PERFORMANCE PLANNING & EVALUATION POLICY FOR

PROFESSIONAL & PROFESSIONAL FACULTY

Informational Session

COLLEGE OF WILLIAM & MARY/VIMS

Training Objectives

The Purpose of Performance Management

Performance Management Cycle

Roles & Responsibilities

Methods of Assessment

Understanding the Ratings

Training Objectives (cont.)

Conducting the Performance Review Meeting

Appeal Process

Best Practices and Common Pitfalls in Assessing

Performance

The Purpose of the Policy

Designed to establish a system for:

aligning performance goals with University strategic goals;

setting performance & career development goals & objectives;

monitoring employee progress, providing constructive feedback, & evaluating performance.

College’s Strategic

Objectives

Unit’s Strategic

Objectives

Employee’s Annual Goals

Employee’s Developmen

t Goals

Aligning Goals

College: Explain and promote

W&M through a more effective

communications strategy

Unit: Develop an integrated

communications strategy

consistent with W&M Branding

Employee: Ensure all

communication meets W&M

Branding standards

Development: Increase

knowledge of W&M branding

strategies

Example of Goal Alignment

Development of a common performance culture;

Individual, team and organizational effectiveness;

Alignment of individual performance with College’s and Unit’s strategic objectives;

Fostering on-going feedback and competency development;

Expected Outcomes

Set forth roles, responsibilities and performance standards;

Lay out assessment criteria;

Provide information for:

Compensation decisions Rewards & Recognition Development Plan Corrective Actions

Expected Outcomes (cont.)

Performance management is a communication tool that enables employees to know exactly where they stand and what they need to focus on to improve their own performance and to grow within the organization.

The Essence of Performance Management

Stages of Performance Cycle

Phase IPlanning

Phase IIMonitoring

Phase IIIEvaluation

Phase IPlanning

Supervisor

• Seeks input from employee regarding annual performance & professional development goals

• Communicates & documents employee’s performance plan and method of evaluation

• Reviews position description for accuracy

• Meets with employee to discuss and finalize

Employee • Collaborates with supervisor to develop annual performance and professional development goal

• Collaborates with supervisor to ensure accuracy of position description

• Clarifies expectations & understands how objectives will be rated

Roles and Responsibilities

Employee Position DescriptionA document that contains info about the position, core responsibilities, required qualifications, etc.

Starting Point

Selecting Method of Assessment

In order to accommodate various types of professional/professional faculty positions, the policy provides supervisors latitude in selecting the method of performance planning, evaluation and documentation most appropriate for a position.

The supervisor informs the employee at the beginning of the cycle the primary method that will be used for evaluating the employee’s performance.

Phase IPlanning

Supervisory evaluations: top-down performance evaluation conducted by a direct supervisor

Peer-to-peer: performance evaluation conducted by a colleague in an equal position level and typically in the same functional area

360° Assessment: provides a more holistic view of the employee's performance by attaining feedback from the employee, subordinates, superiors and peers

Self–evaluation: completed by employee and usually complimented by supervisor’s evaluation on the same factors

Phase IPlanningMethods of Assessment

Examples

Setting Goals

Performance plans must be established within 30 days of the new performance year.

For new employees hired before March 1st plans must be established within 30 days of the hire date and will cover the remainder of the current performance year.

Phase IPlanning

For new employees hired after March 1st plans must be established within 30 days of the hire date and will cover from the hire date through the next performance year.

Job knowledge

Leadership skills

Problem solving

Relationship building

Communication

Organizational citizenship

Basic Competencies

Phase IPlanning

EMPLOYEE CAREER DEVELOPMENT

What you do How you do it

Performance Planning Model

GET THE WORK DONE!ACHIEVE RESULTS

Annual GoalsDuties/ResponsibilitiesSpecial Projects

Job KnowledgeLeadership SkillsProblem SolvingRelationship BuildingCommunicationOrganizational Citizenship

Phase IPlanning

Phase IIMonitoring

Supervisor

• Monitors employee performance during performance year & communicates with employee on a regular basis about performance

• Conducts at least one interim discussion and documents discussion

• Addresses instances of poor performance in a timely manner

• Assists employees whose performance has been identified as needing improvement

Employee

• Manages own performance to achieve goals & communicates with supervisor circumstances that may affect goal achievement

• Seeks performance feedback from supervisor and internal/external customers

• Addresses aspects of performance identified as needing improvement

Roles and Responsibilities

Employee InvolvementEmployees are more likely to consider the system as being fair if they have involvement and understand the process.

Employees are more likely to demonstrate genuine commitment to goals and performance.

Phase IIMonitoring

Supervisor

Supervisor’s FileA confidential file for each employee containing any notes, Memos, work samples, interim evaluation, previous employee evaluations, disciplinary actions, etc.

Performance DocumentationBoth Employee and Supervisor are encouraged to maintain documentation in support of performance evaluation.

Employee

“Me” FileA confidential file containing any notes, Memos, work samples, etc.

Phase IIMonitoring

Phase IIIEvaluation

Supervisor

• Provides employees opportunity for self-assessment

• Prepares annual performance evaluations and documents significant performance issues

• Conducts meetings with employees individually to discuss evaluations and development needs

• Provides chosen performance evaluation documentation for review and approval by the reviewer

Employee

• Provides a self assessment to supervisor• Participates in performance discussions• Addresses aspects of performance

identified as needing improvement

Roles and Responsibilities

Steps of Performance Assessment

Performance Evaluation

Supervisor’s

Documentation

Interim Evaluation

s

Employee Self

Assessment

Phase IIIEvaluation

ResultsWhat was accomplished

CompetenciesHow the work was accomplished

Performance to expectations

Achievement of goals

Business contribution

Evaluate Results & Competencies

Job knowledge

Leadership skills

Problem solving

Relationship building

Communication

Organizational citizenship

Phase IIIEvaluation

Rating ScaleExceptional An employee whose work is characterized by:

• sustaining exemplary performance throughout the rating period;• providing excellent service in support of the mission of the organization;• consistently exceeding and sometimes far exceeding the criteria of the job responsibilities;• consistently demonstrating initiative for the benefit of the College and Department; • demonstrating full mastery of knowledge, skills and abilities, required work, and basic competencies.

High An employee whose work is characterized by:• consistently high level of accomplishment;• often exceeding performance expectations;• providing significant service in support of the mission of the organization;• independently demonstrating highly proficient knowledge, skills, and abilities, required work and behavioral competencies.

Satisfactory An employee whose work is characterized by;• achieving results at a level that generally meet and may at times exceed performance targets;• providing commendable support to the contributions of the organization;• demonstrating fully proficient knowledge, skills and abilities, required work, and behavioral competencies; with only a few areas in need of some improvement.

Fair An employee whose work:• requires substantive improvement to fully meet the performance targets;• provides basic support to the mission of the organization;• is at the beginner or developmental stage of demonstrable knowledge, skills and abilities;• exhibits inadequate behavioral competencies;• requires guidance and training to improve performance.

Unsatisfactory(May conduct an interim performance evaluation and improvement plan (See Appointment & Terminations policy )

An employee whose work:• fails to meet the criteria of the job function;• falls short of performance targets;• provides inadequate support to the mission;• performs below the beginner or developmental stage of demonstrable knowledge, skills and abilities; required work and behavioral competencies.

Performance = 5

Competencies= 1

Performance = 5

Competencies= 2

Performance = 5

Competencies = 3

Performance = 5

Competencies = 4

Performance = 5

Competencies = 5

Performance = 4

Competencies = 1

Performance = 4

Competencies= 2

Performance = 4

Competencies= 3

Performance = 4

Competencies = 4

Performance = 4

Competencies = 5

Performance = 3

Competencies = 1

Performance = 3

Competencies = 2

Performance = 3

Competencies = 3

Performance = 3

Competencies = 4

Performance = 3

Competencies = 5

Performance = 2

Competencies = 1

Performance = 2

Competencies = 2

Performance = 2

Competencies = 3

Performance = 2

Competencies = 4

Performance = 2

Competencies = 5

Performance = 1

Competencies = 1

Performance = 1

Competencies= 2

Performance = 1

Competencies= 3

Performance = 1

Competencies= 4

Performance = 1

Competencies = 5

Rating Guide

Competencies

Per

form

ance

1

1 2

2

3

3

4

4

5

5 Exceptional

High

Satisfactory

Fair

Unsatisfactory

During the Meeting:

Encourage dialogue;

Be specific, use plenty of examples;

Focus on the issues, not on the person;

Close on a positive note and make arrangements for follow-up with next-steps.

Performance Review Meeting

Follow up includes:1. A written development plan with new goals, timelines

and clarified standards of performance.

2. Additional meetings between employee and supervisor.

3. Interim evaluations.

4. Training to build on strengths and address the needs.

5. Coaching and mentoring.

Performance Review Meeting

Communication

Collaborati

on

Coaching

Best Practices

http://www.wm.edu/offices/hr/managerssupervisors/performance-b/index.php

Common PitfallsUsing evaluation as a corrective action tool.

Leniency error: tendency to give higher ratings than warranted.

Severity error: tendency to give lower ratings than warranted.

Opportunity bias: give credit or fault an employee for factors beyond his/her control.

“Halo” effect: generalization from one good trait.

“Pitchfork” effect: generalization from one weak trait.

Recency bias: give more importance to recent performance and ignoring the past.

Rating the job rather than individual: applying job criticality factor.

Length of service bias: credit for longevity of service or penalizing for being new.

1. Employee should discuss issue with supervisor within 10 business days of having received the evaluation for reconsideration.

2. Supervisor may decline to reconsider, or reconsider it and either affirm or revise the evaluation.

3. If issue is not resolved, employee may file a written appeal with the reviewer within 10 business days of receiving the supervisor’s response.

4. Reviewer will discuss the appeal with the employee and the supervisor. Within 10 business days of receiving the appeal the reviewer must respond in writing to the employee. The response should indicate:

reviewer agrees with the supervisor’s evaluation; or

supervisor will revise the evaluation or complete a new evaluation

The reviewer’s decision is final; however employees alleging policy violations may have access to the Professional & Professional Faculty Grievance Procedure.

Appeal Process

http://www.wm.edu/offices/hr/documents/forms/professional-professional_faculty_performance_checklist.pdf

Performance Evaluation Cover Form

Phase IJuly - August

Phase IISept - March

Phase IIIApril - June

Goal Setting

Performance, Monitoring,Feedback

Mid-year Review

Annual Review

Performance Management Timetable

Dec-Jan

Due date set by Provost

Questions and Answers