1. Performance Appraisal Training- Engineering Division Bruce Ullman October 2011

2. Improve writing of expectations Promote common understanding of ratings & their application Review communication requirements Review process timeline and flow Purpose

3. Writing Expectations Writing Tips Using the S.M.A.R.T. Checklist Examples Not so SMART (Mediocre) SMART (Good) Really not SMART (Poor) Improve writing of expectations Promote common understanding of ratings & their application Review communication requirements Review process timeline and flow

4. List group/your own objectives for the year What are you expected to produce, accomplish, etc? Whom are you supposed to serve, assist, etc? Assign each objective to one or more employees--including yourself if appropriateas long as They have the right skills They will have the time You can provide the resources You have given them the authority Identify a measurable outcome for each objective Add a timeframe or quality metric if appropriate Writing Good Expectations

5. Writing Tips Write it so its appropriate for someone of the persons grade and experience Write it so both of you know what is expected Use action verbs and clear metrics Allow room to excel if possible Dont list tasks or job duties; just outcomes You dont have to cover every aspect of the job Dont mix unrelated objectives Dont repeat or restate Core expectations

6. Choose Your Words Wisely ACTION VERBS OBJECTWEAK WORDSEVALUATION Produce …plan, system AssistOutstanding Create …method, procedure SupportSuperior Improve …process, performance LeadExcellent Complete …project OverseePeerless Repair …equipment, system MonitorWeak Learn …task, procedure CoordinatePoor Collect …data, input, consensus HelpUnique Document …procedure Manage Inspect …equipment, system Multiple Solve …problem Various Develop …training, solution Quality Implement …program, process Expert Eliminate …backlog, problem Often

7. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? What Is a SMART Expectation?

8. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Assist in keeping ABC magnet array functioning. Line Employee Relatively specific Weak verbs Who is actually accountable? Lots of room for disagreement No standard or time frame Not-So-SMART Expectations Take the lead in troubleshooting magnet problems. Team Leader/Supervisor

9. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Measurable verbs Appropriate to level of ratee Room to excel Reasonable time frame States what must be done, not how Make it a SMART Expectation Assist in keeping ABC magnet array functioning. Line Employee Take the lead in troubleshooting magnet problems. Team Leader/Supervisor Ensure causes of system failures in the ABC magnet array are identified and eliminated within 24 hours of notification by Accelerator Operations. Team Leader/Supervisor Identify and eliminate causes of system failures in the ABC magnet array within 24 hours of notification by supervisor or Crew Chief. Line Employee

10. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Not-So-SMART Expectations Lead the widget alignment team effectively. Oversee related work in Hall X and manage tools and equipment. Team Leader/Supervisor Some specificity Weak verbs Lots of room for disagreement No standard or time frame States the obvious

11. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Continue to document your repair work using the xyz format. Be sure to include tools used, time signed out, time signed in, condition when signed out, condition when signed in, serial number of item, manufacturer, and series. Keep supervisor informed of all work within 2 hours of completion. Line Employee Not-So-SMART Expectations Measurable Little room for disagreement Clear standard and time frame Significant? Too much how detail

12. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Make it a SMART Expectation Measurable verbs Appropriate to level of ratee Room to excel Reasonable time frame States what must be done, not how Lead the widget alignment team effectively. Oversee related work in Hall X and manage tools and equipment. Team Leader/Supervisor Continue to document your repair work using the xyz format. Be sure to include tools used, time signed out, time signed in, condition when signed out, condition when signed in, serial number of item, manufacturer, and series. Keep supervisor informed of all work within 2 hours of completion. Line Employee Provide solutions to alignment problems in Hall X and see they are implemented such that experiments are not compromised or delayed. Team Leader/Supervisor Solve Hall X alignment problems assigned to you as quickly as resources allow and document them for future reference. Line Employee

13. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? You are expected to complete complex design assignments while handling multiple tasks and projects. You will work under general project supervision and report directly to work managers or engineers. Significant latitude in prioritizing and choosing design methods and formats will be given to you. With this, you are expected to independently identify and solve moderately complex design problems. You are held responsible for the overall quality and schedule of your designs as you coordinate your efforts with other designers and engineers both inside and outside of the group. Furthermore, you are tasked to clearly report your progress, risks, difficulties, and alternative methods to the groups mangers and Project Engineers. Contradiction? Significant latitude,: independently identify clearly report…to…managers, etc. How many is multiple? Stating the obvious? Fixing a Poor Expectation Complete complex design assignments to the satisfaction of work managers and engineers while successfully handling multiple other tasks and projects

14. S Significant Is it worth doing, or is it just busy work? M Measurable Is there a way to tell when its done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the groups (and therefore the Labs) goals? T Timely Can it be completed within the reporting period? Serve as an electrical team lead. Duties include working with the electrical group supervisor to plan and prioritize work, directing and monitoring other technicians to complete approved work, training other technicians on technical and safety aspects of approved work, and keeping the electrical group supervisor informed. Sounds like a job description Other than keeping the supervisor informed, how is this expectation measured? What is the electrical team supposed to produce? That is what this person should be expected to deliver Fixing a Poor Expectation Plan and prioritize your teams work to the satisfaction of the electrical group supervisor. Ensure approved work is completed, technicians have training and resources to work safely and effectively, and supervisor is aware of progress and/or problems.

15. Pitfalls Too much detail, confusing structure, unclear objective Unrelated tasks in same expectation Restating the job description Too little outcome and too much process Assigning things that belong to someone else Trying to include everything the person does Repeating a core expectation Wimpy or misleading words

16. Improve writing of expectations Promote common understanding of ratings & their application Review communication requirements Review process timeline and flow Performance Ratings Definitions Examples Technical Expectations Core Expectations Rating Tips

17. Performance Ratings 5 = Exceeded All Job Expectations - Performance exceeded the goals and standards established for the position. Demonstrated performance is so exceptional that any knowledgeable observer would recognize the overall high quality of the results achieved by the employee 4 = Exceeded Most Job Expectations - Performance exceeded most goals and standards and successfully achieved all other job requirements that contribute to the success of the Lab 3 = Achieved Job Expectations - Performance consistently met and may have exceeded some of the goals established for the position. This rating reflects solid and reliable performance; characteristics of a fully qualified, experienced employee who is contributing to the success of the Lab 2 = Marginally Met Job Expectations - Performance met some job goals, but many requirements of the position were not successfully achieved. Further effort, training, and/or counseling are needed before a higher level can be achieved 1 = Did Not Meet Job Expectations - Performance failed to meet the goals and standards for the position. Employee requires frequent guidance in completing routine tasks. Immediate and specific development is necessary to bring the employee to a satisfactory performance level. 5 = Exceeded All (aspects of the) Expectation - Performance exceeded the goals and standards established for the expectation in every way 4 = Exceeded Most (aspects of the) Expectation - Performance exceeded the goals and standards in some, but not all aspects/measures 3 = Achieved Expectation – Performance met expectation as stated; reflecting solid and reliable performance 2 = Marginally Met Expectation - Performance met aspects of the expectation, but the expected outcome was not completely achieved 1 = Did Not Meet Expectation - Performance failed to meet the expectation as stated, even though the ability to meet it was under the employees control

18. How do you Rate a SMART Expectation? Work with System Owners and Accelerator Operations to maintain a safe and reliable operation of all I&C system equipment in support of Accelerator operating schedule for both physics and machine development. Both System Owners and Accelerator Ops personnel complained about your tardiness in dealing with issues with I&C systems. Rating Comment 3 Accelerator Ops personnel cited your efforts as key to keeping I&C system equipment working. 4 5 2 Both System Owners and Accelerator Ops personnel cited your efforts as critical in keeping I&C system equipment working flawlessly. Your diligence in this area has kept things running smoothly for the most part.

19. Provide layouts and detail design and drawings for the Boeing FEL as directed by the project engineer. Rating Comment How do you Rate a SMART Expectation? Project Engineer reported that your layouts, designs, and drawings often had to be sent back to be redone. 3 Project Engineer reported that your layouts, designs, and drawings often exceeded his expectations for detail, accuracy, or timeliness. 4 5 2 Project Engineer reported that your layouts, designs, and drawings always exceeded his expectations for detail, accuracy, and timeliness. Your work in this area was solid and useful.

20. Provide technical support for JLAB projects. This will include in-house modifications and/or upgrades and out-of- house design and fabrication projects. This can include tasks in electrical, instrumentation, controls, and programming areas. Your work should be performed in a safe manner and be of high quality. Where applicable, you will provide as- built drawing updates to the design team at the end of production. Rating Comment Your technical support for a wide variety of design and fab projects has been great. It was not only uniformly excellent work, but your as-built drawing updates were often ahead of schedule. How do you Rate a SMART Expectation? 3 4 5 2 Your technical support for a wide variety of design and fab projects has been outstanding. The quality was superior and your as-built drawing updates were always ahead of schedule. Your technical support for design and fabrication projects is greatly appreciated. Your technical support in this area was sometimes late; causing delays for others.

21. Build prototype magnets per customer instructions: this includes, but is not limited to, designing and building fixtures for winding, winding the coils per specifications, assembling the coils, and mechanically and electrically inspecting the coils. Rating Comment Your magnet work resulted in several positive comments from your customers about how closely you met their specifications, even when the specs themselves were less than perfect. How do you Rate a SMART Expectation? 3 4 5 2 Your magnets have been so superior that our customers are asking for only you to work on them. You obviously set the standard in this area and everyone knows it. You have shown both the technical expertise and work ethic expected of a senior machinist. You built two magnets without doing a final inspection. Both yielded electrical problems when they were inspected. This is not what we expect of a senior machinist.

22. Rating Core Expectations Safety: Understands and applies JLab's rules and policies for safety, health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others. Teamwork/Respect: Values the individuality and diversity of people, both internal and external to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by adhering to team commitments, effectively communicating with team members, proactively assisting others, displaying cooperation, and recognizing the successes of others. Communication: Provides information people need to know to do their jobs. Two way process that provides individuals information so that others can make accurate decisions; is timely with information; has patience to hear others, asks questions to gain understanding and responds appropriately. Accountability: Takes responsibility for tasks delegated to him/her. Retains responsibility for tasks and follows through to completion. Willing to stand up and be counted for decisions he/she has made or in which he/she has participated. Service Focus: Dedicated to meeting the expectations and requirements of internal staff and external stakeholders; gets first-hand information and uses it for improvements in services or products; establishes and maintains effective relationships and gains their trust and respect.

23. Rating Core Expectations Safety Understands and applies JLab's rules and policies for safety, health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others. Did he/she do this all or most of the time? Rating is 3 Did he/she do sometimes, but not normally? Rating is 2 Did he/she do this all the time and make a significant contribution to… …an individual or group beyond his/her own? Rating is 4 …the entire division or the Lab? Rating is 5

24. Rating Core Expectations Teamwork/Respect Values the individuality and diversity of people, both internal and external to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by adhering to team commitments, effectively communicating with team members, proactively assisting others, displaying cooperation, and recognizing the successes of others. Did he/she do this all or most of the time? Rating is 3 Did he/she do sometimes, but not normally? Rating is 2 Did he/she do this all the time and make a significant contribution that promoted… …teamwork? Rating is 4 …broad cooperation or diversity? Rating is 5

25. Provides information people need to know to do their jobs. Two way process that provides individuals information so that others can make accurate decisions; is timely with information; has patience to hear others, asks questions to gain understanding and responds appropriately. Did he/she do this all or most of the time? Rating is 3 Did he/she do sometimes, but not normally? Rating is 2 Did he/she do this all the time and make a significant contribution that promoted… … information transfer? Rating is 4 …broad cooperation or understanding? Rating is 5 Rating Core Expectations Communication

26. Rating Core Expectations Accountability Takes responsibility for tasks delegated to him/her. Retains responsibility for tasks and follows through to completion. Willing to stand up and be counted for decisions he/she has made or in which he/she has participated. Did he/she do this all or most of the time? Rating is 3 Did he/she do sometimes, but not normally? Rating is 2 Did he/she do this all the time and make a significant contribution that resulted in… …saving some time, work, or money? Rating is 4 … saving a great deal of time, work, or money? Rating is 5

27. Rating Core Expectations Service Focus Dedicated to meet ing the expectations and requirements of internal staff and external stakeholders; gets first-hand information and uses it for improve ments in services or products ; establishes and maintains effective relationships and gains their trust and respect. Did he/she do this all or most of the time? Rating is 3 Did he/she do sometimes, but not normally? Rating is 2 Did he/she do this all the time and make a significant contribution that resulted in… …saving some time, work, or money? Rating is 4 … saving a great deal of time, work, or money? Rating is 5

28. Safety: Understands and applies JLab's rules and policies for safety, health, and environmental protection and actively integrates them into his/her job. Advocates ES&H practices across the Lab. Serves as an example to others. On at least one occasion, you cut corners to get a job done on time. Though no one was hurt, it was a clear violation of the safety work plan for the job. Rating Comment You are a safe and environmentally aware worker and the fact is well known around the group. How do you Rate a CORE Expectation? 3 4 5 2 You are always on top of every situation, giving useful advice and guidance. You have shown you are not afraid to hold up work until a safety issue is resolved. Because of your prompt recognition of a ladder safety problem and the STOP work order you issued, a potential fall and paint spill was avoided.

29. Teamwork/Respect: Values the individuality and diversity of people, both internal and external to JLab, and demonstrates this by treating people with fairness, courtesy and dignity. Works well with others as demonstrated by adhering to team commitments, effectively communicating with team members, proactively assisting others, displaying cooperation, and recognizing the successes of others. How do you Rate a CORE Expectation? Rating Comment While you independent work continues to be excellent, your brash and insensitive comments about your team members work diminish your effectiveness. You are a team member all the way and a pleasure to work with. 3 4 5 2 I knew I could count on you to help acclimate our first female team member, and I was right. She seems to have responded well to your mentoring. Your mentoring of our new team member has resulted in her complete integration into the team. She reports that having you to help her was the deciding factor in her decision to stay at the Lab.

30. Rating Tips Understand the employees rationale for his/her ratings Dont leave the first meeting still in the dark Rate each expectation objectively before you consider the overall rating Start by assuming a 3 is appropriate i.e. he/she met the expectation as stated Think of specific examples of where he/she exceeded the expected performance or fell short of it Use these to adjust rating up or down

31. Improve writing of expectations Promote common understanding of ratings & their application Review communication requirements Review process timeline and flow Communicating When to meet What to say

32. Communicating Two meetings are essential 1. Look at self assessment and discuss 2012 expectations 2. Deliver appraisal and firm up 2012 expectations First meeting Ask him/her to help you understand the self-assessment ratings Do his comments support them? If you think his rating is too high, ask for examples or clarification If you think his rating is too low, tell him why you think so Go over your proposed 2012 expectations to ensure he/she knows what you expect and what will generate certain ratings

33. Communicating Two meetings are essential 1. Look at self assessment and discuss 2012 expectations 2. Deliver appraisal and firm up 2012 expectations Draft appraisal Make comments with emphasis on supporting ratings other than 3 Focus on most heavily weighted Even if ratings are all 3, say something encouraging Use Professional Development box

34. Communicating Two meetings are essential 1. Look at self assessment and discuss 2012 expectations 2. Deliver appraisal and firm up 2012 expectations Second meeting Start with positive comments Discuss each expectation rating individually Suggest additional things youd like to see in future

35. Communicating Be honest and caring Find something positive to say if you can Call a spade a spade; sweeping mediocre performance under the rug is a minefield Use specific examples, both good and bad Much easier if expectation was SMART Focus on performance, not personality Youre a great guy Everyone likes you Youre lazy Youre not the sharpest knife in the drawer I dont like your attitude You dont seem to care about anyone else Youve been late 8 times in the past month I have had to correct your work too many times The magnet engineer says he cant do without you Why do you keep asking for more project funds? You beat that deadline by 2 weeks Im impressed with your accuracy

36. Improve writing of expectations Promote common understanding of ratings & their application Review communication requirements Review process timeline and flow Process and Timeline

37. 10/1/11 Supervisors activate appraisals for direct reports 10/11/11 If required, Home Unit Manager (HUM) notifies Work Unit Manager (WUM) or Service Provider to complete employees matrixed evaluation 10/12/11 Employees complete and forward self-assessments to supervisors WUM or Service Provider completes matrix evaluation and sends to HUM 10/24/11 Supervisors conduct initial meeting with direct reports to discuss self- assessment & next years expectations 11/2/11 Supervisors draft appraisals & finalize next year's expectations 11/11/11 Supervisors complete appraisal and submit for calibration 11/23/11 Calibration done; Calibrator sends appraisals to HR for review 12/14/11 HR reviews & releases completed appraisals to supervisors 12/16/11 Supervisors deliver appraisal at final meeting 12/16/11 Employees sign appraisals to acknowledge receipt NLT