Guide To Enhanced Performance Management

Summary

Performance Management Guide (Rev 3/17) Page 1
Performance Management Guide
ABOUT THIS GUIDE
This Performance Management Guide provides the necessary tools to assist
leaders in conducting comprehensive and effective performance meetings with
their employees. Additional resources are also available to guide the continuous
feedback and coaching processes

Nursing Practice employees, for your tools go to:
http://sites.mc.rochester.edu/departments/nursing/working-here/performance-
evaluations/
TABLE OF CONTENTS FOR THE GUIDE
COMPREHENSIVE AND EFFECTIVE PERFORMANCE EVALUATIONS
Organizational Principles of Performance Management
Behavioral Competencies
Employee
Leadership
Performance Management Process
Standard Review
Off-Cycle Reviews
Feedback Process and Tools
Self-Assessment Process and Tool
Performance Management Tools
Leadership Competencies
CONTINUOUS FEEDBACK AND COACHING
Using the Situation Behavior Impact (SBI) Feedback Technique
Conducting Conversations with High, Middle and Low Performers
Coaching for Success
Career Development
Page 2 Performance Management Guide (Rev 3/17)
ORGANIZATIONAL PRINCIPLES OF PERFORMANCE MANAGEMENT
The principles below are the foundation for performance management. Every employee
should incorporate the principles into their daily work. The principles are intended as
guidelines during the performance management process and are defined as:
Integrity
• Introduce yourself ― greet, say your name, explain your role
• Be mindful of your actions ― conversation topic, tone, volume,
body language
Compassion
• Communicate with warmth ― use preferred names, smile, make
eye contact, listen attentively
• Respond to feelings ― show empathy and kindness
Accountability
• Answer questions clearly ― ask about and address concerns,
explain next steps
• Involve and update ― patients, families, and colleagues
Respect
• Be courteous and friendly ― to all patients, families, and
colleagues throughout the institution
• Speak positively ― about your colleagues and other departments
within the organization
Excellence
• Take the initiative to help ― ask if there is anything else you can
do; assist your colleagues
• Recognize your colleagues ― thank them for their efforts
Performance Management Guide (Rev 3/17) Page 3
THE BEHAVIORAL COMPETENCIES
Employee Competencies
Personal Accountability
• Commitment to Quality – Takes pride in work, strives for excellence. Takes responsibility
for performance and fixes mistakes. Continually looks to improve the quality/quantity of
work

• Safety Consciousness – Contributes to a safe working environment; performs duties in a
clean and safe manner. Brings safety concerns to appropriate parties; takes initiative to
resolve when possible

• Attendance and Punctuality – Fulfills work and time requirements. Keeps unscheduled
absences to a minimum. Plans for coverage of responsibilities where appropriate

• Reliability/Dependability – Meets task deadlines and work commitments. Fulfills work
obligations in a timely and satisfactory manner. Takes responsibility for personal actions
and performance

• Appearance – Dresses appropriately. Avoids wearing strong fragrances or other strong
odors (e.g., from smoking). Keeps workplace neat, clean and organized

Professionalism
• Self-Awareness – Demonstrates continuous professionalism, respect, and workplace
civility. Mindful of actions: topic, tone, volume, and body language. Avoids gossip

• Working with Others – Approachable, inclusive, and respectful. Exhibits teamwork, takes
initiative to help. Courteous and cooperative. Respects diversity and appreciates
differences

• Relationship to Supervisor – Responds and acts cooperatively; works to maintain positive
relationships with supervisor/manager. Accepts responsibility for own actions

• Gives and Receives Feedback – Provides constructive feedback to colleagues. Mindful of
both verbal and body language when giving feedback. Receptive to feedback from others;
accepts feedback without defensiveness

• Role Modeling – Conducts self in fair and trustworthy manner. Upholds professional and
ethical standards. Demonstrates departmental and organizational values including Integrity,
Compassion, Accountability, Respect, and Excellence

Functional Expertise
• Job Knowledge – Clearly demonstrates functional expertise as it relates to the job

• Strives for excellence. Asks relevant questions when uncertain. Shares information and
knowledge with others

• Learning Agility – Keeps abreast of new developments and enhancements to systems,
procedures and products. Values learning; seeks out new learning and development
opportunities. Completes learning assignments in a timely manner

(See Service Excellence on following page)
Page 4 Performance Management Guide (Rev 3/17)
Service Excellence
• Treatment Toward Others – Listens carefully, expresses compassion and empathy where
appropriate. Mindful of the perspective and needs of others, (e.g., colleagues, patients,
students, families and others)

• Service Orientation – Embraces organization and department mission. Works to understand
goals and objectives of the unit or the department

• Communication – Communicates ideas and messages clearly and concisely. Actively
listens, seeks to understand others. Answers questions clearly and asks clarifying
questions when needed. Keeps others informed when deadlines are challenged

• Productivity – Works to deliver an expected volume of work; seeks operating efficiencies
without sacrificing quality. Works to stay organized. Uses technology as needed/where
appropriate

• Responds to Change – Adapts to changing priorities. Handles unexpected situations and
does so in a calm and positive manner. Where appropriate, questions and recommends
alternatives to new processes and procedures

Leadership Competencies (employees who manage direct reports, program management
responsibilities, etc.) Also listed on page 11

Effective Communication
Writes and speaks clearly. Articulates ideas and instructions in a clear and concise manner

Encourages dialogue and candor; makes it safe for others to voice their opinion. Active listener;
takes the time to consider alternative points of view. Keeps others informed; conveys important
information in a timely and efficient manner

Partnership & Team Building
Values, respects and is open to others’ point of view. Relates well to people at all levels of the
organization. Actively works to build a team. Empowers employees to take action. Supports team
decisions both publicly and privately. Manages conflict; builds common ground, focuses on the
positive and seeks constructive outcomes. Demonstrates care and concern for all team members
and those we serve

Organizational Effectiveness
Takes initiative to get things done. Actively sets priorities. Runs effective meetings; starts/stops on
time, maintains focus on topic. Analyzes short-term and long-term risks; identifies pros and cons;
evaluates options and chooses effective solutions. Makes critical decisions in a timely manner

Performance Management
Tracks, monitors, and documents employee performance. Actively encourages goal setting

Provides timely, effective, and constructive feedback. Holds team members accountable for their
performance and results. Delegates tasks appropriately. Creates an environment where
employees and others feel valued and appreciated. Routinely recognizes team members for their
contributions formally and/or informally

Performance Management Guide (Rev 3/17) Page 5
Leading Change & Innovation
Champions change and innovation. Readily adapts to change, makes adjustments when needed

Helps others overcome resistance to change. Stays calm in the face of great change. Actively
encourages and supports new ideas. Leads process improvement, encourages efficiency, works to
build value for the organization. Helps develop innovative solutions

Stakeholder Focus
Maintains positive and collaborative connection to key stakeholders. Understands needs, goals
and objectives of all constituent groups. Works to create, monitor, and exceed key metrics and
targets in support of key groups

Strategic Thinking & Planning
Ability to see the big picture by thinking conceptually, imaginatively, and systematically. Visionary
and forward thinking; able to see long-term opportunities. Demonstrates the ability to develop
effective plans in line with organizational goals. Actively sets priorities. Works to focus energy and
resources toward common organizational objectives

Industry/Regulatory Compliance Knowledge
Exhibits knowledge of, and ensures compliance with, federal and state regulatory requirements (for
example: Affirmative Action, FLSA, and NY Wage and Hour Laws, HIPAA, Joint Commission,
nondiscrimination laws, FERPA, etc.). Initiates appropriate follow-up when concerns are identified

Demonstrates increasing knowledge of the organization, industry and marketplace. Leverages
industry knowledge and business acumen to make appropriate decisions. Keeps abreast of new
developments with organizational systems, procedures, and policies

Page 6 Performance Management Guide (Rev 3/17)
PERFORMANCE MANAGEMENT PROCESS
Three Stages to Be Used In Any Review Process
(End of Probation, Off-Cycle, or Annual Review)
STAGE I
Begin reviewing information, comments, or observations obtained throughout the
year

• Solicit feedback from employee’s customers/peers

• Review the rating scale criteria for each position to ensure
consistency and equity

STAGE II
Review the employee’s functional job description to ensure it is current
and accurate; revise as necessary and give to employee

• Schedule the formal performance assessment meeting, giving
the employee a notice of at least two weeks

• Ask the employee to complete a self-assessment

• Meet with the employee to discuss contributions,
competencies, goals, and growth opportunities

• Agree on a plan of action

• Finalize the performance evaluation document and give to the
employee

STAGE III
Meet with each employee to review his/her progress

As Applicable Throughout the Year
Provide ongoing coaching and feedback

Performance Management Guide (Rev 3/17) Page 7
Periodic Performance Assessments are an important step in the overall performance
management process. A comprehensive performance assessment includes:
1. Reviewing the employee’s functional job description (updating as
necessary) as well as the specific competencies and performance
standards for the position

2. Collecting feedback from the employee’s customers/peers

3. Setting a date with the employee for the formal performance
assessment meeting. (Allow at least 30 minutes.)
4. Asking the employee to complete a self-assessment which
includes 3-5 goals for the coming year

5. Drafting a formal assessment that includes measurable core
competencies and standards for the position

6. Holding the performance assessment meeting, documenting any
changes or plans for further action

7. Finalizing the formal assessment tool to include employee input
and goals to be signed by the employee and supervisor

8. Providing a copy of the assessment to the employee

Off-Cycle Reviews
In addition to the annual review, there are two instances when off-cycle performance
reviews would be applicable

The Off-Cycle Performance Review is identical to the annual review. This is used
primarily for staff employees when a review is needed outside the annual review
cycle and assumes the manager has set up performance goals for the employee

The Off-Cycle End of Probation Review is a simplified process for recent hires or
transfers. The assumption is that performance goals have not yet been created for
the individual, but managers and employees should create performance goals
and/or key responsibilities in anticipation of the next annual review cycle

Page 8 Performance Management Guide (Rev 3/17)
FEEDBACK PROCESS AND TOOLS
Collecting feedback is an excellent method to determine how well the employee
interacts with others as part of their daily work. To use this method:
• Ask the employee to select five or six individuals with whom they
regularly interact. Select three or four from this list

• Request feedback on that employee either informally via an e-mail, or
for a more formal approach, a tool can be used

There are three types of feedback:
• Peer Feedback: Co-workers can provide insight into the
employee’s daily work habits and customer interactions. (More
than one peer must be used to ensure balanced feedback.)
• Customer Feedback: External or internal customers who are not
direct reports or peers can be selected; however, ensure the
customer has had multiple points of contact with the employee so
that a comprehensive evaluation can be made

• Direct Report Feedback: Also called Upward Feedback, a
manager or supervisor can request feedback from his or her staff

It is important, however, that the feedback is sent to a third party
so that it remains confidential and anonymous

Performance Management Guide (Rev 3/17) Page 9
ASKING FOR FEEDBACK
Sample of an Informal E-mail to an Employee’s Customer:
Dear (Selected Individual):
As part of (employee’s name) annual performance review process, I ask him or her
to provide names of some customers he or she has worked with during the past
year. He or she has given me your name; I understand you worked together on the
_____________ during the last several months

Would you please provide some feedback on your interactions with (employee
name) on that project? I am particularly interested in his or her ability to
________________. Your comments are confidential and will not be shared with
him or her unless you feel it is appropriate to do so. Thank you for your time

A more formalized approach can be used to gain feedback. The feedback request can
contain a few examples of the type of qualities that can be rated. The tool can also be
expanded to focus on job-specific competencies as well

For example:
If phone skills are required as part of the job, statements could be included such as:
 Answers the phone within three rings
 Responds to phone messages within 8 hours
 Leaves clear and concise messages on others’ phones
If face-to-face customer interactions are part of the job, statements could include:
 Greets customers warmly, using standard scripting
 Keeps customers informed of delays
 Ensures the customer understands next steps in our processes
Page 10 Performance Management Guide (Rev 3/17)
SELF-ASSESSMENT PROCESS and TOOL
An important part of an employee’s performance management meeting is the self-
assessment. This can be accomplished either informally, or formally by using a tool

If an informal method is used, the employee can be asked to briefly outline:
• His/her level of success in demonstrating how standards were met and how
competencies were applied when completing duties and responsibilities

• Goals achieved during the past year

• Goals that have not been reached and what obstacles are in the way of
achieving them

• Accomplishments that were beyond the goals

• Goals for the upcoming year (three to five)

• What resources they need to do their job for the upcoming year

If an official self-assessment tool is used, it should contain the elements listed above and
can be further tailored to the person’s specific job responsibilities

Process for using a formal self-assessment tool:
1. Provide the tool to employee at least two weeks prior to the
performance meeting

• MyPath online performance assessment:
http://mypath.rochester.edu
• River Campus forms:
Employee:
http://www.rochester.edu/working/hr/performancemgt/perf_e
val_form_emp.pdf
Leader:
http://www.rochester.edu/working/hr/performancemgt/perf_e
val_lead_form.pdf
2. Ask the employee to complete it, adding whatever information they
feel needs to be discussed during the meeting

3. Ask that the form be returned to the evaluator at least one week
before the meeting

Performance Management Guide (Rev 3/17) Page 11
PERFORMANCE MANAGEMENT TOOLS
To conduct a comprehensive performance assessment, the supervisor needs to determine
all of the components of the position that will be used to evaluate the employee. An up-to-
date functional job description is crucial in this process

THE FUNCTIONAL JOB DESCRIPTION
An employee’s functional job description contains the responsibilities, tasks, competencies,
education, and experience required to perform a specific job. Functional descriptions are
developed and maintained at the department level and typically contain:
• Specific purpose of the position
• Responsibilities/tasks listed with percents of time associated with
each duty
• Reporting relationships
• Requirements of the position in terms of education, experience, and
competencies
• Any preferred requirements (not required) such as specific
competencies or advanced degrees

COMPETENCIES and PERFORMANCE STANDARDS
Competencies are defined as the knowledge, skills, attributes, and behavioral traits
required for individual and organizational success. Competencies relate directly to an
individual’s particular job family and involve demonstrating knowledge in a technical,
professional, occupational, vocational, or process area

Where applicable, population-specific competencies or patient safety competencies should
be added as components of the performance review, based on the job description

Additionally, standards set by regulatory agencies (Joint Commission, OSHA, NYS) may
need to be included as well, as applicable

Each employee’s assessment tool should be customized to their position

Page 12 Performance Management Guide (Rev 3/17)
PERFORMANCE STANDARDS WORKSHEET
A performance standards worksheet can be used to define measurable and
observable behaviors which demonstrate how well an employee performs their duties
and responsibilities. To create a worksheet, three columns of information are
needed:
a. Critical Job Responsibilities: Use this column to define the five
to seven most essential/critical job duties and responsibilities

b. Specific, Observable Behaviors: After defining the duties and
responsibilities, list those behaviors that demonstrate successful
completion of each responsibility. These behaviors should describe
work processes or interactions with people

c. Assessment Method(s): Use this column to assess whether the
standards are met. These may include:
• Direct observation
• Meetings with the employee
• Feedback from others (co-workers or customers)
• Audits
• Employee’s self-assessment
• Review of credentials
• Review of reports, charts, letters
• Measurement of cost, time, quality, or quantity
Additionally, the underlying Organizational Principles should be kept in mind when
creating the worksheet

Contact your HR Business Partner at the Medical Center or on the River Campus if
you need assistance in developing a performance standards worksheet

This Performance Management Guide provides the necessary tools to assist leaders in conducting comprehensive and effective performance meetings with their employees. …

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Frequently Asked Questions

How to manage performance management?

Performance Management. 1 1. Keeping employees engaged. Engagement of employees is a focus of any management team. In a yearly appraisal system, goals would be given at the ... 2 2. Retaining talent. 3 3. Developing leaders from within. 4 2. Define and describe each role. 5 3. Pair goals with a performance plan. More items

How effective is the everyday performance management system?

The Everyday Performance Management system had overwhelmingly positive results, with 69% of employees stating that they received feedback that was useful for their professional development, and 70% reporting that they felt valued as a result of the continuous performance discussions with their manager.

Can performance management improve employee engagement?

Research has shown that performance management can yield significant positive results. A recent Gallup poll found that more than half of American employees are disengaged from their work, leading to lower productivity and increased turnover.

How can technology enabled performance management tools enhance employee engagement?

Technology-enabled performance management tools simplify the evaluation process and promote employee engagement for amplified organizational success. An effective performance management process starts with a self-audit, proceeds with principles, and delivers impact with strategy and implementation.