Gonzaga University Performance Management: Leading Workplace Performance For Management Personnel

Session Agenda Management’s Roles and Responsibilities Setting Goals and Expectations Performance Coaching Guidelines for Effective Performance Discussions Prepare for the Performance Discussion Conducting the Discussion Performance Review Document Enhancements and Timeline Summary Resources Define “Manager” / “Supervisor”

Management’s Continued Roles & Responsibilities Greater accountability On-going assessment and communication of employee performance Performance reviews will be used to assist in determining promotion, pay, annual salary increases, and overall employment status Determine employee annual salary increases as part of the new compensation system Prepare to enter into potentially difficult discussions as we move forward Assess knowledge, skills and abilities (KSA’s) of yourself and your supervisory team Performance Management is more than just conducting an annual formal performance review. It requires ongoing coaching so that there should be no surprises at the annual review. Assess the ability of yourself, your leads and first-line supervisors to perform and meet these newly refined responsibilities. Capable? Committed?

Defining Organizational Success Vision/ Values Strategic Plan: Organizational goals/objectives Tactical Plans goals/objectives All organizations must be wise about their choice of strategies to remain competitive Everyone and everything in the organization must be doing their part to ensure strategies are implemented effectively In an aligned organization, all plans and programs flow down from the vision and values of the organization, and the strategic plan that results. If each layer in the pyramid is not aligned with the hierarchical layer above, the organization is out of alignment and may be working at cross-purposes and/or is not properly focused on its long-term goals and objectives, thereby significantly reducing the opportunity to reach its objectives Departmental goals/objectives Individual and/or Team goals/objectives

Defining Management Success What does success as a manager look like? What does success as a manager look like in your organization? How do you distinguish between good and poor performance with your employees? To whom and when do you provide performance feedback? Ask questions of audience

Defining Management Success All organizations must be wise about their choice of strategies to remain competitive Everyone and everything in the organization must be doing their part to ensure strategies are implemented effectively Managers are responsible for the results accomplished by their employees Simply put, effective performance management ensures that goals are consistently being met in an effective and efficient manner “Being busy is not the same as producing results”

Performance Management Cycle 1 Setting Goals & Expectations Define job criteria by which performance will be measured based on job description Establish goals and objectives Communicate expectations to employees Rework objectives or performance standards, if necessary 3 2 Annual Performance Review GU Performance Review Mistakes to Avoid Behavior Based Statements Performance Coaching Define coaching Give effective feedback Recognize employees’ area of development Coach for better performance Document Discussion: Why should we set goals in the first place? Reference Steinbeck’s outboard motor

Setting Goals and Expectations Module Objectives Understand the importance of setting goals/expectations Learn to set SMART goals Discuss performance standards Practice setting goals and standards Be open to reworking goals/expectations when necessary Goals are an essential part of successfully conducting business. Goals provide the motivation and direction necessary for growth and success in every area of an organization

Criteria for Effective Goals Setting Goals and Expectations Criteria for Effective Goals An effective goal statement provides an excellent basis for setting and monitoring progress toward strategically aligned goals Effective goal statements ensure objectivity in measurement Ask audience for Criteria before showing

Benefits of Effective Goals Setting Goals and Expectations Benefits of Effective Goals Establish strategic DIRECTION Set TARGETS Identify EXPECTED results Improve TEAMWORK through a common sense of PURPOSE Provide a FAIR basis for appraising performance Ask Audience

Setting Goals and Expectations SMART Formula Specific – goals need to be specific in order to be achieved. “Improving customer service” vs. “Reduce customer drop-out rate to less than 20%”. Measurable – goals need to be quantifiable and measurable in a way that leaves no doubt that the goal has been achieved. Employee should know how progress will be measured. Agreed Upon – goals should take into account the knowledge and needs of the people involved in accomplishing them. When there is buy-in, people are more willing to make efforts toward achievement of goals. Relevant– A relevant goal aligns with existing plans and priorities of the organization. It reflects the results which must be improved or maintained to successfully accomplish the mission. Timed – goals exist within the context of a schedule. There needs to be an agreed upon timetable that incorporates regular, structured review and assessment of progress toward the goal. To guide this process, you may want to ask the following questions: • What strategic goals must our goal(s) support accomplishing? • How will meeting the target(s) for this goal support the mission? • Do we agree this is a relevant goal for us to pursue on behalf of the organization? If we cannot link it to existing improvement plans, strategic plans, departmental plans, or other plans, is it relevant enough to keep as a goal?

Example SMART Goal Train all supervisors on the revised Performance Setting Goals and Expectations Example SMART Goal Train all supervisors on the revised Performance Management and Compensation Systems by March to ensure that they can: understand the university compensation system understand the university performance review forms and procedures set SMART goals effectively manage the performance of their employees throughout the year

Obstacles to Goal Achievement Setting Goals and Expectations Obstacles to Goal Achievement It is important to note that in today’s world change happens suddenly and without notice. Objectives may change based on the organization’s needs. Be sure to adjust employee goals and objectives accordingly. It makes no difference if the barrier is tangible or solely in one’s own mind (psychological) - the barrier is real. Therefore, it is very important to: Identify and remove the obstacles OR adjust objectives accordingly Ask audience what obstacles they experience

Performance Management Cycle 1 Setting Goals & Expectations Define job criteria by which performance will be measured based on job description Establish goals and objectives Communicate expectations to employees Rework objectives or performance standards, if necessary 3 2 Annual Performance Review GU Performance Review Mistakes to Avoid Behavior Based Statements Performance Coaching Define coaching Give effective feedback Recognize employees’ area of development Coach for better performance Document

Performance Coaching Module Objectives Explore the purpose of coaching The role of the coach is to clearly communicate performance expectations and standards, give regular performance feedback and develop the skills of the employees. The best coaches, by their mere presence, improve performance and uplift energy, morale, and focus. Module Objectives Explore the purpose of coaching Learn to effectively recognize employees Learn to give performance improvement feedback through coaching Discuss how to handle poor performers Practice performance coaching Learn when and how to document performance Where does the word “coach” come from?

NO NEWS IS GOOD NEWS Ask audience if this is good philosophy. Explain that most managers seem to operate this way but that this prevents one from being effective

Performance Coaching Preparing to Coach To be a great coach, capable of elevating performance, you need to know: The role of the coach How to use fundamental coaching tools Expectation of performance (what to measure) Employees’ strengths and limitations Employees’ long term goals Employees’ developmental goals Need to know who the employee is “at work”

Discussion: Who needs coaching? Performance Coaching Discussion: Who needs coaching? New Hire Orientation, training, recognition, re-directed, learn the culture Problem Performer Recognize that a problem exists and analyze what’s causing it Coaching for improved performance Satisfactory Performers Recognize good work, discuss ways they can grow Development coaching Promotable Person Mention types of coaching: Developmental / Training Performance Improvement Recognition

Performance Discussions Definitions Feedback = communication regarding the effect one’s behavior is having on another person, the team, the organization, or the customer Positive feedback = involves telling someone about behavior that meets or exceeds standards and expectations. Provide specific examples and explain how these behaviors benefit the organization Constructive feedback = alerts an individual to behaviors which could improve. Constructive feedback is not criticism; it is descriptive and should always be directed to the action, not the person Recognition for effective performance is a powerful motivator. Most people want to obtain more recognition, so recognition fosters more of the appreciated actions. The main purpose of constructive feedback is to help people understand where they stand in relation to expected and/or productive job behavior.

Effective Feedback Performance Coaching A manager’s role is to get things done through people. Giving and receiving feedback can strengthen the partnership between manager and employee. It also creates a positive, motivating work climate. Useful feedback serves to: Keep the performance on track, and Get the performance back on track One of the most productive things a manager can do is provide specific, ongoing feedback Materials: Blindfolds Simple wooden puzzles Feedback Activity No feedback Negative only Positive, yet vague Specific, concrete feedback (don’t be afraid to give praise and recognition for good work)

Most importantly, treat others with RESPECT Performance Coaching Effective Feedback Feedback should be: Specific, direct and honest Focused on the what not the who Done at the right time in the right place Consistent Solution-oriented Most importantly, treat others with RESPECT Most important thing to remember when giving feedback is to treat people with dignity and respect.

Performance Coaching: Positive Feedback Describe the behavior observed -- be specific Explain why it is important Thank the employee and express your personal appreciation Encourage them to continue doing well Record the conversation Example: Chris, I just saw the way you handled the situation where Derek was using a tool improperly. You approached him in a calm and non-threatening manner. You treated him very professionally and educated him on proper usage of equipment. Having a safe working environment is important to all employees at Gonzaga. Actions like yours help keep this a safe place to work. Thank you for taking the initiative and helping your co-worker. It means a lot to me to know that you really care and will do what you can to maintain a healthy and safe environment. Keep up the good work! Recognition Model Walk through steps Demonstrate example Document conversation to justify salary increase at time of performance review

Constructive Feedback Focus on the employee’s performance issues. Describe the specific behavior and why it concerns you Explore the causes of the employee’s poor performance by listening to the employee. Seek agreement on how to solve the problem(s) Explore options for improvement by asking for the employee’s ideas for solving the problem Agree on a specific plan for improvement (describe consequences if necessary) Express confidence, set a follow-up date and document the agreement The cause of the performance issue will be one of the causes listed on the previous slide They don’t know expectations They don’t have the skills They don’t have the resources They don’t want to do it

Chronic Performance Problem Performance Coaching Chronic Performance Problem At times, the coach is faced with an employee who demonstrates an inability to reach standards and goals. It is important that the coach do something about it, or the virus of “mediocrity” could infect the entire department. Focus on the fact that the employee has not corrected the performance problem Explore the causes of the employee’s poor performance and seek agreement on how to solve the problem(s) Explore options for improvement Agree on a no-compromise plan for improvement Document agreement and follow-up The basic coaching model used earlier is also used for chronic performance problems. The conversation is of a more urgent tone. Walk through steps. Ask audience for examples

When Coaching is Not Enough Performance Coaching When Coaching is Not Enough Coaching may not always result in a change of behavior. If this should happen, partner with Human Resources to progress to the next phase(s) of corrective action. Sometimes coaching is not the right approach. In incidents of inappropriate conduct it may be necessary to bypass coaching and go directly to corrective action. If this should happen, partner with Human Resources to determine the most appropriate next step. If a serious situation should occur, call Human Resources Audience

Potential Legal Liability Issues and Guidelines to Avoid Liability Disparate Treatment - Gender Equity – Discrimination – Retaliation etc. Guidelines to Avoid Liability Be consistent in setting expectations and performance review criteria for similar positions Apply ratings consistently across organization Address performance concerns as soon as possible (deal with it or live with it) Performance Notice, Letter of Expectations, Corrective Action Plan GU policies and procedures Gather the facts and document year round and on each employee Use HR as a resource With this new system, employees cannot use the formal grievance procedure for general disagreement with the performance review unless the review is based on a liability topic. Give example of Intermittent FMLA as it relates to “Disparate Treatment” and “Retaliation”

Correcting Performance Performance Coaching Correcting Performance Below is an example of steps used for addressing unsatisfactory job performance. Verbal Coaching (ASAP) Performance Notice (Documenting discussion of issues) Letter of Expectation Corrective Action Plan End of Employment

ABC’s of Documentation Performance Coaching ABC’s of Documentation Documentation includes everything you write down that concerns an employee’s performance. It is essential that everything you write about a person’s performance be clear, accurate, and free from bias. A clear written record of discussions about performance issues can prevent misunderstandings and provides proof that employment decisions (corrective action, promotions, review scores, etc.) and actions were based on fair, objective, job-related criteria. Below are key components of documenting performance: Accurate Document as incidents occur rather than from memory Describe those actions you directly observed or heard; NOT hearsay Concentrate on job-related incidents Behavioral Document specific behaviors about job-related facts rather than describing employees’ personality Consistent Balance the documentation; cite both positives and negatives Use the same format and level of detail for each employee Documentation, like feedback, should be: Accurate Behavioral Consistent Describe performance in very specific, behavioral terms, not through inferences.

guidelines for effective Performance discussions

Guidelines Minimize your role as a judge. Work for a collaborative environment. Emphasis should be on improvement and learning for the future rather than criticism of the past Effective feedback involves what or how something was done, not why. Asking why is asking people about their motivation and that provokes defensiveness

Guidelines Discuss positive as well as unsatisfactory performance Provide specific examples and explain how these behaviors benefit the organization or why they are problematic Work for understanding, rather than complete agreement Never compare one employee with another

Guidelines No surprises. Poor performance should have been addressed when it happened The Performance Review Discussion is not the place to mention it for the first time If poor performance has been significant, a Performance Improvement Plan should be in place

Guidelines Avoid common rating errors in forming your opinion of performance. The halo effect - Letting one favored trait or work factor influence all other areas of performance, resulting in an unduly high overall performance rating The horn effect - Allowing one disfavored trait or work factor to overwhelm other, more positive performance elements, resulting in an unfairly low overall performance rating Most recent behavior - Failing to take into account the entire evaluation period and focusing on a recent performance episode, positively or negatively. Base your evaluation on representative information from the whole evaluation period to avoid this error Personal bias - Allowing personal feelings toward employee to influence rating Halo Effect - The halo effect involves rating an employee as excellent on one essential job function which in turn influences you to give that employee similar ratings on other functions. This often happens when the function which is rated high is especially important to the rater. You want to believe that an employee’s strength in one area carries over to other situations. ¾ John really delivered on that critical project, so I guess he must be superior in managing his people as well. Horn Effect - Rating an employee unsatisfactory on one function, which in turn influences you to give that employee similar ratings on other functions. This happens when you give in to the simplicity of painting someone with a broad brush. Susan didn’t come through on the project when I needed her to. I’// bet she is not a good manager of people either. The halo and horn effects are particularly likely to occur when a high (halo) or low (horn) rating is given on one or two functions and the Personal biases - The most common personal biases are those based on the employee’s gender, race, age, sexual orientation and physical characteristics such as disabilities. Despite legislation specifically designed to ensure fairness, research suggests that women, ethnic minorities, homosexuals and individuals with disabilities continue to be discriminated against in performance appraisals.

Guidelines Examples of ineffective ways to give feedback: Being personal Giving feedback in public Not being factual Giving a subjective opinion Waiting until weeks or months after the fact Not being specific Providing feedback on issues over which the employee has no control

Guidelines Examples of effective ways to give feedback: Keeping the feedback to behavioral issues Giving it in private Providing it with the intent for improvement Giving it in a timely manner Being specific Keeping the content to issues the employee can control

Prepare for the Performance Discussion As you prepare to hold the Performance Discussion for employees, consider several factors.  

1. Review Job Description Make sure job description is up to date from your perspective Include a copy of job description when you provide the self-review and ask employee to assess whether it is still an accurate reflection of their job Use job description as a starting point for performance discussion and goal setting

2. Time and Place Choose a quiet, private, neutral place where you will not be interrupted during the meeting Give employee your full undivided attention (e.g. don’t answer cell phone/work on lap-top/allow others to interrupt/etc.) Confirm the time and place of the meeting with the employee Allot at least one hour for both you and the employee to adequately and thoroughly give input and express concerns about his or her performance.  This will eliminate schedule conflicts and help set the tone for a productive discussion 

If not, what can YOU DO to fix the situation? 3. Performance Problems? First, ask yourself: Do they know the performance standard? Are they able to do it (skill level)? Do they have all the resources to do it? Are they willing to do it (motivation level)? If not, what can YOU DO to fix the situation? Before confronting an employee with a performance issue, it is important to first investigate to determine the actual cause. The reasons employees do not perform up to standard: They do not know what is expected They lack the appropriate knowledge, skills or abilities They lack the appropriate resources They lack motivation Performance problems are associated with one or more of the above listed items.

4. Data The employee’s self-assessment Any notes you made during the year Documentation from coaching sessions Feedback you gathered from employee’s colleagues, customers, students, etc. Any other information you have that bears on performance NOTE: Supervisors are highly encouraged to seek input and feedback from employee’s peers, customers, etc.

Conducting the discussion

Conducting the Discussion Start on a positive note Set the tone as one of communication and feedback Discuss responsibilities, clarify expectations and compare actual performance to performance standards Use documentation to discuss specific instances of performance

Conducting the Discussion Ask for the employee's assessment, comments and suggestions Listen carefully and seek to understand what is being said Don't interrupt Ask for examples Liberally use the phrase, "Tell me more" Avoid becoming defensive  Don't take it personally Be open-minded—there may be a better way Admit mistakes Don't try to fix blame on someone or something else Thank the employee

Performance Management Cycle 1 Setting Goals & Expectations Define job criteria by which performance will be measured based on job description Establish goals and objectives Communicate expectations to employees Rework objectives or performance standards, if necessary 3 2 Annual Performance Review GU Performance Review Mistakes to Avoid Behavior Based Statements Performance Coaching Define coaching Give effective feedback Recognize employees’ area of development Coach for better performance Document

GU Performance Review Packet Timeline of Key Months Document - Outlines process for completing review Overview Document - Compensation philosophy, guidelines and annual review rating definitions Employee Self-Review Document - Contains self assessment and employee goals Annual Performance Review Document - Performance and behavior criteria Performance Review Packet can be found at www.gonzaga.edu/humanresources Handouts: Summary sheet Self-review Manager review

Performance Review Program Guidelines Supervisor forwards signed document to the department head, dean, or area vice president for signature Original signed copy of the review should be sent to Human Resources to file Supervisor should conduct on-going performance discussions, maintaining open communication, and work on the outlined goals throughout the year Emphasize / Encourage: On-going discussions Record performance events throughout the year so do not forget at annual review

Performance Review Program Guidelines Typically, annual salary increases spreadsheets will be distributed for approval/signature by Human Resources to the Area Vice President and should be returned to Human Resources as part of the annual budgeting process Any employee concerns regarding performance review content should be addressed within the Area Vice President Division Final annual increase spreadsheets are provided to Payroll for loading from Human Resources Annual increases will be communicated by the President

Summary Performance Management is an ongoing feedback process designed to help employees gain greater competence and overcome barriers to improving performance. The goal of coaching is to create a change in behavior, to move employees from where they are to where you want them to be. Recognition is a vital component to performance coaching. Thanking employees and providing them with specific examples of good and exceptional performance encourages them to continue doing well. Review summary Following the guidelines from this session will help improve the performance of your employees and department, while avoiding legal liability.

Additional Resources Performance Conversations by Christopher D. Lee, PhD It’s Okay to Be the Boss by Bruce Tulgan Performance Management by Robert Bacal Writing Performance Documentation by Janis Fisher Chan www.gonzaga.edu/gutraining