![Example CARE Scenario:
While I was out of the office for three days, an Associate Vice
President called to request a “rush” on a written justification for
some computer equipment that we had discussed. Although he is
not responsible for such administrative issues, Felippe took the
initiative to draft the justification so that I could review and send it
first thing this morning. The AVP was particularly pleased with our
timely response, and our chances of receiving the funds for the
equipment are brighter.
Component Example from above scenario
Circumstances While I was out of the office for three days, and Associate Vice
President called to request a “rush” on a written justification for some
computer equipment that we had discussed.
Action Felippe took the initiative to draft the justification so that I could review
and send it first thing this morning
Result The AVP was particularly pleased with our timely response, and our
chances of receiving the funds for the equipment are brighter
Expectation Felippe is not responsible for such administrative issues [Note that
Felippe exceeded expectations in the area of judgment and problem
solving]
35
Plan
Feedba
ck
Assess](https://image.slidesharecdn.com/trainingpresentationv7part1-101028222858-phpapp02/85/Manager-Performance-Management-Training-33-320.jpg)
Manager Performance Management Training
- 2. Goals for This Program This program will help you to: Define performance management Identify phases in the performance management process and activities performed in each phase Identify and document duties, tasks, and SMART performance standards Record observations of staff behavior Coach staff to sustain/improve performance Conduct effective performance management discussions Utilize the tools available at Penn State for performance management (Job Profile, JRW, SRDP) Apply skills learned in previous training (Crucial Conversations, ITLP) to performance management 2
- 3. Outline 3 Overview of Performance Management The Performance Management Cycle II. Feedback & Coaching Observing and documenting behavior Ongoing feedback Mid-year discussions I. Planning Duties, tasks, and performance standards Setting development goals III.Assessment Writing performance reviews Performance level definitions/guidelines Conducting performance discussions Session 1 Session 2
- 4. Overview This section will help you to: Define Performance Management Identify the phases of the Performance Management cycle and timeline Define commonly used Performance Management terms as used Explain how the tools used for Performance Management work together 4
- 5. Shared Responsibilities for Performance Management Task Supervis or Direct Report Others Document Duties in the JRW Set Performance Standards Provide Feedback Gather input from others Provide Self-Input Fill in SRDP Sign SRDP 5
- 7. Guidelines for a positive work climate Inform Staff of your expectations Provide a supportive work environment, including necessary resources Deliver appropriate and accurate feedback Ensure staff receive appropriate rewards, recognition and feedback for work 8 What other factors are important? http://cyber.law.harvard.edu/questions/ITSPMPilot
- 8. What is Performance Management? Performance Management is an ongoing communication process that involves both the manager and the staff member to: Identify and describe the job responsibilities and relating them to the mission and goals of the organization Develop realistic performance standards Discuss feedback about performance Document examples of positive and negative performance Plan professional development opportunities to sustain and improve staff performance 9
- 9. Performance Management and Competencies 10 The “What” The “How” Job Duties Performance Standards Results focused Action-Oriented Competencies Core Unit-Specific Job-Specific ITS Community Principles Behaviorally Focused Development Oriented Emphasize organization values and/or individual abilities Examples Characteristics
- 12. Tools used in the Performance Management Process Job Profile Link Evaluate Questionnaire Job Responsibilities Worksheet (JRW) Observed Behaviors Self Input Input from Others Evaluation/Assessment (SRDP) 13 Defined Expectations & Performance Standards
- 13. Activity - Discussion 14 Discuss your current thoughts on Performance Management -What tools do you use? -What challenges do you face? -What do you like/dislike about the process?
- 14. I: Planning 15 •Define Job Duties •Set Performance Standards •Set development goals •Establish resources needed •Identify supports & barriers •Use tools provided to discuss and document plans
- 15. I. Planning: Overview Planning includes 2 major activities: Define Job Duties Define Performance Standards associated with each duty Planning is Collaborative Result = Job Responsibilities Worksheet (JRW) 16 Plan Feedback Assess
- 16. Define Job Duties A job duty is a specific work segment composed of several tasks that are performed by an individual Guidelines: Use duties from job profiles as appropriate Describe each major area of responsibility Elaborate on duties to explain the context Ensure the staff member understands the impact Each job should currently have a JRW with the Duties section completed 17 Plan Feedback Assess
- 17. Document Responsibilities in the Job Responsibilities Worksheet (JRW) Enter Responsibiliti es in the “Duties” section of the JRW Confirm or Update % of Time, New Duty, and Essential Functions columns 18 Plan Feedback Assess
- 18. Performance Standards A Performance Standard reflects results that are expected when a job duty is performed satisfactorily. Standards are: Based on the position, not the individual Observable, specific indicators of success Meaningful, reasonable, and attainable Describe "fully satisfactory" performance once trained Expressed in terms of Quantity, Quality, Timeliness, Cost, Safety, or Outcomes “Exceedable” – employees should know that they can exceed expectations 19 Plan Feedback Assess
- 19. Creating “SMART” Performance Standards Examples: Implement update of on-line graduate application program by October 1, 2006 Reconcile Budget & Expense statements within a week of receipt from Finance Office (ongoing). Reduce telephone expenses by 15% within the first half of the fiscal year. Design and implement use of spreadsheet by (date) to track loan of departmental audiovisual resources. Specific A focused, concise, concrete statement that tells what needs to be accomplished (Who, what, where, why?) Measurable Establish concrete criteria for measuring progress, and define the level of acceptable performance Attainable Expected results are within the authority, skill, and knowledge level of the employee; resources are available Results-Oriented Goals should measure outcomes, not activities Time-Framed Grounded within a timeframe - Set target dates for achieving expected outcomes 20 Plan Feedback Assess
- 20. Example Performance Standards Provide support to user groups and/or committees and participate in communication/outreach efforts Standard 1: Create a bi-weekly blog post related to web 2.0 technology use in teaching, posted by noon every other Thursday on the ITS blog (Start date: Sept 17, 2009) Standard 2 : Attend all scheduled ABC committee meetings; Provide status updates to supervisor within 24 hours regarding this office’s involvement in committee activities Standard 3: Submit proposals to present at industry conferences; After presenting, submit trip reports via ITS blog within 24 hours of return 21 Plan Feedback Assess
- 21. Your turn… Suggest Performance Standards for the following duty: Conduct workshops and training sessions on Google Apps for faculty, staff and students Standard 1: Deliver topic-specific content and demonstrate steps to complete applicable exercises Standard 2: Create and post to class discussion forum a minimum of 48 hours prior to each class session; respond to questions within 24 hours Standard 3: Provide a minimum of 2 practical examples for each application Standard 4: Promptly respond to participant questions; If answer is unknown, follow up and respond within 48 hours 22 Plan Feedback Assess
- 22. Activity Write Performance Standards Using the JRW provided, or one that you brought with you, identify performance standards for 1-2 of the Duties listed 23 Plan Feedback Assess
- 23. Document Performance Standards in the JRW Enter Performan ce Standards for each Duty (Optional, recommende d): Identify which Competency is related to the Duty 24 Plan Feedback Assess
- 24. Development Action Plan 25 The Development Action Plan focuses on areas employees want to develop in order to grow in their jobs or advance their careers. Some areas to consider: Performance outcomes Development areas Career planning University/Department/Unit plans, goals, and direction Plan Feedback Assess
- 25. Development Action Plan Skills not currently possessed (or requiring improvement) needed for current role Possible future assignments outside the scope of current job Skills needed for anticipated or desired future role Specific steps to be taken to gain skills/experience: Training classes, seminars, etc Activities Mentor relationships Actions to be taken by employee Current job responsibilities that staff already has skills to execute Generic statements without associated actions (i.e. “Improve communication skills” without courses, practice, activities) Activities not related to university/unit goals or needs Activities not related to professional development 26 What SHOULD be in Development Action Plans… What should NOT be in Development Action Plans…. Plan Feedback Assess
- 26. JRW and the Development Action Plan How do the JRW and Development Action Plan work together? JRW includes duties and corresponding performance standards currently assigned to the employee Development Action Plan consists of: Improvements that need to be made to fully achieve existing duties (potentially related to a competency) Developmental assignments that require additional knowledge, skills, and/or behaviors Skills that supervisor or staff expect will be needed for future activities, or as preparation for an anticipated future role The JRW is a “living document” – review throughout the year 27 Plan Feedback Assess
- 27. Video28
- 28. Feedback •Document and discuss observed behavior •Discuss results to date •Provide effective feedback •Review and refine objectives •Remove barriers to II. Feedback 30
- 29. II: Feedback This section will help you to: Document performance observations using the CARE method Provide effective informal feedback Apply Crucial Conversations and/or ITLP skills to coaching Conduct a mid-year discussion 31 Plan Feedba ck Assess
- 30. Feedback Phase The second phase in Performance Management includes 3 key elements: Observing and Documenting Behaviors Providing ongoing, timely feedback Specific to a situation, event, interaction, project Mid-Year Discussion Progress toward annual goals Review of JRW 32 Plan Feedba ck Assess
- 31. Reasons to record Performance Observations Basis for specific verbal feedback Basis for evaluative comments for the annual review Ensure annual reviews are objective and fact- based Ensure that annual reviews reflect the entire review period Record changes in responsibilities, and standards of performance Substantiate promotions, discipline, salary increases, etc 33 Plan Feedba ck Assess
- 32. Guidelines for documenting performance observations Document behavior relevant to competencies, responsibilities – both Positive and Areas for Improvement Describe specific, observable behaviors Avoid assumptions; follow up to get facts What? When? Why? Where? Who? Use the CARE method: Circumstances Action observed Results of action observed Expectation or standard 34 Plan Feedba ck Assess
- 33. Example CARE Scenario: While I was out of the office for three days, an Associate Vice President called to request a “rush” on a written justification for some computer equipment that we had discussed. Although he is not responsible for such administrative issues, Felippe took the initiative to draft the justification so that I could review and send it first thing this morning. The AVP was particularly pleased with our timely response, and our chances of receiving the funds for the equipment are brighter. Component Example from above scenario Circumstances While I was out of the office for three days, and Associate Vice President called to request a “rush” on a written justification for some computer equipment that we had discussed. Action Felippe took the initiative to draft the justification so that I could review and send it first thing this morning Result The AVP was particularly pleased with our timely response, and our chances of receiving the funds for the equipment are brighter Expectation Felippe is not responsible for such administrative issues [Note that Felippe exceeded expectations in the area of judgment and problem solving] 35 Plan Feedba ck Assess
- 34. Ongoing Feedback All Verbal feedback Describe the specific behavior Explain effects of behavior Ask, Listen, Discuss Reinforcing Feedback Acknowledge good work Thank the employee Corrective Feedback Focus on the behavior, not the employee Review the standard of performance; agree on corrective actions Ask how you can help Follow up 36 When you see it, Say it! Plan Feedba ck Assess
- 35. Rating Scale Significantly Exceeds Expectations Employee performs assigned responsibilities in a consistently superior manner Exceeds Expectations Employee performs assigned responsibilities in a manner that often exceeds communicated standards Meets Expectations Employee performs assigned responsibilities consistently well throughout the review period. Partially Meets Expectations Employee performs satisfactorily in some aspects of his/her assigned responsibilities but not in others. Does Not Meet Expectations Employee performs assigned responsibilities in an unsatisfactory manner, has not responded to constructive feedback, or has not 37 Plan Feedba ck Assess
- 36. Use Crucial Conversations Skills Get Unstuck Start with Heart Learn to Look Make It Safe Master My Stories STATE My Path Explore Others’ Paths Move to Action 38 Plan Feedba ck Assess
- 37. Coaching 39 Coaching involves: Helping others learn through formal or informal methods Providing reinforcing and corrective feedback Guiding others to perform tasks Goal is to improve work-related behaviors Coaching is NOT: Doing it for them Providing solutions Plan Feedback Assess
- 38. ITLP Coaching for Performance Listen with Care Concentrate Ask Questions Recap Express Interest Coaching Skills Building Relationships Drawing out ideas Speaking purposefully Making assessments Designing Practices Facilitation Anticipating and Resolving Breakdowns 40 Presenting Topic Ask Open- Ended Questions Determine the Commitment Ask questions to create possible practices Anticipate Breakdowns Summarize Follow up Plan Feedback Assess
- 39. Mid-Year Discussion Schedule a meeting Time, Location Prepare for the mid-cycle status review Gather feedback materials, documented observations Invite employee to bring their own examples/documentation Discuss performance to date Goals achieved, goals remaining Provide specific examples Ask for employee’s perspective Discuss expectations Your expectations Employee’s expectations; possible roadblocks Update JRW if necessary Complete the discussion Complete documentation Commit to follow up 41 Plan Feedba ck Assess
- 40. How does this relate to the SRDP? Assessment42 Planning Feedback Assessment
- 41. Updates to the SRDP 43 Update 1: Inclusion of documented responsibilities from JRW. Supervisor is to document actual results achieved. Update 2: Inclusion of Competencies for Success. Supervisor is to document employee’s success at demonstrating each competency Plan Feedback Assess
Editor's Notes
- #2: Introduction – Introduce instructor(s), course, participants (go around room and ask names/offices) Tell participants logistics – length of class, breaks, hand sanitizer/cleaning packets, bathrooms, water fountains, etc
- #3: Review goals of the course Ask participants if there is anything else that they were hoping to get out of the course
- #6: Discussion with class – brainstorm what elements of performance management are responsibilities of managers and of staff Small Groups – each group evaluates all tasks and all roles Flip Charts, small groups, etc Large group de-brief facilitated by instructor Others = other managers, peers, customers, students, parents, etc Alternate: Stop/Start/Continue conversation
- #7: Activity: List elements of the situation that lead to poor performance management. Can you identify with either of the roles in the video? Point of the video = even when managers think they’ve been completely clear about expectations, sometimes their direct reports have a different impression. This course is about helping you to communicate and document expectations so that everyone is on the same page. Instructor note: STOP video at 2:27 before the ad for Crucial Conversations comes on.
- #8: Activity: List elements of the situation that lead to poor performance management. Can you identify with either of the roles in the video? Instructor note: STOP video at 2:27 before the add for Crucial Conversations comes on.
- #9: Good performance management fosters this type of environment – where employees have clear expectations, receive feedback, and are in a supportive environment Use Interactive Question Tool to solicit feedback here… participants can suggest and/or vote on suggestions they like. ** Reinforce ITS Community Principles, Diversity ** Discussion: Other factors participants have found to be important The Performance Management Process helps supervisors to: See how well employees are achieving goals and carrying out duties Have a basis for coaching Have a basis for identifying high performers Identify training and development needs Support career development opportunities
- #11: Competencies, Community Principles and Unit-Specific Factors are all elements of Performance Management. Job Duties define what needs to be done, while competencies, community principles, and unit-specific factors describe how it is to be done. For example, using “Problem Solving” (a competency), the employee can build an operating budget, one of his/her job duties. Performance Standards are how you’re measured (the goal to achieve)
- #12: Review Performance Management Cycle Stress that it’s a CYCLE – even though there’s a “Start Here”, the process is ongoing…Assess leads back into Plan for the next year
- #13: 2 Purposes of this slide – first to give the calendar timing of events; second to demonstrate that both managers and staff are responsible for Performance Management throughout the year.
- #14: Job Profile – exists for each Job Position; used in the hiring and leveling processes; should contain representative tasks and responsibilities for that job Link Evaluate Questionnaire – (confirm with HR) – tool used to identify which competencies are demonstrated at what level for each position. As a reminder, the five competencies measured are Effective Knowledge, Accountability & Self- Management, Teamwork & Leadership, Communication and Innovation & Problem-Solving JRW – Job Responsibilities Worksheet – Has previously been used to define current duties for a specific job. Is now being expanded to include specific tasks and performance standards associated with each duty. We will discuss this in depth in the next module (Plan). Observed Behaviors – You will be given a framework during this class for observing and documenting behaviors Self-Input – Employees should be encouraged to provide input regarding their perspective on accomplishments and goals for the year Input from others – Supervisors should request input from other managers who have worked with the employee throughout the performance year Assessment/Evaluation –This refers to the annual assessment completed for each employee. Currently, this is the SRDP; however, this training does not specifically deal with filling out the SRDP. It is intended to provide guidelines for evaluation and documentation of performance assessment regardless of the form used. Possibly use build slide here to build from left to right. Indicate how many clicks so instructor knows when slide is complete. Find out if Link Evaluate Questionnaire is going away
- #15: Discussion: What are the challenges you currently face in Performance Management? Large group discussion [Sr Director leveling moment – possibly open conversation with strengths/weaknesses in Performance Mgt]
- #16: Introduce Plan section of Cycle Section Objectives: Use the Job Profile and Questionnaire to identify job duties Establish tasks and performance standards for a job duty Use the SMART framework to create performance standards Document job duties, tasks, and performance standards in the Job Responsibilities Worksheet (JRW) Explain the relationship between the JRW and the Development Action Plan
- #17: 3 Major tasks within Plan Collaboration between manager and direct reports End result of this phase is a completed JRW This means that we’re introducing new elements and specificity to the JRW. In the past, it’s been seen as a tool that is used for job classification. Now, it will be used for not only job classification, but also to set specific objectives (performance standards) that can be used throughout the Performance Management process
- #18: Duties are entered in the “Duties” section of the JRW, and should indicate whether the duty is essential, and the percentage of the job spent on the duty This part of the JRW should already be completed – you should have gone through this process last year. ***What about long-term use of this training???? Impact section – Make sure that staff member can describe the impact (repeat back) of their responsibility – who will see it, be impressed by it, be delayed by it? - Know your direct reports – what motivates them? What type of impact should you identify to motivate this specific person? Figure out the “why it matters”
- #19: Point out the areas of the JRW related to Job Duties: Duty section – clarify what should be entered there. Not to the task level – that will come later.
- #20: See if can consolidate with SMART on next page
- #22: Need Susan to confirm these examples Ask the class to identify 1-2 Performance Standards that could be associated with these Tasks. Consolidate Example slides together – build slide Step 1: Show sample duty/PS pairing (possibly slightly incorrect – ask them to evaluate) - 2 correct samples Step 2: Show sample duty; Ask for PS in large group Step 3: Small group – use your JRW, select duty, write PS. Maintain a professional appearance and demeanor as documented in office policy manual Abide by documented dress code Treat colleagues with respect
- #23: Need Susan to confirm these examples This list is an example of performance standards for the tasks on the previous page (not a comprehensive list – the participants may identify others that are good examples as well)
- #24: Resources Needed: Job Profile & Questionnaire JRWs with Duties filled in (provided by instructor, or brought with participants) SMART guidelines handout Sample JRW with T&PS completed for each position Swap with a partner – Review and discuss how they were able to do a SMART Performance Standard
- #25: Resized font/boxes
- #26: The Development Action Plan focuses on areas employees want to develop in order to grow in their jobs or advance their careers. Some areas to consider: Performance Outcomes: What new skills or behaviors are required to achieve this year’s objectives? Development Areas: Based on performance feedback from past years, where has the employee fallen short? Career Planning: What new skills and behaviors should the employee work on to prepare for their future career? University/Department/Unit Plans, Goals and Direction Development activities should focus not only on the job a person currently holds but also on jobs that may be of interest to the person in the future.
- #28: Items can move from someone’s Development Action Plan to their JRW if they become assigned responsibilities or tasks
- #30: Icebreaker video – no specific teaching points. Illustrates a bad performance review scenario
- #31: Point out where we are in the overall Performance Management cycle. Important to stress that the Coach phase is all year – everyone should be getting feedback more often than just their annual review Objectives for this section: Document performance observations using the CARE method Provide effective informal feedback Apply Crucial Conversations and/or ITLP skills to coaching Conduct a mid-year discussion
- #33: Ongoing, timely
- #34: Open-Ended question – Why bother recording performance observations? Seems like a “time suck” and not sure why it matters **Look for a tool that can do this** Slide is intended to provide participants with reasons that observing and documenting are important. --this is a tool to help them so that they have documentation to reference for the annual review
- #35: Focus on FACTS – facts of the situation, behavior, results, impacts, etc Circumstances Context in which a behavior is observed; May include task, people, resources, processes, stress Action observed The presence or absence of specific behaviors related to the task Results of action observed The outcome of action taken to accomplish the task Expectation or Standard The pre-specified standard of performance for completing the task Participants can look at participant guide for full description of CARE attributes
- #36: Walk through scenario and demonstrate how each part of CARE can be filled in with information from scenario.
- #37: All Feedback: Explain effects - Explain how the behavior benefits or negatively affects you, the employee, and/or the work unit Ask the employee for comments; then listen and discuss Express your confidence in the employee’s ability to meet/maintain a high level of performance Acknowledge: Take care to acknowledge in a way specific to that employee – some employees do not want public recognition while others thrive on it. Corrective: Follow up - with additional feedback on improvement efforts – recognize progress
- #38: Sit down with your staff – have a discussion about what these mean. What does it take to be a 3, 4, 5? Use this as a tool in your coaching sessions and Mid-year discussions
- #39: Get Unstuck Identify where you’re stuck Backtrack to the Crucial Conversation Step out of Content, Observe Process, and Fix It Start with Heart Stay Focused on what you really want Refuse the Sucker’s Choice Learn to Look Look for crucial conversations, silence/violence, your own style under stress Make It Safe It’s all about intent – Mutual Purpose, Mutual Respect Master My Stories Retrace your path to action Act – Notice your behavior Feel – Get in touch with your feelings Tell a Story – What story is creating these emotions? See/Hear – Get back to the facts Watch for victim, villain, helpless stories STATE My Path Share Your Facts, Tell your story, Ask for others’ paths, Talk tentatively, Encourage Testing Explore Others’ Paths AMPP – Ask, Mirror, Paraphrase, Prime Move to Action Decide how to Decide Agree on WWWF – Who will do What by When and what Follow-up will be taken. Document the agreement.
- #40: ***Need to see what information from HRDC Coaching training can be pulled in for this section*** Reinforce & Recognize Providing specific, sincere, positive, appropriate reinforcement of desired behaviors Develop & Mentor Takes place before people participate in major activities or events Includes learning process focus, allows for some mistakes Empowers staff to think through and decide courses of action Improve & Correct Providing specific feedback about behaviors that should be changed, including examples Supervisor must listen to staff member’s perspective Requires developing staff member agreement to action May encounter resistance, rationalizations, defensiveness
- #42: From http://www.yale.edu/hronline/focus/documents/Revise11-19Mid-YearPerformanceDiscussions.pdf Schedule a meeting Identify a mutually-agreeable time for meeting Secure a private meeting space Ask your employees to come prepared Major accomplishments achieved so far Their priorities for the rest of the year. Prepare for the mid-cycle status review. Collect and review all documented observations Review your files of what has been accomplished to date Identify any key development points that should be addressed in the remainder of the performance year Discuss performance to date. Share with the employee what goals you think they have done effectively so far this year. Tell the employee what goals you'd like them to focus on for the rest of the year. Provide specific, behavioral examples of what the employee is doing particularly well, and of anything that needs to change. Ask the employee for their perspective on how the job is going. TIP: Questions like "What's going well?" and "What needs to be improved?“ can be useful. Discuss your expectations — and the employee’s expectations — about what the employee should accomplish by the end of the year. Agree on how goals should be prioritized for the remainder of the assessment year. Ensure a shared understanding of performance expectations to minimize unpleasant surprises at the year-end performance review. Find out what challenges or roadblocks are faced by the employee. Ask how you can help eliminate roadblocks, and then follow through. Update the employee’s JRW, if necessary Complete the discussion Thank the employee for their hard work and encourage them in their work for the remainder of the year. Document the discussion and give a copy to the employee.
- #45: Group discussion of how course materials apply in their groups/units/teams?