Transcript CIT Performance Management

Process Overview November 2009
Session Objectives
 Understanding of Performance Management as a
System
 Awareness of steps involved in managing and
evaluating performance
 Future approach to Performance Management
Performance Management
What do you think of when you hear “Performance
Management?”
An effective Performance Management
System is…
A comprehensive process that maximizes engagement, development, and
performance by all employees in the employment lifecycle by:
 Defining and communicating performance expectations in a regular, ongoing manner
 Aligning position responsibilities with competencies (skills, attributes,
talents) needed to successfully perform role
 Remaining flexible, efficient, measurable, fair, and transparent
 Proactively focusing on employee development and talent management
to enable succession planning and career development to retain
employees and to build skills for future needs
 Linking performance to compensation, recognition, and rewards
 Aligning employee’s work to department goals and objectives
Why is Performance Management
Important?
 No matter how large an organization is all performance
begins with the individual
 Individual performance impacts teams ,divisions, business
units, and the organization
 Success is achieved through people
“If people know what they are suppose to do, get feedback on how they are
or are not doing it, and get rewarded for doing they are supposed to be
doing, companies will be more likely to get the results they desire.”
Why focus on Performance Management
Now?
 A desire to change the current process from a
compliance-based performance dialogue focus to a
holistic development-oriented process which will
enable strategic changes as we re-imagine Cornell
 Ensure a consistent focus on employee development
across units and the organization, aligning
performance conversations with strategic goals
How is an effective Performance
Management System achieved?
Training
Train supervisors and employees
Career
Development
Create Individual Development Plan (IDP)
Utilize rotations and on-campus and
off-campus training
Planning
University Mission
Unit Values and Goals
Department Goals
Individual Goals
Recognition
Correlate SIP and performance
Correlate promotions and bonuses
Utilize low-cost, no-cost ideas
Establish unit strategy & goals
Align goals of employee & unit
Determine performance level criteria
Assessment
Annual PD
On-going feedback
Talent Discussion
Assessment
 Annual Performance Evaluation
 Talent Review Process
 On-going feedback
Performance Evaluations
 Formal discussion between a supervisor and
employee occurring following some time frame as
determined by an organization.
 A form is utilized as a tool to both drive a
discussion and create a permanent document for
an employee’s file.
Why are Performance Evaluations
Necessary?
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Effectively communicate
expectations for behavior
and performance
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Raise overall performance
of the individual, work
team, unit and Cornell
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Improve communication
between a supervisor and
employee
Identify areas where
development or training
is desired
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Establish a consistent
process to develop,
communicate, assess, and
reward employees
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Provide historical data for
future supervisors who
need to understand the
context in which
behaviors occurred
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Establish objective,
defensible documentation
Why are Performance Evaluations
Necessary (Cont’d)?
 Required by University
 SIP eligible employees (term/regular part-or full-time,
hired on or before February 28th of any given year)
 Performance rating linked to SIP
 CIT HR provides attestation annually to University
Compensation – confirming evaluations have occurred
(ratings are NOT submitted to OHR)
Why Performance Evaluations are
Viewed Negatively
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Information is poorly
written
Comments are general
and not specific
There is no link to
employee’s job
description or goals
Employees perceive them
as unfair
Insufficient feedback
gathered
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Focus is on overall rating,
not on the conversation or
employee development
Evaluation is the same
year after year
Employee and/or
supervisor is
uncomfortable giving
feedback, even positive,
or discussing their
working relationship
Potential Results of Poorly Written
and/or Delivered Evaluations
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Employee does not feel valued
Loss of respect and trust for supervisor
Confusing expectations
Lower morale
Lower productivity
Perceived underlying reasons: retaliation,
discrimination, doesn’t like me, etc.
Difficult to defend in court
Results of Inaccurately Inflated
Evaluations
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Gives employee a false sense of security and
accomplishment which impacts motivation to do
better
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Negative impact on high-performers
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Difficult to defend in court
CIT Talent Review Process
Talent review began 5 years ago for CIT’s Directors to talk
about WHY they were provisionally considering specific
performance level ratings for individuals.
Directors listened and thought about whether the REASONS
being used in each case were similar to the reasons they
were using,
Performance level ratings are assessed and calibrated to
ensure consistency of application across the department.
The result is a set of rating criteria that defines behaviors
associated with each performance level (1 through 5)
Consistent Ratings
 Senior leaders need to agree on rating scales and
definitions so that everyone has a common understanding
of “what success looks like for their organization”
 Consistency in ratings means that the narrative and ratings
should match as well as the final overall rating should be
supported in the early ratings. Inconsistencies can create
problems both with employee perception and potentially
legally.
 Very important to use the same rating standards for people
with the same level of responsibility for the same reasons as
stated above.
Talent Review Myths
 Myth 1: Due to funding limitations, we can only
allocate a certain number of 4’s & 5’s
 Truth: CIT funding is not related to the number of 4’s
and 5’s given out. We believe people should get the
rating that represents their performance for the given
review period. We do not have arbitrary caps on
ratings.
Talent Review Myths
 Myth 2: Performance ratings are determined during the
talent review meeting – even before the evaluation is
written
 Truth: The talent review does NOT set final ratings. The
review process is incomplete at the time of the talent
review meeting. Also, the conversation at the talent review
is not as well-informed of specifics as is the direct
supervisor and Director. The point is not about the rating of
the individual but the development of a common set of
criteria that divisions will use.
Remember, there are two key aspects of performance to
consider:
WHAT is accomplished and HOW it was
accomplished.
Results
Integrity
Community
Innovation
Respect
Example
Employee A
Employee B
Deliverable: Represent unit on
CIT Cross Divisional Team
Result: Participated
Rating: ?
Behaviors:
 Attended all meetings.
 Shared information about
meetings with workgroup.
Deliverable: Represent unit on CIT
Cross Divisional Team
Result: Participated
Rating: ?
Behaviors:
 Attended all meetings and
volunteered to create/maintain
Confluence site for team.
 Provided updates to entire unit at
unit ‘town meeting’
 Helped write and present team
updates at CIT Town Meeting
 Asked others in unit for input on
discussion areas to bring feedback
to meetings.
The Formal Evaluation Process
 November 2009 – Information Gathering
 December 7, 2009 – Talent Review
 December 2009 – Evaluations Drafted and Reviewed
 January 2010 – Performance Evaluation Discussions
 February 15, 2010 – Performance Evaluations submitted to
CIT HR
Information Gathering
 Strongly encouraged and expected that everyone in CIT share
feedback on their experience with others in the organization as
well as request feedback on their individual performance
 Collect emails, value cards, or other feedback received
throughout the review period
 Feedback can be given on and come from peers, internal CIT
customers, and/or your management (optimal: 10)
 Objective is to gather a wide range of perspectives on each
person’s performance from a variety of sources.
Self-Evaluation
 Employee completes self-evaluation (can complete performance
evaluation form OR use form as a guide for narrative self-evaluation)
 Document can be shared with the supervisor before or
at the scheduled discussion
 It’s another piece of information for the final review to
help identify everything the employee has
accomplished throughout the review period
 Helps understand where potential misperceptions may
exist – where more information may need to be
gathered
 A mechanism for an employee to self-monitor progress
Self-Evaluation Cont’d
Needs Work
Good Work
Great Work
I often arrive to work and
meetings late or leave early. I
avoid extra work, and when
working in a team, I allow
my coworkers to do most of
the work. I am often found
making personal calls and
chatting at length with
others about un-related work
topics. I display a lack of
enthusiasm in my work. I
appear overwhelmed by the
demands of my high-paced
environment.
I stay on-task in spite of
distractions and
interruptions. I don’t wait to
be told to take action, and
often look for an opportunity
to help move a project along.
I display an obvious sense of
urgency. I carry out
commitments displaying a
high energy level. I accept
personal responsibility for
quality and timeliness of my
work without making
excuses or blaming others.
I display enthusiasm for
each new project. I take pride
in my work and am often
asked to assume leadership
positions. If I am unsure
about something, or uncover
an unexpected problem, I
take immediate action to
remedy the situation and to
bring it to the attention of
others in order to avoid the
problem in the future.
Effective Evaluation Elements
 Review employee’s position description noting any changes in
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job responsibilities
Compare data collected against the employee’s position
description and program contributions
Review employee’s self evaluation
Consider the entire review period
Provide clear explanations of ratings using specific examples
Do not use ‘generalizations’; focus on behaviors – think about the
“how”
Be careful not to use language that may be legally misconstrued
Be consistent in assigning ratings with overall rating
Differentiate between employees’ performance levels
Do not avoid areas that need improvement
Common Rater Errors
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Halo Effect
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Strictness, Leniency, and Central Tendency Bias
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Recency Bias
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Contrast Effect
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Personal Bias
Overcoming Rater Errors
 Good performance documentation. Written notes,
regularly updated, can also serve as a source of specific
information for coaching and counseling and as
required documentation for progressive discipline
cases.
 Clear definition of employee objectives and
performance expectations. If both the manager and
the employee have a clear understanding of what is
expected on the job, the entire performance evaluation
process becomes much more effective.
Ratings Supported by Examples
This is particularly important when ratings are on either of
the extreme ends. The more specific the examples are the
better. The best examples include:
Who was involved
What was expected
 What was accomplished (or not)
 What was the impact (or not)
 How it was accomplished
 Supporting feedback from others
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Generalization vs. Behaviors
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Bob has a positive attitude. Others really enjoy working with
him. He always accepts new assignments –even things that are
not included on his job description. He is a real pleasure to
have on my team.
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Bob always demonstrates a positive attitude – which makes
others want to work with him. Recently he and a few other
members of the team were assigned to the office move project –
which was one of many assignments he willing accepted this
year. He came to every meeting, was willing to take and
distribute minutes for the rest of the team and personally
walked around the new floor plan to every member of the team
to discuss their needs in the new space. Not only was he
integral in creating the new plan, but he really helped to
convert others from being extremely negative about the move
to being very supportive because of his upbeat nature, and keen
listening skills. This is just one of several examples I could
mention.
These are critical because…
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Shows employees the supervisor cares and notices what
they are doing
It’s hard to argue behaviors vs. judgments
Helps to clearly demonstrate specifics of what an
employee should continue/discontinue doing
Provides solid information for supporting the assigned
rating(s)
Provides a foundation to enable to employee to
understand expected behaviors/results that can
potentially help them achieve a higher rating for the next
review period.
Protects legally and in government audits
Also…
 Cornell’s expectations for CIT keep changing – the bar
is continually rising
 We are expected to do more with less – working
smarter
 Likewise, CIT’s bar is rising for “meeting expectations”
each year.
 Employees who are not making these changes will not
meet expectations over time.
Legal Language
It is very important to avoid language that could
potentially be used against the unit or a supervisor in
a lawsuit. A performance evaluation is something
almost always subpoenaed in a lawsuit.
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Topics to avoid: gender, race, religion, marital status,
kids, disability, illness, age, sexual orientation,
national origin and/or other personal life situations.
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Something like – “receives too many personal calls” is
ok – as a general statement since it is a work related
policy issue. When in doubt, ask HR.
Setting Goals
 The man who starts out going nowhere, generally gets
there.
Dale Carnegie, author and pioneer in self-improvement and interpersonal skills
 There’s nothing so useless than executing a task
efficiently when it actually never should have been
executed at all.
Peter Drucker, American management guru
 The value of achievement lies in the achieving.
Albert Einstein, German-born American theoretical physicist
Setting Goals
 4 Questions to consider
 What is to be accomplished?
 How will it be measured?
 When should it be achieved?
 How will it be achieved?
 Determine reasonable outcomes and/or projects for the employee to
accomplish during the upcoming review period
 Identify as many are needed; however, make sure the workload is
realistic
 Follow the SMART criteria:
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S – Specific
M – Measurable
A – Attainable
R – Realistic
T – Time Bound
Setting Goals
 Supervisor and employee together may develop goals
 Supervisor and employee may develop goals
separately, then meet and make modifications
 Supervisor develops goals and reviews them with the
employee
Setting Goals
 Allow flexibility when developing goals. They will need to
be adjusted when work priorities change.
 Joint involvement ensures shared understanding of
performance expectations and accountability and
responsibility of results.
 Ask employee what they think they can achieve – then
work together to set reasonable, obtainable expectations
Reviewing Goals
 Supervisor is expected to monitor projects and
assignments on a continual basis
 Feedback can be given in a more timely manner and
assistance can be provided, if needed
 Recommended to review goals at least once during a
given review period to discuss performance-to-date
 Interim reviews should include a discussion about
whether the stated goals have changed or should
change
Sample Goals and Performance
Expectations
Example 1
Objective: Coordinate the technical aspects of the Stargazer
project and ensure the project is complete by February 1,
within the $600,000 budget, and that the resulting system
meets customer specifications.
Performance Expectation: “Fully Achieves Expectations”
performance will consist of 1) completion by deadline, 2)
costs at budget, 3)systems performance meets customer
requirements, and 4) customer signs off that they
understand user procedures and are able to operate the
system
Sample Goals and Performance
Expectations
Example 2
Objective: Within the next six months, the employee will
define customer requirements for the Stargazer system,
develop a proposed system solution to meet requirements
and obtain customer approval for mock-up, including
input and output formats, computational processes, and
quality assurance procedures.
Performance Expectation: Customer evaluation of project
produces ratings of “Frequently Exceeds Expectations” or
higher on 1) responsiveness of customer needs, 2)
timeliness, 3) quality of work, 4) efficiency/cost control,
5)technical performance of system.
Assessing Goals
Supervisor documents outcome of employee’s efforts to
achieve stated goals. This includes:
 Description of extraneous factors or unanticipated events that
complicated or inhibited the employee’s ability to achieve the
desired result(s)
 Reasons for any revisions that were made to the original goals
and performance expectations as well as what adjustments
were made
 Discussion of how the employee performed – impact on
peers, users, effectiveness of unit – focusing on behaviors,
skills, knowledge, techniques involved and how the affected
the effectiveness of the employee
 List other accomplishments that were not included in the
original list
Areas for Development
 Traditionally, the focus as been on areas where
performance is ‘below expectations.’
 In situations, where an employee has a ‘weakness’ that
does or may impact their overall performance, these areas
need to be discussed with the employee to ensure their
success. Focus on developing strengths as well.
 When the employee is fully meeting expectations, focus
development on building strengths.
 Work together to create more opportunities for the
employee to utilize their strengths in their day-to-day
work, where possible.
Identifying Strengths
 Employees are best at identifying their strengths
 Strengths are activities that make a person feel strong
 S – Success (when you do it, you feel effective)
 I – Instinct (before you do it, you actively look forward
to it)
 G – Growth (while doing it, you feel inquisitive and
focused)
 N – Needs (after you’ve done it, you feel fulfilled and
authentic)
Giving Developmental Feedback
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Describe the specific job behavior(s) that
 met/exceeded expectations and needs to be replicated
OR
 that failed to meet expectations and needs to be
improved
Explain the “line of sight” by describing how the behavior
positively or negatively impacts the employee and the
work unit
Ask the employee for comments; then LISTEN and discuss
Focus on the behavior not the employee
Continued…
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Follow-up with feedback on growth and improvement
efforts – recognize progress
Document, document, document (both positive and
negative)
The evaluation should not contain surprises!
Significant events or performance concerns included
in the document should have been discussed with the
employee during the review period.
If performance does not improve, consult with CIT
HR to discuss next steps
Needs Improvement
CIT HR must be consulted if it has been determined that
an employee is not meeting expectations which may
potentially result in a rating of “Needs Improvement”
or “Fails to Achieve Expectations.”
This must occur before the performance evaluation
discussion is conducted.
Form – Changes 2009
 Ratings
 Personal Communication Devices
 Flexible Work Arrangements
The Meeting (supervisor)
RESOURCE: Preparing for the Annual Performance Dialogue (employee and supervisor)
http://www.ohr.cornell.edu/careerDev/performMng/preparingchecklists.html
 Establish a convenient time and location
 Allot ample time to allow for a meaningful and
constructive discussion
 Location should be free from interruptions (e.g. phone
calls, office visitors, general conversations and other
common office activities)
The Meeting (supervisor)
 Encourage the employee to communicate - ask
the employee to start the meeting talking about
things they felt went well and things they felt
could have gone better; Ask how you can help.
 Use “I feel”, “I believe” rather than “you” language
where possible – particularly if areas are
sensitive/conflict laden
 Actively listen to the employee and check for
clarification and understanding
 Agree to disagree – be respectful
 Ask what you can do better
The Meeting Cont’d
 Be realistic and honest – do not make promises or
mislead
 Agree on goals
 Set dates to follow-up, if needed
 Thank the employee
 Revise evaluation, if needed
 Have employee sign the final revision; obtain next
level of supervision signature
 Employee signature indicates the evaluation
discussion occurred as well as receipt of the
evaluation form and does not necessarily
constitute agreement with the review.
The Meeting – Potential Mistakes
 Failure to fully explain the rationale of the evaluation process
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to the employee.
Rushing the meeting or allowing insufficient time for dialog.
Doing too much of the talking yourself instead of actively
listening to the employee.
Discussing activities instead of the results of those activities.
Avoiding or underemphasizing performance problems.
Being too negative when you do discuss problems.
Over-praising, the opposite sin.
Failure to cite specifics to support the rating.
Comparing employees instead of making individual
assessments.
The Meeting – Potential Mistakes
 Getting sidetracked or bogged down in details.
 Forgetting that “facts” reported about the employee may
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reflect unconscious attitudes by others who gave input to the
review.
Failure to build on the employee’s strengths in devising
solutions.
Becoming emotionally involved and losing objectivity.
Failure to involve the employee in creating solutions to
performance problems, and then to produce written plans of
those solutions, with specific goals, objectives, and target dates.
Failure to close with a summary that leaves employees with a
clear understanding of where they stand, what they need to do to
meet standards, and how and when the supervisor will help in
that process.
http://hrdailyadvisor.blr.com/archive/2007/01/17/performance_appraisal_annual_review_meeting_mistakes.aspx
Employee Comments
Every employee has the right to include comments to
their evaluation – which will become part of the
employee’s permanent file.
An employee can:
 Provide written comments to their supervisor before
signing the final evaluation
 Send the written comments directly to CIT HR for
inclusion in their file. All comments are reviewed by
CIT HR.
Next Steps
 Final evaluation signed (employee, supervisor, and
next level of supervision) with a copy to the
employee and the original version sent to CIT HR
no later than February 15
 If there are any areas of development in an
employee’s current role, discuss strategies and
expectations going forward.
 Over the next review period, monitor employee’s
progress and give frequent feedback, coaching
and/or praise
Salary Improvement Plan (SIP)
 February/March – Cornell Compensation sends
proposed SIP percentage and guidelines
 March/April – CIT determines SIP allocations based
on Compensation guidelines
 April – Proposed allocations/budget is submitted to
OHR and Finance
 Late May/Early June – Board of Trustees review budget
 Mid-June – communicates SIP awards
 July 1st – SIP increases are effective
The Future
 Performance Management – Systematic Approach
 “New” Performance Evaluation form
 Goals – Process Change
 Training
Resources
 CIT processes and procedures related to University
Policy 6.10.6
http://www.cit.cornell.edu/about/policies/procedures
/performance_eval.cfm
 University HR Policy 6.10.6 Performance Dialogue
http://www.ohr.cornell.edu/policies/nonacademic/1011e_e
mplgrowth/6106.html
Questions?
Treat people the way they are and they will
stay that way.
Treat people the way they can become and
they will become that way.
Johann Wolfgang von Goethe, 1749-1832, German writer and author of Faust