1. Annual Self Assessment Workshop for Employees
[WELCOME PARTICIPANTS; INTRODUCTIONS.]
THIS WORKSHOP IS DESIGNED TO HELP YOU UNDERSTAND THE LABORATORY’S PERFORMANCE AND CAREER MANAGEMENT PROCESS – PMP FOR SHORT. THIS PROCESS IS USED FOR ALL NON-REPRESENTED EMPLOYEES.
Annual Self Assessment
Workshop for Employees
OCFO 2014

2. What This Session Will Cover
Overview of the Performance Management Process (PMP)
Annual Performance Review Process
Overview of Forms
Annual Self Assessment Form
Your Next Steps
HERE’S WHAT THIS SESSION WILL COVER.
FIRST, I’LL PROVIDE AN OVERVIEW OF PMP.
THEN, I’LL COVER THE OVERALL ANNUAL PERFORMANCE REVIEW PROCESS AND THE VARIOUS FORMS INCLUDED.
THEN, I’LL FOCUS ON THE FORM THAT EMPLOYEES NEED TO COMPLETE: THE SELF ASSESSMENT FORM, WITH EXAMPLES FOR SCIENTISTS AND NON-SCIENTISTS. I’LL ALSO DISCUSS THE OPTIONAL CAREER DEVELOPMENT PLAN FORM THAT YOU MAY WANT TO COMPLETE DEPENDING ON YOUR SITUATION.
FINALLY, I’LL TALK ABOUT YOUR NEXT STEPS.

3. Overview of PMP - Objective
To help foster performance
that leads to discovery, innovation, efficiencies and results
LET’S TURN TO THE OVERVIEW OF PMP.
IT’S IMPORTANT TO UNDERSTAND THAT THE OBJECTIVE OF PMP IS TO HELP FOSTER PERFORMANCE THAT LEADS TO DISCOVERY, INNOVATION, EFFICIENCIES AND RESULTS.

4. Overview of PMP - Focus on Relationship
Need useful, open, and honest discussions
between supervisors and employees
AT THE CORE OF PERFORMANCE MANAGEMENT, THERE SHOULD BE USEFUL, OPEN AND HONEST CONVERSATIONS BETWEEN SUPERVISORS AND EMPLOYEES TO CLARIFY WORK EXPECTATIONS AND DISCUSS PERFORMANCE AND CAREER DEVELOPMENT. PMP WAS DESIGNED TO EMPHASIZE THOSE CONVERSATIONS.
THESE DISCUSSIONS ARE A SHARED RESPONSIBILITY. IT TAKES BOTH YOU AND YOUR SUPERVISOR TO MAKE THEM MEANINGFUL.

5. Annual Performance Review - Required/Core Elements
Performance expectations and goals that align with Lab/Division/group goals
Employee Self-Assessment – Non Rep Employees Only
Annual Performance Review – written and conversation
100% completion rate of Annual Performance Reviews
Performance rating scale
Discretionary Elements
Division
Division and/or position competencies
Supervisor
Employee peer and/or subordinate feedback
Career development conversation
Employee
PMP INCLUDES THE FOLLOWING REQUIRED, CORE ELEMENTS: [REVIEW ELEMENTS.]
THE PROCESS WAS ALSO DESIGNED WITH THE FOLLOWING DISCRETIONARY ELEMENTS SINCE OUR DIVISIONS HAVE A VARIETY OF SUCCESSFUL WAYS TO REVIEW PERFORMANCE:
EACH DIVISION DECIDES WHETHER TO USE A RATING SCALE IN EVALUATING EMPLOYEES, AND WHETHER TO EVALUATE EMPLOYEES BASED ON COMPETENCIES, WHICH ARE SKILLS, ABILITIES AND OTHER CHARACTERISTICS THAT CONTRIBUTE TO SUCCESSFUL PERFORMANCE. [EXPLAIN WHAT YOUR DIVISION IS DOING.]
EACH SUPERVISOR HAS THE OPTION OF OBTAINING FEEDBACK ABOUT EMPLOYEES FROM THEIR PEERS AND/OR SUBORDINATES. PMP INCLUDES A PEER REVIEW FORM FOR THAT PURPOSE. EACH SUPERVISOR ALSO HAS THE OPTION OF CONDUCTING A CAREER DEVELOPMENT CONVERSATION WITH EMPLOYEES, AND PMP INCLUDES A CAREER DEVELOPMENT PLANNING FORM FOR THAT PURPOSE.
EACH EMPLOYEE HAS THE OPTION OF INITIATING A CAREER DEVELOPMENT CONVERSATION WITH THE SUPERVISOR IF DESIRED, AND TO COMPLETE THE CAREER DEVELOPMENT PLANNING FORM

6. Overview of Performance Management Process (PMP) PMP Cycle
LBNL Mission
Lab/Division/Group Goals
Employee Performance & Job Development Goals
Employee Career Development Goals
May / June
Annual Performance Review Process
*Employees complete Self-Assessment
*Employees complete/update Career Development Plan (Optional)
*Employees propose SMART performance, job development, & career development goals
January/February
Mid-Year Performance Discussions
*Supervisors summarize performance and progress on goals
*Goals revised as needed
August / September
Annual Conversation
*Supervisors meet with employees to discuss performance and development
*Supervisors and employees agree on SMART performance goals for new year
*Optional: Employee Career Development Form
June / July
*Supervisors complete Annual Performance Review Summary
*Supervisors propose SMART performance, job development, & career development goals
Ongoing Feedback & Coaching
Ongoing Feedback & Coaching
Ongoing Feedback & Coaching
Ongoing Feedback & Coaching

7. Annual Performance Review - Review and Approval Process
Department Management
July
- Compare ratings within Departments
- Approve reviews
OCFO Key Performance Aspects
Additional Performance Factors
ALL EMPLOYEES
Job Knowledge & Skills / Technical Expertise
Quality, Productivity
Interpersonal Effectiveness, Teamwork, Customer Service
Communications
Creativity, Innovation, Flexibility
Initiative, Problem Solving, Judgment
SUPERVISORS & MANAGERS
Leadership
Management
Performance Goals
Job Development Goals - improvements
Performance relative to peers
Unanticipated projects
Special projects / assignments
Customer feedback
ALTHOUGH THE DOE HAS FROZEN INCREASES FOR THIS YEAR, WE ARE REQUIRED BY OUR CONTRACT TO HAVE ANNUAL WRITTEN REVIEWS. AND ALTHOUGH THOSE REVIEWS WILL NOT IMPACT SALARY INCREASES THIS YEAR, THEY WILL BE INCLUDED IN THE RECORDS OF AN EMPLOYEE’S PERFORMANCE AND WILL BE CONSIDERED WHEN SALARY INCREASES BEGIN AGAIN.
HERE’S HOW REVIEWS ARE REVIEWED AND APPROVED.
DURING JUNE AND JULY, ONCE THE SUPERVISOR COMPLETES AND SUBMITS THE REVIEW, DIVISION MANAGEMENT WILL COMPARE EACH EMPLOYEE’S PERFORMANCE WITH THAT OF HIS OR HER PEERS, CONSIDERING THE FOLLOWING ASPECTS OF PERFORMANCE [REVIEW LIST – ADJUST BASED ON YOUR DIVISION’S SPECIFIC PERFORMANCE CONSIDERATIONS]. IF NEEDED, MANAGEMENT WILL RECOMMEND ADJUSTMENTS TO THE REVIEWS, THEN APPROVE THEM.
DURING AUGUST AND SEPTEMBER, DIVISION MANAGEMENT WILL IDENTIFY THE HIGH AND LOW PERFORMERS AND PRESENT THE LISTS TO LABORATORY SENIOR MANAGEMENT. THE LABORATORY WILL THEN REPORT ITS REVIEW COMPLETION RATE TO THE DOE.
Division Management
- Compare ratings at Division level
- Report completions to DOE/UC
August/September

8. Annual Performance Review – Overview of Forms
Combined Self-Assessment /Annual Review Summary Form – Non Rep Employees Only
Self-Assessment completion required for all non-represented employees
5-Rating structure
Employees complete Self-Assessment section and submit via Google Tool by June 13, 2014
Represented Employees
May complete the PRD Self-Assessment Form – encouraged but not required
Due via Google Tool by June 13, 2014
HERE’S THE NON-SCIENTISTS & NON-ENGINEERS FORM. [POINT OUT THAT THIS FORM HAS A DIFFERENT COLOR AND FEWER SECTIONS TO COMPLETE.]

9. Annual Performance Review – Overview of Forms
Career Development Plan Form
Optional Form
Can submit to supervisor along with Self-Assessment
Opportunity to create a plan for long-term learning and growth
For review and discussion – does not need to go in personnel file
Represented employees can also use as career development planning tool
IN ADDITION TO THE SELF ASSESSMENT, YOU HAVE THE OPTION OF COMPLETING A CAREER DEVELOPMENT PLAN FORM AND PROVIDING IT TO YOUR SUPERVISOR WHEN YOU SUBMIT YOUR SELF ASSESSMENT.
CAREER DEVELOPMENT IS MORE PERSONAL TO YOUR LONG-RANGE INTERESTS AND MAY OR MAY NOT INVOLVE THE LABORATORY. SO, IT IS YOUR RESPONSIBILITY TO INITIATE A CAREER DEVELOPMENT CONVERSATION WITH YOUR SUPERVISOR.
THIS CAREER DEVELOPMENT PLAN FORM ENABLES YOU TO SET GOALS AND THINK THROUGH SOME ACTIONS FOR YOUR CAREER DEVELOPMENT, SUCH AS EXPLORING A RELATED AREA OF SCIENCE OR ATTENDING A CONFERENCE IN A DIFFERENT FIELD IN SEARCH OF COLLABORATION OR DIFFERENT RESEARCH OPPORTUNITIES.
WE ENCOURAGE YOU TO DISCUSS YOUR CAREER DEVELOPMENT PLAN, OR WHICHEVER PARTS ARE APPROPRIATE, WITH YOUR SUPERVISOR. YOU CAN ALSO COPY YOUR GOALS FROM THIS FORM ONTO YOUR SELF ASSESSMENT FORM. IN ADDITION, YOU MAY WANT TO SHARE THIS FORM WITH A MENTOR OR COLLEAGUE WHO HAS EXPERTISE IN CERTAIN AREAS RELEVANT TO YOUR LONG-RANGE INTERESTS.
THIS FORM IS OPTIONAL AND FOR YOUR DEVELOPMENT ONLY. IT WILL NOT BE INCLUDED IN YOUR PERSONNEL FILE WITH YOUR PMP REVIEW.
ALTERNATIVELY, YOUR SUPERVISOR MAY ASK FOR YOU TO BE PREPARED TO DISCUSS YOUR CAREER DEVELOPMENT INTERESTS DURING YOUR REVIEW CONVERSATION. THIS FORM CAN HELP YOU PREPARE FOR THAT DISCUSSION.

10. Self Assessment Form – Importance / How to Prepare
Opportunity to highlight position, professional and career-related accomplishments
Gather information…
Last year’s performance review: goals for year being reviewed
Download Separate Guidance Sheet – Non Rep Employees Only
Key accomplishments
Specific examples/comments from customers & peers
Ideas for next year’s goals
BEFORE YOU BEGIN COMPLETING THE FORM, YOUR FIRST STEP IS TO GATHER ALL THE INFORMATION YOU’LL NEED, INCLUDING:
YOUR PERFORMANCE, JOB DEVELOPMENT AND CAREER DEVELOPMENT (IF ANY) GOALS FOR THE YEAR BEING REVIEWED
ANY NOTES OR RECORDS OF YOUR KEY ACCOMPLISHMENTS
SPECIFIC EXAMPLES THAT ILLUSTRATE YOUR PERFORMANCE, INCLUDING ANY COMMENTS FROM YOUR CUSTOMERS AND PEERS
ANY IDEAS YOU MAY HAVE WRITTEN DOWN FOR NEXT YEAR’S GOALS
ANY NOTES REGARDING ADDITIONAL ISSUES YOU WANT TO DISCUSS

11. Self Assessment Form
Google Site

12. Self Assessment Form – Detailed Review
This section will be prefilled for you. Verify information.
NEXT I’LL REVIEW THE SELF ASSESSMENT FORM IN DETAIL. [HAND OUT FORM.]
YOU’LL BEGIN ON PAGE 1 OF THE FORM BY FILLING OUT THE BACKGROUND INFORMATION REQUESTED, INCLUDING YOUR NAME AND SO ON.

13. Self Assessment Form – Goals Section
List the goals you were expected to accomplish during the performance year being reviewed
Cut and paste from last year’s review – that’s it!!
If supervisor added additional goals, remember to include them
If goals changed throughout the year, add new ones; explain why goals changed
THE FIRST PART OF THE FORM FOCUSES ON THE PERFORMANCE YEAR BEING REVIEWED.
IN SECTION 1, RECAP THE GOALS YOU WERE EXPECTED TO ACCOMPLISH FOR THIS PERFORMANCE YEAR.
PERFORMANCE GOALS ARE THE EXPECTATIONS AND GOALS FOR YOUR POSITION.
JOB DEVELOPMENT GOALS ARE SKILLS OR DEVELOPMENT NEEDED IN ORDER TO ACHIEVE PERFORMANCE GOALS.
CAREER DEVELOPMENT GOALS ARE OPTIONAL, BROADER GOALS FOR YOUR LONG-TERM LEARNING AND GROWTH. YOU OR YOUR SUPERVISOR MAY HAVE INITIATED A CONVERSATION ABOUT CAREER GOALS DURING LAST YEAR’S PERFORMANCE REVIEW CONVERSATION OR SOMETIME DURING THE YEAR.

14. Self Assessment Form – Goals Example
Cut and paste (or copy) from last year’s performance review: For Next Performance Year - Employee Goals (Sections 10a and 10b)
HERE’S AN EXAMPLE OF HOW MARIE, AN ADMINISTRATIVE SPECIALIST, MIGHT HAVE DESCRIBED HER GOALS.
[BRIEFLY REVIEW GOALS. NOTE THAT MARIE INCLUDES SPECIFICS AND DATES WHERE APPLICABLE. POINT OUT THAT HER JOB DEVELOPMENT GOAL INCLUDES A STATEMENT ABOUT HOW SHE WILL APPLY WHAT SHE HAS LEARNED.]

15. Self Assessment Form – Performance Summary Section
Highlight key accomplishments
Keep it simple: should not be a recap of your position description or what you do day-to-day
Start by addressing your performance on last year’s goals:
Was the goal completed on time? If not explain why.
Self-assess how you performed each goal, including OCFO goals, using the OCFO Performance Review / Ratings Guidelines.
How did the accomplishment support or impact Lab/Division/Department goals?
Significant accomplishments
Special challenges
Unanticipated projects. What was the impact?
What are you particularly proud of? Why? What was the impact?
Did you improve in any area(s)?
Awards: also put in Section 12 of form
IN SECTION 2, PERFORMANCE SUMMARY, BRIEFLY DESCRIBE YOUR PERFORMANCE AGAINST GOALS AND MOST SIGNIFICANT ACCOMPLISHMENTS.
COMMENT ON THE IMPACT OF THESE ACCOMPLISHMENTS (THE VALUE OF YOUR EFFORTS TO YOUR DEPARTMENT, DIVISION, OR THE LABORATORY AS A WHOLE).
ALSO HIGHLIGHT NOTEWORTHY ACCOMPLISHMENTS REGARDING YOUR JOB DEVELOPMENT AND CAREER DEVELOPMENT GOALS, AS WELL AS OTHER ACCOMPLISHMENTS THAT REFLECT ON YOUR PROFESSIONAL OR TECHNICAL STANDING.
IF YOU AND YOUR SUPERVISOR DISCUSSED PARTICULAR PERFORMANCE ISSUES THIS YEAR, RECAP THOSE ISSUES ALONG WITH ANY PROGRESS YOU MADE TOWARD IMPROVEMENT.

16. Self Assessment Form – Performance Summary Example
The highlighted sections links to goals and describes the impact of the accomplishments.
See handouts for additional tips.
See example Self-Assessment on HR Performance Management website.
HERE’S HOW MARIE, THE ADMINISTRATIVE SPECIALIST, COMPLETED THIS SECTION.
FIRST, SHE TIED HER ACHIEVEMENTS TO HER GROUP’S GOAL.
THEN, SHE NOT ONLY LISTED WHAT SHE HAD DONE, BUT ALSO INCLUDED FEEDBACK SHE RECEIVED ON HER PERFORMANCE.
SHE ALSO COMMENTED ON THE IMPACT OF THE TIME MANAGEMENT WEBINAR SHE HAD TAKEN, INDICATING HOW MUCH TIME IT IS SAVING HER EACH WEEK.

17. Self Assessment Form – Sections 3 - 12
Safety
Required training completed
Significant accomplishments
Any safety issues/improvements
Areas of Strength (Optional)
Areas for Development (Optional)
Laboratory, Professional & Community Service
Laboratory, division and other committee work
Professional service activities
Community service activities
Other service-oriented activities
Supervisory Responsibility
For supervisors only
Sections 8 – 11 : Not applicable for Operations employees
Awards and Honors
SPOT Awards received
IN SECTION 3, LIST YOUR MOST NOTEWORTHY SAFETY ACCOMPLISHMENTS. IF YOU AND YOUR SUPERVISOR DISCUSSED PARTICULAR SAFETY ISSUES THIS YEAR, RECAP THEM HERE, ALONG WITH ANY PROGRESS YOU HAVE MADE TOWARD IMPROVEMENT.
IN SECTION 4, DESCRIBE YOUR LABORATORY-WIDE, DIVISIONAL, AND OTHER COMMITTEE WORK, PROFESSIONAL AND COMMUNITY SERVICE ACTIVITIES THAT BENEFIT THE LABORATORY AND/OR SCIENCE, AND OTHER SERVICE-ORIENTED ACTIVITIES, SUCH AS TAKING ON EXTRA DUTIES IN A COWORKER’S ABSENCE, MENTORING, OR CONTRIBUTING TO A STAFF MEMBER’S EDUCATION. FOLLOW THE INSTRUCTIONS ON THE GUIDANCE SHEET FOR HOW TO LIST COMMITTEE WORK.

18. Self Assessment Form – Next Performance Year Goals
List your recommendations for next year’s goals
Use SMART goals
Categorize your goals by Performance, Job Development, Career Development
Use bullets
If you wish to have a career development conversation with your supervisor:
Complete and submit a Career Development Plan
Summarize your career development goals in this section
THE NEXT SECTION IS INCLUDED ON BOTH FORMS. IT FOCUSES ON YOUR PERFORMANCE, JOB DEVELOPMENT, AND CAREER DEVELOPMENT GOALS FOR THE NEXT PERFORMANCE YEAR.
LIST YOUR RECOMMENDATIONS FOR YOUR PERFORMANCE GOALS AND JOB DEVELOPMENT GOALS.
IF YOU WOULD LIKE TO HAVE A CAREER DEVELOPMENT CONVERSATION WITH YOUR SUPERVISOR, COMPLETE AND SUBMIT A CAREER DEVELOPMENT PLAN IN ADDITION TO THIS FORM AND SUMMARIZE YOUR CAREER DEVELOPMENT GOALS IN THIS SECTION.

19. S M A R T Self Assessment Form – Setting SMART Goals
Specific—Make goals precise and tangible to provide clear direction. M
Measurable—If you can’t measure it, you can’t manage it. Establish concrete criteria for measuring progress toward attainment of each goal you set, such as quantity, quality, cost. A
Achievable—Choose a goal that is attainable given the current skill level, timeframe, and resources. R
Realistic—Devise a plan or way of getting there that makes the goal reasonable. Is the goal in line with the needs of the organization? Is the learning curve realistic or too steep? T
Time-bound—State the specific time for completion. Is the timeline reasonable?

20. Self Assessment Form – Final Sections
Topics for discussion (optional)
Changes to duties
Advancement
Concerns
Signature
Signed after meeting and discussion with supervisor
Acknowledges receipt of performance review and that discussion took place
THESE FINAL SECTIONS APPEAR ON BOTH FORMS.
YOU HAVE THE OPTION TO LIST ANY TOPICS YOU WISH TO DISCUSS DURING YOUR ANNUAL REVIEW CONVERSATION. THIS MIGHT INCLUDE CHANGES TO YOUR ASSIGNED JOB DUTIES THAT YOU WOULD LIKE YOUR SUPERVISOR TO CONSIDER; YOUR INTEREST IN ADVANCEMENT; A CONCERN THAT YOU WOULD LIKE TO OBTAIN INPUT ON; AND SO ON.
NEXT, YOU’LL SIGN AND DATE THE FORM, THEN SUBMIT IT TO YOUR SUPERVISOR.

21. Your Next Steps
Visit the OCFO Performance Management Website for forms, guidance sheets, training info, examples
Available now
Review Resources
OCFO PMP website
HR Perf Mgmt website
Workshop handouts
Complete/submit Self Assessment
June 13, 2014
Performance Review Discussion Workshop – for Employees
On the Hill – see handouts for schedule
Performance Review Discussion Workshop – for Supervisors
For more help, visit
Tuition Reimbursement Workshop
Other Workshops, Assessment Tools, & Online Resources
SO THAT’S THE SUMMARY OF THE SELF ASSESSMENT AND CAREER DEVELOPMENT PLAN FORMS. THIS WORKSHOP IS THE FIRST STEP TOWARD HELPING YOU UNDERSTAND PMP. HERE ARE THE NEXT STEPS TO TAKE.
FIRST, VISIT THE PERFORMANCE MANAGEMENT PAGE FOR FORMS, GUIDANCE SHEETS AND EXAMPLES.
THEN, COMPLETE AND SUBMIT YOUR SELF ASSESSMENT TO YOUR SUPERVISOR BY [DATE].
NEXT, CONSIDER TAKING THE ANNUAL PERFORMANCE REVIEW DISCUSSION WORKSHOP [INSERT DATES FOR LAB-WIDE OR DIVISION-SPECIFIC SESSIONS].
IF YOU NEED MORE HELP, VISIT THE BLI WEBSITE TO CHECK OUT A VARIETY OF WORKSHOPS AND OTHER RESOURCES:
IF YOU WANT TO EXPLORE YOUR CAREER DIRECTION, CONSIDER A CAREER PLANNING WORKSHOP. BLI OFFERS TWO OF THESE SESSIONS: ONE FOR SCIENTISTS AND ONE FOR NON-SCIENTISTS.
IF YOU’RE CONSIDERING EDUCATIONAL GOALS AS PART OF YOUR DEVELOPMENT, ATTEND ONE OF BLI’S QUARTERLY TUITION REIMBURSEMENT WORKSHOPS TO LEARN HOW THE LABORATORY CAN HELP.
ALSO, KEEP IN MIND THAT BLI OFFERS OTHER WORKSHOPS, ASSESSMENT TOOLS, AND ONLINE RESOURCES FOR ADDITIONAL HELP WITH THESE AND A VARIETY OF OTHER TOPICS.

22. Performance Management Page
OCFO Website, Human Resources in the OCFO, Performance Management
Links to Resources
PMP Google Site
HR Perf Mgmt website
Guidance Sheets
Examples of written Self Assessments
Example of Career Development Plan
NOW, HERE’S HOW TO OBTAIN THE FORMS AND SUPPORT MATERIALS.
GO TO THE LABORATORY’S A TO Z INDEX AND CLICK ON “PERFORMANCE MANAGEMENT.”
YOU’LL SEE ALL THE FORMS LISTED IN THE RIGHT-HAND COLUMN. EACH FORM HAS A SEPARATE GUIDANCE SHEET WITH DETAILED INSTRUCTIONS.
YOU’LL ALSO SEE EXAMPLES OF COMPLETED SELF ASSESSMENTS FOR BOTH A SCIENTIST AND A NON-SCIENTIST, AS WELL AS AN EXAMPLE OF A COMPLETED CAREER DEVELOPMENT PLAN.
JUST DOWNLOAD AND PRINT THE FORMS YOU WANT.

23. Final Thoughts
Key goal is to help you have more meaningful review conversations
We hope this workshop helps you to prepare
Thank you for your involvement and support!
IN CONCLUSION, A KEY GOAL OF THIS NEW PROCESS AND SUPPORT IS TO HELP YOU HAVE MORE MEANINGFUL ANNUAL PERFORMANCE REVIEW CONVERSATIONS WITH YOUR SUPERVISOR.
WE HOPE THIS WORKSHOP HELPS YOU TO EFFECTIVELY COMPLETE YOUR SELF ASSESSMENT SO YOU ARE WELL-PREPARED FOR THIS DISCUSSION.
[REMIND PARTICIPANTS TO COMPLETE THE ONLINE EVALUATION FORM.]
THANK YOU FOR YOUR INVOLVEMENT AND SUPPORT.