1. COLLEGE OF WILLIAM & MARY/VIMS
PERFORMANCE PLANNING & EVALUATION POLICY for Professional & professional Faculty Informational Session

2. Training Objectives The Purpose of Performance Management
Performance Management Cycle
Roles & Responsibilities
Methods of Assessment
Understanding the Ratings

3. Training Objectives (cont.)
Conducting the Performance Review Meeting
Appeal Process
Best Practices and Common Pitfalls in Assessing Performance

4. The Purpose of the Policy
Designed to establish a system for:
aligning performance goals with University strategic goals;
setting performance & career development goals & objectives;
monitoring employee progress, providing constructive feedback, & evaluating performance.

5. Aligning Goals College’s Strategic Objectives
Unit’s Strategic Objectives
Employee’s Annual Goals
Employee’s Development Goals
An effective performance management process will tie the overall strategic objectives to individual employee performance and development goals. As depicted in this graphic you can see how those strategic objectives are translated to unit goals as well as the individual contributor.

6. Example of Goal Alignment
College: Explain and promote W&M through a more effective communications strategy
Unit: Develop an integrated communications strategy consistent with W&M Branding
Employee: Ensure all communication meets W&M Branding standards
Development: Increase knowledge of W&M branding strategies
It is one of key College’s objectives to explain and promote W&M through a more effective communications structure and strategy (also known as Challenge #6).
In the Departmental level this means to develop an integrated, appropriate communications capability through targeted actions. Preserve, promote, and enhance unique College’s brand using specific departmental means.
Facilities: appearance of buildings and grounds.
Swem Library: representation of W&M history, and achievements at library collection, including readily available online collection.
IT: providing secure and reliable technologies that will help to promote the college.
Development: reach out to individuals and organizations to promote W&M as one of the top colleges in the country.

7. Expected Outcomes Development of a common performance culture;
Individual, team and organizational effectiveness;
Alignment of individual performance with College’s and Unit’s strategic objectives;
Fostering on-going feedback and competency development;

8. Expected Outcomes (cont.)
Set forth roles, responsibilities and performance standards;
Lay out assessment criteria;
Provide information for:
Compensation decisions
Rewards & Recognition
Development Plan
Corrective Actions

9. The Essence of Performance Management
Performance management is a communication tool that enables employees to know exactly where they stand and what they need to focus on to improve their own performance and to grow within the organization.

10. Stages of Performance Cycle
Phase I
Planning
Phase III
Evaluation
Phase II
Monitoring

11. Roles and Responsibilities
Phase I
Planning
Roles and Responsibilities
Supervisor
Seeks input from employee regarding annual performance & professional development goals
Communicates & documents employee’s performance plan and method of evaluation
Reviews position description for accuracy
Meets with employee to discuss and finalize
Employee
Collaborates with supervisor to develop annual performance and professional development goal
Collaborates with supervisor to ensure accuracy of position description
Clarifies expectations & understands how objectives will be rated
Planning means setting performance expectations and goals for groups and individuals to channel their efforts toward achieving organizational objectives. Getting employees involved in the planning process will help them understand the goals of the organization, what needs to be done, why it needs to be done, and how well it should be done.

12. Starting Point Employee Position Description
A document that contains info about the position, core responsibilities, required qualifications, etc.
Conversation about performance expectations and specific goals should start with reviewing employee’s core responsibilities as they are listed in the position description. If needed, supervisor may revise and/or clarify duties in the PD. In this case employee needs to notified and a copy of revised sent to HR.
Specific annual goals does not need to listed in the position description.

13. Selecting Method of Assessment
Phase I
Planning
Selecting Method of Assessment
In order to accommodate various types of professional/professional faculty positions, the policy provides supervisors latitude in selecting the method of performance planning, evaluation and documentation most appropriate for a position. The supervisor informs the employee at the beginning of the cycle the primary method that will be used for evaluating the employee’s performance.
Under the new policy, supervisors can select the method of performance planning and evaluation that provides the best fit to the specific types of positions in this category (professionals and professional faculty). We will give you examples of the most commonly used methods.

14. Methods of Assessment Examples
Phase I
Planning
Supervisory evaluations: top-down performance evaluation conducted by a direct supervisor
Peer-to-peer: performance evaluation conducted by a colleague in an equal position level and typically in the same functional area
360° Assessment: provides a more holistic view of the employee's performance by attaining feedback from the employee, subordinates, superiors and peers
Self–evaluation: completed by employee and usually complimented by supervisor’s evaluation on the same factors

15. Setting Goals
Phase I
Planning
Performance plans must be established within 30 days of the new performance year.
For new employees hired before March 1st plans must be established within 30 days of the hire date and will cover the remainder of the current performance year.
The regulatory requirements for planning employees' performance include establishing the goals and standards of their performance appraisal plans. Performance goals and standards should be SMART.
For new employees hired after March 1st plans must be established within 30 days of the hire date and will cover from the hire date through the next performance year.

16. Basic Competencies Job knowledge Leadership skills Problem solving
Phase I
Planning
Basic Competencies
Job knowledge
Leadership skills
Problem solving
Relationship building
Communication
Organizational citizenship

17. Performance Planning Model
Phase I
Planning
Performance Planning Model
GET THE WORK DONE!
ACHIEVE RESULTS
What you do
How you do it
Annual Goals
Duties/Responsibilities
Special Projects
Job Knowledge
Leadership Skills
Problem Solving
Relationship Building
Communication
Organizational Citizenship
EMPLOYEE CAREER DEVELOPMENT

18. Roles and Responsibilities
Phase II
Monitoring
Supervisor
Monitors employee performance during performance year & communicates with employee on a regular basis about performance
Conducts at least one interim discussion and documents discussion
Addresses instances of poor performance in a timely manner
Assists employees whose performance has been identified as needing improvement
Employee
Manages own performance to achieve goals & communicates with supervisor circumstances that may affect goal achievement
Seeks performance feedback from supervisor and internal/external customers
Addresses aspects of performance identified as needing improvement
Monitoring means consistently measuring performance against established goals and measuring competencies against the developed performance standards. Regulatory requirements for monitoring performance include conducting progress reviews with employees where their performance is compared against their goals and standards.
Monitoring also means providing ongoing feedback to employees and work groups on their progress toward reaching their goals. By monitoring continually, unacceptable performance can be identified at any time during the appraisal period and assistance provided to address such performance rather than wait until the end of the period when summary rating levels are assigned.
In an effective organization, employee developmental needs are evaluated and addressed. Developing in this instance means increasing the capacity to perform through training, giving assignments that introduce new skills or higher levels of responsibility, improving work processes, or other methods. Providing employees with training and developmental opportunities encourages good performance, strengthens job-related skills and competencies, and helps employees keep up with changes in the workplace, such as the introduction of new technology.
Employee performance plans should be flexible so that they can be adjusted for changing program objectives and work requirements. Additionally, during monitoring of work deficiencies in performance become evident and can be addressed by an adjustment to the original plan.

19. Employee Involvement Phase II Monitoring
Encourage open and ongoing communication and collaboration between supervisors and employees
Employees are more likely to consider the system as being fair if they have involvement and understand the process.
Employees are more likely to demonstrate genuine commitment to goals and performance.
Performance evaluation is most effective when employees are actively involved in open discussion about their own performance. Involving the employee in the performance evaluation process will make it a meaningful, worthwhile experience for you, the employee, and the organization because employees:
- there is open and ongoing communication between management and employees
- are more likely to consider the system as being fair if they have involvement and understand the process, and
- are more likely to demonstrate genuine commitment to goals and performance.

20. Performance Documentation
Phase II
Monitoring
Performance Documentation
Both Employee and Supervisor are encouraged to maintain documentation in support of performance evaluation.
Supervisor
Supervisor’s File
A confidential file for each employee containing any notes, Memos, work samples, interim evaluation, previous employee evaluations, disciplinary actions, etc.
Employee
“Me” File
A confidential file containing any notes, Memos, work samples, etc.

21. Roles and Responsibilities
Phase III
Evaluation
Supervisor
Provides employees opportunity for self-assessment
Prepares annual performance evaluations and documents significant performance issues
Conducts meetings with employees individually to discuss evaluations and development needs
Provides chosen performance evaluation documentation for review and approval by the reviewer
Employee
Provides a self assessment to supervisor
Participates in performance discussions
Addresses aspects of performance identified as needing improvement
Evaluating performance means assessing employee against the goals and standards in an employee's performance plan and assigning a summary rating of record. The rating of record is assigned according to procedures included in the organization's appraisal program. It is based on work performed during an entire appraisal period. The rating of record has a bearing on various other personnel actions, such as granting within-grade pay increases and determining additional career opportunities, retention credit, etc.

22. Steps of Performance Assessment
Phase III
Evaluation
Steps of Performance Assessment
Employee Self Assessment
Interim Evaluations
Supervisor’s Documentation
Performance Evaluation

23. Evaluate Results & Competencies
Phase III
Evaluation
Evaluate Results & Competencies
Results
What was accomplished
Competencies
How the work was accomplished
Performance to expectations Achievement of goals Business contribution
Job knowledge
Leadership skills
Problem solving
Relationship building
Communication
Organizational citizenship

24. Rating Scale Exceptional High Satisfactory Fair Unsatisfactory
An employee whose work is characterized by:
• sustaining exemplary performance throughout the rating period;
• providing excellent service in support of the mission of the organization;
• consistently exceeding and sometimes far exceeding the criteria of the job responsibilities;
• consistently demonstrating initiative for the benefit of the College and Department;
• demonstrating full mastery of knowledge, skills and abilities, required work, and basic competencies.
High
• consistently high level of accomplishment;
• often exceeding performance expectations;
• providing significant service in support of the mission of the organization;
• independently demonstrating highly proficient knowledge, skills, and abilities, required work and behavioral competencies.
Satisfactory
An employee whose work is characterized by;
• achieving results at a level that generally meet and may at times exceed performance targets;
• providing commendable support to the contributions of the organization;
• demonstrating fully proficient knowledge, skills and abilities, required work, and behavioral competencies; with only a few areas in need of some improvement.
Fair
An employee whose work:
• requires substantive improvement to fully meet the performance targets;
• provides basic support to the mission of the organization;
• is at the beginner or developmental stage of demonstrable knowledge, skills and abilities;
• exhibits inadequate behavioral competencies;
• requires guidance and training to improve performance.
Unsatisfactory
(May conduct an interim performance evaluation and improvement plan (See Appointment & Terminations policy )
• fails to meet the criteria of the job function;
• falls short of performance targets;
• provides inadequate support to the mission;
• performs below the beginner or developmental stage of demonstrable knowledge, skills and abilities; required work and behavioral competencies.

25. Rating Guide 5 4 Performance 3 2 1 1 2 3 4 5 Competencies Exceptional
High
Performance 3
Satisfactory 2
Fair
Unsatisfactory 1 1 2 3 4 5
Competencies

26. Performance Review Meeting
During the Meeting:
Encourage dialogue;
Be specific, use plenty of examples;
Focus on the issues, not on the person;
Close on a positive note and make arrangements for follow-up with next-steps.
Use the meeting as an opportunity for a dialogue between supervisor and employee.
Employee participation is the key to successful communication during the performance management process.
Work to gain and maintain rapport throughout the evaluation meeting. Good rapport enhances clear communications.

27. Performance Review Meeting
Follow up includes:
A written development plan with new goals, timelines and clarified standards of performance.
Additional meetings between employee and supervisor.
Interim evaluations.
Training to build on strengths and address the needs.
Coaching and mentoring.

28. Best Practices
Communication
Collaboration
Coaching

29. Common Pitfalls Using evaluation as a corrective action tool.
Leniency error: tendency to give higher ratings than warranted.
Severity error: tendency to give lower ratings than warranted.
Opportunity bias: give credit or fault an employee for factors beyond his/her control.
“Halo” effect: generalization from one good trait.
“Pitchfork” effect: generalization from one weak trait.
Recency bias: give more importance to recent performance and ignoring the past.
Rating the job rather than individual: applying job criticality factor.
Length of service bias: credit for longevity of service or penalizing for being new.

30. Appeal Process
Employee should discuss issue with supervisor within 10 business days of having received the evaluation for reconsideration.
Supervisor may decline to reconsider, or reconsider it and either affirm or revise the evaluation.
If issue is not resolved, employee may file a written appeal with the reviewer within 10 business days of receiving the supervisor’s response.
Reviewer will discuss the appeal with the employee and the supervisor. Within 10 business days of receiving the appeal the reviewer must respond in writing to the employee. The response should indicate:
reviewer agrees with the supervisor’s evaluation; or
supervisor will revise the evaluation or complete a new evaluation
The reviewer’s decision is final; however employees alleging policy violations may have access to the Professional & Professional Faculty Grievance Procedure.

31. Performance Evaluation Cover Form

32. Performance Management Timetable
Phase I
July - August
Phase II
Sept - March
Phase III
April - June
Goal Setting
Performance, Monitoring,
Feedback
Mid-year Review
Annual Review
Dec-Jan
Due date set by Provost

33. Questions and Answers