California State University, East Bay Human Resources Preparing and Presenting a Performance Review 2007

I. Introduction

Test your knowledge … 1. Performance feedback should be saved up for the performance review. 2. Pay increases should be discussed during a performance review. 3. The performance review is a “person to job” comparison, so employee’s accomplishments should be compared to the job requirements, not to other employees. True False ____ ____ ____ ____ ____

Test your knowledge (cont’d.) 4. The Supervisor should evaluate personality “traits”as well as job related issues. 5. Improvement plans should always be developed in collaboration with the employee. 6. The “degree of difficulty” or challenge of assignments should be considered in the review process. True False ____

II. Overview

What is a Performance Review? An annual event culminating an on-going process of performance feedback It includes a written and verbal review of performance during a specified period, usually the 12 month period immediately preceding the review Based on duties and responsibilities listed in the job description and University behavior standards

The review requires the supervisor to do the following: Observe and document the employee’s performance during the covered period. Complete a performance evaluation form, using specific terms to describe how well the employee meets job expectations. Discuss the written evaluation with his or her supervisor or manager prior to discussing it with the employee.

Discuss the evaluation with the employee. Develop, in concert with the employee, a plan to help the employee improve his/her performance and achieve career goals.

What is the Importance of a Performance Review ? It is an opportunity to: communicate with an employee discuss employee performance in relation to performance expectations formulate a performance improvement and career development plan improve team work It is a key factor for some types of salary increases and consideration for promotion

What is the focus of a Performance Review ? Although a review of past performance is a primary element of a performance review system, an equal emphasis is placed on the future. It has been demonstrated that better results can be obtained when the supervisor and the employee jointly set together specific performance goals to be achieved, rather than when they merely discuss past performance.

Who does the Performance Evaluation ? The performance evaluation is typically written and discussed with the employee by the employee’s immediate supervisor because: The supervisor is in the best position to have the most accurate and complete knowledge of the employee’s performance. Improving and/or maintaining positive performance is the responsibility of the supervisor.

Who reviews the Performance Evaluation? After the immediate supervisor completes the Performance Evaluation, it is routed to the next higher level supervisor (MPP level). This supervisor, who has a different vantage point, helps ensure that: All information is clear, specific, and job-related. The expectations used as the basis of the review are appropriate. The review is fair and accurate (although the immediate supervisor is the best to determine what is accurate).

III. The Written Evaluation

What is reviewed? A Performance Evaluation should be based on : An assessment of work results In addition to meeting certain “universal employee obligations,” each job is unique in its requirements An evaluation of the person-to-job fit A key purpose of a review is to assist the employee to improve his or her performance

What is not reviewed? The rule of thumb in determining what to avoid in a performance evaluation is anything that is not behavioral or that is not job-related. High among the list of such factors are: Personality Attitude Appearance

The Three Steps The written performance review process involves three steps: Establishing Performance Requirements Comparing Expectations with Actual Performance Developing Performance Improvement Plans

Step 1: Establishing Performance Requirements a) Position-specific performance requirements Areas of responsibility Results to be achieved Performance standards (the criteria by which performance is measured; the means to determine if the desired results are achieved).

Establishing Performance Requirements (cont’d.) b) Reach mutual understanding of performance requirements with employee c) Universal employee obligations Attendance Conduct Safety

Step 2: Comparing Expectations with Actual Performance a) Focus on recurring work result items. b) Comparing actual versus expected performance is best done on the basis of continual observation. c) The employee’s accomplishments should be compared to the job requirements; not to the other employees (the performance review is a “person to job” comparison).

Step 2: Comparing Expectations with Actual Performance (cont’d.) d) Pitfalls to avoid: “Halo Effect” “Horns Effect” “Recency Effect” “Dramatic Incident”

Step 3: Developing Performance Improvement Plans a) Best done after the performance evaluation discussion. Plans for next review period : b) Improvement Plan is for employees who do not meet an acceptable level of performance. The plan should include the following:

Developing Performance Improvement Plans (cont’d.) Specific areas needing improvement and timeframe. Plans of the supervisor to assist the employee’s further development. A discussion of the employee’s career interests against the performance rating. Realistic steps for achieving performance and career goals.

Developing Performance Improvement Plans (cont’d.) c) Development Plan can be created for employees who meet or exceed the performance requirements, and might include : Opportunities for “stretch assignments” Specialized seminar and conferences Membership in professional associations Continuing education courses Special Project coaching by the Supervisor

IV. The Review Discussion

Objectives of the Discussion The primary objectives of the discussion are : To ensure that the employee knows what performance expected. To let the employee know how his/her performance “stands” in relation to the expected performance.

Objectives of the Discussion (cont’d.) To ensure that the employee understands why improvement is needed, as identified. To involve the employee in the development of a realistic performance plan. To get the employee’s commitment to work toward achieving the improvement plan or development plan.

The Supervisor’s Role in the Discussion The primary role of the supervisor in the discussion session is as a coach (not as a judge). The emphasis should be on directing, assisting, and supporting, rather than on judging. The coaching approach creates a positive environment and contributes to a smooth discussion.

Tips for Conducting the Review Discussion (1) Prepare for the Session Prior to the session: Be sure to have your manager review the evaluation before it is given to the employee  Review the Performance Evaluation form for the purposes of identifying, defining, and analyzing performance problems and strengths. Determine the approach you believe will be most effective for conducting the session with the particular employee.  Give the employee sufficient advance notification of the session.

Tips for Conducting the Review Discussion (cont’d.)  Arrange for privacy.  Allow adequate time for the session (keep in mind more time may be required to conduct a session with a new employee than with a “seasoned” employee).  Have available, when appropriate, the employee’s written performance evaluation from the previous year.  Anticipate the employee’s possible reactions to the discussion.

Timelines for Draft to Employee: Bargaining UnitDraft to Employee 1No requirement 2, 5, 7, 95 work days 414 days 6No requirement 8No requirement MPP, ConfNo requirement

Tips for Conducting the Review Discussion (cont’d.) (2) Set the Climate  Put the employee at ease.  Check the employee’s understanding of the purpose of the discussion.  Establish at the beginning of the discussion your desire for the employee to participate.  Be yourself. Setting the right climate depends more on sincerity than on technique. Your manner in the discussion should be an extension of your natural style on the job.

Tips for Conducting the Review Discussion (cont’d.) (3) Review Performance Review, briefly, the position to ensure that the employee understands the responsibilities and performance requirements of the job. Provide an overall idea of what you believe the performance has been in the job before going into the specifics of each part of the review.

Tips for Conducting the Review Discussion (cont’d.) Review each area: a) Inform as to whether the employee’s performance exceeds, meets, or does not meet the performance expectations. b) Try to provide specific examples of the employee’s actual performance to support your assessment of the performance. c) Link the employee’s present review to the previous review, to show progress or change in performance.

Tips for Conducting the Review Discussion (cont’d.) (4) Develop an Action Plan for the future: Discuss and reach an agreement with the employee on a goal for improving performance in each area where improvement is needed. Develop an action plan for achieving each goal. Involve the employee in the goal-setting process. Set up a timetable and a follow-up date for each goal as appropriate.

SMART Goal Setting Tips S pecific: well defined & understood M easurable: a way to determine if goal is met A chievable: must be reasonable R ealistic: must make sense in terms of what emp & dept are trying to accomplish T ime frame: outline time limit for employee to accomplish goal

Tips for Conducting the Review Discussion (cont’d.) (5) Conclude the Session Summarize the main points discussed, and review the agreed-upon action plans and follow-up dates. Leave on a positive note

Questions ?

Thank you!