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Performance Management Guide (Rev 3/17) Page 1 Performance Management GuideABOUT 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 MANAGEMENTThe principles below are the foundation for performance management. Every employeeshould incorporate the principles into their daily work. The principles are intended asguidelines 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 3THE BEHAVIORAL COMPETENCIESEmployee CompetenciesPersonal 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 managementresponsibilities, etc.) Also listed on page 11
Effective CommunicationWrites 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 importantinformation in a timely and efficient manner
Partnership & Team BuildingValues, respects and is open to others’ point of view. Relates well to people at all levels of theorganization. Actively works to build a team. Empowers employees to take action. Supports teamdecisions both publicly and privately. Manages conflict; builds common ground, focuses on thepositive and seeks constructive outcomes. Demonstrates care and concern for all team membersand those we serve
Organizational EffectivenessTakes initiative to get things done. Actively sets priorities. Runs effective meetings; starts/stops ontime, 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 ManagementTracks, monitors, and documents employee performance. Actively encourages goal setting
Provides timely, effective, and constructive feedback. Holds team members accountable for theirperformance and results. Delegates tasks appropriately. Creates an environment whereemployees and others feel valued and appreciated. Routinely recognizes team members for theircontributions formally and/or informally
Performance Management Guide (Rev 3/17) Page 5Leading Change & InnovationChampions 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. Activelyencourages and supports new ideas. Leads process improvement, encourages efficiency, works tobuild value for the organization. Helps develop innovative solutions
Stakeholder FocusMaintains positive and collaborative connection to key stakeholders. Understands needs, goalsand objectives of all constituent groups. Works to create, monitor, and exceed key metrics andtargets in support of key groups
Strategic Thinking & PlanningAbility to see the big picture by thinking conceptually, imaginatively, and systematically. Visionaryand forward thinking; able to see long-term opportunities. Demonstrates the ability to developeffective plans in line with organizational goals. Actively sets priorities. Works to focus energy andresources toward common organizational objectives
Industry/Regulatory Compliance KnowledgeExhibits knowledge of, and ensures compliance with, federal and state regulatory requirements (forexample: 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. Leveragesindustry knowledge and business acumen to make appropriate decisions. Keeps abreast of newdevelopments with organizational systems, procedures, and policies
Page 6 Performance Management Guide (Rev 3/17)PERFORMANCE MANAGEMENT PROCESSThree 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 7Periodic Performance Assessments are an important step in the overall performancemanagement 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 ReviewsIn addition to the annual review, there are two instances when off-cycle performancereviews 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 TOOLSCollecting feedback is an excellent method to determine how well the employeeinteracts 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 9ASKING 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 TOOLAn 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 andcan 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 11PERFORMANCE MANAGEMENT TOOLSTo conduct a comprehensive performance assessment, the supervisor needs to determineall 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 DESCRIPTIONAn employee’s functional job description contains the responsibilities, tasks, competencies,education, and experience required to perform a specific job. Functional descriptions aredeveloped 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 STANDARDSCompetencies are defined as the knowledge, skills, attributes, and behavioral traitsrequired for individual and organizational success. Competencies relate directly to anindividual’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 shouldbe added as components of the performance review, based on the job description
Additionally, standards set by regulatory agencies (Joint Commission, OSHA, NYS) mayneed 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 WORKSHEETA performance standards worksheet can be used to define measurable andobservable behaviors which demonstrate how well an employee performs their dutiesand responsibilities. To create a worksheet, three columns of information areneeded: 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 quantityAdditionally, the underlying Organizational Principles should be kept in mind whencreating the worksheet
Contact your HR Business Partner at the Medical Center or on the River Campus ifyou 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. …
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
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.
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.
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.