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					Canadian Excellence




              TIPS FOR SUCCESSFUL
            PERFORMANCE APPRAISAL
               AND GOAL SETTING



                      Management Group, May 2007



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                        Performance Appraisal and Goal Setting
  Canadian Excellence




Learning Objectives:


Participants will leave with….
 A clear understanding of the Management Performance
  Appraisal process
 Strategies on how to set goals and successfully meet them
 Tips on how to effectively give and receive performance
  feedback




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                        Performance Appraisal and Goal Setting
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Agenda


1. Guide to the Management Group Performance
   Appraisal process
2. How to effectively give and receive feedback
3. Goal Setting using the SMART principle
4. Linking goals to a development and learning plan
5. Making effective merit recommendations




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     Canadian Excellence




Performance Management

 A method for improving employee performance
  through goal setting, feedback, encouragement
  and support, and rewards for success



Source: Strategic Compensation in Canada, 2nd edition, 2002, Richard J. Long




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                        Performance Appraisal and Goal Setting
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Performance Appraisal – Key Components
 Colleague/Client Feedback
 Employee Accomplishments Summary
 Review of Goals and Accomplishments – Performance
  Feedback and Appraisal Meeting
 Goal Setting for upcoming year
 Development and Learning Plan
 Overall Performance Summary
 Merit Recommendations


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                         Performance Appraisal and Goal Setting
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Colleague/Client Feedback (June 1st)
Purpose:
 To help you to see yourself as others see you
 To assist managers in developing and enhancing their performance
 To improve colleague and client service
Participant Criteria (jointly selected by employee and manager):
 Have worked with you closely in the past year
 Can provide fair, objective feedback
 Selected from a variety of areas representing the scope of your job




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                        Performance Appraisal and Goal Setting
  Canadian Excellence




Employee Accomplishments Summary (June 1st)

 Completed by the employee and submitted to the manager prior to
  the performance appraisal meeting
 A summary of performance against agreed upon goals from the
  employee’s perspective – use specific examples and any obstacles that
  were encountered
 Assists the manager in completing the performance appraisal and
  allows them to consider the employee’s perception of their own
  performance




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                        Performance Appraisal and Goal Setting
  Canadian Excellence




The Performance Appraisal (August 1st)

Performance Assessment vs Established Goals
 Manager assesses accomplishments against each
  established goal and summarizes performance using the
  Performance Appraisal Form.
 Discussed in detail with employee during the
  performance appraisal meeting




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                         Performance Appraisal and Goal Setting
   Canadian Excellence



Performance Summary Should Include…..

 Major contributions and accomplishments
 Areas where development is needed or performance could be
  improved
 Specific performance examples to allow for a clear understanding of
  the assessment and expectations*
 A summary of colleague/client feedback, highlighting strengths and
  development areas while maintaining confidentiality


TIP: Performance feedback shouldn’t be a surprise – it should be a
   summary of things already discussed throughout the year



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                        Performance Appraisal and Goal Setting
  Canadian Excellence



Giving Feedback: The Basics
• Criticism is subjective and judgmental
• Feedback is objective and evaluative – the goal is to help
  people learn and improve their performance
• Positive feedback is just as important for success as
  developmental feedback
• Positive feedback should be given in the same manner as
  developmental feedback:
   • Frequently
   • Specific
   • Based on performance examples



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                        Performance Appraisal and Goal Setting
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EPM Formula for Developmental Feedback
• Empathize – try to see the problem from the other
  person’s perspective.
• Pinpoint Problems – give very specific examples of
  what’s wrong and the specific behaviours you are asking
  for.
• Move Forward to Solutions – open a discussion about
  how to solve the problem.




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                        Performance Appraisal and Goal Setting
  Canadian Excellence



Empathize
• Demonstrate that you are attacking the problem, not the person
• Help him/her to become less guarded and more open to
  discussing the issue




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                        Performance Appraisal and Goal Setting
  Canadian Excellence



Pinpoint the Problem
• Deal with the performance, not the attitude or motives.
• State what you observe, not what you feel or believe.
• Discuss only the facts that are clear and indisputable (not loaded
  with your opinions or accusations).
• Give specific examples to clarify what you are discussing.




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                         Performance Appraisal and Goal Setting
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Moving Forward to Solutions
• Follow up with future-oriented, neutral questions.
• Avoid questions that begin with “Why” – they tend to make
  people defensive and do not encourage creative solutions.
• Don’t give advice – assist the person to solve the problem.
• Some useful questions:
   •   What do you need to do next time to hit your targets?
   •   What do you need to do to move forward?
   •   How can you develop strength in this area?
   •   What do we need to do to make this work?
   •   What are some possible options you could explore?
   •   What resources do you need from me to do this?



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                        Performance Appraisal and Goal Setting
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An example….
• E – Jane, I realize that the end of the month is a very busy time.
• P – For the last two months, I haven’t received the attendance
  reports until the tenth of the month.
• M – It’s essential that I receive the reports by the fifth of the
  month. Is there a system we can develop for ensuring that I get
  the reports on time?... OR Can you suggest a system for
  ensuring that I get the reports on time?




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                        Performance Appraisal and Goal Setting
  Canadian Excellence



Understand How the Brain Works
• When we have an “aha” moment, a new neural connection is
  made, there is a release of energy as the new neuronet forms.
• This release of energy and the
  accompanying changes in
  brain waves create a sudden
  sense of motivation and
  excitement about a new
  project and can lead people
  to action.




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                       Performance Appraisal and Goal Setting
 Canadian Excellence



Understand How the Brain Works
     “Our jobs as leaders should be to help people
     make their own connections. Instead of this,
     much of our energy goes into trying to do the
        thinking for people, and then seeing if
                    our ideas stick.”
                       ~ David Rock, Quiet Leadership




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                        Performance Appraisal and Goal Setting
  Canadian Excellence


Giving Feedback in the Performance Appraisal
• Listen 60-70% of the time.
• Use feedback to inform, not to advise – let them decide how to
  do it.
• Ask open-ended questions about how they would like to
  improve over the next year.
• Agree on mutual goals.
• Keep the feedback process supportive, not threatening.
• Be willing to accept feedback too – “How can I best support
  you in these goals?”


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                        Performance Appraisal and Goal Setting
  Canadian Excellence



Receiving Feedback
4A Formula
 Anticipate a learning experience – what can I learn from this?
 Ask questions – “How could I have done this better?” Help
  your manager to be specific about what he/she wants from you
  in the future.
 Agree with something – find something to agree with to
  establish common ground.
 Analyze – consider the feedback and determine how to move
  forward to a solution.



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                        Performance Appraisal and Goal Setting
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Other Tips for Receiving Feedback
 Always focus on the solution, not the problem – what
  specifically does your manager want?
 Use the 4A technique to also better understand the positive
  feedback you are given and continually improve your
  performance.
 Maintain responsibility for getting feedback from your
  manager.
 Take the initiative to set regular feedback sessions with your
  manager to check on the status of your goals.
 Ask for feedback on projects and assignments frequently before
  small mistakes can grow to crises.


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                         Performance Appraisal and Goal Setting
   Canadian Excellence


Goal Setting
Goals are measurable objectives which relate to specific time periods
  (project completion, achievement of sales or service targets)


Why Set Goals??
 Setting clear goals and expectations is an integral part of the
  performance management process
 Ensures that the manager and employee share a common
  understanding of what is expected
 Allows employees to direct their energies in the most appropriate
  way
 Creates greater job satisfaction when employees know what is
  expected of them, and a greater sense of accomplishment when they
  meet those expectations

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                        Performance Appraisal and Goal Setting
  Canadian Excellence




Goal Setting 101
1. Start with the overall department strategy/plan
   – What is expected from your department in the upcoming year to
     achieve University goals?
   – What are the critical success factors for your department (i.e. how
     is success defined?)
2. Link department goals to individual goals
   - How will each individual/manager contribute to the success of the
   department?
   - What are the key outputs/accomplishments expected from them in
      the upcoming year?



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                          Performance Appraisal and Goal Setting
    Canadian Excellence


Goal Setting 101
3. Define goals using the SMART principle
    Specific: state concrete actions and expected results. Who? What?
     Where? By When?
    Measurable: it should be possible to determine if the goal has been
     achieved. What are the deliverables? How much? How many?
    Attainable/Achievable: the employee has the skills and time to meet
     the goal
    Realistic: the employee can accomplish the goal within the
     established timelines and with the resources available
    Time Based: There is a clear period of time in which the goal must
     be accomplished. If time isn’t defined, the commitment is too vague
     and can lead to procrastination

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                        Performance Appraisal and Goal Setting
  Canadian Excellence




Goal Setting Exercise


 Using the template provided, identify one of your main
  goals for the upcoming year
 Break the goal out into action steps with specific timelines
  and resources required




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                        Performance Appraisal and Goal Setting
  Canadian Excellence


Development and Training Plan
 To achieve the goals you have set out for the year, what
  new skills or knowledge will you need to learn?
  (Tip: Be as specific as possible)
 What is the most effective way to learn these items?
  (Internal training, external sessions, conferences, reading,
  mentoring)
 What resources are required for each of these methods?
  (Time, money, materials, etc)
 How will you know that you have been successful in
  developing this new knowledge or skill?




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                        Performance Appraisal and Goal Setting
  Canadian Excellence


Other Tips for Development and Training Plans
 Focus on the learning objective vs the method of learning.
 Challenge yourself to create an action plan for every
  learning objective to ensure that it has been implemented
  into your work.
 Seek regular feedback about your progress on the
  learning objective, if possible.




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                            Performance Appraisal and Goal Setting
    Canadian Excellence




Linking Performance to Merit
   Choose the descriptor that most accurately reflects the overall performance
    level over the past year
   Be careful to avoid common appraisal pitfalls
     – recency effect – appraiser overweighs the most recent events (either
        positive or negative)
     – central tendency error – appraiser rates all employees as satisfactory
     – halo error – appraiser rates an individual either high or low because one
        performance characteristic is high or low
     – contrast effect –appraisals influenced up or down by the presence of a
        very high or low performer in the department
     – leniency/harshness effect – tendency of the appraiser to rate all
        employees unduly high or low
     – similarity effect – appraiser inflates appraisals of employees who they
        see as similar to themselves



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                         Performance Appraisal and Goal Setting
   Canadian Excellence


Performance Rating Descriptors

PERFORMANCE                            PERFORMANCE DEFINITION
    LEVEL
Highly Successful    Exceeded expected performance results and goals in all areas of
                     accountability and was a key contributor to the achievement of
                     department and University goals.
Successful           Achieved expected performance results and goals in all areas of
                     accountability and was a solid contributor to the achievement of
                     department and University goals.
Progressing          Progressing towards expected performance results. Employee may be
Towards Success /    new to the position and/or require further development but has
Developing           demonstrated the willingness and ability to succeed
Improvement          Performance results did not meet expectations and key goals and
Needed               objectives were not accomplished. Improvement is needed to fully
                     meet the expectations of the position.




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                        Performance Appraisal and Goal Setting
  Canadian Excellence


Identifying “Highly Successful” Performance


 Employee’s overall performance should exceed
  expectations
 Exceeding expectations may include:
   – Achieving all goals despite unforeseen significant setbacks,
     obstacles
   – Achieving all goals in addition to unforeseen additional
     goals/priorities/projects
   – Quality/success of goal outcomes surpassed expectations
   – Consistently demonstrating initiative beyond what is expected




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