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Performance Manageme..


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  1. 1. AVPF PERFORMANCE MANAGEMENT PROCESS USER GUIDE Issued April 2005 rev. April 2008 performance-manageme4234.doc Page 1 of 29
  2. 2. Table of Contents Performance Management Process Introduction ................................................................. 3 Overview of Performance Management Process.................................................................. 4-7 Elements of the Work Plan.................................................................................................... 8-12 Coaching & Feedback........................................................................................................... 13-14 Skip Level Communication.................................................................................................... 15-16 Summary Performance Evaluation........................................................................................ 17-20 Key Points............................................................................................................................. 21-22 AVPF Rebuttal Process........................................................................................................ 23 Supervisor Checklist............................................................................................................. 24 SPE Overview and Guidelines.............................................................................................. 25-29 performance-manageme4234.doc Page 2 of 29
  3. 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 performance-manageme4234.doc Page 3 of 29
  4. 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 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 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. performance-manageme4234.doc Page 4 of 29
  5. 5. 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. 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. performance-manageme4234.doc Page 5 of 29
  6. 6. 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 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, performance-manageme4234.doc Page 6 of 29
  7. 7. 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. performance-manageme4234.doc Page 7 of 29
  8. 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. performance-manageme4234.doc Page 8 of 29
  9. 9. 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. 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 Goals These overarching strategic AVPF goals will have been written into the 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 Classification Employee’s working title as it appears on departmental records. 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 Summary Period Usually June1-May 31, unless the period is shorter due to special assignment, transfer, new hire date. Work Plan/Coaching and Supervisors and employees will meet a minimum of 3 times per year to Feedback review the previous period and provide feedback in order to adjust the Work Plan for the next period if necessary. They will use this section to document the date and initialing each of the sessions 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. performance-manageme4234.doc Page 9 of 29
  10. 10. Section II. Work 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 Values 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. Below is a sample of the Work Values and Behaviors as they appear on the Work Plan. performance-manageme4234.doc Page 10 of 29
  11. 11. Section III. Major Areas of Responsibility Below is a sample of a Major Area of Responsibility or MAR as it appears on the Work Plan. 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”). Professional development is not a MAR, as it is not an employee’s direct job responsibility or duty. This important endeavor is evaluated under the Work Behaviors and Values section of the Summary Performance Evaluation. A Work Plan must contain 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. It is required 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 performance-manageme4234.doc Page 11 of 29
  12. 12. accomplish this year?” Ideal goals are SMART – Specific, Measurable, Attainable, Realistic, Tangible. 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. performance-manageme4234.doc Page 12 of 29
  13. 13. Coaching and Feedback It is the supervisor’s responsibility to ensure that employee/supervisor hold Coaching and Feedback sessions at least three times a year. The purpose of these meetings is to review the previous period and provide feedback in order to adjust the Work Plan for the next period if necessary. Below is the timeline for the Coaching and Feedback sessions. Timeline/action required DUE DATE ACTION FOR SUPERVISOR ACTION REQUIRED FOR HR June 1 Work Planning Begins 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. Submit approved Work Plans Work plan for coming year finalized and approved. Submit By July 31 electronically by July 31 to AVPF Unit approved new work plans electronically to HR Administrators. HR Administrators. October 1 Start 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 Work Values and Behaviors and MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on Work Values and Behaviors and MAR's that are going well and those 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 By October 31 and send electronic copy to AVPF Unit HR Administrator. October 31 to AVPF Unit HR Administrator. February 1 Start 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 Work Values and Behaviors and MAR's listed on Work Plan for the covered quarter. Supervisor should comment in writing on Work Values and Behaviors and MAR's that are going well and those 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. performance-manageme4234.doc Page 13 of 29
  14. 14. 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 By February 28 file and send electronic copy to AVPF Unit HR Administrator. February 28 to AVPF Unit HR Administrator. May Optional self-assessment period. By May 31 3rd Coaching and Feedback Session Covers February 1 - May 31 for work completed Supervisor should comment in writing on Work Values and Behaviors and MAR's that are going well and those 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. Supervisor and staff member should initial front page of Work Plan and note the date that the coaching and feedback session took place. SPE drafts, taking into consideration the entire performance year, are due to next higher supervisor for review. 1st and 2nd ELT organization’s peer review process on all performance week of June ratings. 4th week of June Summary Performance Evaluation Submit original SPEs and Supervisor Covers entire Year (June 1 - May 31) for SPE Checklist with signatures by June 30 Supervisors communicate Summary Performance Evaluation to AVPF Unit HR Administrators. to staff. Upon communication of SPE to staff, supervisors should make a copy for your file and submit original SPEs and Supervisor Checklist to AVPF Unit HR Administrator. Supervisor and staff member should initial front page of Work Plan and note the date that the Summary Performance Evaluation took place. performance-manageme4234.doc Page 14 of 29
  15. 15. 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. Employees may decline the invitation from the skip level supervisor/manager if they choose. Skip Level Supervisor/Manager Preparation Review the employee’s 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 Other tips: Session may last a minimum of 30 minutes Cultivate a comfortable atmosphere performance-manageme4234.doc Page 15 of 29
  16. 16. 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. 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 Unit HR Administrators and department management to provide continuing input on the employee’s perception of our Performance Management Process. performance-manageme4234.doc Page 16 of 29
  17. 17. 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 Performance 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. In Mid-June, the ELT will calibrate all performance ratings. 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 June 30. This includes all new staff that are eligible for the September salary program. performance-manageme4234.doc Page 17 of 29
  18. 18. 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. Ratings must be in whole numbers (i.e. 1, 2, 3, 4, or 5 and not 1.5, 2.25, etc). 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. The supervisor and employee should spend time discussing Coaching and Feedback for the previous quarter and also discuss the SPE which takes into account the entire previous year. performance-manageme4234.doc Page 18 of 29
  19. 19. To prepare for the SPE, the employee should review their own Work Plan concerning goal achievement and complete the SPE for themselves. 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 the fourth (4th) week of June. 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 purposes (Last period Coaching and Feedback and Summary Performance Evaluation). 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 be placed in employee’s central HR file, one copy to the department personnel file and one to the employee.) An employee may provide additional information to be attached to the SPE. An example might be a copy of an award received or completion of a training program. 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. After the session Finally, make copies of the completed evaluation for the employee and yourself and forward the signed original to the appropriate manager. The completed signed original of the SPE will be imaged into the employee’s central HRAA personnel file. performance-manageme4234.doc Page 19 of 29
  20. 20. 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 30. 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. performance-manageme4234.doc Page 20 of 29
  21. 21. 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. performance-manageme4234.doc Page 21 of 29
  22. 22. 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 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 summarize Avoid telling the truth for fear of disagreement of an on-going performance Avoid surprises problem. performance-manageme4234.doc Page 22 of 29
  23. 23. AVPF Summary Performance Evaluation Rebuttal Process For non-bargained-for staff members The rebuttal process should be used when a staff member does not agree that the Summary Performance Evaluation reflects his/her level of performance. The rebuttal process is as follows: 1. A staff member has fifteen business days from receiving the SPE to file a rebuttal. 2. The rebuttal must be in writing and should be submitted to the staff member’s immediate supervisor (as a hard copy or as an email attachment). The rebuttal should provide details, examples, and/or documentation of the staff member’s performance to be considered for amending the SPE rating. 3. The staff member and the immediate supervisor will work to address any concerns or differences of opinion in the evaluation 4. If the staff member isn’t satisfied, the rebuttal should be submitted by the staff member to the supervisor’s manager and to the department’s HR Administrator. This rebuttal should include the work plan and coaching & feedback notes along with the previous written rebuttal. 5. The manager and the HR Administrator will discuss the rebuttal. They may consult with the staff member’s supervisor for insight into the SPE rating. They will then meet with the staff member about their decision. 6. If, after this meeting, the staff member wishes to continue the rebuttal process, the same packet should be submitted by the staff member to the department’s Executive Lead Team member and to the Finance-HR officer. 7. The Executive Lead Team member and the Finance-HR officer will work together to come to an agreement on the SPE rating. They may meet with those previously involved in the rebuttal process or others pertinent to the staff member’s performance for more information. They may consult with the Finance Division’s University Human Resources representative or with the Associate Vice President for Finance. They will discuss their decision with the staff member. 8. Note: The written rebuttal provided by the staff member will be retained as an official attachment to the SPE. For bargained-for staff members Please refer to the contract guidelines. performance-manageme4234.doc Page 23 of 29
  24. 24. 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. performance-manageme4234.doc Page 24 of 29
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