facilitated by:facilitated by:

Dindy RobinsonDindy Robinson

Director of Director of Compensation/HRISCompensation/HRIS

Texas Christian UniversityTexas Christian University

d.robinson@tcu.edud.robinson@tcu.edu

Performance Management:

Focus on Performance Appraisals

A pat on the back is only a few vertebrae removed from a kick in the pants, but is miles ahead in

results.V. Wilcox

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Course ObjectivesCourse Objectives

After completing this workshop, the learner will be able to:

Conduct meaningful performance appraisal discussions

Be prepared for some common challenges of the appraisal process

Set effective goals with employees

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Your ExperienceYour Experience

Think about your Think about your past performance past performance reviews:reviews: What thoughts come What thoughts come

to mind?to mind?

What went right, what What went right, what went wrong?went wrong?

http://youtu.be/JV4NPpbAyNg 44

An iterative process of goal-setting, An iterative process of goal-setting,

communication, observation and evaluation to communication, observation and evaluation to

support, retain and develop exceptional support, retain and develop exceptional

employees for organizational success.employees for organizational success.

Performance Performance ManagementManagement

CommunicateCommunicate

ObserveObserveEvaluateEvaluate

Set GoalsSet Goals

Why ManageWhy Manage

Performance?Performance?

Curb or redirect non-productive Curb or redirect non-productive activitiesactivities

Encourage and reward behaviors aligned with Encourage and reward behaviors aligned with

organizational mission and goalsorganizational mission and goals

To reach organizational mission and To reach organizational mission and goalsgoals

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Reasons for Performance Reasons for Performance AppraisalsAppraisals

Benefits to Employers:Benefits to Employers: Helps to improve employee relations and Helps to improve employee relations and

productivityproductivity Serves as an effective retention toolServes as an effective retention tool Provides a paper trail for addressing Provides a paper trail for addressing

performance or disciplinary problemsperformance or disciplinary problems Demonstrates organization’s Demonstrates organization’s

commitment to employee successcommitment to employee success Provides valuable feedback for managersProvides valuable feedback for managers

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Reasons for Performance Reasons for Performance AppraisalsAppraisals

Benefits to Employees:Benefits to Employees: Provides a chance for employees to ask Provides a chance for employees to ask

questions and tell you their sense of what questions and tell you their sense of what they’ve accomplishedthey’ve accomplished

Lets employee know his/her strengths and Lets employee know his/her strengths and areas that need improvementareas that need improvement

Allows employees to take responsibility for Allows employees to take responsibility for their performancetheir performance

Lets employees know what’s expected of Lets employees know what’s expected of them; creates mutual understand of job them; creates mutual understand of job dutiesduties

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What do Employees What do Employees Expect?Expect?

http://youtu.be/FjBQc2bCFk8

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What do Employees What do Employees Deserve?Deserve?

Clear expectationsClear expectations

Positive/constructive Positive/constructive feedback on a regular basisfeedback on a regular basis

Involvement in goal settingInvolvement in goal setting

Be treated fairly and Be treated fairly and consistentlyconsistently

Sharing of information and Sharing of information and resourcesresources

Job/career enrichment Job/career enrichment opportunitiesopportunities

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Planning for the ProcessPlanning for the Process

Review employee’s Review employee’s job descriptionjob description

Understand the Understand the performance performance measurement system measurement system

Review notes and Review notes and documentation from documentation from the yearthe year

Understand employee Understand employee expectationsexpectations

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Planning for the ProcessPlanning for the Process

If you are just now If you are just now starting on the starting on the process, you are process, you are TOO LATE!TOO LATE!

Performance Performance Management is an Management is an ongoing process!!ongoing process!!

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The Top RatingThe Top Rating Clearly considered to be Clearly considered to be exceptionalexceptional

performers. performers. Consistently exceed the communicated Consistently exceed the communicated

expectations of the job function, responsibility expectations of the job function, responsibility or goal. or goal.

Demonstrate unique understanding of work Demonstrate unique understanding of work beyond assigned area of responsibility.beyond assigned area of responsibility.

Identify needs and provide unique, innovative Identify needs and provide unique, innovative and workable solutions to problems.  and workable solutions to problems. 

Achievements and abilities are obvious to Achievements and abilities are obvious to subordinates, peers, managers and customers.subordinates, peers, managers and customers.

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The Middle RatingsThe Middle Ratings These employees are “on track” and fully These employees are “on track” and fully

achieve expectations. achieve expectations. Independently and competently perform all Independently and competently perform all

aspects of the job function, responsibility, or aspects of the job function, responsibility, or goal.goal.

Performance consistently meets the Performance consistently meets the requirements, standards, or objectives of the requirements, standards, or objectives of the job.job.

Occasionally Occasionally exceeds exceeds requirements. requirements. Recognizes, participates in, and adjusts to Recognizes, participates in, and adjusts to

changing situations and work assignments. changing situations and work assignments.

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The Developmental RatingThe Developmental Rating

Generally meet expectations required Generally meet expectations required for the position.for the position.

Competently perform Competently perform mostmost aspects of aspects of the job function, responsibility or goal. the job function, responsibility or goal.

May require improvement in one or May require improvement in one or two areas of consistent weakness.two areas of consistent weakness.

Employee requires coaching in a weak Employee requires coaching in a weak area or may need additional resources area or may need additional resources or training to meet expectations. or training to meet expectations.

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The Bottom RatingThe Bottom Rating

Employees with this rating fail to Employees with this rating fail to satisfactorily perform most aspects of satisfactorily perform most aspects of the position (or function). the position (or function).

Performance levels are Performance levels are belowbelow established requirements for the job.established requirements for the job.

Employee requires close guidance and Employee requires close guidance and direction in order to perform routine job direction in order to perform routine job duties.duties.

Performance may impede the work of Performance may impede the work of others and the unit.others and the unit.

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Scheduling the Scheduling the MeetingMeeting

NoticeNotice

LocationLocation

Self-evaluationSelf-evaluation

Appropriate formAppropriate form

CommentsComments

DocumentationDocumentation

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Filling out the FormFilling out the Form Review notesReview notes

Behaviors vs. value Behaviors vs. value judgmentsjudgments

Align categories on Align categories on form with form with employee’s job employee’s job responsibilitiesresponsibilities

Optional categoriesOptional categories

Set goalsSet goals

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Setting Effective GoalsSetting Effective Goals

Quick TipsQuick Tips S.M.A.R.T. GoalsS.M.A.R.T. Goals

SpecificSpecific MeasurableMeasurable Achievable/Agreed Achievable/Agreed

UponUpon RelevantRelevant Time-boundTime-bound

AlignedAligned AdjustableAdjustable

CommunicateCommunicate

ObserveObserveEvaluateEvaluate

Set GoalsSet Goals

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Goals and MetricsGoals and Metrics

A goal is a statement of results that are to be A goal is a statement of results that are to be achieved. Goals describe: achieved. Goals describe: Conditions that will exist when the desired outcome Conditions that will exist when the desired outcome

has been accomplishedhas been accomplished A time frame during which the outcome is to be A time frame during which the outcome is to be

completedcompleted Resources the organization is willing to commit to Resources the organization is willing to commit to

achieve the desired result.achieve the desired result. Ex: “To increase the flow of invoices through the Ex: “To increase the flow of invoices through the

Accounting Department to a minimum of 150 per day Accounting Department to a minimum of 150 per day by October 1. The total cost increase to accomplish this by October 1. The total cost increase to accomplish this should not exceed $550.”should not exceed $550.”

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Goals and MetricsGoals and Metrics

A metric is an ongoing performance A metric is an ongoing performance criteria that must be met time and time criteria that must be met time and time again.again. Refer to such things as attendance, breakage, Refer to such things as attendance, breakage,

manufacturing tolerances, production rates, safety manufacturing tolerances, production rates, safety standards, dollar amounts.standards, dollar amounts.

Most effective when established with the Most effective when established with the participation of those who must meet them.participation of those who must meet them.

Ex: The departmental filing backlog should not Ex: The departmental filing backlog should not exceed one week. Any record requested should be exceed one week. Any record requested should be available within five minutes of the request.available within five minutes of the request.

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Goal /Metric/NeitherGoal /Metric/Neither

Breakage in the kitchen should be kept to a Breakage in the kitchen should be kept to a minimum.minimum.

To eliminate maintenance coding errors for existing To eliminate maintenance coding errors for existing computer programs by October 1, at a cost not to computer programs by October 1, at a cost not to exceed 40 work hours.exceed 40 work hours.

Reduce the cost of ongoing operations by January 1.Reduce the cost of ongoing operations by January 1. Telephones are to be answered quickly and Telephones are to be answered quickly and

messages taken when necessary.messages taken when necessary. To reduce burner maintenance expense by 15% To reduce burner maintenance expense by 15%

before November 15, at a one time cost not to before November 15, at a one time cost not to exceed $10,000.exceed $10,000.

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Goal /Metric/NeitherGoal /Metric/Neither

To increase sales of men’s watches by 10% before To increase sales of men’s watches by 10% before June 1, with no increase in expense.June 1, with no increase in expense.

Reduce lost time because of accidents appreciably Reduce lost time because of accidents appreciably by year end.by year end.

Errors in recording class enrollment will not exceed Errors in recording class enrollment will not exceed 2% of the total monthly enrollment.2% of the total monthly enrollment.

Telephones should be answered after no more than Telephones should be answered after no more than 2 rings. Telephone manners are expected to follow 2 rings. Telephone manners are expected to follow that described in the company handbook. Messages that described in the company handbook. Messages should include date, time of call, relevant names and should include date, time of call, relevant names and numbers, and the nature of the call.numbers, and the nature of the call.

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Common MistakesCommon Mistakes StereotypeStereotype RecencyRecency Central Central

TendencyTendency LeniencyLeniency Horns/Halo Horns/Halo

EffectEffect ContrastContrast ProjectionProjection PrejudgmentPrejudgment 2424

Performance Appraisal Performance Appraisal PracticePractice

Review Performance Review Performance Appraisal for items that Appraisal for items that are:are: Under-ratedUnder-rated Over-ratedOver-rated Poorly statedPoorly stated

Refer to employee Refer to employee backgroundbackground

Rewrite Performance Rewrite Performance Appraisal using tools Appraisal using tools reviewed todayreviewed today

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Conduct the MeetingConduct the Meeting Control the environmentControl the environment

State the purpose of the State the purpose of the discussiondiscussion

Discuss employee’s self Discuss employee’s self reviewreview

Let employee talkLet employee talk

Be aware of all three Be aware of all three parts of the messages parts of the messages you send:you send: WordsWords ToneTone Body LanguageBody Language http://youtu.be/09bp__4Muh8

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Conduct the MeetingConduct the Meeting

Give specific examples of strengths and Give specific examples of strengths and areas for improvementareas for improvement

Ask open-ended questionsAsk open-ended questions Be calm and objective; don’t blame or Be calm and objective; don’t blame or

attackattack Focus on the performance, not the personFocus on the performance, not the person ListenListen Set specific goals and timelines; action planSet specific goals and timelines; action plan

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CommonCommonPerformance Performance AppraisalAppraisalChallengesChallenges

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Common ProblemsCommon Problems

Failure to prepare for the interviewFailure to prepare for the interview Failure to listen (80-20 ratio)Failure to listen (80-20 ratio) Failure to maintain objectivityFailure to maintain objectivity Failure to provide feedback—positive and/or Failure to provide feedback—positive and/or

correctivecorrective Failure to follow-upFailure to follow-up Failure to document performance – both Failure to document performance – both

good and badgood and bad

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Common ProblemsCommon Problems

Misusing the performance evaluation Misusing the performance evaluation process to address a disciplinary problemprocess to address a disciplinary problem

Element of surpriseElement of surprise Relying on impressions/rumors, rather than Relying on impressions/rumors, rather than

factsfacts Inconsistent application of performance Inconsistent application of performance

evaluation criteriaevaluation criteria Interpersonal issuesInterpersonal issues Holding employees responsible for Holding employees responsible for

events/problems beyond their controlevents/problems beyond their control

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Discussing Unsatisfactory Discussing Unsatisfactory PerformancePerformance

I want to warn you that this will not be what you I want to warn you that this will not be what you are used to.are used to.

I notice on your self appraisal you have given I notice on your self appraisal you have given yourself a top rating for quality. Are you aware of yourself a top rating for quality. Are you aware of your error rate versus the departmental average?your error rate versus the departmental average?

We seem to be running about two weeks behind We seem to be running about two weeks behind schedule; can you tell me why and what we can schedule; can you tell me why and what we can do to catch up?do to catch up?

Fifty percent of your staff resigned in the last Fifty percent of your staff resigned in the last quarter. To what do you attribute that?quarter. To what do you attribute that?

Are you aware of the standards for quality we Are you aware of the standards for quality we expect on this item?expect on this item? 3131

Discussing Unsatisfactory Discussing Unsatisfactory PerformancePerformance

Can you explain what caused this?Can you explain what caused this? What do you suggest we do to get What do you suggest we do to get

this done on time in the future?this done on time in the future? What possibilities do you see for What possibilities do you see for

resolving this?resolving this?

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Avoid Discriminatory Avoid Discriminatory BehaviorBehavior

Avoid favoritismAvoid favoritism Base the appraisal on job-related criteriaBase the appraisal on job-related criteria Base judgments on factual data instead of Base judgments on factual data instead of

general impressionsgeneral impressions Give all employees a clear understanding of Give all employees a clear understanding of

their performance standardstheir performance standards Maintain good, accurate documentationMaintain good, accurate documentation Be consistentBe consistent

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Things to RememberThings to Remember

Don’t make hasty judgments.Don’t make hasty judgments. Be aware of nonverbals – yours and the Be aware of nonverbals – yours and the

employee’semployee’s Don’t be afraid of silenceDon’t be afraid of silence Don’t interrupt when the employee is Don’t interrupt when the employee is

speakingspeaking Use “I” statementsUse “I” statements Say what you meanSay what you mean

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Positive FeedbackPositive Feedback

Behavior:Behavior: What aspects of the What aspects of the employee’s behavior do you find employee’s behavior do you find valuable?valuable?

Effect:Effect: What positive effect does the What positive effect does the performance have?performance have?

Thank You:Thank You: Where can you find Where can you find opportunities to use this expression opportunities to use this expression more?more?

Source: Donna Berry, Charles Cadwell, and Joe Fehrmann. 50 Activities for Coaching/Mentoring. 3535

Negative (Corrective) Negative (Corrective) FeedbackFeedback

BehaviorBehavior:: state the specific behavior that state the specific behavior that is unacceptableis unacceptable

Effect:Effect: Explain why the behavior is Explain why the behavior is unacceptableunacceptable

Expectation:Expectation: Tell the employee what you Tell the employee what you expect to happen to change the behaviorexpect to happen to change the behavior

Result:Result: Let the employee know what will Let the employee know what will happen if the behavior continues or happen if the behavior continues or changeschanges

Source: Charles Cadwell. The Human Touch Performance Appraisal. 3636

The Defensive/Hostile EmployeeThe Defensive/Hostile Employee

Don’t object to the employee’s Don’t object to the employee’s reaction and become defensivereaction and become defensive

Use restatement to reflect his/her Use restatement to reflect his/her negative commentsnegative comments

Never accept abuse from an employee Never accept abuse from an employee under any conditionsunder any conditions

Postpone the interviewPostpone the interview Have the employee prepare a written Have the employee prepare a written

summary of his/her complaintssummary of his/her complaints3737

Follow-upFollow-up

Provide frequent communication and Provide frequent communication and feedback (positive and corrective)feedback (positive and corrective)

Maintain written records (positive and Maintain written records (positive and negative)negative)

Respond promptly to requests for helpRespond promptly to requests for help Conduct interim reviewsConduct interim reviews

Review goals/action plans and timelinesReview goals/action plans and timelines Evaluate your own performance and its Evaluate your own performance and its

effect on your employeeseffect on your employees

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SummarySummary

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

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It is literally true that you It is literally true that you can succeed best and can succeed best and

quickest by helping others quickest by helping others to succeed– Napoleon Hillto succeed– Napoleon Hill

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