APS Training Final Draft

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PERFORMANCE APPRAISAL TRAINING

TRAINER’S GUIDE

Prepared For

In Partnership With

THE UNIVERSITY OF WEST FLORIDA

Written By

ALLIED PERFORMANCE SOLUTIONS

– Team Members –

Elizabeth CartwrightSean CrawfordBrielle Greene

Meghan O’DonnellKarina Unger

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TABLE OF CONTENTS

Team Norms ____________________________________________________________ 3

Training Needs Analysis___________________________________________________ 5

Training Objectives_______________________________________________________ 7

Training Schedule Overview_______________________________________________ 8

Day One Training Materials Overview__________________________________________________ 10

Module Outline _____________________________________________ 11

Training Keys_______________________________________________ 15

Handouts__________________________________________________ 24

Day One Summary__________________________________________ 34

Day Two Training Materials Overview__________________________________________________ 35

Module Outline______________________________________________ 36

Training Keys_______________________________________________ 41

Handouts__________________________________________________ 50

Day Two Summary___________________________________________ 68

Training Evaluation______________________________________________________ 69

References______________________________________________________________ 72

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TEAM NORMS

Communication

Meetings will be every Monday at 7pm and every Thursday after class. Google Doc needs to be checked every Monday, Wednesday, and Friday. Student e-mail needs to be checked and responded to every day. All communication will be forthright and respectful. All group members will both give and receive constructive criticism. Off-topic discussions need to not interfere with the goals of the meeting.

Participation Group members are expected to make our meetings a priority and to participate at

every meeting by aiding in tasks and adding their own input during discussions. Group members will participate in all forms of communication including face-to-

face, texting, email, and Google Docs. It is expected that all team members will contribute to the workload of the project. If you are feeling overwhelmed or do not fully understand your tasks, explain

your situation and ask for help before any due dates.Decision Making

We will attempt to first reach a consensus through discussion. We will resort to majority vote if necessary after a fair discussion. Every member of the group will get a chance to share and justify their opinion.

Quality Expectation There will be no plagiarism. If you are unsure of how to properly cite, ask the

group for help. Submitted work is expected to convey an academic standard of an upper level

college course. Warn the group if you begin to question your ability to meet the agreed upon

standards that we’ve set for each part of the project. Every member is expected to speak up if they begin to fall behind so that the

project can be completed in a timely manner. Penalties

If any member does not follow the agreed upon team norms, they will first receive a respectful verbal notice of which actions or behaviors need to be corrected.

The second offense against the team norms will incur a written note from the group to prove that we attempted to work the situation out among ourselves.

If a third offense against the team norms occurs, we will contact the professor for help with handling the situation.

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WHO WE ARE

We are a group of collegians whose core aim is to provide practical solutions through our brand of sound performance consulting.

MISSION STATEMENT

To provide custom-tailored performance appraisal solutions for ProHealth utilizing empirical evidence and best practices from the fields of industrial-organizational psychology and business management.

VALUES

Integrity: Reassuring trust through ethical behavior. Pragmatism: Focusing on achieving practical solutions. Solidarity: Valuing the team and acting cooperatively to achieve goals.

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TRAINING NEEDS ANALYSIS

ProHealth is looking to improve their manager KSAs in providing an effective performance appraisal at 30 day, 90 day and annual review periods.

Organization of Method Explanation

1. Method : Rationale a. Question Example(s)

i. How would we administer the chosen analysis method if we had the chance?

Appropriate Methods

1. Interview : Since ProHealth is a local business that is looking to train just a few (5) managers, an interview would be a feasible way for the interviewer to gain an in-depth understanding of the performance gap and determine training needs.

a. Do you think the performance appraisals you’ve had to complete in the past were a realistic opportunity to improve employee performance or a burden on company time and effort?

b. Do you keep a daily written log of subordinate performance to assist you when completing a performance appraisal?

i. A consultant representative of the group would meet with each employee individually. A semi-structured interview would allow “the exchange of factual information with adequate freedom” for the interviewer to “probe deeper into the applicant’s [current] characteristics and qualifications” (HRCP 2, 2015, p. 117). The interviewer would also meet with an executive staff member at ProHealth to discuss company strategic goals, employee expectations and how performance appraisal training would work to meet these goals and expectations.

2. Document Reviews : ProHealth already administers performance appraisals. Previous appraisals could be reviewed to determine deficiencies in KSAs, as past performance is a good indicator of current ability and would detect where training is needed to improve future performance.

a. What was written on past performance appraisals? Any portions left blank?b. What was the communication style? c. Is their evidence of selective attention, biases, and central or leniency tendencies? d. Are goals for employees SMART?

i. A consultant representative of the group would schedule a time to review previous performance appraisal documents to determine KSA deficiencies.

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Expected Results

Managers at ProHealth typically have a clinical background with little formal education in management or human resource concepts and best practices and have received limited training on the job about performing an effective performance appraisal. Therefore, it is expected that we would find a deficiency in KSAs needed to provide an effective performance appraisal. Specifically, it is expected that managers would not be able to complete the objectives summarized in our training outline. However, it is suspected managers would express a strong desire to be able to give a constructive performance appraisal that would effectively improve employee performance.

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TRAINING OBJECTIVES

After completing performance appraisal training, trainees will be able to:

A. List at least three reasons why performance appraisals are important during a post test.

B. List at least ten mistakes managers can make when preparing for or conducting a performance appraisal during a post test.

C. List the uses of data from each domain and each source during a post test.

D. Differentiate between behavioral descriptions of employee conduct and a description that is based on a trait or characteristic during a post test.

E. Differentiate between a well framed appraisal process and a poorly framed appraisal process during a post test.

F. Write four SMART goals during a performance review.

G. Describe at least one strength and one weakness of each leadership style during a post test.

H. List steps for conducting difficult conversations during a post test.

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TRAINING SCHEDULE OVERVIEW

Each letter at the end of a description corresponds to an objective of the training.

DAY ONE

Module Time Description

1 5 min. A brief lecture on the purpose and schedule of the training session.

2 5 min.A clip from the show “Scrubs” that provides an example of how attitude affects performance appraisals. [a]

3 10 min.A group discussion about why performance appraisals are important and not just an administrative necessity or busywork. [a]

4 20 min. How to effectively provide performance appraisal using four guidelines. [e]

5 20 min. An introduction on compiling employee folders on an annual basis. [c]

Break 10 min. Scheduled Break

6 10 min.A video from Shari Harley that addresses how to effectively provide feedback to subordinates. [d][h]

7 5 min. An activity that allows managers to practice writing feedback. [e][h]

8 20 min.An activity that allows managers to practice effectively conducting difficult conversations. [h]

9 15 minA group discussion about the importance of effectively conducting difficult conversations. [h]

Handout 5 min. Day One Summary, Take Away Tips Handout [a, b, c, d,]

10 5 min.Participants will think about five concerns they would have if they were receiving a performance appraisal. [e]

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TRAINING SCHEDULE OVERVIEW


DAY TWO


1 10 min.A discussion to allow each manager to address their concerns if they were receiving a performance review. [e]

2 5 min.A clip from the comedy news show “The Colbert Report” as a bad performance review example. [b]

3 20 min.Discussion and game that engages the participants in a discussion regarding twenty common mistakes made by managers when preparing for, or conducting a performance appraisal. [b]

4 20 min. A role-play demonstration of the common mistakes made by managers. [b]

Break 10 min. Break

5 5 minA quick review of ProHealth’s Branch Manager job description with management roles highlighted. [a, g]

6 5 min.A handout that explains the four basic functions of management and how they apply to doing performance appraisals. [g]

7 5 min.A short self-administered quiz that sorts trainees into x-style leaders or y-style leaders, which correspond to authoritarian and participative leadership styles. [f,g]

8 10 min.An explanation of types of leadership and self-fulfilling prophecy. Also, a discussion of quiz results. [f,g]

9 10 min. A discussion of goal theory and an activity making SMART goals. [f]

Handout 5 min. Day Two Summary, Take Away Tips Handout

10 10 min. A performance appraisal role-play activity. [b, d, e, f, g, h]

Evaluation

5 min. Training Evaluation: Level One Reaction Handout

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DAY ONE TRAINING MATERIALS

DAY ONE: OVERVIEW

Performance appraisals are often viewed in a negative light. According to the Society for Human Resource Management they are seen as administrative busy work and considered a nuisance by many managers (Tyler, 2012). They are often dreaded or feared by employees, or simply not taken seriously. In reality, performance appraisals are incredibly beneficial tools that can improve many aspects of an organization. One of the first steps in changing the current attitude towards performance appraisals is to train managers on all of the potential benefits as well as on how to effectively conduct one. In doing so, managers are given a sense of what can be accomplished from their time spent on appraisals. Managers will also feel more confident in their abilities when they have been taught how to properly conduct a performance appraisal and have been given guidelines for what to focus on.

If a performance appraisal is handled correctly, the organization and the employee should witness a positive change. This training is an effective how-to guide. It is recommended that the trainer read Effective Phrases for Performance Appraisals by James Neal to better understand the content that is covered in this training section.

Before Starting

Check that the link in Modules 2 and 6 work. If it does not work, try searching YouTube for an alternative example of why attitudes towards appraisals are important and pasting it onto the document. The video should be no more than 5 minutes long.

Familiarize yourself with the training key and with the structure of the lecture.

Familiarize yourself with the material.

If you don’t understand the material, you won’t be able to answer possible trainee questions on the material. If there is material you don’t understand, you may contact the training designers with questions or you may consult the sources listed in the training references section for more information that may help you understand the information in the handouts.

Have enough handouts printed for each training participant to receive their own.

Collect all materials needed for day one.

Set up refreshments for the trainees.

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DAY ONE MODULE OUTLINE

MODULE OUTLINE

Module 1

Description A brief lecture on the purpose and schedule of the training session.Objective To prepare trainees for what to expect and inform them of what they

will be learning.Time 5 Minutes

MaterialsRequired

Pens, pencils and extra paper Handout: Training Objectives and Schedule Training Key: Speaking Points for the Trainer

Method 1. Introduce yourself and the training session topic.2. Provide each trainee with an outline handout.3. Mention the objectives of the training and tell trainees to review

them.4. Briefly go over the module one handout, i.e., topics to be

covered, breaks, and refreshments.5. Offer paper, pens, or pencils for note taking.6. Address possible interruptions and how they should be handled.7. Open the floor for questions, comment, and concerns.

Module 2

Description A clip from the show “Scrubs” that provides an example of how attitude affects performance appraisals.

Objective To provide an example of the typical negative attitude towards performance appraisals.

Time 5 MinutesMaterials Computer with internet access and audio/visual capabilityMethod 1. Introduce the “Scrubs” clip and its purpose

2. Open the following link:https://www.youtube.com/watch?v=09bp4Muh8

3. Tell the trainees to focus on the attitudes shown towards performance appraisals.

4. Show the video clip.5. Transition to next module.

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Module 3

Description Group Discussion about why performance appraisals are important and not just an administrative necessity or busywork.

Objective To provide trainees with a comprehensive understanding of why performance appraisals are necessary and how they are

Time 10 MinutesMaterials Training Key: Scrubs Clip Discussion Guide Method 1. Encourage trainees to take notes on the discussion.

2. Ask trainees to share the attitudes they noticed from the clip.3. Discuss the effects that each of the mentioned attitudes has on the

perception of performance appraisals as well as on the participants of the appraisals.

4. Transition to next module.

Module 4

Description How to effectively provide performance reviews using four guidelines.Objective To demonstrate how to properly frame the appraisal process.

Time 20 minutesMaterials Handout: Guidelines for Effective Performance Reviews

Training Key: Guidelines for Effective Performance ReviewsMethod 1. Distribute the handout for module.

2. Using the training key, facilitate a discussion of each of the 4 guidelines. The bullets on the training key are main points to direct the discussion and

lecture. Keep in mind that the numbered bullets on the training key correspond to the

hand out for module 4.3. Transition to next module.

Module 5

Description An introduction on compiling employee folders on an annual basis. Objective To provide an introduction to an effective method of compiling employee

performance data.Time 20 minutes

Materials Handout: Employee Folders, What Should I Remember? Training Key: Script for Trainer, Introduction to Employee Folder

Method 1. Distribute the handout for module.2. Follow the script presented in the training key. Keep in mind that the

numbered bullets on the “Script for Trainer” correspond with the numbers on the hand out for module 5.


SCHEDULED BREAK: BETWEEN MODULE 5 AND 6

Time 10 minutes

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Module 6

Description A video from Shari Harley that addresses how to effectively provide feedback to subordinates.

Objective To provide steps on how to frame feedback so that it is well received by subordinates.

Time 10 minutesMaterials Computer with internet access and audio/visual capabilityMethods 1. Introduce the clip.

2. Open the following link: https://www.youtube.com/watch?v=THyMhxMzDN4

3. Play the video.4. Transition to next module.

Module 7

Description An activity that allows managers to practice writing feedback. Objective To allow supervisors to practice writing feedback when conducting

performance appraisals. Time 5 minutes

Materials Handout: Written Feedback Training Key: Written Feedback Guide

Method 1. Distribute handout for the module.2. Refer to the training key as a guide for the activity.3. Transition to next module.

Module 8

Description An activity that allows managers to practice effectively conducting difficult conversations.

Objective To prepare trainees for effectively conducting difficult conversations with subordinates.

Time 15 MinutesMaterials Handout: 8 Steps to Conducting Difficult Conversations

Training Key: Difficult Conversation Activity KeyMethod 1. Introduce the activity: Refer to the training key.

2. Spend 5 minutes reviewing key points from the Shari Harley video and introducing important information to keep in mind when conducting difficult conversations. Refer to the training key.

3. Give the trainees 1 minute to think of a situation where they needed to have a difficult conversation and either opted not to do so or did so ineffectively.

4. Distribute handout for the module5. Give the trainees 7 minutes to write what they could say for each step,

using the information from the Shari Harley video and the brief lecture, to effectively conduct their difficult conversation.


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Module 9

Description A group discussion about the importance of effectively conducting difficult conversations.

Objective To provide trainees with a comprehensive understanding of how to conduct difficult conversations and why they are important to have.

Time 20 MinutesMaterials Handout from Module 8: 8 Steps to Conducting Difficult Conversations

Training Key from Module 8: Difficult Conversation Activity KeyMethod 1. Encourage trainees to take notes on the discussion.

2. Review each trainees 8 Step Worksheet, stopping after each one to complete the following steps.

3. Ask trainees to share their thoughts, concerns, and constructive criticism.4. Discuss the benefits that would potentially come from having the difficult

conversation being discussed.5. Transition to next module.

DAY ONE SUMMARY: HAND OUT

Description A summary of the information presented on day one, and a review handout to help organize the information.

Objective To provide a review and learning aid for the day’s material to increase retention.

Time 5 MinutesMaterials Handout: Day One, Summary

Method 1. Distribute handout for the module.2. Ask if there are any questions.3. Transition to next module.

Module 10

Description Participants will think about 5 concerns they would have if they were receiving a performance appraisal.

Objective To encourage the participants to think about the performance appraisal process from a different perspective.

Time 5 MinutesMaterials Handout: HomeworkMethod 1. Distribute handout for the module

2. Let the participants know that they are to complete the homework before the next day’s training and come prepared to discuss their answers.

3. Ask for questions.

END OF DAY ONE

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DAY ONE TRAINING KEYS

DAY ONE: MODULE 1

Speaking Points for the Trainer

Introduction/Purpose of Training Refer to "Day One: Overview"

Change perceptions of performance appraisals

What to Expect Two days of two hour sessions 10 min break halfway through each session Refreshments will be provided throughout whole session, but be

respectful Summary handouts will be provided at the end of each session

Topics to Cover Purpose and importance of performance appraisals Guidelines for effective performance appraisals Types of data to use Behavior based appraisals Providing feedback Concerns about performance appraisals Common mistakes How NOT to conduct performance appraisals Coaching and Goal Theory Leadership styles

Making SMART goals

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DAY ONE: MODULE 3

Scrubs Clip Discussion Guide

1. What is the fundamental dilemma?

Performance appraisals are not taken seriously

2. Why is this a problem? (Ask participants for elaborations/examples/opinions.)

What performance appraisals are NOT Busy work Nuisance Unimportant

Importance/positive outcomes of performance appraisals Personal growth Career growth Finding strengths/weaknesses Record keeping Focus Legal defense Compensation Work environment

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DAY ONE: MODULE 4

Guidelines for an Effective Performance Review

1. Preparing for a Performance Appraisal

Discuss all of the bulleted questions below, which are questions that

managers should consider prior to evaluating an employee. Have each

manager write down three questions that they feel would be beneficial for

them to use in their own evaluation process.

When preparing for the performance review, ask yourself:

What results do I want?

What contributions is my employee making?

What contributions should my employee be making?

Is my employee working near his/her potential?

Does my employee know clearly what is expected?

What training, if any, does he/she need?

What are my employee’s strengths?

How has my performance helped or hindered?

2. Use Documentation and Factual Examples

Performance evaluations should be measured in relation to pre-

existing standards, objectives, or other specific requirements

Cite specific examples of performance. Examples should be

objective and specific rather than objective and general.

Whenever possible, use quantitative examples, which can be

expressed in numerical terms using figures, percentages, or

amounts.

The underlined section has been taken out of the

trainee’s worksheet.

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3. Be Aware of Rating Errors

The bulleted term is provided on the employee worksheet. Have the

manager take notes on the provided lines.

Central Tendency

This is the tendency for raters to rate all subordinates as

average, usually out of averseness to hurting people’s

feelings or in an attempt to avoid over or under rating.

(Segal, 2011)

Leniency/Severity

This is the tendency for raters to under or over rate all

subordinates

Vague/Global Ratings

Sometimes the supervisor fails to provide direct evidence

for a rating, these ratings are then very difficult to defend

legally

Like- me

This is the tendency to favor those that are “like you” and

disfavor those that are not “like you”.

It should also be noted that the perception of differences

and similarities between characteristics of the supervisor

and the characteristics of the subordinate can lead to

selective attention whereby the supervisor only

sees/remembers evidence that confirms preconceptions.

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Halo/Horns

Rating on one dimension leads to similar ratings on other

performance dimensions.

Primacy/Recency Bias

Events that happened first or more recently are easier to

recall and given more weight than performance in between

4. Conduct the Meeting with Professionalism

Have the employees write down 5 of the most important bullets that they

would like to keep in mind.

Select a quiet, comfortable, discrete and appropriate location

Plan to avoid interruptions

Allow ample time for the discussion

Open with: “How do you feel 12 months have gone?”

Keep the interview performance- oriented

Provide a copy of the review to the employee

Encourage the person to talk, but remain firmly in control

Listen carefully

Focus on patterns rather than isolated instances

Respond to objections, problems and disagreements

Concentrate on facts and examples

Be a coach, not a judge

Develop positive action plans to change behavior

End the meeting on a positive and supportive basis

DAY ONE: MODULE 5

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Script for Trainer: Introduction to Employee Folders

1. Start out by reading the following statement to the trainees: “Prior to performing an evaluation, the supervisor must be compiling data on

the employee throughout the year. All of the data should be contained within a

folder for each employee they are to evaluate. The contents should contain notes

as well as documents. The following hand out is provided to help you remember

the purpose of these folders as well as what should go in them. The very first

question the hand out prompts is “What kind of statements should I be writing

in my employee’s folder?” This is a valid question because not all observations

that we make about our employees are focused on their behaviors but rather

their personality attributes. In reality, we cannot change our employee’s

personality traits but rather provide them with goals to change their behaviors

that lead to negative impacts within the workplace. The statements included in

the folder need to be subjective as well as objective. Subjective statements tend

to be broad and perspective-driven whereas objective statements are

quantifiable and specific. Objective statements are preferred.”

2. Ask your team to discuss the types of things they would include in these folders. The following bullets are general topics that should be covered:

Positive performance

Progressive counseling and corrective actions

Track the results of projects, quality/productivity standards

Informal notes, reports, and awards

Have each trainee take notes of

examples of each of these on the

right side of their handout.

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DAY ONE: MODULE 5 CONTINUED

3. Read the following statement to discuss the 3rd question: “All of the documentation collected throughout the year is just a starting

point when it comes to properly evaluating your employee. Along with the supervisor’s analysis on the employee’s performance, the supervisor should reach out to outside sources to guide their review. The supervisor should be advised to consider reaching out to other supervisors, co-workers and any subordinates to discover where the employee is succeeding or needing more guidance. Outside of the work team, the supervisor should consider gathering feedback from cliental to determine how their service is being received. The employee themselves should be encouraged to compile a folder of their own achievements throughout the year to be given to the supervisor for evaluation purposes.”

4. Have the team discuss why their employees should be compiling their own folders of success.

It allows the employees to keep track of their own accomplishments.

It offers personal encouragement for the employee. It’s something they can look at to boost their morale.

It’s useful documentation for the employee to use during the performance appraisal discussion to show they’re meeting company goals and objectives.

Managers can also use this documentation as aids during the

performance evaluation.

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DAY ONE: MODULE 7

Written Feedback Guide

In the following exercise, the supervisor is given the notes that were gathered throughout the year in Jodi’s folder. These notes pertain to her Attendance/Punctuality. In the bad example section, this is an example of what a novice supervisor would write in that section of the performance review. The supervisor is to write their own version of a good example as to how to properly write this if it was their own employee. The table provided below is fully completed. The manager’s copy does not have the good example section.

1. Pass out the hand out for the supervisors and read the instructions on the hand out aloud.2. Have the supervisor review the first two columns.3. Ask them to write what they believe the right answer would be in the third column.4. Present the correct answer and allow managers to ask any questions they may have.

WRITTEN FEEDBACK EXERCISENotes Bad Example Good Example

7/16/2014 Jodi was 16 minutes late for her shift.

Jodi is almost always late. On 7/16/2014 and 11/16/2014, Jodi is documented as being late for work.

On 8/10/2014 and 10/14/2014, Jodi is documented as returning late from lunch.

8/10/2014 Jodi was 25 minutes late after lunch.



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DAY ONE: MODULE 7

Difficult Conversations Activity Key

Introduction

This activity meant to provide the managers with a guideline of how to approach and conduct difficult conversations. It also gives them an opportunity to practice what they might say in difficult situations and get immediate feedback.

Key points to keep in mind:

Set the expectation that you will be candid and honest.

Take responsibility if you have any role in the issue.

Always have difficult conversations in a private setting.

Have a witness for sensitive topics that could potentially be misconstrued.

Example: A male manager trying to tell a female subordinate to dress more appropriately by covering excessive cleavage.

Stay focused on behaviors and attributes that need altering.

Always be clear and specific.

Create a dialogue.

Provide an alternative to their current behavior or situation.

Make the conversation about the subordinate and their growth, not about you.

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DAY ONE TRAINEE HANDOUTS

DAY ONE: MODULE 1 HANDOUT

Training Objectives and Schedule

After completing performance appraisal training, managers will be able to:

A. List at least three reasons why performance appraisals are important during a post test.

B. List at least ten mistakes managers can make when preparing for or conducting a performance appraisal during a post test.

C. List the uses of data from each domain and each source during post-test.

D. Differentiate between behavioral descriptions of employee conduct and a description that is based on a trait or characteristic during a post test.

E. Differentiate between a well framed appraisal process and a poorly framed appraisal process during a post test.

F. Write four SMART goals during a performance review.

G. Describe at least one strength and one weakness of each leadership style during a post test.

H. List steps for conducting difficult conversations during a post test.

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DAY ONE: MODULE 1 HANDOUT CONTINUED


Times May Vary

DAY ONE


1 5 min. A brief lecture on the purpose and schedule of the training session.

2 5 min.A clip from the show “Scrubs” that provides an example of how attitude affects performance appraisals. [a]

3 10 min.A group discussion about why performance reviews are important and not just an administrative necessity or busywork. [a]

4 20 min. How to effectively provide performance reviews using four guidelines. [e]

5 20 min. An introduction on compiling employee folders on an annual basis. [c]

Break 10 min. Scheduled Break

6 10 min.A video from Shari Harley that addresses how to effectively provide feedback to subordinates. [d][h]

7 5 min. An activity that allows managers to practice writing feedback. [e][h]

8 20 min.An activity that allows managers to practice effectively conducting difficult conversations. [h]

9 15 minA group discussion about the importance of effectively conducting difficult conversations. [h]

Handout 5 min. Day One Summary, Take Away Tips Handout [a, b, c, d,]

10 5 min.Participants will think about five concerns they would have if they were receiving a performance appraisal. [e]

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DAY ONE: MODULE 1 HANDOUT CONTINUED


Times May Vary

DAY TWO


1 15 min.A discussion to allow each manager to address their concerns if they were receiving a performance review. [e]

2 5 min.A clip from the comedy news show “The Colbert Report” as a bad performance review example. [b]

3 20 min.Discussion and game that engages the participants in a discussion regarding twenty common mistakes made by managers when preparing for, or conducting a performance appraisal. [b]

4 20 min. A role-play demonstration of the common mistakes made by managers. [b]

Break 10 min. Break

5 3 minA quick review of ProHealth’s Branch Manager job description with management roles highlighted. [a, g]

6 5 min.A handout that explains the four basic functions of management and how they apply to doing performance appraisals. [g]

7 5 min.A short self-administered quiz that sorts trainees into x-style leaders or y-style leaders, which correspond to authoritarian and participative leadership styles. [f,g]

8 7 min.An explanation of types of leadership and self-fulfilling prophecy. Also, a discussion of quiz results. [f,g]

9 10 min. A discussion of goal theory and an activity making SMART goals. [f]

Handout 10 min. Day Two Summary, Take Away Tips Handout

10 30 min. A performance appraisal role-play activity. [b, d, e, f, g, h]

Evaluation

5 min. Training Evaluation: Level One Reaction Handout

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Guidelines for Effective Performance Reviews

1. Prepare for a Performance Appraisal

When preparing for the performance review, ask yourself:

__________________________________________________________________

__________________________________________________________________

__________________________________________________________________

2. Use Documentation and Factual Examples

Performance evaluations should be measured in relation to pre-existing standards,

objectives, or other specific requirements

Cite specific examples of performance. Examples should be objective and specific rather

than objective and general.

Whenever possible, use _______________________________ which can be expressed in

numerical terms using figures, percentages, or amounts

3. Be aware of rating errors

Central Tendency

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Leniency/Severity

________________________________________________________________________

________________________________________________________________________

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Vague/Global Ratings

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Like- me

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Halo/Horns

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

Primacy/Recency Bias

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

4. Conduct the Meeting with Professionalism

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

________________________________________________________________________

(Neal, 2006)

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Employee Folders: What Should I Remember?

1. What kind of statements should I be writing in my employees folders?

Subjective

Broad Perspective- driven

Objective

Specific Quantifiable Preferred

2. What to include in the folder?

Positive performances (i.e. Successes)

Progressive counseling and corrective actions

Track the results of projects, quality/ productivity standards

Informal notes, reports, and awards

3. From where should the supervisor be collecting information? Other supervisors Co-workers Subordinates Client

4. Why should the employee be encouraged to compile his or her own folder of successes?

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

The employee may be receiving feedback

that the manager isn’t aware of. This should

also be taken into consideration for the

review.

(Neal, 2006)

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Written Feedback: Instructions

This activity is designed to provide you with a chance to write effective feedback. Review the information in the first two columns and determine how you would probably write a good example with the given information if Jodi were your employee.

WRITTEN FEEDBACK EXERCISENotes Bad Example Good Example


Jodi is almost always late.




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Day One: Module 8 Handout

8 Steps to Conducting a Difficult Conversation

Q. What is a difficult conversation you would typically avoid?

Step 1. Introduce the conversation

Step 2. Express Empathy Acknowledge that the conversation is awkward/uncomfortable

Step 3. Describe the behavior “I’ve noticed…”

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Step 4. State the impact of the behavior

Step 5. Ask the subordinate for their perception of the situation Create a dialogue

Step 6. Make a suggestion or request

Step 7. Build an agreement on how to move forward

Step 8. Thank the subordinate for having the difficult conversation

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(Harley, 2013).

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Homework

A. List 5 concerns that you would have if you were receiving an appraisal:

1. _______________________________________________________________

2. _______________________________________________________________

3. _______________________________________________________________

4. _______________________________________________________________

5. _______________________________________________________________

B. Review the Day One: Summary Handout prior to returning to day two of this training in order to be prepared for the planned activities.

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DAY ONE: SUMMARY HANDOUT AND TAKE AWAY TIPS

Performance appraisals are NOT administrative busy work.

Performance appraisals, when properly conducted, help subordinates to continually grow and give managers the opportunity to provide crucial feedback.

It is important to use descriptive, behavior-centered languages when appraising your subordinate in order to easily transition the problematic areas into goals for the employee to be able to improve their performance.

By keeping employee folders year round, the manager is given examples of positive and negative performance in order to give specific feedback that focuses on changeable behaviors rather than personality attributes.

Below is key biases that may attribute to poor performance feedback:

Central Tendency

To rate all subordinates as average

Leniency/ Severity

Tendency for raters to under or over rate all subordinates

Like- me Tendency to favor those that are “like you” and disfavor those that are not “like you”.

Primacy/ Recency Bias

Events that happened first or more recently are easier to recall and given more weight than performance in between first impressions and recent events.

Difficult conversations are necessary. Subordinates cannot be expected to alter their behavior if they have never been confronted about the impact it causes.

Difficult conversations should be conducted in 23 minutes. Subordinates will be more receptive of a brief discussion of their shortcomings with possible solutions, than a lecture on their terrible attributes.

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DAY TWO TRAINING MATERIALS

DAY TWO: OVERVIEW

Sometimes, in order to improve our knowledge, skills and abilities, it is helpful to explore what NOT to do. To that end, this training will present an example of a bad performance appraisal and allow participants to engage in a discussion, game and role-play activity that will examine some of the most common mistakes made by managers and supervisors when preparing for, or conducting a performance appraisal. Then, because many employees are promoted to management positions without adequate management training, the final section of this training will explore the functions of managers and leadership styles.

Managers will feel more confident in their abilities when they have been taught how to properly conduct a performance appraisal and have been given guidelines for what NOT to focus on. If a performance appraisal is handled correctly, the organization and the employee should witness a positive change. This training is an effective how-to guide.

Before Starting

Check that the link in Modules 2 works and the PowerPoint loads correctly. If the link does not work, try searching YouTube for an alternative example of how not to conduct a performance appraisal and pasting it onto the document. The video should be no more than 5 minutes long.

Familiarize yourself with the training key and with the structure of the lecture.

Familiarize yourself with the material.

If you don’t understand the material, you won’t be able to answer possible trainee questions on the material. If there is material you don’t understand, you may contact the training designers with questions or you may consult the sources listed in the training references section for more information that may help you understand the information in the handouts.

Have enough handouts printed for each training participant to receive their own.

Collect all materials needed for day two.

Make sure trainees have copies of all previous handouts and notes from the training on hand so that they can easily refer to them for guidance.

Set up refreshments for the trainees.

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DAY TWO MODULE OUTLINE

MODULE OUTLINE

Module 1

Description A discussion to allow managers to address their concerns if they were receiving a performance review.

Objective To provide managers an opportunity to discuss any concerns about the performance appraisal process.

Time 10 minutesMaterialsRequired

Pens, paper and extra paper Handout from Module 10, from Day One: Homework

Method 1. Open the floor for questions, comment, and concerns before beginning day two training.

2. Allow all participants to take turns sharing 1 idea that they identified from doing their homework assignment. Encourage participants to take notes on other’s ideas.

3. Upon completion of having everyone share an idea, discuss each idea with the group in more detail. Encourage discussion on how each idea would be implemented.

4. Open the floor for a discussion on what each of them would like to learn if they were the ones being evaluated.


Module 2

Description A clip from the comedy news show “The Colbert Report”.Objective To provide an example of how not to conduct a performance appraisal.

Time 5 MinutesMaterials A computer with internet access and audio/visual capabilityMethod 1. Open the following link:

http://thecolbertreport.cc.com/videos/eh7h1y/employee-performance-reviews

2. Tell the participants to try to pinpoint specific behaviors exemplified by the supervisor, Stephen Colbert, that make this an example of a bad performance appraisal.


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Module 3

Description A game that engages the participants in a discussion regarding 20 common mistakes made by managers when preparing for or conducting a performance appraisal.

Objective To provide definitions and helpful tips to avoid making these common mistakes.

Time 20 MinutesMaterials A computer with Microsoft PowerPoint

Training Key: Common Mistakes Discussion and Game Instructions Training Key: Trainer’s Guide for the Common Mistakes Game Training Key: Answer Key’s A - E Tokens for the game, such as candy, poker chips, slips of paper, anything

that can be given to the participant as a temporary representational currency

Prizes to distribute in exchange for tokens at the end of the gameMethod 1. Tell the participants that they are about to participate in a game where they

will be rewarded for critical thinking and will have a chance to demonstrate their understanding of the material. If they can demonstrate their understanding, they will be able to turn the tokens in for actual prizes.

2. Open the PowerPoint file and press F5 in order to go into presentation mode.

3. Follow the training keys an instructional guide for the activity.4. Transition to next module.

Module 4

Description A role-play demonstration of the common mistakes made by managers.

Objective To actively engage the participants with the material so that it is easier to remember these common mistakes and to avoid them in the future.

Time 20 MinutesMaterials Handout: Common Mistakes

Handout: Vignette Scorecards Handout: Role-player’s Vignette Cards Handout: Trainer’s Vignette Cards Handout: ProHealth Annual Performance Review Sheet (1 Attachment) Training Key: Common Mistakes Role Playing Instructions A timer, such as stopwatch, smartphone, or egg-timer Tokens (candy, poker chips, slips of paper, anything that can be given to

the participant as a temporary representational currency Prizes to distribute in exchange for tokens at the end of the role-play

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Method 1. Tell the participants that they are going to be participating in a role-play activity where they will each act out a 2 minute vignette containing 4 common mistakes.

2. Follow the training key instructions as a guide for the role-play activity.3. Distribute the handouts for module.4. Conduct role-playing activity. 5. Transition to next module.

SCHEDULED BREAK: BETWEEN MODULE 4 AND 5

Time 10 minutes

Module 5

Description A quick review of ProHealth’s Branch Manager job description with management roles highlighted.

Objective Illustrate that management is part of the trainee’s job description.

Time 5 MinutesMaterials Handout: ProHealth’s Branch Manager Job DescriptionMethod 1. Distribute handout for the module.

2. Read aloud to trainees the instructional top line of text on the job description handout.

3. Tell trainees to look over the highlighted aspects of their job that involve managing.


Module 6

Description A handout that explains the four basic functions of management and how they apply to doing performance appraisals.

Objective Provide basic management concepts that will improve the trainee’s motivation to do performance appraisals and improve attitudes while performing performance appraisals, and quality of performance appraisals.

Time 5 MinutesMaterials Handout: Management FundamentalsMethod 1. Distribute handout for the module.

2. Have trainees read the handout aloud to each other.3. Transition to next module.

Module 7

Description A short self-administered quiz that sorts trainees into x-style leaders or y-style. leaders which correspond to authoritarian and participative leadership stylesObjective To allow trainees to become aware that they have management assumptions, and to determine whether each trainee has more of an x or y management style.

Time 5 MinutesMaterials Handout: Managerial Assumptions Quiz

Pens, pencils and extra paper if necessary

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Method 1. Distribute handout for the module.2. Before beginning the quiz, explain that the quiz is designed to help the

trainees identify and understand their individual management style.3. Read the bolded instructions at the top of the quiz aloud to the trainees. 4. Tell the participants that they should quietly take the quiz and score

themselves.5. Transition to next module.

Module 8

Description An explanation of the different types of leadership styles and self-fulfilling prophecy and a discussion of quiz results.

Objective Explain what the results of trainees’ quiz mean and that attitude and behavior toward employees are what differentiate various leadership styles.

Time 10 MinutesMaterials Handout: Leadership Styles

Handout: Self-fulfilling ProphecyMethod 1. Distribute handout for the module.

2. Have trainees read the handout aloud to each other.3. Ask trainees to give examples of times at previous jobs when they

experienced positive or negative self-fulfilling prophecy. When trainees give examples of negative experiences, ask trainees how they could have improved the situation if at the time they were able to apply the strategies presented as to avoid negative self-fulfilling prophecies from the handout.


Module 9

Description An explanation of the attribution, goal theory and SMART Goals

Objective Teach trainees about the importance of and best way to set good goals with employees at the end of the performance appraisals

Time 10 MinutesMaterials Handout: Attribution, Goal Theory and Smart Goals

Method 1. Distribute handout for the module.2. Have trainees read the handout aloud to each other.3. Transition to next module.

DAY TWO SUMMARY: HAND OUT

Description A summary of the information presented on day one, and a review handout to help organize the information.

Objective To provide a review and learning aid for the day’s material to increase retention.

Time 5 MinutesMaterials Handout: Day Two Summary

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Method 1. Distribute handout for the module.2. Ask if there are any questions.3. Transition to next module.

Module 10

Description A free form role play activity and discussion what they have learned overall from the last two days.

Objective To actively engage the participants and to help bring all the information learned over the last two days together.

Time 10 MinutesMaterials Handout: Final Performance Appraisal Role Play (3 Attachments

Training Key: Final Performance Appraisal Role Play InstructionsMethod 1. Tell the participants that they are going to be participating in a role-play

activity where they will each act out a 2 minute vignette containing 4 common mistakes.

2. Follow the training key instructions as a guide for the role-play activity.3. Distribute the handouts for module.4. Conduct role-playing activity. 5. Transition to next the training evaluation.

TRAINING EVALUATION: LEVEL ONE REACTION

Description A short questionnaire that encourages trainees to provide feedback about the training.

Objective To encourage trainees to get involved with the training process.

Time 5 MinutesMaterials Please Take Notice: The training instructions and handout are in a

different section than Day Two Training Materials. Handout: Level One Reaction Questionnaire Training Key: Training Evaluation

Method 1. Distribute handout for the module.2. Use the training key as a guide, explain the instructions and goal of the

questionnaire. 3. Allow trainees time to complete the quick questionnaire.4. Congratulate trainees on successfully completing the training.

END OF DAY TWO

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DAY TWO TRAINING KEYS

DAY ONE: MODULE 3

Common Mistakes Discussion and Game Instructions

1. Make sure that all required materials specified in the module outline have been gathered together.

2. Tell the participants that they are about to participate in a game where they will be rewarded for critical thinking and will have a chance to demonstrate their understanding of the material. If they can demonstrate their understanding they will be able to turn the tokens in for actual prizes.

3. If not already done, open the PowerPoint file and press F5 in order to go into presentation mode.

4. Ask the participants one by one to choose a topic to discuss from one of the columns. The same participant should not choose the same column until they have answered a question from each of the other columns first.

5. Ask the participant if they know anything about the topic they chose, let them explain. If they are right reward them with a token. Provide the definition given in the answer key if it is different than the answer given.

6. Click on the topic and ask the question(s) presented; let participants answer.

7. If they answer incorrectly (according to your facilitators guide) open the question to the whole group. Award a token for a correct answer.

8. Click on the right arrow at the bottom right of the screen to reveal the answer(s) and then elaborate on it as provided in the facilitators guide.

9. Go back to step 3 and continue until 15 minutes have passed or all the mistakes have been discussed. Then move to step 9.

10. Ask the participants one at a time to explain to the group 1 of the topics that they discussed earlier in order to exchange the tokens for prizes.

Please make sure to allow 20 minutes of allotted for the game

and discussion, so everyone has time to

participate.

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DAY TWO: MODULE 3 CONTINUED

Trainer’s Guide for the Common Mistakes Game

As participants choose a topic from the game board find that topic in the training key, (i.e. – The next few pages are answer keys.), by using the following tables:

Scoring Errors: ACentral Tendency Leniency/Severity Vague Ratings Inconsistency

Bias Errors: BLike-Me Halo/Horns Attribution Error Primacy/Recency

Timing Errors: CLate Appraisals Baggage Annual vs. Ongoing Not following up

Labeling Errors: DStereotyping Not Job-Related Traits Absolutes

Process Errors: EOne-sided Non-constructive Frame Sandwich Approach

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A. Answer Key

Scoring Errors: These are errors that concern making ratings/assigning scores to performanceName Definition Answers Tips

Central Tendency

This is the tendency for raters to rate all subordinates as average,

Compare subordinates to one another. Is their performance better than, the same as, or weaker than each of their peers, by what

degree?

This usually occurs out of an averseness to hurting people’s feelings or in an attempt to

avoid over or under rating.

Leniency/Severity This is the tendency for raters to under or over rate all subordinates

Start each evaluation by looking at “meets expectations” level and going up or down

from there based on evidenceVague Ratings Sometimes the supervisor fails to provide

direct evidence for a rating, these ratings are then very difficult to defend legally.

Employees should be evaluated on specific work dimensions and detailed descriptions of work behavior that support that rating

should be noted.

Descriptions should be not be used to determine one global measure.

Inconsistency The same performance standards should be used no matter who is doing the evaluation or whom is evaluated. Also, scores should

be consistent with the comments and descriptions provided.

Managers should be given anchors to let them know what type of performance

translates in to what type of score.

Managers should fill out the comments or descriptions first and then assign a score that

matches that description

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B. Answer Key

Biases: These are errors that result from the way the brain processes, stores, or recalls information. The good news is that most of these biases are a result of an automatic process that can be over-ridden with conscious effort.

Name Definition Answers TipsLike-Me This is the tendency to favor those that are

“like you” and disfavor those that are not “like you”.

This can lead to discrimination even if you are not aware of a bias.

It should also be noted that the perception of differences and similarities between

characteristics of the supervisor and the characteristics of the subordinate can lead to selective attention whereby the supervisor

only sees/remembers evidence that confirms preconceptions.

Know that the bias exists and it does apply to you, make a conscious effort to evaluate based on evidence and not “feelings” and

seek out evidence that disconfirms any hunches or generalizations (either positive or negative) that may be a result of differences

or similarities to your subordinate.

Halo/Horns Rating on one dimension leads to similar ratings on other performance dimensions.

Rate all subordinates on one criterion at a time to space out each criterion rather than

one subordinate at a time on all criteria.

Know that the bias exists and it does apply to you, make a conscious effort to separate each

criteria and judge them individuallyAttribution Good performance is due to external causes

and bad performance is due to internal causes.Opportunity Bias where the subordinate is given credit or faulted for factors beyond

his/her controlLength of service bias where the subordinate is given credit or faulted for length of service

Others too, just make sure it fits the description

Know that the bias exists and it does apply to you, make a conscious effort to consider both

possible internal and external causes when evaluation behavior.

Primacy/Recency

Events that happened first or more recently are easier to recall and given more weight than performance in between.

Take detailed notes along the way so you don’t have to rely on your memory of events

Know that the bias exists and it does apply to you

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C. Answer Key

Timing Errors: These are errors that relate to the consideration of an inappropriate time-frame.Name Definition Answers TipsLate

AppraisalsIn a survey of common mistakes made by

managers regarding the performance appraisal process, Late appraisals were in the

top 5 with 38.3% reporting that it was a problem.

Often appraisals are not completed in a punctual manner because the task is often

seen as aversive or unimportant.Also the amount of effort that goes into an appraisal is also often underestimated and

managers get behind.

Doing an appraisal late sends a message to the employee that you either don’t value

punctuality or that you are a hypocrite or that you don’t value the appraisal process or them

as employees

Understand that performance appraisal/review should be a positive

opportunity to improve performance, not a burden.

Baggage Sometimes it’s hard to forget something that a subordinate did if it was especially

egregious or affected you personally and it is tempting to bring it up in the performance appraisal even if it wasn’t during the year

under review.

It is only appropriate to bring up these events if:

1. It is an ongoing issue, in which case it is really a current issue and should

be classified as such.2. They fixed the issue and you want to

reinforce the positive change the employee made

Every incident should be recorded and filed by year so that old offenses and mistakes

don’t contribute to the current review.

Annual vs. Ongoing

Sometimes when conducting annual performance appraisals supervisors wait

until it is time to do the reviews and then try to remember what happened throughout the

year.

Because of the way human memory works one should take detailed notes regarding

subordinate performance daily and keep the material organized so that when performance appraisal time rolls around you have all the

necessary information ready to go.

This will also give you an ongoing record that can provide trend data and help you provide feedback in real time and hopefully nip any

performance problems in the bud.

Not Following Up

Not following up with goals set during the performance appraisal is the number one

most commonly reported mistake regarding performance appraisals according to the 2014 Performance Management Survey

It is important because one of the most important functions of the performance

appraisal is to help the employee grow and improve, checking up on their progress

toward their goals gives you an opportunity to help make sure those goals are followed through and check to see if the goals are

Managers should continue to monitor subordinate progress and provide timely

feedback to reinforce employee development.

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working.


D. Answer Key

Labeling Errors: These are errors that concern the way we perceive individuals.Name Definition Answers Tips

Stereotyping Stereotyping is when one has a preconceived notion (supported or unsupported) about the traits of a class of people and then applies

those traits to the individual.

Also known as unlawful discrimination. It is a bad idea to stereotype at all for any reason as it does not provide valid data

however it is strictly illegal to discriminate on the basis of race, color, religion, sex, national origin, age, or disability status.

Not Job-Related

Also called perceptual bias, this is when you use criteria other than job performance to

make performance related judgments

All criteria that contribute to a subordinate’s evaluation should be job related and not based on value judgments or opinions or

behaviors/ performance outside of the work context

Whenever a behavior is used to evaluate a subordinate, make sure that behavior is

related to that subordinate’s job.

Traits Sometimes supervisors are tempted to rate an employee on traits such as attitude, aptitude,

drive, intent, and dependability

Make sure that your descriptions are based on behavior, i.e. what the subordinate DID not

what the subordinate is or characteristics that they possess

Traits are difficult to define and to prove and should be avoided

Absolutes It is easy to get carried away when writing descriptions of behavior and use words like “always” or “never” because we use them in

common language.

Absolute statements that claim extremes in behavior are easy to refute with

counterexamples and may be used as indications of discrimination. They also have

a negative impact on your credibility.

Be specific in your descriptions of behavior citing individual occurrences or a

measureable rate, remember that individuals are not all good nor all bad but some

combination of the two.

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E. Answer Key

Process Errors: These are errors that concern the way the interview with the subordinate is conducted.Name Definition Answers Tips

One-Sided Supervisors often consider it their job to do all the talking during a performance

appraisal.

Have the employee present their own self-evaluation and provide feedback and then

present your own evaluation while prompting feedback throughout to come to an agreement

concerning their behavior.

A performance appraisal is a chance for a discussion which is far more effective than a

lecture.

Non-Constructive

Many managers make the mistake of using the performance appraisal interview as

chance to provide critical feedback but forget that critical feedback is only the first step

Help the employee create SMART goals to help them develop areas of weakness or

concern.

Even if everything you say in the interview is perfectly true and accurate it doesn’t do anyone any good unless you provide a constructive method of improving the

subordinate’s performance, regardless of whether that performance was outstanding or

awful.Frame The frame of the interview includes the

environment in which the interview takes place, the attitude of the interviewer, and the

content of the discussion

Environment: The performance appraisal process should be private.

The performance interview is not the proper time to apply discipline, and all deficiencies

in employee performance should be well documented and not a surprise to the

employee.

Apply discipline and feedback as employees make mistakes throughout the year so that the

performance appraisal process can be a positively framed interview about you

helping them improve as an employee for the purpose of personal and professional growth.

Sandwich Approach

It used to be standard operating practice to present good information first to positively frame the review, then give the bad news,

then end on a positive note.

It moves the focus away from where the employee should be improving which is the

whole point of the performance review.It is good to frame the interview positively at the outset so the best practice currently is to handle all the positives at the beginning of

the review then move on to where the employee needs to improve and then help

them set goals for improvement.

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DAY TWO: MODULE 4

Common Mistakes Role Playing Instructions

1. Distribute the handout entitled Common Mistakes and the handout, Vignette Scorecards, to each participant. Each participant should have 4 scorecards Give the participants a minute to review the handout and familiarize themselves with the common mistakes that weren’t covered in Module 2, if any.

2. If not done already, tell the participants that they are going to be participating in a role-play activity where they will each act out a 2 minute vignette containing 4 common mistakes.

3. While each participant acts out their assigned vignette, the other participants will be

watching and trying to identify the 4 common mistakes and note them on a scorecard. The common mistakes that they correctly identify on their scorecard will be rewarded with points. If there is only one participant, then they will take turns acting out vignettes and taking notes with the trainer.

4. Have the participants randomly select the Role Player’s Vignette Cards (handouts) without seeing which is which (This can be accomplished by folding the vignettes and having them placed in a hat and drawn from there). Keep the handout, Trainer’s Vignette Cards, for yourself.

5. Give the participant holding Vignette 1 the handout entitled, ProHealth Annual Performance Review Sheet and take a minute for the participating Role-player and Trainer to familiarize themselves with their respective cards/roles for Vignette 1.

6. Set a timer for 2 minutes and have the participant act out their vignette as the manager, while the facilitator plays the part of the employee. Try to stay to the standard appraisal process unless otherwise noted, following the ProHealth Annual Performance Review Sheet.

7. At the end of the 2 minutes, ask for the other participants to hand in their scorecards.

8. Read aloud which 4 common mistakes were presented in the vignette and briefly go over how to avoid those common mistakes, as given on your facilitators vignette card.

9. Award tokens to correct mistakes identified on scorecards.

10. Repeat steps 4-8 for vignettes 2-5.

11. Allow trainees to turn in tokens for rewards/prizes. Trainer’s Vignette Cards are in the

“Day Two Trainee Handouts” section.

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DAY TWO: MODULE 10

Final Performance Appraisal Role Play Instructions

Trainees should now feel more confident in their ability to conduct an effective performance appraisal. In the final module of the training, trainees will conduct a free form performance appraisal role-play exercise, provide helpful feedback to fellow trainees on their performance appraisal techniques, and discuss what they have learned overall from the last two days.

Before Beginning:

1. Assign each trainee a role. Receiving a performance appraisal

Clinical Technician Giving a performance appraisal

Branch Manager Distribute the handouts for the module.

2. Pair trainees up appropriately. If there’s an odd number of trainees, the trainer can act as a stand-in role for that trainee. In that instance, it would appropriate for the trainer to be the Clinical Technician and the trainee the Branch Manager.

3. Allow trainees to gather and use any handouts they received over the last two days, as reference guides while conducting the role-play activity.

4. Give trainees who are performing the Clinical Technician to write down one theoretical goal or company expectation they achieved prior to the review and one goal or company expectation they failed to meet, which should be based off of the job description. Have them share that knowledge with their partner trainee before beginning the exercise.

5. Inform trainees they have 10 minutes to complete the exercise, or to get as far as they can in the allotted time.

6. Set timer and begin role-play exercise.

7. When completed, have group discuss the role-play activity and give each other feedback using concepts from training.

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DAY TWO TRAINEE HANDOUTS

DAY TWO: MODULE 4 HANDOUT

Common Mistakes

Common Mistake Definition

Central Tendency This is the tendency for raters to rate all subordinates as average,Leniency/Severity This is the tendency for raters to under or over rate all subordinates

Vague Ratings Sometimes the supervisor fails to provide direct evidence for a rating, these ratings are then very difficult to defend legally.

Inconsistency The same performance standards should be used no matter who is doing the evaluation or whom is evaluated. Also, scores should be consistent with the comments and descriptions provided.

Like-Me This is the tendency to favor those that are “like you” and disfavor those that are not “like you”.

Halo/Horns Rating on one dimension leads to similar ratings on other performance dimensions.Attribution Good performance is due to external causes and bad performance is due to internal causes.

Primacy/Recency Events that happened first or more recently are easier to recall and given more weight than performance in between.

Late Appraisals In a survey of common mistakes made by managers regarding the performance appraisal process, Late appraisals were in the top 5 with 38.3% reporting that it was a problem.

Baggage Sometimes it’s hard to forget something that a subordinate did if it was especially egregious or affected you personally and it is tempting to bring it up in the performance appraisal even if it wasn’t during the year under review.

Annual vs. Ongoing Sometimes when conducting annual performance appraisals supervisors wait until it is time to do the reviews and then try to remember what happened throughout the year.

Not Following Up Not following up with goals set during the performance appraisal is the number one most commonly reported mistake regarding performance appraisals according to the 2014 Performance Management Survey

Stereotyping Stereotyping is when one has a preconceived notion (supported or unsupported) about the traits of a class of people and then applies those traits to the individual.

Not Job-Related Also called perceptual bias, this is when you use criteria other than job performance to make performance related judgments

Traits Sometimes supervisors are tempted to rate an employee on traits such as attitude, aptitude, drive, intent, and dependability

Absolutes It is easy to get carried away when writing descriptions of behavior and use words like “always” or “never” because we use them in common language.

One-Sided Supervisors often consider it their job to do all the talking during a performance appraisal.Non-Constructive Many managers make the mistake of using the performance appraisal interview as chance

to provide critical feedback but forget that critical feedback is only the first stepFrame The frame of the interview includes the environment in which the interview takes place,

the attitude of the interviewer, and the content of the discussionSandwich Approach It used to be standard operating practice to present good information first to positively

frame the review, then give the bad news, then end on a positive note.

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DAY TWO: MODULE 4 HANDOUT CONTINUED

Vignette Scorecards

Vignette Scorecard

Participant: ________________________

Role-player: ________________________

Identified Mistakes

1:_________________________________

2:_________________________________

3:_________________________________

4:_________________________________

Vignette Scorecard

Participant: ________________________

Role-player: ________________________

Identified Mistakes

1:_________________________________

2:_________________________________

3:_________________________________

4:_________________________________

Vignette Scorecard

Participant: ________________________

Role-player: ________________________

Identified Mistakes

1:_________________________________

2:_________________________________

3:_________________________________

4:_________________________________

Vignette Scorecard

Participant: ________________________

Role-player: ________________________

Identified Mistakes

1:_________________________________

2:_________________________________

3:_________________________________

4:_________________________________

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Vignette Cards for the Role-Players

54


Vignette Cards for the Role-players (Continued)

55


Vignette Cards for the Role-players (Continued)

56


Vignette Cards for the Trainer

57


Vignette Cards for the Trainer (Continued)

58


Vignette Cards for the Trainer (Continued)

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ProHealth Annual Performance Review Sheet

See Attachment, next page

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ProHealth Branch Manager Job Description

This is one of the managerial level job descriptions at Prohealth. All of the highlighting is to point out that, while you may think of yourself as a medical professional, you are also a manager.

POSITION DESCRIPTION

Job Title: Branch Manager

General Description: Responsible for Clinic operations.

Report to: Debra K. DuFour, Operations Officer & Danette Krumel, CFO

Work hours: Full time

QUALIFICATIONS & EXPERIENCE

Medical background: RN, LPN or MA Computer skills Occupational Testing experience to include:

Drug Screen collections & protocols DNA collections & protocols Excellent phlebotomy skills with 1 year experience Vaccine storage & administration guidelines

One (1) year experience in a managerial position in a medical practice office

QUALITIES

Ability to multi-task “Team Leader” Able to work independently Excellent problem solving skills Excellent communication skills, both written & verbal

ACCOUNTABLE FOR

Day-to-day responsibilities of the clinic

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JOB OUTPUTS

Check in patients and do vitals Manage work-flow of office Supervision & training of Clinic Technicians to include:

Drug Screen collections & procedures Computer training – Quest, EHR & POS DNA collection & procedures Processing of lab work specimens OSHA Testing – audiograms, PFT Vaccine storage & administration

General office procedures Ordering supplies & inventory control Maintenance of equipment Opening & Closing Procedures Other administrative duties such as filing, greeting clients, office cleanliness &

other daily tasks Weekly Vaccine Inventory Supervise front office staff Ensure the ordering of the following supplies:

Lab work Drug screening including CCF’s & kits DNA Vaccines Office supplies including paper, pens, toner, etc.

Ensure that the following office equipment is in operating condition: Copier Fax POS computer Quest Diagnostic computer Audio machine Pulmonary Function

Keep office areas clean and tidy Ensure that all areas are clean and tidy at all times Empty trash cans daily and as needed Clean bathrooms and table tops as needed

Other responsibilities as given by the Operations Officer or CFO Assist at Health & Wellness Fairs On-site drug testing On-site immunization administration Other duties as assigned

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Management Fundamentals

Managers are present in every business and organization. Management is necessary for business to get done. However, not every business provides training when employees are promoted to management positions. This lack of training is unfortunate because management is actually a science and an art that can be studied at the collegiate level.

Any untrained person can be doing a poor job of trying to be a manager the same way that any untrained person can be doing a poor job trying to draw blood from a patient. This short training can’t impart you with the same knowledge you would learn if you got a bachelor’s of science or even just a certificate in management. However, a little bit of knowledge about management can make certain tasks as a manager like performance appraisals vastly easier to accomplish and drastically improve the quality of the work done.

The information about management presented in the final modules are provided to help you understand and perform better in your role as a manager while doing performance appraisals.

Functions of Management

According to Williams (2013), there are four major management functions: planning, organizing, leading, and controlling.

Planning is choosing company goals and strategizing exactly how you will make those goals a reality.

Organizing is delegating responsibility for regular duties and special projects to specific individuals and giving certain employees authority over and responsibility for other employees and resources.

Leading is inspiring and motivating workers to do their best work to accomplish company goals.

Controlling is following the progress towards accomplishing company goals and giving employees the help they need when they struggle (p. 5-6).

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Management Fundamentals (Continued)

Leaders are different from followers in:

Drive Desire to lead Honesty/integrity Self-confidence Emotional stability Cognitive ability Knowledge of the business

Two Leadership Styles

Visionary Leadership

Creates a positive image of the future that motivates organizational members and provides direction for future planning and goal setting.

Charismatic Leadership

The behavioral tendencies and personal characteristics of leaders that create an exceptionally strong relationship with followers.

There is not one best management style for every manager, every situation, or every employee. You can practice contingency management and use the best type of management style for you and any involved employees in a given situation.

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Managerial Assumptions Quiz

Are You an X Type Leader or a Y Type Leader?

Read the following statements. Write “Yes” if you agree with the statement, or “No” if you disagree with it. Force yourself to take a “yes” or “no” positions for every statement.

1. Are good pay and a secure job enough to satisfy most workers?

2. Should a manager help and coach subordinates in their work?

3. Do most people like real responsibility in their jobs?

4. Are most people afraid to learn new things in their jobs?

5. Should managers let subordinates control the quality of their work?

6. Do most people dislike work?

7. Are most people creative?

8. Should a manager closely supervise and direct the work of subordinates?

9. Do most people tend to resist change?

10. Do most people only work as hard as they have to?

11. Should workers be allowed to set their own goals?

12. Are most people happiest off the job?

13. Do most workers really care about the organization they work for?

14. Should a manager help subordinates advance and grow in their jobs?

Scoring:

Count the number of “yes” responses to items 1, 4, 6, 8, 9. 10, 12; write that number here as

[X = ].

Count the number of “yes” responses to items 2, 3, 5, 7, 11, 13, 14; write that number here as

[Y = ]

Interpretation:

This assessment sheds insight into your orientation toward Douglas McGregor’s Theory X (your

X score) and Theory Y (your Y score) assumptions.

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(McShane & von Glinow, 2013)


Leadership Styles

Douglas McGregor is an American social psychologist. He proposed his famous X-Y theory in his 1960 book The Human Side of Enterprise. McGregor believed there were two fundamental approaches to managing people:

Theory X - Authoritarian Management Style

The average person dislikes work and will avoid it he/she can.

Therefore most people must be forced with the threat of punishment to work towards organizational objectives.

The average person prefers to be directed; to avoid responsibility; is relatively unambitious, and wants security above all else.

Theory Y - Participative Management Style

Effort in work is as natural as work and play.

People will apply self-control and self-direction in the pursuit of organizational objectives, without external control or the threat of punishment.

Commitment to objectives is a function of rewards associated with their achievement.

People usually accept and often seek responsibility.

The capacity to use a high degree of imagination, ingenuity and creativity in solving organizational problems is widely, not narrowly, distributed in the population.

In industry the intellectual potential of the average person is only partly utilized.

Theory x and theory y are still referred to commonly in the field of management and motivation. More recent studies have questioned the rigidity of the model, However, McGregor's X-Y theory remains a valid basic principle you can use to develop a positive management style.

Under the pressure of day-to-day business, don’t forget that your attitude and behavior towards employees matters.

Look at your Managerial Assumptions Quiz. Think about how your assumptions about the nature of workers affect the way you behave toward other people at work.

Be mindful of your attitude and actions as a manager. If you assume your workers are all lazy and enjoy performing poorly, then performance appraisals will be uncomfortable for both you and them.

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Performance appraisals are an opportunity to help struggling employees improve their performance and to help all employees become more satisfied with their jobs.

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Self-fulfilling Prophecies

Self-fulfilling prophecies are when how a manager thinks an employee will perform causes the manager to treat the employee a certain way which causes the employee to perform the way the manager expected. The graphic below explains it well.

(McShane & von Glinow, 2013)

According to McShane and von Glinow (2013), self-fulfilling prophecy effect are strongest:

At the beginning of the relationship (e.g. when an employee joins the team) When several people have similar expectations about the person When the employee has low rather than high past achievement

Strategies to avoid negative self-fulfilling prophecies include:

Become aware of your attitude and biases Try to have more meaningful interaction with your employees. Aim to have close, frequent interaction with them toward a shared goal.

Have a positive self-fulfilling prophecy instead:

Intentionally expect the best of them Treat them as if you expect the best of them. Watch as they perform better.

Think about the types of “self-fulfilling prophecies” you are likely to create:

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If you assume the best of your employees If you assume the worst of your employees


Attribution, Goal Theory and Smart Goals

When you implement performance appraisals, your ultimate purpose is to find out how employees are performing so you can help them to set goals to have the best possible performance.

After filling in all of the information on the performance appraisal paperwork, you will become aware of where an employee is excelling, doing average or underperforming. Once you know this information, you and your employee need to work together to set goals for the employee to maintain or improve their performance in the different areas of their job.

Attribution

Is the process by which individuals explain the causes of behavior and events People tend to attribute other people’s behaviors to their dispositional factors while

attributing own actions to situational factors. (Attribution, n.d.)

SMART is an acronym that stands for: Specific Measurable Attainable Realistic Timely

You can use the SMART goals framework to set really good goals for your employee.

A good goal should be all of these things:

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Final Performance Appraisal Role Play

See Attachments, next three pages

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DAY ONE: SUMMARY HANDOUT AND TAKE AWAY TIPS

Try comparing subordinates to one another. Start each evaluation at the “average” level and go up or down from there. Evaluate subordinates on specific work dimensions and provide detailed descriptions. Fill out comments first and then assign a score based on that evidence. Know that you are biased and an active conscious effort is required to counteract this. Make sure that any evaluation is based on evidence not feelings. Rate each criterion separately. Consider both internal and external causes of performance. Don’t rely on your memory, take notes. Performance appraisal should be a positive opportunity to improve performance. Only bring up baggage when the subordinate has improved. Work on collecting information for the review all year long. Follow up and check how your subordinates are doing on their goals. Evaluate each individual by his or her behavior alone. Behavior used to evaluate a subordinate must be related to the subordinate’s job. Behavior is what the subordinate DID not what the subordinate IS. Always remember to never use “always” and “never” when describing behavior. Remember that performance appraisal is a conversation not a lecture. Provide a constructive method of improving the subordinate’s performance. A performance appraisal is not discipline and there should be no surprises. Present the good information first then move on to where the subordinate needs to improve.

Functions of Management Planning Organizing Leading Controlling

SMART is an acronym that stands for: Specific Measurable Attainable Realistic Timely

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TRAINING EVALUATION

Key and Instructions In order to effectively evaluate this training program should it ever be implemented at

ProHealth, the Kirkpatrick Four-Level Training Evaluation Model should be utilized to determine if the managers can meet the training objectives specified in the outline and the information presented in the training has been appropriately implemented by managers in the workplace.

Kirkpatrick’s Four-Level Training Evaluation Model

Level 1 – Reaction: To what degree participants react favorably to the training? A training evaluation questionnaire utilizing a Likert scale can also indicate whether

or not managers reacted favorably to the training.

See: Handout, Level One Questionnaire

Level 2 – Learning: To what degree participants acquire the intended knowledge, skills, attitudes, confidence and commitment based on their participation in a training event?

To evaluate effectiveness of the program at the learning level participants should be given an academic style pretest and posttest that assesses the level of declarative knowledge acquired.

List at least three reasons why performance appraisal is important during a post test [A]

Differentiate between a behavioral description of employee conduct and a description that is based on a trait or characteristic after viewing the behavior-based how-to video during a post test [D]

Differentiate between a well framed appraisal process and a poorly framed appraisal process during a post test [E]

List at least 10 mistakes managers can make when preparing for or conducting performance appraisal during a post test. [B]

Describe at least one strength and one weakness of each leadership style during a post test [G]

List steps for conducting difficult conversations during a post test [H]

Level 3 – Behavior: To what degree participants apply what they learned during training when they are back on the job?

To evaluate effectiveness of the program at the behavioral level participants should be tracked at work by their manager using a checklist or by reviewing the documents produced on the job

Write four SMART goals during a performance review [f]

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Level 4 – Results: To what degree targeted outcomes occur as a result of training event and subsequent reinforcement?

To evaluate effectiveness of the program at the results level participants should be rated by their employees on how well the manager is able to evaluate their employees and handle everything from less than satisfactory performance to an excellent performer.

(Kirkpatrick Partners, LLC., n.d.).

TRAINING EVALUATION CONTINUED

Training Key Evaluation Flowchart

(Enkuzena & Kliedere, 2011, p. 223)

LEVEL 1 TRAINING EVALUATION QUESTIONNAIRE

Message to Instructor: The training evaluation questionnaire allows each employee to voice their opinions about the training to the company, possibly providing valuable feedback. “You can also gather valuable data by watching the trainees’ body language and getting verbal feedback” (HRCP 3, 2015, p. 63-64).

Directions to Trainees: Please indicate the degree to which you agree or disagree to the following statements and express any additional comments in the appropriate box. Feel free to write on the back of the questionnaire if you run out of room on the front page.

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LEVEL 1 TRAINING EVALUATION QUESTIONNAIRE HANDOUT

Statement Degree in Agreeance CommentsThe performance appraisal training was generally an enjoyable experience.

Strongly Agree Somewhat Agree Neutral Somewhat Disagree Strongly Disagree

The performance appraisal training was worth my time and relevant to my job description.


The course objectives and expectations were clearly defined.


The information was well-prepared and appropriately organized.


The material presented in a way that was meaningful, interesting and stimulated an interest in learning.


The communication of ideas and information was explicit.


I believe I can use what I learned today to help me execute effective performance appraisals on the job.

Strongly Agree Somewhat Agree Neutral Somewhat Disagree Strongly Disagree Additional Remarks

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REFERENCES

Attribution. (n.d.) Wikipedia. Retrieved from http://en.wikipedia.org/wiki/Attribution_%28psychology%29

Brill, J. E. (2008). Likert scale. Encyclopedia of Survey Research Methods. Thousand Oaks: Sage Publications.

Bruce, S. (2014). Supervisors’ most common PA mistakes. Retrieved from http://hrdailyadvisor.blr.com/2014/07/10/supervisors-most-common-pa-mistakes-2014-performance-management-survey/

Enkuzena, S. & Kliedere, E. (2011). Management training evaluation: A case study of retail store chain. Journal of Business Management. [Figure 1]. Journal of Business Management, (4), 221-232.

Greco, G. (March 7, 2012). Dealing with difficult employees part 1: The emotional employee. Virtual CEO Consulting. Retrieved from http://virualceo.us/dealingwithdifficult-employeespart1theemotionalemployee/

Harley, S. (2013). How to say anything to anyone, Shari Harley. Retrieved from http://candidculture.com/wpcontent/uploads/2014/06/Eight StepFeedbackFormulaShari-Harley.pdf

Human Resource Certification Preparation, L.C. [HRCP 2]. (2015). Human resource certification preparation program: Unit 2 workforce planning and employment. Provo, UT: Human Resource Certification Preparation, L.C.

Human Resource Certification Preparation, L.C. [HRCP 3]. (2015). Human resource certification preparation program: Unit 3 human resource development. Provo, UT: Human Resource Certification Preparation, L.C.

Kirkpatrick Partners, LLC. (n.d.). The kirkpatrick model. Kirkpatrick Partners, LLC. Retrieved from http://www.kirkpatrickpartners.com/OurPhilosophy/TheKirkpatrickModel/tabid/302/Default

Maynard, D. [Screen Name, Uploader]. (2013, October 4). Employee training – Needs assessment [Video File]. Retrieved from https://youtu.be/CLr0Z8v4qOc

McShane & von Glinow. (2013). Organizational Behavior 2e. MGMT 6. Mason, Ohio: South-Western

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Neal, J. (2006). In effective phrases for performance appraisals: A guide to successful evaluations. Guidelines for Successful Evaluations. Perrysburg, OH: Neal Publications. Retrieved from https://www.ohrd.wisc.edu/msdresources/effective-phrases.pdf

Segal, J. A. (2011). The dirty dozen performance appraisal errors. Retrieved from http://www.businessweek.com/managing/content/jan2011/ca20110114_156455.htm#p1

Spiegler, M. D., (2014). Contemporary Behavior Therapy (6th ed.). Boston, MA: Cengage Learning.

Tyler, K. (2012). Train managers, maximize appraisals. Retrieved from http://www.shrm.org/publications/hrmagazine/editorialcontent/2012/1212/pages/1212-performance-appraisal-training.aspx

Documents

APS Training Final Draft