Performance Management Guide

The planning process begins with the performance planning meeting. (Remember, once you complete the very first cycle of the performance management process, this meeting can be combined with the year-end performance evaluation meeting.) 

At the beginning of the performance cycle, the supervisor and employee meet to develop the employee’s work plan for the year. You can use the performance planning and evaluation form as the basis of your meeting agenda by reviewing each section.

What is a Performance Development Plan? 

A development plan is a planning tool that uses input from the supervisor and the employee to identify knowledge areas and skills that the employee needs to acquire or areas of performance that need to be strengthened. 

The purpose of the development plan is to enhance job performance and to facilitate professional growth. 

A development plan can be used in three ways: 

1. To acquire a new skill, ability or know-how needed by the department:
   • A current system is being upgraded to improve the department’s output.
   • A new piece of equipment is being introduced.
   • The direction of the department has changed or the department has acquired new responsibilities or areas that require employees also to change their direction.
   • The purpose is to help successful employees keep pace with whatever direction their position and department are going or may want to go to support their continued success.
2. To strengthen performance or improve a skill that does not meet position requirements:
   • Refine a required technical skill.
   • Strengthen a communication or interpersonal skill (such as making a verbal presentation or a written report).
   • Improve work results or style -- (accuracy or timeliness). The purpose is to improve performance up to a satisfactory level.
3. To prepare for a future goal or aspiration:
   • Learn a new skill.
   • Find out more about the University as a whole --its mission, goals and resources.
   • Create a career path that builds on current and developing skills and abilities.

The purpose here is to meet an individual’s need to change jobs and/or career direction. 

Not all of these areas may be worked on at the same time. The supervisor and employee may need to focus on certain areas during a given period of time. The key is to strike a balance between individual and departmental goals without risking one for the sake of the other. A development plan anticipates the skills/abilities needed to carry out work plan objectives and job responsibilities and sets forth how they will be learned. 

A development plan that is implemented successfully will benefit the individual, the department, and ultimately the University.

Before a meeting to discuss the development plan, the supervisor and employee should each consider the following questions: 

• What skills/abilities are needed to accomplish the work plan and/or current job responsibilities? 
• What are the employee’s personal expectations (goals and objectives), current and future? 
• What are the department’s needs, current and future? 

Discuss the Performance Development Plan 

The employee and supervisor meet to discuss perspectives and information regarding learning needs/goals. A development plan for the employee is then set for the upcoming year. 

Write the Performance Development Plan 

Agreement is reached with the completion of this discussion. The plan is written as part of the performance evaluation. 

Meet to Discuss Progress 

The employee and supervisor agree to meet regularly, formally and informally, to discuss how learning goals are being met and if any additional resources are needed. The supervisor facilitates the employee’s progress with appropriate motivation and coaching techniques. An essential part of the performance planning process is coming up with a development plan for each employee for the upcoming year. The development plan is created based on an analysis of the employee’s strengths and weaknesses exhibited during the previous year. 

Together, the supervisor and the employee can use this section to discuss development objectives for the year as a way to successfully achieve individual and departmental goals.

One of the key responsibilities of a supervisor is to manage the performance actions, behaviors and results of employeesthroughoutthe year. One of the ways this is done is through coaching. 

What is coaching? 

Coaching is: 

• Observing and monitoring performance throughout the year 
• Providing regular, timely constructive feedback, both positive and negative 
• Documenting performance, both positive and negative 

Tips on Observing Performance 

• Observe what? 
  Important job duties
  Productivity, not activity
  Performance, not personality
• Observe when?
  Regularly
  Special projects
  Critical incidents
• Observe how? 
  First-hand
  Review of work product
  Consult with others
  Balanced and fair

What is feedback? 

Feedback is giving timely and specific information about job performance based on recent experience or observations that include praise or constructive criticism. 

The feedback between supervisor and employee can be either formal (given in a scheduled meeting) or informal (in casual conversation). Employees are encouraged to ask for feedback from the supervisor and others. 

Advantages of continuous feedback: 

• It’s a powerful way of motivating people. 
• Giving feedback helps build relationships. 
• It improves efficiency in that through feedback there are opportunities to adjust goals leading to better results. 
• It provides documentation that helps identify employee strengths and manage their areas for improvement. 
• Timely feedback enhances results. 

All feedback is constructive. Positive feedback is just as important as negative. It can build the employee’s confidence, self-esteem, commitment, and loyalty.

The most common statement from employees when discussing non-monetary rewards and recognition is “a simple thank you from my boss would go a long way.” People want feedback – they especially want to be recognized and appreciated for a job well done. Similarly, supervisors also need to hear from their employees when they perform well. 

Find situations when there is an opportunity to give positive feedback (to an employee or supervisor) and make sure to follow through. If you are giving positive feedback, remember to choose a place and medium which are comfortable for the receiver. For example, some people are embarrassed by public acknowledgments and, therefore, might prefer a one-on-one thank you rather than an announcement in a department meeting. 

Tips and Techniques: 

If you are giving negative feedback, it should always: 

• Be private and confidential 
• Be immediate (the sooner the feedback, the more effective it is in influencing behavior) 
• Be specific, refer to specific behaviors and outcomes 
• Give feedback on performance, not personality 
• Include the opportunity to improve performance 
• Include something positive 

Steps to follow when delivering negative feedback: 

• Categorize and specify performance problem(s) 
• Listen and summarize employee response 
• Offer your view 
• Give examples of occasions where employee has demonstrated ability in this area (e.g., Employee has demonstrated a strength in meeting deadlines and keeping manager informed of project status on projects with a short turnaround time. Employee should be encouraged to apply the same methodology to longer term projects where there exists a weakness in meeting deadlines.)
• Specify appropriate performance 
• Review downside of no change 
• Develop goal and action plan

Reasons to Document Performance 

• To acknowledge good performance 
• To express concern with continued poor performance 
• To help in the coaching process of improving performance 
• To help in determining performance evaluation 
• To support performance ratings

The Importance of Documenting 

Documentation serves as a valuable resource during the Coaching and Evaluating phases. By documenting throughout the year, both an employee and a supervisor can rely on a written reference when completing the evaluation, rather than on just memory. Documentation, therefore, allows one to: 

• Offer a more objective and complete evaluation by minimizing the bias toward recent events 
• Save time during the evaluation by having a written reference 
• Support the feedback process by providing specific examples of performance 

Properly recorded documentation should be: 

• Timely 
• Specific 
• Based on performance - not personality 
• Related to performance standards and policies and procedures

Supervisors should consider using a standard form in order to keep documentation consistent. The Performance Notes Form (doc) is used to record information about an employee’s job performance in relation to a particular incident or performance exhibited over a period of time. The performance being documented can include incidents of outstanding or notably positive behavior or behavior which reflects poor or unsatisfactory performance. 

Documentation should be shared with the employee when recorded and/or during the evaluation meeting. 

As an employee, you will also want to maintain a record of your accomplishments to remind yourself and your supervisor of your performance during the year. You may want to keep a portfolio handy, in which you place reminders of your achievements, including such things as work samples, thank you letters, project results, etc. 

Needs Improvement or Unsatisfactory 

If you anticipate the performance evaluation will result in an assessment of Needs Improvement or Unsatisfactory, you should follow these steps: 

• Complete the Performance Planning and Evaluation form and a Performance Development Plan. Contact the Human Resources and Equal Opportunity & Outreach Office to discuss prior to conducting the performance conversation. 
• List the specific duties and responsibilities which are not being performed in an acceptable manner. 
• Note the actions that have been and will be taken to improve performance. 
• Schedule a regular series of one-on-one meetings to review progress. Determine what issues could be negatively impacting performance. 
• Continue in the progressive disciplinary process, noting that performance is unsatisfactory and must be improved or further discipline up to and including discharge may result according established guidelines. 

If you need more information or assistance with the progressive discipline process, contact your next level of management and/or Human Resources and Equal Opportunity & Outreach.

These are the university-wide behaviors and responsibilities from UMass Lowell’s Mission that all employees are expected to exhibit. The definition and examples described below are intended as guidelines for understanding the spirit of these performance factors.

Demonstrated Job Knowledge

Consider the following: Acquires and uses technical/professional/procedural knowledge, skills and judgment to accomplish a result or to serve one’s constituents effectively. Makes optimum use of resources (people, time and materials) to achieve goals and focuses on work activities that add value to the University. 

• Demonstrates the knowledge and skills required to perform the job, including administrative policies and procedures, technical and/or specialized knowledge/expertise and managerial/supervisory skills (if applicable). 
• Understands position goals, responsibilities, and expectations. 
• Demonstrates current knowledge of professional/technical developments related to position. 

Commitment and Accountability

Consider the following: Demonstrates the ability to make decisions authoritatively and wisely, renders judgments, takes actions or makes commitments, after adequately contemplating various available courses of action and the needs and values of others. Demonstrates a high level of dependability in all aspects of the job. 

• Demonstrates accountability in all work responsibilities. 
• Exercises sound and ethical judgment when acting on behalf of the University. 
• Exercises appropriate confidentiality in all aspects of work. 
• Shows commitment to work and to consequences of own actions. 

Communications

Consider the following: Consciously uses the sense of hearing, attending to and fully comprehending what others are saying. Acts in a way that indicates understanding and accurate interpretation of others’ concerns, motives, feelings, strengths and limitations. 

• Demonstrates the ability to express thoughts clearly, both orally and in writing. 
• Demonstrates effective listening skills. 
• Shares knowledge and information. 
• Asks questions and offers input for positive results. 

Motivation

Consider the following: Evaluates, selects and acts on various methods and strategies for solving problems and meeting objectives before being asked or required to do so; self-directed rather than passively complying with instructions or assignments. Generates novel and valuable ideas and uses these ideas to develop new or improved processes, methods, systems or services. 

• Shows initiative, anticipates needs and takes actions. 
• Demonstrates innovation, creativity and informed risk-taking. 
• Engages in problem-solving; suggests ways to improve performance and be more efficient. 
• Strives to achieve individual, unit, and University goals.

Collaboration

Consider the following: Willingly cooperates and works collaboratively toward solutions which generally benefit all involved parties; works cooperatively with others to accomplish University objectives. Understands the agendas and perspectives of others, recognizing and effectively balancing the interests and needs of one’s own work group with those of the University. 

• Establishes and builds working relationships to solve problems and achieve common goals. 
• Demonstrates sensitivity to the needs of others. 
• Offers assistance, support, and feedback to others. 
• Works effectively and cooperatively with others. 

Service-Orientation

Consider the following: Focuses one’s efforts on discovering and meeting the needs of faculty, staff, and other community members, etc., in a manner that provides satisfaction within the resources that can be made available. 

• Is approachable by and accessible to others. 
• Reaches out to be helpful in a timely and responsive manner. 
• Strives to satisfy one’s external and/or internal customers. 
• Is diplomatic, courteous, and welcoming. 
• Is responsive to requests. 

Adaptability

Consider the following: Changes behavioral style or method of approach when necessary to achieve a goal; adjusts style to needs of a situation. Responds to change with a positive attitude and a willingness to learn new ways to accomplish work and objectives. 

• Is flexible, open and receptive to new ideas and approaches. 
• Adapts to changing priorities, situations and demands. 
• Handles multiple tasks and priorities. 
• Modifies one’s preferred way of doing things. 

Inclusion

Consider the following: Creates an atmosphere of valuing and accepting others. Demonstrates respect for the opinions and ideas of others. Seeks the input of group members and encourages their participation. Shows respect for differences in backgrounds, lifestyles, viewpoints, and needs, with regard to ethnicity, gender, creed, and sexual orientation. 

• As a manager, is proactive in diversifying search committee and/or candidate pools, as applicable. 
• Promotes cooperation and a welcoming environment for all. 
• Works to understand the perspectives brought by all individuals. 
• Handles issues with sensitivity and provides genuine assistance, and confidentiality. 
• Pursues knowledge of diversity and inclusiveness. 

Self-Development

Consider the following: Keeps up-to-date on the professional/technical or procedural aspects of the job. Identifies and takes advantage of opportunities to acquire new skills, apply knowledge, and assist others in learning new ways to achieve goals. 

• Enhances personal knowledge, skills, and abilities. 
• Anticipates and adapts to technological advances needed. 
• Seeks opportunities for continuous learning. 
• Seeks and acts upon performance feedback.

The performance management cycle concludes (and the next begins) with the evaluation meeting. Keep in mind, however, that at any time during the year, the supervisor and/or the employee can request a meeting to discuss and review the employee’s performance to date. 

Since employees play an active role in planning and developing their performance, they should also be an integral part of the evaluation process and are expected to contribute to the evaluation discussion. 

The Supervisor’s Role 

To prepare for the evaluation meeting, as a supervisor you should: 

• Finalize the meeting date, time and place with your employee about two weeks ahead of the performance evaluation date. 
• Be sure to allow enough time for thorough discussion and to address employees’ questions/concerns. 
• Do not change the schedule or allow interruptions unless absolutely necessary. • Changing the date or attending to other business during an evaluation meeting sends a negative message to the employee that the evaluation meeting is not important. 
• Realize that not taking an employee’s performance evaluation seriously negatively impacts employee morale. 
• Provide the employee with a blank copy of the Performance Planning and Evaluation Form so he/she can prepare for the meeting. 
• Review and finalize the documentation in the employee’s file as well as any other relevant documentation. 
• Seek input from others. Remember, documentation can come from others - peers, students, subordinates, “customers,” etc. 
• Complete the evaluation form. 
• Determine the employee’s strengths and development needs. 
• Consider department goals and objectives for upcoming year and impact on expectations of employee. 

Additional questions to consider in preparing for performance evaluation conversations: 

1. What are some strengths demonstrated during the performance period. [Refer to any Performance Notes you took.] 
2. In what area(s) can performance be improved? 
3. Identify learning needs, skills or abilities to develop. 
4. Are there any barriers to effective work and/or job satisfaction? 
5. Are there procedures/tasks that can be improved? 

Why Supporting Statements? 

Statements supporting your rating in each category are encouraged. These statements can indicate the method used to validate the evaluation rating. Validation methods include observation, demonstration, and testing. Examples include: 

• Observation: “Review of 10 prospective student applications indicates that assessment of students is routinely done in timely manner.”
• Demonstration: “Mary has demonstrated to me that she is knowledgeable and competent in conducting interviews with prospective students.” 
• Testing: “John successfully completed the introductory spreadsheet course.” 

Supporting statements can also include constructive feedback and/or compliments. Examples: 

• “The training session which Mary led in June was well organized and comprehensive.” 
• “When under stress, John sometimes fails to communicate in a sensitive, caring manner. He needs to be more tactful in his approach at these times.” 

Now that you have gathered your thoughts and considered the employee’s performance you can begin completing the performance planning and evaluation form.

Supervisors may also be evaluated on additional skills, behaviors and responsibilities in managing their own and others’ work styles. 

Coaching

Consider the following: Works to improve the immediate performance of others and facilitates their skill development by providing clear, specific performance feedback, making or eliciting specific suggestions for improvement, in a manner that builds confidence and maintains self-esteem. Provides training and developmental opportunities. 

• Reinforces effective behaviors or results. 
• Clearly states actual performance compared to expected or desired performance. 
• Takes extra time to assist and provides specific, detailed follow-up. 
• Gives people assignments and training to develop their abilities. 

Leadership/Stewardship

Consider the following: Develops and uses effective strategies and interpersonal styles to influence and guide others toward the accomplishment of identified objectives and goals. 

• Seeks information and asks for suggestions. 
• Solicits the input of others who are affected by plans or actions. 
• Develops and uses positive approaches to influence others. 
• Actively promotes diversity and inclusion in the workforce and campus community. 

Performance Management

Consider the following: Participates in all aspects of the performance management program in a proactive and constructive manner, including conducting performance planning, coaching and evaluation sessions. 

• Completes thorough performance evaluations in a timely manner. 
• Encourages communication and participation in all aspects of the performance management program. 
• Provides resources and/or training for employees. 
• Demonstrates concern for treating people fairly. 

As an employee, you play a critical role in planning, developing and evaluating performance and have a responsibility to prepare for the evaluation meeting as well. To get ready, you should: 

• Review the Performance Planning and Evaluation form and be prepared to discuss:
  • Performance and behavior relative to the Performance Rating Categories. 
  • Achievement of your personal development plan. 
• Review and summarize your documentation. Determine strengths and development needs. 

The evaluation meeting is an opportunity for open, two-way communication, setting the stage for mutual agreement, problem solving and goal setting. 

This discussion is based on shared perspectives with the supervisor asking open-ended questions while listening to the employee’s issues, problems, and feelings. The purpose of a two-way conversation, with each side contributing his/her perspective, is to support the following outcomes: 

• To contribute to the success of the individual, department, and the University. 
• To add to the understanding of what needs to change. 
• To gain enthusiasm for the future. 
• To share an appreciation for the evaluation process. 

During the discussion, cite specific examples describing behavior to support each performance area. The examples include positive and successful contributions as well as difficulties. The meeting can be divided into two parts: 

1. Evaluating past performance 
2. Developing future performance (performance development plan)

The first part of the meeting should focus on evaluating the employee’s performance for the just completed evaluation period based on the nine Performance Rating Categories. 

Discuss the overall performance evaluation, identify strengths and weaknesses, and discuss development opportunities. 

If the supervisor and employee do not agree, the supervisor may agree to revise the evaluation based on the employee’s justification or documentation of performance. Try to reach an agreement. (If the supervisor has been coaching and providing feedback throughout the year, the supervisor should be able to avoid any disagreement or surprises.) 

If, however, an agreement cannot be reached, the supervisor must decide on the appropriate evaluation rating. The employee can write a rebuttal statement which will be attached to the evaluation and can refer the situation to the next level of management if he/she feels the evaluation is unfair or unjust. Although the Human Resources and Equal Opportunity & Outreach team is always available in an advisory capacity, every attempt should be made to resolve the disagreement within the department

The second part of the evaluation meeting is devoted to setting goals for future performance. 

The supervisor and the employee should use this meeting to prepare goals and a new personal development plan for the next year (refer to Prepare a Performance Development Plan).

At this point, not only have you completed the performance management cycle for the period just ending, but you have also begun the performance planning phase of the next cycle. 

What if the employee is not meeting standards at the time of the performance evaluation? 

In most instances, working with a poor performer throughout the year by providing feedback and discussing development needs, will result in successful performance. 

In some cases, coaching and feedback will not result in successful performance. The supervisor will need to create a performance development plan and use the progressive disciplinary process to document performance deficiencies.

Next Steps 

Once the supervisor and the employee complete the performance evaluation and have agreed to a professional development plan for the upcoming year: 

• The supervisor and the employee sign and date the form. 
• The supervisor will photocopy the professional development plan and give a copy to the employee and keep a copy in the employee’s file. 
• The supervisor will send the form to his/her department head for review. All forms will then be shared with the appropriate division manager before being sent to the Human Resources and Equal Opportunity & Outreach Department. 
• The supervisor will follow up on any of the suggestions or issues raised in the Employee Comments section.