What is Performance Management?

Performance Management

•Performance Management provides you and your employee with a

opportunity to discuss development goals and jointly create a plan for
achieving those goals.

•Development plans should be written in a way that allows the

employee to professionally grow while also contributing to
university goals

•Organizations that manage people right will out perform

organizations that don’t by 30-40%
 Performance Management

Employees should see alignment

from their goals to the University Goals
University’s goals

Division Goals

Department Goals

Individual Goals
 The Wrong Reasons: Doing More Harm Than Good

•To Criticize Past Performance

•Backward Looking
•Limiting Focus to Short Term Goals
•Assessment Tool to Closely Tied Compensation
•Treated by Supervisors as Perfunctory Chore
•Provides No Good Feedback to Managers
•Creates Bad Blood between Supervisors and Employees-
Employees and Colleagues
 The Right Reasons: Compass for the Future

•Document Performance
9Employees Want to Know how they are doing
9Ongoing Communication between Employee and Supervisor
•Set Goals
•Reward Accomplishment
•Map Employee Development
 THE PERFORMANCE MANAGEMENT CYCLE:
The cycle is continuous and begins with Planning.

1. Planning: 2. Development:
Establish link between organizational, Discuss development of employee’s work-related
department, team and individual objectives. skills, knowledge and experience.
Identify and agree on important job responsibilities Base the development plan on both
and individual needs. organizational and individual needs.
Create standards of expected performance. Provide opportunities for development.

3. Coaching:
4. Evaluation: Observe and record the employee’s
Development
Review the employee’s self performance and provide feedback.
evaluation. Planning

Recognize accomplishments
Summarize and rate the Coaching

employee’s performance Resolve performance problems

Hold a meeting to discuss the Revise performance and/or development
Evaluation
employee’s performance plans as needed
Continue the cycle Hold a mid year review.
 Preparing for the Discussion

Supervisor:

•Schedule time and date and confirm in advance

•Have employee prepare for the meeting
•Review Employee’s self evaluation
•Have performance documentation available for
referencing
•Be prepared to respond to questions your employee may
have about links to pay, effective date, performance
improvement
 Preparing for the Discussion

Employee:

•Evaluate their performance for the year

•Develop action steps for performance improvement(s)
•Prepare development plan, based on their strengths and areas for
Improvement
•Give a copy of employee self-evaluation to supervisor at least one
week before scheduled meeting
 What to do if the employee disagrees with the Performance Appraisal

Disagreements over the written performance appraisal may arise if the

employee does not believe he or she has been reviewed fairly, or if the
employee is surprised by some of the content of the appraisal.
If a disagreement occurs, explore what is behind the disagreement and remain
open minded. Use the disagreement as an opportunity to identify
expectations and reach an understanding. Remain calm and clear-headed
about options. Some options include:
•Editing some of the words in the appraisal
•Changing a review if the employee makes a valid argument for doing so
•Suggesting that the employee attach his or her comments to the appraisal
document
An employee may bring his or her concerns to the next management level.
The employee can also meet with HR to discuss any concerns.
 Keys to Success:
Establish Goals:
•Must Clearly Fit within department/division/university goals
•Be systematic in your approach
•Aim at realistic growth
•Gain employee buy-in
•Prioritize
•Goals Must be SMART:
9Specific
9Measurable
9Achievable
9Relevant
9Time Phased
•Review
 Rewarding Accomplishments

•Create Positive Environment

•Be Specific
•Don’t let Best efforts go Unrecognized
 Map Employee Development

•Coach and Collaborate

•Develop Skills for Future Success
•Provide Opportunities to develop currently needed skills
•Learn Employee’s Personal Goals
Research Developmental Opportunities:

•Training/Certification
•Organizational Membership
•Committee Membership
 Define Behaviors:

•Must contribute to Team success

•Must consider individual work or communication style
 Review Job Description

•Opportunity to Update
•Provide copy to employee
•Requirements specific but not carved in stone
•No “Surprise” Duties or Requirements
•Review Previous Year’s Assessment
 Errors in Conducting Performance Appraisals

Halo/Horn Effect: May occur if a person is strong or weak in one

area and there for rated high or low in all areas.
Regency Error: Occurs when a appraiser gives more weight to recent
events and discounts the employee’s earlier performance during the
year.

Bias Error: When a appraiser’s values, beliefs and prejudices distort

ratings (Either consciously or unconsciously)

Strictness Error: Occurs when appraisers believe the standards are

too low and inflate the standards in an effort to make
the standards meaningful n their eyes.
 Errors in Conducting Performance Appraisals….

Leniency Error: Occurs when a appraiser does not want to give low
scores. Employees in this case are given high scores.

Central Tendency Error: Occurs when a appraiser rates all employees

with a narrow range, regardless of differences in actual performance

Contrast Error: Occurs when an employee’s rating is based on how

his or her performance compares to that of another employee
instead of on objective performance standards
And now….
for something completely different …
 Case Study
“Not a good fit”
Please take a few minutes to read the case study individually;
then discuss it with your table mates. Your group should be
able to answer the following questions:
1. Briefly describe the situation.
2. If you were the HR Manager that met with Jim, what advice
would you give him. Why?
3. What recommendations would you have to enhance Jim’s
effectiveness as a leader?
4. As a leader at Loyola what best practices would you care to
share with the group?
POINTS TO REMEMBER….

9As a leader, you set the tone for the department.

9Set performance goals
9Establish expectations for behavior
9You can’t “over communicate” – give frequent feedback
on performance
9Be fair and consistent; observe your team’s interactions
9Partner with HR before a small problem grows into a
larger issue
Break
 The Loyola Performance
Appraisal
and Improvement Document

A Tool for Creative Change

 Purpose

•To Set Personal Goals

•To translate Organizational Goals
•To Monitor Progress
•To Facilitate Ongoing Discussion
 The Process (Part I)

•Supervisor completes Goals and Objectives (Page 1)

•Supervisor and Employee have a meeting over partially
completed form
•Employee Reviews Goals/Adds comments to form
 The Process (Part II)

•Supervisor and Employee meet and agree upon goals and

action plans/follow-up
•Supervisor secures authorizations and forwards originals
to Human Resources
The Four Aspects of the
Performance Document
 Page 1- Goals and Objectives

•Define specific and achievable goals

•Realistic deadlines by agreement
•Weighted %
•Employee Rating
•Supervisor Rating
 Page 2- Behavioral Expectations

•Translate behaviors provided to give relevance to

department mission
•Add specific behaviors not already provided
•Do Not try to force Non-applicable behaviors
(Management)
•Define Expectations before rating
 Page 3-Comments

•Employee Comments
•Supervisor Comments
 Page 4- Future Oriented Action Plan

•Development goals by cooperation

•Projects and Objectives
•Target Dates
•Follow-up
 Documenting Employee Performance

•Performance Diary/Log
•Performance Records
•Document as Situations happen
•Maintain balance
•Keep observations job-related and use objective criteria
•Support your observations with facts
•Focus on the deficiencies, not the perceived underlying cause
•Avoid Emotion
•Avoid Conclusions
•Remember…others may read your comments
Legal Considerations in Performance Appraisal

Performance Appraisals must be:

•Job Related
•Absent of evidence that might imply discrimination
•Evidence that proves validity of appraisal
•Formal evaluation criteria that limit subjective responses
•Personal knowledge of an interaction with the rated
employee
•A review process that prevents one manager from over
influencing an employee’s career
•Equitable treatment of all employees
 Conclusion
POINTS TO REMEMBER

•Performance Assessment is forward Looking-Not Punitive

•Performance Assessment Supports Employee’s Goals as well as
Department
•Salary Increases are Based on Merit, but There is NOT a 1 to 1
Corollary with this tool
•Performance Assessment is Not a Yearly Chore; It is an Ongoing
and Positive Conversation
What is Progressive Discipline?
 Performance or Behavior?

Employee problems that require corrective action generally can

be classified as either performance or behavior problems.

Appropriately classifying the problem into one of these two

categories is an important first step and will enable the hiring
manager and Human Resources to more effectively determine
an appropriate response.
 What are Behavior Problems?

Behavior problems are usually completely within the

employee’s control.

Examples of behavior problems include misconduct,

negligence, insubordination, poor attendance and other issues
related to an employee’s general conduct and behavior.

For example, employees make conscious decisions every day to

either leave home in sufficient time to arrive at work on time or
not, to be truthful or not, to follow rules and procedures or not,
to follow their supervisor’s direction or not.
 What is Progressive Discipline?

When the employee’s behavior does not meet the minimum

expectations, formal corrective action should be taken through
progressive discipline consisting of four steps:
1) oral warning
2) written warning
3) suspension
4) termination
Serious offenses may result in immediate suspension or
termination.
 Who Does Progressive Discipline apply to?

Progressive discipline applies to all staff employees who have

completed their review period with two exceptions:
•Employees at the administrative department head level and
above have special responsibilities and are not subjected to
progressive discipline; and
•Exempt employees may be suspended without pay but only for
an entire calendar week.
 Four Steps of Progressive Discipline

Step 1: Oral Warning

In cases of misconduct which may not be serious as a single
incident but could become serious if a pattern develops, the
supervisor should discuss the issue with the employee, tell the
employee that the discussion is an oral warning and document
the discussion in a departmental file.
 Four Steps of Progressive Discipline

Step 2: Written Warning

If a pattern of misconduct develops or a serious incident occurs
requiring more than an oral warning, the supervisor should consult
with the Campus Human Resource Office about the
appropriateness of a written warning. Once approved by Human
Resources, a written warning should:
•Document the incident of misconduct and the reasons why the
department considers the infraction serious;
•State what the employee must do to avoid similar misconduct; and
•Indicate that future misconduct of any sort may result in
suspension or termination.
 Four Steps of Progressive Discipline

Step 3: Suspension Without Pay

In some cases, a supervisor may determine that while immediate
discharge for repeated offenses or a single serious offence would be
too severe, suspension without pay is appropriate. The facts of the
case and the possible suspension (one to five days not to exceed 40
hours) should be discussed with and approved by the Campus
Human Resources office prior to discussion with the employee.
 Four Steps of Progressive Discipline

Step 3: Suspension Without Pay-Continued

Once the appropriate suspension document is prepared and signed, the
supervisor should meet with the employee to attempt to:
•Explain why the incident requires discipline, especially how the conduct
is not in accordance with acceptable standards;
•Indicate the length of the suspension without pay; and
•Document that termination for any additional misconduct is the next step
in progressive discipline.
•Copies of the suspension document should be appropriately distributed.
 Four Steps of Progressive Discipline

Step 4: Termination
If progressive discipline fails to improve an employee's conduct or
another type of misconduct occurs, termination may result. In
terminating an employee, the following procedures should be followed:
In the case of a serious incident, the employee should be removed from
the work place pending an investigation to determine whether discharge
is warranted.
•It is the department's decision, with the approval of Campus Human
Resources, whether to terminate.
•At this meeting, a termination document, with explanation, should be
presented to the employee.
•The terminated employee should go through the check-out procedure at
the Campus Human Resources office.
 Progressive Discipline Documentation

Records for Employment File:

A written record of disciplinary action is included in the
employee's Human Resources file. Disciplinary documents
will be removed from the file in 12 months if no further
disciplinary actions occur during that time. Once a file is
cleared of disciplinary actions, the progressive discipline
process begins anew for any future incident
 Progressive Discipline Documentation

Oral Warning Documentation:

There’s an old saying in employee and labor relations: “If it isn’t
in writing, it didn’t happen.” Even verbal counseling should be
documented. The documentation, which should include the date
and time of the session, serves to memorialize the session so that it
can be referred to subsequently. The employee should be told that
this is only a verbal counseling but should be asked to sign the
documentation.
 Progressive Discipline: Successful Tips

• Do not speak to employees “out in the open.” Employees deserve

to be afforded privacy when being counseled. Regardless of the
infraction, employees do not deserve to be embarrassed.
• Managers should maintain a professional, calm demeanor and be
firm, but speak to employees with the same respect they deserve.
• Unless the severity of the incident dictates severe discipline, do
not skip the “normal” steps. Usually, this results in the perception
that the employer was looking to expedite the employee’s
termination. Each case should be evaluated individually.
 Progressive Discipline: Successful Tips

• In all situations, if an employee is a union member, ask if he or she

requests a delegate. Although not legally required, this practice
demonstrates good will. If the employee declines, the employee should sign
that he or she refused a delegate. Give the employee a reasonable time to
seek out a delegate. In a situation where there is imminent danger, such as
threatening or fighting, the employee should be told to punch out and leave
the premises and contact the department to arrange for a meeting, to which
he or she can bring a delegate.
•Untruthful performance feedback can also have significant legal
ramifications. Discipline should always be consistent with business
necessity; warning notices should document the business reasons for
addressing the issue
 Progressive Discipline: Successful Tips

• Remember that the notice is called a “Warning Notice” because

the employer is trying to help employees correct the behavior
that is getting them in trouble. Employers don’t write people up
to “get” them; nor is most employees’ overall objective to get
fired.
• Employees fire themselves. They begin their employment with
perfect performance and a perfect attendance record. As they
deviate from that model, they are counseled, then warned and
then suspended. If they choose to ignore these warning signs,
they will have “fired themselves.” The bottom line is: firing
should never be a surprise for the employee.
 Progressive Discipline: Successful Tips

• Sometimes managers hesitate to write employees up because

of emotional factors. Usually, if a problem is ignored, it doesn’t
go away—it gets worse. An employer is actually doing
employees a disservice by ignoring their behavior, making
excuses for it or being overly sympathetic. Employees
appreciate knowing where they stand. One of the worst
scenarios is a supervisor who fails to write up an employee
who, in turn, continues to think nothing’s wrong. Then, one
day, the supervisor can’t take it any more and emits a frustrated
“YOU’RE FIRED!”
What is a Performance
Improvement Plan?
 Performance or Behavior?

Performance problems are different from behavior problems

primarily because they are not always completely within the
employee’s control. Often the employee is not meeting the
minimum expectations of the position due to a knowledge,
skill or talent deficiency.

In such situations it is incumbent upon the supervisor to play

an active role in assisting the employee to meet the minimum
expectations of the position. This could include providing
additional training, regular and frequent one-on-one meetings
with the employee to provide feedback, etc.
 What are Performance Problems?

When the employee’s performance does not meet the minimum

expectations, formal corrective action should be taken.

As is the case when dealing with behavior problems, this process

generally begins with a verbal notification to the employee that
he/she is not meeting the minimum expectations of the position.
Continued unsatisfactory performance should be addressed with a
performance improvement plan. This document should include the
following items:
 Steps for Documenting Performance Problems

1. A clear statement describing the employee’s performance deficiency,

being careful to cite specific data/examples where possible.
2 . A restatement of the minimum expectations/requirements of the
position.
3. A list of several tasks, activities and deliverables that must occur within
a set time period (for example, must attend sales training 101, make 15
cold calls per week within the next 30 days, meet with supervisor every
Friday to provide status on progress, and so on).
 Steps for Documenting Performance Problems

When developing a list of task, the length of this time period

may vary depending on the specifics of the situation and the
expectations presented by the supervisor in the performance
improvement plan.
For example, a sales representative who is consistently failing
to meet his/her quota may need 90 days to receive additional
training and demonstrate improvement by satisfying his/her
quota for two consecutive months. A Clerical worker, on the
other hand, may not require as much time to establish a record
of consistently and appropriate performance.
For this employee, the supervisor may determine that 30 days
is a sufficient amount of time for him/her to demonstrate
consistent acceptable performance.
 Steps for Documenting Performance Problems

4. A scheduled date for formal follow-up. This will generally

include a scheduled date in the future at which the supervisor and
employee will formally review the employee’s progress toward
the plan and determine whether or not the minimum expectations
have been met. At this point decisions are usually made about
whether to continue the performance improvement plan,
discontinue the performance improvement plan because the
objectives/expectations have been fully satisfied or terminate the
employee.
 Steps for Documenting Performance Problems

5. The consequences to the employee if the minimum

expectations outlined in the plan are not met. This usually
includes a statement that says failure to meet the minimum
expectations outlined in the performance improvement plan
will result in further disciplinary action up to and including
the employee’s termination.

6. A statement that the employee signs acknowledging that

he/she has read and understands the contents of the
document.
 HR’s-Corrective Action Process

HR takes the following approach when assisting supervisors in

dealing with employee issues in the workplace:
1. Determine whether the problem is behavior or performance
related.
2. Afford the employee appropriate due process.
3. Respond appropriately to the situation by generating the best
possible solution to the problem (corrective action option).
4. Appropriately document the corrective action to the employee’s
personnel file.
5. Take further corrective action or terminate employment, if
necessary.