1. Conducting Performance Reviews
at Angelo State University
Welcome to the training on conducting performance reviews for managers at Angelo State University.
There are 3 objectives for this training:
To introduce the revised performance review form and process
To develop evaluator skills
To conduct effective performance reviews

2. Session Outline Presentation/Discussion
Why performance reviews are important
ASU performance review process
How to assign performance expectations, ratings and justifications
Discussing goals, training, and employee comments
So why is this topic important –
The purpose of conducting performance reviews is to improve manager/employee communications, recognize employee achievements, and motivate and improve performance. Performance reviews establish benchmarks for employee performance and finally make time for employee input.
Please note that the performance review period is from Jan to Dec 08. All completed forms are due to Office of Human Resources by April 1, 2009.
The following slides will go over newly revised form and how to complete them. As a manager, you will need to outline behavioral expectations, assign ratings for employees past job performance, and explain your rating with a detailed justification with specific examples.
Forms available on Human Resources website in Word format for print & hard copy completion, or PDF format for electronic completion.

3. Why do performance reviews?
They benefit everyone
Document performance issues
Communicate positive feedback
Recognize accomplishments and reward outstanding performance
Correct deficiencies and improve performance
Satisfy legal requirements
Clearly communicate expectations
Help achieve ASU’s goals and mission
Develop and motivate employees
Why do performance reviews?
-They benefit everyone
-Gives you a place to document performance and identify ways to help employees continue to contribute to achieving ASU’s mission
-It’s a place to communicate positive feedback and recognize outstanding accomplishments.
-Also it allows you to comment on deficiencies and to provide staff with personal and professional growth opportunities.
-It is important to support, develop and encourage employees to reach their full potential. Performance reviews send the message that you care about the employee’s performance as well as them as a person.
-It also give you an environment to voice your expectations.
Finally, the Performance review may be used as the basis for personnel decisions, including such things as career development and salary increases, or disciplinary action, if appropriate.

4. Types of Performance Reviews
Qualitative
Quantitative
MBO-management by objectives
360 degree feedback
BARS–behavioral anchored rating scales
Why a point system?
Easy to administer
Can use to compare against historical reviews and between employees
Allows for variance to detect meaningful changes
There are several types of performance reviews:
Qualitative – which is based on the manager’s feelings of how an employee performed. Very subjective & up to interpretation.
Quantitative – which is based on the volume of output produced or sales reached.
MBO or management by objectives – which are based on predetermined objectives which are decided and agreed upon by the supervisor and employee.
360 degree feedback – this method enables the employee to received feedback from his supervisor, peers & subordinates.
BARS or behaviorally anchored rating scales – are devised based on aspects of the employees behavior & supervisor is asked to rate an employees performance on the basis of these scales.
We use a combination of several of these techniques, which is common practice among businesses currently.
We also use a point system for scoring because of the ease of administration, comparison to historical reviews & other employees, and variance levels.

5. Time Requirements At least one per year Must be completed by April 1st
Give copy to employee
Copy for departmental file
Original to Human Resources
Review period is for the prior calendar year 2008
Did employee experience a mid-year change of supervision?
Previous Supervisor completes performance rating
New Supervisor completes goals & training
Where did the employee spend the bulk of their time?
6 months each job – equal collaboration between supervisors
If 8 months or more – completion by supervisor of most time
All regular staff employees should receive a performance evaluation at least once per year. The completed review and supporting documentation and/or additional employee comments must be received in the Office of Human Resources by April 1st. Please remember to keep a copy in your departmental file and also give a copy to the employee.
The evaluation period will be the prior calendar year 2008 and not for January thru March of this year.
If the employee transferred to a different department mid year, it is important to consider these points:
-if the employee was with the previous supervisor 8 months or more, then the previous supervisor should complete the review.
-For mid-year change, where the employee spent 6 months there/6 here or 7 months there/5 here, the new and previous supervisors should consult with each other & share responsibility equally.
-for all mid-year changes, only the new supervisor whom the employee is currently reporting to should complete the goals & training section of the performance review.

6. Supervisor Responsibilities
Complete training on performance review and recognition
Establish departmental goals and objectives
Identify & establish essential functions of the job
Conduct a review for each assigned employee
Provide employees with clear expectations, consistent measures, and achievable standards of performance
Seek input from employees
Supervisor responsibilities include:
Complete this training on performance reviews
Establish goals and objectives for their department
Identify & establish essential functions for each position in your department
Conduct a review on each employee in your department
Provide employees with clear expectations, consistent measures, and achievable standards of performance
Also seek input from employees

7. Supervisor Responsibilities (cont.)
Identify performance shortcomings and provide assistance and support for correction
Support and provide resources
Assist employees in identifying and participating in career development and training programs
Recognize good performance & motivate employees on future performance
Engage in ongoing performance review
Identify performance deficiencies & provide assistance for improvement
Support and provide resources
Assist employees who may need or want career development or training
Recognize good performance & motivate for future performance
Continue to engage your employees with ongoing performance reviews

8. Employee Responsibilities
Provide input to their supervisor in the development of individual goals that contribute to departmental goals and the University’s mission
Meet expectations and achieve performance standards
Discuss concerns and/or questions about any part of their job description or performance review with their supervisor
Identify and participate in career development and training opportunities
Employee responsibilities include:
Providing input on their individual goals that will contribute to the University’s mission
Meet expectations for performance
Discuss concerns and questions about their duties or review with their supervisor
Participate in career development and training opportunities

9. The Performance Review Process
This is the ideal performance review process. It is a continuous process, not just a 1xyear event, with activities ongoing throughout the year.
Step 1 Is the Preparation Phase
Involve the employee
Gather information
Step 2 is The Appraisal Meeting
Put the employee at ease
Be positive and listen
Agree on mutual goals
Step 3 is Follow-through & follow up with the employee on their progress
Give regular, positive feedback
Coaching is the key to success

10. Step 1 Preparing for the Meeting
Involve the employee
Agree on a time and place in advance
Ask the employee to prepare their ideas and goals in writing
Gather data
Current position description
Past performance review
Training records
Critical incident file
Other observations
This includes involving the employee.
Agree on a time and place in advance.
And ask the employee to prepare their ideas and goals in writing.
Next you will need to gather data such as:
The current position description
Past performance review
Training records
Critical incident file
And other observations

11. Step 2 Conducting the Evaluation Meeting
Put yourself at ease
Put the employee at ease
State the purpose of the discussion and the advantages of the evaluation system
Build on the employee’s strengths
Listen to the employee
Compare performance to standards
Assign performance ratings
Develop an overall rating
Agree on mutual goals for the next year
No surprises
Close the discussion
Avoid evaluator error
1. Put yourself at ease
2. Put the employee at ease
3. State the purpose of the discussion and the advantages of the evaluation system – remember to be honest and candid
4. Build on the employee’s strengths
5. Listen to the employee
6. Compare performance to standards, assign performance ratings & develop an overall rating – do it by the book. Follow ASU policies.
7. Agree on mutual goals for the next year – it’s ok to ask for the employee’s opinion
8. No surprises – not the time to bring up a huge issue if you haven’t brought it to the employee’s attention ahead of time
9. Close the discussion by:
Summarizing the meeting
Signing the appraisal form
And thanking the employee and explain the next step
Finally, be sure to avoid evaluator error – which we will talk about shortly.

12. Performance Ratings Use the Staff Performance Review form
The sections are:
Section A: Employee Self Review
Section B: Essential Job Functions and Other objectives (ex. Assignments, Customer Service, Compliance, etc.)
Section C: Supervisory Objectives (if applicable)
Section D: Goals and Training/Development
Using the newly revised performance review form, you will notice a few changes on the sections:
Section A is the Employee Self Review where the employee will describe their accomplishments, strengths, and areas of improvement for the past year.
Section B will discuss the employee’s essential job functions and other objectives such as assignments, customer service, compliance, etc.
An employee’s job function is a clearly established responsibility or requirement of one’s job and found on an employee’s job description. Examples include maintaining a database, preparing travel requests, and scheduling meetings.
An objective is other essential functions of the job that are necessary for success.
Section C is reserved for supervisors only and their performance.
And Section D is where the supervisor and employee agree on goals and any training or development that may be needed. And we will talk more about those in a little bit.
A goal is a statement of specific work-related achievement to be accomplished within a specified time frame. Examples include developing a data base, implementing a reorganized filing system, and developing a new scheduling system. While goals are not specifically listed on a job description, they should reflect it. Duties are necessary, but growth tends to occur more rapidly when we focus on setting specific goals.

13. Performance Expectations
Helps the employee understand how he/she should perform the duties and responsibilities
Should focus on end results not just activities
Reflect department goals and objectives
Measurable
The next section of the performance review form is where you will list out your performance expectations for that position and employee.
This helps the employee to understand how he/or she should ideally perform the job duties & responsibilities.
It should focus on the end results you would like for them to achieve and not just daily activities.
It should reflect back on departmental goals and objectives.
And finally the performance expectations should be measurable.

14. Performance Ratings (cont.)
Superior performance
9-10
Exceeds Expectations
6-8
Meets expectations
3-5
Needs improvement
1-2
Does not meet expectations
Points are awarded based upon the employee’s performance on each essential function.
From Superior Performance at 9-10 points down to Does not Meet Expectations at 0 points.

15. Rating Scale Definitions
Superior Performance % of the time
Consistently exceeds all relevant performance standards.
Provides leadership, fosters teamwork, highly productive, innovative, responsive and generates top quality work.
Active in industry-related professional and/or University groups.
Exceeds Expectations % of the time
Consistently meets and often exceeds all relevant performance standards.
Shows initiative and versatility, works collaboratively.
Has strong technical & interpersonal skills or has achieved significant improvement in these areas.
Superior Performance should be given if performance is far superior % of the time.
The employee consistently exceeds all relevant performance standards.
Provides leadership, fosters teamwork, highly productive, innovative, responsive and generates top quality work.
They are active in industry-related professional and/or University groups.
If performance is well above expectations, then special notes should be made. For employee evaluations to retain credibility, supervisors should use this rating sparingly.
Exceeds Expectations should be given if performance exceeds expectations or goals at least 80-90% of the time.
Consistently meets and often exceeds all relevant performance standards.
Shows initiative and versatility, works collaboratively.
Has strong technical & interpersonal skills or has achieved significant improvement in these areas.
Performance at this level is consistently above average as compared to the stated performance standards.

16. Rating Scale Definitions (cont.)
Meets Expectations % of the time
Meets all performance standards. Displays and maintains an effective and consistent level of performance.
Work output regularly achieves desired or required outcomes or expectations.
May be inexperienced or still learning the scope of the job.
Needs Improvement- does not meet 40-70% of the time
Is inconsistent with performance and output frequently falls below acceptable levels.
Tasks may be significantly late or incomplete.
Does Not Meet Expectations-
Performance not acceptable & corrective action is necessary.
May require constant supervision and completion of duties by others.
Meets Expectations should be given when performance meets supervisors expectations 70-80% of the time
The employee displays and maintains an effective and consistent level of performance.
Work output regularly achieves desired or required outcomes or expectations.
May be inexperienced or still learning the scope of the job.
This level is what one would expect from most competent, experienced employees.
Needs Improvement should be given when performance does not meet expectations 40-70% of the time
The employee is inconsistent with performance and output frequently falls below acceptable levels.
Tasks may be significantly late or incomplete.
Performance is somewhat below the minimum acceptable standard for this job duty. However, there is potential to improve the rating within a reasonable time frame.
Does Not Meet Expectations should be given when employee performance is not acceptable & corrective action is necessary.
The employee may require constant supervision and completion of duties by others.
Because performance on this duty is well below standard, there is serious question as to whether the person can improve to meet minimum requirements in a reasonable time frame.

17. Performance Ratings example
Points
1. Essential Job Functions
2. Assignments & Tasks
3. Job Knowledge
4. Customer Service
5. Interpersonal Skills
6. Attitude & Work Ethic
7. Attendance & Punctuality
8. Compliance
Total divide by 8 =
Each performance standard is evaluated on a 0-10 scale, results added together to get a total score, then divided by total number of individual scores (8 or 13 depending on whether or not they are an employee) to achieve an overall performance rating.
So in this example, 57 is the review total. Divide by 8 (which are the total objectives) for the average, and is the Overall Review score.
For a supervisor’s evaluation you would ivide by 13 (total objectives).

18. Evaluator Error Varying standards - consistency is key
Recency/Primacy – first or last event(s)
Bias
Prior or current equity issues
Past sins
Possible future termination issues
Evaluation patterns – same, lenient, strict, etc.
Halo/Horns effects – always good or bad
Contrast error – excellent because of a certain group
Managers should be aware of these common errors and try to avoid them. Anything less than a complete and accurate performance evaluation will not help to improve the employee's performance and may actually be damaging to the organization.
Varying standards – evaluations must be consistent across department, positions, etc.
Recency/primacy – People have the tendency to remember what happens first or last (ex. What happened last week)
Bias – race, color religion, sex, national origin, disability age, veteran status, sexual orientation, political belief.
Evaluation patterns – The tendency of an evaluator to rate most people the same, always too lenient, always too strict, etc.
Halo/Horns effects – The biased view that everything a person does is always good or always bad.
Contrast error – A person is rated an excellent performer only because he/she is in a poor group or visa versa.

19. Performance Justifications
Explanation of why they received the rating
What they have or have not done with a specific objective
After you assign a performance rating for each standard, you will need to explain your rating with a justification. This can be done by stating what they have or have not done on that issue. Provide specific instances or examples.

20. Specific SMART Goals Measurable Achievable Results-oriented Time-based
After you have assigned ratings & justifications for the review you will need to discuss goals for your employee.
A goal is a statement of specific work-related achievement to be accomplished within a specified time frame. Examples include developing a data base, implementing a reorganized filing system, and developing a new scheduling system. While goals are not specifically listed on a job description, they should reflect it. Duties are necessary, but growth tends to occur more rapidly when we focus on setting specific goals.
To remember this, we have the SMART acronym. A goal needs to be
Specific – where objectives are detailed and focused. Action verbs such as evaluate, complete, develop, define, identify, learn, provide, and maintain, are often used.
Measurable – Objectives must be quantifiable so that it is clear when it has been reached. Cost (reduce expenditures by x dollars), time (shorten process time by x hours), quantity (serve x more clients per day), quality (decrease customer complaints from x to y), and percentage of time (increase child car restraint usage by x%).
Achievable – Objectives can be a “stretch,” but must be attainable and realistic. They should not be too easy or too hard. Within the employee’s control or influence. Also should be agreed-upon by the supervisor and employee together. Action-oriented.
Results-oriented – Achievement of objectives is measured by outcomes (not activities) such as products, deliverables, and accomplishments. The outcome is a result of activities. Objectives should be relevant to ASU’s mission and goals. In addition: realistic, relevant and rewarding.
Time-based – Achievement of goals has a specific deadline and it is clear when has been accomplished. A target date is defined. Allows you to determine if you are on track to achieving. Timely, tangible and trackable.
Finally, Goals should always:
Be relevant to essential duties
Be compatible with the university’s mission
Be tied to departmental goals
And specify needed training

21. Goals – Continued
In order to write S.M.A.R.T. objectives, ASU has divided the objective into two components:
The general title of the goal
The standards
Standards are the specific measures by which the goal is defined, and by which it is measured
Standards, whenever possible, should be tied in with departmental goals & functions

22. Goal Example - #1
Goal: “Attend computer training to improve office efficiency.” Standards: “Attend two 5 hour classes on using Microsoft Access to create databases and developing queries for efficient data storage and retrieval by June 1, Develop new database, implement into office procedures, and train all staff on proper use by December 1, 2009.”
For the 1st example, we will discuss Jane, your imaginary office coordinator. Jane keeps all records with pen and paper and you feel this process is inefficient and her workflow could be improved by an electronic recordkeeping system, then an appropriate goal for her would be to attend a computer training to improve her office efficiency. Next, you would also want to list when the goal is to be achieved by, like this says she will attend 2-5 hour classes on Microsoft Access by June 1. And develop database, implement & train staff by December 1.

23. Goal Example - #2 Goal: “Develop a new filing system.” Standard:
“By June 1, 2009, develop a user-friendly filing system that can be implemented in no more than two weeks. Users will be able to find documents the first time they look, 98% of the time.”
For goal #2 we will discuss Joe, your events manager, Joe. Joe currently has no recognizable filing system for his completed events files and when other staff members go to look for information on that event, it is not easy for them to find without having to ask Joe and wait for him to search through his stacks of unorganized files. You feel that an alphabetical system would be better for all employees who need access to the information. So you both agree on a goal that he develop a new filing system so that all potential users of the files will be able to find the information, without having to consult with Joe. And to be specific you set a target completion date of June 1.

24. The Talent-Management Equation
Performance
Job Description
Hiring
- Performance review
Development
- Mentoring
- Training
- Coaching
The talent-management equation consists of three parts:
The job description – should be an accurate reflection of what is expected of the employee from the start
Hiring the right person – certain skill sets for certain positions; matching up
Development – conducting thorough performance review, identifying needed training, ongoing coaching & mentoring
All equal good performance. Process is not static but ongoing.

25. Employee Disagreement with Written Review
The employee may:
Attach a written response to the review
Request consideration by the next level supervisor/appointing authority
File formal grievance if he/she feels that the review process violates ASU policy
Final decision is made by the department head
Vice President if department head is the rater
Follow chain of command
HR and President do not have final say

26. Evaluate employees in their environment
Step 3 Following Up
Evaluate employees in their environment
Communicate positive feedback regularly
Coaching and mentoring is the key
Note: keep all follow up documentation
Step 3 in the performance review process is the follow up.
After the performance review is over, your job is not done until this time next year. This is an ongoing process where you continue to observe your employees in their environment and meet regularly to review any progress and communicate any positive feedback and reinforce, or redirect by adding or changing goals. Coaching and mentoring are the keys to success.
Also, don’t forget to keep records and documentation throughout the year in your departmental files.

27. Optional Performance Review
Performance Review not required on anyone who has been employed with ASU less than 6 months (as of Feb. 1, 2009)
Highly recommended that each new employee receive an initial review during their first 6-month period

28. Questions? Please contact the Office of Human Resources
Thank you!
Questions? Please contact the Office of Human Resources
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