Presentation on theme: "Conducting Performance Reviews"— Presentation transcript:
1 Conducting Performance Reviews at Angelo State UniversityWelcome 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 processTo develop evaluator skillsTo conduct effective performance reviews
2 Session Outline Presentation/Discussion Why performance reviews are importantASU performance review processHow to assign performance expectations, ratings and justificationsDiscussing goals, training, and employee commentsSo 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 everyoneDocument performance issuesCommunicate positive feedbackRecognize accomplishments and reward outstanding performanceCorrect deficiencies and improve performanceSatisfy legal requirementsClearly communicate expectationsHelp achieve ASU’s goals and missionDevelop and motivate employeesWhy 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 QualitativeQuantitativeMBO-management by objectives360 degree feedbackBARS–behavioral anchored rating scalesWhy a point system?Easy to administerCan use to compare against historical reviews and between employeesAllows for variance to detect meaningful changesThere 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 employeeCopy for departmental fileOriginal to Human ResourcesReview period is for the prior calendar year 2008Did employee experience a mid-year change of supervision?Previous Supervisor completes performance ratingNew Supervisor completes goals & trainingWhere did the employee spend the bulk of their time?6 months each job – equal collaboration between supervisorsIf 8 months or more – completion by supervisor of most timeAll 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 recognitionEstablish departmental goals and objectivesIdentify & establish essential functions of the jobConduct a review for each assigned employeeProvide employees with clear expectations, consistent measures, and achievable standards of performanceSeek input from employeesSupervisor responsibilities include:Complete this training on performance reviewsEstablish goals and objectives for their departmentIdentify & establish essential functions for each position in your departmentConduct a review on each employee in your departmentProvide employees with clear expectations, consistent measures, and achievable standards of performanceAlso seek input from employees
7 Supervisor Responsibilities (cont.) Identify performance shortcomings and provide assistance and support for correctionSupport and provide resourcesAssist employees in identifying and participating in career development and training programsRecognize good performance & motivate employees on future performanceEngage in ongoing performance reviewIdentify performance deficiencies & provide assistance for improvementSupport and provide resourcesAssist employees who may need or want career development or trainingRecognize good performance & motivate for future performanceContinue 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 missionMeet expectations and achieve performance standardsDiscuss concerns and/or questions about any part of their job description or performance review with their supervisorIdentify and participate in career development and training opportunitiesEmployee responsibilities include:Providing input on their individual goals that will contribute to the University’s missionMeet expectations for performanceDiscuss concerns and questions about their duties or review with their supervisorParticipate 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 PhaseInvolve the employeeGather informationStep 2 is The Appraisal MeetingPut the employee at easeBe positive and listenAgree on mutual goalsStep 3 is Follow-through & follow up with the employee on their progressGive regular, positive feedbackCoaching is the key to success
10 Step 1 Preparing for the Meeting Involve the employeeAgree on a time and place in advanceAsk the employee to prepare their ideas and goals in writingGather dataCurrent position descriptionPast performance reviewTraining recordsCritical incident fileOther observationsThis 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 descriptionPast performance reviewTraining recordsCritical incident fileAnd other observations
11 Step 2 Conducting the Evaluation Meeting Put yourself at easePut the employee at easeState the purpose of the discussion and the advantages of the evaluation systemBuild on the employee’s strengthsListen to the employeeCompare performance to standardsAssign performance ratingsDevelop an overall ratingAgree on mutual goals for the next yearNo surprisesClose the discussionAvoid evaluator error1. Put yourself at ease2. Put the employee at ease3. State the purpose of the discussion and the advantages of the evaluation system – remember to be honest and candid4. Build on the employee’s strengths5. Listen to the employee6. 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 opinion8. No surprises – not the time to bring up a huge issue if you haven’t brought it to the employee’s attention ahead of time9. Close the discussion by:Summarizing the meetingSigning the appraisal formAnd thanking the employee and explain the next stepFinally, 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 ReviewSection B: Essential Job Functions and Other objectives (ex. Assignments, Customer Service, Compliance, etc.)Section C: Supervisory Objectives (if applicable)Section D: Goals and Training/DevelopmentUsing 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 responsibilitiesShould focus on end results not just activitiesReflect department goals and objectivesMeasurableThe 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 performance9-10Exceeds Expectations6-8Meets expectations3-5Needs improvement1-2Does not meet expectationsPoints 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 timeConsistently 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 timeConsistently 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 timeMeets 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 timeIs 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 timeThe 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 timeThe 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 Points1. Essential Job Functions2. Assignments & Tasks3. Job Knowledge4. Customer Service5. Interpersonal Skills6. Attitude & Work Ethic7. Attendance & Punctuality8. ComplianceTotal 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)BiasPrior or current equity issuesPast sinsPossible future termination issuesEvaluation patterns – same, lenient, strict, etc.Halo/Horns effects – always good or badContrast error – excellent because of a certain groupManagers 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 ratingWhat they have or have not done with a specific objectiveAfter 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 beSpecific – 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 dutiesBe compatible with the university’s missionBe tied to departmental goalsAnd specify needed training
21 Goals – ContinuedIn order to write S.M.A.R.T. objectives, ASU has divided the objective into two components:The general title of the goalThe standardsStandards are the specific measures by which the goal is defined, and by which it is measuredStandards, whenever possible, should be tied in with departmental goals & functions
22 Goal Example - #1Goal: “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 PerformanceJob DescriptionHiring- Performance reviewDevelopment- Mentoring- Training- CoachingThe talent-management equation consists of three parts:The job description – should be an accurate reflection of what is expected of the employee from the startHiring the right person – certain skill sets for certain positions; matching upDevelopment – conducting thorough performance review, identifying needed training, ongoing coaching & mentoringAll equal good performance. Process is not static but ongoing.
25 Employee Disagreement with Written Review The employee may:Attach a written response to the reviewRequest consideration by the next level supervisor/appointing authorityFile formal grievance if he/she feels that the review process violates ASU policyFinal decision is made by the department headVice President if department head is the raterFollow chain of commandHR and President do not have final say
26 Evaluate employees in their environment Step 3 Following UpEvaluate employees in their environmentCommunicate positive feedback regularlyCoaching and mentoring is the keyNote: keep all follow up documentationStep 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 ResourcesClick here to complete the training evaluation.Thank you for completing the training on Conducting Performance Reviews. If you have any questions, please contact the Office of Human Resources atDon’t forget to complete the training evaluation provided thru the link listed by printing it out and forwarding to human resources.Thank you again.