Performance Management at Mason

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Additional Resources Check out the Employee Relations website: http://hr.gmu.edu/emp_relations/ Coaching Supervisor Forum Conflict Resolution Performance Management Resources, Helpful Links and more…

Questions or comments?