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AVPF PERFORMANCE

MANAGEMENTPROCESSUSER GUIDE

Issued April 2005rev. January 2007

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Table of Contents

Performance Management Process Introduction ................................................................. 3

Overview of Performance Management Process.................................................................. 4-7

Elements of the Work Plan.................................................................................................... 8-12

Coaching & Feedback........................................................................................................... 13-14

Skip Level Communication.................................................................................................... 15-16

Summary Performance Evaluation........................................................................................ 17-20

Key Points............................................................................................................................. 21-22

AVPF Rebuttal Process........................................................................................................ 23

Supervisor Checklist............................................................................................................. 24

SPE Overview and Guidelines.............................................................................................. 25-29

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The Performance Management Process

IntroductionThe Performance Management Process was adopted by AVPF in FY2002 across the entireorganization. The major components of the process are the Work Plan, periodic Coaching and

Feedback sessions, a Skip Level Communication session between skip level supervisor andemployee followed by the Summary Performance Evaluation(SPE) at the end of the cycle.

The Work Plan should facilitate a conversation between the employee and supervisor that identifiesperformance expectations, sets and clarifies goals and supports the exchange of useful Coachingand Feedback. A major key to the successful operation of the process is the creation of a clear andconsistent Work Plan.

All employees in AVPF should strive to have a Work Plan completed within 30 days of their date ofhire or promotion.

Since Work Plans have been in place for some time, this portion of the guide may be most usefulwhen devising a Work Plan for a newly created position or for an existing job that is being realignedor re-defined in major ways. Once finished, the Work Plan can be revised and updated each year.

The Work Plan will be reviewed and updated as necessary during the periodic Coaching andFeedback sessions. The employees success in completion of the goals stated in the Work Planand the adoption of appropriate work behaviors serve as the basis for the Summary PerformanceEvaluation.

The chart below is a simplified representation of the Performance Management cycle throughoutthe year.

Work Plan

Coaching & FeedbackSummary Performance

Evaluation

The Performance Management Cycle

Start of Year

During YearEnd of Year

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Purpose of the Performance Management Process

Planning is a natural activity for people and organizations to help us reduce uncertainty. We makelists of things we need to accomplish in our daily lives and in our jobs. Plans help us manage ourtime and accomplish our goals. Performance management is a method that links the planning

process throughout the entire organization and locates each individuals plan within the context ofhis or her department goals and critical initiatives.

The purpose of the Performance Management Process is to provide staff with a betterunderstanding of the work that needs to be done and to explore ways to optimize the processesinvolved with performing that work. It provides a formal mechanism for linking an individual jobdescription with the big picture of their departments and AVPFs goals and critical initiatives. TheWork Plan is a written statement identifying the work to be accomplished by a staff member tosuccessfully support the department, division and University goals and critical initiatives.

The Work Plan isa tool both employee and supervisor can use in planning and discussing the

work of an employee. This ensures that both individuals have a mutual understanding of the dutiesand responsibilities of the employee and of the work that the employee contributes to theUniversity. Clear job expectations help employees to make their individual contributions towardthose goals.The expected benefits of the Work Plan and performance management include:

More predictability in timing of work flow and accomplish of goals

More focus on outcomes rather than personalities

Better understanding among colleagues of their teams goals

A more adaptable work force capable of demonstrating initiative in novel situations whileremaining consistent with the organizations overall goals

The process of creating Work Plans initially helps managers, supervisors, and employees thinkabout job responsibilities in new ways. This often leads to a better description of tasks. The needto note percentage of time by each Major Area of Responsibility (MAR) generates insights abouttime management and priority setting. Listing the key customers helps us to think about how ourefforts relate to our colleagues goals and how our individual efforts fit into a larger context.

The Work Plan is an interactive process requiring input from both employee and supervisor. It isimportant to keep in mind that the value of this process does not come from how well any individualcompletes the forms or follows the process. Rather the value comes from the regularsupervisor/employee meetings that are held to review the Work Plan, to set and review goals, andto evaluate the work. Keeping this in mind, it is imperative that Coaching and Feedback sessions

are held at least 3 times a year.

ResponsibilitiesIn order for the process to be effective and productive, both employees and supervisors need tounderstand that they share certain responsibilities. Although supervisors are accountable forensuring that every employee in their area has a current Work Plan, employees have a sharedresponsibility for initiating the process if their supervisor does not follow through for some reason.

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Employees share responsibility with their supervisor for revision of the Work Plan at the start of thenew performance year, preparation of the Summary Performance Evaluation, and prompting thescheduling of Coaching and Feedback sessions if necessary.

Supervisors are ultimately responsible and accountable for the completion of Work Plans and

Summary Performance Evaluation forms in a timely manner. They are also responsible for the timemanagement necessary to conduct Skip Level Communication meetings and Coaching andFeedback sessions throughout the year. Supervisors should establish and maintain anenvironment that supports the goals of the Skip Level Communications effort.

Supervisors should allow employees the time needed to prepare the Work Plan, SummaryPerformance Evaluation and Skip Level Communication sessions.

Managers are responsible and accountable that each supervisor within their division or unit is usingthe elements of performance management. By signing the Work Plans and SPE forms, themanager is signifying that they have reviewed the underlying material and endorse the propriety ofthe process as well as the content of the reports. Managers are responsible for providing asupportive environment where the supervisors in their department utilize the PerformanceManagement Process, including Coaching and Feedback and Summary Performance Evaluationsin accordance with the purposes and goals stated above. Managers are the coaches of theirsupervisors just as supervisors are expected to be the performance coaches for the employeesunder their purview. Finally, managers are responsible for the scheduling of the Skip LevelCommunication sessions for their area.

The Role of Department or Group Goal SettingDepartment or group goal setting provides AVPF units and work groups the opportunity for arrivingat a shared understanding of their mission, goals, and priorities. AVPF Critical Initiatives from theExecutive Lead Team will have been set and shared with units and so that some or all of eachgroups goals align with the organizational goals.

The executive leadership is expected to be aware of unusual or non-recurring challenges facing theorganization in the coming year. In addition, they set the priorities and broad goals of theorganization. It has been demonstrated that executives seek information about upcomingchallenges from internal as well as external sources. By interacting with the supervisors reportingdirectly to them, executives learn about emerging challenges and have the opportunity to plan forthem ahead of time instead of reacting to crises that could have been anticipated.

Each organization has its own means and methods of strategic planning. Sometimes, but notalways, this kind of planning links to the budget formation cycle. The two cycles can be on differenttimetables, but it quickly becomes obvious that goal attainment requires resource planning as wellas goal setting.

Ideally an annual departmental or work group goal setting process would be completed beforeindividual Work Plans are developed. This is so that the employees and supervisors have a clearunderstanding of the goals of the work group or unit before discussing the employees individualrole in that group.

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The earlier an organization or departments goals enter the Performance Management Process, themore influence they can exert on the individual Work Plans that result.

Who Should Complete the Individual Performance Management Process?Each area needs to determine who should be responsible to complete the first draft of the initial

Work Plan. Gathering all the information needed to complete the individual Work Plan and givingtime for thoughtful responses to each question may take several hours (especially when completingthe Work Plan for the first time). The supervisor should reassure the employee that this is a priority,and that the supervisor will help him/her find ways to set aside some time for this activity.

Before the employee completes the Work Plan for the first time, the supervisor should meet withhim/her (or perhaps all employees in a group) to set the context for using the PerformanceManagement Process for their particular area and to set expectations for how the process shouldbe completed. The supervisor should stress that the employee can ask for further guidance orclarification at anytime. This guide should also help the employee in completing their Work Plan.

If the employee completes the initial Work Plan, it would be ideal if the supervisor could review thedraft plan prior to the meeting with the employee to formalize the plan. If the supervisor is familiarwith the completed Performance Management Process in advance, it will make for a moreproductive meeting. Allow for at least an hour when meeting to discuss the Work Plan for the firsttime.

If the employee has a split appointment and/or is working with project teams outside theirimmediate work group, he/she should share a copy of the completed Work Plan with the teamleaders for those projects and meet with those team leaders or supervisors to discuss his/her WorkPlan goals for those projects.

Keep in mind that the manager of your specific unit or sub unit will also need to approve theindividual Work Plans of your group.

General Considerations for Completing the Performance Management ProcessEvery employee, supervisor and manager in the AVPF organization must have an individual WorkPlan to be kept current and updated at least once a year. Throughout the creation of the WorkPlan, both employee and supervisor should ask as many questions as needed of each other andtheir manager in order to create a document that is meaningful and mutually understood. When theWork Plan is complete, a one-on-one meeting will be scheduled to discuss it (and perhaps makerevisions) before formally signing the completed document.

During subsequent ongoing Coaching and Feedback meetings, the supervisor and employee mayrevise the initial Work Plan and document changes as appropriate. The notations made duringthese periodic Coaching and Feedback meetings serve as an important part of the SummaryPerformance Evaluation Process completed at the end of the year.

When Not to Use the Performance Management ProcessThe Performance Management Process should not be used as the first indication of disciplinaryissues. In other words, do not wait for a Coaching & Feedback session to address any disciplinaryissues. These issues, (such as attendance abuse, insubordination, etc.) should be dealt withimmediately as noted in University policy and in a separate context from the Work Plan. However,

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progress in resolving these issues might become part of the continuous improvement strategiesdetermined by the employee/supervisor as part of the Work Plan in conjunction with a PerformanceImprovement Plan.

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The Elements of the Work Plan

Section I. Alignment

Page one of the Work Plan document is the explicit link between the departments critical initiativesand goals and the individual employee.

Enter the employees name, title/position, department name and employee identification number(EmplID) in the spaces provided. Enter the names of the supervisor and the department managerin the spaces provided. Specify the period covered by this Work Plan (usually June 1 through May31).

Indicate the dates of the completion of the appropriate Coaching and Feedback sessions as theyoccur throughout the year.

Specify the overall job goal or purpose of this employees job. This should be a short summary thatconveys the overall purpose of the job. The Work Plan expands with more details in Section III.

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Major Areas of Responsibility (MAR). Indicate the full time equivalent for this job as a percentage.If the appointment is split between two or more units, the percentage will be less than 100%. Anemployee with no split appointment would read as 100%. When a staff member has two or moresupervisors within the same unit, all supervisors should provide input for both the SPE and the workplan. An employee whose appointment is split between multiple units would require two or more

work plans.

The following definitions refer to sections found on the first page of the Work Plan:

Term Definition

AVPF Strategic Goals These overarching strategic AVPF goals will have been written into thetemplate. It is expected that an employees Work Plan will eventually belinked to these AVPF goals through their department/divisions goals orcritical initiatives.

Employee Employees name as it appears on departmental records.

Title/Position Classification Employees working title as it appears on departmental records.

Department Name of Employees department.

Supervisor Name of Employees direct supervisor, responsible for day-to-daysupervision.

Manager Name of direct supervisors supervisor or manager.

Performance Summary Period Usually June1-May 31, unless the period is shorter due to specialassignment, transfer, new hire date.

Work Plan/Coaching andFeedback

Supervisors and employees will meet a minimum of 3 times per year toreview the previous period and provide feedback in order to adjust theWork Plan for the next period if necessary. They will use this section todocument the date and initialing each of the sessions

Job Goals / Purpose / %Appointment

This identifies the % FTE (full time equivalent) appointment that thisemployee is supervised by this supervisor in this department (usually100%). In cases where there is a split appointment, or an appointmentto multiple projects, each Work Plan shall identify the portion of theoverall FTE that is assigned to this supervisor or project leader for theWork Plan.

Job Goals / Purpose The employee performing this job is responsible for: This sectiondescribes in several sentences or phrases specifically what this personin this position is responsible for, in broad terms. This section can beused to transition from a traditional description of duties to the WorkPlan.

Section II. Work Values and Behaviors

This section describes the behavioral expectations of how employees are expected to fulfill theirresponsibilities in line with the AVPF Core Values. Work Values Behaviors are to be discussed aspart of the Coaching and Feedback component of the Performance Management Process.Coaching and Feedback entries should be entered into this section.

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Below is a sample of the Work Values and Behaviors as they appear on the Work Plan.

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Section III. Major Areas of Responsibility

Below is a sample of a Major Area of Responsibility or MAR as it appears on the Work Plan.

This section asks the employee to complete an outline of their MARs percentage of total effort, andto identify specific goals, activities, and customers for each area. The employee must also assign apercentage (%) effort for each area of responsibility.

A MAR is a natural clustering of tasks in an employees position. It answers the question, what isthe employee responsible for. The response to this question should include big items and majorclusters of responsibility and not specific tasks (e.g. responsible for initiating network access fordepartments, schools, and colleges on campus rather than writing periodic status reports). AWork Plan usually contains at least three, but no more than seven MARs. Each task in anemployees job description is not necessarily a MAR.

Percentage of Effort (% Effort)This percentage describes the amount of an employees effort that should be expended on thisMAR. It enables clarification between employee and supervisor of the amount of time an employeeshould be spending on this MAR. A 20% effort identifies 8 hours of work per week in a given MAR.The intent is that the percentage of effort is a rough estimate to show the relative emphasis of oneMAR to the others.

It is recommended that employees not list any MARs that are less than 5% of their overall duties.(5% is approximately 2 hours/week.)

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Key CustomersIdentify all customers for each MAR, or in some cases, each goal. A customer is a person (internalor external to AVPF) who benefits by or relies on successful performance of this MAR.

Goals

This portion of the Work Plan identifies the specific goals to be accomplished in this MAR within thepercentage of effort assigned to this MAR. It answers the question What do you want toaccomplish this year? Ideal goals are SMART Specific, Measurable, Attainable, Realistic,Tangible.

Activities (How are you going to accomplish your goals?)List in this column the major tasks and activities that apply to each goal in this area of responsibility.For long-term projects where milestones serve as a better measure for the goal than trying toidentify specific tasks or activities, significant milestones should be identified. If useful forclarification, when listing tasks, activities or milestones include an estimated completion date foreach task, activity, or milestone.

In ongoing Work Plan sessions, discussion of this activities section also promotes an opportunity todiscuss activities that have been added since the last meeting and to identify any activities theemployee is doing that are not yet mutually agreed upon (i.e. identify any potential surprises).

Coaching and Feedback NotesDuring the periodic Coaching and Feedback sessions, changes to the Work Plan should be noted,additional short term goals set as necessary, and both employee and supervisor are encouraged towrite notations about feedback given.

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Coaching and Feedback

It is the supervisors responsibility to ensure that employee/supervisor hold Coaching andFeedback sessions at least three times a year. The purpose of these meetings is to review theprevious period and provide feedback in order to adjust the Work Plan for the next period if

necessary. Below is the timeline for the Coaching and Feedback sessions.

Timeline/action required

DUE DATE ACTION FOR SUPERVISOR ACTION REQUIRED FOR HR

June 1 Work Planning Begins

Staff member and supervisor should work together to create orrevise previous Work Plan based on new conditions,assignments or revised goals and objectives for the comingyear.

Work plan must be reviewed andapproved by supervisor.

Discussion should also occur regarding planned work.Priorities for the 1st quarter of the new year should be clearlydefined.

By July 31 Work plan for coming year finalized and approved. Submitapproved new work plans electronically to HR Administrators.

Submit approved Work Planselectronically by July 31 to AVPF UnitHR Administrators.

October 1 Start 1st Coaching and Feedback Session

Covers June 1 - September 30 for work completedCovers October 1 - January 31 for planned work

Supervisor should meet with staff member to go over WorkValues and Behaviors and MAR's listed on Work Plan for thecovered quarter.

Supervisor should comment in writing on Work Values andBehaviors and MAR's that are going well and those that needimprovement and what the improvement needs to be. Thesecomments can be on the Work Plan or on a separate sheet ofpaper that should be attached to the Work Plan in the

supervisor's work file. A copy of the comments should also begiven to the staff member.

Discussion should also occur regarding planned work.Priorities for the coming quarter should be clearly defined.

Supervisor and staff member should initial front page of WorkPlan and note the date that the coaching & feedback sessiontook place.

By October 31Complete Supervisors Checklist. Maintain original for your fileand send electronic copy to AVPF Unit HR Administrator.

Submit Supervisors Checklist byOctober 31 to AVPF Unit HRAdministrator.

February 1 Start 2nd Coaching and Feedback Session

Covers October 1 - January 31 for work completedCovers February 1 - May 31 for planned work

Supervisor should meet with staff member to go over WorkValues and Behaviors and MAR's listed on Work Plan for thecovered quarter.

Supervisor should comment in writing on Work Values andBehaviors and MAR's that are going well and those that needimprovement and what the improvement needs to be. Thesecomments can be on the Work Plan or on a separate sheet ofpaper that should be attached to the Work Plan in thesupervisor's work file. A copy of the comments should also begiven to the staff member.

Discussion should also occur regarding planned work.Priorities for the coming quarter should be clearly defined.

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Supervisor and staff member should initial front page of WorkPlan and note the date that the coaching & feedback sessiontook place.

By February 28Update your Supervisors Checklist. Maintain original for yourfile and send electronic copy to AVPF Unit HR Administrator.

Submit Supervisors Checklist byFebruary 28 to AVPF Unit HRAdministrator.

May Optional self-assessment period.

By May 31 3rd Coaching and Feedback Session Covers February 1 - May 31 for work completed Supervisor should comment in writing on Work Values andBehaviors and MAR's that are going well and those that needimprovement and what the improvement needs to be. Thesecomments can be on the Work Plan or on a separate sheet ofpaper that should be attached to the Work Plan in thesupervisor's work file. A copy of the comments should also begiven to the staff member.

Supervisor and staff member should initial front page of WorkPlan and note the date that the coaching and feedbacksession took place.

SPE drafts, taking into consideration the entireperformance year, are due to next higher supervisor forreview.

1st and 2ndweek of June

ELT organizations peer review process on all performanceratings.

4th week of June Summary Performance EvaluationCovers entire Year (June 1 - May 31) for SPESupervisors communicate Summary Performance Evaluationto staff. Upon communication of SPE to staff, supervisorsshould make a copy for your file and submit original SPEs andSupervisor Checklist to AVPF Unit HR Administrator.

Submit original SPEs and SupervisorChecklist with signatures by June 30to AVPF Unit HR Administrators.

Supervisor and staff member should initial front page of WorkPlan and note the date that the Summary PerformanceEvaluation took place.

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Skip Level Communication

Skip Level Communication provides an opportunity for employees to have a meeting with theirsupervisors supervisor. Skip Level Communication meetings should be scheduled once a year.The goal is to improve communications and strengthen teamwork by promoting a familiarity

between employees and their supervisors supervisor.

Roles For any given Skip Level Communication session, there are three roles:

Skip Level Manager/Supervisor

Direct Level Supervisor

Employee

Each unit within AVPF determines how they will proceed with scheduling skip level sessions in theirareas. Some may choose to schedule them year round while other smaller units may concentrateon doing it during a specific time of the year (i.e. May/June). Once the schedule is determined, theskip level supervisor/manager arranges for a time to meet with the employee. Every employee

should have the opportunity to participate. Employees may decline the invitation from the skip levelsupervisor/manager if they choose.

Skip Level Supervisor/Manager PreparationReview the employees Work Plan and/or Summary Performance Evaluation.Meet with employees supervisor to gain perspective on current issues likely to be brought up byemployees during the sessions.Determine supervisory or first-line management goals and/or decisions that need to be reinforcedduring each employee session.Examine climate of the department and the AVPF Organization.Questions a Skip Level Supervisor/Manager might ask the Direct Level Supervisor:

Are there any general concerns that might be addressed? Are there issues or needs that might be brought up during the session?

Are there issues or needs that may be explored or otherwise need reinforcing during eachsession?

Is there any feedback that you would like me to solicit?

Are there any questions you would like me to ask?

Suggested Discussion Topics:Performance Management Process experienceEmployee Goals/Training preparation requiredCurrent issues/obstacles to goal achievementSuggestions for improvement within department or within the University at largeDepartmental Goals and Objectives general discussion giving managers perspective andemployee roleGeneral feedback for management/supervision/leadership

Other tips:Session may last a minimum of 30 minutesCultivate a comfortable atmosphere

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Dont force discussion about work issuesDeal with confidential issues in the recommended manner. Ask the employee if there are actionsyou can take that will not breech confidentially.

After the SessionNote highlights after each individual session on the Skip Level Communication Form; do not includeemployee name.After all sessions are complete, prepare a summary.Forward copies of all Skip Level Communication forms and your summary to the AVPF Unit HRAdministrator for your department. They will analyze employee needs, general concerns, andrecommendations for improvement.Summarize Action Plans for your boss and your staff. (at least 3 public actions)Prepare an informal summary for the direct supervisor. Discuss feedback with them and setgoals.Inform staff of actions taken if/when appropriate. If no issues have surfaced from the Skip Levelsessions, then at the very least prepare a memo or email to staff thanking them for their time andreminding them they are welcome to contact you any time throughout the year.

AccountabilityThe Skip Level Manager/Supervisor is responsible for:

Formulating an action plan based on feedback received.

Communicating those actions to staff and your boss.

Discussing the summary of information exchanged with each direct level supervisor withoutviolating confidentiality, and coming to an agreement on goals/action steps for the directlevel (and skip level if necessary) supervisor based on the feedback given.

As relevant, help the direct level supervisor incorporate these goals/actions into their Work Plan tobe reviewed on an ongoing basis, at a minimum during the next Coaching and Feedback session.

Hold Skip Level Communication sessions on an annual basis and act on the results. This shouldbe incorporated into all skip level supervisors Work Plans.

Send a copy of the forms to the departmental AVPF Unit HR Administrator if and when completed.

DocumentationEmployee Identity should be kept strictly confidential

The Skip Level Communication Form will be utilized to document discussion results (Employeesname will not appear on the form). Do not write on the form during the session, but its generallyrecommended to keep informal notes during the conversation.

Feedback from the AVPF Unit HR Administrators to the Department Head concerning anyrecognized trends, recommendations, or general concerns should follow. Overall responses orreactions concerning the Performance Management Process, in particular, should also be directedboth to our internal AVPF Unit HR Administrators and department management to providecontinuing input on the employees perception of our Performance Management Process.

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Summary Performance Evaluation (SPE)

Summary Performance Evaluations (SPE) are based on approved Work Plans. The SPE is anoverall summary of performance compared against expectations and goals. If a staff member hastwo or more supervisors within the same unit, all supervisors should provide input for both the SPE

and the work plan. An employee whose appointment is split between multiple units would requiretwo or more work plans

Summary Performance Evaluation FormsSummary Performance Evaluations should be written for all staff in AVPF at the end of thePerformance Management Process. The SPE is an excel form that includes a brief instructionsheet, a page for rating the employees work values and behaviors, and a separate page forcomments that support the ratings. Comments are required. Supervisors are required to reviewthe draft SPE with the next level of management prior to reviewing the SPE with the employee. InMid-June, the ELT will calibrate all performance ratings. The SPE should then be discussed duringa face-to-face session with the employee. The SPE including signatures of the employee, the

evaluating supervisor and the next-level supervisor must be completed and submitted to the unitHR Administrator by June 30. This includes all new staff that are eligible for the September salaryprogram.

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Overall RatingAll staff will be evaluated overall for the year in their Summary Performance Evaluation with one ofthe following ratings: Does Not Meet (DN), Improving Toward Expectations or Needs Improvement(IE), Meets Expectations (ME), Exceeds Expectations (EE), or Sustained Excellence (SE).

If the overall designation, Does Not Meet is indicated, there should be a separate documentedPerformance Improvement Plan (PIP) for improvement with milestones and timelines developedwith the employee prior to the Summary Performance Evaluation session. These documentedPerformance Improvement Plans shall have been reviewed by the Human Resource Officer (orrepresentative) and then submitted along with the Summary Performance Evaluation.

In addition, the Work Values and Behaviors section and each MAR will receive a rating. Commentsare required on the SPE form to support the rating of the Work Values and Behaviors and theMARS. Improving toward expectations or needs improvement means that either the expectationswere not entirely met or that there are areas in need of improvement. The required comments

should clarify whether the employee made reasonable progress toward the goal or there werecircumstances beyond their control that prevented accomplishment. The comments should alsoclarify and specify the areas in need of improvement.

The meeting to discuss the SPE also wraps up the Performance Management Process for the year.The supervisor and employee should spend time discussing Coaching and Feedback for theprevious quarter and also discuss the SPE which takes into account the entire previous year.

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To prepare for the SPE, the employee should review their own Work Plan concerning goalachievement and complete the SPE for themselves.

The supervisor should draft their own SPE for each employee and must discuss it with theirnext-level supervisor prior to the SPE session with the employee .

When it is time for the actual SPE meeting, supervisors should schedule a time (an hour) with eachemployee the fourth (4th) week of June. Provide the employee a copy of the supervisor preparedSPE one or two days before the scheduled meeting.

During the SPE SessionIntroduce the session and its purposes (Last period Coaching and Feedback and SummaryPerformance Evaluation).Set a positive tone.

Last Period Coaching and FeedbackReview the Work Plan and evaluate the years last performance period. Provide Coaching andFeedback (the period looking back), and clarification of the time spent on MARs since theprevious coaching through May.Make brief notes on the Work Plan, if applicable.

Summary Performance EvaluationCome prepared to recognize and appreciate accomplishments and efforts in each MAR and in theWork Values and Behaviors Section. (Year looking back)

Discuss any areas with the designation Does Not Meet or Improving Toward Expectations andhow best to summarize it and plan for improvement.

Get feedback for yourself using open-ended questions. (Examples: How can I help you do your jobbetter? What kind of support do you need from me?)

Remember to mention the rebuttal process. (Hand them a copy.)

Outline next steps of this SPE process (The form will be finalized and signed byemployee/supervisor/next level supervisor; original will be placed in employees central HR file, onecopy to the department personnel file and one to the employee.)

An employee may provide additional information to be attached to the SPE. An example might bea copy of an award received or completion of a training program.

If the employee feels that the evaluation is unfair, incorrect or does not accurately reflect theirperformance, they may write a rebuttal and follow the rebuttal process. This rebuttal should also beattached to the SPE package.

After the sessionFinally, make copies of the completed evaluation for the employee and yourself and forward thesigned original to the appropriate manager. The completed signed original of the SPE will beimaged into the employees central HRAA personnel file.

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Complete the supervisor checklist and at the end of the cycle, send the original signed checklistalong with the original SPEs to your departments AVPF Unit HR Administrator by June 30.

Keep a copy of the SPE for your files and send a copy to your departmental file (if applicable).

Check with your AVPF Unit HR Administrator if you have questions.

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KEY POINTS TO KEEP IN MINDduring the Coaching & Feedback sessions and SummaryPerformance Evaluations

Be prepared

Will any part of this SPE come as a surprise to the person? (It should not.) Can you deal with anyserious performance issues prior to the SPE?

If you assign improving or does not meet expectations to any area, be prepared to review ingreater detail the performance expectations you have concerning this area.

You should be prepared to describe what acceptable performance would look like and steps theemployee might take to improve in this area.

Avoid common rater errorsFirst Impression Error- the tendency for the supervisor to make judgment decisions early. The

supervisor may miss critical information exchanged later on with such a mindset.

Similar to Me Error- all else being equal, supervisors will give higher ratings to employees theyperceive as similar to themselves.

Halo Effect - the error of positively or negatively generalizing over several dimensions ofperformance, based on an overall impression or salient characteristic of the employee. As a result,each performance category does not receive a valid evaluation.

Primary, Recency Effect - the tendency to not treat all information equally for humans rememberfirst impressions and most recent events best. Important information may get lost in the middle.

(Always review all of your notes, records and review the calendar for key events during the year.)

Sex and Attractiveness Bias - the error of factoring the employees sex or physical attractivenessinto judgments about their performance in their position.

Misinterpretation of Nonverbal Cues - the tendency to misinterpret or not question nonverbalbehaviors. It is important to overcome the hesitancy to tactfully investigate the true cause of suchbehaviors.

Judgment Bias - the error of revealing ones own value system when reacting to an employeesresponse. It is extremely important to react in a non-judgmental manner so that the employee will

respond honestly and candidly to the questions posed. Any judgments should be made accordingto the organizations goals and relevance to the job.

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DOSchedule a meeting time that works forboth the employee and yourself

Be prepared for the meeting

Close the door and do not allow forinterruptions (phone, pager)

Use language that will be clearlyunderstood

Focus on the performance, not the person

Consider the employees performancethroughout the year

Use specific examples to support your

praise or criticism

Make notes to yourself in advance toclarify your evaluative comments,particularly criticisms, so you can be veryclear

Avoid absolutes such as always or never

Give the employee advance notice thatyou will be asking for feedback and providethe questions (e.g. How can I help you do

your job better? What kind of support doyou need from me that youre not getting?)

Summarize and ask the employee tosummarize

Avoid surprises

DO NOTConduct the meeting without adequatepreparation time

Hold a superficial discussion

Discuss personality traits and attitudes

Dwell on isolated incidents

Dwell on weaknesses, faults, orshortcomings

Compare the employee with another orwith oneself

Get into problem-solving or ideagenerating discussions (Schedule another

meeting to do this)

Use this session to discipline an employee

Repeat constructive criticism in an attemptto soften the blow. Say it once and thenlisten!

Provide excuses for bad news. State yourobservation and allow the employee torespond

Use the session to discuss employeecareer development plans. Schedule thisfor another meeting

Avoid telling the truth for fear ofdisagreement of an on-going performanceproblem.

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AVPF Summary Performance Evaluation Rebuttal Process

For non-bargained-for staff members

The rebuttal process is to be used by any staff member who feels the Summary PerformanceEvaluation does not accurately reflect his/her job performance. This process is as follows:

1. The staff member and immediate supervisor should first work together to address anyconcerns or differences of opinion in the evaluation.

2. If the staff member and supervisor cannot reach agreement on the concerns, these concernsshould be documented by the staff member, and signed/dated by the supervisor, then attachedto the evaluation form. Optionally, the Work Plan with Coaching & Feedback notes may beincluded. The evaluation form should then be signed and dated by the supervisor and the staffmember. Copies of the entire package should be given to the employee.

3. The supervisors manager will review the signed evaluation (including the signed documentdescribing the employees concerns) and formulate the next steps to a resolution andcommunicate them in writing to the supervisor and the employee.

4. If the staff member is not satisfied with the managers resolution, she/he may contact:

Any department manager, any direct report to Peggy Norgren or Peggy Norgrenherself

The AVPF Unit HR Administrators within the department

The AVPF Human Resource Officer, Cheryl Reed

The HRAA Representative, Jon Lund

For bargained-for staff members

Please refer to the contract guidelines.

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Supervisor Checklist

The Supervisor Checklist should be filled in with each employee name and the dates that Coaching andFeedback and SPE sessions occurred. A copy of the checklist should be included in your own summaryinformation with your supervisor, as well as sent to your departments AVPF Unit HR Administrator aftereach Coaching and Feedback session has been completed.

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performance manage me 1125 (1)

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