Employee Performance Management Process

Transcription

Employee Performance
Management Process
Central Office Positions | EPMP Toolkit
Summer 2009
Central Office Positions | Manager’s Guide
EPMP TOOLKIT: CONTENT
Introduction ............................................................................................................................................42
EPMP Forms ............................................................................................................................................43
Performance Planning and Evaluation Form ........................................................................ 44
Employee Performance Planning and Self-Evaluation Form ............................................... 51
Mid-Year Checkpoint Form ..................................................................................................... 53
Completed Example: Performance Planning and Evaluation Form .................................... 54
Roles & Responsibilities ..........................................................................................................................60
Performance Planning ............................................................................................................. 60
Ongoing Dialogue: Feedback and Coaching ........................................................................... 61
Mid-Year Checkpoint ............................................................................................................... 62
Performance Evaluation .......................................................................................................... 63
Operationalizing DPS Success Factors ..................................................................................................64
Goal Setting: Tips and Tools ...................................................................................................................66
Documenting Goals .................................................................................................................. 67
Creating Goal Alignment ........................................................................................................ 70
Stretch Goals ............................................................................................................................ 73
SMART Goals ........................................................................................................................... 73
Prioritizing Goals ..................................................................................................................... 76
Translating Goals into Action ................................................................................................. 78
Calibrating Goals ..................................................................................................................... 79
Setting Team Goals .................................................................................................................................80
Individual Performance Planning ..........................................................................................................85
Development Planning ...........................................................................................................................91
Managing Performance on an Ongoing Basis ........................................................................................93
Providing Feedback .................................................................................................................................96
Conducting Performance Evaluations..................................................................................................100
Assigning Performance Ratings ...........................................................................................................105
Note: While the initial edition of the Manager’s Guide provides a brief overview of the performance management
process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year
checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction
with training related to these topics.
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INTRODUCTION
The Employee Performance Management Process (EPMP) Toolkit is a collection of tips and tools
designed to help facilitate the EPMP process.
The EPMP Toolkit includes forms and samples, information on roles and responsibilities, goal setting
processes, and other tools to help you at each stage of the performance management process.
Depending on your experience and needs, you may use all or some of the tools.
Note: While the initial edition of the Manager’s Guide provides an overview of the
performance management process, it is primarily focused on performance planning.
Additional material on feedback and coaching, mid-year checkpoints, and the
performance evaluation process will be provided over the course of 2009/2010 in
conjunction with training related to these topics.
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EPMP: FORMS
This section of the toolkit contains the following forms:
Performance Planning and Evaluation Form
Employee Performance Planning and Self-Evaluation Form
Mid-Year Checkpoint Form
A Completed Example of the Performance Planning and Evaluation Form
All forms are posted on the HR Web site (http://hr.dpsk12.org/stories/storyreader$145).
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Central Office Exempt Employees
Employee Name:
Employee Job
Title:
Supervisor
Name:
Supervisor Job
Title:
Dept/Division:
Planning Date:
Review Date:
DPS’ Employee Performance Management Process (EPMP) aligns individual work to the district’s mission by focusing
employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee
has on student achievement and growth. It provides a structured process and format for managers and employees to
use in planning, tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for
additional guidance on the process and tools to assist in executing the process.
Performance Rating Definitions
4
Exceeds Expectations
Performance regularly exceeds expectations; superior
performance in key areas and DPS Success Factors.
Goes above and beyond in accomplishing results and
supporting others. Demonstrates high degree of skill and
competency.
3
Fully Meets Expectations
Consistently meets expectations in key areas. Meets all
goals and demonstrates full proficiency in DPS Success
Factors and critical job skills.
2
Partially Meets Expectations or
Developing
1
Unsatisfactory
Meets some expectations, but not all. May be developing
to full proficiency in DPS Success Factors and critical job
skills. Applies to those still on learning curve for the job as
well as those who are not fully meeting performance
expectations for their level of experience.
Performance does not meet expectations in key areas.
Did not meet goals and/or does not demonstrate
proficiency In DPS Success Factors or critical job skills.
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Individual Goals
Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility,
special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on
the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance.
Performance Planning
Define the most critical outcomes for the upcoming year (Goal Statements), the district or department/division goal
supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than
three to five. Weighting the goals is optional but can help emphasize priorities.
Performance Evaluation
Document actual results and assign a performance rating for each goal.
1
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
2
Weight
Rating
(year-end)
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
3
Weight
Rating
(year-end)
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
Weight
Rating
(year-end)
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4
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
5
Weight
Rating
(year-end)
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
Weight
Rating
(year-end)
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DPS Success Factors
DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer
to the Success Factor definitions at the end of this form for guidance.
During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming
year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage).
Success Factors - Areas of Focus
The performance evaluation should document actual performance against expectations, citing specific examples. Then,
assign a performance rating to each Success Factor.
Success Factors
Comments / Observed Actions
Rating
Put Students First
Achieve Results
Collaborate
Deliver Excellent
Service
Make Change
Happen
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Additional Performance Factors (Optional)
Identify any other factors that should be considered in assessing the employee’s overall performance (e.g.,
knowledge/skills/abilities,
certifications,
attendance,
policy
compliance,
standards
of
conduct,
etc.).
Performance Indicators/Areas of Focus
Comments/Observed Actions
Performance Rating
People Management (If Applicable)
Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for
hiring and performance review). Expectations for people managers are defined below. During performance planning,
identify any specific goals or areas of focus for the upcoming year.
People Management Expectations – Visible and accessible leader. Sets clear goals and performance expectations;
provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to
achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS.
Goals/Areas of Focus
Performance Rating
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Year-End Performance Summary
Document overall observations of performance over the course of the year, highlighting major accomplishments,
strengths, growth and opportunities.
Manager’s Comments
Overall Performance Rating
Employee’s Comments
Signatures
Performance
Planning
Name
Signature
Date
Name
Signature
Date
Supervisor
Employee
Performance
Evaluation
Supervisor
Employee
Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee
but does not indicate agreement with its contents. Any areas of disagreement should be noted above.
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EMPLOYEE PERFORMANCE MANAGEMENT PROCESS (EPMP)
DPS SUCCESS FACTORS
DPS Success Factors define who we are as an organization, what we stand for and stand
on. They define how each employee contributes to student achievement and growth. If all
employees demonstrate these actions, we will achieve our goals.
Success Factors
Put Students First
Puts students first in
setting priorities and
delivering results
Achieve Results
Sets aggressive goals,
focuses on key priorities
and assumes
responsibility for results
Collaborate
Works proactively with
others to achieve
common goals
Deliver Excellent
Service
Takes responsibility for
understanding and
effectively addressing
needs of students and
other stakeholders
Make Change Happen
Seizes opportunities for
improvement and
promotes positive change
Representative Actions
Prioritizes work to focus on those actions most critical to serving students and
achieving DPS goals
Considers all policies and decisions from perspective of impact on students and
families
Demonstrates empathy in interaction with students and families
Identifies critical needs and highest impact activities; works with manager to align
objectives, time and resources
Applies sound judgment in making decisions and solving problems in ways that best
serves students
Gathers relevant data, identifies key issues and considers broader implications in
making decisions
Takes responsibility for completing tasks and identifying ways to improve
Demonstrates ability to get things done; consistently delivers on promises made
Removes barriers to achieving results
Focuses on actions needed to achieve goals; effectively managing shifting priorities
Holds self and others accountable for achieving results
Proactively raises issues and drives them to closure
Collaborates within and across teams to accomplish results
Pitches in to help others achieve their goals
Builds and maintains positive relationships with students and stakeholders
Contributes positively to team effectiveness
Inspires trust and confidence by making and keeping commitments
Clearly articulates goals and what’s needed to accomplish them to enable others to
take action
Takes time to understand objectives and needs of students and other stakeholders
Takes steps to prevent problems; quickly addresses problems when they occur
Sets priorities effectively to handle competing needs
Finds ways to deliver quality service within time and resource constraints
Solicits and acts upon feedback
Anticipates and proactively addresses student and stakeholder needs
Demonstrates a “can do” attitude; initiates and positively embraces change
Finds new challenges and opportunities energizing and motivating
Demonstrates sense of urgency; moves forward despite ambiguity and removes
barriers to achieving results
Finds proactive, creative ways to contribute to DPS objectives
Champions new ways of doing things
Forward- thinking; plans for future opportunities and needs
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Employee Performance Planning and Self-Evaluation Form
Name:
Job Title:
Dept/Division:
Supervisor Name:
Date:
Performance Planning for Upcoming Year
1) What are your goals and priorities for the upcoming year? What specific contributions will you make to achieving
DPS or department/division goals? Think about what you want to focus on with respect to ongoing job
responsibilities, special projects, process improvements, personal development, taking on new responsibilities, etc.
For each goal, describe how goal achievement will be measured.
2) Who do you need to work with or coordinate with to achieve your goals?
3) What Success Factors do you want to focus on in the upcoming year?
4) Do you have career development goals you would like to discuss with your supervisor? What specific development
activities would help you achieve your goals, and how will you measure success?
5) What can your supervisor do to help you be as successful as possible?
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Self-Evaluation for Prior Performance Period
6)
Review the individual goals and performance indicators agreed-upon at the beginning of the year. (These are
documented on the Performance Planning and Evaluation Form.) Describe actual results achieved.
7) Refer to the DPS Success Factors definitions at the end of the Performance Planning and Evaluation Form or in the
EPMP Guide. What areas do you consider to be strengths? Where do you see opportunity for improvement?
Document specific examples of how you demonstrated the Success Factors.
8) What were your most important accomplishments during the prior performance period? How did you contribute to
achieving DPS’ goals?
9) What specific challenges did you face? How did you overcome them?
10) What do you believe you could have done better? How would you do it differently?
11) What other factors/considerations do you want to highlight during your performance evaluation discussion?
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Mid-Year Checkpoint Form
Central Office and School Support Positions
Name:
Job Title:
Dept/Division:
Supervisor Name:
Date:
The EPMP Mid-Year Checkpoint is a documented conversation between managers and employees to acknowledge
accomplishments and assess progress against performance plans. To prepare for the meeting, you will need the
performance plan documented on the Performance Planning and Evaluation Form at the beginning of the year, and any
performance documentation from the first half of the year. The sections below will guide you through the meeting.
1. Assess progress made against year-end goals. What has been accomplished? What are the priorities for the
remainder of the year? Are there potential barriers to goal achievement? What will be required to overcome them?
2. Discuss performance against the Success Factors, including the areas of focus identified in the performance plan.
Provide specific examples of actions and behaviors that demonstrate the Success Factors.
3. What other factors/considerations do you want to highlight during this mid-year check point discussion? Consider
opportunities, challenges, special accomplishments, and areas of focus identified in the initial performance plan.
Signatures
Mid-Year Check
Point
Name
Signature
Date
Supervisor
Employee
Note: Employee signature indicates the form has been reviewed with the employee but does not indicate agreement with
its contents. Any areas of disagreement should be noted above.
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COMPLETED EXAMPLE
Employee Name:
Employee Job
Title:
Supervisor
Name:
Supervisor Job
Title:
John Grape
Operations Manager
Dept/Division:
Transportation
Jane Apple
Planning Date:
September 12, 2009
Review Date:
September 10, 2010
Executive Director,
Transportation
DPS’ Employee Performance Management Process (EPMP) aligns individual work to the district’s mission by focusing
employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee
has on district goals. It provides a structured process and format for managers and employees to use in planning,
tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for further guidance
on the process and tools to assist in executing it.
Performance Rating Definitions
4
Exceeds Expectations
Performance regularly exceeds expectations; superior
performance in key areas and DPS Success Factors.
Goes above and beyond in accomplishing results and
supporting others. Demonstrates high degree of skill and
competency.
3
Fully Meets Expectations
Consistently meets expectations in key areas. Meets all
goals and demonstrates full proficiency in DPS Success
Factors and critical job skills.
2
Partially Meets Expectations or
Developing
1
Unsatisfactory
Meets some expectations, but not all. May be developing
to full proficiency in DPS Success Factors and critical job
skills. Applies to those still on learning curve for the job as
well as those who are not fully meeting performance
expectations for their level of experience.
Performance does not meet expectations in key areas.
Did not meet goals and/or does not demonstrate
proficiency In DPS Success Factors or critical job skills.
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Individual Goals
Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility,
special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on
the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance.
Define the most critical result areas for the upcoming year (Goal Statements), the district or department/division goal
supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than
three to five. Weighting the goals is optional but can help emphasize priorities.
Document actual results and assign a performance rating for each goal.
Oversee standard operations for assigned terminals to provide consistently safe, on1
Goal Statement
time transport of students throughout the course of the school year
o Maintain consistently high percentage of on-time routes across segments, with no
single segment lower than 95% for longer than 5 days
Performance o Number of DPS-caused reportable accidents per 100,000 total miles driven at or
Indicators
below 2.15
District or
Department/Division
Goal Supported
Results
2
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
On-Time Delivery to School monthly metric
Weight
35%
Reportable accidents came in at 2.14, below expectation of
Rating
2.15 and on-time routes met expectations. Overall
3
performance met expectations, but continued focus should be (year-end)
put on increasing on-time route scores.
Develop and implement new orientation and on-boarding process for new
transportation employees to facilitate retention and minimize time to full productivity
o New on-boarding process implemented by October 1, 2009
o First 30 day regretted turnover under 10% by May 1, 2010
o 85% of new hires surveyed after 30 days indicate satisfied or higher with job
placement
o 95% of new employees rated as fully proficient by supervisors at 30 days after hire
o Process encompasses district, department and team protocols and performance
standards
Empowerment and Accountability
Financial Stability and Transparency
Customer Satisfaction
Met key performance indicators. New process was
comprehensive and used alternative training methodologies
very effectively. Good job of consolidating wide range of
existing protocols and performance expectations. On-line
participant reference tools have applicability for existing
employees, which is an added benefit. Overall the new
process has resulted in a decline in 30 day turnover to 12%,
but it continues to trend downward. John continues to work
with supervisors to develop assessment process for full
proficiency ratings.
Weight
20%
Rating
(year-end)
3
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3
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
4
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
5
Develop strategy by January 1, 2010 to reduce 2010/2011 maintenance budget by
minimum of 2.3%
o Cost reduction strategy developed, presented and approved by Department Head by
January 1, 2010
o Include all maintenance supervisor’s input into the strategy development
o Create the first draft of a strategy implementation plan by June 1, 2010 (including
resource needs, key milestones, and success metrics)
- Aligning spending with goals
Weight
25%
- Providing fiscal stability
Exceeded expectations. Approved strategy projects 3.2%
cost savings. Supervisory and subject matter expert
involvement in project team generated significant ownership of
Rating
the recommendations, as demonstrated by their positive
4
(year-end)
involvement in the strategy presentation. Implementation plan
is comprehensive, and tracking and reporting systems have
already been implemented.
Lead annual contract negotiations with bargaining unit to ensure agreement meets
District objectives and parameters
o Contract agreed to and signed by both parties by August 10, 2009
o Contract includes total increase less than or equal to 3% over contract term
o Bargaining unit agrees to new staffing levels and performance management
process
- Aligning spending with goals
Signed contract by designated date. While overall cost
increase was slightly above target, it was due to unanticipated
level of increase in health care premiums and district decision
to not pass full cost increase on to employees. John
demonstrated significant patience and negotiating skill,
bringing sensitive issues such as new staffing levels to
successful conclusion.
Weight
20%
Rating
(year-end)
3
Goal Statement
Performance
Indicators
District or
Department/Division
Goal Supported
Results
Weight
Rating
(year-end)
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DPS Success Factors
DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer
to the Success Factor definitions at the end of this form for guidance.
During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming
year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage).
Success Factors - Areas of Focus
Collaborate - Develop strategies to actively involve supervisors and other key stakeholders in important decisions that
will impact them. For example; Involving supervisors in maintenance budget development. Work with school principles
as partners to approach problem solving.
Deliver Excellent Service – Collaborate with supervisors and employees to determine ways to decrease the
guaranteed complaint response time. Provide training that proactively addresses new hire’s needs and solicit their
feedback on increasing performance in shorter time periods.
The performance evaluation should document actual performance against expectations, citing specific examples. Then,
assign a performance rating to each Success Factor.
Success
Factors
Put Students
First
Achieve
Results
Collaborate
Deliver
Excellent
Service
Make Change
Happen
Comments / Observed Actions
Rating
3
3
4
Established ongoing meetings with school personnel to discuss issues and opportunities.
This has been met with great enthusiasm from all parties and has improved the
communication and collaboration between departments. Negotiations with external
vendors completed successfully for all parties. New hire job satisfaction and performance
increased.
Customer response time has improved considerably from 24 hours to same day.
The establishment of school/department meetings has created a means to quickly identify
concerns/issues. Utilizing this feedback, John evaluated our current process for assigning
students to routes, eliminated redundancies which had an immediate effect in providing
timelier service for students. John has consistently and effectively addressed concerns
while taking steps to prevent problems from re-occurring. John collaborated with his
supervisors to better anticipate training needs of new hires. Through implementation of
these ideas and suggestions he solicited from newer employees, new hire productivity and
quality has increased, more quickly.
4
Although this wasn’t an area of focus for John this year, he continues to be a role model for
others in promoting positive change and acting on opportunities for improvement.
4
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Additional Performance Factors (Optional)
Identify any other factors that should be considered in assessing the employee’s overall performance (e.g.,
knowledge/skills/abilities, certifications, attendance, policy compliance, standards of conduct, etc.).
Maintain licensure and certification specified in job
description.
Yes, maintained as required.
Performance Rating
3
People Management (If Applicable)
Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for
hiring and performance review). Expectations for people managers are defined below. During performance planning,
identify any specific goals or areas of focus for the upcoming year.
People Management Expectations – Visible and accessible leader. Sets clear goals and performance expectations;
provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to
achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS.
Implement EPMP within team ensuring all team
members have:
 Documented performance plans by set date
 Documented midyear checkpoints by set date
 Year end evaluations by set date
Quality audit by manager of sample documents for
each event.
Enhance feedback (positive and developmental) to
employees on a daily and consistent basis.
Review of completed performance plans and other required
documentation shows these were thoroughly completed for all
eligible employees.
Discussions with some employees indicate that not all
employees receiving ongoing, informal feedback. This resulted
in some ‘surprise’ reviews to certain employees. Ongoing
coaching required to get John comfortable with difficult
feedback delivery
Performance Rating
2
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Year-End Performance Summary
Document overall observations of performance over the course of the year, highlighting major accomplishments, strengths,
growth and opportunities.
Manager’s Comments
John was successful at achieving the specific goals identified for the year and consistently demonstrates the district’s
Success Factors. John’s consistency in delivery and dedication to improving the department make him a strong
member of this team. John was instrumental in improving the on-time delivery for several schools. Although overall ontime delivery was at 99.6%, he took the time to closely analyze the data and as a result he identified several schools
that consistently had buses running late. After correcting the problem, buses are now consistently on-time thus
improving our customer service. John needs to focus more on day-to-day people management and must ensure that
all employees are given regular and ongoing feedback.
Overall Performance Rating
3
Signatures
Performance
Planning
Name
Signature
Date
Name
Signature
Date
Supervisor
Employee
Performance
Evaluation
Supervisor
Employee
Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee
but does not indicate agreement with its contents. Any areas of disagreement should be documented above.
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ROLES & RESPONSIBILITIES
PERFORMANCE PLANNING
Manager Responsibilities to the Team
Communicate district and
department/division goals
Set and communicate group/team goals
Facilitate team discussion on DPS
Success Factors and how they facilitate
goal achievement
If you have supervisors as direct reports:
Communicate expectations and
timeframes and hold them accountable
for meeting
Review performance plans for their
direct reports to confirm your
agreement and ensure quality of
documentation
Ensure goal alignment and calibration
across teams
Important Date:
Performance plans finalized by October 31
Manager Responsibilities to Direct Reports
Schedule performance planning meetings and communicate what employees need to do to
prepare.
Review job description and update as appropriate.
Draft initial performance plan.
Lead the performance planning meeting.
Prepare final performance plan and distribute copies to the employee.
Employee Responsibilities
Prepare for the performance planning meeting by completing Employee Performance Planning
and Self Evaluation Form.
Alternatively, your manager may ask you to draft the performance planning section of the
Performance Planning and Evaluation Form.
Actively participate in performance planning meeting; ensure you are clear on goals, priorities,
and expectations.
Recommend updates to the performance plan as appropriate based on changing goals and
priorities.
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ONGOING DIALOGUE: FEEDBACK AND COACHING
Provide updates on district,
department/division and team
milestones, accomplishments and
challenges
Adjust goals as appropriate based on
changing objectives, priorities and
circumstances
Model and reinforce DPS Success
Factors at every opportunity
Recognize and reward success
If you have supervisors as direct
reports, monitor and hold them
accountable for ongoing performance
discussions with their team
Track and adjust goals as appropriate based on changing objectives, priorities and circumstances
Provide timely, concrete feedback and coaching; identify development needs and opportunities
Document performance events you want to remember as they happen (e.g., "above and beyond"
service, key accomplishments, missed expectations, new skills, etc.)
Support employees in identifying and solving problems and removing barriers to performance
Recognize and reward success
Proactively seek coaching and feedback
Identify barriers to performance and potential solutions
Incorporate coaching and feedback into future performance
Document performance events you want to remember as they happen (e.g., "above and beyond"
service, key accomplishments, missed expectations, new skills, etc.)
Discuss potential changes in goals and priorities with your manager
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MID-YEAR CHECKPOINT
Schedule and conduct mid-year update
on district, department/division and
team milestones, accomplishments and
challenges
Recognize team and individual success
reports:
o
o
timeframes and hold them
accountable
Review Mid-Year Checkpoint
Forms for their direct reports to
ensure quality of documentation
Schedule mid-year checkpoint and communicate what employees should do to prepare
Review performance plan documented at the beginning of the year; make notes on areas you want
to discuss
Prepare draft Mid-Year Checkpoint Form
Lead performance discussion
Update the Mid-Year Checkpoint Form; keep a copy for your records, provide a copy to the
employee, and forward the original to Human Resources.
Prepare for meeting by reviewing the performance plan documented at beginning of the year and
completing the Mid-Year Checkpoint Form
Actively participate in the meeting, providing examples of accomplishments, raising potential
barriers to performance, and identifying what support you need from your manager to achieve
goals
Request checkpoint meeting if manager doesn’t schedule it
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PERFORMANCE EVALUATION
Communicate district,
department/division and team goal
achievement
Recognize team and individual
success
reports:
o
o
o
timeframes to them and hold
them accountable
Review performance evaluations
for their direct reports to confirm
your agreement and ensure
quality of documentation
Calibrate performance ratings
across teams
Important Dates:
September 15:
Draft performance evaluations
completed for executive review.
October 1 – 31:
Communicate evaluations to
employees.
Note: Department/ division leadership may establish
interim deadlines.
Schedule performance review meetings and communicate what employees should do to prepare
Complete the performance evaluation component of the Performance Planning and Evaluation
Form.
Submit performance evaluations to your manager for review, approval, and executive-level
calibration of performance ratings
Lead performance evaluation discussion, ensuring active employee participation
Update your initial comments if appropriate based on feedback/insights discussed in the meeting.
Provide the final form to the employee for comment and signature
Keep a copy of the form for your records and forward the original to Human Resources
Track accomplishments and feedback over the performance period
Prepare for performance review meeting by completing Employee Performance Planning and Self
Evaluation Form
Actively participate in performance review meeting; clarify feedback
Document comments on the Performance Planning and Evaluation Form and sign
Page 24 of 66
OPERATIONALIZING DPS SUCCESS
FACTORS
DPS’ “Success Factors” are an integral part of EPMP. The Success Factors define the actions and
behaviors that district leadership believes will drive success. They are performance expectations for
each employee. The components of the performance management process discussed later in this guide
(e.g., team goal-setting, individual performance planning, coaching and feedback) provide an ideal time
to reinforce the Success Factors on both a team and individual basis.
As a manager, your role is to clarify what these Success Factors look like “in action” within the context
of your team’s work, to model them and to hold others accountable for modeling them as well. You need
to:
Believe consistent demonstration of the Success Factors will lead to success
Help employees really “get” why they’re important
Create a concrete picture of what they look like in action
Make them part of a language of DPS
Model the Success Factors so employees understand that we’re serious about this
Success Factors will be most meaningful if your team members have the opportunity to talk about what
these look like “in action.” Here are a few ideas:
1. Have employees complete this template on what execution of the Success Factor looks like during
their day-to-day job performance.
Success Factor
Examples
Put Students First
Achieve Results
Collaborate
Deliver Excellent
Service
Make Change
Happen
2. Facilitate a brainstorming session with your team to discuss what superior performance on each
Success Factor looks like “in action.”
Page 25 of 66
3. Have teams of employees draw a picture of what each Success Factor looks like “in action.”
4. Have employees record representative actions and behaviors on sticky notes, then group the sticky
notes according to common themes.
5. Tell stories about best case and worst-case examples.
6. Role play best case and worst case examples.
Remember, as a manager it is important to reinforce the importance of Success Factors on an ongoing
basis.
Take some time during your regular meeting to review the Success Factors and reinforce why
they’re important.
Select one Success Factor to discuss at a team meeting each month. Have employees come
prepared to discuss actual examples of the Success Factor “in action” that they’ve observed in the
last month.
Recognize and reward teams and individual employees “real-time” when you see the Success
Factors “in action.”
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GOAL SETTING: TIPS & TOOLS
Introduction
The purpose of this section is to provide you with tips and tools to assist you in developing team and
individual goals. Setting goals isn’t easy, but with practice and tools to structure your thinking, it will
become a much more natural process.
Goal setting is intended to focus employees on those outcomes most important for district,
department/division and team success; ensure expectations are clear and mutually agreed-upon; and
define accountability for results. With that, people are empowered to perform.
Remember, goals don’t have to be perfect and they can evolve over
time, but they should be as clear as possible to enable employees
to go out and proactively do the job they were hired to do.
The goal-setting tools and goal-alignment frameworks described in the EPMP Process Guide & Toolkit
may be somewhat simplistic for the realities of an environment where employees fall under different
performance management processes, teams encompass highly diverse roles, managers have significant
spans of control, and schedules are driven more by the school year than the performance management
year. Please remember that these are tools only, provided as a starting point to help you think through
the key components of performance planning and how to best apply them within your group. Your
department/division head will provide additional guidance on how the goal-setting process works within
their group.
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DOCUMENTING GOALS
The Performance Planning and Evaluation Form and optional Team Goals Form provide a standard
format for documenting goals. The following provides additional definition and guidance on each section.
Form snapshot:
1
2
3
Goal Statement
What is to be accomplished and why
Performance Indicators
How performance will be measured
District or Department/Division
Goal Supported
Why the goal is important
Weight
4
Relative
Priority
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Examples
Goal Statement
Decrease total processing time for Full-Time Teacher job
requisitions, while maintaining accuracy standard, to
place teachers into schools more rapidly.
Average Total Processing Time reduced to 2.33 days by
November 30, 2009.
District or
Division/Department Goal
Supported
Team Goal.
Decrease total processing time for
Full-Time Teacher job requisitions,
while maintaining accuracy
standard, to place teachers into
schools more rapidly.
Weight
27%
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Goal Statement
Develop skills to intermediate level on new routing
software to increase efficiency.
“Time to Provide Bus Service” metric decreased to zero in
the “over 13 days” category.
Segments per bus, across assigned routes, increased by
15%.
Supervisor observes comfort level and competence in
intermediate skill functions.
District or
Supported
Department Goal.
Remove 5 buses from service to
reduce costs.
Goal Statement
Prepare and conduct In-Service sessions for peers to gain
buy-in to Positive Behavior Support program (PBS)
implementation.
Principal Survey satisfaction results increase 10% on
April 2010 report.
Supervisors observe improved interactions with
students.
Complaint calls from parents decrease 20% by June
2010.
District or
Supported
Division Goal.
Implement school-based PBS
program in the Transportation
division to improve interactions
with students.
Weight
Weight
30%
25%
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CREATING GOAL ALIGNMENT
A key objective of performance planning is goal alignment. For DPS, goal alignment starts with the
District’s Goals and Action Plan: the CAO, COO, and Department/Division heads translate the
District’s Goals and Action Plan into goals for their group. Your role is to translate these goals into
team and individual results, then establish plans for achieving these results.
Examples of cascading goals are provided in the following pages. These examples are provided to
show goal alignment; they are not SMART goals in that they do not define how performance
will be measured.
The primary objective of goal setting is to define the most important ways teams and individual
employees can contribute to department/division and district goals. However, in reality, not every goal
will clearly align with a broader (district/division or district) goal. Goals need to be set in the context of
the realities of your function.
For instance, you need to consider the necessary level of performance and resources required to support
the team’s most important, recurring tasks. You have to keep the lights on, so to speak, and look for
opportunities for continuous improvement. You may need to develop new and better ways to serve
colleagues and customers, remove problems that are creating barriers to team effectiveness, develop
new capabilities that are required for current and future performance, and address external threats and
opportunities.
Inputs and considerations for defining goals are outlined in the tools on “Setting Team Goals” and
“Developing Individual Performance Plans.”
Goal Alignment Example: ProComp Specialist
Note: Examples represent goal alignment, not SMART goals.
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Goal Alignment Example: HR Training Lead
Goal Alignment Example: Payroll Office Support Staff
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Goal Alignment Example: Payroll Technician
Goal Alignment Example: Outreach Coordinator
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STRETCH GOALS
Goals that are too aggressive, where the likelihood of achievement is low, can be demoralizing. Goals
that are set too low will do little to motivate continuous improvement. Good goals have "stretch"; they
are achievable with a reasonable degree of effort, but require contributions beyond the status quo.
Stretch goals represent a level of performance that leads to continuous improvement; they "move the
bar" in a meaningful way. They are a realistic challenge – a high reach that is achievable given strong
effort. They may involve significant new outcomes or services for a function; innovation in processes
and tools; or an expansion of existing knowledge, skills and relationships.
SMART GOALS
Goals must be defined clearly enough so both managers and employees know exactly what is expected.
Remember – goals are designed so that employees are empowered to go out and do a great job for the
organization and team. Even the best employee may not meet the goal assigned if they do not have
the same definition of the goal as their manager.
For example: a goal is stated, "Improve your communication skills." The employee goes out and takes a
course on Presentation Skills and does a great job improving their verbal presentations. At the end of
the year the manager is disappointed and gives the employee low marks because the employee did not
improve their e-mail etiquette skills (which is what they meant by "improve your communication
skills").
The SMART model ensures that goals are written and documented in such a way that both employees
and managers are working from the same definition of the expected result. The real aim of SMART
goals is to specify who, what, and why for each goal to ensure shared understanding and expectations.
How the goal will be achieved is defined in the action plan for achieving each goal. (See “Translating
Goals into Action” tool.) The key to establishing an effective goal is to ensure that it meets SMART
criteria:
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SMART Goals - Examples
Below are a few samples of SMART goals that give you an idea of the wording and tone that can be
used.
Goal
Statement
Improve annual principal satisfaction rating of technology to over 90 points through
the implementation of DoTS hotline by July 1, 2009.
Performance
Indicator
Successful implementation of DoTS hotline by July 1, 2009 within the allocated
budget approved.
Funnel 100% of DoTS requests through the DoTS hotline by November 1, 2009.
Principal Satisfaction Survey increase from 87 points to 90 points in 2009 evaluation.
Goal
Statement
Deliver effective training on EPMP to all DPS people managers impacted by the
EPMP. Training delivery complete by August 30, 2009.
Performance
Indicator
Completion of all scheduled training modules.
Training participation rate of 95%.
90% completed Performance Plans by October 30, 2009
90% completed Mid-Year Check Points by February 15, 2010
90% completed Annual Evaluations by September 15, 2010
Goal
Statement
Decrease total processing time for Full-Time Teacher Job Requisitions, while
maintaining accuracy standard, to place teachers into schools more rapidly.
Performance
Indicator
Average Total Processing Time reduced to 2.33 days by November 30, 2009
Maintain monthly accuracy rate of at least 99% throughout year
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PRIORITIZING GOALS
Prioritizing goals applies to both team goals and individual goals. Having more than three to five goals
may dilute the ability of the team or individual to achieve them all well. It is important to identify the
“critical few.” Following is one technique.
List each of your goals in one of the three columns below. You’ll need to decide if each goal is:
•
Critical – meaning it’s something your team must absolutely complete this year in order to support
a district or department/division goal or initiative.
•
Enabling – meaning it is one which will greatly benefit your team and enable them to meet or
support a critical district or department/division goal or initiative.
•
Nice to Have – meaning just that. It would be nice if your team could achieve this goal but in
reality, completing this goal will have little to no impact on any higher level goals and initiatives.
Critical
Enabling
Nice to Have
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Now review the goals you listed in Enabling and determine whether they are Critical or Nice to Have.
Ultimately, you will end up with only these two columns.
Critical
Nice to Have
The goals in the Critical column are those you should focus on. If you have too many goals in the
critical column, assess the effort required for the goal weighted against the impact the achieved goal will
have on the organization. If the effort is large and impact is small then that goal can come off the
critical list.
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TRANSLATING GOALS INTO ACTIONS
Defining goals is about creating focus; now, you’ll need to develop the roadmap to drive execution. The
Action Plan translates team and individual goals into action. It provides a format to help you think
through specific steps and the resources that are required for goal achievement.
Use the Action Planning Template below, to define goal. While this documentation is not part of the
"official" EPMP documentation, by providing additional clarity for employees, the action plan can be a
critical link between goals and results. Charge the employee with developing initial action plans for
your review; empower them to define how they will accomplish the goal.
Action Planning Template
Goal
Specific Steps
Required
Resources/Collabor
ation Required
Key
Milestones
Potential
Obstacles and
Solutions
Definition
Definition
Definition
Definition
Definition
Your Goals
should be pulled
from the
Individual Goals
section of your
Performance
Planning and
Evaluation
Form.
Document specific
steps that need to be
accomplished in order
to achieve stated goal.
Identify the
resources (other
people, teams,
money, or tools)
that you need to
complete each of
the steps required.
The date that
the action
must be
completed by
in order to
make master
deadlines.
Write down the
potential barriers
that would get in
the way of
achieving the
stated action.
Propose potential
solutions to
working around
barriers.
Develop and
implement
online form, by
5/31/10, to
initiate account
overrides/new
account
numbers for
Guest Teacher
processing.
1. Learn Lawson
“Sub Finder”
functionality
2. Identify 5 school
secretaries for
input and pilot
3. Get input on form
design from 5
school secretaries
4. Draft form for
supervisor and
secretary review
5. Test form
1. Lawson Guide,
Lead Payroll
Tech
2. Supervisor,
school
secretaries
3. School
secretaries, coworkers
4. Supervisor
1. 10/31/09
Not getting
needed time and
focus from 5
school secretaries
– get support/
commitment
from Principals
5. Lead tech,
secretaries
6. Secretaries
7. Supervisor,
secretaries
5. 2/15/10
6. Pilot form with 5
secretaries
7. Implement form
2. 11/15/09
3. 12/31/09
4. 1/31/10
Technical issues
could cause
delays - added
time in plan for
this
6. 3/1/10
7. 5/31/10
An Action Planning Form is posted on the HR Web site (http://hr.dpsk12.org/stories/storyreader$145).
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CALIBRATING GOALS
Calibration is a process to ensure goals are equitable across
teams and individuals. Calibration needs to occur at both the
performance planning and the performance evaluation steps of
the EPMP process. While it’s a challenging process, it’s an
important part of any performance management process.
If you manage individual contributors, after you have completed their performance plans, ask yourself
whether the performance goals for people in similar roles or at similar levels of skill and responsibility
are comparable in terms of importance, impact, difficulty of achieving and other relevant factors. Have
your manager, a peer, or your HR Partner review the performance plans as a reasonability check.
If you manage other managers or supervisors, you are strongly encouraged to develop a process to
calibrate goals and performance expectations across teams. While a simple review of performance
plans for their direct reports will be helpful, calibration is most powerful if done face-to-face. If you
have multiple managers as direct reports, leadership team calibration meetings are encouraged. In
these meetings, each manager can present performance plans for his or her team, and you and his or
her peers can probe issues, ask questions, test rationales, and ultimately confirm or provide additional
input for consideration.
In addition to calibrating goals, these joint leadership meetings also provide the opportunity to
coordinate and identify the goals that are shared among teams and the cross-team dependencies
needed to achieve these goals. They also provide the opportunity to give visibility to top performers,
discuss development opportunities, and get feedback from peers on team performance and needed
contributions.
If the number of your direct and/or indirect reports is prohibitive to discussion as a whole team,
consider auditing a sample of representative performance plans. You may look at top and bottom
performers, representative performers in multi-incumbent jobs, or a sample of employees at various
levels of responsibility.
Your HR partner can help facilitate these meetings and/or think through alternative approaches.
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SETTING TEAM GOALS
While not part of the "official" EPMP documentation, team goals provide the critical link between
department/division goals and individual contributions. They also provide an important "rallying point"
for the team.
Setting team goals is important for managers who are coordinating a group of individuals towards a
common purpose. If you have only a few direct reports or direct reports who do not work together as a
team towards a common goal you can move straight to establishing individual goals.
Collecting Data for Team Goals
When you begin writing team goals, there are several potential sources of input to reference.
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In addition to reviewing relevant sources of input, consider the following questions:
What do key stakeholders need and expect from our group this year?
Can/should we implement new processes and programs to improve service to colleagues
and customers? If yes, what ones and why?
What meaningful opportunities exist for continuous improvement in ongoing processes and
programs?
Are there opportunities to leverage new technology, theories, methodologies, sources of
funding, etc.? If yes, how and for what benefit?
Do we have new or expanded responsibility areas that need additional focus?
What district-wide initiatives require support from this team?
What progress needs to be made with respect to our longer-term goals?
What problems and inefficiencies are creating barriers to team effectiveness?
Do we have the need or opportunity to develop new capabilities that will position us for
success in the future?
Are there specific Success Factors that we need to do a better job in demonstrating? What
ones?
Collaborate with your Team
Goal setting is most effective if it is a collaborative process. It is important to remember that you have
ultimate accountability for goal definition, but involving your team in the process can create better
alignment, commitment, and accountability.
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The more often and directly you can involve employees during the
goal setting process the better. This will give them greater
ownership of the resulting goals and better understanding of why
they are important.
Team Goal Setting Steps
The process outlined below is provided to help you define goals for your team. You may need to
customize this model to fit your group.
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Establishing Accountability for Team Goals
Some teams are made up of diverse functions and roles, and it can be difficult to define goals that
each team member can impact. One approach is to define higher-level goals – for instance, related to
productivity, costs, customer service, new capabilities, etc. Concrete actions to achieve these goals
can be defined through individual goals and action plans.
If there are key goals that are primarily owned by an individual or sub-team, discuss how others in
the group can support these individuals in achieving their goal or in their day-to-day work. While
goals need to be within the influence of your team and you want every team member aligned, it is
not realistic that every employee can be linked to every team goal.
Team Goals Template
You can use whatever form works for you as long as it is specific in terms of results to be achieved
and how success will be measured. The Template below is consistent with the format used to set
individual goals on the Performance Planning and Evaluation Form. A Team Goals Form is posted
on the HR Web site (http://hr.dpsk12.org/stories/storyreader$145).
Goal Statement
Define each goal in terms of specific outcomes to be achieved.
Define how goal achievement will be measured.
District or Department/
Division Goal Supported
Define alignment to
higher-level goals.
Weight
While optional,
weighting goals can help
define and emphasize
priorities.
Once goals are defined, step back and ensure that they are SMART. Refer to the “SMART Goals”
tool.
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INDIVIDUAL PERFORMANCE
PLANNING
Performance planning is a process to define individual goals and expectations for the upcoming year.
The EPMP performance planning process involves defining “Individual Goals”, discussing key areas of
focus with respect to the “Success Factors” and “People Management Expectations” (if applicable), and
identifying any “Other Performance Factors” that will be considered.
Collecting Data for Individual Performance Planning
In addition to the sources of input identified for the team goal setting process, the following inputs may
be helpful to reference when developing an employee’s performance plan.
In addition to reviewing the relevant sources of input, consider the questions on the following page.
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What do key customers and colleagues need and expect from this employee this year?
What aspects of the team goals does this employee “own” or “co-own”?
What special projects might be appropriate to further function objectives?
What district, group, or team initiatives would benefit from this person’s participation?
What current responsibilities need additional focus?
Where are the opportunities for meaningful improvement in operations or service levels?
What new roles might this employee take on to expand their contributions within the
team?
Are there specific Success Factors that warrant special focus?
What opportunities exist to develop or expand knowledge, skill, and ability in areas that
will benefit the function or group?
Collaborate with your Employees
There are several activities you can use to involve employees in the process. For instance, you can:
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There are two tools employees can use to prepare for the annual performance planning conversation
with their managers:
The use of any of these employee involvement processes does not eliminate the need for the manager to
also prepare for the meeting by documenting your own thoughts on the employee’s annual goals and his
or her performance plan. Ultimately, as the manager, you own ensuring completion and documentation
of the performance planning process.
Multiple Incumbent Jobs
In some groups you may have many employees performing essentially the same job, e.g., nurses,
psychologists, curriculum specialists. In these situations it may be appropriate to first develop a
performance plan for that specific job and then customize it to fit each individual in the role.
Individual performance planning then focuses on what’s unique to the individual. If similar jobs are
found in other groups, you are encouraged to coordinate performance planning activities with those
groups. Your HR Partner can assist in facilitating these sessions.
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Individual Performance Planning Steps
Components of the Performance Plan
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Individual
Goals
Individual goals may relate to ongoing responsibilities, special projects,
continuous improvement goals, job-related personal development, etc.
Consider the following questions:
How can this employee most directly contribute to the district,
department/division, and team goals?
Are there high-impact operational improvements this employee should be
focused on this year?
Which of the employee’s key areas of ongoing responsibility warrant “top
of mind” focus this year?
DPS Success
Factors
Discuss how the employee can incorporate the Success Factors into his or her
role on an ongoing basis. Key areas of focus for the upcoming year should be
identified and documented, considering development needs and opportunities
to take performance to the next level.
Provide examples of specific ways the employee has demonstrated the
Success Factors.
Discuss examples of actions that would represent superior performance in
these areas.
Other
Performance
Factors
This optional section enables managers to identify any other factors that
should be considered in assessing an employee’s overall performance. This
may include:
•
•
•
•
•
•
People
Management
Expectations
Productivity or quality standards
Attendance, policy compliance, standards of conduct
Functional, job-specific knowledge, skills, and abilities
Certifications and licensures
Proficiency with specific tools and equipment
Etc.
This section is applicable only to managers with responsibility for hiring and
performance management. The following is DPS’ standard criteria for the
People Management factor:
Visible and Accessible Leader. Sets clear goals and performance
expectations; provides effective performance feedback and
coaching. Sets high standards of performance and empowers
employees to achieve them. Develops and motivates employees to be
their best; keeps employees informed and connected to DPS.
Performance planning involves discussing key areas of focus for the upcoming
year, considering the individual’s development needs and opportunities as
well as more general leadership development goals for your team.
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Shared Goals
If two or more people contribute to a team goal, joint accountability for accomplishing the goal should be
reflected in each employee’s performance plan. Weighting may differ based on the degree of individual
influence on goal achievement and/or the employee’s other goals. Team or shared goals generally should
not account for more than 50% of an individual’s performance plan; it’s also important to reinforce
individual accountability.
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DEVELOPMENT PLANNING
EPMP discussions are a natural time to discuss the employee’s career development goals. The
Development Plan is an organized approach to defining development goals and activities that will
enhance the employee’s knowledge and skills as well as the team’s effectiveness. Development goals
generally address knowledge, skills, and abilities that:
• Are critical for current job performance
• Enable growth in the present role
• Contribute to the employee’s career goals
While education and training are important parts of a development plan, sometimes the most powerful
development occurs "on the job." Consider assigning your employees "stretch" assignments, special
projects, new job responsibilities, or offering them the option to attend strategic meetings where they
are exposed to people and opportunities outside their daily job responsibilities. Also consider
establishing mentoring relations with other employees to supplement traditional education and training
opportunities.
Following are examples of potential development activities.
Common Examples of Development Activities
Assignments
Job Rotation
Stretch Assignments
Temporary Positions
Committees
Work Groups
Presentations
Cross Training
Changing functions
Shift changes
Working with new people
On the Job Opportunities
Develop in Place
Mentoring
Individual projects
Perspective building
Tough challenge
Shift in size of job
Formal Training/
Development
Professional
Technical
Leadership
Off the Job Opportunities
Taking on new projects or
assignments
Temporary assignments,
e.g., filling in for someone
on vacation
Assuming lead role
responsibilities
Improving a process or
procedure
Joining/leading community
groups
Trying a new skills in a
volunteer organization
Giving presentations to
civic groups
Self-Development
Reading/Self-Study
Professional organizations
College/University
Programs
Seminars
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The employee is responsible for driving development discussions around their future career goals, but
the manager can also play an important role in helping the employee articulate his or her goals, explore
possibilities, and define appropriate development activities. A Development Planning Template is
provided following this page to document development goals, outline plans to achieve the goals and
monitor goal achievement. Employees are generally responsible for preparing and maintaining the
Development Planning Form.
Development Planning Template
Development Goals
Development
Activities
Resources or
Support Required
Progress Review
Definition
Definition
Definition
Definition
What are your
development goals?
What actions will you
take to meet your
goal(s)?
What support or
resources do you need
from others to help you
achieve your goal(s)?
How will you measure
your success? What is
your timeline for
meeting the goal?
Example
Example
Example
Example
Develop skills to
intermediate level on
new routing software
to increase efficiency.
1. Attend training
program for routing
software.
2. Identify individual
who can provide
real-time on-the-job
coaching.
1. Budget for training.
2. Individual from
team to act as
coach.
November 30, 2009
A Development Planning Form is posted http://hr.dpsk12.org/stories/storyreader$145.
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MANAGING PERFORMANCE ON AN
ONGOING BASIS
There are a variety of techniques to draw upon in managing performance on an ongoing basis.
Direction
It is important to provide direction for all work. The key is knowing how much direction to
provide.
You should diagnose each situation according to the task and the level of the employee’s skill,
knowledge, and motivation. Effective direction on one task may only include the deadline.
Effective direction on another task, or for a different employee, may involve step-by-step
instructions.
Feedback
Feedback is intended to reinforce current behavior or to change behavior. Feedback is not
intended to judge or evaluate. Effective feedback is sharing observations about specific actions
and/or behaviors. If your goal is not to reinforce, change, or strengthen behavior, you should not
offer the feedback.
It’s important to provide both positive and constructive feedback. A good guideline is to deliver,
over a period of time, four positive feedback instances for every constructive feedback instance.
This builds trust and helps the employee receive the feedback with the helpful intent in which it is
offered.
Coaching
Coaching is a process using focused conversations to enhance performance and individual growth.
It’s a partnership that assumes the employee has inside what’s needed. The coach uses a system
and process to stretch the employee and help them discover the “answers” or solutions and
practice skills.
Methods used by effective coaches include asking and answering questions, prompting
conversations, offering suggestions and opinions, sharing experiences, advising of resources, and
encouraging reflection. With coaching, the ultimate decision or choice is the employee’s. The
manager telling the employee what to do, or how to do it, is direction.
Problem Solving
Ask the employee for their ideas on possible solutions before offering your own thoughts. Ensure
that the employee knows any parameters and the level of authority they have in solving issues.
Use an appropriate problem solving method for the situation: brainstorming, fact-finding,
challenging assumptions, changing your perspective, collaborating with others, etc.
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Recognition
Recognition is about noticing your people: thanking them and showing that you value them.
Recognition reinforces desired behaviors and supports a positive work environment. Think about
how often, and the way that, you recognize your employees.
Effective recognition is personal, timely, and specific. It’s more than “good job”. Tell the employee
what made it a good job and why it was valuable.
Delegation
The primary objective of delegation is ensuring that your team is effectively handling all
important tasks and responsibilities and achieving desired results. A common result of effective
delegation is some degree of development.
Effective delegation involves more than just assigning a task to someone. You need to consider
which tasks are appropriate to delegate, who is the best person for the task, the right level
authority and support to delegate with the task, and how you will monitor progress and measure
results.
Motivation
There are some general motivators, across most people, at work: seeing their work as meaningful
and significant, being responsible for their work and its outcomes, knowing the results of their
work, and growth in their jobs (competence and development).
Knowing your people and practicing differentiation are also important in motivation. In addition
to the general motivators, different things motivate each person. You have to know each person on
your staff to understand what best motivates them. Think about what behaviors you want to
motivate. What will be most effective in motivating these behaviors, with that employee? The
motivation needs to be something that the employee wants and values.
Development
People like to develop and grow. The District needs people to gain new skills and improve
performance to meet its goals. Where these intersect, the most impactful development occurs.
Development can be focused on the employee’s current job, towards a future role, or for personal
effectiveness. There are many different methods of development. Refer to the “Development
Planning” tool for ideas.
Monitoring
It’s important to monitor progress and results. The sooner you notice accomplishments, efforts,
challenges, barriers, and problems, the more effective recognition, feedback, coaching, and other
management tools will be.
It’s also important to monitor the environment in the department, changes in employee morale
and motivation, and the interactions on the team. These can have powerful effects on
performance, both positive and negative.
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Adjusting
As plans and circumstances change, it may be appropriate during the year to adjust goals,
priorities, and deadlines. Performance plans are not written in stone. Be aware of changes and the
adjustments you may need to make for optimal performance from your team.
If goals and projects are not progressing as they should, you may need to adjust approaches,
behaviors, or action plans. Think about the best tool(s) to use to make the needed adjustment.
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PROVIDING FEEDBACK
Some tips to keep in mind when providing feedback:
The most meaningful feedback is timely, given directly after
observation.
Choose your state of mind; you have a choice.
Have a goal for giving feedback, e.g., to ask for something you want
versus just blowing off steam.
Be sure you have time and space.
Let go of expectations of how the other person will react.
Focus on your intention to tell the simple truth without blame or
judgment.
Listen, listen, listen.
Give people the benefit of the doubt; ask questions rather than making
assumptions about intentions.
Kinds of Feedback
Effective feedback is formal and informal, basic and deep.
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Basic and Deep Feedback
Basic Level
What’s going right
Things to continue
Things to start
What’s going wrong
Things to stop
Next time
Deep Level
Contributions made
Partnerships formed
Discoveries made
Talents and skills to develop and
deploy
Active Listening
One of the keys to effective feedback is active listening. Being a good listener takes constant practice.
Here are a few reminders for effective active listening.
Do’s for Active Listening
Let the employee talk
React to feelings
Listen for meaning
Focus on the speaker
Verify perceptions
Clarify with questions and examples
Solicit additional feedback
Don’ts for Active Listening
Interrupt
Get sidetracked
Fake attention
Daydream
Plan your response while the other
person is talking
Use negative body language
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Some specific Active Listening techniques are provided below.
Technique
Purpose
Examples
Clarifying
To get additional facts
To help explore all sides of the
issue
“Can you clarify this?”
“Do you mean this…..?”
“Is this the problem as you see
it?”
Restatement
To check meaning and
interpretation
To show you are listening and
understand what has been said
To encourage the employee to
analyze other aspects of the
issue being discussed.
“As I understand it, …..”
“So this is what you’ve decided
to do…..”
Neutral/Encouraging
To convey that you are
interested and listening
To encourage a person to
continue talking
“I see”
“Uh-huh”
“That’s interesting”
“I understand”
“Good point”
Reflective
To show that you understand
how the speaker feels about
what he/she is saying
To help a person evaluate and
temper his/her feelings
“You feel that….”
“You were upset about….”
“You felt good about…. but
……”
Summarizing
To bring all discussion points
into focus
To serve as a springboard for
further discussion of a new
aspect
“These are the key ideas you
talked about….”
“If I understand how you feel…”
Page 59 of 66
Delivering Difficult Feedback
When the feedback is difficult, it can be helpful to follow a specific process. One approach to follow:
Page 60 of 66
CONDUCTING PERFORMANCE
EVALUATIONS
Performance evaluation within the context of EPMP involves formal discussion, evaluation and
documentation of an employee’s performance relative to the performance plan established at the
beginning of the performance ear. It reinforces accomplishments, opportunities for improvement and
accountability for results.
Collecting Data for Performance Evaluations
Don’t rely on your memory in documenting the performance evaluation; you have a lot of data from
effectively practicing performance management throughout the year. Inputs for evaluations can include:
Page 61 of 66
In addition to reviewing the relevant sources of input, consider the questions below.
•
What were the top contributions the employee made to team success?
•
What were actual results relative to each “Individual Goal” set at the beginning of the
performance year?
•
How did you observe the employee demonstrating the Success Factors over the course of
the year? Think about specific actions and behaviors.
•
Did the employee work to his or her full potential? Where would you have expected
greater effort and contributions?
•
What knowledge and skills did the employee develop over the course of the year?
•
What strengths did the employee leverage in accomplishing results? What weaknesses
got in the way of full effectiveness?
Employee Participation in the Process
There are two tools employees can use to prepare for annual performance evaluation discussions.
The employee self-evaluation process does not involve assignment of a performance rating; managers
have sole responsibility for rating performance
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Individual Performance Evaluation Steps
Page 63 of 66
Preparing for the Performance Evaluation Meeting
Page 64 of 66
Conducting the Performance Evaluation Meeting
Page 65 of 66
ASSIGNING PERFORMANCE RATINGS
In assigning performance ratings, watch for the following common types of “rater error”:
Contrast Effect
Tendency to evaluate a person relative to other individuals
rather than the rating scale
Recency Effect
Over-weighting of recent events, either favorable or
unfavorable
Central Tendency
Rating all employees similarly; no highs or lows
Sunflower Effect
Desire to give good news versus difficult messages
Halo Effect
Rating someone as excelling in every aspect of performance.
Also, be careful of rating someone as deficient in every
aspect of performance if they are deficient in certain key
areas
Similar-To-Me or Not-Like-Me
Personal bias on the part of the rater
Grade Inflation
Combination of the “Halo” and “Central Tendency” effect
Page 66 of 66

Employee Performance Management Process

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