1. Performance Management
at Mason

2. Performance Management
Performance management is the process of:
Defining expectations
Maintaining open communication between supervisor and employee during the year
Linking individual performance to organizational needs
And evaluating performance
This is a year-round process

3. Why should we do it? Performance management techniques help:
high achievers to develop new skills
solid performers to become great
underachievers to improve
create a productive work environment for all

4. Best practices in performance MGMT
When giving feedback, remember to be:
Timely: Don’t wait. Give feedback as soon after the performance takes place (positive and constructive).
Specific: Say exactly what they did that was good or needs improvement.
Sincere: Be honest and open. Tell the person the impact of their performance.
Personal: Adjust the style and method of your feedback to the receiver.
Proportional: Match the intensity of your feedback to the intensity of the behavior.

5. Importance of Documentation
Counseling memo or Follow-up
Summarize performance issues (as discussed in meeting, if applicable)
List specific examples, instances and any attempts to train/correct
Consequences of performance issues on department
Desire for performance to change and consequences if doesn’t
Next steps
Supervisor Documentation
Supervisor paper file
Online file (excel spreadsheet)
Self

6. Performance Appraisal Cycle
Classified Staff:
Annual cycle from October 25th
through October 24th
Administrative/Professional Faculty:
Annual cycle from July 1st
through June 30th
Wage Employees:
N/A*

7. Performance Evaluation Due Dates
Type of Employee
Evaluation Due Date
Where to Send….
Instructional/ Research Faculty
10/25/2011
Dean's Office
Administrative/ Professional Faculty
Supervisor then Human Resources and Payroll
Classified
Human Resources and Payroll
Wage (Non-student and Student)
No eval required
N/A

8. What is the goal of a performance appraisal?
Performance appraisal is a formal discussion between a direct report and a supervisor, for the purpose of discovering how and why the direct report is presently performing on the job, and how the direct report can perform more effectively in the future, so that the direct report, the supervisor, and the university all benefit.

9. The supervisor is responsible for:
Developing the work tasks, duties and performance
expectations (the work profile or position description)
Providing feedback regarding performance
Offering opportunities for development
Conducting the performance appraisal

10. Faculty and Staff members should:
Seek assistance with/and clarify responsibilities as needed
Do a self-evaluation
Actively participate in the appraisal discussion
Identify ideas for developmental goals

11. Due Dates
The evaluation form must be completed, signed and dated by the employee, supervisor, and reviewer, and submitted to Human Resources by Tuesday, October 25th
Individual Departments may have unique deadlines earlier than October 25th. Check with your HR Liaison for more information
Removed Pay Increase slides this year because there aren’t any.
REINSERT PAY INCREASE SLIDES WHEN RAISES ARE REINSTATED

12. Where to find the performance evaluation forms:
Go to: hr.gmu.edu
click on Forms and Materials
Scroll down to Performance Management

13. Classified Evaluation Forms
Let’s look at the forms…
Employee Work Profile (EWP)
Self Assessment Form
Acknowledgement of Extraordinary Contribution
Notice of Substandard Performance
Performance Evaluation Form
Probationary Progress Review

14. Classified Staff Self-Assessment
Not required.
A good way to gather input; increase involvement and commitment.
Give to your supervisor before your annual evaluation meeting.
Meet with your supervisor to discuss your annual evaluation and the self-assessment.
Employees must be given the opportunity to do a self-assessment (refer to form). It should be given to them at least 2 weeks prior to your meeting with them about their performance. They may decline to do a self-assessment.
Suggestion: You may want to read the employee’s self-assessment before preparing your review. You may receive some information that will influence what that review looks like.

15. Classified Appraisal Areas
Evaluation of Work Tasks and Duties (EWP)
Universal Performance Expectations
Supervisory Performance Expectations
Overall Performance Rating

16. Classified Performance Ratings
GMU Ratings
E Extraordinary
H High Achiever
A Solid Achiever
F Fair Performer
U Unsatisfactory
State Equivalent Ratings
E Extraordinary
C Contributor
B Below Contributor

17. Extraordinary Achiever
In order to be eligible to earn an overall “Extraordinary Achiever” rating on the annual evaluation, an employee must have received at least one “Performance Management Acknowledgement of Extraordinary Contribution” form during the performance cycle.

18. Extraordinary Achiever
Pay special attention to goal setting—time to raise the bar?
Consider special recognition
An overall rating of “Outstanding Contributor” must also be supported by documentation.

19. Unsatisfactory Performer
If a classified staff member receives a performance rating of below contributor (unsatisfactory performer), there is no pay increase. The supervisor MUST consult with HR before issuing an “Unsatisfactory Performer” rating on an evaluation.

20. Unsatisfactory Performer
In order to be rated “Unsatisfactory Performer”, a classified employee must be issued:
a “Notice of Improvement Needed/ Substandard Performance” form OR
a formal Written Notice (Group I, II, or III) during the performance cycle
Employees that receive an Unsatisfactory rating must be issued a performance improvement plan and be re-evaluated at the end of three (3) months.

21. Unsatisfactory Performer
Develop a performance plan & present to the employee (using the EWP)
Re-evaluate the employee in 3 months
Remember that there must be supporting documentation. Within 10 workdays of the evaluation meeting, the employee’s supervisor must develop a performance re-evaluation plan that sets forth performance measures for the next three months and have it approved by the reviewer. This should be done even if the employee is in the process of appealing his/her evaluation.

22. Three Month Re-Evaluation
If performance does not improve:
Demotion or re-assignment
Reduced Duties
Termination
Demotion or re-assignment: If performance is documented as not improving during the re-evaluation period, the employee may be demoted or reassigned to another position in the same pay band with lower level duties if the department identifies another position that is more suitable for the employee’s performance level. A demotion or reassignment will end the re-evaluation period.
Reduced Duties: As an alternative, if the employee is unable to achieve satisfactory performance during the re-evaluation period, the department may allow the person to remain in the position with reudced duties. Must be accompanied by a salary reduction of a t least 5%.
Termination: If there are no alternatives to demote, reassign, or reduce duties, termination based on the unsatisfactory re-evaluation is appropriate at the end of the re-evaluation period.

23. Admin/Professional Faculty Forms
The forms for Administrative and Professional Faculty are different from Classified employees …

24. Admin/Faculty Self-Assessment
Examples of last year’s major accomplishments and disappointments
Environmental considerations (including barriers and/or beneficial factors) which helped or hindered your work.
Summary comments including recommended developmental options.
Employees must be given the opportunity to do a self-assessment (refer to form). It should be given to them at least 2 weeks prior to your meeting with them about their performance. They may decline to do a self-assessment.
Suggestion: You may want to read the employee’s self-assessment before preparing your review. You may receive some information that will influence what that review looks like.

25. Admin/Professional Faculty Appraisal areas
Overall summary of the past cycle’s performance
Brief description of work strengths and weaknesses
Goals/Developmental plan for next cycle

26. Admin/Professional Faculty Performance levels:
__Performance generally superior and frequently exceeds expectation
__ Performance fully meets standards and makes a positive contribution
__ Performance demonstrates room for growth and improvement
__ Unsatisfactory performance

27. Unsatisfactory Performance
If an Admin/Professional Faculty member receives a performance rating of “Unsatisfactory”, it can be grounds for termination of appointment. The supervisor must consult with HR prior to issuing an unsatisfactory rating on an evaluation.

28. Essential Factors Leadership Change Orientation Planning Communication
Task/Project Management
Diversity Management
Conflict Management
Performance Management of Direct Reports
Teamwork & Cooperation
Privacy & Computer Security Mgmt. (Confidentiality)
Customer Service

29. Pitfalls Halo Effect Horns Effect Personal Bias Santa Claus Effect
A person who did good work in the past is not really reviewed, but is assumed to have done well.
Compatibility: tendency to rate employees whose personality and manner we like, higher than they deserve.
One Asset: person who is a convincing talker, is good-looking, has the right degree, etc., often is overrated.
High potential: giving employees credit for what they could do—not for their actual performance.
Just like me: after all, if they are just like me, they must deserve a high rating.
Poor Pearl: feeling sorry for an employee’s circumstances and giving them “extra credit” for the situation
Santa Claus Effect

30. Mitigating Circumstances
Were there circumstances beyond the employee’s control that made it impossible to achieve their goals?
Internal Factors?
External Factors?
*Have group provide examples.

31. Remember:
A performance appraisal is a formal discussion between a direct report and a supervisor, for the purpose of discovering how and why the direct report is presently performing on the job, and how the direct report can perform more effectively in the future, so that the direct report, the supervisor, and the university all benefit.

32. Before the Meeting Review performance evaluation policy
Review employee’s self-assessment
Prepare the evaluation
Get approval from Reviewer
Choose suitable location for meeting
Prepare both positive and constructive feedback
Provide evaluation to the employee for review

33. The Performance Appraisal Meeting
The evaluation meeting is essential for good two-way communication between manager and employee. The form is a starting point for discussion and feedback.

34. During the Meeting Be specific Discuss regular, expected performance
Identify accomplishments above and beyond the expected
Demonstrate where mismatch between goals and achievement exists
If you have given feedback during the year, there will not be a lot of surprises. If you haven’t the employee may be surprised or angry at your assessment.

35. During the Meeting State the purpose and benefit; check receptivity
Get direct report’s views
Present your own views
Vent interfering emotions and resolve disagreements
If you have given feedback during the year, there will not be a lot of surprises. If you haven’t the employee may be surprised or angry at your assessment.

36. Finalizing the Evaluation Form
Employee signs and can add comments.
Signature does not indicate agreement – just that evaluation has been read and discussed.
Express appreciation for work well done.
Consider setting goals for the coming year.

37. What does the Reviewer do?
The Reviewer is normally the supervisor’s supervisor
Reviews & approves evaluations before a supervisor provides the evaluation to employee
Confirms supporting documentation
Ensures consistency among supervisors
Makes decision on employee appeals
After you have completed the form to your satisfaction have it reviewed by the reviewer.
The reviewer is important to the process. He/she can see how one employee’s performance stacks up against the productivity of the department. He/she can see if one supervisor is being too lenient or too generous. Again, supporting documentation can be invaluable.

38. Reviewer – be on alert for these patterns:
Too Easy
Too Tough
Right Down the Middle
Be sure your supervisors have truly appraised performance fairly
Have they differentiated? Or is everyone great?
Too Easy: consistently high ratings for all employees, could be because supervisor is uncomfortable in being critical, or because he/she doesn’t think employees are paid enough, or it is a way to ensure no hassle from work group.
Too Tough: consistently low ratings for all employees, could be because supervisor has unrealistically high expectations, or that it will keep people on their toes.
Right Down the Middle: consistently rates employees in the middle of the scale, could be because of a lack of knowledge of what employees have accomplished, or to be safe, or because other ratings have to be justified.

39. Performance Evaluation Appeals
A performance evaluation appeal process exists for both
Classified Employees
and
Admin/Professional Faculty.
From the administrative/professional faculty handbook

40. Classified Staff Appeals
Employee may appeal to the reviewer for another review of the evaluation in writing within 10 workdays.
The reviewer will discuss the appeal with the supervisor and employee, then provide a written response within 5 workdays of receiving the appeal.
The reviewer can uphold, revise or rewrite the evaluation, or have the supervisor revise or rewrite it.
Employee may also file a grievance about the evaluation if he/she deems it arbitrary or capricious.

41. Admin/Professional Faculty Appeals
An informal appeal may be made to the reviewer in writing within 10 calendar days of receiving the evaluation. The reviewer has 10 calendar days to review the appeal, meet with the employee and provide a response.
The response may be:
a) evaluation stands as is
b) evaluation is edited based on appeal issues OR
c) evaluation is re-written

42. And Finally …
These interpersonal skills have a significant bearing on performance discussions:
Be specific and focus on behavior
Build and maintain self-esteem
Solve problems jointly
Listen actively
Be compassionate
Probe for understanding
Positively reinforce desired behaviors
If you have given feedback during the year, there will not be a lot of surprises. If you haven’t the employee may be surprised or angry at your assessment.

43. Practice Makes Perfect
Think of something you may find difficult to talk about with your supervisor, a direct report, or coworker.
(tardy, attitude, missed deadline, attendance, etc.)
Jot down how you will communicate this in writing.
Practice the evaluation conversation with a partner.

44. Additional Resources Check out the Employee Relations website:
Coaching
Supervisor Forum
Conflict Resolution
Performance Management
Resources, Helpful Links and more…

45. Questions or comments?