1. Writing and Rating Performance Expectations MGT502

2. Expectations Writing Effective Expectations Tips Words and Structure The S.M.A.R.T. Checklist Examples Pitfalls Rating Expectations Guidance/Definitions Rating Core Expectations Rating Job Expectations Rating Tips An appraisal must be done on all employees who started prior to Jun 1, 2014

3. 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 appropriate--as 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 Getting Started Example 1 Objective: Updated documentation for ____ program. How: Write/revise documentation. Who: John Doe Metric: final product both useful and understandable (have other programmers read and evaluate) Timeframe: within 6 months Example 2 Objective: Working simulation to test automatic debugger How: Create simulation Who: Jane Doe Metric: completed product simulates 90% of real problems listed in event logs (compare to actual logs) Timeframe: 60 days after beta debugger is fielded

4. Expectation Number-- Getting them down to 4 or up to 7 If there are only 1 or 2 projects you want to evaluate… Break them into components (milestones, types of tasks, etc.) Create an expectation for leadership or training if appropriate Don’t rephrase a core expectation or use professional development If the job contains more than 7 components you want to evaluate… Combine similar items as long as they are measured the same way Focus on only the most important aspects of the job Don’t list recurring tasks that have relatively little impact Expectation Structure Keep them simple and direct Getting Started ACTION VERBOBJECTCUSTOMERMETRIC Create …….......simulation to test automatic debugger…….for Test Group………....that simulates 90% of real problems listed in event logs (compare to actual logs) and field………………………it…………………………………………………….. 60 days after beta debugger is fielded Create simulation to test automatic debugger for Test Group that simulates 90% of real problems listed in event logs and field it 60 days after beta debugger is fielded.

5. Writing Tips Write it so… it’s appropriate for the person’s grade and experience both of you know what is expected Use action verbs and clear metrics Allow room to excel if possible Consider higher grade level expectations Don’t list tasks or job duties; just outcomes You don’t have to cover every aspect of the job Don’t mix unrelated objectives Don’t 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 it’s done and how well? A Achievable Is it something the employee can really do? R Relevant Does it support the group’s (and therefore the Lab’s) goals? T Timely Can it be completed within the reporting period? What’s a SMART Expectation?

8. 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. 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. Continue to document your repair work using the “sycophant” 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. Not-So-SMART Expectations Measurable Little room for disagreement Clear standard and time frame Significant? Too much “how” detail

11. Make it SMARTer Measurable verbs Appropriate to level of ratee States what must be done, not how 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. Document all repair work fully according to the “sycophant” format.

12. 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 group’s managers and Project Engineers. Contradiction? “Significant latitude,: independently identify” “clearly report…to…managers, etc. How many is “multiple?” How complex is “moderately?” Stating the obvious? Fixing a Poor Expectation Complete all complex design assignments to the satisfaction of work managers and engineers who assign them using the most effective and efficient methods possible. The efficiency of your methods will be measured by how well you handle other tasks and projects unrelated to these assignments.

13. 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 supervisor informed, how is this measured? What is the electrical team supposed to produce? That’s what this person should be expected to deliver Fixing a Poor Expectation Plan and prioritize your team’s 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.

14. 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

15. Expectations Writing Effective Expectations Tips Words and Structure The S.M.A.R.T. Checklist Examples Pitfalls Rating Expectations Guidance/Definitions Rating Core Expectations Rating Job Expectations Rating Tips

16. Rating Expectations Comments about each expectation’s rating are very important, particularly for any rated above/below 3 Provides an explanation to the employee Helps your AD during review and calibration Should clearly relate to the expectation Has a 600-character limit

17. 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 it sometimes, but not normally? Rating is 2 Did he/she also contribute a major innovation that had a positive impact on… …those in his/her own team or group? Rating is 4 …a broad cross-section of the organization? Rating is 5

18. 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. 3 4 5 2 You are 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. Rating Core Expectations Safety

19. 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 it 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

20. 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. Rating Comment While your independent work continues to be excellent, your tendency to charge ahead without consulting your team members diminishes your effectiveness. You are a team player all the way and a pleasure to work with. 3 4 5 2 I knew I could count on you to help acclimate our new 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. Rating Core Expectations Teamwork/Respect

21. Provide layouts and detail design and drawings for the Boeing FEL as directed by the project engineer. Rating Comment Rating Job Expectations 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.

22. 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. 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 met all design team requirements. Your technical support in this area was sometimes late; causing delays for others. Rating Job Expectations

23. 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. 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. Rating Job Expectations

24. Work with System Owners and Accelerator Operations to maintain a safe and reliable operation of all high power 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 high power systems. Rating Comment 3 Accelerator Ops personnel cited your efforts as key to keeping high power system equipment working. 4 5 2 Both System Owners and Accelerator Ops personnel cited your efforts as critical in keeping high power system equipment working flawlessly. Your diligence in this area has kept things running smoothly.

25. Rating Tips Understand the employee’s rationale for his/her ratings Don’t 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 Mention them in your comments

26. Summary & Final Questions Writing Effective Expectations Tips Words and Structure The S.M.A.R.T. Checklist Examples Pitfalls Rating Expectations Guidance/Definitions Rating Core Expectations Rating Job Expectations Rating Tips

27. Not Earlier Than Not Later Than FY15 Performance Appraisal Review Timeline 9/29/2014 10/1/2014Supervisors activate appraisals for direct reports 10/3/2014 If required, Home Unit Managers notify Work Unit Managers/Service Providers to complete Matrix Evaluations 10/13/2014Employee Self-Assessments completed and forwarded; Matrix Evaluations completed and forwarded 10/10/201410/24/2014Supervisors conduct first meeting with direct reports to discuss self-assessment and expectations 10/13/201411/1/2014Supervisors draft appraisals and set expectations for coming year 10/20/201411/7/2014Supervisors send completed appraisals forward for higher level review 11/3/201411/21/2014Calibration completed; appraisals released for HR Review 11/17/201412/12/2014HR Review completed; appraisals released to supervisors 12/1/201412/17/2014Supervisors deliver appraisals at final meeting with direct reports 12/8/201412/19/2014Employees acknowledge receipt with electronic signature Not Earlier Than Not Later Than FY15 Promotion/Salary Review Timeline 12/12/2014Promotion packages submitted to HR 12/15/20141/15/2015HR reviews packages and prepares for Technical Review Committees 1/19/20152/4/2015Technical Review Committees Meet 2/5/20152/6/2015Feedback from TRCs to ADs 2/9/20152/18/2015Salary review conducted 2/23/20152/27/2015Costpoint updated with promotion/salary data 3/16/2015Promotion/Salary letters distributed Task Completion Schedule

28. Appraisals vs Promotion Appraisal Appraisal evaluates past year’s performance in current job and grade (classification) “Everybody” gets one Uses objectives (expectations) set a year before Result depends on judgment of supervisor and division review Contributes to annual merit increase distribution Promotion Promotion is based on performance at a higher grade Success is result of Evidence individual performs at higher grade Guided by skill matrix Supported by performance against higher level expectati Recommendation by TRC or HR Funds availability and approval by division head Neither high performance rating at current grade nor seniority are determining factors for promotion

29. The Promotion Process Review the proposed promotions Send recommendations to divisions and HR HR reviews the promotions it has responsibility for and informs divisions of their evaluation Promotion is reclassification to higher salary grade if Lab needs to change the incumbent’s position Performing more or higher level duties & responsibilities Acquired new or expanded skills that match higher classification

30. Who Reviews What? Technical Review Committees (TRC) review proposals for scientific & technical promotions to: Scientist III (SS III) Computer Scientist III (SCS III) Technologist/Design Drafter (T/D II) Senior Scientist (SSS) Senior Computer Scientist (SSCS) Senior Technologist/Designer (T/D III Principal Scientist PSS) Principal Computer Scientist (PSS) Engineer III (SE III) Associate/Coordinator (A/C I) Senior Engineer (SSE) Senior Associate Coordinator (A/C II) Lateral reclassifications from one Principal Engineer (PSE) Engineering Support Manager (ESM) scientific/technical family to another HR reviews: All promotions from non-exempt to exempt, and promotions to: Administrative Support/Secretary IV (A/S IV) Staff Administrator III (SA III) Senior Staff Administrator (SSA) Promotion to these grades are reviewed only in their respective divisions: Staff Scientist II (SS II)Staff Engineer II (SE II) Staff Computer Scientist II (SCS II)Staff Administrator II (SA II) Senior Skilled Trades (ST II)Construction Facilities Support II (C/F II) Construction Facilities Support III (C/F III)Administrative Support/Secretary II (A/S II) Administrative Support/Secretary III (A/S III) HR acts as disinterested observer with all TRCs