YEAR-END

January

April

July

OctoberCOACHING

MID-CYCLE CHECK-IN

Supervisor and Employee meet to review and update plan

DEVELOPMENT PLAN BEGINS

QUARTERLY

REVIEW

Performance Management

Supervisor & Employee Guide Part II

Central Michigan University2004

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Table of Contents

Part 1: Giving and Receiving Effective Feedback 3 Defining Feedback Giving Effective Feedback Receiving Feedback

Part 2: The Performance Evaluation Meeting 6 Preparing for Final Evaluation Meeting Running the Performance Evaluation Meeting

Part 3: Next Steps 8 Completing the Performance Evaluation Form Follow with Developmental Feedback

Appendix A: Tips for Communicating 10 Tips for Writing Evaluations Tips for Effective Communication Tips for Giving Feedback

Appendix B: The Five T’s 12

About the Guide This guide is intended to be a reference to help you get the most out of the university’s performance management program. You will find useful information about performance management, giving and receiving feedback, guidelines for completing the year-end evaluation and – most importantly – tips for coaching and communicating this process with your peers and employees.

The previous session focused on the development of employee objectives, responsibilities, values and the criteria they will be measured against. At this session we will focus our discussion on how both employee and supervisor can most effectively give and receive feedback and how each should prepare for the year-end evaluation meeting.

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PART 1: Giving & Receiving Effective Feedback(Throughout the Assessment Cycle)

Defining FeedbackAs Central Michigan University moves toward a more goal-driven and competency-based organization, the importance of giving timely and honest feedback will only increase. Receiving on-going feedback is how employees come to understand how they contribute to the organization, and how they can learn to continuously increase the value of that contribution. Feedback is a key part of Performance Management. CMU wants all its employees to feel comfortable seeking, receiving, giving and utilizing feedback.

Contrary to traditional theory, there is no such thing as positive or negative feedback. Feedback is simply information. It is inherently neutral. Ideally this information is shared openly, individual to individual, and not received second hand or from “behind-the-back” conversations. Hopefully this information enables us to improve our effectiveness and satisfaction while increasing our contribution to the organization.

So, rather than think in terms of “positive” or “negative” feedback, let’s define the two types of feedback differently. Both types have potentially powerful effects.

Reinforcing feedback tells us what we are doing well and what we should continue to do. Redirecting feedback helps us identify areas we can change and improve in order to be more

effective and have the greatest impact on the job.

We all appreciate reinforcing feedback. It may make us uncomfortable, but we like it. Redirecting feedback on the other hand is more difficult to accept. But, both types of feedback are important in helping us improve our contribution and ourselves. Doing work without any form of feedback leaves us without the framework for real, meaningful growth, development, and increased contribution.

Giving Effective FeedbackThe intent of giving feedback should always be to help people improve personally and/or professionally. Be aware that giving feedback impacts a person’s self-esteem. Egos are involved. Be especially aware that redirecting feedback must be done to address the issue in a helpful way, without personally attacking the receiver. The focus of giving feedback should be on job-related behaviors - not personal values, beliefs or assumed motives. As you begin to provide on-going feedback you will learn how to give redirecting feedback differently to each employee based on their personality, preference and work style.

General Guidelines for Giving Feedback:1. Make sure the feedback is relevant to the individual’s job . You should give feedback to

someone on issues that are critical to the individual’s success and the priorities of their job. In other words don’t be nit-picky about irrelevant issues.

2. Be direct and discuss observed behavior . Stay with your own observations and perceptions. Hearsay is weak and subject to distortions. If someone tells you something about someone else, encourage him or her to talk directly to that person rather than to you.

3. Be descriptive rather than evaluative . State what you observed the person doing or saying, without editorializing or making a value judgment. For example don’t say, “Your presentation was poor!” Instead say, “To me, you seemed unsure of yourself during your presentation this morning.” Avoid focusing on the receiver’s character or personality.

4. Be specific rather than general . The more concrete detail you can provide the better. If you don’t provide specific detailed examples, the receiver will surely ask you for them. Building on

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Example A - Value Added Feedback

FEEDBACK VALUE ADDED FEEDBACK

Thanks Thanks for your help in sorting through the logistics of the problem.

Great Job Great Job – Your responsiveness to the student was caring and helpful.

This isn’t what This isn’t what I wanted. The report needs to specify the detail to be I wanted useful and an executive summary would be helpful.

Good work Your attention to detail was thorough and the executive summary page was very helpful. Good work.

the presentation example, you might say, “I noticed you hesitated before the beginning, and there were two places where you seemed to get your slides in the wrong order.” (See Example A)

5.

Focus on the needs of the receiver, not your needs as sender. Try to see the situation from the perspective of the receiver. Your full intent needs to be for the benefit of the recipient. Thus, a comment like, “I was embarrassed by your presentation.” is an irrelevant comment.

6. Be as timely as possible . Feedback that is given out of context is of little value. State your observations as close to the occurrence of the actual event as possible.

7. Be sure to give the proper balance of reinforcing and redirecting feedback . Over time a person should have the proper amount of reinforcing and redirecting feedback based on whether they are contributing appropriately or not. For specific on-going conversations it is best to give either reinforcing or redirecting feedback so that there is no ambiguity in your expectations. If either party feels any uncertainty about what outcomes are desired, the employee should summarize their understanding of the conversation and submit it to their supervisor. This will help both parties feel comfortable that they understand one another.

8. Use “I” statements for redirecting feedback. Using “I” statements can help alleviate the discomfort of giving redirecting feedback because they focus on the behavior and not on judging the person. “I feel___________ when ____________ because __________”.

9. Give feedback privately. If you are giving reinforcing feedback and the recipient is not embarrassed by public reinforcement, it may be appropriate to give feedback publicly. As a supervisor, consider the impact this will have on others in your group. Will they be motivated or demotivated by the public acknowledgement? Will you have equal opportunities to “praise” the others publicly?

Seeking FeedbackPeople usually resist feedback for two reasons. First is the issue of risk: Do I believe that the benefit outweighs the risks? Second is the issue of trust: Do I trust others to give me helpful feedback? Human beings are risk takers by nature. We have an inner drive to learn, which pushes us to take risks. Yet, despite our determination to learn and grow, it’s still difficult to open ourselves to feedback. Feedback is empowering. It puts us in control of our growth and development in a way nothing else can. It gives us a clear picture of how others see us and gives us the information and power to act, to change.

Who should you ask for feedback? Keep in mind that some sources will be more helpful than others. In general

you should ask people that work closely with you, who will

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When to seek feedback

Developing your annual goals. New job assignment. New to the organization. In times of conflict. Developing a new skill or behavior

related to a competency. Before or after presentations. When interacting with others. As a reality check on your

contributions to the organization during the year and at the performance evaluation.

provide the feedback, whose judgment you trust, and who can provide you with different perspectives. Soliciting feedback from your “buddies” will not give you a clear, realistic picture of your strengths and weaknesses. Other potential providers include: your supervisor, direct reports, peers or colleagues both inside and outside of CMU, team members, and stakeholders.

Receiving FeedbackWhile it may sound simple, the ability to receive feedback is difficult and complex. Most of us have some emotional reaction to any feedback. Redirecting feedback can elicit a strong emotional response. In fact, research has shown that we tend to progress through a predictable cycle of emotions upon receiving redirecting feedback. This process is abbreviated by the acronym SARA.

Most of us can identify with this cycle whether we are unexpectedly praised in front of others or are given some strong redirecting feedback in private. One of the keys is to realize that the cycle exists, and to be sure to progress through it. The best outlook is to be proactive and responsible, and to use the information for growth and change.

Another key is the recognition that other’s “perceptions are reality”. This simply means that if people think you behave in a certain way, then his/her interaction with you will be driven from this perception.

If you really want to get honest feedback from others, you need to make giving feedback easy and pleasant. Be sure to listen. Be sure you ask questions to help you understand his/her point of view (even if you don’t agree). Explore options and come to agreement. Secure his/her support in your action plans. And lastly, be sure to again thank the person for their honest input, their coaching, and commitment to address the issue.

Managing Employees at Various Levels of PerformanceThe best supervisors adapt their style based on the level of experience, personality, learning styles, motivational needs and performance of their employees. Following are suggestions for managing employees at various levels.

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S.A.R.A. ProcessS urprise or shock. Unexpected input from others prompts this surprise reactionA voidance, annoyance, or anger. Feeling bothered, discomfort and even anger are the next stepR esistance, or rejection. Characterized by rationalizing or not accepting the feedback A cceptance. Admitting that the feedback is someone else’s valid perception

Employees whose performance exceeds expectationsPositively reinforce behavior by giving feedback.Offer development opportunities, e.g. working on task force, training others, attending meetings in your place, etc…Encourage the employee to work on his or her own, seeking input only when necessary.Ask about their career interests.Show support in helping them achieve their career goals.

Employees whose performance meets expectationsThank the employee for all of his or her contributions during the year.Motivate the employee to continue achieving results.Provide opportunities to challenge the employee to keep skills current and/or improve.Provide positive feedback as events occur to encourage similar performance.Help the employee understand what it would take for him or her to perform at a higher level.Help the employee understand that a evaluation of “met expectations” means they are valued employees and positively contribute to the University.Show support in helping them achieve their career goals.

Employees whose employees whose performance did not meet expectationsAddress problems early on.Assess performance and discuss the impact and consequences of not meeting objectives.Listen to the employee to get at the source of the issue – remember the five “T’s”. (See Appendix B)Ask the employee for ideas to improve performance.Set a corrective action plan to help the employee get on track.Keep documentation (favorable and unfavorable).Follow up to reward improvement or continue to help the employee improve.Show support in helping them achieve their career goals.If the employee still is not performing, consult the Employee Relations & Training department at 989-774-6447 to discuss corrective action.

Steps

Step IStart the Meeting

Step 2Get the employee’s view

Step 3Explain supervisor’s view

Step 4Resolve disagreements

Step 5Work out the final appraisal

Objectives

Relieve any tension or anxietyGet cooperation and participation.Set task oriented climate.

Employee gives candid appraisal of own performance and reasons expectations were or were not met or exceeded.

Supervisor gives reactions to employee’s appraisal and then gives own appraisal.

Reach mutually acceptable conclusions to disagreements.

Work on one disagreement at a time.

Mutually work out and agree to final appraisal.

Prepare for the final written appraisal.

Skills/Techniques

Be suitably social.Spell out purpose…to appraise and set stage

for future goal setting.Establish the benefit from the appraisal.Outline plan for the meeting.

Take one goal or objective at a time.Focus first on achievement of goal.Focus next on causes for both met and not

met goals…ask what employee did, what supervisor did, and the impact of contingencies.

Throughout; probe, listen, summarize.Do not pass judgment – focus on the job.

First, tell employee where you agree.Next, explain where you disagree.Finally, if needed, present additional data

about supervisors appraisal.

First, use reflective statements to acknowledge and diffuse emotions.

Clearly state the disagreement and both positions.

Discuss both positions, starting with the employee’s.

Reach final conclusion.

Work to align employee’s appraisal with supervisors.

Ask employee to summarize.

PART 2: The Evaluation Meeting(End of the Assessment Cycle)

In addition to the ongoing feedback you give your employees throughout the year, the end-of-the-year appraisal meeting will mean a great deal to your employees. Following are suggestions for getting the most out of this discussion.

General Evaluation Meeting Steps:

Preparing as a Supervisor Organize the form and your examples of the employee’s progress. Go over past performance information. Review calendars, notes and other documentation that

will help you remember all of the employee’s relevant performance, not just the last couple of months.

Be familiar enough with your ratings and comments to talk about them without reading them. Formulate tentative improvement and development plans. Give the employee at least two weeks notice before the appraisal meeting. Set aside private time and space

o Be sure to allow for at least a one-hour meeting with the employee.o Find a closed office or private space for the meetingo If possible, do not accept interruptions

Get the employee involvedo Ask the employee to organize the form with their own examples and achievements.

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Example C – Discussion Questions toGain Employee Feedback:

Overall, how successful have you been at meeting your performance expectations?

What performance expectations have you met or exceeded?

What measures support this? What performance expectations have

you not met? What would you like to do better on

your job? What new duties would you like to do? What skills did you improve or acquire

this year? How did the development plan assist in

this skill acquisition? What skills do you need to develop next

year? What does your supervisor do that

helps you do your job? What more can the supervisor do to

improve your job or assist you in being successful?

What else would you like to discuss?

Example D – Types of Communication to be Avoided Trigger phrases or questions

o “What you should have done…”

o “You just need to calm down.”

o “You are wrong/confused…”

o “Did you expect that to work?”

Guilt tripso “You don’t appreciate the hard work I do.”

o “If you really cared about this, you would work harder.”

Hollow reassuranceo “Don’t worry, you’ll figure it out.”

o “You’ll be fine, I’m sure of it.”

o “I know you’re behind, but I’m sure you’ll catch up.”

Condescending Remarkso “Are you sure you can handle that?”

o “You had trouble with that last time.”

Exaggerationso “You always…”

o “You never…”

o “Invariably…”

o Ask the employee to come to the meeting prepared for the discussion.Running the Performance Evaluation Meeting

1. Start the Meeting on a Positive Note Put the employee at ease. Move to a table or sit in a chair next to the employee. Do not sit

behind your desk. Start the meeting by talking about the benefits of the evaluation process and how this meeting

is a good opportunity for both of you to discuss successes and positive events from the prior year, and to plan for next year.

Ask the employee for input first – (Example C) Discuss accomplishments and strengths first.

2. Discuss Achievements against Targets Review each Performance Objective and Value

and your assessment of each. Discuss your assessment throughout the

meeting, as you get to each section of the form. Restate the expectations from the beginning of

the cycle and provide examples of the employee’s performance and to what extent performance exceeded, met, or did not meet expectations.

3. Use Active Listening Skills Ask questions to gain understanding Ask the employee for suggestions on what he or

she might do differently the next time. Discuss areas for improvement in a way that

shows the employee where changes should be made to meet expectations or could be made to achieve even greater results.

Focus on development; that is, problem solve with the employee on how improvements can be made, and keep the discussion positive and future-oriented to the extent possible.

When discussing areas for improvement, discuss methods and objectives, do not judge.

4. End by Expressing the Employee’s Value and Contributions Ask the employee to summarize the

discussion. Summarize your discussion and end on a

positive note, stressing the employee’s overall contribution to the University.

Thank the employee for participation during the process.

If appropriate, encourage the employee to take steps to improve job performance.

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PART 3: Next Steps(At the End of the Assessment Cycle)

Completing the Performance Management FormThe meeting should end by reviewing the main messages that have been communicated. Any areas that are still disagreed upon by the supervisor and employee should be documented along with any notes on the overall performance discussion. After the final document has been completed, the form should be signed by both the supervisor and employee to indicate that the evaluation meeting took place. Signing the document indicates that the employee has seen and discussed the evaluation and rating; it does not imply agreement with the evaluation.

Follow with Developmental FeedbackDiscussing how an employee can learn from successes and challenges of the past year naturally leads to a discussion about setting new performance goals. Therefore, when you have finished examining each of the employee’s objectives and development plan, take a moment to schedule a performance planning meeting to establish performance objectives for the coming year.

Ask the employee for suggestions on what he or she might do differently the next time. Discuss areas for improvement in a way that shows the employee where changes should be

made to meet expectations or could be made to achieve even greater results. Focus on development; that is, problem solve with the employee on how improvements can be

made, and keep the discussion positive and future-oriented to the extent possible.

Agree on Action Steps and Time Frames for Improvement Emphasize the importance of continuous improvement. Discuss action steps and set time frames. Set a date to review progress.

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APPENDIX

All materials included in this Appendix are updated regularly and available for your use on the Employee Relations & Training website at http://www.hrs.cmich.edu/PCD/index.htm under the Performance Management link.

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Appendix A: Tips

Tips for Writing Evaluations:

1. DON’T give the impression that the written appraisal is completed before consultation with

others or before the performance discussion.

2. DO meet bringing only notes or a rough draft of the written evaluation.

3. DON’T ignore the employee’s input into the evaluation.

4. DO incorporate employee’s ideas from the meeting(s) into the written evaluation.

5. DON’T be mean-spirited or overly critical in the written assessment.

6. DON’T be falsely positive either.

7. DO provide a balanced and objective view of the employee’s performance.

8. DON’T break new ground in the written appraisal.

9. DO keep written comments consistent with performance expectations discussed in prior

meetings.

10. DO use measurable behavior objectives.

11. DO describe objectives with action verbs and specify desired outcomes.

12. DON’T introduce new “insights” in the written appraisal.

13. DO compare performance against agreed-upon standards.

14. DO avoid surprises in the final write-up.

Tips for Effective Communication:

LISTENING

Let other person express views; don’t interrupt. Pause; consider what’s been said and what hasn’t been said. Listen for content and emotions. Make your body language show interest; maintain eye contact. Prove you are listening by using summaries and reflective statements.

TALKING

Pick words the person will understand; use familiar terminology. Say what you mean and be to the point. Give specific examples. Make one point at a time; pause to let it sink in; don’t overwhelm. Balance the talking and listening so that communication is two-way. Check understanding of views by asking for summaries and reactions.

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Tips for Giving Reinforcing Feedback:Don't ever underestimate the power of reinforcing feedback. We are quick to point out to someone when they make a mistake. Sometimes we forget to acknowledge them when they do something right. Giving reinforcing feedback can be a powerful tool for employee motivation. Here's how to use it most effectively.

1. Do it now. Reinforcing feedback is too important to let slide. Say something right away. 2. Make it public. While redirecting feedback should be given privately, reinforcing feedback should be

given publicly. Do it in front of as large a group as appropriate. 3. Be specific. Don't just say "Good job, Sally." Instead say something like "Hakim, that new procedure

you developed for routing service calls has really improved our customer satisfaction. Thanks for coming up with it."

4. Make a big deal out of it. You don't want to assemble the entire company every time you give reinforcing feedback, but do as much ceremony as the action warrants.

5. Consider the receiver. It is important to consider the feeling of the person receiving the recognition. For a very shy person, thanking him in front of his workgroup is probably most appropriate. For another person, you might hang a banner, balloons, and streamers in the department area.

6. Do it often. Don't wait for the big successes. Celebrate the small ones too. 7. Do it evenly. Big successes need big recognition; small successes need smaller recognition. If you

throw a party for every small success, you diminish its effect for a big success. 8. Be sincere. Don't praise someone for coming in on time. Don't congratulate someone for just doing

their job. People will see right through you. Really mean it when you give reinforcing feedback.

Tips for Giving Redirecting Feedback:Giving redirecting feedback is never easy, but if done properly it isn't unpleasant.

1. Get your emotions under control. You don't want to critique someone else's actions when you are angry or upset. You are likely to say something you don't really mean or to react poorly to something that is said to you.

2. Find a private place. No one wants to receive redirecting feedback in front of others. Sometimes it is unavoidable, but that should be a last resort. Take a meeting in your office, call the person into a vacant conference room, step into the lunch room if it is vacant.

3. Focus on their actions, not on the person. You create an immediate barrier when you criticize the person. Focus instead on what you want to change. Focus on their performance.

4. Be specific. It does no good to tell someone “You have a bad attitude.” You need to identify specific actions the person took or specific things they said if you want them to understand.

5. Be timely. Redirecting feedback should be given as soon as possible after the event. If you see an employee being rude to a customer, don't wait until their annual performance review to tell them. How many other customers will they have angered in the meantime? Call them into your office right away.

6. Be calm. Don't yell and scream. The other person will become defensive and won't hear what you are trying to tell them.

7. Reaffirm your faith in the person. This reinforces step three, but here you tell them that you still have faith in them as a person and in their abilities; it's just their performance you want them to change. Say something like "You're a good customer service rep, so I'm sure you see the need to be more patient with customers".

8. Stop talking. After you have told the person what specific, recent actions were inappropriate, and why, stop talking. Give the other person a chance to respond to or refute your statements. Listen to what they have to say.

9. Define positive steps. Agree on what future performance is appropriate for the employee. If there are specific things the employee needs to start doing or needs to stop doing, be sure they are clearly identified. If there is something you need to do, perhaps additional training for the employee, agree on that as well.

10.Get over it. After you have given the redirecting feedback and agreed on a resolution, move on with the job. Don't harbor ill will toward the employee because they made a mistake. Don't hover over them out of fear that they may make another mistake. Monitor their performance as you do all employees, and don't obsess.

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Appendix B: The Five “T’s”AN ANALYTICAL PERFORMANCE MANAGEMENT TOOL FOR SUPERVISORS

Performance problems can be roughly lumped into two very broad categories: “Can’t Do” or “Won’t Do.” These are very different issues and as a supervisor your response to these situations needs to be appropriate to the nature of the performance problem. So how do you tell which is which?

Glad you asked…..

In addition to clear instructions, an employee needs five things from you in order to perform any job effectively: Time; Tools; Technique; Talent; and Training.

Time – if there’s not enough time to get the job done, it doesn’t matter how well the employee may “try” to finish the job – it’s just not physically possible to complete the task. Make sure expectations match allocations. If the job needs 2 hours to finish, but you’ve only allocated twenty minutes, don’t be surprised when the job’s not done when the timer goes off.

Tools – Imagine trying to complete some complicated, intricate electrical wiring job, and you’re only tool is a hammer. Not likely to work out quite the way it was intended. Or suppose you’ve got some major financial analysis to perform – and your only tools are a No. 2 pencil and a large eraser. No calculator. No spreadsheet. No hope. Make sure your staff has the tools needed to get the job done.

Technique – every trade, profession or specialty has a body of knowledge associated with it that allows work to be performed more efficiently, more quickly, or more precisely, or deals with specialized ways to employ common tools used in the work. Make sure that those bits of specialized knowledge, the “techniques”, are imparted to your staff.

Talent – As Dirty Harry said, “A person’s gotta know his limitations.” Let’s say I’ve got a tin ear and couldn’t carry a tune in a wheelbarrow. The likelihood that I’m going to be successful as the baritone soloist in the church choir is pretty slim. Save the aggravation. Match the job to the employee’s skills, background and education.

Training – the “know how” for the task at hand. If this is absent, incomplete, or poorly done, “know how” become “no how”, and the job is not going to be done.

So why does all this matter? Simple. Anytime you’re faced with a performance problem, run through the “5 T’s” and make sure each one has been satisfied. See if there was ample time to do the work. Check to see whether or not the employee had the proper tools, and an appropriate understanding of the proper technique. Make sure there’s a proper talent match. And finally, look for confirmation that the employee’s been trained properly for the job.

When you’ve done that, you’re in position to determine what sort of performance problem you’ve been presented.

If you’ve gone through the “5 T’s” and find that one or more of them is missing or incomplete, you’ve got a “Can’t Do” situation. For example, it wouldn’t matter how well trained or talented someone is, or how well they know and can apply the techniques of the job using the correct tools if there was not enough time to get the work done.

You address a “Can’t Do” situation by satisfying the missing “T” and discussing it with the employee. This is NOT a punitive measure.

If, however, you’ve gone through the “5 T’s” analysis and you find that all are present and accounted for, you’ve got a “Won’t Do” situation – and that calls for an altogether different approach: Progressive Discipline. Contact Employee Relations and Training at 989-774-6447 if you find yourself in this situation.

Copyright 2003, K. J. Smart /Blue Eagle Partners, Inc.

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