Employee Performance Management Process

Transcription

1 Employee Performance Management Process Summer 2009

2 EPMP GUIDE: CONTENT Introduction... 4 Overview... 5 DPS Commitment to Performance Management... 6 Employee Performance Management Process (EPMP) Defined... 7 Positions covered by EPMP... 8 EPMP Mechanics... 9 EPMP Parameters... 9 EPMP Cycle Time EPMP Roles & Responsibilities EPMP Forms DPS Success Factors Performance Planning Performance Planning Framework Defining Goals Creating Alignment Setting Team Goals Individual Performance Planning Development Planning Calibrating Goals Establishing Your Personal Goals Ongoing Dialogue Roles and Responsibilities Documentation Managing Performance on an ongoing basis Feedback and Coaching Defined Providing Effective Feedback Large Teams Dispersed Teams Feedback and Coaching: Myths and Realities Mid-Year Checkpoints Roles and Responsibilities Timing Documentation Process Performance Evaluation Evaluating Team Performance Roles and Responsibilities Timing Evaluating Individual Performance Assigning Performance Ratings Calibrating Performance Evaluations Conducting the Performance Evaluation Meeting Note: While the initial edition of the Manager s Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 2 of 105

3 EPMP TOOLKIT: CONTENT Introduction EPMP Forms Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form Completed Example: Performance Planning and Evaluation Form Roles & Responsibilities Performance Planning Ongoing Dialogue: Feedback and Coaching Mid-Year Checkpoint Performance Evaluation Operationalizing DPS Success Factors Goal Setting: Tips and Tools Documenting Goals Creating Goal Alignment Stretch Goals SMART Goals Prioritizing Goals Translating Goals into Action Calibrating Goals Setting Team Goals Individual Performance Planning Development Planning Managing Performance on an Ongoing Basis Providing Feedback Conducting Performance Evaluations Assigning Performance Ratings Note: While the initial edition of the Manager s Guide provides a brief overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 3 of 105

4 INTRODUCTION This EPMP Process Guide is your resource for Denver Public Schools Employee Performance Management Process (EPMP) for Central Office employees. The Process Guide outlines the important role performance management plays for the district, managers, and each Central Office employee. It explains the purpose and mechanics of the EPMP process and includes a Toolkit, which provides tips, tools, and examples to support the performance management process. The Process Guide serves as a reference for managers as they communicate, implement, and execute EPMP, as well as an orientation to the process for new managers. You are encouraged to visit the Denver Public Schools Performance Management Web site at for additional information and resources on performance management. The HR Partner who supports your department is also available to answer questions, provide feedback and coaching, and help you think through issues specific to your group. In addition, you can contact any member of the Performance Management team within Human Resources with your questions. Few processes are more important to effectiveness than performance management! Note: While the initial edition of the Manager s Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 4 of 105

5 OVERVIEW DPS vision of leading the nation s cities in student achievement, high school graduation, college preparation, and college matriculation is ambitious, but we can do it if we take it step by step. Most important, we need to have the right people focused on the right things and empowered to perform. As a manager, you play a key role: you provide a critical link between the district s goals and the people who have to accomplish specific results in order to achieve those goals. The Board of Education (BOE) has defined clear five-year goals with respect to student achievement and growth. In response, the superintendent and the senior team have defined the Action Plan, defining key strategies or pillars of actions to drive goal achievement. (The Action Plan is the next phase of the Denver Plan. It will continue to be refined over 2009.) Your role is to translate these goals and strategies into specific results for your team, define clear accountability, and support employees in contributing to their fullest potential. Imagine how successful DPS will be if each staff member is: Aligned around clear strategies to achieve our mission and goals. Focused on those things most directly linked to student achievement and growth. Empowered by clear goals and expectations. Accountable and rewarded for results. Developing those capabilities most important to district success. The Employee Performance Management Process (EPMP) focuses employees on the outcomes and actions that are most important for student and district success and empowers them to perform. It provides a process that enables employees to translate district and department/division goals and strategies into results they can accomplish in their day-to-day work. EPMP also engages employees in goal achievement and provides an important foundation for employee development, ensuring the district remains a compelling place to work, grow, and learn. Page 5 of 105

6 DPS Commitment to Performance Management EPMP is part of the district s broader focus on performance management, which includes a set of initiatives designed to increase student achievement, high school graduation, and college readiness. These performance management initiatives aim to: Provide clear objectives and standards. Develop measurement systems to track progress. Allow autonomy to perform coupled with accountability for results. Award rewards based on performance. At their core, these performance management initiatives are guided by a strong focus on People, Service, and Results. The People focus includes recruiting, training, retaining, and rewarding highly motivated and skilled employees and ensuring that the right people are doing the right jobs. The Service focus refers to the mission of employees to support their teams, their customers, and the mission of the district to the best of their abilities. The Results focus means setting clear goals, tracking progress, implementing change when it is necessary, and accepting accountability for results. The School Performance Framework provides a roadmap for school personnel to follow in setting and achieving goals. While EPMP provides a similar framework for Central Office employees, it is important to realize that this is only a framework. Its power will be realized only when managers and employees collaborate in using it to define how they will contribute to district success. More information regarding the district s performance management initiatives can be found at: Page 6 of 105

7 Employee Performance Management Process (EPMP) Defined EPMP provides a standard process and format for managers and employees to use in planning, monitoring, developing, evaluating, and recognizing performance. It is an ongoing process grounded in two-way dialogue and focused on employee development. EPMP Mission The Employee Performance Management Process is an ongoing system of goal setting and performance appraisal for Central Office employees to ensure that: The District s Goals and Action Plan are effectively translated into achievable goals and performance expectations at the district, department, team, and individual levels. Employees at all levels are held accountable for their achievement, recognized for their contributions, and supported in their career development. The district maintains a process for continuous improvement and focus on service. DPS remains a compelling place for employees to work, learn, and grow. EPMP provides documentation to support HR and management decisions and, in some instances, outputs of the EPMP process are used as legal documentation (for instance, to support placement, disciplinary, or termination decisions.) EPMP will evolve with the district. DPS is in the early stages of developing our talent management processes and performance management provides a critical foundation. Future goals include linking EPMP with job descriptions, defining competency profiles for key jobs, enhancing employee development planning processes and opportunities, and strengthening the link between performance and rewards. Page 7 of 105

8 Positions Covered by EPMP EPMP will ultimately cover both exempt (not eligible for overtime) and non-exempt (eligible for overtime) Central Office employees. Implementation for exempt employees is effective September 1, It is anticipated that EPMP will be extended to non-exempt employees September 1, If you have any questions as to which positions are covered by EPMP, ask your manager or HR Partner. It is DPS goal to standardize performance management to the extent possible, but the nature of the performance management process must also be appropriate to the position. For example, separate processes currently exist for teachers and principals and it is likely these processes will remain separate as they are unique to the needs of these positions. Many managers have blended teams, which include positions covered by EPMP now, those planned for future coverage under EPMP, and those covered by a different performance process. While this creates challenges from a communications and administrative perspective, the concepts behind good performance management are universal. The forms and tools you use to set goals and evaluate employee performance may differ, but your role in creating the right focus, empowering employees to perform, and building accountability for results is the same across employees and employee groups. Page 8 of 105

9 EPMP MECHANICS EPMP Parameters There are certain fixed parameters that all managers are expected to use in conducting performance management for Central Office employees. These include use of the standard performance management form, following the standard performance management cycle and timelines, and ensuring employee involvement in the process. Specific parameters include: Annual Goal Setting and Performance Evaluation. Each employee will participate in an annual, documented, goal setting and performance evaluation process. This will include a mid-year checkpoint. Standardized Cycle. The start of the performance year is September 1. The performance evaluation process for the prior year and performance planning process for the upcoming year starts August 1 and ends October 31. Standard Form. A standard form will be used for both performance planning and evaluation. This form and additional forms supporting the performance management process can be found in the EPMP Toolkit at the end of this document and also on the DPS HR Web site ( Cascading Goal Setting Process. Department/division leaders will lead a cascading goal setting process to translate district goals into group, team, and individual goals. Rating Scale. Central Office employees will be rated using a four-point rating scale. Calibration. Managers are responsible for calibrating performance goals and evaluations across teams and individual employees to facilitate equity in terms of expectations and ratings. Co-accountability. Managers and employees are both active participants in the process; managers are accountable for process execution. The goal of EPMP is to standardize the performance management process and ensure it is an ongoing, two-way, developmental process. However, DPS is a diverse organization with diverse cultures, jobs, and people, and implementation of EPMP must be flexible to meet unique needs. Also, EPMP is not intended to detract from effective practices that already exist in some parts of the district; where possible, the goal is to complement rather than replace these practices. Page 9 of 105

10 If there are aspects of the process that are difficult to apply within your team (for instance, due to employee schedules or spans of control), or you have existing practices you would like to incorporate, please work with your manager and your HR Partner to explore alternatives. EPMP Cycle and Timing Important Dates September 1 September 15 October 1 31 October 31 Start of the performance year Performance evaluations for prior year completed for executive review Performance evaluations communicated to employees Performance plans for upcoming year finalized Note: your department/division leadership may set interim deadlines Page 10 of 105

11 EPMP starts with performance planning where department/division heads establish group goals for the upcoming year. These goals are subsequently cascaded into team and individual goals and performance expectations. Throughout the year managers and employees engage in ongoing dialogue, where they monitor progress, adjust goals where appropriate, seek and provide performance feedback and coaching, solve problems, and recognize achievements. Performance discussions should occur through on-the-spot feedback, normal work reviews, problem-solving sessions, and scheduled team and one-on-one meetings. A documented mid-year checkpoint is expected to occur in the January/March timeframe each year to track progress against the performance plan. The final step is performance evaluation, where performance is evaluated against the goals and expectations set at the beginning of the year. The performance evaluation process includes employee self-evaluation as well as the supervisor s evaluation of employee performance. The year-end performance evaluation should summarize and prioritize key themes from prior discussions. While performance evaluation for the prior year and performance planning for the upcoming year generally occur in the same timeframe, separate meetings are encouraged to allow appropriate emphasis on each. EPMP Roles and Responsibilities A key tenet of EPMP is co-accountability ; both managers and employees are active participants in the process with specific roles to play. The EPMP Toolkit provides a detailed outline of manager and employee roles for each step in the EPMP process. Each year Human Resources will notify you of detailed timeframes for performance planning, mid-year checkpoints, and year-end performance evaluations for that year and will send out reminders of due dates for each step. This schedule will be posted on the HR Web site ( As a manager, you are accountable for leading and managing the process for your team, executing the process for your direct reports, and participating in the process as an employee. Page 11 of 105

12 EPMP Forms The three main performance management forms used in the EPMP process are explained below. They can be found on the HR Web site ( and in the EPMP Toolkit. Performance Planning and Evaluation Form. The Performance Planning and Evaluation Form serves a dual purpose. During performance planning, this form is used to record employee goals and expectations. During performance evaluation, the employee s achievements are documented on the same form. The form includes the following components: Individual Goals Success Factors Other Performance Factors (to be defined by the manager) People Management Performance Summary Performance Rating The Performance Planning and Evaluation Form is the official, signed record of all performance planning and evaluation discussions. It is submitted to Human Resources when finalized and signed. Signing this form in conjunction with performance planning indicates that both parties (manager and employee) have an understanding of expectations, relative priorities, and how performance will be measured. Signing it in conjunction with the performance evaluation indicates that both parties have participated in the evaluation process. The employee signature indicates the form has been reviewed with them, but does not necessarily indicate they are in agreement with it. There is space on the form for employees to note any additional information or perspective they would like to have on record. Employee Performance Planning and Self-Evaluation Form. This is a questionnaire for employees to use when preparing for performance planning and evaluation discussions. Managers may request this form in advance of their scheduled meeting with the employee or simply have the employee bring it to the meeting for reference. The form is not submitted to Human Resources, but should be kept in the manager s employee file. As an alternative, for performance planning purposes, you may ask the employee to draft the performance planning section of the Performance Planning and Evaluation Form for you to finalize. Mid-Year Checkpoint Form. This form is provided to document mid-year discussions with employees. Managers and employees can use this form to prepare for the discussion; managers are responsible for preparing final documentation on the discussion. This form is submitted to Human Resources when finalized. Page 12 of 105

13 DPS Success Factors DPS Success Factors are an important foundation of our culture and an integral part of EPMP. The Success Factors define the actions and behaviors that district leadership believes will drive success. They are performance expectations for each employee. DPS Success Factors define who we are as an organization, what we stand for, and what we stand on. They define how each employee contributes to student achievement and growth. If all employees demonstrate these values, we will achieve our goals. DPS Success Factor Definition Put Students First Puts students first in setting priorities and delivering results. Achieve Results Sets aggressive goals, focuses on key priorities, and assumes responsibility for results. Collaborate Works proactively with others to achieve common goals. Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders. Make Change Happen Seizes opportunities for improvement and promotes positive change. As a manager, your role is to clarify what the Success Factors look like in action within the context of the team s work, to model them, and to hold others accountable for modeling them as well. The goal is to shape and reinforce the culture DPS is creating and to move employees to a place where exhibiting the Success Factors is not a conscious effort, but simply a day-to-day part of their job performance. Actions and behaviors that are representative of each Success Factor are defined in the exhibit following this page. Ideas for operationalizing the Success Factors can be found in the Toolkit at the end of this guide. Page 13 of 105

14 Success Factors Put Students First Puts students first in setting priorities and delivering results Achieve Results Sets aggressive goals, focuses on key priorities and assumes responsibility for results Collaborate Works proactively with others to achieve common goals Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders Make Change Happen Seizes opportunities for improvement and promotes positive change Representative Actions Prioritizes work to focus on those actions most critical to serving students and achieving DPS goals Considers all policies and decisions from perspective of impact on students and families Demonstrates empathy in interaction with students and families Identifies critical needs and highest impact activities; works with manager to align objectives, time and resources Applies sound judgment in making decisions and solving problems in ways that best serves students Gathers relevant data, identifies key issues and considers broader implications in making decisions Takes responsibility for completing tasks and identifying ways to improve Demonstrates ability to get things done; consistently delivers on promises made Removes barriers to achieving results Focuses on actions needed to achieve goals; effectively managing shifting priorities Holds self and others accountable for achieving results Proactively raises issues and drives them to closure Collaborates within and across teams to accomplish results Pitches in to help others achieve their goals Builds and maintains positive relationships with students and stakeholders Contributes positively to team effectiveness Inspires trust and confidence by making and keeping commitments Clearly articulates goals and what s needed to accomplish them to enable others to take action Takes time to understand objectives and needs of students and other stakeholders Takes steps to prevent problems; quickly addresses problems when they occur Sets priorities effectively to handle competing needs Finds ways to deliver quality service within time and resource constraints Solicits and acts upon feedback Anticipates and proactively addresses student and stakeholder needs Demonstrates a can do attitude; initiates and positively embraces change Finds new challenges and opportunities energizing and motivating Demonstrates sense of urgency; moves forward despite ambiguity and removes barriers to achieving results Finds proactive, creative ways to contribute to DPS objectives Champions new ways of doing things Forward- thinking; plans for future opportunities and needs Page 14 of 105

15 PERFORMANCE PLANNING Performance management is not about micro managing; it s about empowerment. Performance planning is about creating focus on the right results and defining the plan to ensure successful execution. Think about it: it s unlikely that goals will be achieved unless everyone knows exactly what they need to do to contribute. Performance Planning requires setting direction, cascading goals, defining accountability, clarifying priorities and expectations, and then turning people loose to perform. Page 15 of 105

16 Performance Planning Objectives Performance Planning Opportunities The specific objectives of performance planning are to: Set goals aligned with district/ department/ division objectives Clarify performance expectations Establish priorities and ensure efforts are focused on the highest impact results Determine how success will be measured Discuss development objectives and establish development plans Performance planning conversations provide a great opportunity to: Reinforce how the work of the team and each individual supports district goals Get the team rallied around common goals Discuss how people need to work together to achieve goals Identify opportunities for continuous improvement Stretch your team and each employee to new levels of performance When developing performance plans, it s important to remember that, while achieving goals specific to this year is critical to current performance, developing the knowledge, skills, and abilities to achieve future goals is vital to the district s long-term success. While managers have ultimate accountability, performance planning is a collaborative process. A discussion of team goals helps each employee understand how they contribute to broader objectives, what other team members need from them, and what they need from others. Employee participation in defining individual goals, action plans, and how success will be measured increases their alignment, accountability, and commitment. Performance planning sets employees up for success. It ensures their contributions are the most important ones to support district goal achievement and enables them to continuously develop in their role. Page 16 of 105

17 Performance Planning Framework Performance planning involves setting team goals and developing individual performance plans. It is an ideal time to have team discussions around the Success Factors, to define what they look like in action for the team, and to discuss how they facilitate goal achievement. The Success Factors are also an integral part of the individual performance planning process. The EPMP Toolkit at the end of this guide provides tips and tools to use throughout performance planning. The remainder of this section provides an overview of: Defining Goals Creating Goal Alignment Setting Team Goals Individual Performance Planning It also discusses individual development planning, calibrating goals across teams and individuals, and establishing your personal goals. Defining Goals Goals should generally concern change; they should go beyond normal operations and bridge the gap between where you are now and where you want to be. They should define concretely how your team can most directly contribute to DPS goals. A well-written goal defines specific results to be achieved and how someone will know when it has been achieved. Page 17 of 105

18 The EPMP Toolkit at the end of this guide provides a variety of tools to assist you in the goal-setting process. It discusses: Documenting Goals Goal statements should define specific results or outcomes to be achieved, how the goal supports higher level (department/division or district goals) and how goal achievement will be measured. While optional, weighting goals can help define and emphasize priorities Stretch Goals Goals that are too aggressive, where the likelihood of achievement is low, can be demoralizing. Goals that are set too low will do little to motivate continuous improvement. Good goals have stretch, they are achievable with a reasonable degree of effort, but require contributions beyond the status quo. SMART Goals SMART goals are: S Specific Describe exactly what you want to achieve. M Measurable Defines how you will know when the goal has been achieved. A Achievable Realistic in terms of knowledge/skills and resource requirements. R Relevant Tied to key department/division or district priorities. T Time-Bound Defines specific end-date. Prioritizing Goals Having more than three to five goals may dilute focus and the ability to achieve the goals. It is important to identify the critical few Action Planning Defining goals is about creating focus. You also need to develop the roadmap to translate goals into action. This involves defining specific steps to achieve the goal, identifying key milestones, and defining the resources required for goal achievement As you begin to identify potential goals, it is a good time to re-assess ongoing activities and consider if there is something employees can stop doing to free-up resources to focus on higher-impact results. It is important to consider whether goals are realistic given ongoing performance requirements. Page 18 of 105

19 Creating Alignment A key objective of performance planning is goal alignment. For DPS, goal alignment starts with the District Goals defined by the Board of Education. These goals serve as guideposts for the district s work and provide specific metrics and milestones related to student and district success. The Action Plan defines the district s strategies or key pillars of action for achieving District Goals. Further information on the District Goals and Action Plan can be found on the Performance Management Web site ( The District Goals are concrete but ambitious. To achieve the goals, the district needs to break them down into more manageable pieces discrete outcomes that a department/division can realistically accomplish. Each of those outcomes then needs to be broken down further into outcomes that teams and individuals can realistically accomplish. That s called "cascading goals" and it provides an important foundation for the EPMP performance planning process. Page 19 of 105

20 The pillars of the Action Plan represent broad strategies that the district believes will lead to goal achievement. It can sometimes be difficult to link these strategies back to your work or the work of your team on a daily basis. However, every time a strategy is implemented to better serve colleagues, every time a process is improved, every time a new process is introduced to improve the effectiveness of a function, we get closer to achieving District Goals. As a manager, your role is to create "line of sight," to clearly define how your team can most directly impact district success based on the work they do and the impact they have on students or colleagues who serve students directly. Examples of cascading goals are provided in the EPMP Toolkit. Setting Team Goals While not part of the "official" EPMP documentation, team goals provide the critical link between department/division goals and individual contributions. They also provide an important "rallying point" for the team. Setting team goals is important for managers who are coordinating a group of individuals towards a common purpose. If you have only a few direct reports or direct reports who do not work together as a team towards common goals, you can move straight to establishing individual goals. Your role is to lead your team in defining goals that: Support the District Goals and Action Plan Support the achievement of department/division goals Drive the achievement of critical functional/operational goals Facilitate continuous improvement in ongoing operations, and/or Build critical capabilities for future performance Team goals can be documented in any format that is specific in terms of expected results and how success will be measured. A Team Goals Form that mirrors the employee goalsetting format in the Performance Planning and Evaluation Form is available on the HR Web site ( Additional tools to assist you in setting team goals are also available in the EPMP Toolkit. Team goals should be signed-off by your manager, but it is not necessary to submit them to Human Resources. Page 20 of 105

21 Individual Performance Planning The performance planning process for individual employees involves the following components: Define Individual Goals. Individual goals may relate to ongoing responsibilities, special projects, continuous improvement goals, job-related personal development, etc. You may have already identified some of these in the team goal-setting process. Discuss the Success Factors. Discuss how the employee can incorporate the Success Factors into his or her role on an ongoing basis. Key areas of focus for the upcoming year should be identified and documented, considering development needs and opportunities to leverage strengths. Define any Other Performance Factors. These are any other factors critical to the employee s overall job performance which will be considered in evaluating his or her performance. Examples are provided in the Individual Performance Planning tool in the EPMP Toolkit. Discuss People Management Expectations. This section is applicable only to managers with responsibility for hiring and performance management. The following is DPS standard criteria for the People Management factor: Visible and Accessible Leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance planning involves discussing key areas of focus for the upcoming year, considering the individual s development needs and opportunities as well as more general leadership development goals for your team. The EPMP Toolkit at the end of this guide provides tools to assist you in the individual performance planning process. Once you have documented the individual performance plans, follow your department/ division s process for tracking goal completion. Keep focus on the performance plans by including discussions around progress in regular one-on-one meetings and/or special checkpoint meetings. Page 21 of 105

22 Development Planning While not part of the official EPMP process at this time, the process provides an excellent forum to focus on the employee s personal career goals and career development. The employee is responsible for driving development discussions around their future career goals, but the supervisor can also play an important role in helping the employee articulate his or her goals, explore the possibilities, and define appropriate development activities. A Development Planning tool is available in the EPMP Toolkit. A Development Planning Form to document goals and monitor progress is available on the HR Web site ( These development goals are not rated as part of the employee s performance evaluation. If a development goal is critical for current job performance, it should be documented in the Performance Planning and Evaluation Form to ensure progress is monitored and evaluated. Calibrating Goals Some managers set very high performance expectations, expectations that seem impossible to reach. Some set expectations that take very little effort to achieve, and some set expectations in the middle. A key tenet of EPMP is equity: goals, expectations and evaluations that are equitable across teams and individuals. Equitable means that goals and expectations for employees in similar jobs and at comparable levels of skill and experience are comparable in terms of importance, impact and challenge or degree of stretch (difficulty of achieving.) Calibration is a process to ensure goals are equitable across teams and individuals. Calibration needs to occur at both the performance planning and performance evaluation steps of the EPMP process. While it s challenging, it s an important part of any performance management process. Refer to the EPMP Toolkit for additional discussion on calibrating goals. Page 22 of 105

23 Establishing Your Personal Goals Typically, a manager s goals will be consistent with the goals for his or her team. As a manager, you own accomplishment of each goal, even though in most cases it will take the efforts of the team to achieve it. In addition, you will also likely have individual goals important projects that can t be delegated, personal participation in district initiatives, professional development goals, or organizational or staff development goals. Try to limit your goals to no more than three to five, which may mean that some of the lesser-weighted team goals are not represented in your individual goals. Remember to consider the People Management factor on the Performance Planning and Evaluation Form and determine specific areas of focus for the year. Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. By setting clear, objective goals and performance expectations up-front, EPMP helps make performance management more objective. It also defines an active role for employees; performance planning is a collaborative process and employees provide input to their performance evaluation through self-evaluation. The performance management process will never be completely objective, but setting clear expectations and involving employees is a significant step. Page 23 of 105

24 ONGOING DIALOGUE Ongoing dialogue is at the heart of an active partnership between you and your reports. Remember, performance management is a process, not an event. Ongoing dialogue means frequent, effective interactions, both formal and informal. It means recognition when you see something you want to reinforce; saying thank you for special efforts; and providing on-the-spot feedback when you see an opportunity for improvement. It also means helping your team members identify potential obstacles and solve problems, and ensuring they have the resources and support needed to achieve their goals. Every manager provides ongoing feedback in some manner, whether intentional or unintentional. The absence of dialogue provides as strong of a message to employees as direct feedback and coaching. Right or wrong, the interpretation can be, they re not as important as the other things you are doing. The EPMP process is intended to make managers mindful of their ongoing interaction with employees; to use every opportunity to reinforce your commitment to their success. Page 24 of 105

25 Ongoing Dialogue Objectives Ongoing Dialogue Opportunities The specific objectives of ongoing dialogue are to: Monitor performance against the performance plan set at the beginning of the year Provide real-time, concrete, feedback and coaching to continuously develop performance Recognize accomplishments, progress, special efforts, or a job-well done Support employees in identifying and solving problems; understand what they need from you to be successful Identify development needs and opportunities Adjust goals as circumstances and priorities and change Foster accountability for results Ongoing dialogue provides a great opportunity to: Demonstrate you re committed to team and employee success Coach and develop employees to their fullest potential Provide updates on district, department/division and team milestones, priorities and challenges Reinforce how their work is contributing to department/division and district success Reward and celebrate success Energize employees around opportunities and challenges Discuss continuous improvement Motivate and support employees in being their best Roles and Responsibilities Ongoing dialogue is a mutual responsibility between managers and employees and a collaborative process. Encourage and hold employees accountable for: Proactively seeking coaching and feedback Asking for help in problem-solving Identifying barriers to performance and suggesting potential solutions Identifying potential changes to goals and priorities Incorporating coaching and feedback they ve received into future performance Monitoring, tracking, and documenting their performance against performance plans Sharing feedback they receive from others Refer to the EPMP Toolkit for a discussion around manager and employee roles. Page 25 of 105

26 Documentation The EPMP process does not include specific forms for ongoing dialogue, but documenting performance conversations and events as they occur will make mid-year checkpoint discussions and year-end evaluations easier and more effective. Document accomplishments, progress, and challenges; feedback from colleagues and customers; actions and behaviors you observed that represent superior performance or development opportunities; extraordinary efforts; and anything else that would be helpful in providing concrete performance feedback. Use whatever process works for you. For instance: Keep a notebook with a section for each employee. Jot down discussions and observations as they occur. Set up a file for each employee that you can use to keep notes in one place. Include work samples, s, notes from others, etc. Take a half-hour at the end of every week to record notes on employee accomplishments, behaviors, feedback and coaching discussions, challenges they re facing, etc. Have employees submit monthly reports on accomplishments, feedback received, challenges and how they overcame them, etc. Take notes after your one-on-one meetings about what you discussed. Send quick s to yourself following relevant conversations and performance events. Store in a specific performance management folder. Ongoing documentation does not need to be extensive or formal; just a quick note to file will help jog your memory when it s time to develop formal documentation. Document frequently and be specific. Keep performance documentation job-related and objective; describe the performance, not the person. Managing Performance on an Ongoing Basis There are a variety of techniques to use in managing performance on an ongoing basis. These include: Direction Feedback Coaching Problem Solving Recognition Delegation Motivation Development Monitoring Adjusting Further definition of and guidance around each of these techniques is provided in the EPMP Toolkit. Page 26 of 105

27 Feedback and Coaching Defined Feedback is sharing observations about job performance or work-related behaviors and their impact. Specific goals in providing feedback are to: Recognize a job well-done Reinforce desired behaviors Define opportunities for improvement and suggest ways to improve Correct performance that does not fully meet expectations Help the employee understand the impact of their actions and behaviors Contribute to employee development An employee s motivation will be higher when he or she receives regular and constructive feedback along the path of accomplishing his or her goals. Cheer the progress, not just the results! Coaching is technically distinct from feedback, but they should go hand-in-hand. Coaching is a two-way conversation focused on the employee s development. The goal is to help the employee maximize his or her potential. A coaching conversation blends inquiry (asking questions) with advocacy (offering opinions and ideas.) The supervisor guides the employee in defining opportunities to enhance performance and how to move forward. The purpose of both coaching and feedback is employee development. Both should focus on observed actions, behaviors and results, and they should be ongoing, both formal and informal. Page 27 of 105

28 Providing Effective Feedback Effective feedback is: on-going, two-way, specific, balanced (positive and negative), framed positively, results-oriented, honest and intended to be helpful. It is about observation, not judgment. Feedback should be both formal (scheduled, documented) and informal (e.g., hallway conversation), basic (e.g., about specific tasks and actions) and deep (e.g., about how the employee is contributing to higher-level goals.) Find every opportunity to say, thank you! Be present and authentic in providing feedback; speak with clarity and conviction. Confirm the employee has heard the feedback both positive and negative so they know the intended action (stop start continue.) Give the feedback quickly, as soon as possible after you ve seen behaviors or results you want to reinforce. Be as concrete as possible in describing what you liked it s much more powerful than, nice job! One of the keys to effective feedback is active listening, which takes focus and practice. When feedback is difficult, it can be helpful to follow a specific process. One approach is outlined in the EPMP Toolkit. Further tips and tools around providing effective feedback can be found in the EPMP Toolkit. Keep in mind that people want feedback. Even if the feedback is difficult, it demonstrates you re paying attention to them, you need and appreciate their contributions, and you re committed to helping them improve. Large Teams Disbursed Teams Ongoing dialogue is particularly challenging when staff members are located remotely and/or when you have a large number of direct reports. There are no easy answers, but it doesn t make it any less of a priority. Consider scheduling hours on-site where employees are located; get feedback from those colleagues and customers who interact with the employee on a daily basis; use scheduled team meetings to discuss progress, accomplishments and challenges (which is a great opportunity for team problem-solving); use employee-completed logs and reporting; do quick weekly touch-bases via phone. Work with your manager and HR partner to identify ways to effectively manage a large and/or remote team, and consult with peers who have a similar staffing configuration. Page 28 of 105

29 Feedback and Coaching: Myths and Realities There are certain myths around feedback and coaching. Recognizing the realities can make feedback and coaching a more natural part of your role. Myths Realities Feedback is a nice term for criticism I have all A players; they don t need feedback I have no time for feedback and coaching The feedback is obvious; the employee already knows I ll give the feedback next time we meet Feedback doesn t have to feel negative or awkward; it can be a mutually positive experience High performers, particularly, want personal development The pressure to do more with less can only get you so far; you have to help each employee be their best We all have blind spots; you have to be willing to help employees see them The most effective feedback and coaching is in the moment The DPS Performance Planning and Evaluation Form defines the following performance indicators for people management: Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Post these expectations where you can see them every day; use them to guide your ongoing interactions with your team. Page 29 of 105

30 MID-YEAR CHECKPOINT The EPMP mid-year checkpoint is a documented conversation between the manager and employee to acknowledge accomplishments, assess progress against performance plans, and identify priorities for the remainder of the year. It is less formal than the annual performance evaluation, focusing on status and next steps to goal achievement. Mid-year checkpoints reinforce the basic objectives of performance management in that they ensure employees: Keep efforts aligned with team, department/division and district goals Remain focused on critical priorities Are empowered by clear goals, expectations and feedback Are accountable and recognized for results Are developing those capabilities most important to future success Page 30 of 105

31 Mid-Year Checkpoint Objectives Mid-Year Checkpoint Opportunities The specific objectives of the mid-year checkpoint are to: Assess progress against the performance plan defined at the beginning of the year Document accomplishments, progress, and challenges Discuss priorities for the remainder of the year Discuss plans and provide guidance to complete goals by year-end Adjust goals if appropriate based on changing priorities and circumstances Identify potential barriers to goal achievement and problem-solve around them The mid-year checkpoint conversation provides a great opportunity to: Focus on the employee Recognize progress and accomplishments to-date, and reinforce the path to goal achievement Thank the employee for their contributions Re-energize the employee around opportunities and challenges for the remainder of the year Provide time for performance adjustment/enhancement prior to the annual performance evaluation Identify opportunities for continuous improvement Roles and Responsibilities Refer to the EPMP Toolkit for a discussion on manager and employee roles and responsibilities. Timing Mid-year checkpoint discussions are held from January 15 through March 1 each year. Documentation The Mid-year Checkpoint Form is the documented, signed record of the discussion. Both managers and employees use the Mid-year Checkpoint Form in preparing for the discussion. You may ask the employee to submit it in advance of the discussion, or simply use it to prepare for the meeting. The manager is responsible for completing the form, gaining the employee s signature and forwarding to Human Resources. The employee s signature indicates the form has been reviewed with them, but does not necessarily indicate they are in agreement with it. There is space on the form for the employee to note any additional information or perspective they would like to have on record. Page 31 of 105

32 Process The mid-year checkpoint process includes employee assessment of current state, documentation of the supervisor s assessment of progress to-date, and a performance conversation. Remember, the check point should summarize and prioritize key themes from prior discussions. There shouldn t be any surprises! The mid-year checkpoint is a collaborative process between managers and employees. It consists of the following steps: Page 32 of 105

33 . Keys to an Effective Mid-Year Checkpoint The following tips will help you document the checkpoint effectively and have a valuable performance conversation. Based on Performance Planning: You should be reviewing performance against the performance plan agreed-upon at the beginning of the performance year. Refer to the Individual Goals, Success Factors, and other sections of the Performance Planning and Evaluation Form. Balanced: Your discussion should reflect the first half of the performance year. As humans, we tend to focus on recent events, big situations, and critical events. Discuss good performance, challenges, development areas, progress made, skills increased and improvements made or needed based on performance since the performance plan was developed. Objective: Base your comments on objective information, not attributes or inferences. Think about results, metrics, and observed behaviors. Be specific, concrete, and use examples. No Surprises: The discussion should be consistent with informal and verbal feedback you ve provided since the beginning of the performance year. It should be a summary and review of what the employee and you have already discussed. Page 33 of 105

34 PERFORMANCE EVALUATION Performance evaluation within the context of EPMP involves formal discussion, evaluation, and documentation of an employee s performance relative to his/her performance plan. It is an opportunity to reinforce the employee s overall contributions to the success of the team, department/division, and district; to highlight their accomplishments and strengths; and to discuss challenges and opportunities. It is also about accountability, ensuring the employee is accountable for delivering against the performance plan and the manager is accountable for providing the guidance, resources, feedback, and support needed to facilitate employee success. Important Dates September 15 October 1 31 Draft performance evaluations completed for leadership review. Approved performance evaluations communicated to employees. Note: Your department/division leadership may establish interim deadlines. The performance evaluation process includes employee self-evaluation, documentation of your evaluation of the employee s performance, and a performance conversation. Remember, the year-end performance evaluation should summarize and prioritize key themes from prior discussions. There shouldn t be any surprises! Page 34 of 105

35 Performance Evaluation Objectives Performance Evaluation Opportunities The specific objectives of the performance evaluation are to: Evaluate annual performance against the performance plan established at the beginning of the year Provide a summary view of the entire year s performance Foster accountability through a candid performance discussion Provide a formal record of annual performance, including a performance rating, to support management and HR decisions The performance evaluation conversation provides a great opportunity to: Focus on the employee s contributions and say, thank you Recognize accomplishments, progress, and contributions Discuss plans to address development needs Understand how the employee views his/her performance and what they need to be successful Identify opportunities for continuous improvement and opportunities to leverage strengths. Evaluating Team Performance Like performance planning, performance evaluation should occur on both a team and individual level. It s a great opportunity for the team to evaluate accomplishments over the course of the year, celebrate success, identify any barriers that prevented goal achievement and talk about opportunities for the upcoming year. It s also a great opportunity to discuss how the team demonstrated the Success Factors, where they excelled and where they need work. Document actual results on the Team Goals Form completed during performance planning (or whatever format you used to document team goals.) While this does not need to be submitted to Human Resources as part the EPMP process, it does provide a good record of accomplishments as well as context for your manager on the individual performance evaluations for your team. The evaluation of team goals will also provide good input into your individual self-evaluation. Roles and Responsibilities Refer to the EPMP Toolkit for a discussion on manager and employee roles in the performance evaluation process. Page 35 of 105

36 Timing The end of the performance year is August 31. The performance evaluation cycle is August 1 through October 31. Performance evaluation documentation is to be completed by September 15 each year to allow for appropriate senior team review and calibration. (See discussion on Calibrating Performance Evaluations later in this section.) Senior team approval will be communicated by October 1, and performance evaluations are to be communicated to employees by October 31. Your department/division leadership may establish interim deadlines. Evaluating Individual Performance The performance evaluation process for individual employees involves completing the Performance Evaluation section of the Performance Planning and Evaluation Form. Individual Goals Document goal achievement relative to the performance indicators set during performance planning. Note specifically where results exceeded or did not meet expectations and why. Assign a performance rating for each goal, using the performance rating scale discussed later in this section. Success Factors Identify specific actions and behaviors which you observed over the course of the year that demonstrated each Success Factor. While it is not necessary to comment on each Success Factor, you should comment on as many as possible with concrete examples. In particular, comment on any areas of focus identified during performance planning. Assign a performance rating to each Success Factor. Other Performance Factors Document performance relative to any other performance factors identified during performance planning and assign a performance rating. People Management Document performance relative to the criteria for People Management Expectations below as well as any other areas of focus identified during performance planning. Assign a performance rating. Visible and Accessible Leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. The performance evaluation concludes with a summary of overall performance, highlighting key accomplishments, performance expectations that were not fully met, strengths and opportunities. The performance summary includes an overall performance rating. Page 36 of 105

37 See the discussion on assigning performance ratings below and refer to the EPMP Toolkit for additional guidance on writing and conducting performance evaluations. Generally, your manager will want to review performance evaluations for all or some of your employees. Follow internal department/division review procedures. Signed Performance Planning and Evaluation Forms should be forwarded to Human Resources. The employee signature indicates the form has been reviewed with them, but does not necessarily indicate that they are in agreement with it. There is space on the form for employees to note any additional information or perspective they would like to have on record. It s important that employees know any concerns documented will receive appropriate consideration. Comments regarding disagreements with the performance evaluation, goals that are not perceived to be reasonable, perceived lack of support in achieving goals, or surprises in the performance evaluation create exposure from both an employee relations and legal perspective. Such comments must be reviewed and discussed with your manager and HR partner to determine if follow-up action is appropriate. Assigning Performance Ratings Employees receive performance ratings for each section of the Performance Planning and Evaluation Form as well as for overall performance. In the Individual Goals section, a rating is assigned to each goal; the same format is used for the Success Factors. All performance ratings should reflect the standard EPMP rating scale. 4 Exceeds Expectations Performance regularly exceeds expectations. Superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency in DPS Success Factors or critical job skills. Page 37 of 105

38 Performance ratings are to be assigned in whole numbers; decimals or fractions will not be recognized. Determining the performance rating ultimately involves management judgment; there is no formula to be followed. Consider the weight you assigned to each goal at the beginning of the year in addition to the performance rating for that goal. Also, consider the priority you put on the various Success Factors in terms of areas of focus defined during performance planning. You may find it easier to determine overall ratings for Individual Goals and Success Factors prior to determining the overall performance rating, but this is not a requirement of the process. If the overall performance rating is Unsatisfactory, it may be appropriate to complete a Performance Improvement Plan. Work with your manager and HR partner to determine the appropriate course of action. If the overall performance rating is Partially Meets Expectations or Developing, development goals should be reflected in Individual Goals for the upcoming year, or identified as a key area of focus in another section of the Performance Planning and Evaluation Form. Refer to the EPMP Toolkit for further guidance on assigning performance ratings. Calibrating Performance Evaluations As discussed under performance planning, a key tenet of EPMP is equity goals, expectations and evaluations that are equitable across teams and individuals. Equitable means that evaluations for employees in similar jobs, at comparable levels of skill and responsibility, with similar results, will receive the same rating. The calibration process facilitates equity. Department/Division heads will work with their leadership team to calibrate performance ratings within their department. There will also be a calibration across departments/divisions at the CAO/COO level. Draft evaluations are to be complete by September 15 each year to allow time for this calibration. Conducting the Performance Evaluation Meeting Evaluations should not be communicated to employees until performance ratings have been approved. Approval will be communicated the first week of October, and evaluations should be communicated to employees by October 31. Effective performance evaluation meetings don t happen automatically; take the time to prepare. Refer to the EPMP toolkit for additional guidance on preparing for and conducting performance evaluations. Page 38 of 105

39 Facing the Challenges of Performance Evaluation Many managers and employees dread the typical annual performance evaluation. There is no question that, when not managed effectively, the performance evaluation can be a difficult experience for both the manager and the employee. For employees, it can be a morale deflator, feel like a gotcha, or be a surprise that their manager s perspective of the year is so different from their own. When managers aren t in touch with their employees performance, view the evaluation as only a compliance measure, or use it as the first or main feedback opportunity for the year, it can feel like a painful and difficult chore. Performance evaluation, handled properly, creates an entirely different experience. If you start out with shared commitment to well-defined goals and expectations, and have ongoing dialogue about what s going well and what s getting in the way, this experience can be a rewarding one for both manager and employee. The result is managers, teams and individual employees who view performance evaluation as a tool to help them understand how they can continually improve their efforts to contribute to student and district success. Once you recognize the power of performance management and effectively practice it throughout the year, the performance evaluation can become a very positive experience rather than a dreaded event. Page 39 of 105

40 Employee Performance Management Process Central Office Positions EPMP Toolkit Summer 2009 Page 40 of 105

41 EPMP TOOLKIT: CONTENT Introduction EPMP Forms Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form Completed Example: Performance Planning and Evaluation Form Roles & Responsibilities Performance Planning Ongoing Dialogue: Feedback and Coaching Mid-Year Checkpoint Performance Evaluation Operationalizing DPS Success Factors Goal Setting: Tips and Tools Documenting Goals Creating Goal Alignment Stretch Goals SMART Goals Prioritizing Goals Translating Goals into Action Calibrating Goals Setting Team Goals Individual Performance Planning Development Planning Managing Performance on an Ongoing Basis Providing Feedback Conducting Performance Evaluations Assigning Performance Ratings Note: While the initial edition of the Manager s Guide provides a brief overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 41 of 105

42 INTRODUCTION The Employee Performance Management Process (EPMP) Toolkit is a collection of tips and tools designed to help facilitate the EPMP process. The EPMP Toolkit includes forms and samples, information on roles and responsibilities, goal setting processes, and other tools to help you at each stage of the performance management process. Depending on your experience and needs, you may use all or some of the tools. Note: While the initial edition of the Manager s Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 42 of 105

43 EPMP: FORMS This section of the toolkit contains the following forms: Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form A Completed Example of the Performance Planning and Evaluation Form All forms are posted on the HR Web site ( Page 43 of 105

44 Performance Planning and Evaluation Form Central Office Exempt Employees Employee Name: Employee Job Title: Supervisor Name: Supervisor Job Title: Dept/Division: Planning Date: Review Date: DPS Employee Performance Management Process (EPMP) aligns individual work to the district s mission by focusing employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee has on student achievement and growth. It provides a structured process and format for managers and employees to use in planning, tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for additional guidance on the process and tools to assist in executing the process. Performance Rating Definitions 4 Exceeds Expectations Performance regularly exceeds expectations; superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency In DPS Success Factors or critical job skills. Page 44 of 105

45 Individual Goals Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility, special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance. Performance Planning Define the most critical outcomes for the upcoming year (Goal Statements), the district or department/division goal supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than three to five. Weighting the goals is optional but can help emphasize priorities. Performance Evaluation Document actual results and assign a performance rating for each goal. 1 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 2 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 3 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Weight Rating (year-end) Weight Rating (year-end) Weight Rating (year-end) Page 45 of 105

46 4 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 5 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Weight Rating (year-end) Weight Rating (year-end) Page 46 of 105

47 DPS Success Factors DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer to the Success Factor definitions at the end of this form for guidance. Performance Planning During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage). Success Factors - Areas of Focus Performance Evaluation The performance evaluation should document actual performance against expectations, citing specific examples. Then, assign a performance rating to each Success Factor. Success Factors Comments / Observed Actions Rating Put Students First Achieve Results Collaborate Deliver Excellent Service Make Change Happen Page 47 of 105

48 Additional Performance Factors (Optional) Identify any other factors that should be considered in assessing the employee s overall performance (e.g., knowledge/skills/abilities, certifications, attendance, policy compliance, standards of conduct, etc.). Performance Planning Performance Indicators/Areas of Focus Performance Evaluation Comments/Observed Actions Performance Rating People Management (If Applicable) Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for hiring and performance review). Expectations for people managers are defined below. During performance planning, identify any specific goals or areas of focus for the upcoming year. People Management Expectations Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance Planning Goals/Areas of Focus Performance Evaluation Comments/Observed Actions Performance Rating Page 48 of 105

49 Year-End Performance Summary Document overall observations of performance over the course of the year, highlighting major accomplishments, strengths, growth and opportunities. Manager s Comments Overall Performance Rating Employee s Comments Signatures Performance Planning Supervisor Name Signature Date Employee Performance Evaluation Supervisor Employee Name Signature Date Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be noted above. Page 49 of 105

50 Success Factors Put Students First Puts students first in setting priorities and delivering results Achieve Results Sets aggressive goals, focuses on key priorities and assumes responsibility for results Collaborate Works proactively with others to achieve common goals Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders Make Change Happen Seizes opportunities for improvement and promotes positive change Employee Performance Management Process EMPLOYEE PERFORMANCE MANAGEMENT PROCESS (EPMP) DPS SUCCESS FACTORS DPS Success Factors define who we are as an organization, what we stand for and stand on. They define how each employee contributes to student achievement and growth. If all employees demonstrate these actions, we will achieve our goals. Representative Actions Prioritizes work to focus on those actions most critical to serving students and achieving DPS goals Considers all policies and decisions from perspective of impact on students and families Demonstrates empathy in interaction with students and families Identifies critical needs and highest impact activities; works with manager to align objectives, time and resources Applies sound judgment in making decisions and solving problems in ways that best serves students Gathers relevant data, identifies key issues and considers broader implications in making decisions Takes responsibility for completing tasks and identifying ways to improve Demonstrates ability to get things done; consistently delivers on promises made Removes barriers to achieving results Focuses on actions needed to achieve goals; effectively managing shifting priorities Holds self and others accountable for achieving results Proactively raises issues and drives them to closure Collaborates within and across teams to accomplish results Pitches in to help others achieve their goals Builds and maintains positive relationships with students and stakeholders Contributes positively to team effectiveness Inspires trust and confidence by making and keeping commitments Clearly articulates goals and what s needed to accomplish them to enable others to take action Takes time to understand objectives and needs of students and other stakeholders Takes steps to prevent problems; quickly addresses problems when they occur Sets priorities effectively to handle competing needs Finds ways to deliver quality service within time and resource constraints Solicits and acts upon feedback Anticipates and proactively addresses student and stakeholder needs Demonstrates a can do attitude; initiates and positively embraces change Finds new challenges and opportunities energizing and motivating Demonstrates sense of urgency; moves forward despite ambiguity and removes barriers to achieving results Finds proactive, creative ways to contribute to DPS objectives Champions new ways of doing things Forward- thinking; plans for future opportunities and needs Page 50 of 105

51 Employee Performance Planning and Self-Evaluation Form Central Office Exempt Employees Name: Job Title: Supervisor Name: Dept/Division: Date: Performance Planning for Upcoming Year 1) What are your goals and priorities for the upcoming year? What specific contributions will you make to achieving DPS or department/division goals? Think about what you want to focus on with respect to ongoing job responsibilities, special projects, process improvements, personal development, taking on new responsibilities, etc. For each goal, describe how goal achievement will be measured. 2) Who do you need to work with or coordinate with to achieve your goals? 3) What Success Factors do you want to focus on in the upcoming year? 4) Do you have career development goals you would like to discuss with your supervisor? What specific development activities would help you achieve your goals, and how will you measure success? 5) What can your supervisor do to help you be as successful as possible? Page 51 of 105

52 Self-Evaluation for Prior Performance Period 6) Review the individual goals and performance indicators agreed-upon at the beginning of the year. (These are documented on the Performance Planning and Evaluation Form.) Describe actual results achieved. 7) Refer to the DPS Success Factors definitions at the end of the Performance Planning and Evaluation Form or in the EPMP Guide. What areas do you consider to be strengths? Where do you see opportunity for improvement? Document specific examples of how you demonstrated the Success Factors. 8) What were your most important accomplishments during the prior performance period? How did you contribute to achieving DPS goals? 9) What specific challenges did you face? How did you overcome them? 10) What do you believe you could have done better? How would you do it differently? 11) What other factors/considerations do you want to highlight during your performance evaluation discussion? Page 52 of 105

53 Mid-Year Checkpoint Form Central Office and School Support Positions Employee Performance Management Process Name: Job Title: Supervisor Name: Dept/Division: Date: The EPMP Mid-Year Checkpoint is a documented conversation between managers and employees to acknowledge accomplishments and assess progress against performance plans. To prepare for the meeting, you will need the performance plan documented on the Performance Planning and Evaluation Form at the beginning of the year, and any performance documentation from the first half of the year. The sections below will guide you through the meeting. 1. Assess progress made against year-end goals. What has been accomplished? What are the priorities for the remainder of the year? Are there potential barriers to goal achievement? What will be required to overcome them? 2. Discuss performance against the Success Factors, including the areas of focus identified in the performance plan. Provide specific examples of actions and behaviors that demonstrate the Success Factors. 3. What other factors/considerations do you want to highlight during this mid-year check point discussion? Consider opportunities, challenges, special accomplishments, and areas of focus identified in the initial performance plan. Employee s Comments Signatures Mid-Year Check Point Name Signature Date Supervisor Employee Note: Employee signature indicates the form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be noted above. Page 53 of 105

54 COMPLETED EXAMPLE Performance Planning and Evaluation Form Central Office Exempt Employees Employee Performance Management Process Employee Name: Employee Job Title: Supervisor Name: Supervisor Job Title: John Grape Operations Manager Dept/Division: Transportation Jane Apple Planning Date: September 12, 2009 Executive Director, Transportation Review Date: September 10, 2010 DPS Employee Performance Management Process (EPMP) aligns individual work to the district s mission by focusing employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee has on district goals. It provides a structured process and format for managers and employees to use in planning, tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for further guidance on the process and tools to assist in executing it. Performance Rating Definitions 4 Exceeds Expectations Performance regularly exceeds expectations; superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency In DPS Success Factors or critical job skills. Page 54 of 105

55 Individual Goals Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility, special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance. Performance Planning Define the most critical result areas for the upcoming year (Goal Statements), the district or department/division goal supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than three to five. Weighting the goals is optional but can help emphasize priorities. Performance Evaluation Document actual results and assign a performance rating for each goal. 1 Goal Statement Oversee standard operations for assigned terminals to provide consistently safe, ontime transport of students throughout the course of the school year o Maintain consistently high percentage of on-time routes across segments, with no single segment lower than 95% for longer than 5 days Performance o Number of DPS-caused reportable accidents per 100,000 total miles driven at or Indicators below 2.15 District or Department/Division Goal Supported Results 2 Goal Statement Performance Indicators On-Time Delivery to School monthly metric Weight 35% Reportable accidents came in at 2.14, below expectation of 2.15 and on-time routes met expectations. Overall performance met expectations, but continued focus should be put on increasing on-time route scores. Rating (year-end) Develop and implement new orientation and on-boarding process for new transportation employees to facilitate retention and minimize time to full productivity o New on-boarding process implemented by October 1, 2009 o First 30 day regretted turnover under 10% by May 1, 2010 o 85% of new hires surveyed after 30 days indicate satisfied or higher with job placement o 95% of new employees rated as fully proficient by supervisors at 30 days after hire o Process encompasses district, department and team protocols and performance standards 3 District or Department/Division Goal Supported Results Empowerment and Accountability Financial Stability and Transparency Customer Satisfaction Met key performance indicators. New process was comprehensive and used alternative training methodologies very effectively. Good job of consolidating wide range of existing protocols and performance expectations. On-line participant reference tools have applicability for existing employees, which is an added benefit. Overall the new process has resulted in a decline in 30 day turnover to 12%, but it continues to trend downward. John continues to work with supervisors to develop assessment process for full proficiency ratings. Weight 20% Rating (year-end) 3 Page 55 of 105

56 3 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 4 Goal Statement Performance Indicators Develop strategy by January 1, 2010 to reduce 2010/2011 maintenance budget by minimum of 2.3% o Cost reduction strategy developed, presented and approved by Department Head by January 1, 2010 o Include all maintenance supervisor s input into the strategy development o Create the first draft of a strategy implementation plan by June 1, 2010 (including resource needs, key milestones, and success metrics) Financial Stability and Transparency - Aligning spending with goals - Providing fiscal stability Exceeded expectations. Approved strategy projects 3.2% cost savings. Supervisory and subject matter expert involvement in project team generated significant ownership of the recommendations, as demonstrated by their positive involvement in the strategy presentation. Implementation plan is comprehensive, and tracking and reporting systems have already been implemented. Weight 25% Rating (year-end) Lead annual contract negotiations with bargaining unit to ensure agreement meets District objectives and parameters o Contract agreed to and signed by both parties by August 10, 2009 o Contract includes total increase less than or equal to 3% over contract term o Bargaining unit agrees to new staffing levels and performance management process 4 District or Department/Division Goal Supported Results 5 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Financial Stability and Transparency - Aligning spending with goals Signed contract by designated date. While overall cost increase was slightly above target, it was due to unanticipated level of increase in health care premiums and district decision to not pass full cost increase on to employees. John demonstrated significant patience and negotiating skill, bringing sensitive issues such as new staffing levels to successful conclusion. Weight 20% Rating (year-end) Weight Rating (year-end) 3 Page 56 of 105

57 DPS Success Factors DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer to the Success Factor definitions at the end of this form for guidance. Performance Planning During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage). Success Factors - Areas of Focus Collaborate - Develop strategies to actively involve supervisors and other key stakeholders in important decisions that will impact them. For example; Involving supervisors in maintenance budget development. Work with school principles as partners to approach problem solving. Deliver Excellent Service Collaborate with supervisors and employees to determine ways to decrease the guaranteed complaint response time. Provide training that proactively addresses new hire s needs and solicit their feedback on increasing performance in shorter time periods. Performance Evaluation The performance evaluation should document actual performance against expectations, citing specific examples. Then, assign a performance rating to each Success Factor. Success Factors Put Students First Achieve Results Collaborate Deliver Excellent Service Make Change Happen Comments / Observed Actions Established ongoing meetings with school personnel to discuss issues and opportunities. This has been met with great enthusiasm from all parties and has improved the communication and collaboration between departments. Negotiations with external vendors completed successfully for all parties. New hire job satisfaction and performance increased. Customer response time has improved considerably from 24 hours to same day. The establishment of school/department meetings has created a means to quickly identify concerns/issues. Utilizing this feedback, John evaluated our current process for assigning students to routes, eliminated redundancies which had an immediate effect in providing timelier service for students. John has consistently and effectively addressed concerns while taking steps to prevent problems from re-occurring. John collaborated with his supervisors to better anticipate training needs of new hires. Through implementation of these ideas and suggestions he solicited from newer employees, new hire productivity and quality has increased, more quickly. Although this wasn t an area of focus for John this year, he continues to be a role model for others in promoting positive change and acting on opportunities for improvement. Rating Page 57 of 105

58 Additional Performance Factors (Optional) Identify any other factors that should be considered in assessing the employee s overall performance (e.g., knowledge/skills/abilities, certifications, attendance, policy compliance, standards of conduct, etc.). Performance Planning Performance Indicators/Areas of Focus Maintain licensure and certification specified in job description. Performance Evaluation Comments/Observed Actions Yes, maintained as required. Performance Rating 3 People Management (If Applicable) Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for hiring and performance review). Expectations for people managers are defined below. During performance planning, identify any specific goals or areas of focus for the upcoming year. People Management Expectations Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance Planning Performance Indicators/Areas of Focus Implement EPMP within team ensuring all team members have: Documented performance plans by set date Documented midyear checkpoints by set date Year end evaluations by set date Quality audit by manager of sample documents for each event. Enhance feedback (positive and developmental) to employees on a daily and consistent basis. Performance Evaluation Comments/Observed Actions Review of completed performance plans and other required documentation shows these were thoroughly completed for all eligible employees. Discussions with some employees indicate that not all employees receiving ongoing, informal feedback. This resulted in some surprise reviews to certain employees. Ongoing coaching required to get John comfortable with difficult feedback delivery Performance Rating 2 Page 58 of 105

59 Year-End Performance Summary Document overall observations of performance over the course of the year, highlighting major accomplishments, strengths, growth and opportunities. Manager s Comments John was successful at achieving the specific goals identified for the year and consistently demonstrates the district s Success Factors. John s consistency in delivery and dedication to improving the department make him a strong member of this team. John was instrumental in improving the on-time delivery for several schools. Although overall ontime delivery was at 99.6%, he took the time to closely analyze the data and as a result he identified several schools that consistently had buses running late. After correcting the problem, buses are now consistently on-time thus improving our customer service. John needs to focus more on day-to-day people management and must ensure that all employees are given regular and ongoing feedback. Overall Performance Rating 3 Employee s Comments Signatures Performance Planning Supervisor Name Signature Date Employee Performance Evaluation Supervisor Employee Name Signature Date Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be documented above. Page 59 of 105

60 ROLES & RESPONSIBILITIES PERFORMANCE PLANNING Manager Responsibilities to the Team Communicate district and department/division goals Set and communicate group/team goals Facilitate team discussion on DPS Success Factors and how they facilitate goal achievement If you have supervisors as direct reports: Communicate expectations and timeframes and hold them accountable for meeting Review performance plans for their direct reports to confirm your agreement and ensure quality of documentation Ensure goal alignment and calibration across teams Manager Responsibilities to Direct Reports Important Date: Performance plans finalized by October 31 Schedule performance planning meetings and communicate what employees need to do to prepare. Review job description and update as appropriate. Draft initial performance plan. Lead the performance planning meeting. Prepare final performance plan and distribute copies to the employee. Employee Responsibilities Prepare for the performance planning meeting by completing Employee Performance Planning and Self Evaluation Form. Alternatively, your manager may ask you to draft the performance planning section of the Performance Planning and Evaluation Form. Actively participate in performance planning meeting; ensure you are clear on goals, priorities, and expectations. Recommend updates to the performance plan as appropriate based on changing goals and priorities. Page 60 of 105

61 ONGOING DIALOGUE: FEEDBACK AND COACHING Manager Responsibilities to the Team Provide updates on district, department/division and team milestones, accomplishments and challenges Adjust goals as appropriate based on changing objectives, priorities and circumstances Model and reinforce DPS Success Factors at every opportunity Recognize and reward success If you have supervisors as direct reports, monitor and hold them accountable for ongoing performance discussions with their team Manager Responsibilities to Direct Reports Track and adjust goals as appropriate based on changing objectives, priorities and circumstances Provide timely, concrete feedback and coaching; identify development needs and opportunities Document performance events you want to remember as they happen (e.g., "above and beyond" service, key accomplishments, missed expectations, new skills, etc.) Support employees in identifying and solving problems and removing barriers to performance Recognize and reward success Employee Responsibilities Proactively seek coaching and feedback Identify barriers to performance and potential solutions Incorporate coaching and feedback into future performance Document performance events you want to remember as they happen (e.g., "above and beyond" service, key accomplishments, missed expectations, new skills, etc.) Discuss potential changes in goals and priorities with your manager Page 61 of 105

62 MID-YEAR CHECKPOINT Manager Responsibilities to the Team Schedule and conduct mid-year update on district, department/division and team milestones, accomplishments and challenges Recognize team and individual success If you have supervisors as direct reports: o o Communicate expectations and timeframes and hold them accountable Review Mid-Year Checkpoint Forms for their direct reports to ensure quality of documentation Manager Responsibilities to Direct Reports Schedule mid-year checkpoint and communicate what employees should do to prepare Review performance plan documented at the beginning of the year; make notes on areas you want to discuss Prepare draft Mid-Year Checkpoint Form Lead performance discussion Update the Mid-Year Checkpoint Form; keep a copy for your records, provide a copy to the employee, and forward the original to Human Resources. Employee Responsibilities Prepare for meeting by reviewing the performance plan documented at beginning of the year and completing the Mid-Year Checkpoint Form Actively participate in the meeting, providing examples of accomplishments, raising potential barriers to performance, and identifying what support you need from your manager to achieve goals Request checkpoint meeting if manager doesn t schedule it Page 62 of 105

63 PERFORMANCE EVALUATION Manager Responsibilities to the Team Communicate district, department/division and team goal achievement Recognize team and individual success If you have supervisors as direct reports: o o o Communicate expectations and timeframes to them and hold them accountable Review performance evaluations for their direct reports to confirm your agreement and ensure quality of documentation Calibrate performance ratings across teams Important Dates: September 15: Draft performance evaluations completed for executive review. October 1 31: Communicate evaluations to employees. Note: Department/ division leadership may establish interim deadlines. Manager Responsibilities to Direct Reports Schedule performance review meetings and communicate what employees should do to prepare Complete the performance evaluation component of the Performance Planning and Evaluation Form. Submit performance evaluations to your manager for review, approval, and executive-level calibration of performance ratings Lead performance evaluation discussion, ensuring active employee participation Update your initial comments if appropriate based on feedback/insights discussed in the meeting. Provide the final form to the employee for comment and signature Keep a copy of the form for your records and forward the original to Human Resources Employee Responsibilities Track accomplishments and feedback over the performance period Prepare for performance review meeting by completing Employee Performance Planning and Self Evaluation Form Actively participate in performance review meeting; clarify feedback Document comments on the Performance Planning and Evaluation Form and sign Page 63 of 105

64 OPERATIONALIZING DPS SUCCESS FACTORS DPS Success Factors are an integral part of EPMP. The Success Factors define the actions and behaviors that district leadership believes will drive success. They are performance expectations for each employee. The components of the performance management process discussed later in this guide (e.g., team goal-setting, individual performance planning, coaching and feedback) provide an ideal time to reinforce the Success Factors on both a team and individual basis. As a manager, your role is to clarify what these Success Factors look like in action within the context of your team s work, to model them and to hold others accountable for modeling them as well. You need to: Believe consistent demonstration of the Success Factors will lead to success Help employees really get why they re important Create a concrete picture of what they look like in action Make them part of a language of DPS Model the Success Factors so employees understand that we re serious about this Success Factors will be most meaningful if your team members have the opportunity to talk about what these look like in action. Here are a few ideas: 1. Have employees complete this template on what execution of the Success Factor looks like during their day-to-day job performance. Success Factor Examples Put Students First Achieve Results Collaborate Deliver Excellent Service Make Change Happen 2. Facilitate a brainstorming session with your team to discuss what superior performance on each Success Factor looks like in action. Page 64 of 105

65 3. Have teams of employees draw a picture of what each Success Factor looks like in action. 4. Have employees record representative actions and behaviors on sticky notes, then group the sticky notes according to common themes. 5. Tell stories about best case and worst-case examples. 6. Role play best case and worst case examples. Remember, as a manager it is important to reinforce the importance of Success Factors on an ongoing basis. Take some time during your regular meeting to review the Success Factors and reinforce why they re important. Select one Success Factor to discuss at a team meeting each month. Have employees come prepared to discuss actual examples of the Success Factor in action that they ve observed in the last month. Recognize and reward teams and individual employees real-time when you see the Success Factors in action. Page 65 of 105

66 GOAL SETTING: TIPS & TOOLS Introduction The purpose of this section is to provide you with tips and tools to assist you in developing team and individual goals. Setting goals isn t easy, but with practice and tools to structure your thinking, it will become a much more natural process. Goal setting is intended to focus employees on those outcomes most important for district, department/division and team success; ensure expectations are clear and mutually agreed-upon; and define accountability for results. With that, people are empowered to perform. Remember, goals don t have to be perfect and they can evolve over time, but they should be as clear as possible to enable employees to go out and proactively do the job they were hired to do. The goal-setting tools and goal-alignment frameworks described in the EPMP Process Guide & Toolkit may be somewhat simplistic for the realities of an environment where employees fall under different performance management processes, teams encompass highly diverse roles, managers have significant spans of control, and schedules are driven more by the school year than the performance management year. Please remember that these are tools only, provided as a starting point to help you think through the key components of performance planning and how to best apply them within your group. Your department/division head will provide additional guidance on how the goal-setting process works within their group. Page 66 of 105

67 DOCUMENTING GOALS The Performance Planning and Evaluation Form and optional Team Goals Form provide a standard format for documenting goals. The following provides additional definition and guidance on each section. Form snapshot: Goal Statement Performance Indicators District or Department/Division Goal Supported What is to be accomplished and why How performance will be measured Why the goal is important Weight Relative Priority 4 Page 67 of 105

68 Examples Goal Statement Performance Indicators Decrease total processing time for Full-Time Teacher job requisitions, while maintaining accuracy standard, to place teachers into schools more rapidly. Average Total Processing Time reduced to 2.33 days by November 30, District or Division/Department Goal Supported Team Goal. Decrease total processing time for Full-Time Teacher job requisitions, while maintaining accuracy standard, to place teachers into schools more rapidly. Weight 27% Page 68 of 105

69 Goal Statement Develop skills to intermediate level on new routing software to increase efficiency. Performance Indicators Time to Provide Bus Service metric decreased to zero in the over 13 days category. Segments per bus, across assigned routes, increased by 15%. Supervisor observes comfort level and competence in intermediate skill functions. District or Division/Department Goal Supported Department Goal. Remove 5 buses from service to reduce costs. Weight 30% Goal Statement Performance Indicators Prepare and conduct In-Service sessions for peers to gain buy-in to Positive Behavior Support program (PBS) implementation. Principal Survey satisfaction results increase 10% on April 2010 report. Supervisors observe improved interactions with students. Complaint calls from parents decrease 20% by June District or Division/Department Goal Supported Division Goal. Implement school-based PBS program in the Transportation division to improve interactions with students. Weight 25% Page 69 of 105

70 CREATING GOAL ALIGNMENT A key objective of performance planning is goal alignment. For DPS, goal alignment starts with the District s Goals and Action Plan: the CAO, COO, and Department/Division heads translate the District s Goals and Action Plan into goals for their group. Your role is to translate these goals into team and individual results, then establish plans for achieving these results. Examples of cascading goals are provided in the following pages. These examples are provided to show goal alignment; they are not SMART goals in that they do not define how performance will be measured. The primary objective of goal setting is to define the most important ways teams and individual employees can contribute to department/division and district goals. However, in reality, not every goal will clearly align with a broader (district/division or district) goal. Goals need to be set in the context of the realities of your function. For instance, you need to consider the necessary level of performance and resources required to support the team s most important, recurring tasks. You have to keep the lights on, so to speak, and look for opportunities for continuous improvement. You may need to develop new and better ways to serve colleagues and customers, remove problems that are creating barriers to team effectiveness, develop new capabilities that are required for current and future performance, and address external threats and opportunities. Inputs and considerations for defining goals are outlined in the tools on Setting Team Goals and Developing Individual Performance Plans. Goal Alignment Example: ProComp Specialist Note: Examples represent goal alignment, not SMART goals. Page 70 of 105

71 Goal Alignment Example: HR Training Lead Goal Alignment Example: Payroll Office Support Staff Note: Examples represent goal alignment, not SMART goals. Page 71 of 105

72 Goal Alignment Example: Payroll Technician Goal Alignment Example: Outreach Coordinator Note: Examples represent goal alignment, not SMART goals. Page 72 of 105

73 STRETCH GOALS Goals that are too aggressive, where the likelihood of achievement is low, can be demoralizing. Goals that are set too low will do little to motivate continuous improvement. Good goals have "stretch"; they are achievable with a reasonable degree of effort, but require contributions beyond the status quo. Stretch goals represent a level of performance that leads to continuous improvement; they "move the bar" in a meaningful way. They are a realistic challenge a high reach that is achievable given strong effort. They may involve significant new outcomes or services for a function; innovation in processes and tools; or an expansion of existing knowledge, skills and relationships. SMART GOALS Goals must be defined clearly enough so both managers and employees know exactly what is expected. Remember goals are designed so that employees are empowered to go out and do a great job for the organization and team. Even the best employee may not meet the goal assigned if they do not have the same definition of the goal as their manager. For example: a goal is stated, "Improve your communication skills." The employee goes out and takes a course on Presentation Skills and does a great job improving their verbal presentations. At the end of the year the manager is disappointed and gives the employee low marks because the employee did not improve their etiquette skills (which is what they meant by "improve your communication skills"). The SMART model ensures that goals are written and documented in such a way that both employees and managers are working from the same definition of the expected result. The real aim of SMART goals is to specify who, what, and why for each goal to ensure shared understanding and expectations. How the goal will be achieved is defined in the action plan for achieving each goal. (See Translating Goals into Action tool.) The key to establishing an effective goal is to ensure that it meets SMART criteria: Page 73 of 105

74 Page 74 of 105

75 SMART Goals - Examples Below are a few samples of SMART goals that give you an idea of the wording and tone that can be used. Goal Statement Performance Indicator Improve annual principal satisfaction rating of technology to over 90 points through the implementation of DoTS hotline by July 1, Successful implementation of DoTS hotline by July 1, 2009 within the allocated budget approved. Funnel 100% of DoTS requests through the DoTS hotline by November 1, Principal Satisfaction Survey increase from 87 points to 90 points in 2009 evaluation. Goal Statement Performance Indicator Deliver effective training on EPMP to all DPS people managers impacted by the EPMP. Training delivery complete by August 30, Completion of all scheduled training modules. Training participation rate of 95%. 90% completed Performance Plans by October 30, % completed Mid-Year Check Points by February 15, % completed Annual Evaluations by September 15, 2010 Goal Statement Performance Indicator Decrease total processing time for Full-Time Teacher Job Requisitions, while maintaining accuracy standard, to place teachers into schools more rapidly. Average Total Processing Time reduced to 2.33 days by November 30, 2009 Maintain monthly accuracy rate of at least 99% throughout year Page 75 of 105

76 PRIORITIZING GOALS Prioritizing goals applies to both team goals and individual goals. Having more than three to five goals may dilute the ability of the team or individual to achieve them all well. It is important to identify the critical few. Following is one technique. List each of your goals in one of the three columns below. You ll need to decide if each goal is: Critical meaning it s something your team must absolutely complete this year in order to support a district or department/division goal or initiative. Enabling meaning it is one which will greatly benefit your team and enable them to meet or support a critical district or department/division goal or initiative. Nice to Have meaning just that. It would be nice if your team could achieve this goal but in reality, completing this goal will have little to no impact on any higher level goals and initiatives. Critical Enabling Nice to Have Page 76 of 105

77 Now review the goals you listed in Enabling and determine whether they are Critical or Nice to Have. Ultimately, you will end up with only these two columns. Critical Nice to Have The goals in the Critical column are those you should focus on. If you have too many goals in the critical column, assess the effort required for the goal weighted against the impact the achieved goal will have on the organization. If the effort is large and impact is small then that goal can come off the critical list. Page 77 of 105

78 TRANSLATING GOALS INTO ACTIONS Defining goals is about creating focus; now, you ll need to develop the roadmap to drive execution. The Action Plan translates team and individual goals into action. It provides a format to help you think through specific steps and the resources that are required for goal achievement. Use the Action Planning Template below, to define goal. While this documentation is not part of the "official" EPMP documentation, by providing additional clarity for employees, the action plan can be a critical link between goals and results. Charge the employee with developing initial action plans for your review; empower them to define how they will accomplish the goal. Action Planning Template Goal Specific Steps Required Resources/Collabor ation Required Key Milestones Potential Obstacles and Solutions Definition Definition Definition Definition Definition Your Goals should be pulled from the Individual Goals section of your Performance Planning and Evaluation Form. Document specific steps that need to be accomplished in order to achieve stated goal. Identify the resources (other people, teams, money, or tools) that you need to complete each of the steps required. The date that the action must be completed by in order to make master deadlines. Write down the potential barriers that would get in the way of achieving the stated action. Propose potential solutions to working around barriers. Develop and implement online form, by 5/31/10, to initiate account overrides/new account numbers for Guest Teacher processing. 1. Learn Lawson Sub Finder functionality 2. Identify 5 school secretaries for input and pilot 3. Get input on form design from 5 school secretaries 4. Draft form for supervisor and secretary review 5. Test form 6. Pilot form with 5 secretaries 7. Implement form 1. Lawson Guide, Lead Payroll Tech 2. Supervisor, school secretaries 3. School secretaries, coworkers 4. Supervisor 5. Lead tech, secretaries 6. Secretaries 7. Supervisor, secretaries 1. 10/31/ /15/ /31/ /31/ /15/ /1/ /31/10 Not getting needed time and focus from 5 school secretaries get support/ commitment from Principals Technical issues could cause delays - added time in plan for this An Action Planning Form is posted on the HR Web site ( Page 78 of 105

79 CALIBRATING GOALS Calibration is a process to ensure goals are equitable across teams and individuals. Calibration needs to occur at both the performance planning and the performance evaluation steps of the EPMP process. While it s a challenging process, it s an important part of any performance management process. If you manage individual contributors, after you have completed their performance plans, ask yourself whether the performance goals for people in similar roles or at similar levels of skill and responsibility are comparable in terms of importance, impact, difficulty of achieving and other relevant factors. Have your manager, a peer, or your HR Partner review the performance plans as a reasonability check. If you manage other managers or supervisors, you are strongly encouraged to develop a process to calibrate goals and performance expectations across teams. While a simple review of performance plans for their direct reports will be helpful, calibration is most powerful if done face-to-face. If you have multiple managers as direct reports, leadership team calibration meetings are encouraged. In these meetings, each manager can present performance plans for his or her team, and you and his or her peers can probe issues, ask questions, test rationales, and ultimately confirm or provide additional input for consideration. In addition to calibrating goals, these joint leadership meetings also provide the opportunity to coordinate and identify the goals that are shared among teams and the cross-team dependencies needed to achieve these goals. They also provide the opportunity to give visibility to top performers, discuss development opportunities, and get feedback from peers on team performance and needed contributions. If the number of your direct and/or indirect reports is prohibitive to discussion as a whole team, consider auditing a sample of representative performance plans. You may look at top and bottom performers, representative performers in multi-incumbent jobs, or a sample of employees at various levels of responsibility. Your HR partner can help facilitate these meetings and/or think through alternative approaches. Page 79 of 105

80 SETTING TEAM GOALS While not part of the "official" EPMP documentation, team goals provide the critical link between department/division goals and individual contributions. They also provide an important "rallying point" for the team. Setting team goals is important for managers who are coordinating a group of individuals towards a common purpose. If you have only a few direct reports or direct reports who do not work together as a team towards a common goal you can move straight to establishing individual goals. Collecting Data for Team Goals When you begin writing team goals, there are several potential sources of input to reference. Page 80 of 105

81 In addition to reviewing relevant sources of input, consider the following questions: What do key stakeholders need and expect from our group this year? Can/should we implement new processes and programs to improve service to colleagues and customers? If yes, what ones and why? What meaningful opportunities exist for continuous improvement in ongoing processes and programs? Are there opportunities to leverage new technology, theories, methodologies, sources of funding, etc.? If yes, how and for what benefit? Do we have new or expanded responsibility areas that need additional focus? What district-wide initiatives require support from this team? What progress needs to be made with respect to our longer-term goals? What problems and inefficiencies are creating barriers to team effectiveness? Do we have the need or opportunity to develop new capabilities that will position us for success in the future? Are there specific Success Factors that we need to do a better job in demonstrating? What ones? Collaborate with your Team Goal setting is most effective if it is a collaborative process. It is important to remember that you have ultimate accountability for goal definition, but involving your team in the process can create better alignment, commitment, and accountability. Page 81 of 105

82 The more often and directly you can involve employees during the goal setting process the better. This will give them greater ownership of the resulting goals and better understanding of why they are important. Team Goal Setting Steps The process outlined below is provided to help you define goals for your team. You may need to customize this model to fit your group. Page 82 of 105

83 Page 83 of 105

84 Establishing Accountability for Team Goals Some teams are made up of diverse functions and roles, and it can be difficult to define goals that each team member can impact. One approach is to define higher-level goals for instance, related to productivity, costs, customer service, new capabilities, etc. Concrete actions to achieve these goals can be defined through individual goals and action plans. If there are key goals that are primarily owned by an individual or sub-team, discuss how others in the group can support these individuals in achieving their goal or in their day-to-day work. While goals need to be within the influence of your team and you want every team member aligned, it is not realistic that every employee can be linked to every team goal. Team Goals Template You can use whatever form works for you as long as it is specific in terms of results to be achieved and how success will be measured. The Template below is consistent with the format used to set individual goals on the Performance Planning and Evaluation Form. A Team Goals Form is posted on the HR Web site ( Goal Statement Define each goal in terms of specific outcomes to be achieved. Performance Indicators Define how goal achievement will be measured. District or Department/ Division Goal Supported Define alignment to higher-level goals. Weight While optional, weighting goals can help define and emphasize priorities. Once goals are defined, step back and ensure that they are SMART. Refer to the SMART Goals tool. Page 84 of 105

85 INDIVIDUAL PERFORMANCE PLANNING Performance planning is a process to define individual goals and expectations for the upcoming year. The EPMP performance planning process involves defining Individual Goals, discussing key areas of focus with respect to the Success Factors and People Management Expectations (if applicable), and identifying any Other Performance Factors that will be considered. Collecting Data for Individual Performance Planning In addition to the sources of input identified for the team goal setting process, the following inputs may be helpful to reference when developing an employee s performance plan. In addition to reviewing the relevant sources of input, consider the questions on the following page. Page 85 of 105

86 What do key customers and colleagues need and expect from this employee this year? What aspects of the team goals does this employee own or co-own? What special projects might be appropriate to further function objectives? What district, group, or team initiatives would benefit from this person s participation? What current responsibilities need additional focus? Where are the opportunities for meaningful improvement in operations or service levels? What new roles might this employee take on to expand their contributions within the team? Are there specific Success Factors that warrant special focus? What opportunities exist to develop or expand knowledge, skill, and ability in areas that will benefit the function or group? Collaborate with your Employees There are several activities you can use to involve employees in the process. For instance, you can: Page 86 of 105

87 There are two tools employees can use to prepare for the annual performance planning conversation with their managers: The use of any of these employee involvement processes does not eliminate the need for the manager to also prepare for the meeting by documenting your own thoughts on the employee s annual goals and his or her performance plan. Ultimately, as the manager, you own ensuring completion and documentation of the performance planning process. Multiple Incumbent Jobs In some groups you may have many employees performing essentially the same job, e.g., nurses, psychologists, curriculum specialists. In these situations it may be appropriate to first develop a performance plan for that specific job and then customize it to fit each individual in the role. Individual performance planning then focuses on what s unique to the individual. If similar jobs are found in other groups, you are encouraged to coordinate performance planning activities with those groups. Your HR Partner can assist in facilitating these sessions. Page 87 of 105

88 Individual Performance Planning Steps Components of the Performance Plan Page 88 of 105

89 Individual Goals Individual goals may relate to ongoing responsibilities, special projects, continuous improvement goals, job-related personal development, etc. Consider the following questions: How can this employee most directly contribute to the district, department/division, and team goals? Are there high-impact operational improvements this employee should be focused on this year? Which of the employee s key areas of ongoing responsibility warrant top of mind focus this year? DPS Success Factors Discuss how the employee can incorporate the Success Factors into his or her role on an ongoing basis. Key areas of focus for the upcoming year should be identified and documented, considering development needs and opportunities to take performance to the next level. Provide examples of specific ways the employee has demonstrated the Success Factors. Discuss examples of actions that would represent superior performance in these areas. Other Performance Factors This optional section enables managers to identify any other factors that should be considered in assessing an employee s overall performance. This may include: Productivity or quality standards Attendance, policy compliance, standards of conduct Functional, job-specific knowledge, skills, and abilities Certifications and licensures Proficiency with specific tools and equipment Etc. People Management Expectations This section is applicable only to managers with responsibility for hiring and performance management. The following is DPS standard criteria for the People Management factor: Visible and Accessible Leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance planning involves discussing key areas of focus for the upcoming year, considering the individual s development needs and opportunities as well as more general leadership development goals for your team. Page 89 of 105

90 Shared Goals If two or more people contribute to a team goal, joint accountability for accomplishing the goal should be reflected in each employee s performance plan. Weighting may differ based on the degree of individual influence on goal achievement and/or the employee s other goals. Team or shared goals generally should not account for more than 50% of an individual s performance plan; it s also important to reinforce individual accountability. Page 90 of 105

91 DEVELOPMENT PLANNING EPMP discussions are a natural time to discuss the employee s career development goals. The Development Plan is an organized approach to defining development goals and activities that will enhance the employee s knowledge and skills as well as the team s effectiveness. Development goals generally address knowledge, skills, and abilities that: Are critical for current job performance Enable growth in the present role Contribute to the employee s career goals While education and training are important parts of a development plan, sometimes the most powerful development occurs "on the job." Consider assigning your employees "stretch" assignments, special projects, new job responsibilities, or offering them the option to attend strategic meetings where they are exposed to people and opportunities outside their daily job responsibilities. Also consider establishing mentoring relations with other employees to supplement traditional education and training opportunities. Following are examples of potential development activities. Common Examples of Development Activities Assignments Job Rotation Stretch Assignments Temporary Positions Develop in Place Mentoring Individual projects Perspective building Tough challenge Shift in size of job Formal Training/ Development Professional Technical Leadership Committees Work Groups Presentations On the Job Opportunities Taking on new projects or assignments Temporary assignments, e.g., filling in for someone on vacation Assuming lead role responsibilities Improving a process or procedure Self-Development Reading/Self-Study Professional organizations College/University Programs Seminars Cross Training Changing functions Shift changes Working with new people Off the Job Opportunities Joining/leading community groups Trying a new skills in a volunteer organization Giving presentations to civic groups Page 91 of 105

92 The employee is responsible for driving development discussions around their future career goals, but the manager can also play an important role in helping the employee articulate his or her goals, explore possibilities, and define appropriate development activities. A Development Planning Template is provided following this page to document development goals, outline plans to achieve the goals and monitor goal achievement. Employees are generally responsible for preparing and maintaining the Development Planning Form. Development Planning Template Development Goals Development Activities Resources or Support Required Progress Review Definition Definition Definition Definition What are your development goals? What actions will you take to meet your goal(s)? What support or resources do you need from others to help you achieve your goal(s)? How will you measure your success? What is your timeline for meeting the goal? Example Example Example Example Develop skills to intermediate level on new routing software to increase efficiency. 1. Attend training program for routing software. 2. Identify individual who can provide real-time on-the-job coaching. 1. Budget for training. 2. Individual from team to act as coach. November 30, 2009 A Development Planning Form is posted Page 92 of 105

93 MANAGING PERFORMANCE ON AN ONGOING BASIS There are a variety of techniques to draw upon in managing performance on an ongoing basis. Direction It is important to provide direction for all work. The key is knowing how much direction to provide. You should diagnose each situation according to the task and the level of the employee s skill, knowledge, and motivation. Effective direction on one task may only include the deadline. Effective direction on another task, or for a different employee, may involve step-by-step instructions. Feedback Feedback is intended to reinforce current behavior or to change behavior. Feedback is not intended to judge or evaluate. Effective feedback is sharing observations about specific actions and/or behaviors. If your goal is not to reinforce, change, or strengthen behavior, you should not offer the feedback. It s important to provide both positive and constructive feedback. A good guideline is to deliver, over a period of time, four positive feedback instances for every constructive feedback instance. This builds trust and helps the employee receive the feedback with the helpful intent in which it is offered. Coaching Coaching is a process using focused conversations to enhance performance and individual growth. It s a partnership that assumes the employee has inside what s needed. The coach uses a system and process to stretch the employee and help them discover the answers or solutions and practice skills. Methods used by effective coaches include asking and answering questions, prompting conversations, offering suggestions and opinions, sharing experiences, advising of resources, and encouraging reflection. With coaching, the ultimate decision or choice is the employee s. The manager telling the employee what to do, or how to do it, is direction. Problem Solving Ask the employee for their ideas on possible solutions before offering your own thoughts. Ensure that the employee knows any parameters and the level of authority they have in solving issues. Use an appropriate problem solving method for the situation: brainstorming, fact-finding, challenging assumptions, changing your perspective, collaborating with others, etc. Page 93 of 105

94 Recognition Recognition is about noticing your people: thanking them and showing that you value them. Recognition reinforces desired behaviors and supports a positive work environment. Think about how often, and the way that, you recognize your employees. Effective recognition is personal, timely, and specific. It s more than good job. Tell the employee what made it a good job and why it was valuable. Delegation The primary objective of delegation is ensuring that your team is effectively handling all important tasks and responsibilities and achieving desired results. A common result of effective delegation is some degree of development. Effective delegation involves more than just assigning a task to someone. You need to consider which tasks are appropriate to delegate, who is the best person for the task, the right level authority and support to delegate with the task, and how you will monitor progress and measure results. Motivation There are some general motivators, across most people, at work: seeing their work as meaningful and significant, being responsible for their work and its outcomes, knowing the results of their work, and growth in their jobs (competence and development). Knowing your people and practicing differentiation are also important in motivation. In addition to the general motivators, different things motivate each person. You have to know each person on your staff to understand what best motivates them. Think about what behaviors you want to motivate. What will be most effective in motivating these behaviors, with that employee? The motivation needs to be something that the employee wants and values. Development People like to develop and grow. The District needs people to gain new skills and improve performance to meet its goals. Where these intersect, the most impactful development occurs. Development can be focused on the employee s current job, towards a future role, or for personal effectiveness. There are many different methods of development. Refer to the Development Planning tool for ideas. Monitoring It s important to monitor progress and results. The sooner you notice accomplishments, efforts, challenges, barriers, and problems, the more effective recognition, feedback, coaching, and other management tools will be. It s also important to monitor the environment in the department, changes in employee morale and motivation, and the interactions on the team. These can have powerful effects on performance, both positive and negative. Page 94 of 105

95 Adjusting As plans and circumstances change, it may be appropriate during the year to adjust goals, priorities, and deadlines. Performance plans are not written in stone. Be aware of changes and the adjustments you may need to make for optimal performance from your team. If goals and projects are not progressing as they should, you may need to adjust approaches, behaviors, or action plans. Think about the best tool(s) to use to make the needed adjustment. Page 95 of 105

96 PROVIDING FEEDBACK Some tips to keep in mind when providing feedback: The most meaningful feedback is timely, given directly after observation. Choose your state of mind; you have a choice. Have a goal for giving feedback, e.g., to ask for something you want versus just blowing off steam. Be sure you have time and space. Let go of expectations of how the other person will react. Focus on your intention to tell the simple truth without blame or judgment. Listen, listen, listen. Give people the benefit of the doubt; ask questions rather than making assumptions about intentions. Kinds of Feedback Effective feedback is formal and informal, basic and deep. Page 96 of 105

97 Basic and Deep Feedback Basic Level What s going right Things to continue Things to start What s going wrong Things to stop Next time Deep Level Contributions made Partnerships formed Discoveries made Talents and skills to develop and deploy Active Listening One of the keys to effective feedback is active listening. Being a good listener takes constant practice. Here are a few reminders for effective active listening. Do s for Active Listening Don ts for Active Listening Let the employee talk React to feelings Listen for meaning Focus on the speaker Verify perceptions Clarify with questions and examples Solicit additional feedback Interrupt Get sidetracked Fake attention Daydream Plan your response while the other person is talking Use negative body language Page 97 of 105

98 Some specific Active Listening techniques are provided below. Technique Purpose Examples Clarifying To get additional facts To help explore all sides of the issue Can you clarify this? Do you mean this..? Is this the problem as you see it? Restatement To check meaning and interpretation To show you are listening and understand what has been said To encourage the employee to analyze other aspects of the issue being discussed. As I understand it,.. So this is what you ve decided to do.. Neutral/Encouraging To convey that you are interested and listening To encourage a person to continue talking I see Uh-huh That s interesting I understand Good point Reflective To show that you understand how the speaker feels about what he/she is saying To help a person evaluate and temper his/her feelings You feel that. You were upset about. You felt good about. but Summarizing To bring all discussion points into focus To serve as a springboard for further discussion of a new aspect These are the key ideas you talked about. If I understand how you feel Page 98 of 105

99 Delivering Difficult Feedback When the feedback is difficult, it can be helpful to follow a specific process. One approach to follow: Page 99 of 105

100 CONDUCTING PERFORMANCE EVALUATIONS Performance evaluation within the context of EPMP involves formal discussion, evaluation and documentation of an employee s performance relative to the performance plan established at the beginning of the performance ear. It reinforces accomplishments, opportunities for improvement and accountability for results. Collecting Data for Performance Evaluations Don t rely on your memory in documenting the performance evaluation; you have a lot of data from effectively practicing performance management throughout the year. Inputs for evaluations can include: Page 100 of 105

101 In addition to reviewing the relevant sources of input, consider the questions below. What were the top contributions the employee made to team success? What were actual results relative to each Individual Goal set at the beginning of the performance year? How did you observe the employee demonstrating the Success Factors over the course of the year? Think about specific actions and behaviors. Did the employee work to his or her full potential? Where would you have expected greater effort and contributions? What knowledge and skills did the employee develop over the course of the year? What strengths did the employee leverage in accomplishing results? What weaknesses got in the way of full effectiveness? Employee Participation in the Process There are two tools employees can use to prepare for annual performance evaluation discussions. The employee self-evaluation process does not involve assignment of a performance rating; managers have sole responsibility for rating performance Page 101 of 105

102 Individual Performance Evaluation Steps Page 102 of 105

103 Preparing for the Performance Evaluation Meeting Page 103 of 105

104 Conducting the Performance Evaluation Meeting Page 104 of 105