Performance Discussion Workshop: Tips for Employees Employment & Organizational Development July 17, 2019 Welcome participants Introduce facilitators Introduce other members of EOD Go over housekeeping rules Expectation that everyone participate – we’re putting them to work! Can get up and move around as needed We’ll be together for 75 minutes

Performance Discussion Workshop Content overview Key Terms Defined Benefits of Performance Appraisal Types of Performance Appraisal Key Elements of Performance Appraisals Performance Management Cycle Successful Performance Appraisal Discussion Performance Discussion Workshop Content overview OVP Review agenda and expand upon/explain each bullet

Performance Management: the continuous process aimed at planning, monitoring and evaluating the objective for employees and their total contribution Performance Appraisal: an operational tool to improve efficiency of employees Employee Development: an effort between the Institute and the employee to develop workers’ skills, knowledge and opportunity Key Terms Defined

Benefits of Performance Appraisal: The Employee Development: Employees learn what their key strengths are and where they should focus Better Performance: On the individual level and organizational levels when done consistently and well Effective: Higher satisfaction and morale among staff, retention of strong performers, and an effective means for poor performance Broad view: Overall Assessment allows employee to see the big picture vs. focus on small points Benefits of Performance Appraisal: The Employee Is the employee pruning a few trees while the forest is on fire? Example: If an employee is given feedback on being late to meeting but not on prioritization, they might be the timeliest person to deliver mediocre results. A forcing function: To make sure tough feedback is delivered rather than swept under the rug.

Benefits of Performance Appraisal: The Manager/ Supervisor Establish clear, measurable expectations and providing a climate conducive to success Guide Performance to ensure work is at a consistently higher level or improves over time Goal attainment making certain that individual tasks contribute to the attainment of departmental goals Identify performance issues and set clear course for correcting or improving them Benefits of Performance Appraisal: The Manager/ Supervisor

Benefits of Performance Appraisal: The Institute Helps both the manager and the employee assess how performance fits into the bigger picture of the department/Institute Facilitates the department and Institute in realizing their missions and objectives Assists the department in determining whether skills and knowledge of current staff can meet the future needs of the organization Benefits of Performance Appraisal: The Institute

Types of Performance Appraisal Narrative: A series of brief paragraphs in which appraisers provide detailed assessments of employee performance in particular categories. (descriptive summary) Numerical Scale Form: A quantitative form in which the appraiser assigns a numeric value to the employee’s performance. (e.g. scale from 1-5) Descriptive Scale Form: a semi-quantitative form that requires the appraiser to rank the employee’s performance that uses descriptors. (e.g. Exceptional to Unsatisfactory) Types of Performance Appraisal

Key Elements a Performance Appraisals may include General Performance General performance includes basic workplace responsibilities, such as attendance, punctuality and policy adherence Specific Job Responsibilities The specific job responsibilities are the immediate items in which the you are responsible for completing every day and without fail Year-to-Year Comparison Your performance review may include a section that provides a year-to-year or evaluation-to-evaluation comparison. Goal setting/Development Plan This section may include goals/development for improving your position and success within the organization. Key Elements a Performance Appraisals may include General Performance also incorporates the “soft” responsibilities, including attitude, cooperativeness, approachability and the employee’s overall ability to take clear direction. Although these aspects are not immediate aspects of the employee’s specific job responsibilities, these aspects can greatly affect the overall success or failure of the employee’s job success. Therefore, it is important that you not only address these aspects, but provide supporting examples, such as an attendance record, customer compliment or customer complaint. Specific Job Responsibilities Depending on the position, these responsibilities may include customer service, sales, inventory and even resolutions. These are the responsibilities that directly affect the business when they are not completed. Your review of these specifics should include a close analysis of your employee’s productivity and success within the position. Like the general performance section, you should support your findings and comments with supporting information. This will make the information and findings easier for the employee to understand during your performance review discussion Year-to-Year Comparison The comparison should review the continued progress, as well as the areas that need improvement. This evaluation comparison will also begin to show a pattern of expectancy from your employee. In the event of a poor evaluation, a comparison of evaluations will help you to identify if your employee is just having a subpar year, struggling in a certain area or simply needing a change from the position. Comparisons also help to identify employees that have grown through their position with hopes of advancement or promotion. Goal Settings Goal setting is an essential force in the performance review. The goals that are set within the performance review are based on the findings of the aforementioned sections. The goals should include items such as improved attendance, refined metrics adherence and improved accuracy. The goals should be clearly stated and within the employee’s reach. Considerations It is important that you provide an unbiased review of the employee. The performance review should be based on facts that are supported with evidence that has been collected throughout the year. It is also advised that you complete the review when you are clear-headed, well-rested and without anger to ensure that you providing a fair review.

Goal Setting Performance Goals Short-term objectives set for specific work in in your current position Relate to the department's overall goals Includes clearly defined expectations for success Usually asked as: What goals would you be interested in working toward between now and the next performance appraisal? Goal Setting

Development Plans Development Plans Tie to anticipated needs in the your current position and/or focus on opportunities outside the your current role and/or The organization's anticipated needs and/or focus on your strengths, talents, and interests separately from the current position Usually asked as: What are your careers goals in the next year or two? or Where do you see yourself in 5 years? Development Plans

Suggested Performance Discussion Process Employee Completes a self evaluation Manager completes evaluation Discussion between manager & employee Combine both manager & employee feedback for a blended review ASI Discussion (September) Suggested Performance Discussion Process

Performance Appraisal Discussions The purpose of the Performance Appraisal Discussion is for each manager to engage in a substantive discussion with their employees. Discussions may include: Employee successes in the past year Obstacles encountered since the last conversation What are the performance goals/development plan for the coming year? Performance Appraisal Discussions

The Manager’s Responsibilities A positive and supportive working environment that includes timely feedback Feedback that is clear and consistent Accurate performance evaluations Fair and consistent treatment Addressing issues in a timely manner Clarifying expectations Ongoing communication The Manager’s Responsibilities OVP Expand on each of the bullet points Explain why it matters that a manager understand these responsibilities

The Employee’s Responsibilities Meeting job requirements and acceptable standards of performance, conduct, and attendance Being prompt and reliable, and accurately reporting time and attendance Giving adequate notice of absence Communicating with management on all subjects affecting their ability to perform their job  Complying with all Institute policies and procedures  Working cooperatively with all members of the Caltech community  Asking for assistance when unsure about a task or assignment The Employee’s Responsibilities OVP Expand on each of the bullet points Reiterate that in order for employees to meet job requirements and acceptable standards of performance, conduct and attendance, they need to know the goals and expectations of their position. Ask participants: What does working cooperatively with other members of the Caltech community look like for them and their team? Point out that manager or manager’s delegate needs to be available to provide assistant to the employee when needed.

After the Performance Appraisal Discussion The Employee knows: What am I doing well? Why do my goals matter? How do they need to be accomplished? What can I improve on? The manager knows: How did the employee fare with set goals and expectations? What expectations can be set for the following year? Are there any performance gaps? Useful employee feedback After the Performance Appraisal Discussion

What Employee and Organizational Development can assist you with? To roundtable concerns and solutions To clarify policy Coaching/consulting on workplace matters EOD is here to help Employee & Organizational Development at x6382 Jessica Almeida x8039 Rose Murillo x5930 Ofelia Velazquez-Perez x3819 Ana Liza V. Zell x3173 OVP Point out that EOD is their Control Tower – and expand on how EOD can partner with managers to deal with issues that may arise while being be resource to both the manager and the employee Expand on the types of factors that my be affecting employee performance and when it may make sense to partner with DLAU or Staff and Consulting Center (SFCC)