performance_management CAPPA 10-12-12

facilitated by:facilitated by:
Dindy RobinsonDindy Robinson
Director ofDirector of
Compensation/HRISCompensation/HRIS
Texas Christian UniversityTexas Christian University
d.robinson@tcu.edud.robinson@tcu.edu
Performance Management:
Focus on Performance
Appraisals

A pat on the back is only a few
vertebrae removed from a kick in
the pants, but is miles ahead in
results.
V. Wilcox
22

Course ObjectivesCourse Objectives
After completing this workshop, the learner will be
able to:
 Conduct meaningful performance
appraisal discussions
 Be prepared for some common
challenges of the appraisal process
 Set effective goals with employees
33

Your ExperienceYour Experience
Think about yourThink about your
past performancepast performance
reviews:reviews:
 What thoughts come toWhat thoughts come to
mind?mind?
 What went right, whatWhat went right, what
went wrong?went wrong?
 http://http://
youtu.be/JV4NPpbAyNgyoutu.be/JV4NPpbAyNg44

An iterative process of goal-setting, communication,An iterative process of goal-setting, communication,
observation and evaluation to support, retain and developobservation and evaluation to support, retain and develop
exceptional employees for organizational success.exceptional employees for organizational success.
Performance ManagementPerformance Management
CommunicateCommunicate
ObserveObserveEvaluateEvaluate
Set GoalsSet Goals

Why ManageWhy Manage
Performance?Performance?
 Curb or redirect non-productiveCurb or redirect non-productive activitiesactivities
 Encourage and reward behaviors aligned withEncourage and reward behaviors aligned with
organizational mission and goalsorganizational mission and goals
 To reach organizational mission andTo reach organizational mission and
goalsgoals
66

Reasons for PerformanceReasons for Performance
AppraisalsAppraisals
 Benefits to Employers:Benefits to Employers:
 Helps to improve employee relations andHelps to improve employee relations and
productivityproductivity
 Serves as an effective retention toolServes as an effective retention tool
 Provides a paper trail for addressingProvides a paper trail for addressing
performance or disciplinary problemsperformance or disciplinary problems
 Demonstrates organization’s commitment toDemonstrates organization’s commitment to
employee successemployee success
 Provides valuable feedback for managersProvides valuable feedback for managers
77

Reasons for PerformanceReasons for Performance
AppraisalsAppraisals
 Benefits to Employees:Benefits to Employees:
 Provides a chance for employees to askProvides a chance for employees to ask
questions and tell you their sense of whatquestions and tell you their sense of what
they’ve accomplishedthey’ve accomplished
 Lets employee know his/her strengths andLets employee know his/her strengths and
areas that need improvementareas that need improvement
 Allows employees to take responsibility forAllows employees to take responsibility for
their performancetheir performance
 Lets employees know what’s expected ofLets employees know what’s expected of
them; creates mutual understand of job dutiesthem; creates mutual understand of job duties
88

What do EmployeesWhat do Employees
Expect?Expect?
http://http://youtu.be/FjBQc2bCFk8youtu.be/FjBQc2bCFk8
99

What do EmployeesWhat do Employees
Deserve?Deserve?
 Clear expectationsClear expectations
 Positive/constructivePositive/constructive
feedback on a regular basisfeedback on a regular basis
 Involvement in goal settingInvolvement in goal setting
 Be treated fairly andBe treated fairly and
consistentlyconsistently
 Sharing of information andSharing of information and
resourcesresources
 Job/career enrichmentJob/career enrichment
opportunitiesopportunities
1010

Planning for the ProcessPlanning for the Process
 Review employee’sReview employee’s
job descriptionjob description
 Understand theUnderstand the
performanceperformance
measurement systemmeasurement system
 Review notes andReview notes and
documentation fromdocumentation from
the yearthe year
 Understand employeeUnderstand employee
expectationsexpectations
1111

Planning for the ProcessPlanning for the Process
 If you are just nowIf you are just now
starting on thestarting on the
process, you are TOOprocess, you are TOO
LATE!LATE!
 PerformancePerformance
Management is anManagement is an
ongoing process!!ongoing process!!
1212

The Top RatingThe Top Rating
 Clearly considered to beClearly considered to be exceptionalexceptional
performers.performers.
 Consistently exceed the communicatedConsistently exceed the communicated
expectations of the job function,expectations of the job function,
responsibility or goal.responsibility or goal.
 Demonstrate unique understanding ofDemonstrate unique understanding of
work beyond assigned area ofwork beyond assigned area of
responsibility.responsibility.
 Identify needs and provide unique,Identify needs and provide unique,
innovative and workable solutions toinnovative and workable solutions to
problems. problems. 1313

The Middle RatingsThe Middle Ratings
 These employees are “on track” andThese employees are “on track” and
fully achieve expectations.fully achieve expectations.
 Independently and competently performIndependently and competently perform
all aspects of the job function,all aspects of the job function,
responsibility, or goal.responsibility, or goal.
 Performance consistently meets thePerformance consistently meets the
requirements, standards, or objectivesrequirements, standards, or objectives
of the job.of the job.
 OccasionallyOccasionally exceedsexceeds requirements.requirements.
 Recognizes, participates in, andRecognizes, participates in, and
adjusts to changing situations and workadjusts to changing situations and work
assignments.assignments. 1414

The Developmental RatingThe Developmental Rating
 Generally meet expectations requiredGenerally meet expectations required
for the position.for the position.
 Competently performCompetently perform mostmost aspects ofaspects of
the job function, responsibility orthe job function, responsibility or
goal.goal.
 May require improvement in one orMay require improvement in one or
two areas of consistent weakness.two areas of consistent weakness.
 Employee requires coaching in aEmployee requires coaching in a
weak area or may need additionalweak area or may need additional
resources or training to meetresources or training to meet
expectations.expectations. 1515

The Bottom RatingThe Bottom Rating
 Employees with this rating fail toEmployees with this rating fail to
satisfactorily perform most aspects of thesatisfactorily perform most aspects of the
position (or function).position (or function).
 Performance levels arePerformance levels are belowbelow establishedestablished
requirements for the job.requirements for the job.
 Employee requires close guidance andEmployee requires close guidance and
direction in order to perform routine jobdirection in order to perform routine job
duties.duties.
 Performance may impede the work ofPerformance may impede the work of
others and the unit.others and the unit.
1616

Scheduling the MeetingScheduling the Meeting
 NoticeNotice
 LocationLocation
 Self-evaluationSelf-evaluation
 Appropriate formAppropriate form
 CommentsComments
 DocumentationDocumentation
1717

Filling out the FormFilling out the Form
 Review notesReview notes
 Behaviors vs. valueBehaviors vs. value
judgmentsjudgments
 Align categories onAlign categories on
form with employee’sform with employee’s
job responsibilitiesjob responsibilities
 Optional categoriesOptional categories
 Set goalsSet goals
1818

Setting Effective GoalsSetting Effective Goals
 Quick TipsQuick Tips
 S.M.A.R.T. GoalsS.M.A.R.T. Goals
 SpecificSpecific
 MeasurableMeasurable
 Achievable/Agreed UponAchievable/Agreed Upon
 RelevantRelevant
 Time-boundTime-bound
 AlignedAligned
 AdjustableAdjustable
CommunicateCommunicate
ObserveObserveEvaluateEvaluate
Set GoalsSet Goals
1919

Goals and MetricsGoals and Metrics
 A goal is a statement of results that are to be achieved.A goal is a statement of results that are to be achieved.
Goals describe:Goals describe:
 Conditions that will exist when the desired outcome has beenConditions that will exist when the desired outcome has been
accomplishedaccomplished
 A time frame during which the outcome is to be completedA time frame during which the outcome is to be completed
 Resources the organization is willing to commit to achieve theResources the organization is willing to commit to achieve the
desired result.desired result.
 Ex: “To increase the flow of invoices through the AccountingEx: “To increase the flow of invoices through the Accounting
Department to a minimum of 150 per day by October 1. TheDepartment to a minimum of 150 per day by October 1. The
total cost increase to accomplish this should not exceed $550.”total cost increase to accomplish this should not exceed $550.”
2020

Goals and MetricsGoals and Metrics
 A metric is an ongoing performanceA metric is an ongoing performance
criteria that must be met time and timecriteria that must be met time and time
again.again.
 Refer to such things as attendance, breakage,Refer to such things as attendance, breakage,
manufacturing tolerances, production rates, safetymanufacturing tolerances, production rates, safety
standards, dollar amounts.standards, dollar amounts.
 Most effective when established with the participationMost effective when established with the participation
of those who must meet them.of those who must meet them.
 Ex: The departmental filing backlog should notEx: The departmental filing backlog should not
exceed one week. Any record requested should beexceed one week. Any record requested should be
available within five minutes of the request.available within five minutes of the request. 2121

Goal /Metric/NeitherGoal /Metric/Neither
 Breakage in the kitchen should be kept to a minimum.Breakage in the kitchen should be kept to a minimum.
 To eliminate maintenance coding errors for existingTo eliminate maintenance coding errors for existing
computer programs by October 1, at a cost not tocomputer programs by October 1, at a cost not to
exceed 40 work hours.exceed 40 work hours.
 Reduce the cost of ongoing operations by January 1.Reduce the cost of ongoing operations by January 1.
 Telephones are to be answered quickly and messagesTelephones are to be answered quickly and messages
taken when necessary.taken when necessary.
 To reduce burner maintenance expense by 15% beforeTo reduce burner maintenance expense by 15% before
November 15, at a one time cost not to exceed $10,000.November 15, at a one time cost not to exceed $10,000.
2222

Goal /Metric/NeitherGoal /Metric/Neither
 To increase sales of men’s watches by 10% before JuneTo increase sales of men’s watches by 10% before June
1, with no increase in expense.1, with no increase in expense.
 Reduce lost time because of accidents appreciably byReduce lost time because of accidents appreciably by
year end.year end.
 Errors in recording class enrollment will not exceed 2%Errors in recording class enrollment will not exceed 2%
of the total monthly enrollment.of the total monthly enrollment.
 Telephones should be answered after no more than 2Telephones should be answered after no more than 2
rings. Telephone manners are expected to follow thatrings. Telephone manners are expected to follow that
described in the company handbook. Messages shoulddescribed in the company handbook. Messages should
include date, time of call, relevant names and numbers,include date, time of call, relevant names and numbers,
and the nature of the call.and the nature of the call.
2323

Common MistakesCommon Mistakes
 StereotypeStereotype
 RecencyRecency
 CentralCentral
TendencyTendency
 LeniencyLeniency
 Horns/HaloHorns/Halo
EffectEffect
 ContrastContrast
 ProjectionProjection 2424

Performance AppraisalPerformance Appraisal
PracticePractice Review PerformanceReview Performance
Appraisal for items that are:Appraisal for items that are:
 Under-ratedUnder-rated
 Over-ratedOver-rated
 Poorly statedPoorly stated
 Refer to employeeRefer to employee
backgroundbackground
 Rewrite PerformanceRewrite Performance
Appraisal using toolsAppraisal using tools
reviewed todayreviewed today
2525

Conduct the MeetingConduct the Meeting
 Control the environmentControl the environment
 State the purpose of theState the purpose of the
discussiondiscussion
 Discuss employee’s selfDiscuss employee’s self
reviewreview
 Let employee talkLet employee talk
 Be aware of all threeBe aware of all three
parts of the messagesparts of the messages
you send:you send:
 WordsWords
 ToneTone
 Body LanguageBody Language
 http://youtu.be/09bp__http://youtu.be/09bp__
4Muh84Muh8
2626

Conduct the MeetingConduct the Meeting
 Give specific examples of strengths and areasGive specific examples of strengths and areas
for improvementfor improvement
 Ask open-ended questionsAsk open-ended questions
 Be calm and objective; don’t blame or attackBe calm and objective; don’t blame or attack
 Focus on the performance, not the personFocus on the performance, not the person
 ListenListen
 Set specific goals and timelines; action planSet specific goals and timelines; action plan
2727

CommonCommon
PerformancePerformance
AppraisalAppraisal
ChallengesChallenges
2828

Common ProblemsCommon Problems
 Failure to prepare for the interviewFailure to prepare for the interview
 Failure to listen (80-20 ratio)Failure to listen (80-20 ratio)
 Failure to maintain objectivityFailure to maintain objectivity
 Failure to provide feedback—positive and/orFailure to provide feedback—positive and/or
correctivecorrective
 Failure to follow-upFailure to follow-up
 Failure to document performance – both good andFailure to document performance – both good and
badbad
2929

Common ProblemsCommon Problems
 Misusing the performance evaluation process toMisusing the performance evaluation process to
address a disciplinary problemaddress a disciplinary problem
 Element of surpriseElement of surprise
 Relying on impressions/rumors, rather than factsRelying on impressions/rumors, rather than facts
 Inconsistent application of performance evaluationInconsistent application of performance evaluation
criteriacriteria
 Interpersonal issuesInterpersonal issues
 Holding employees responsible forHolding employees responsible for
events/problems beyond their controlevents/problems beyond their control
3030

Discussing UnsatisfactoryDiscussing Unsatisfactory
 I want to warn you that this will not be what you are usedI want to warn you that this will not be what you are used
to.to.
 I notice on your self appraisal you have given yourself aI notice on your self appraisal you have given yourself a
top rating for quality. Are you aware of your error ratetop rating for quality. Are you aware of your error rate
versus the departmental average?versus the departmental average?
 We seem to be running about two weeks behindWe seem to be running about two weeks behind
schedule; can you tell me why and what we can do toschedule; can you tell me why and what we can do to
catch up?catch up?
 Fifty percent of your staff resigned in the last quarter. ToFifty percent of your staff resigned in the last quarter. To
what do you attribute that?what do you attribute that?
 Are you aware of the standards for quality we expect onAre you aware of the standards for quality we expect on
this item?this item? 3131

Discussing UnsatisfactoryDiscussing Unsatisfactory
 Can you explain what caused this?Can you explain what caused this?
 What do you suggest we do to get thisWhat do you suggest we do to get this
done on time in the future?done on time in the future?
 What possibilities do you see for resolvingWhat possibilities do you see for resolving
this?this?
3232

Avoid Discriminatory BehaviorAvoid Discriminatory Behavior
 Avoid favoritismAvoid favoritism
 Base the appraisal on job-related criteriaBase the appraisal on job-related criteria
 Base judgments on factual data instead of generalBase judgments on factual data instead of general
impressionsimpressions
 Give all employees a clear understanding of theirGive all employees a clear understanding of their
performance standardsperformance standards
 Maintain good, accurate documentationMaintain good, accurate documentation
 Be consistentBe consistent
3333

Things to RememberThings to Remember
 Don’t make hasty judgments.Don’t make hasty judgments.
 Be aware of nonverbals – yours and theBe aware of nonverbals – yours and the
employee’semployee’s
 Don’t be afraid of silenceDon’t be afraid of silence
 Don’t interrupt when the employee isDon’t interrupt when the employee is
speakingspeaking
 Use “I” statementsUse “I” statements
 Say what you meanSay what you mean
3434

Positive FeedbackPositive Feedback
 Behavior:Behavior: What aspects of theWhat aspects of the
employee’s behavior do you findemployee’s behavior do you find
valuable?valuable?
 Effect:Effect: What positive effect does theWhat positive effect does the
performance have?performance have?
 Thank You:Thank You: Where can you findWhere can you find
opportunities to use this expression more?opportunities to use this expression more?
Source: Donna Berry, Charles Cadwell, and Joe Fehrmann. 50 Activities for
Coaching/Mentoring.
3535

Negative (Corrective) FeedbackNegative (Corrective) Feedback
 BehaviorBehavior:: state the specific behavior that isstate the specific behavior that is
unacceptableunacceptable
 Effect:Effect: Explain why the behavior isExplain why the behavior is
unacceptableunacceptable
 Expectation:Expectation: Tell the employee what youTell the employee what you
expect to happen to change the behaviorexpect to happen to change the behavior
 Result:Result: Let the employee know what willLet the employee know what will
happen if the behavior continues orhappen if the behavior continues or
changeschanges
Source: Charles Cadwell. The Human Touch Performance Appraisal. 3636

The Defensive/Hostile EmployeeThe Defensive/Hostile Employee
 Don’t object to the employee’s reactionDon’t object to the employee’s reaction
and become defensiveand become defensive
 Use restatement to reflect his/her negativeUse restatement to reflect his/her negative
commentscomments
 Never accept abuse from an employeeNever accept abuse from an employee
under any conditionsunder any conditions
 Postpone the interviewPostpone the interview
 Have the employee prepare a writtenHave the employee prepare a written
summary of his/her complaintssummary of his/her complaints
3737

Follow-upFollow-up
 Provide frequent communication andProvide frequent communication and
feedback (positive and corrective)feedback (positive and corrective)
 Maintain written records (positive andMaintain written records (positive and
negative)negative)
 Respond promptly to requests for helpRespond promptly to requests for help
 Conduct interim reviewsConduct interim reviews
 Review goals/action plans and timelinesReview goals/action plans and timelines
 Evaluate your own performance and itsEvaluate your own performance and its
effect on your employeeseffect on your employees
3838

SummarySummary
 Prepare for the appraisal discussionPrepare for the appraisal discussion
 Discuss employee’s dreams, goalsDiscuss employee’s dreams, goals
 Set mutual goals; put them in writingSet mutual goals; put them in writing
 Give positive and corrective feedbackGive positive and corrective feedback
 Use up-to-date job descriptionsUse up-to-date job descriptions
 Evaluate your performanceEvaluate your performance
 Involve the employee in the discussionInvolve the employee in the discussion
 Be open, candid and specificBe open, candid and specific
 Evaluate performance—not personalityEvaluate performance—not personality
 Sincerely care about your employeesSincerely care about your employees
3939

It is literally true that you canIt is literally true that you can
succeed best and quickest bysucceed best and quickest by
helping others to succeed–helping others to succeed–
Napoleon HillNapoleon Hill
4040

performance_management CAPPA 10-12-12

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