Performance Management Handbook for Management (MCP) Employees

Quick Reference Guide

Developed by Human Resource Development Unit (copyright protected) Nova Scotia Public Service Commission

November 2002

Appendix C--Quick Reference Guide Table of Contents

PERFORMANCE MANAGEMENT PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 1 Overview of Roles & Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 1 PLANNING PERFORMANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 2 How to Write SMART Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 2 Examples of Performance Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 3 COACHING PERFORMANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Managers Role in Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Managers Role in Giving Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Managers Role in Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Employees Role in Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 4 Page 4 Page 5 Page 7 Page 8

REVIEWING PERFORMANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 9 Managers Role in Reviewing Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 9 Employees Role in Reviewing Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Page 10

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PERFORMANCE MANAGEMENT PROCESS

Overview of Roles & Responsibilities
Plan
Employee & Manager: Define four to six targets

Coach
Employee: Self-monitor performance and seek feedback Manager: Monitor employee performance, give feedback, coach, & review performance quarterly The employee and manager track performance in relation to targets and competencies. The manager provides feedback to employee about performance and behaviours. The employee seeks feedback to ensure performance is on track. The employee and manager discuss & identify performance gaps and agree upon solutions for improvement. The manager reviews the employees progress to date and demonstration of competencies. The employee and manager identify critical issues or required adjustments making note of date, actions to be taken, and identified training needs.

Review
Employee: Self-assess performance and competencies; plan personal development Manager: Assess, validate, and rate performance; plan development The employee and manager complete the Core Leadership Competency Assessment. The manager develops preliminary ratings for each performance target and core leadership competency. All managers in a department compare the overall performance rating for employees in the department to ensure that the ratings comply with the guidelines. The manager records ratings for performance targets, competencies, and the overall rating on the form. The employee and manager discuss performance results and demonstration of competencies. The employee and manager identify developmental activities and discuss career interests. The manager records career development suggestions on form. The manager records career interests and training recommendations on form.

Employee: Write SMART targets

The employee and manager discuss employees key activities in relation to business plan. The employee and manager define and agree on four to six performance targets. The employee writes SMART targets and records them on the form. Ensure that the difficulty or challenge of the target is recorded. The employee and manager complete the core leadership competency assessment, discuss, and select those relevant to the employees role and responsibilities. The employee records the selected competencies on the form. The employee and manager review targets and competencies to identify development needs. The employee indicates development activities on the form.

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PLANNING PERFORMANCE
How to Write SMART Goals
Is your goal....
Specific What I am going to achieve as a result of this target? Does it relate to critical job elements and the business plan? Is the wording precise enough so that the employee knows exactly what to do and when? Is it clear to others what the employee is trying to achieve? What is the result that will be accomplished? Measurable Where will I set my performance targets so my manager and I both know when I have met the results? Can the result be easily measured (quantitatively or qualitatively)? Is the result practical and cost-effective to measure? Will the employee know when the target is met? How can we check progress and verify outcomes? What outcomes will trigger a coaching discussion? Attainable How difficult will it be to achieve this target? Does the employee have the knowledge, experience, and skills needed to realize the result? What would prevent this goal from being achieved? Does it realistically consider limitations (finances, human resources, equipment, time)? Is it within the employees control? Is it realistic in terms of work-unit experience? Is there sufficient challenge? Relevant Why is this target important to my organization? Does the target address the needs of key work partners and customers? Is the target directly related to the business plan? Does the target make sense considering my job description and responsibilities? Time-bound When will I have accomplished this target? How long will it take to achieve this goal? Are dates set up to review progress? Is there a time-line specified? Is there an ending date, deadline, and/or milestones for the result?

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Examples of Performance Measures

Performance Target
Reduce delays in client accounts receivable statements.

Type of Measure
Time, deadline

Possible Specific Measures

Mailed with 5 days of receipt of billing information. Mailed by the 15th of the following month.

Maintain appropriate stock of office supplies. Control expenses against operating budgets.

Quantity

Not to exceed monthly allocations. Ordering to be on as-needed basis.

Cost

Less than 75% of departmental revenue. Standard line items to be reduced by 5%.

Provide complete accident statistical reports.

Accuracy

Register all reported accidents on company property. Report all details including those of witnesses.

Limit planned overtime.

Impact

Overtime limited to critical deliverables. Overtime not to exceed 1% of annual salaries.

Deliver technical training on assigned projects.

Quality

Trainer demonstrates skills on trainer checklist. Trainer retains participants attention. Participants can demonstrate skills/information they have been taught.

NOTE: The above examples are simplified. Most performance targets have more than one or two measures combining quantitative and qualitative measures. Select the most critical measures.

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COACHING PERFORMANCE
Managers Role in Monitoring
An employees performance may occasionally get off track and s/he will often send out signals which indicate that there may be a problem.
If the employee is.... trying to convince the manager of the benefits of a substitute or shortcut. Is the employee.... facing any obstacles?

falling behind (missing deadlines) and delaying progress on assignments.

on target to realize the result? on target with performance measures?

showing no initiative to communicate and account for personal results.

demonstrating key competencies?

overlooking or forgetting important matters not returning phone calls.

meeting client needs?

avoiding contact with the manager. complaining about co-workers failings.

having difficulties because of personal style?

becoming defensive in response to routine questions or inquiries. lacking attention or concentration.

having difficulties because of a lack of knowledge or skills?

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Managers Role in Giving Feedback

Be prepared Review your facts. Be sure you have accurate information on which to base your feedback. Know exactly what the agreed measure or core competency is and how the employees performance compares. Expect and elicit input from the employee, especially when giving constructive feedback. The employees viewpoint or additional facts may give a completely different perspective to what you have observed. Clearly describe what you have observed, or the facts that you are using, and state how it relates to the desired performance. State what the employee did or didnt say or do. Dont describe personal traits or habits. Avoid judgements or even words that imply judgment (e.g., poor, weak, good). Be short, be simple, and stay focussed on the facts. When giving feedback, let the employee know the impact or consequence of their actions or non-actions. Stating the impact and consequences is the equivalent of showing why the actions or behaviours are important. Feedback has the greatest impact when it is given as soon as possible after the event has taken place. The event is then fresh in the mind of both manager and employee. It is especially important to be immediate with constructive feedback. Delay in giving constructive feedback can reduce its importance. Delay leaves time for differing recall of events to develop. Choose the right place and time to give feedback. Be sensitive to how the employee may react even when the feedback is positive. Constructive feedback is always done privately, never in front of other employees. It is important to avoid embarrassing the employee or causing the employee to become defensive as a means of saving face.

Listen and be flexible

Be specific

Be brief Describe impact

Be immediate

Be appropriate

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Be consistent

If you react strongly to a specific situation, then give the same type of feedback if the situation arises again. Use the agreed upon measures and competencies as a guide to standards. Inconsistency confuses employees. Employees want to know where they stand, especially when they have been involved in planning their own performance. Feedback is part of the open communications between the manager and the employee. Therefore, help the employee to feel comfortable in asking for feedback. Ask that the employee followup with you to compare notes about the their progress. The performance review is the obvious exception to this statement. At quarterly and annual performance reviews, give both positive and constructive feedback. When giving on-the-job feedback, avoid mixing the two types of feedback. Mixing the two can confuse the situation and lessen the impact of each type. An employee may decide to hear only what is positive and ignore the constructive feedback. Conversely, the employee may be only sensitive to the constructive feedback. Therefore, the employee may believe that you were just trying to soften the blow by saying something positive and the positive behaviour or competency doesnt really count in comparison.

Encourage the employee to ask for feedback

Avoid mixing positive and constructive feedback

Be sure the feedback is understood

Check that the employee has understood you and has accepted your feedback. The easiest way is to ask the employee to restate, in their own words, what youve said. Often, summarizing what was discussed is a way to come to an agreement. For positive feedback, this can be as simple as saying that you know the employee will continue the desired performance or meet the deadline (or even exceed it) in the future. For constructive feedback, being positive is telling the employee that you know they will do better or correct the situation. This shows you believe in the employees willingness to improve.

End on a positive note

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Managers Role in Coaching

A performance gap is the difference between an employees current performance and what is expected. This is the basic reason for coaching, no matter what the specific circumstances. The manager needs to consider possible causes for a performance gap, both when preparing to coach and during the coaching session itself. Only by knowing the real cause for the gap can the manager help the employee to arrive at the appropriate solution(s) to close the gap. Possible reasons for a performance gap: employee doesnt appear to realize or feel that there is a gap employee appears unaware of consequences of performance gap employee appears to lack knowledge or skills employee appears to lack the desire to improve employees performance gap appears to be rewarded other circumstance may restrict employees capacity Thorough preparation increases the chances of being able to help the employee to get their performance back on track. When preparing to coach: choose a private location allocate sufficient time for the coaching session be able to describe what you have observed with specific, factual incidents (when, where, how much, how often, etc.) be able to compare what you have observed to the expected results, measures, and competencies be able to state (re-substantiate) why the desired performance is important identify possible causes for performance gap have a possible suggestion ready to help the employee solve the performance problem determine the minimum result you will accept from the coaching session put aside any biases to concentrate on the performance, not the employees personal characteristics

A successful quarterly performance review meeting depends on input from both the manager and the employee. The manager can help stimulate discussion by asking the employee open-ended questions--especially to encourage the employee to provide their own assessment. Open-ended questions: How do you think youre doing with these performance and competency targets? What makes you say youre on track? Where are you having difficulties? What kind of roadblocks have you run into? Where do you think you need to improve?
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Employees Role in Monitoring

The employee is responsible for their results. Self-monitoring performance means that the employee is alert as to how s/he is progressing towards the target or expected result. To self-monitor performance, ask: Am I on target to realize my result? Am I on target according to my measures? Does the target or measure need to be revised? Why? How? How am I demonstrating key competencies? Am I meeting my clients needs? Am I having a problem because of my personal style? Am I having a problem because of knowledge or skills that I dont have? Are there external elements that are contributing to my success or failure? What can I do about it?

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REVIEWING PERFORMANCE
Managers Role in Reviewing Performance
Schedule the meeting in advance with enough preparation time. Select a convenient location and time for both parties. Confirm the meeting with the employee and encourage employee self-appraisal. Gather all required information: copy of performance plan input from other departments and, if needed, clients data directly from employee (e.g., progress report) completed Core Leadership Competencies Assessment Questionnaire Analyse employee performance: compare actual performance to expected results and competencies identify areas where target has been met, exceeded, partially achieved or not achieved tentatively identify reasons for any performance gaps look for competencies that need developing identify possible development activities for area requiring improvement in current job anticipate employee career aspirations and identify possible future development activities apply and validate ratings Plan the meeting: identify and prioritize issues identify areas for positive feedback anticipate possible employee reactions anticipate surprises think of what you will say and how anticipate any communication difficulties Ask open-ended questions to encourage the employee to provide their own assessment. How do you think youre doing with these performance and competency targets? What makes you say youre on track? Where are you having difficulties? What kind of roadblocks have you run into? Where do you think you need to improve?

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Employees Role in Reviewing Performance

Confirm acceptance of meeting date, location, and time (if convenient); otherwise suggest and agree to alternatives. Take initiative to set up the meeting if manager does not. Gather information necessary to support your performance: copy of performance plan input from other departments and, if needed, clients any data that shows results achieved or exceeded completed Core Leadership Competencies Assessment Questionnaire any data to support reasons for not meeting results (obstacles) Analyse your own performance: compare actual performance to expected results and competencies identify areas where performance has been achieved, exceeded, partially achieved or not achieved identify reasons for any performance gaps look for competencies that need developing Identify possible development activities for areas requiring improvement in current job. Clarify career aspirations and identify possible future development activities. Anticipate meeting: identify issues important to you determine what you want out of meeting anticipate any surprises and how you will deal with them think of what you will say and how anticipate any communication difficulties

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