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  2. 2. TABLE OF CONTENTS A. Introduction……………………………………………………………….. PAGE 3 B. Roles and Responsibilities………………………………………………. PAGE 4 1. ROLE OF SENIOR LEADERS 2. ROLE OF THE CPM MANAGER 3. ROLE OF THE EMPLOYEE C. The Process………………………………………………………………. PAGE 5 PHASE 1 – JOINT PLANNING FOR PERFORMANCE……………… PAGE 6 PHASE 2 – ONGOING PERFORMANCE FEEDBACK……………… PAGE 7 PHASE 3 – DATA GATHERING……………………………………….. PAGE 7 PHASE 4 – THE PERFORMANCE MANAGEMENT PLAN REVIEW AND ASSESSMENT…………………………………. PAGE 8 2
  3. 3. OVERVIEW OF THE PERFORMANCE MANAGEMENT PROGRAM A. INTRODUCTION The purpose of the CPM Performance Management Program (PMP) is to achieve excellence in employee and organizational performance. The program establishes individual goals that are aligned with the University’s Academic Plan / Divisional Plans and Integrated Resource Plans, and provides essential and timely feedback to improve and enhance employee performance. It forms the basis on which managers recognize staff contributions and enables staff to plan their own learning and development in their current jobs. It also assists them in developing their future career plans. PMP promotes a dialogue between the manager and employee which: • gives employees a better understanding of expected skills and attributes, and their role in achieving the University Academic/Divisional Plans, and the Integrated Resource Plans; • aligns and/or supports individual performance goals with the organizational goals; • ensures a shared understanding and awareness of work priorities and performance expectations; • provides information to employees about how well they are performing in their job; • assists in identifying skills to be developed; • clarifies the necessary resources and support needed by both employees and managers; • assists employees in planning their careers; • enhances the overall performance of the organization. 3
  4. 4. B. ROLES & RESPONSIBILITIES 1. ROLE OF SENIOR LEADERS The senior leaders of the University establish University strategies and directions and oversee the Performance Management process. It is the responsibility of the senior leadership group to: i. Ensure that the Performance Management process takes place in a timely and effective manner; ii. Monitor the process across York University to ensure fairness and consistency; iii. Communicate University strategies, the University Academic Plan / Divisional Plans and Integrated Resource Plans to CPM employees; iv. Ensure that objectives and measures of the Divisions, Departments/Faculties are aligned with these University strategies and plans and are communicated and considered in the development of individual Performance Management plans and goals. 2. ROLE OF THE CPM MANAGER All CPM staff with responsibility for managing CPM employees are responsible for carrying out the management role in PMP. This includes the responsibility to: i. Initiate the Performance Management process; ii. Communicate University strategies, Department/Faculty plans and performance expectations, iii. Document individual Performance Management plans; iv. Monitor performance, periodically review and update Performance Management plans as required during the year; v. Coach and define remedial action, if required; and vi. Assess performance and recommend an overall evaluation and rating level. 3. ROLE OF THE EMPLOYEE Employees partner with the manager in establishing the performance plan. While it is the manager’s responsibility to make assessments about performance, employees also play a key role in analysing how their actions and behaviours contributed to the achievement of the performance plan. Employees have the responsibility to: i. Participate actively in establishing their performance plan; ii. Regularly assess their own performance against their plans, goals and performance measures, and their progress against their development action plans; iii. Inform their manager of their progress and to seek help in solving any problems; iv. Seek direction when it appears that goals are changing, will not be met or when unforeseen problems arise; v. Participate and actively plan for the annual performance review, including the discussions about their career development plans. 4
  5. 5. C. THE PROCESS There are four key Phases to the annual performance management process. A brief overview of the four phases follows. Phase 1: Phase 2: Phase 3: Phase 4: Joint Planning for Ongoing Data Gathering Annual Performance Performance Performance Feedback Review Define and develop • Observe • Employee and • Analysis of performance goals. Performance Manager share performance and skills • Annual plans • Analyze/plan • Performance input from data, • Review • Ongoing • Regular surveys, accountabilities feedback: • Development for client/customer the job and for • Skill assessment, • Mid Year review peers the future and plans Immediate follow- up on any • Skill planning • Measures of performance quality and • Use assessment improvements quantity info for new goals • L&D Plan and Goal FEEDBACK: • Performance • Skills& Attributes • Learning and Development Plan University Resource/ Capacity Management • Performance • Training • Succession • Assignments • Leadership Development 5
  6. 6. C. THE PROCESS PHASE 1 – JOINT PLANNING FOR PERFORMANCE The manager and employee meet to review and rate skills and attributes, define development action plans and prepare individual performance goals and measures for the upcoming performance period, based on the objectives and measures in the Department or Faculty Integrated Resource Plan. Suggested Steps 1. The manager ensures that Part 1 of the Performance Management plan Form is complete and contains the Strategic Objectives/Initiatives, Actions/Strategies and Measures for the Department or Faculty. This information is extracted from the Integrated Resource Plan. This information is relevant and is provided to the employee in advance of a scheduled meeting to prepare the Performance Management plan. 2. The employee and manager review the employee's Position Profile for accuracy, completeness, update any required changes. 3. The employee and manager review Part 1 of the Form and develop potential individual performance goals to discuss during the planning meeting. 4. The employee and manager review the skills and attributes in Part III and Part IV of the Form and determine a preliminary rating level for discussion during the planning meeting. They also consider possible development action plans for discussion, which support the achievement of the stated goals. 5. Performance goals and measures are cascaded from the information contained in Part I, and the performance goals and measures of the direct manager. This cascading process ensures that all employees are aware of the Integrated Resource Plan and University Academic Plan / Divisional Plan and understand how they contribute to overall organizational performance. These goals and measures are documented in Part II of the Form. If there are interdependencies in the achievement of a goal or measure with other positions, internal units, and/or external bodies these are identified and documented. Note that the Results Achieved column is not completed at this time. 6. Some positions may have minimal direct cascading from the Integrated Resource Plan into their goals; the linkage would be indirect and relate to performance goals for their role and accountabilities contained in their Position Profile. 7. The manager and employee in Part II of the Form identify and document sources for performance information such as surveys, reports, customer feedback etc. 8. The manager and employee discuss the core skills and attributes and determine a rating level for each and document development action plans, where appropriate. The same process is followed in Part IV of the Form for Leadership skills and attributes. Not all Leadership skills and attributes will necessarily apply to the current position, but we suggest that they be discussed for developmental purposes. 9. The manager ensures that the PMP documentation is completed and that both the manager and employee have a copy. 6
  7. 7. PHASE 2 – ONGOING PERFORMANCE FEEDBACK The performance period covers the time between Phase 1 and Phase 4. During this time, the manager provides ongoing consultation, counselling, coaching and performance feedback to the employee. The manager and employee keep track of how the employee is doing relative to the Performance Management plan. At minimum, a mid-year meeting should be held to review goals and discuss performance to date, and if necessary, make amendments to the Form. Suggested Steps 1. Conduct a mid-year meeting to review and discuss performance relative to the goals and measures established. 2. Document the date of the review on the plan form and complete Part IIB if required, to document changes made to the goals and measures during the performance year. The manager ensures that the employee has a copy of the revised Form. PHASE 3 – DATA GATHERING The manager and employee are responsible for obtaining information or data related to the achievement of development action plans and performance of the goals and applicable measures. This could include data from surveys, and reports or input from peers, customers etc. 7
  8. 8. PHASE 4 – THE PERFORMANCE MANAGEMENT PLAN REVIEW AND ASSESSMENT Suggested Steps 1. The manager and employee review documented key goals and measures, and the development action plans related to skills and attributes contained in the Form, in advance of the review meeting. 2. The employee completes Results Achieved for each of the goals, highlighting actual results against measures in Part II of the Form; provides a preliminary rating of skills and attributes at completion of the performance cycle in Part III and Part IV of the Form; if appropriate, describes other challenges, considerations and achievements that are not reflected in the documentation and should be considered in the overall assessment in Part V of the Form. This document is provided to the manager, prior to the formal review meeting. 3. The manager and employee meet to review results achieved on the goals and measures for the performance period; and discuss the employee’s input and complete the necessary documentation for Results Achieved in Part II of the Form. 4. Development action plans, and skills and attributes are rated by the manager in Part VI of the Form; and career development plans of the employee are discussed with actions identified, and accomplishments noted, if appropriate. 5. Employees have the opportunity to provide commentary on this review and acknowledge that they have read and discussed the review with their manager. The manager also has the opportunity to respond, in writing, to the employee’s comments. 6. After the review meeting, the manager completes the Summary Assessment Form, in which overall performance is rated by the manager on a combination of achievement of goals and measures, development action plans, and demonstration of skills and attributes. The rating level also takes into consideration other factors, such as operational environment, challenges that were unplanned, and other major achievements. 7. The summary narrative assessment is completed by the manager, highlighting accomplishments and areas for improvement. It is reviewed and approved by the appropriate senior leader prior to communication and discussion with the employee. 8. After this approval, the manager meets and discusses the rating and merit pay adjustment with the employee. A copy of the Summary Assessment form is provided to the employee and the employee has the option to provide written commentary on the assessment. The manager can also respond in writing to this commentary, and if appropriate, the second level supervisor may also provide commentary. 9. A copy of the completed Form and Summary Assessment is given to the employee; a copy is retained in the Unit’s personnel files; and a copy, along with an Employee Transaction Form (ETF) is sent to the Manager, Compensation, Compensation, Pension & Benefits Unit, Human Resources and Employee Relations 10. Consulting services to assist in the process are available through the Learning and Development Office at - 8