HUMAN RESOURCES

PERFORMANCE MANAGEMENT GUIDEPerformance management involves the careful selection of employees, communication of work expectations, monitoring of performance, feedback and support for ongoing development and recognition for excellent performance. Performance management enhances organizational success through increased employee clarity regarding organizational goals and individual contributions toward goals.

This guide is a reference for supervisors and managers who will be involved in the management and appraisal of EKU staff performance. It explains best practices in performance management with integrated instructions for completing EKU staff appraisal processes.

Contact HR Employee Development or (859) 622-8874 for information or assistance.

* EKU Faculty are evaluated under the Faculty Evaluation system. See the EKU Faculty Handbook, Part III for explanation of the Faculty Evaluation process.

Introduction to Performance Management

The Performance Cycle Effective Interactions Legal Considerations 2009 Planning and Review Schedule HR Forms: Performance Evaluation HR Procedure: Staff Performance Evaluation

Performance Planning

When to Complete Planning Setting Expectations: Core Competencies Setting Expectations: Duties & Objectives Sample PE Form: Planning Completed

Performance Tracking and Feedback

Observing Performance Coaching & Feedback Documenting Performance Performance Problems

Annual Performance Review 

Preparing for the Review Conducting the Review Meeting Submitting Sample PE Form : Annual Review Completed

Additional Resources

Effective Interactions Effective Feedback Effective Objectives Common Rater Errors Rating Scale Reference Completed PE Samples Glossary

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Introduction to Performance Management

EKU’s staff performance management process is designed to promote and support:

Development and application of employee talent within the University Alignment of employee work goals with department and University goals Ongoing development of employee knowledge and skills Dialogue regarding performance between supervisors and employees Employee understanding of their work in relation to the department and the

University

The Performance Cycle Effective Interactions Legal Considerations

2009 Planning & Review Schedule

The Performance Cycle

Planning: At the beginning of the review period, the manager and employee meet to set expectations regarding the work to be completed by the employee (job duties and goals) and how the job will be done (core competencies). Performance Planning for new staff is completed upon successful completion of the established orientation period.

Performing: Over the course of the review period, the employee works to achieve the expectations for the job. During that time, both the supervisor and employee should track performance. Ongoing feedback should be provided to the employee either informally or through interim discussions. Coaching and development opportunities should be provided to support the employee’s performance needs. The evaluator should maintain documentation of performance and feedback to assist in the annual review.

Reviewing: At the end of each review period, both the supervisor and the employee summarize and evaluate performance using the evaluation form and participate in an annual performance review meeting to review progress, recognize success and plan for future development activities.

Developing: While it is a formal element of the Performance Planning phase, there is a continual need to reassess employee needs and acquire the formal and informal resources to support development throughout the performance cycle.

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Contact HR Employee Development or visit HR Employee Development on the web for information about the many development opportunities at the University.

Effective Interactions

Understanding and using an effective interaction process will help in all of your discussions with employees about their performance.

Participate in the Maximizing Performance workshops to learn how to use Key Principles and Interaction Guidelines for effective discussions.

Legal Considerations

Performance management activities should always be conducted in accordance with University policies. Performance evaluation activities become susceptible to legal action when they are discriminatory, too charitable and/or conducted negligently.

Know HR Policy & Procedure Know HR Policy & Procedure: Staff Evaluation Know the University's Non-Discrimination Policy

2009 Planning & Review Schedule

Due Dates: The completion and submission dates listed below apply to all full- and part-time Administrative Affairs staff employed prior to July 1, 2008 and full- and part-time Academic Affairs staff employed prior to January 1, 2009. See due dates using currentOrg Chart

For detailed information on eligibility and time frames for other circumstances, review Planning and Reviewing sections.

2009Annual Performance Review for 2008 completed:Administrative Staff January - February 2009Academic Affairs Staff July-August 2009 Submit original to HR for filing within 30 days of completionPerformance Planning for 2009 completed:Administrative Staff January - February 2009Academic Affairs Staff July-August 2009

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Phase 1: Planning

Performance planning - whether for new or established employees - is vital to employee understanding of priorities and expectations at the beginning of the review period and should result in agreement about performance expectations and being held accountable for results. Effective individual performance planning clarifies and creates alignment between employee performance and success of the University and should be used as a reference throughout the review period. The combination of all individual employee performance plans should express the Action Plan for the department/work unit.

Effective planning begins with an accurate job description. Contact HR Compensation for assistance if there is not a job description for the employee's position.

When is Performance Planning Completed?

The formal written performance plan is completed on the PE form, which will then be used to document the annual performance review at the end of the review year. Formal planning is completed:

With new employees upon successful completion of the official 90-day (or otherwise established) " orientation" period

At the beginning of the annual review period for established employees Within 30 days when an established employee changes positions or has a

significant change in job duties See Sample Form: Performance Planning

New Employees: As part of departmental orientation during the first week of hire, new staff employees should be provided with a copy of their job descriptions and a PE form with the identifying information on page one and job duties (Section D) completed. Within 30 days of successful completion of the new hire orientation period, performance planning should be completed with addition of setting performance objectives. Employee and evaluator sign Section A to acknowledge the completion of performance planning at that time.

Established Employees: Performance planning for the new review period is completed at beginning of the review period (see current schedule) for all established staff eligible for an Annual Performance Review. All sections of the PE form required for Performance Planning are completed at that time.

Updated Performance Planning for Position Changes: A new PE form with Performance Planning that encompasses the remainder of the review period will be needed if an employee changes positions.

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Updated Performance Planning for Job Duty Changes : A review and/or update of expectations related to work performance, job duties and goals may be needed if there is a significant change in job duties without and change in position.

Setting Expectations: Core Competencies

Core Competencies focus on how employees go about their work - the methods, behaviors and values demonstrated by employees while working to complete job duties and achieve performance objectives.

The supervisor and employee should review and clarify the Core Competencies in Section D of the PE Form. Supervisors should be able to define the expectations for performance at a particular level (Meeting Expectations for example) and for the particular job. Elements such as "initiative" or " dependability" can be difficult to express in terms that are measurable, but should be defined in a way that is job-related, observable and behavioral. Considerations for defining each competency are included as a reference with the PE form.

Setting Expectations: Duties & Goals/Objectives

Job Duties and Goals/Objectives focus on the expected results of performance. Because of the differences between the requirements of specific positions and the nature of duties and objectives, some employees will have more job duties with fewer objectives set for the review period, and other employees will have a performance plan that focuses heavily on objectives.

As with all performance expectations, the more clearly duties and objectives are defined at the beginning of the review period, the more likely the employee is to achieve the target performance and the easier it will be for both employee and supervisor to track and evaluate progress.

Expectations are most useful when they are communicated (whether verbally or in writing) in a way that is SMART:

Specific - Identifies what actions and results are expected Measureable - Identifies or establishes indicators of success that are

quantitative (how much) or qualitative (how well/efficiently/quickly) Attainable - Is achievable and may be challenging Realistic - Is within the realm of the employee's position and resources Time-Bound - Includes target dates for completion

JOB DUTIES: Review the employee's Job Duties in Section E of the PE form, clarifying and answering questions. The employee’s job duties are populated from the employee’s job description and should be added to the form prior to the planning meeting. Insert the major job duties for the position; it is not necessary to include other duties as assigned. Contact HR Compensation if a planning discussion reveals a significant change in duties that might indicate a need for reclassification.

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Using the departmental action plan (based upon the University's Strategic Plan) the employee and supervisor should determine how the employee can best contribute to achieving the objectives set for the work unit and the employee's supervisor.

Supervisors and managers can assist with employee development by considering the achievements you implicitly expect of an employee in this position and by describing an ideal employee in this position, then asking: What does this ideal employee know? What can this ideal employee do? What does this ideal employee care about?

GOALS/OBJECTIVES: Add the employee's Goals Set for Current Review in Section G of the PE form. There should be at least two performance goals/objectives, with at least one specific to professional development.

What is a Professional Development Goal? What does the employee want to accomplish professionally? What additional education? Certifications? Expanded knowledge or skills do you want to acquire? "Enhance banner skills by attending Banner User Training in Month YY " or " Participate in 3 online seminars during the review period related to XYZ."

What is a Performance Goal? What should be accomplished in the upcoming year, given the available resources, or goals of the department?

May be accomplishments related to a project: "Implement customer satisfaction survey by January 2008" Performance Improvement ...or may address areas for performance improvement: "Decrease the number of customer complaints by 5% by Fall 2007"

May be process oriented - what the unit intends to accomplish (most frequently found to describe a) the level or volume of activity, b) the efficiency with which the processes are conducted, or c) compliance with external standards. For example: “number of transactions processed” or “cost per _____” or the number of XYZ workshops provided will increase by 2%.

May be satisfaction oriented and can range from overall “client satisfaction” to more specific components of services: "Annual library satisfaction surveys will reflect students satisfaction with circulation service" or " Quarterly XYZ report will reflect vendors reporting prompt payment."

Additional information about facilitating the writing of effective goals and objectives can be found in OIE Strategic Planning Manual and under PE Resouces: Objectives.

The Planning Meeting: Next Steps

Employee and evaluator sign acknowledgment of completion of performance planning in Section A of the PE form. A copy of the completed form is provided to the employee and the original is maintained by the supervisor. This original form will be used for the annual performance review at the end of the review period.

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Phase 2: Tracking & Feedback

Effectively managing performance means that the performance plan is not just a document signed and put away until the annual performance review. This phase of performance management is critical because employees are more likely to repeat successful performance and make needed adjustments when they received timely and specific feedback.   Supervisors have a responsibility to track, provide feedback and document employee performance throughout the review period. 

Observing Performance & Identifying Needs

Effective leaders look at the objectives of their work group and organization and identify the knowledge and skills people need to achieve these objectives. They continually identify coaching needs by observing and collecting information on what is happening in the work group so they will know what has been accomplished and when to provide coaching for employee success or for performance improvement.

The process of collecting data about employee performance can be the most challenging and time-consuming aspect of performance management.  Managing this step effectively not only drives employee success, but will make the process of performance evaluation much easier.

Observe and take input from others on your employee’s everyday interactions with customers and co-workers

Focus data collection on critical incidents identified in the performance plan Use what you've got or create accurate but easy ways to collect observations Fit the observation frequency to situation and establish checkpoints for

review Use objective data that quantifiable and does not pass judgment, but

describes what actions occurred Promote ownership by involving employees in monitoring their own

performance

Record the observation and give related feedback as soon as possible after the observation. Keep it balanced by addressing both effective performance and areas for development.

Coaching & Feedback

Coaching sometimes involves a formal, well-planned discussion and other times less formal day-to-day feedback to provide redirection to a more effective approach. Use the guidelines for Effective Interactions to engage employees and work toward a productive outcome.

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Coach to support employee success before they:

Take on a new responsibility or learning a new skill Work with new internal or external customers Handle a new or difficult situation

Coach to improve performance when employees are demonstrating such unacceptable work habits as:

Tardiness, absences or other work rule violations Missing time or budget targets Receiving co-worker or customer concerns

Keep coaching and feedback ongoing throughout the review period:

Rely on data and/or facts, not opinion Give timely feedback especially if related to development in order to allow for

improvement Keep it relevant by connecting to current work performance expectations

Feedback

Performance feedback may be positive - providing information on what has been done well - or developmental - offering guidance for a more effective approach. Consider using a feedback model to keep feedback effective:

Specific - describes the observed situation or task, action taken, result and may include an alternative action and enhanced result

Timely - provided as soon as possible after the observation, when it can make the most impact and the employee has the opportunity to make changes if needed

Balanced - addresses actions as well as results

Participate in the Essentials of Leadership or Maximizing Performance workshops to learn how to use the STAR/AR model for effective feedback.

Documenting Performance

Although the EKU staff evaluation process does not require that documentation of interim performance feedback be submitted as part of the PE form, maintaining evaluator documentation of employee performance and performance feedback throughout the review period provides samples of:

Specific, documented positive feedback for use in the annual performance review

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Specific, documented examples of areas needing improvement for the annual performance review

Specific, documented examples to support disciplinary action if it becomes necessary

There are many ways to record and maintain information on performance. Consider using a performance log and performance file that are kept separately for each employee (not part of the employee personnel file). Insert notes on critical performance (and your feedback) on the log when it occurs and documentation into the file that supports the employee's formal performance plan. Keep documentation objective by making it relative to work performance.

Some examples of appropriate documentation of work performance to include in logs and files:

Your own factual observations Factual input from others Sampling of work products Quantitative reports E-mails Certificates of completion Letters of commendation Reminders of relevant disciplinary action

Examples of inappropriate documentation to include:

Unsubstantiated comments Personal opinions Medical Information or information related to physical restrictions or

accommodations

Because employees will also be completing self-evaluation as part of the annual review, they should be encouraged to keep documentation of their own performance.

Managing Performance Problems

Some chronic performance or work habit problems or serious misconduct require additional consultation and action and should always be addressed when they occur:

Continually falling short of goals Repeatedly arriving late or missing work Violating a major safety rule

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Threatening or harassing behavior

For additional assistance with chronic work problems, contact Gary Barksdale, HR Director.

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Phase 3: The Annual Review

Annual Performance Review meetings provide an opportunity to communicate with employees to summarize progress for the review period and plan for future performance. The review meeting should not contain "unwelcome surprises" - bringing up performance issues that have not already been addressed during the review period - and should not be the only time that employees receive feedback about effective performance. If supervisor and employee have been actively involved in performance planning and feedback throughout the review period, the annual review discussion will be more productive and less stressful for both individuals.

Annual review meetings (and completion of the PE form) for the previous calendar year should be completed for all eligible EKU staff. Review meetings should be held not later than January 31st and documentation (the completed PE form) submitted to Human Resources not later than March 1st (Administrative Staff); July 31st; August 31st (Academic Staff).

Preparing for the Annual Review

At least two weeks in advance of the review meeting involve the employee by:

Confirming the date, time and location of the review meeting Explaining your expectations for the review meeting and that input from both

will be included on the final written document Providing the employee with his/her original PE form, set a deadline for

employee completion of the self-rating sections on the PE form and any feedback you are requesting for the Section F narratives

Supervisors should review the collected employee performance data and identify gaps in performance. Collect any additional data needed to create a clear picture of performance. Review the employee's preview review(s).

EKU’s Performance Evaluation process includes assigning ratings as an element of the Annual Performance Review and uses the following scale. In this rating scale, a “3” is considered norm - or good, solid – performance.

5 = Consistently Exceeds Expectations 4 = Occasionally Exceeds Expectations 3 = Consistently Meets Expectations 2 = Occasionally Below Expectations 1 = Consistently Below Expectations

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Complete the draft written evaluation by marking evaluator ratings for each item in Sections D and E. Complete the narratives in Section F and report on the outcomes for the objectives (goals) established in Section G, Current Review. Mark a final rating in Section C. Review Common Rater Errors and Rating Scale Reference for assistance in assigning ratings.

Employees should ask for clarification of the review process if needed. They should also review their performance data and collect additional data if needed to support progress. Employees will be asked to complete self-rating on items in Sections D, E and C. They will also be asked to provide feedback on the items in Section F, which includes planning for the new review period.

Conducting the Review Meeting

Conduct an annual review meeting with every employee being evaluated. Create an atmosphere that provides both adequate time and privacy for the meeting. Begin with the feedback and any clarification needed from the employee and then present your feedback, starting with performance that meets or exceeds expectations. Identify any concerns about performance and engage the employee in planning for performance improvement and f future performance.

Use the Discussion Planner tool to help focus your discussion. Follow general Interaction Process tips for an effective performance progress discussion.

Record the results of your meeting on the PE form. Both the supervisor and the employee should sign the form in Section B. Signing does not mean the employee agrees with the appraisal; it means that the appraisal has been shared with the employee. The employee can provide a written response, which is optional.

Complete Performance Planning for the new review period on a new PE form, including obtaining an employee signature in Section A of the new document to acknowledge completion of planning for the new review period. Provide the employee with copies of both the completed PE form for the current year and the new PE form with planning completed. The evaluator may retain a copy for departmental records.

Submitting Completed Performance Evaluations

Submit the original PE document so that it will be received in Human Resources not later than March 1st Administrative staff; August 31st Academic Staff. The completed PE document will be placed in the employee's Personnel Record. Evaluations should be submitted to: EKU HR; Attn: Performance Evaluation; Coates 24A.

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Additional Resources

The information below is divided into categories with additional links to suggested reading for each area.

Effective Interactions:

Address personal needs with Key Principles:

Maintain or enhance self-esteem Listen and respond with empathy Ask for help and encourage involvement Share thoughts, feelings and rationale Provide support without removing responsibility

Meet practical needs and structure discussion with Interaction Guidelines:

Open with purpose and importance of reviewing progress Clarify progress to date Develop ideas for achieving or maintaining) desired results Agree on performance level Close by summarizing and confirming confidence

Use the process skills of checking for understanding and making procedural suggestions.

Balance seeking - encouraging employees to think through situations themselves and to formulate their own ideas - and telling - sharing your experience, insights, and ideas - properly for the type of discussion.

Use your DDI Discussion Planner to help you structure the conversation and incorporate the elements above.

*Copyright DDI

Effective Feedback:

ST (Situation or Task): the problem, business opportunity or challenge or task

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A (Action): what was said or done to handle the situation or task? For feedback for improvement, what did the employee say or do that was less effective?

R (Result): what changed, for better or worse, because of the employee's actions and what was the impact of the result?

/AR (Alternative Action and Result): something the employee could have said or done differently and the enhanced result that might have been produced

*Copyright DDI

Effective Objectives (Goals)

Goals state the specific activities or specific results to be achieved. The most useful goals are those that are time specific and that are stated in more quantitative, results-oriented terms.

Goals statements should be one sentence in length Goals are statements of end results Goal statements should support the strategic plan of the university and

department Employees should have control over the goal outcomes (attainable) Goal statements should use Action Words

o Use action verbs that describe definite, observable actions that can be measured (See: Bloom’s Taxonomy & Verb Power)

o Indicate an appropriate level of competency that is assessable through one or more indicators (criterion)

*Adapted from California State University, Bakersfield, PACT Outcomes Assessment Handbook (1999) and Diamond, Robert M., Designing and Assessing Courses and Curricula

Bloom’s Taxonomy (1964) is a well-known description of levels of goals. It may be useful to consider this taxonomy when defining your goals:

Knowledge Observation and recall of information; knowledge of major ideas, events, dates, and places; mastery of subject matter

Comprehension Understanding information; grasp meaning; translate knowledge into new context; interpret facts, compare, contrast; order, group, infer causes; predict consequences

Application Use information; use concepts, methods, theories in new situations; solve problems using required skills or knowledge

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Analysis Seeing patterns; organization of parts; recognition of hidden meanings; identification of components

Synthesis Use old ideas to create new ones; generalize from given facts; relate knowledge from several areas; predict, draw conclusions

Evaluation Compare and discriminate between ideas; assess value of theories; make choices based on reasoned argument; verify value of evidence; recognize subjectivity

Verb Power Concrete verbs such as “define,” “argue,” or “create” are more helpful for assessment than vague verbs such as “know,” “understand,” or passive verbs such as “be exposed to.”

Common Rater Errors

All of the errors below have in common that they do not accurately reflect performance for the review period:

Bias - bringing personal feelings or prejudices into the rating process Recency - failing to take into account performance for the entire review

period Past Performance - allowing a prior level of performance to influence the

current rating High Potential - applying future performance potential to current performance Halo effect - performance is all good or all bad Central tendency - giving all employees a medium rating Leniency - giving more favorable reviews in order to avoid problems Severity - giving less favorable reviews in order to be seen as tough Similar-to-Me - giving more favorable ratings to people who are more

characteristically like the rater Stereotyping – applying generalizations (that may also be discriminatory)

based on race, gender, nationality, religion or membership in a group

Rating Scale Reference

The following considerations may be used in assigning ratings for employee performance:

"Consistently Exceeds Expectations"

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Independently and completely performs all aspects of the standard(s) or objective(s)

Significantly exceeds the expectations on a uniform and consistent basis Work is exceptional in all areas of responsibility Makes an exceptional contribution to the unit, department or University

"Occasionally Exceeds Expectations"

Independently and completely performs all aspects of the standard(s) or objective(s)

Frequently exceeds expectations Performs well above expectations based upon job standards Identifies needs and executes beyond assigned job responsibilities

"Consistently Meets Expectations"

Independently and completely performs all aspects of the standard(s) or objective(s)

May periodically exceed expectations Demonstrates consistently good performance at the level expected of a fully

trained, capable individual

"Occasionally Below Expectations"

New employee exhibits appropriate progress in the course of learning the responsibilities of a new position

Seasoned employee not performing at expected level Performance improvement should be reflected in setting objectives for the

new review period

"Consistently Below Expectations"

Does not meet expected job standard(s) Must show change in performance to competently perform most aspects of

this job This rating requires a written Performance Improvement Plan and progress

review

Glossary

Annual Performance Review (APR): A formal discussion the summarizes an employee’s development and performance for the designated review period. This

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includes reviewing what has been achieved and setting a plan of action for performance for the next review period.

Annual Review Period: Time frame for which employee performance planning and review are completed. The current review period is based upon the calendar year, January 1st through December 31st for Administrative Staff and fiscal year (July – June) for Academic Staff.

Core Competencies: The methods, behaviors and values demonstrated by employees while working to complete job duties and achieve performance objectives (or goals).

Eligible Employee: To be eligible for evaluation under the EKU PE system, employees must be full- or part-time University staff who have successfully completed the 90-day orientation period. To be eligible for an Annual Performance Review, the employee must also have begun employment prior to July 1st of the review period (Administrative Staff); January 1st (Academic Staff).

Evaluator: The terms evaluator and supervisor are used interchangeably in this guide. The evaluator is responsible for completing the employee's performance planning, feedback and annual performance review. The evaluator for an employee is generally the employee's immediate supervisor. In some cases (extended absence or position vacancy) the evaluator may be the next line supervisor.

Job Duties: The functions and tasks of a position that describe the expected results of work.

Objective, Performance: (Goal)

Objective, Professional Development: (Goal)

Performance Evaluation (PE) Form: The document that summarizes the planning and review phases of an employee's performance management cycle.

Performance Improvement Plan: A formal, written plan that addresses chronic work problems. Contact the HR Director for assistance with developing Performance Improvement Plans.

Performance Log: Written documentation of specific observations of performance that may be kept by a supervisor or by the employee. A performance log should focus on key performance indicators.

Performance Management Cycle: Composed of Performance Planning, Tracking and Feedback and the Annual Performance Review.

Performance Plan: Composed of the review of the expectations related to job duties, competencies and establishing performance objectives for the review period.

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Reclassification: A reassessment of a job resulting in a higher salary range when the existing job has been expanded by the addition of new duties or job requirements and responsibilities but where the core job remains unchanged. Contact HR Compensation for more information.

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