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HIGH PERFORMANCE MANAGEMENT © RICHARD CHANG ASSOCIATES, INC. 1

UNIT 1PLANNING SUCCESSFUL EMPLOYEE PERFORMANCE

PLANNING SUCCESSFUL EMPLOYEE PERFORMANCE Planning employee performance provides you and your

organization more efficient and effective resource allocation, including time, talent, and money. • Expectations are clarified up front. • Stress and disappointments are reduced. • Problems are anticipated and avoided. • Unanticipated changes to priorities are better managed with the

bigger picture (of current commitments) in mind.

Performance plans can result in individual and organizational success, since they’re all directly linked to your shared priorities and targets. Yet, there are no guarantees. Your plans must influence your day-to-day operations, and vice versa.

Performance planning, therefore, is a continuous and dynamic process, not a static event!

Learning Objectives Upon completion of this unit, you will be able to:

1. Incorporate inputs (e.g., organizational, new requirements, current Position Descriptions, etc.) into Performance Plans

2. Draft Performance Plans (Position Descriptions, Individual Scorecards, and Performance Action Plans)

Agenda

Incorporating Inputs Into Individual Performance Plans Communicating Inputs To Organization Members Drafting Individual Performance Plans Finalizing Individual Performance Plans

You can’t coach and evaluate your

employees—describing that they are

on or off track—if you don’t have a track! Planning provides

the track.



Planning Successful Employee Performance (cont.) Performance Management Cycle

Planning is the first phase of a three-phase Performance Management Cycle. You cannot plan for individual performance adequately unless you have already established organization-wide objectives and tactics.

Performance Planning Model

Performance planning provides a step-by-step process for producing Individual Performance Plans, tying together individual and organization-wide performance targets. Follow this four-step model.

CommunicateInputs To

OrganizationMembers

Draft OrRevise

PerformancePlans

Finalize ThePerformance

Plans❷

❸

❹

IncorporateInputs IntoIndividual

PerformancePlans

❶

Individual Performance Plans

Individual Performance Plans consist of three major components: • Position Descriptions/Competency Models • Individual Scorecards (Performance Objectives, Action Steps,

and Results) • Performance Action Plans (for complex Performance

Objectives)



INCORPORATING INPUTS INTO INDIVIDUAL PERFORMANCE PLANS

IncorporateInputs IntoIndividual

PerformancePlans

❶

As you incorporate inputs into the Individual Performance Plan, you will collect vital information from four major input areas. 1. Your organization’s strategic and tactical business plans, and

scorecards or other measurement systems 2. Workgroup business objectives, tactics, and scorecards or other

measurement systems 3. New requirements and needs that affect your business (those

that will soon be included or reflected in your organization’s business plans) driven by new marketplace trends, technological advances, or competitive pressure

4. Recently completed Position Descriptions and performance evaluations

Linking Individual Performance Plans To Business Measures

You will get the biggest return from Individual Performance Plans if they are viewed as a critical element of the overall management system. These plans must connect individual performance to organization and workgroup objectives.

Organizations that effectively deploy and align strategic vision and plans, all the way from the top-level to the individual level, achieve superior business results.

This strategic visioning and linkage is best described in Performance Scorecards™—Measuring the Right Things in the Real World, by Richard Y. Chang and Mark W. Morgan.

Performance scorecards link business measures to business strategies and goals. And Individual Performance Plans need to be aligned and connected with them to successfully achieve business results.

The Performance Management Cycle provides the steps and tools to implement the final steps of linking measures throughout the organization to each individual employee.

NOTE: For additional information, see Performance Scorecards™—Measuring

The Right Things In The Real World, available from Richard Chang Associates, Inc.

Planning Successful Employee Performance Chapter Three



DRAFTING INDIVIDUAL PERFORMANCE PLANS

Draft OrRevise

PerformancePlans

❸

Individual Performance Plans should consist of three major components: 1. Position Descriptions/Competency Models 2. Individual Scorecards

• Individual Performance Objectives • Action Steps • Results

3. Performance Action Plans (for complex objectives)

1. Position Descriptions/ Competency Models

Position Descriptions and Competency Models define the general “playing field” for employees. They can apply to a specific position, job family, and/or job classification within the business unit, functional area, or team.

These typically include: • Key job responsibilities • Required skills • Performance measurements • Evaluation methods • Required education and experience

These items can be used as a foundation on which to coach and develop team member performance. It is also an excellent tool for recruiting, interviewing, selecting, orienting, succession planning, coaching, etc.

NOTE: If you do not have Position Descriptions or Competency Models available, contact your Human Resources department for consultation on drafting or revising these items.

You should have a Position Description, Competency Model, or job posting for each job family for all employees (direct reports) that report to you (e.g., several Accountants may share many of the same descriptions since the responsibilities, skills required, education/ experience, etc., are often similar or the same).

Planning Successful Employee Performance Chapter Five



Drafting Individual Performance Plans (cont.) 2. Individual

Scorecards Individual scorecards help to link individual performance to business unit, workgroup, and team scorecards. Individual scorecards describe conditions that will exist after work is performed. You should be able to quantitatively measure objectives and targets on the individual scorecard.

Each employee’s individual scorecard will have three main elements—Performance Objectives, Action Steps, and Results.

Individual Performance Objectives

Performance objectives should include identification of measures and targets. When completed, these form the basis for individual scorecards and development plans. Much like business unit and team objectives, individual performance objectives should be SMART.

Performance objectives are often “stretch” or “developmental” objectives. ! Stretch = Projects, often related to specific

organizational objectives, for employees (with complementing Position Descriptions) to complete in addition to regular job responsibilities as described in their Position Descriptions.

! Developmental = Projects, often challenging and complex, requiring employees to acquire new knowledge and skills to more successfully perform job responsibilities as listed in their Position Descriptions.

Managers and employees may be clearly in agreement on what they want done (Performance Objectives) but not necessarily on how to get it done (Performance Action Plans).

NOTE: If you are unfamiliar with scorecards or would like a quick refresher, see Pages R1–R6 for a brief description of scorecards and their linkage and alignment through the organization.

For a more detailed description of scorecards, read Performance Scorecards™—Measuring The Right Things In The Real World, available from Richard Chang Associates, Inc.

The five types of objectives are:

Financial—meets a defined financial target Project—completes a specific project Process—improves a specific process Business-As-Usual—improves regular performance Core Values—support your organization’s guiding principles

To: +

What: +

By: +

When: =

SMART Objective S pecific M easurable A greed-Upon R ealistic T ime-Bound


UNIT 2COACHING FOR PEAK EMPLOYEE PERFORMANCE

COACHING FOR PEAK EMPLOYEE PERFORMANCE Coaches are consummate observers and facilitators. They help

others perform better. In order to facilitate others’ work, a coach must: • Clearly understand the objectives and targets of the

organization • Ensure proper training of employees • Provide necessary resources and information • Know the personal communication preferences of each

employee • Give constructive feedback (that is not passion-draining) • Facilitate problem solving

Occasionally an employee’s performance may get off track for any number of reasons. They may lack the knowledge, competence, confidence, or commitment needed to proceed; or business goals may change. Whatever the reason, if you can effectively coach—you will be way ahead of the game. Coaching is not just correcting undesired behavior. Coaching is a way to support ongoing learning and development by reinforcing the desired behaviors through positive feedback and praise. Think of Coaching For Peak Employee Performance as an opportunity to affirm, communicate, and problem solve—a must for individuals at all levels in today’s competitive organization.


1. Monitor and diagnose performance improvement needs 2. Prepare for giving constructive and positive feedback to an employee

by completing a Feedback Planner 3. Share the constructive and positive feedback with an employee

Agenda

Monitoring Employee Performance Diagnosing Performance Improvement Requirements Determining Ways To Improve The Situation Sharing Both Positive And Constructive Feedback Sharing Feedback With Style Recognizing Winning Performance



Coaching For Peak Employee Performance (cont.)

Performance Management Cycle

Coaching is only part of the continuous cycle which employees in your organization can use to improve employee performance on the job.

Coaching Model A four-part model that is central to the responsibilities of day-to-day coaching follows:

DetermineWays To

Improve TheSituation

DiagnosePerformanceImprovementRequirements

MonitorEmployee

Performance

ShareConstructive

Feedback

These parts are not linear steps. Each part is dependent upon the development needs of your employees. For some employees, you will need to utilize all four components on a regular basis to stay on track. Eventually, you’ll find your peak performers implementing these elements for themselves.



SHARING BOTH POSITIVE AND CONSTRUCTIVE FEEDBACK

Positive And Constructive Feedback

Feedback can be either positive or constructive, but both types should strive to positively influence behavior and improve situations. Positive feedback is used to acknowledge or reinforce good performance. Constructive feedback provides valuable information to your employee about how to improve performance.

Too often we focus only on the constructive feedback and forget to provide the positive. Reinforcement is the key to establishing behaviors that you admire as the norm, and quite often, they may even be taken to a higher level of performance. Positive acknowledgement promotes workplace passion and encourages employees to achieve even more.

Providing feedback is frequently a challenge, providing constructive feedback can be a sensitive and challenging process. However, it’s one skill every effective coach needs to master.

Improving a situation by offering feedback to a “challenging” employee can be difficult. Don’t complicate matters by making judgments and mandates—two of the most common mistakes made.

MAKING JUDGMENTS IMPOSING MANDATES Avoiding Common Pitfalls

“You are a poor team player.” “You are disorganized.”

“You are rude.” “You have a bad attitude.”

“The next time, you should …” “Do this …”

“Don’t ever say …” “Stop …”

The greatest weakness of making judgments and imposing

mandates is that it doesn’t sell the receiver on the need for change.



Sharing Both Positive And Constructive Feedback (cont.) “Selling” The Need For Change

Remember, providing immediate and effective feedback (positive or constructive) can be a sensitive and challenging process! To properly apply good feedback techniques, it is important that you understand key elements of the feedback process.

The Feedback Planner can help you “sell” the need for change to improve a situation. It will assist you in helping employees understand the impacts and consequences of their current behaviors, and in addressing areas of needed improvement.

It can also help employees recognize that they are accountable for their behaviors and subsequent impacts (good and bad), and can choose to change their behaviors, the situation, etc., to achieve more desirable results.

Feedback Model FEEDBACK PLANNER PRIMARY COMMUNICATION STYLES

❑ Direct ❑ Friendly Name: Date:

❑ Analytical ❑ Stable

1. Describe Current Behaviors:

Be Specific With Behaviors Be Descriptive

Be Brief

Be Available And Open

Be Patient

Be Prompt

Be Sensitive To Time And Place

4. Identify Alternative Behaviors: Be Encouraging And Offer Ideas

Be Creative With Options

Be Part Of The Plan

Be Optimistic

2. Identify Situations: Be Factual With Examples

3. Describe Impacts And Consequences:Be Precise And Selective

Be Objective

Be Supportive

Sell The Need For Change

HIGH PERFORMANCE MANAGEMENT © RICHARD CHANG ASSOCIATES, INC. R9


Examples Of Completed Feedback Planners (cont.)

Inappropriate

“Joan, our weekly meetings can be a rambling and unfocused waste of time. Finger pointers have turned the meetings into witch hunts and gripe sessions. Occasionally, a shouting match erupts. Last week, our meeting ran on for three hours. Three people were late for other appointments!”

Appropriate

FEEDBACK PLANNER PRIMARY COMMUNICATION STYLES

❏ Direct ❏ Friendly Name: Joan Date: XX/XX

❏ Analytical ❏ Stable

1. Describe Current Behaviors: Joan, I’d like to talk with you about our team meetings. Currently, you’re juggling the load of meeting leader, facilitator, note taker, and participant. As you told me yesterday, your workload doesn’t allow you to do what you want to do—provide an agenda, keep our discussions focused, etc.

4. Identify Alternative Behaviors: These meetings should not be cancelled—they are necessary. We need to take better advantage of the time together. Could we rotate the roles of meeting leader, facilitator, note taker, and/or participant? A facilitator could set ground rules to manage our time, processes, and expected behaviors per the leader’s agenda. I can draft an agenda for your review before our next meeting. What do you think? What else can I do to help?

2. Identify Situations: In our last four meetings on [dates and times], several members were able to spend considerable time on personal issues without time constraints or team buy-in. We went over our allotted time. Sometimes our emotions got the best of us … [refers to the recent shouting match in the last meeting].

3. Describe Impacts And Consequences: Without an agreed-upon purpose, others can perceive some discussions as unfocused or inappropriate. Without the proper guidance and preparation, problem-solving efforts have covered old ground repeatedly. Some of us have missed critical information and opportunities. Unmanaged arguments have caused some of us to feel a sense of failure. Long meetings take us away from more pressing issues and appointments.

# $

%

✔


UNIT 3EVALUATING EMPLOYEE PERFORMANCE

EVALUATING EMPLOYEE PERFORMANCE Performance evaluations can be used effectively to recognize,

reward, develop, redirect, and document the performance of your employees.

Evaluating performance is not an event. It’s a process that includes up-front planning and regular maintenance.

Performance evaluation is only one part of the continuous cycle that leaders can use to manage individual and organizational performance at your organization.

The results that are confirmed in the performance evaluation start the planning process once again—as the manager and employee revisit workgroup priorities, set performance objectives, and develop action plans to achieve those objectives.


1. Gather and choose key performance data in preparation of individual and group performance evaluations

2. Confirm individual and workgroup results—evaluating cascaded alignment and achievement of objectives

3. Develop employees with on- and off-the-job options, ranging from corrective action to salary increases

Agenda Collect And Select Describe And Document Develop And Review Conduct And Summarize Corrective Actions



Evaluating Employee Performance (cont.) Performance Management Cycle

Evaluating is the third phase of the Performance Management Cycle, but it is not the last. Your employee’s performance evaluation becomes the basis for the next performance period.

Purpose Performance evaluation provides a way to describe how your employees have performed on the job, and how they can improve their performance in the future so that they, you, and your organization all benefit.

Types There are numerous times managers may participate in documenting past individual and organizational performance. Some types of performance evaluation follow:

1. Introductory 4. Corrective Action 2. Annual 5. Feedback Session 3. Special 6. Status Report

Benefits 1. Performance improves through redirection and/or reinforcement of behaviors—resulting in clearer direction, increased motivation, and higher quality results.

2. Stronger working relationships are built. 3. Roles, responsibilities, and expectations are clarified. 4. Plans are created to develop employee performance for current

and future responsibilities. 5. Historical documentation supports personnel decisions.



Evaluating Employee Performance (cont.)

Forms

There is no “perfect” form, but there are five essential components of performance evaluations:

1. Descriptions Of Performance 2. Comparison Of Performance To Performance Objectives 3. Areas For Growth 4. Development Actions 5. Expected Results

While it may seem odd at first, one of the simplest ways to document your employee’s performance, is to go back to the forms you completed in the Planning phase.

For example, the Individual Scorecard has a Results section that makes it easy for your employees to compare your description of their performance with their performance objectives for the year.

An additional form, such as the Employee Development Profile may then be used to document your employee’s areas for growth (complete with development actions and expected results).

Four Steps For Performance Evaluation

Four steps toward an effective performance evaluation are described in the model below:

Performance Evaluation Model

Optional components of the evaluation form include: • Traits • Organization Goals

And Values • Career Interests

And Plans • Employee Comments

1

COLLECT

AND

SELECT

2

DESCRIBE

AND

DOCUMENT

3

DEVELOP

AND

REVIEW

4CONDUCT

AND

SUMMARIZE

1

COLLECT

AND

SELECT

1

COLLECT

AND

SELECT

2

DESCRIBE

AND

DOCUMENT

3

DEVELOP

AND

REVIEW

4CONDUCT

AND

SUMMARIZE



Exercise # 1

STARTING YOUR COLLECTION

1. Focus on one employee’s performance evaluation. a. Check the sources on the following Performance Evaluation

Preparation Checklist you think will be most useful for an upcoming performance evaluation.

PERFORMANCE EVALUATION PREPARATION CHECKLIST

Consider using the sources below as you collect information for an upcoming employee performance evaluation.

❏ 1. Employee’s self-evaluation • Employees can be realistic about their strengths and weaknesses. Weigh the employee’s self-

assessment against other information. ❏ 2. Individual Performance Plan (i.e., Position Description/Competency Model, Individual Scorecard, and

Performance Action Plans). See the Planning Successful Employee Performance guidebook. ❏ 3. Current list of job assignments/projects ❏ 4. Observations of current performance

• Complete the Performance Evaluation Thought Jogger. • Collect Performance Progress Sheet(s) that were completed during the performance period (i.e., the

ongoing coaching notes or mid-year review notes). See the Coaching For Peak Employee Performance guidebook.

❏ 5. Strategic business plans (e.g., vision, mission, core values, strategies, measures, targets, action plans, etc.). These should be listed on the business unit/workgroup scorecards.

❏ 6. Project charts/schedules, activity/progress/status reports, and administrative memos and letters • These accessible documents may provide consistent detailed records of key employee and team

accomplishments, actions, events, and incidents. ❏ 7. Previous performance evaluations and scorecards

• Determine if last year’s performance expectations were met, and why or why not. Review other information for useful information and patterns. Don’t assume accuracy.

❏ 8. Customer Satisfaction surveys and other forms of feedback ❏ 9. Human Resources/Personnel files (employment-status changes, letters from internal/external

customers, etc.) ❏ 10. Feedback from others (e.g., former supervisors, coworkers, contractors, consultants, direct reports,

suppliers, and customers) • Weigh these views against other information. This information is useful if the employee worked a

portion of the review period under another supervisor, worked closely with employees in other functional areas, etc.

❏ 11. Changes that may have affected the employee’s performance: • Organizational • Staffing • Budget • Schedule • Facility • Market/competition

• Relationships with customers, suppliers, etc. • Departmental procedures • Company policy or business law • Critical personal incidents (w/caution!, e.g., “was on approved

LOA”)



DESCRIBE AND DOCUMENT

Tasks

◆ DESCRIBE PERFORMANCE WITH THE “WRITE STUFF.”

◆ CONNECT BEHAVIORS, IMPACTS, AND

EXAMPLES FOLLOWING THE “2.5 RULE.”

◆ FIT DESCRIPTIONS INTO YOUR FORM.

Complete Performance Appraisal With The “Write Stuff”

Describe your employees’ on-the-job performance and impacts clearly and accurately. Direct, accurate, and sincere feedback is appreciated.

Use the “Write Stuff”—valuable tips to help you write meaningful comments on your employees’ performance evaluations. 1. Use simple journalism. 2. Strive for accuracy. 3. Ensure consistency. 4. Maintain confidentiality. 5. Be direct, yet non-confrontational. 6. Avoid confusing words.

Evaluating Employee PerformancChapter Four

Tool

The “Write Stuff”

The “2.5 Rule”

2

DESCRIBE

AND

DOCUMENT

2

DESCRIBE

AND

DOCUMENT



Describe And Document (cont.)

Connect Behaviors, Impacts, And Examples Following The “2.5 Rule”

Now that you have collected and selected the data needed to impact your employee’s future performance, you need to be able to describe that data in a way that promotes understanding of the behavior, its impacts, and the need for improvement.

When drafting the impacts of the behavior, link the impacts to the achievement of the objectives from the employee’s individual scorecard. Remember, that you want to focus on the “20 percent” of your employee’s behaviors that affect “80 percent” of your employee’s results.

APPLYING THE “2.5 RULE”

Use a minimum of two and one-half sentences to describe any behavior (skill) or performance against goals.

1. Behavior

Clearly describe the behavior in succinct terms. (Use at least one full sentence.)

2. Impacts

Specifically explain the impacts of the behavior on your employee’s ability to meet their performance objectives. (Use at least one full sentence.) • Consider including three or more desirable, undesirable,

short and/or long-term impacts and consequences of this employee’s behavior.

• Consider impacts to the employee, you, your organization, customer, etc.

• This sentence will explain why this behavior is valued as an area of strength, or, why this behavior requires improvement.

(.5) Example(s)

Cite at least one to two specific and convincing examples of a project or situation where you observed this behavior as an “Area Of Strength” or an “Area Of Needed Improvement.” (Use a half-sentence—i.e., a phrase in parentheses.)



Exercise # 4

PROFILING YOUR GREATEST ASSETS

1. Complete the following Employee Development Profile for an

“Area Of Needed Improvement” for one of your employees.

EMPLOYEE DEVELOPMENT PROFILE EMPLOYEE:

TITLE: ORIGINATED:

ORGANIZATION:

MANAGER: REVISED:

AREA FOR GROWTH (FOLLOWING THE “2.5 RULE”) DEVELOPMENT ACTIONS EXPECTED RESULTS

1.

A.

A.

2.

B. B.

(.5)

C. C.

D. D.

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