Conducting Mid-Year Reviews HR Strategy & Accountability Division March 27 & 29, 2012.

Conducting Mid-Year Reviews

HR Strategy & Accountability Division

March 27 & 29, 2012

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Performance Culture Overview

Ongoing Feedback:

Improving Engagement

Identifying Opportunities to Provide Informal Feedback

Improving Employee Performance Through Effective Feedback

Managing Poor Performers

Mid-Year Reviews:

Preparing For & Conducting Reviews

Writing Performance Narratives

Recognizing Bias

Making Changes to a Plan & Documenting Reviews in EmpowHR

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Agenda

3Helping People Help the Land

Performance Culture Overview

Performance Culture is the strategic initiative that grounds employee performance in NRCS goals and objectives and improves motivation, accountability, and overall engagement of the workforce.

USDA Strategic Plan

NRCS Strategic Plan(Put Conservation on the Ground)

Performance Culture (Individual Performance; Recognition; Recruitment;

Development; etc.)

Increase Employee Intent to Stay

Improve Employee Motivation

Connect the Individual to NRCS and USDA (Increased discretionary effort)

Enhance the Understanding of Individual Accountability

Results in…


Performance Culture Overview (continued)

Performance culture is the complete lifecycle of performance – from planning, monitoring, and developing to rating and rewarding. Feedback and recognition are components of each lifecycle phase and result in increased motivation and accountability.

Phase Effects on Motivation Effects on Accountability

Plan(employee performance plan)

Connects individual goals and measures to organization objectives. Sets targets for success.

Clearly defines goals and objectives, and how success will be measured.

Monitor(ongoing - mid-year Review,

etc.)

Provides routine feedback and recognition related to performance.

Routinely identifies areas of success and areas for improvement.

Develop(ongoing)

Clearly outlines employee development needs to meet the performance objectives.

Outlines area for improvement and development and defines a clear path for success.

Rate(performance appraisal)

Formally documents performance against objectives.

Formally tracks employee performance to performance plan.

Reward(awards & recognition)

Rewards and recognizes employees on successes.

Rewards align to the levels of success determined in performance plans.

Plan

Monitor

DevelopRate

Reward

• Outcomes of a highly engaged workforce:– Employees who work 57% harder – Employees who are 9 times less likely to leave

• “Engagement” is the extent to which employees commit to something and how hard they work and long they stay as a result of that commitment

– Rational– Emotional

• Focuses through manager to:– Discretionary effort (Performance)– Intent to stay (Retention)

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Improving Engagement

Managers play the most important role in improving the engagement of employees – through direct one-on-one relationships with employees and as a conduit for reinforcing the organization’s strategic priorities, vision, and values.

Helping People Help the Land

• Drivers to improve engagement:– Provide fair and accurate informal feedback– Emphasize employee strengths in performance reviews– Clarify performance expectations leverage employee “fit” to the job– Provide solutions to day-to-day challenges– Amplify positive employee performance traits & filter negative effects– Connect employees with the organizations’ strategy & its success– Instill a performance culture of open communication, flexibility, and innovation– Connect employees with talented coworkers– Demonstrate a credible commitment to employee development

• Manager imperatives:– Focus on objectives over role definition– Differentiate recognition rather than praise everyone– Provide guidelines for innovation, not mandates– Reinforce organizational values over empathy

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Improving Engagement (continued)

Managers play the most important role in improving the engagement of employees – through direct one-on-one relationships with employees and as a conduit for reinforcing the organization’s strategic priorities, vision, and values.


• To ensure your feedback is timely, each day, ask yourself:

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Identifying Opportunities to Provide Informal Feedback

Managers who are likely to provide feedback proactively can impact employees’ performance 16% more than managers whose employees must seek out informal feedback.


Positive Feedback Opportunities Development Feedback Opportunities

Did any of my employees demonstrate improvement in a development area?

Did my employees go out of their way to support their teammates or other colleagues?

Did my employees demonstrate the organization’s values?

Did any of my employees go above and beyond what I asked of them?

Have I heard positive feedback from others about my direct reports?

Did I see opportunities for improvement in my employees’ work?

Did I see behaviors from my employees that reflect poorly on the team?

Did any of my employees fail to meet my expectations for their performance?

Are any of my employees struggling with a particular task or skill?

Have I received constructive feedback from others about my direct reports?

• Ensure the feedback you provide is:

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Improving Employee Performance Through Effective Feedback

Informal feedback is ongoing, in-the-moment development advice given by managers to employees outside of the formal performance review. Informal feedback that is fair and accurate can improve performance by up to 39%.


SpecificFeedback should reference specific actions the employee took or specific

pieces of their work.

TimelyGive feedback as soon as possible after

the action or event.

Proactive Provide feedback proactively, not just

when employees request it.

Relevant Feedback should help the employee do

their job better and be within the employee’s power to improve.

ConstructiveDevelopment feedback should be framed as an opportunity to improve performance rather than as a “weakness.”

Objective Feedback should be based on facts, not

beliefs, assumptions, or hearsay.

Avoid common mistakes:

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Improving Employee Performance Through Effective Feedback (continued)



Making AssumptionsFeedback should be limited to the employee’s behavior without making assumptions or interpreting the behavior as a sign of something else.

Example (Making Assumptions): “I’ve noticed that you don’t like doing administrative work.”Example (Observing Behavior): “I’ve noticed that recently you haven’t been submitting your administrative paperwork on time.”

Providing Vague Feedback When feedback is specific and detailed, employees are more likely to repeat desired behaviors or stop incorrect behaviors.

Example (Vague): “You’re doing a great job at being a team player.”Example (Detailed): “Thank you for volunteering to complete the project for Sandra while she was out sick last week. Your willingness to step up and help your colleagues when they need it makes you a great team player.”

Over-Emphasizing Development Feedback

Feedback should be provided on strengths as well as development areas.

Example (Focus on Development): John only provides feedback when he is correcting mistakes, adjusting behaviors, and addressing inefficiencies.Example (Balanced Feedback): Gary provides informal feedback on areas for improvement, but also provides feedback when he thinks his employees perform well, improve in a development area, or go above and beyond his expectations.

• Involve the employee in the feedback process – ask for their input

• Request feedback from employee’s customers, coworkers, other managers

• Combine both positive & constructive feedback – start with something positive

• Positive:– Be descriptive & objective– Tell the employee why you liked it and why it is important (“You solved that database migration problem very

quickly this morning. That really prevented disruptions to the systems’ operations.”)

• Constructive, describe:– Situation (“This morning, at the meeting…”)– Behavior (…you interrupted me several times…”)– Impact (“…these interruptions confused the staff…”)– Next steps (“..I’d like you to refrain from interrupting speakers…”)

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Improving Employee Performance Through Effective Feedback (continued)


1. Identify poor performers on your team

2. Provide tailored support

3. Maintain consistent & accurate documentation

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Managing Poor Performers

Studies show that as many as one in six employees are underperforming, so it is critical for you to take an active role in managing poor performance among your direct reports; as a manager you can help improve employee performance up to 25%.


Poor performers fail to perform their job at an acceptable level. These employees are not only less productive than their coworkers; they negatively affect their colleagues and the work

environment, hampering productivity and lowering morale.

Identify poor performers on your team

Use the following indicators to quickly identify poor performance, and distinguish from

misconduct:

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Managing Poor Performers (continued)

As a manager, the first step in handling poor performers is to identify any underperformers on your team. Any misconduct should be addressed appropriately. Human Resources should be consulted for advice and guidance. An employee’s inability to perform duties adequately requires feedback, counseling, and support.


Poor Performance Misconduct

• Failure to Meet Position Standards• Low Product Quality• Low Volume of Productivity

• Absenteeism• Disruptive or Argumentative Behavior• Customer Service Complaints

Provide tailored supportWhen an employee’s behavior indicates underperformance, you should identify areas of improvement

and provide support for improvement through a performance counseling session. During this session

you and your direct report should discuss the specifics of the situation, and you should be prepared to

provide resources to resolve the problem, as highlighted below.

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Managers should strive to give feedback as soon after the event as possible. Do not wait until the next scheduled check in or annual review to bring up any misconduct or underperformance. Delayed feedback may indicate that performance is not a high priority. After the initial conversation, schedule regular check ins to monitor improvement and map out next steps.


Manager’s Responsibilities Employee’s Responsibilities

• Communicate expectations of the position• Identify specific facts about the situation• Develop a specific action plan to correct the situation• Document counseling in writing

• Actively participate in counseling session• Assist in developing action plan• Prepare rebuttal session, if necessary

Maintain consistent & accurate documentation (example of a counseling session)

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Documentation of employee discipline is critical as it helps employees improve performance in the future and protects you and the agency from allegations of unfairness. As long as the employee has been on a performance plan for at least 90 calendar days, a supervisor can initiate a performance improvement plan (PIP) at any time that an employee’s performance is unsatisfactory. Any PIP should be provided during the rating cycle, prior to receipt of the rating of record. In addition to the PIP, it is important for the manager to create a written document of all poor performance discussions that are conducted with the employee.


• Reason for formal counseling• Required performance

standards• Actions to improve

performance• Development and trainings

offered

• Period for improvement and review dates • Consequences of continued underperformance• Agreement of record with signatures

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After reviewing the basics of what should be covered in a performance counseling session and a PIP, here are some phrases to help initiate and guide what can be an uncomfortable discussion on an employee’s underperformance. Scripting to Guide Difficult Conversations

• I’ve seen [issue] occurring in the office, and I’m wondering if you agree that I’m seeing the real issue at hand. • I want to help you succeed in the agency, and to succeed, [skill] is necessary.• I would like to see you try [activity/action] with the team.• I’m worried about this performance’s impact on the team’s result (e.g., timeline, morale, or project quality). • What support did you receive when [situation] helped you do your task well?• What was happening when [situation] made your job difficult? • When I first joined this agency, I struggled with [challenge]. I found that [action/situation] really helped me. Do you

think that would work well for you, or do you have any ideas about what might help this?• When you contribute [contribution], it [result (e.g., allows coworkers to do their jobs better)].

Be Fair and AccurateProvide Job Focused FeedbackProvide Specific and Targeted Feedback

Be TimelyProvide Feedback Relevant to the Employee’s Job Role

and LevelProvide Time for the Employee to React

The Basics


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After reviewing the basics of what should be covered in a performance counseling session and a PIP, here are some phrases to help initiate and guide what can be an uncomfortable discussion on an employee’s underperformance. Avoid Common Mistakes

Focusing on Weaknesses—Managers should frame skills not as weaknesses, but as obstacles the employee needs to overcome.

Talking too Much—Managers should allow employees to respond or refute to the feedback they are providing.

Providing Feedback in Front of Others—Managers should provide the feedback in a private, one-on-one setting.

Providing Unrelated Feedback—Managers should not provide feedback if they do not have proper knowledge about the employee or the particular project the employee worked on.

Focusing on Personality—Manager should not criticize the individual, and feedback should focus exclusively on performance, not the employee’s personality.


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Preparing For & Conducting Reviews

Employees report widespread dissatisfaction with their performance management programs. Managers often lack the confidence or knowledge required to deliver valuable feedback. If executed well, delivering performance review and focusing on the right type of feedback can impact employee performance by more than 25%.


Schedule Sufficient Time in a Private Setting

Schedule enough time to discuss the formal review and answer your direct report’s questions. All performance feedback should be conducted in a private, one-on-one setting without any interruptions.

Rehearse the Conversation Prior to the Meeting

Rehearse the conversation for a meaningful discussion, particularly for delivering development feedback. In addition, rehearsing helps ensure that you are confident and professional throughout, and do not appear to be anxious.

Provide the Employee with Performance Review Documentation

Offer a copy of the notes and online formal downward review to the employee and allow a few minutes to read the document before starting the conversation.

Begin with Strengths and Then Discuss Development Areas

Emphasis on strengths in formal reviews has the greatest potential impact (36%) on employee performance; consequently, managers should initiate the feedback with strengths, followed by development opportunities.

Focus on the employee’s behaviors, not his/her personality, while delivering development feedback. Emphasizing weaknesses can actually damage performance by 27%.

Focus Development Areas on Employee Behaviors, Not Personality Traits

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Preparing For & Conducting Reviews (continued)

Employees report widespread dissatisfaction with their performance management programs. Managers often lack the confidence or knowledge required to deliver valuable feedback. If executed well, delivering performance review and focusing on the right type of feedback can impact employee performance by more than 25%.


Provide Examples to Substantiate the Review

Validate your perspective with tangible examples. Focus on consistent behaviors and frequent incidents, rather than one-off examples of good or bad behavior.

Provide Suggestions for Performance Improvement

Accompany negative feedback with suggestions for doing the job better. Constructive comments on development and specific suggestions for improvement are clearly very valuable and have a potential impact of approximately 7% on performance.

Use Clear and Simple Words During the Discussion

Maintain a structured flow during the conversation and cover one topic at a time to ensure clarity. Include a short introduction, and avoid using jargon/obscure words to describe strengths and development areas.

Solicit the Employee’s Questions or Comments

Give the employee a few minutes to reflect on the feedback once you have delivered the review, and ask for questions or thoughts.

End the discussion on a positive note with a summary of the performance review. Schedule follow-up meetings to build the individual development plan (IDP) and monitor progress.

End on a Positive Note and Discuss Next Steps

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Managers must focus on delivering valuable feedback in a way that employees understand and accept willingly. To minimize negative employee reactions, it is essential that managers are mindful of the language they use while delivering feedback.


Use the term ‘development areas’ when providing negative feedback.

Use positive, empathetic sentences, such as “You are professional and diligent with project management, but your communication style is a bit formal and leads to fragmented teamwork.”

Be descriptive, for example, “Carrie, I thought the way you managed this was innovative and professional. I particularly liked the way you....“

Emphasize words of encouragement, for instance, “Overall, your analytical skills are improving steadily; moving forward I will provide you with more opportunities to develop this skill further.”

DO

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Managers must focus on delivering valuable feedback in a way that employees understand and accept willingly. To minimize negative employee reactions, it is essential that managers are mindful of the language they use while delivering feedback.


Use the words ‘weaknesses‘ and ‘poor performance.’

Employ extreme words, such as ‘always’ and ‘never.’

Include labels, such as ‘irresponsible,’ 'careless,’ and ‘awful.’

Make value judgments, such as ‘best,’ ‘bad,’ ‘incompetent.’

Compare peers, for example, “You are better than John at process management.”

Apologize after delivering negative feedback.

DON’T

Steps for Preparing For Progress Reviews

1. Review documentation you have about the employee’s performance

2. Compare current performance with expectations

3. Assess developmental opportunities

4. Help the employee prepare for the meeting

Steps for Conducting Progress Reviews

5. Open the Meeting

6. Discuss accomplishments and expectations

7. Close the meeting

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• Include examples of performance where appropriate• Be brief and specific, and use clear, concise statements or bullets• Avoid adjectives and adverbs that are not objective, and avoid writing in third person• Describe accomplishments with regard to quantity, quality, timeliness, and manner of

performance or other measure of performance• Use language that lay reviewers will understand versus highly technical language• Avoid statements that describe your personal beliefs or philosophies; focus on

specific challenges and results achieved• *Documentation for Employees that are Not Meeting Standards

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Writing Performance Narratives

The supervisor must prepare a written narrative outlining the employee's accomplishments for each element. The narrative should…


• Innovation in approach and results obtained

• Flexibility, adaptability, and resourcefulness, despite the presence of obstacles

• Program efficiencies or other measurable improvements gained that promoted effectiveness and mission achievement

• Favorable feedback and evaluations from customers, stakeholders, and others, including staff

• Flexibility and adaptability in responding to changing priorities

• Initiation of significant collaborations, alliances, and coalitions

• Invitations to serve on or lead workgroups, consortiums, etc., or other indicators of stature and expertise

• Accolades and recognition received

• Other indicators demonstrating excellence in meeting agency strategic initiatives and individual management and program outcomes that contributed to the success of program goals.

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Writing Performance Narratives (continued)

Narratives should address the breadth, scope, and/or impact of achievements, and can include items such as…


• Demonstrates good, sound performance that meets organizational goals

• All critical activities are generally completed in a timely manner and supervisor is kept informed of work issues, alterations and status.

• Effectively applies technical skills and organizational knowledge to get the job done.

• Successfully carries out regular duties while also handling any difficult special assignments.

• Plans and performs work according to organizational priorities and schedules.

• Communicates clearly and effectively.

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Writing Performance Narratives: Fully Successful


• Demonstrates particularly excellent performance that is of such high quality that organizational goals have been achieved that would not have been otherwise.

• Demonstrates mastery of technical skills and a thorough understanding of the mission of the organization and has a fundamental impact on the completion of program objectives.

• Exerts a major positive influence on management practices, operating procedures and/or program implementation, which contributes substantially to organizational growth and recognition.

• Plans for the unexpected and uses alternate ways of reaching goals. Difficult assignments are handled intelligently and effectively.

• Has produced an exceptional quantity of work, often ahead of established schedules and with little supervision.

• Oral and written communications are exceptionally clear and effective. • Improves cooperation among participants in the workplace and prevents

misunderstandings. • Complicated or controversial subjects are presented or explained effectively to a

variety of audiences so that desired outcomes are achieved.

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Writing Performance Narratives:Exceeds Fully Successful


• Performance is unsatisfactory.• The quality and quantity of work are not adequate for the position.• Work products do not meet the minimum requirements expected. • Demonstrates little or no contribution to organizational goals; • Failure to meet work objectives; • Inattention to organizational priorities and administrative requirements• Poor work habits resulting in missed deadlines and/or incomplete work products; • Strained work relationships• Failure to respond to client needs• Lack of response to supervisor’s corrective efforts.

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Writing Performance Narratives: Does Not Meet Fully Successful


• Judgment of Performance– Halo Effect (overrating in all because outstanding in one)– Horns Effect (underrating in all because struggling in one)– Contrast Effect (comparing to others)– Central Tendency Error (treating all the same)– Negative & Positive Skew (assessing too high/low)– Interpretation (opinion, not fact-based)

• Personal Preference or Style– First Impression Error (first impression distorts everything that follows)– Similar-to-me Effect (liking those who are like you)– Attribution Bias (failures are theirs; successes are someone else’s)– Stereotyping (generalizing across groups)

• Time Factors– Quick & Dirty Effect (assessing all the same to “get it over with”)– Recently Effect (most recent performance distorts everything before)– Time Delay (forgetting details)

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Recognizing Bias

Bias occurs when you allow your personal opinion of the employee to influence your decisions.Try to identify the cause or root of the bias and then address it. Common types of bias can begrouped into three broad categories - Bias based on judgment of performance, Bias based on personal preference or style, Bias based on time factors.


• Supervisor initiates– Manager Self Service – Performance - Performance Plan – Existing – (find & select plan) – Elements and Standards– Enter changes– Save

• The EmpowHR workflow process does not invoke if the plan has already been concurred with by the Reviewer

• Supervisor will need to advise employee to look at plan again

• Can do any number of changes to Plan

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Making Changes to a Plan in EmpowHR

If possible, any changes to a performance plan should be made before the Progress Review is entered.


• Supervisor initiates– Progress Review – New Review – (find & select plan) – Add– Enter Reviewer comments– Save

• Employee gets email– Progress Review – Review Period– Enter Employee comments– Viewed/Discussed or Refused– Save

• If employee made comments, Supervisor get email

• Can do any number of Progress Reviews

• Reviewing Official not involved

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Documenting Reviews in EmpowHR

A current performance plan must have been created by the Rating Official (supervisor) & concurred with by the Reviewing Official before a Progress Review can be done.


• When an employee changes position mid-year

– “Old” supervisor does an Interim Appraisal (a rating) & provides this to the “new” supervisor

– This fulfills the need for a formal Mid-Year Review by either the “old” or the “new” supervisor

– At end of year, “new” supervisor prepares Rating of Record, which is based on current performance plan but which covers the full year & takes into account all performance documentation available for the full year (including the “old” supervisor’s” Interim Appraisal)

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Position Changes During the Year

The objective is to capture the most complete picture possible of the employee’s performance over the entire year.


• OPM Performance website: http://www.opm.gov/perform/overview.asp

• NRCS People Share Point site:https://nrcs.sc.egov.usda.gov/multi/nrcspeople/Performance%20Management/Forms/AllItems.aspx?View=%7b206C40FF%2d9076%2d4AFA%2dA8B9%2d02EF2F4314E5%7d

• AgLearn – “USDA NRCS Giving and Receiving Feedback”, etc.

• Be creative …

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Resources Available


Understand the importance of performance management

Understand the importance of feedback, both formal & informal (improves

engagement)

Manage poor performers

Prepare properly for formal performance reviews

Prepare properly when writing performance narratives


Key Takeaways

Questions?

Comments?

Concerns?


Closing

THANK YOU FOR YOUR TIME!


Conducting Mid-Year Reviews HR Strategy & Accountability Division March 27 & 29, 2012.

Documents

employees performance

performance objectives

performance reviews

engagement of employees

performance narratives

performance plans

grounds employee performance

employees work