About Human Resources

Performance Management Tips

Tip #1: Linking Performance Objectives to Departmental Goals--March 2006

Performance appraisals on this campus have often been tied only to the merit increase cycle, which explains why thorough performance reviews may have been neglected during the years when no merit funding was provided. But there are good reasons to engage in the performance management cycle apart from determining a rating for merit increase decisions.

When employees understand how their individual work connects to the organizational and campus mission, they are motivated to perform at a higher level. When people know what is needed to succeed in meeting their objectives, we avoid surprises and misunderstandings. When you set objectives and check in on employees’ progress throughout the year, you have a chance to make adjustments before a problem reaches a crisis. Finally, you will have developed the habit of talking about performance – both good and bad – which makes the difficult conversations easier.

This performance management tip is designed to address the first benefit of performance management– tying individual objectives to department and institutional goals. The connection is sometimes unclear, depending on the level of the position. Here is an example that may help:

The chair and manager in Department A have identified increasing staff time available for student support as a critical goal for the year. Enrollment has increased in the past couple of years, the department has lost critical staff members, and the students’ waiting time for counseling appointments is too long. The payroll assistant doesn’t work directly with students, so how can you craft a performance objective for this employee that would support the department’s goal?

One possibility is an objective for this employee to work with other staff on streamlining the internal payroll procedures. The outcomes of a more efficient process would include other staff members having a better understanding of required documentation, leading to quicker turnarounds and fewer errors. The staff who work with students would spend less time re-submitting payroll information and the payroll assistant would have more time to learn new and interesting departmental activities. The department’s goal of increasing student support time has been supported, and the streamlined process has reduced the frustration level of everyone involved.

Your Human Resources Manager or Employee Relations Specialist in OHR can help you develop objectives that align individuals’ work to department goals. The benefits are clear, and once you start, you will find it is worth the time you invest.

Tip #2: Communication Tips for the Check-in Phase--April 2006

Once you have established performance objectives, supervisors should check in regularly with employees to discuss the progress toward meeting those objectives. (See Tip #1 at http://hrweb.berkeley.edu/perfmgt/perfmgttips.htm for help with setting objectives.)

Checking in gives you a chance to:

Provide Feedback: Coach the employee based on your observations of successes and areas for improvement.
Course Correct: Make sure the employee’s objectives are still the most appropriate ones, in case your departmental priorities have changed.
Allocate Resources: You can also make sure the employee has the resources needed to meet those objectives – something you might not have been able to determine in advance.
Remove Barriers: If your employee is encountering barriers, you can talk about solutions and learn what you can do to help the employee achieve success.

Here are a few tips to help you approach the check-in conversation. You can find more information at http://hrweb.berkeley.edu/perfmgt/perfmgtindex.htm.

Listening
An important ingredient in good communication is listening. Your goal as a listener is to fully understand your employee's experience and point of view.

Use non-verbal communication. Be aware of what you communicate with your body; your posture and expressions can convey your attitudes before you say one word. Use body language to show the speaker that you are engaged in the conversation and open to hearing.
Empathize: Put yourself in the employee’s place and try to understand.
Recognize your own feelings and reactions. Be aware of any assumptions you might be making.
Don't interrupt: Think carefully before you speak and hold off making judgments until the employee is finished.

Responding
After you have listened and really heard, respond by conveying your interest and respect:

Validate: Acknowledge that the employee’s point of view is valid, regardless of whether you would feel the same way.
Clarify: If needed, ask questions to get more information about the problem.
Summarize: Paraphrase the main points you heard so you can be sure you understand all the issues.
Confirm: When the check-in conversation is finished, you and your employee should be in agreement about his or her progress, next steps you will both take, and when you will check in again.

Tip #3: Coaching for Performance--June 2006

This is the third in a series of follow-up tips to supplement the Performance Management Toolkit. Now that you are part way through the performance management cycle, you may encounter opportunities to provide coaching to your employees. For example, you might want to give positive reinforcement for a behavior you’d like the employee to continue, or you might need to discuss a specific behavior that needs improvement. Perhaps the employee has a new assignment that calls for a new skill, or maybe you just want to check on the employee’s progress toward objectives that you established earlier.

Coaching differs from a performance assessment discussion, because coaching generally focuses on one or two specific issues rather than the whole range of objectives and performance.

Here are some guidelines for coaching. You can find more information on the performance management website at http://hrweb.berkeley.edu/perfmgt/perfmgtphase2.htm.

Coaching should be a conversation about behavior, not about the person. Particularly when you are discussing a behavior that the employee should stop, or an assignment that was not completed successfully, describe it in terms of what happened, not the employee’s personality. Talk about what you (or others) observed.
Ask questions. Ask how the employee experienced the issue. If you are coaching on a successful behavior, ask what contributed to success. If you are talking about a negative behavior or event, ask whether the employee shares your impression. Ask how a positive behavior can be increased or repeated or how a negative behavior can be avoided in the future.
Express your confidence that the employee can succeed.
Stay respectful and supportive, and practice active listening.
Agree on a plan for improvement and a specific time to check in again.

According to columnist Paul B. Brown of the New York Times, a recently published management guide* summarizes coaching in this four-step process.

Acknowledge the truth. Whatever the situation, have everyone agree on the reality. If an employee missed a deadline on a report, it is important that the person agrees that it happened. Don't start talking about reasons or causes until you have consensus on the facts.

Analyze what happened. Try to understand what led to a problem or a success. Ask questions like: What decisions did you make? ("I took on too much work.") What were the consequences? ("I missed the deadline.")

Walk away with an action plan. The conversation should end with the employee saying something like, "From now on I will do this" or "I won't do that again."

Create a feedback system. Follow-up work will probably be required; make sure you follow through.

*"The Managerial Moment of Truth" (Free Press, $22), Bruce Bodaken, chairman and chief executive of Blue Shield of California, and Robert Fritz, a founder of the consulting firm Innovation Associates.

Tip #4: Preparing for the Appraisal – August 2006

Each August many campus departments complete formal performance appraisals for staff activities of the prior year. (In general, the University requires that supervisors conduct a performance appraisal of each employee, in writing, at least annually.)

The appraisal is a communication tool between supervisor and employee, looking at specific areas, objectives, and standards of performance. To be most effective, this should be one conversation out of several between supervisor and employee during the year—both can learn from this interaction.

You can help your employees prepare by sharing these tips -- after all, supervisors receive appraisals from their managers as well. You can find more information about preparing for and conducting performance appraisals at http://hrweb.berkeley.edu/perfmgt/perfmgtaddlresources.htm.

Preparing for the appraisal: Tips for supervisors

Set a date and time in advance that is convenient for both of you, in a location where you won’t be interrupted.
Allow enough lead time to gather and review the job description and standards, goals set in prior discussions, feedback from customers or colleagues, the previous appraisal, and any other needed information.
If you ask the employee for a self-appraisal, review it as part of your preparation.

Preparing for the appraisal: Tips for employees

Make sure you know the date, time, and location of the appraisal far enough in advance so you can prepare.
Gather your job description and any written performance standards, goals you have discussed with your supervisor in the past, and any other notes related to your performance.
Write down your thoughts about your accomplishments over the past year, where you think you could improve, what you would like to achieve in the year ahead, your learning and career goals, and what you need to do a better job, such as training or materials. Be as objective, specific, and realistic as possible.

Tip #5: Recognition – September 2006

With a Berkeley Campus Spot Award Program beginning this fall and the annual performance management cycle nearly here, supervisors may be thinking about different kinds of rewards and recognition. What is the difference between giving spot awards and determining annual salary increases based on performance ratings? How do I know what kind of recognition my employees really want?

UC and the Berkeley campus offer a wide range of recognition options, from pins for years of service to annual recognition luncheons, merit-based pay programs to spot awards, and retirement gifts to celebrations when projects are completed. Many departments and supervisors have developed their own recognition programs as well, and as any employee will confirm, a simple, sincere “thank you” can also feel like a reward.

Spot Awards and Performance Appraisals
Spot awards, like those in the new campus program, are a way to give just-in-time recognition when someone performs exceptionally well in a single event, action, occasion, or project. Spot awards give quick feedback that reinforces a particular behavior.

Salary decisions in the annual merit cycle are based on performance over the whole cycle, meeting objectives you’ve set and supporting the performance expectations. Ideally, the performance appraisal discussion contains no surprises because you’ve been checking in with the employee during the year.

Not one-size-fits-all
These are only two forms of recognition in your toolkit. Staff members want to make a contribution, and they want their contributions to be noticed and valued. As a supervisor, you can learn what kind of reward motivates each person by talking to them. For one employee, it might be a public ceremony, while another employee may feel embarrassed by such events. Another employee might like to have more of your time for coaching or mentoring. Get to know your employees and use the full array of recognition opportunities available to you.

If you have questions about guidelines or policies for recognition, or you are interested in ideas that have proven successful on the campus, check the Human Resources website at http://hrweb.berkeley.edu/manage/rropen.htm or talk with your Employee Relations or Compensation Specialist.

Tip #6: Performance Development – November 2006

Managers and supervisors play a critical role in developing employees to meet the future needs of the campus and their departments. An additional benefit to performance development is the satisfaction many employees feel when they receive guidance in their professional growth.

You can support the campus’s need for a well-prepared, agile workforce by engaging in development planning with your staff members. As the university prepares for the retirement of large numbers of staff employees over the next 5-10 years, there is some urgency to identifying and developing those employees with the potential to assume higher levels of responsibility. You have just finished an annual performance assessment – now is the best time to begin.

Plans for team learning
In thinking about last year’s goals and the progress your unit has made toward reaching them, you have probably identified areas for individual and organizational improvement. Here are some questions to ask yourself as you think about development for the year ahead:

How satisfied am I with the level of performance our department has achieved?
What skills and knowledge would help us reach our goals for the coming year?
What vacancies might we have due to retirements in the next 5-10 years? OR, Where would cross-training be beneficial?
How can I help transfer knowledge from employees who are leaving to others in the department who may assume their duties?
What opportunities do I see for cross-training and knowledge sharing?
What actions can I take to develop individual employees to increase learning within the department?

Plans for individual learning
In addition to thinking about the learning needs of your department as a whole, you can encourage each employee to set individual development goals that are consistent with your department or unit goals. You and the employee can follow up on the performance evaluation by discussing the skills and knowledge that are needed to be successful in the current job and skills that can be helpful to future career growth.

In your discussion, you may want to consider the following competency clusters which are in high demand in many jobs. In 2006-7, new training will be offered in these areas.

Problem-solving (critical thinking and problem-solving, priority setting and time management)
Interpersonal Effectiveness (effective communication, multicultural competence, working collaboratively)
Business Applications (project management, managing financial resources, customer service orientation)

Managers have a responsibility to help employees improve their performance in their current job and develop talents that the university will need in the future. When you did the performance evaluation, you identified competencies that are most helpful for the current job. Now you may want to ask yourself:

Which of these competencies does this employee need to develop this year?
What types of developmental activities should I ask the employee to take advantage of? (e.g., special projects, personal reading and research, coaching from supervisor or a colleague, specific training classes, etc.)
What action(s) could be taken this year to help this employee gain a better understanding of the university, or the unit/division/department goals that apply to his or her job?

The university strongly encourages you to include an annual development plan as part of the performance evaluation process. The CareerPlace website offers several tools that can help you and your employees with development planning, including a form for completing an Individual Development Plan (IDP).

Career Place IDP link: http://thecareerplace.berkeley.edu
Knowledge transfer materials including models and examples: http://www.ucop.edu/cucsa/documents/CUCSA-KnowledgeManagementFinalReport9-06.pdf

In November and December, the Center for Workforce Development and Human Resources will be gathering information from campus managers about the development needs identified during reviews of last year’s performance. This information will help us select training programs for the coming year.