Performance Review Training

4 Step Approach to Conducting Successful Performance Reviews

February 2009

Common Review Problems• Review is not tied to actual position

responsibilities.• Lack of evidence supporting appraisal

judgments.• Unfair appraisal: Bias & Leniency• Insufficient explanations• Vague, immeasurable, or unrealistic goals• Lack of subordinate “buy-in”• Poorly conducted meeting• Sending mixed messages

4 Step Approach1. Data Collection:

A. Evaluate the PositionB. Collect Data on the Jobholder

2. Evaluate Performance:A. Make the Process FairB. Avoid Rating ErrorsC. Be Courageous

3. Write the Review:A. Write Effective CommentsB. Develop SMART Goals

4. Performance Review Discussion:A. LogisticsB. Employee Self Appraisal (optional)C. Plan the DiscussionD. Conduct the Meeting

STEP 1: Data Collection

• Collecting data about the employee’s performance that is accurate, representative, objective and complete is the most challenging part of the process.

• The better a manager does at collecting the data the easier it will be to complete and conduct the appraisal.

1.A. Evaluate the Position• Does the position description accurately reflect your

expectations of the job?• Define Success in the Position:

– Read the position description for the employee being evaluated and consider:

• The most important ways a person doing the job should spend their time.

• The three most important duties of someone in the position.• How is success measured for the position.

• This exercise provides a standard to measure performance against expectations.

• Before you can ask how well the person is doing you need to determine:– What you expect them to do?– What expectations have been communicated to them?

1.B. Collect Data on the Jobholder

– Objective Data– Countable, Quantifiable, Factual– Examples: Dollars Raised, Students

Admitted, Projects Completed on Time, Days Absent or Late, Calls Made per Day.

– Positives: Easy to Collect & Discuss, Inarguable,

– Negative: Data alone does not tell us whether performance was good or bad – it needs to be measured against a standard.

1.B. Data on the Jobholder (continued)

• Critical Incidents– Situations in which an employee acted in a way

that was either especially effective or especially ineffective in accomplishing parts of their job.

– Does anyone keep a CI log for employees? – Provides ideal information for appraisal:

• Reinforces positive performance – roadmap for success

• Curbs poor performance – what they need to do differently

• Concrete examples are the most effective and defensible feedback method.

– Managers should inform employees of Critical Incidents throughout the year – not just at appraisal time!

1.B. Data on the Jobholder (continued)

• Behavioral Observations:– Management By Walking Around (MBWA)

• As you walk around observing your employees on a daily basis and interacting with them you get a thorough understanding of how the person interacts with co-workers and customers.

• Provides an abundance of data on each individual’s successes and shortcomings.

• Make notes of your observations. • Over time this will provide examples and

evidence to support your performance judgments.

STEP 2: Evaluate the Performance• Before you complete the form ask yourself –

What is the core message that you want to communicate?– If you have not determined the precise message that

you want to send it’s unlikely that the employee will learn what you want them to learn from the experience.

• Start with the end in mind. Do you want to tell the employee....– They are performing well above expectations and

you want to see this level of effort continued.– They are performing at an average level and you are

satisfied with their level of effort.– They need to shape up or ship out!

2.A: Make the process Fair

• To conduct a fair, unprejudiced, and objective appraisal make the following assumptions:– The purpose of the performance appraisal is to

further the University’s Mission by strengthening the performance of every employee.

– You will never have all of the facts and, in spite of that you must still do the job.

– People genuinely want to know what their boss thinks of their performance.

– People are capable of handling the truth about their performance, even when that truth is unpleasant.

– It is better to demand more of people than it is to settle for whatever level of performance that they choose to give.

2.B: Be Aware of Possible Rating Errors

• Rating Errors: In spite of a manager’s good faith efforts to maintain an impartial manner in writing every appraisal, errors in judgment can arise.

• Common Rating Errors:– Contrast Effect: Rating an individual in comparison

to others rather than against the job standards.– Recency Effect: Tendency of minor events that have

happened recently to have more influence on rating than major events of many months ago.

– Central Tendency: Inclination to rate people in the middle of the scale even when their performance merits a higher or lower rating.

– Halo/Horns Effect: Generalizations from one aspect of an individual’s performance applied to all areas of performance.

2.C: Be Courageous

• A higher than deserved rating hurts the entire University:– Impacts well performing co-workers who

become de-motivated when they see that problems are not dealt with.

– Limits the Institution’s ability to meet its Mission effectively.

– Opens the door for lawsuits when the manager finally gets tired of the poor performance, wants to terminate the underperforming employee and there is no evidence in the file to support the desired action.

STEP 3: Write the Review

• With all of the data at hand and the resolve to avoid rating errors and leniency you are now ready to write the review.

• You should try to make a comment for each characteristic that is related to the position being evaluated.

• You should list key job related tasks on the second page of the form and provide a rating and comment.

3.A: Write Effective Comments

• When commenting on a characteristic you should move from the general to the specific (1,2,3 approach).1. Overall statement summarizing how the

individual did in the particular area.2. More specific example supporting the overall

assessment from the data that you have collected.

3. Set a higher goal, or encourage the individual to continue performing at the already fully acceptable level, or set a specific target for needed performance improvements.

3.A: Write Effective Comments (continued)

• Highlight the Best Evidence– When performance is exceptionally good or

bad in one particular area you do not need to put every single example on the form – but you should provide more than one.

• Choose 2 to 3 of the best examples and put them in the form.

• Additional examples can be given verbally during the evaluation if needed.

3.A: Write Effective Comments (continued)

• Your comments should be able to answer an unrelated third party asking the following:• How do you know that?• What led you to come to that judgment?• Why do you feel that way?• Can you provide an example?

– If you cannot answer these questions it does not necessarily mean that you need to change the rating it just means that you have to do a better job of supporting your assumption with evidence.

3.B: Develop SMART Goals• Specific: A specific goal has a much better chance of

being accomplished. To set a specific goal you must answer the six “W” questions: Who, What, Where, Why, When, & Which.

• Measureable: Establish concrete criteria for measuring progress toward the attainment of each goal that you set. Define what success will look like. If you can’t measure it you can’t manage it!

• Attainable: Does the person have the wherewithal to do what is required to attain the goal? A goal needs to be a stretch that can be accomplished with a real commitment.

• Realistic: Not a synonym for “easy”, in this case it means “doable”.

• Timely: A goal must be grounded in a time frame. Without a timeframe a goal is just a wish.

3.B: Develop SMART Goals (continued)– Supervisor comments

• This space can be used to:– Evaluate accomplishment of specific goals and

objectives that were set during prior year’s evaluation.

– Establish new goals and objectives for the upcoming year.

– Any other work related comments necessary to form the employee’s understanding of performance & expectations.

– Suggestions for Improvement• This space can be used to offer specific improvement

goals and targets. – Personal Development/Training

• This space should be used to record any development/training goals or plans which are required to address current deficiencies or intended to assist employee in gaining more competencies which would be beneficial to the department and/or the University in general.

4. Performance Appraisal Discussion

• 4.A. Logistics:– Give the employee adequate time to prepare for the

discussion (at least a week’s notice is suggested).– Schedule a time that is convenient for both of you.– Do not schedule at the very end of the day where

the need to wrap things up will preclude extended discussion of important points.

– Hold the meeting in your private office – if your office is not private then conduct the meeting in a conference room.

– Do not conduct the discussion in a non-business setting such as a coffee shop.

4.B. Employee Self Appraisal (optional)• When Advising the employee of the meeting you

may want to ask them to conduct a self appraisal, by requesting that they answer the following questions:– Do you have any questions about what is expected of

you on the job?– What do you consider to be your most important

accomplishments in the past twelve months?– What job related areas do you view as strengths?– What job related areas do you view as weaknesses?– What do you feel you need to do to improve your

performance? What can I or the University to help you improve?

– Please tell me about any special acknowledgements, awards, activities or recognitions that I should be aware of.

– Are there any goals that you would like to set for the future?

4.C. Planning for the Discussion

• Review the completed performance appraisal form.

• Review the performance documentation.• Review the job description.• Establish an agenda for the meeting.• Develop a discussion plan that focuses on

1-3 core messages. – Studies show that employees retain little of the

totality of information communicated during a performance appraisal discussion. What they often do remember is irrelevant or just the opposite of what the appraiser meant to say.

Possible Core MessagesFinal Rating Most Likely Prospect Discussion Objective

Promotion Review opportunities

Growth in present assignment Make development plansMeets (vertical load)

RequirementsBroadened assignment Review possibility of extending(horizontal load) responsibilities

No change in responsibilities Decide how to maintain currentlevel

Performance correctable Plan correction / gain committmentDoes not MeetRequirements

Performance uncorrectable Consider reassignment and/ orprepare for termination

4.D. Conducting the Meeting

• Open the discussion by laying out the agenda for the meeting.

• Allow the employee to discuss their self appraisal first – putting the conversational ball in their court.

• Confirm and discuss the areas of agreement prior to moving to other items where there may be disagreement.

• Discuss core message(s) with the employee.• Wrap up meeting by summarizing the key

points that were discussed.