1. Managing Employee Performance: Performance Programs and Appraisals University at Buffalo Office of Employee Relations

2. Presenter
Sarah L. Augustynek, Assistant Director, Employee Relations, Human Resources

3. Performance Program
Definition - The instrument on which formal evaluation for the ensuing evaluation period will be based

4. Performance Program
The performance program outlines specific goals, objectives and expectations
Not a job description

5. Performance Program Done Annually for all employees
UUP: New employees must receive consultation within 1 month of hire and formal program within 15 days of consultation

6. Program – The Process Discussion between Employee and Supervisor
that includes:
Duties and Responsibilities
Supervisory Relationships
Functional Relationships
Immediate and Long-term Objectives
Criteria for Evaluating Achievement of Objectives

7. Programs – The Process
After consultation, supervisor determines the objectives to be achieved
The immediate supervisor, after consultation with employee, identifies any secondary sources
As a result of these discussions, objectives are stated in the program

8. Programs – The Process
Program is reviewed by the evaluator’s supervisor for approval and signature
Final program is signed and dated by both parties and the department
Original is sent to Human Resources

9. Performance Program Cycle
Supervisor should observe and informally review performance
Supervisor should act as a mentor by providing coaching and feedback
Supervisor should conduct counseling to address specific suggestions for improvement

10. Performance Program Cycle
A Performance Program shall be modified as circumstances warrant
Supervisor should meet with and discuss potential modifications of the Program with the employee
Modifications of the Program need to be specified in writing

11. Change in Supervisor
Employees should be notified in writing of the person designated as their immediate supervisor upon initial appointment
Changes in the immediate supervisor must also be provided in writing to the employee within 30 calendar days of the change

12. Disagreement with the Program
If an employee does not agree with the Performance Program, he or she has the right to attach a statement to the Performance Program within ten working days of the employee’s receipt of that Program

13. Performance Evaluation/ Appraisals

14. Appraisals
Toward the end of the Program cycle the supervisor should begin review process by:
Comparing actual performance with the Program
Consulting with secondary sources

15. Appraisals
Supervisor should develop a draft of the appraisal (self-evaluation?)
Supervisor should meet with the employee to review the draft of the appraisal
Supervisor should review the draft of the appraisal with the evaluator’s supervisor for approval

16. Appraisal
The Appraisal should be dated and signed by the employee, the evaluator and the evaluator’s supervisor and then sent to HR.
A new Performance Program should be prepared for the next cycle and also sent to HR.

17. Appraisals
Employees may appeal an unsatisfactory evaluation to the College Committee on Professional Evaluation-UUP/ or the Evaluation Appeals Committee- CSEA
Appeal must be submitted within ten working days of receipt of appraisal

18. Managing Overall Employee Performance

19. Managing Overall Performance
Vision
Open Communication
Allow your employee to discuss and ask questions
Give the employee the ability to get the job done (room to grow – don’t micro-manage)
Give Honest feedback
Lead the way and by example
Remember.. people want to do a good job!

20. Continuous Performance Management Process
Same Date
Feedback
Year
Begin Organizing
Process
Coaching
(Counseling)

21. Feedback Through feedback, you:
Identify the problem or observable behavior with the employee
Briefly explore the reasons behind the issue, and
Clearly state your expectations for future performance.

22. Guidelines for providing feedback
Provide feedback in private.
State the performance or behavior observed. Be as descriptive and factual as possible, i.e., "This letter has six typos." Avoid judgmental language, i.e., "You don’t take your job seriously." Don’t use broad generalities and exaggerations, such as "You’re always late," because they’re usually not true and can be disputed by the employee.
Explore the situation with the employee. Give the employee a chance to discuss the issue from their perspective.
State your expectations clearly. Be sure that you avoid ambiguous or non-specific terms.

23. Coaching
Coaching:
Similar to feedback but more focused on problem-solving.
As a coach, you may make suggestions for resolving the issue behind the performance problem.

24. Coaching Discuss Performance Problem Make Suggestions for improvement
Written reports have typographical errors and misspelling
Make Suggestions for improvement
Use spell-check; have a co-worker proof-read; organize your workstation to focus on only one project at a time.
Give Expected Outcome
Significant decrease in typographical errors; no need to have supervisor correct/review documents.

25. Coaching Supervisors Notes:
It is important to keep track of feedback and coaching sessions.
Supervisor’s Notes can help you:
Recall an employee’s behavior as well as your actions,
Track both outstanding and poor performance,
Support performance evaluations as well as counseling,
Keep on top of an employee’s activities, and
Serve as a memory jogger.

26. Coaching Supervisors Notes:
It is important that Supervisor’s Notes be factual, specific
and devoid of judgmental language and personal
derogatory comments.
Below is a sample of a supervisor note:
Monday, April 4, 2002 – Lisa arrived at 8:42, 12 minutes late; she didn’t settle into her workstation until 9:05. I called her into my office at 9:15; informed her that she was late, and that we needed her to be at her workstation, ready to work at 8:30. She said she "had a long weekend," and was sorry. I reminded her that being on time was important. Her response was, "I know, you don’t have to remind me." I told her I would be watching for her to improve.

27. Counseling Counseling is more formal than feedback and coaching.
What is Counseling?
Counseling is a planned, direct, structured, face-to-face dialogue between a supervisor and an employee to improve or correct behaviors and/or performance.
It is a direct and efficient means for a supervisor to have a positive effect on employee performance.

28. Counseling Counseling v. Discipline:
Counseling should not be confused with discipline.
Counseling attempts to correct performance through face-to-face communication and problem solving.
Discipline attempts to correct performance through penalizing the employee.
When is it appropriate to counsel?
When you see that established standards for performance and behavior are not being met by the employee.

29. Counseling Steps in the Counseling Process:
Schedule and plan the counseling session
Inform the employee
Prepare for the counseling session.
Conduct the counseling session.
Write a counseling memo that captures the session and then meet again to review and have the employee sign and date.
Follow-up after the session

30. Counseling What to do during a counseling session
Set a positive tone. Counseling is a process for helping the employee identify performance and/or behavior problems, and to think about how these will be resolved.
After you have welcomed the employee to the counseling session and have explained why he or she is there, stick to the facts. Avoid sharing opinions and don’t get personal.

31. Counseling Clearly describe the problem. Be direct and clear.
Talk about the behavior you have observed.
Describe the problem in concrete terms, using specific examples.
Explain how the employee’s behavior affects others.
Explain rules, policies, and expectations regarding the performance.
Make sure the employee understands what is expected in the future.

32. Counseling Ask, Then Listen
Counseling is not one-way; it is a two-way, face-to-face communication. Be sure to give the employee ample and reasonable opportunity to respond.
Ask for the employee’s response.
Listen to the employee’s perspective on the situation.
Ask open-ended questions.

33. Counseling Identify Options for Correcting the Situation
Once you have established a rapport with the employee by identifying the problem area, explore with him or her ways to improve or correct the situation.
Reinforce expectations.
Discuss ways to improve.
Encourage the employee’s suggestions for correcting the situation.
Establish a performance improvement plan with the employee.
Include clear expectations and a date for a follow-up session.

34. Counseling
Take Notes
Have your "plan of action" in front of you (bullet points). Take notes during the dialogue. Notes are invaluable, they can:
Refresh your memory about what occurred in the session and the actions upon which you and the employee agreed.
Help you summarize the session with the employee.
Form the basis for the counseling memo, if you decide a memo is appropriate.

35. Counseling The Last Step in the Counseling Process
The last step in the counseling process is to decide whether or not to write a counseling memo. A counseling memo is a structured account of the counseling session, detailing what was said and by whom. It summarizes the performance improvement process and notes when the follow-up session will be held. You should tell the employee during the counseling session that you may be writing a counseling memo which will be given to him/her and placed in the Personal History Folder.

36. Counseling
When making the decision about whether or not to write a counseling memo, consider if any of the following are present:
Previous counseling has failed to bring improvement.
You have little or no confidence that the employee will correct the problem without further encouragement.
The seriousness of the situation requires it, or
A multi-step plan for improvement (PIP) is designed and the memo can serve as a written confirmation and reminder.

37. Counseling
Please consult with the Office of Employee Relations at any step in the process, but preferably at the beginning as no two situations are alike.
If warranted, progressive discipline may be an appropriate next step after counseling.

38. Contacts Questions should be directed to:
Human Resources, Employee Relations Office, HRD Building,