1. Gonzaga University Performance Management:
Leading Workplace Performance
For Management Personnel

2. 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”

3. 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?

4. 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

5. 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

6. 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”

7. Performance Management Cycle1
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

8. 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

9. 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

10. 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

11. 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?

12. 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

13. 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

14. Performance Management Cycle1
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

15. 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?

16. 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

17. 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”

18. 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

19. 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.

20. 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)

21. 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.

22. 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

23. 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

24. 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

25. 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

26. 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”

27. 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

28. 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.

29. guidelines for effective Performance discussions

30. 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

31. 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

32. 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

33. 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.

34. 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

35. 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

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

37. 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

38. 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 

39. 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.

40. 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.

41. Conducting the discussion

42. 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

43. 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

44. Performance Management Cycle1
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

45. 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
Handouts:
Summary sheet
Self-review
Manager review

46. 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

47. 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

48. 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.

49. 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