEGE How Does Performance Management Work? Performance management is an ongoing process. It operates as a three phase continuous cycle – Planning, Coaching, Evaluating – where the last phase (Evaluating) of the previous cycle leads directly into the first phase (Planning) of the next cycle. In fact, once an employee has gone through the first cycle, Phase III (Evaluating) for the previous cycle and Phase I (Planning) for the next cycle can occur at the same time. I. Planning St ep 1- Setting Goals and Performance Standards III. Evaluat ing St ep 4 - Prepare for St ep 5 - Review 45review meeting 6 meeting II. Coaching St ep 2 - Progress St ep 3 - Performance Updates 4 Notes The cycle or evaluation period for each employee runs from performance review to performance review. However, interim performance discussions can be conducted at any time, either at the supervisor’s discretion or at the employee’s request. Performance Management Program Guidebook 3
  6. 6. LOYOLA COLLEGE Performance Management Schedule of Activities Current employee New hire/Newly promoted employee Prepare for review meeting –( Step 4) Finalize previous year’s review –( Step 5) Step 1: Setting Goals and Performance Standards Who is involved: Supervisor and Employee jointly establish goals and performance standards What form/tool: New (blank) Performance Evaluation Form, Section IV: Goals and Planned Skill Development When: Beginning of evaluation period Where does form/tool come from: Human Resources web site (http://www.loyola.edu/hr/Forms/PerformanceMgt/PerformanceMan agement.html) What do you do with form/tool: Supervisor and employee each maintain a copy of the form Step 2: Progress Updates Who is involved: Supervisor and Employee schedule a joint meeting What form/tool: Performance Evaluation Form (from Step 1) When: Ongoing throughout the evaluation period – assess performance, determine if goals are still applicable, adjust expectations appropriately. This would include changes to job responsibilities. Step 3: Performance Notes Who is involved: Supervisor/Employee maintain individual performance notes When: Ongoing throughout the evaluation period Performance Management Program Guidebook 4
  7. 7. LOYOLA COLLEGE Step 4: Prepare for review meeting Who is involved: Supervisor and Employee, independently What form/tool: (a) Performance notes (b) Optional Self-Evaluation Worksheet (c) Performance Evaluation Form When: Prior to review meeting Where does form/tool come from: From the Human Resources web site (http://www.loyola.edu/hr/Forms/PerformanceMgt/Performan ceManagement.html) What do you do with form/tool: (a) Employee completes (optional) self- assessment and submits to Supervisor (b) Supervisor completes Performance Evaluation Form Step 5: Review Meeting Who is involved: Supervisor and Employee What form/tool: Performance Evaluation Form When: At employee’s review meeting Where does form/tool come from: For New Form: Human Resources web site (http://www.loyola.edu/hr/Forms/PerformanceMgt/Performan ceManagement.html) What do you do with form/tool: (a) Add any final remarks to Comments page, sign and date form (b) Copy to employee (c) Send signed original to appropriate vice president for signature (c) Forward to Human Resources Step 1 When: Already completed as part of Step 5 Performance Management Program Guidebook 5
  8. 8. Phase I: Planning Goals/Performance Step 1: Setting Goals and Performance Standards Standards (sample) The planning process begins with the performance planning meeting.  Too General: fix program Remember, once an employee completes the very first cycle of the modules performance management process, this meeting (Step 1) can be combined with the period-end performance review meeting (Step 5).  Better: test and debug Therefore, the annual performance review and goal setting discussion programs and program modules, integrate occur at the same time. The supervisor and employee meet to plan the modules into larger employee’s work for the upcoming period. Section IV: Goals and systems, meet Planned Skill Development of the evaluation form should be used. programming time frames, program functionality 1: Goals/Performance Standards – This refers to specific specifications goals, performance standards, and/or professional development  “SMART” Goals goals that will be accomplished in the upcoming performance period. These can include plans to develop performance – What: Test and debug; attributes/competencies in Section II. integrate • The supervisor and employee should develop “SMART” – To what: Programs and goals for the coming period which are: program modules – How much: Within Specific - Goal defined is exactly what functional should be achieved specifications Measurable - Achievement of the goal is clearly – When: Within program Observable time frame Acknowledged –Goal is understood by participants Reasonable – Goal is consistent with business objectives, not too difficult or too easy Tied to a timetable – Goal is to be achieved within a specific time frame When the goal is complete, the following questions should be answered:  “What” is to be done  “To What”  by “How Much”  in what time frame “When” 1a: (Optional) Priority – Use the (optional) Priority column to indicate the relative importance of each goal/performance standard. 1b: Additional Information – Use the Additional Information column to list specific action plans, interim deadlines, available resources, etc. as appropriate for each goal/performance standard. Performance Management Program Guidebook 6
  9. 9. Next Steps ∗ Agreement regarding these goals/performance standards is reached with the completion of this discussion. ∗ The supervisor provides a copy to the employee. ∗ Supervisor transfers goals/performance standards Into the Goals/Performance Standards column of Section I: Results Achieved of a new performance evaluation form to be used for the next review period. Performance Management Program Guidebook 7
  10. 10. Phase II: Coaching Step 2: Progress Updates Process Discussions, either formal or informal, should be held throughout the year to discuss progress toward goals or changes in responsibilities. ∗ Significant modifications should be noted in the goals/performance standards section. What is coaching? One of the Supervisor’s Coaching is: management responsibilities is to help manage the performance, actions, ∗ Helping the employee to be as successful as possible through behaviors and results of employees support and mentoring throughout the performance period. One of the ways of managing performance is through coaching. ∗ Observing and monitoring performance throughout the period ∗ Providing regular, timely feedback, both positive and negative ∗ Documenting performance, both positive and negative Tips for Supervisors on Observing Performance Observe what? Observe when? Observe how?  Important job  Regularly  First-hand duties  Special  Review of  Productivity, projects work product not activity  Critical  Consult with  Performance, not incidents others personality  Balanced and fair Performance Management Program Guidebook 8
  11. 11. What is feedback? Positive Feedback Feedback is giving timely and specific information about job (examples) performance that includes praise or constructive criticism.  Too general: “Good work, well done.” The feedback between supervisor and employee can be either formal (given in a scheduled meeting) or informal (in casual conversation).  Better: “Thanks for Keep in mind that employees are also responsible for asking for putting together the feedback from the supervisor and others. section on the ABC report. I know we can Advantages of continuous feedback: count on you to meet the tight deadlines.” ∗ It’s a powerful way of motivating people.  Too much (insincere): “You are so wonderful. ∗ Giving feedback helps build relationships. You always do such a great job, like developing the new ∗ It provides documentation that helps identify employee training program. We strengths and manage their weaknesses. are so lucky to have you here – we’d die without you!” ∗ Timely feedback enhances results.  Better: “Thanks for Positive feedback is just as important as negative. It your hard work in can build the employee’s confidence, self esteem, commitment, and developing the new loyalty. training program, working to coordinate all of the information The most common statement from employees when discussing non- from so many sources. monetary rewards and recognition is “a simple thank you from my You did a great job. boss would go a long way.” People want feedback; they especially Thanks.” want to be appreciated for a job well done. Similarly, supervisors need to hear from their employees when they perform well. Find situations when there is an opportunity to give positive feedback (to an employee or supervisor) and make sure to follow through. When giving positive feedback, remember to choose a place and medium which are comfortable for the receiver. For example, some people are embarrassed by public acknowledgments and, therefore, might prefer a one-on-one thank you rather than an announcement in a department meeting. Performance Management Program Guidebook 9
  12. 12. Tips and Techniques If a supervisor is giving negative feedback, it should always: Be private and confidential Be immediate (the sooner the feedback, the more effective it is in influencing behavior) Be specific, refer to specific behaviors, outcomes Include something positive Include the opportunity to improve performance Give feedback on performance, not personality Steps to follow when delivering negative feedback: Categorize and specify performance problem Listen and summarize employee response Offer your view Apply strength demonstrated to weakness observed Specify appropriate performance Review downside of no change Develop goal and action plan What if the employee is not meeting expectations at the time of their performance review? In most instances, working with a poor performer throughout the period, by providing feedback and discussing development needs, will result in successful performance. In some cases, due to aptitude, attitude, or personal reasons, coaching and feedback will not result in successful performance. The supervisor will need to create a performance improvement plan and use the progressive disciplinary process to document the performance deficiencies. Performance Management Program Guidebook 10
  13. 13. To be consistent and to avoid bias, Step 3: Performance Notes supervisors should to keep notes on employees’ performance. Reasons to Keep Performance Notes Reminder: acknowledging good performance is important. To keep accurate records, not influenced by recent Documentation can be shared with events or poor recall the employee when recorded and/or during the review meeting. To acknowledge good performance To express concern with continued poor performance To help in the coaching process of improving performance To help in assessing performance results The Importance of Performance Notes Though not required, performance notes serve as a valuable resource during the Coaching and Evaluating phases. By documenting throughout the period, both a supervisor and an employee can rely on a written reference when completing the evaluation, rather than on just memory. Performance notes, therefore, help: ∗ offer a more objective and complete review by minimizing the bias toward recent events Employees should maintain a record of their accomplishments as ∗ make it easier to recall specific performance well to remind themselves and their Supervisors of their performance during the period. Employees may ∗ save time during the review by having a written reference want to keep a portfolio handy in which to place reminders of their ∗ support the feedback process by providing specific examples of achievements, including such things performance as thank you letters, etc. Properly recorded documentation should be: ∗ timely ∗ specific ∗ based on performance – not personality ∗ related to performance standards and policies and procedures ∗ positive as well as constructive Performance Management Program Guidebook 11
  14. 14. Phase III: Evaluating Step 4: Prepare for review meeting The performance management cycle concludes (and the next begins) with the review meeting. Keep in mind, however, that at any time during the period, the supervisor and/or the employee can request a meeting to discuss and review the employee’s performance to date. Since employees play an active role in planning and developing their performance, they should also be involved in the planning and evaluation process. Employees are encouraged to complete a self- assessment documenting their performance for the past period and to submit the form to the supervisor. The Employee’s Role Because employees play a critical role in planning, developing and evaluating performance, they have a responsibility to prepare for the review meeting as well. To get ready, an employee should do the following: ∗ Complete a self-assessment using examples to describe your level of achievement against the established goals and what you have done to demonstrate and/or develop in the Performance Attributes/Competencies listed in Section II. ∗ Be prepared to discuss actual outcomes relative to expected outcomes. Performance Management Program Guidebook 12
  15. 15. The Supervisor’s Role To prepare for the review meeting, the supervisor should: ∗ Finalize the meeting date, time and place with the employee about two to three weeks ahead of performance review date. − Be sure to allow enough time for thorough discussion and to address employees’ questions/concerns. − Do not change the schedule or allow interruptions unless absolutely necessary. Changing the date or attending to other business during a review meeting sends a negative message to the employee that the review meeting is not important. − Realize that a late review negatively impacts employee morale. ∗ Review and finalize the documentation in the employee’s file as well as any other relevant documentation. Remember, documentation can come from others – additional supervisors, peers, etc. – as well. ∗ Seek input from others, e.g., additional supervisors. It is also often appropriate to request information from peers, other departments, or subordinates. ∗ Encourage the employee to complete a self-assessment. Employees can work on their self-assessments during work hours as long as it does not interfere with the performance of their job duties. The employee’s assessment is provided to the supervisor. However, the supervisor’s performance assessment must be in addition to the employee’s self-assessment. ∗ Complete Section I of the evaluation form. In the Results Achieved column specify the results the employee achieved for each goal or performance standard and check the box which best represents to what extent expectations were met. Use the Contributing Factors column to describe any factors that contributed to meeting or not meeting expectations, and what barriers were overcome or need to be addressed. Indicate the overall accomplishment goals/performance standards by checking the appropriate box under Overall Results. If some goals or standards have higher priority, the Overall Results rating may not be a strict numerical average of the ratings of individual goals. However, if the Overall Results rating is significantly higher or lower than the average of the individual goals, the supervisor’s narrative in the Results Achieved or Contributing Factors sections should provide a rationale. ∗ Complete Section II of the evaluation form. Every employee should be evaluated using the Core Attributes/Competencies. Employees with supervisory responsibilities should also be evaluated using the Leadership Attributes/Competencies. Non- supervisory employees may also be evaluated using some or all of the Leadership Attributes/Competencies at the evaluator’s Performance Management Program Guidebook 13
  16. 16. discretion. Definitions for each Competency are intended as examples and not all of the items in the definition may apply to all positions. Check the appropriate box to indicate the extent to which the employee has demonstrated the competency relative to your expectations. Include examples of how the employee has demonstrated or strengthened the competency during the review period. Use the Planned Skill Development column to address plans for improvement as required. Include specific courses or training you expect the employee to complete in order to develop the competency and whether you will provide funds. You may also use this column to suggest plans to reinforce strengths to prepare the employee for the next step in his/her career plan. Supervisors may add additional attributes or competencies that are essential for success in the position. Indicate your assessment of the employees overall competency level by checking the appropriate box under Overall Attributes/Competencies Level. If the Overall Attributes/Competencies Level rating is significantly higher or lower than the average of the individual competencies, the supervisor’s narrative in the Examples column should provide a rationale. ∗ If the employee has additional supervisors, have them provide input into the form or complete a separate form on their own. ∗ Indicate your assessment of the employee’s overall performance throughout the entire review period by checking the appropriate box in Section III under Overall Performance Level. The overall rating is not necessarily a numerical average of the ratings given in Sections I and II. Supervisors should use their professional judgment in considering all these factors as they arrive at the overall rating. However, the overall rating should be consistent with the ratings in Sections I and II and supported by the comments in those sections. Performance Management Program Guidebook 14
  17. 17. Barriers to Accurate Performance Assessment Halos and Allowing outstanding or unsatisfactory horns performance in one area to influence assessments in another Dramatic Looking only at extraordinary incidents behavior, whether good or bad, and ignoring all other efforts Recency Assessing according to most recent events; not considering performance throughout the period Past record Being influenced by previous performance and assuming the employee will continue to perform the same, with neither improvement nor decline Similarity Assessing those like us higher than those who are different Leniency Not wanting to hurt someone’s feelings Central Assuming everyone is about average; tendency avoiding having to admit someone’s performance is better than another’s to avoid morale problems Strictness Assuming no one is perfect and being overly critical Contrast Comparing the jobs rather than evaluating performance against standards Lack of Making evaluations with incomplete information information Laziness Unwilling to thoroughly analyze employee’s performance Avoidance Reluctant to discuss problems Performance Management Program Guidebook 15
  18. 18. Tips for Supervisors No surprises. In the meeting, give employees time to find the words. Don’t assume you know what an employee might say, let them say it. Clarify and summarize your understanding of what the employee is saying. Step 5: Meet to discuss the review After the end of the performance period, the supervisor schedules and holds a review with the employee. Examples Open Ended Questions The review meeting is an opportunity for open, two-way communication, setting the stage for mutual agreement, problem Confrontational: “Where solving, and goal setting. were you when this happened?” This discussion is based on shared perspectives with the supervisor “Why didn’t you report asking open-ended questions while listening to the employee’s issues, it?” problems, and feelings. The purpose of a two-way conversation, with each side contributing its perspective, is to support the following “Why do you keep making outcomes: this same mistake?” ∗ To contribute to the success of the department and Loyola Better: “What makes you College. think you are doing badly?” ∗ To share an appreciation for the evaluation process. “That’s interesting. What leads you to believe ∗ To gain enthusiasm for the future. you’re doing well?” ∗ To be valuable to both the supervisor and employee. “What barriers do you see to effective performance?” ∗ To add to the understanding of what needs to change. During the discussion, cite specific examples describing behavior to support each performance area. The examples include positive and successful contributions as well as difficulties. The meeting should be divided into two parts: ∗ Reviewing past performance ∗ Developing future performance Reviewing past performance The first part of the meeting should focus on reviewing the employee’s performance for the just completed evaluation period. In effect, the supervisor and the employee “compare notes.” Performance Management Program Guidebook 16
  19. 19. Together, discuss each section of the evaluation form (Section I: Results Achieved and Section II: Performance Attributes/Competencies). The supervisor and employee should also discuss the overall performance evaluation, identify strengths and weaknesses, and discuss development opportunities. If the employee disagrees with the supervisor’s evaluation, the supervisor may agree to revise the evaluation based on the employee’s justification or documentation of performance. Try to reach an agreement. (If the supervisor has been coaching and providing feedback throughout the period, the supervisor should be able to avoid any disagreement or surprises.) If, however, an agreement cannot be Setting SMART Goals reached, the employee may appeal the evaluation to the next level of Specific management. Although Human Resources is always available in an advisory capacity, every attempt should be made to resolve the Measurable disagreement within the department. Acknowledged Setting Goals and Developing Future Performance Reasonable The second part of the review meeting is devoted to setting goals and developing future performance. Tied to a timetable This marks a critical point in the performance management process as the view is prospective – what future results and competencies do we want to drive? Specific goals/performance standards are then determined to support the expected outcomes. The supervisor and the employee should use the evaluation form to prepare goals for the next period by completing Section IV: Goals and Planned Skill Development. At this point, not only has the performance management cycle for the period just ending (Step 5) been completed, but the performance planning phase of the next cycle (Step 1) has begun. Performance Management Program Guidebook 17
  20. 20. Next Steps Once the supervisor and the employee complete the performance review and agree to goals/performance standards for the upcoming period: ∗ All parties add any final remarks to the appropriate areas of the Comments page in Section V. The employee may use the Employee Comments section to summarize achievements, to describe accomplishments not mentioned in the document, or to explain disagreement with any aspect of the supervisor’s assessment. The supervisor may use the Supervisor Comments section to summarize their assessment of the employee’s performance, to emphasize certain feedback from other sections, or to respond to items in Employee Comments. ∗ The supervisor and the employee sign and date the form. ∗ The supervisor submits the evaluation form to the appropriate vice president for signature. ∗ Evaluation is forwarded to Human Resources. ∗ The supervisor will follow up on any of the suggestions or issues raised in Section V: Comments. Performance Management Program Guidebook 18
  21. 21. Summary of Performance Management A good performance management program helps people be more effective in their jobs, resulting in a more successful place to work. Specifically, any formal or informal discussion on performance, if carried out well, can have a positive effect on everyone involved (supervisor, employee, department and Loyola College). Key Points: Highlights of Loyola College’s performance management program include the following: ∗ Both the supervisor and employee play an active role in the entire performance management process. ∗ The Performance Evaluation Form is used to facilitate the process of communicating about work and communicating about performance. ∗ Conversations about performance are conducted frequently throughout the period, eliminating any surprises at the actual review meeting. ∗ Each employee needs to develop the ability to analyze his/her job in terms of specific performance attributes. ∗ The performance management process operates as a continuous cycle: I. Planning St ep 1- Setting Goals and Performance Standards III. Evaluat ing St ep 4 - Prepare for St ep 5 - Review 45review meeting 6 meeting II. Coaching St ep 2 - Progress St ep 3 - Performance Updates Notes Performance Management Program Guidebook 19