College of Arts & Science Performance Review Cycle March 2009

Transcription

1 College of Arts & Science Performance Review Cycle March Introduction 2. Job Profiles 3. Performance Reviews and Performance Feedback a) Definition of Performance Reviews b) Purpose of Performance Reviews c) What a Performance Review isn t d) Performance Feedback Defined e) Constructive Feedback f) Why Regular Performance Feedback is Crucial 4. Conducting Performance Reviews (ASPA) a) Summary Procedures for Conducting the Annual Performance Review b) Detailed Procedures for the Annual Performance Review c) Tips for Conducting a Better Performance Review d) Biggest Mistakes Managers Make in Performance Meetings e) Additional Resources f) ASPA Performance Feedback and Development Form 5. Guidelines for Giving Feedback a) Giving Constructive Feedback b) Qualities of Effective Feedback c) Tips for Giving Constructive Feedback d) Additional Resources 6. Guidelines for Receiving Feedback a) Guidelines for Receiving Feedback b) Additional Resources 7. Communication Rules a) Basic Communication Rules for Difficult Performance Review Sessions b) Key Characteristics of Supportive Communication c) Ways to Communicate Clearly to Avoid Misunderstanding 8. Additional Resources (Books, Courses, Articles) Appendices

2 1. INTRODUCTION Performance Review Cycle and the Performance Framework The Performance Review Cycle assists in building a culture of high performance. It begins with the development, or review, of a Job Profile, continues with the utilization of the job profile for Selection purposes, for conducting Performance Reviews and Performance Feedback and for developing individual Development Plans, to giving Rewards and Recognitions (for ASPA only) and back to the review of Job profiles for Performance Review time the beginning of the cycle again. The Performance Framework is the framework utilized for the assessment of employees performance within the Performance Review cycle and is designed to support development. It is comprised of two components, Accountabilities (expected outcomes) and Competencies (expected behaviours). Utilizing this framework will assess if the employee is meeting expectations and where development/learning programs may be needed (See insert of picture) Performance Framework LOW Accountabilities HIGH (What) Developing Competencies Strong Performance Exceeding Expectations Developing Accountabilities LOW Competencies HIGH (How) Accountabilities describe expected results and outcomes for a specific job; they describe what outcome is expected and the impact of that outcome on the Unit / Department / Division / College. Competencies are demonstrated behaviours and skills; the manner or style in which a staff member performs their work; they describe how a staff member does his/her work. This process enables the assessment of performance using a performance framework and is designed to support development. The Performance Framework also underlies the five University-wide people strategies in the 2008 University Strategic Plan; Develop, or developing employees, is one of these strategies. Develop focuses on supporting growth in people s effectiveness and competence to do the right things.

3 Resources are being made available to assist managers, supervisors and department heads utilize the performance framework (for ASPA), in support of the delivery of effective performance reviews in support of the development of your employees. The Performance Review Cycle starts with a Job profile. To give effective feedback, the person must know what their job is. Fundamental to a good employment relationship is that a person knows what is expected of them in their job so they can be fully engaged in their work and reach their full potential. Employees usually understand the terms and conditions of employment in terms of pay and benefits, etc.; however, they are often less clear about what is expected from them on the job. Therefore, job profiles must be developed for each employee. The College Workplace Review, conducted in 2007, found that some staff had confusions over priorities and what they were expected to achieve. Role clarity was therefore missing. The development of job profiles for all staff was recommended to address these findings. Performance Reviews and Performance Feedback Having a performance review system in place is important for a number of reasons: Performance reviews are an opportunity for reviewing of performance expectations to support development. Performance reviews help identify training and development needs. Performance reviews provide a venue for ongoing proactive planning for the year ahead and for setting of goals Performance Reviews are not tied to merit. Performance reviews and merit are two separate processes. Performance reviews are meant for employee development while merit is to award staff for their growth in their accountabilities and competencies. CUPE employees do not have a merit system/process. A shift in culture from giving feedback to only supporting merit to supporting development has occurred. Effective feedback should focus on development - supporting growth in people s effectiveness and competence to do the right things.

4 Performance reviews therefore are a means to ensure objective feedback, which supports development, takes place. These also will provide a venue to ensure development plans are in place to address gaps of the individual, as identified in the Performance Review. Therefore resources (and links to other resources) to assist staff/managers develop job profiles, conduct performance reviews, and specifically, to assist staff in giving and receiving feedback in support of ongoing development and the success of direct reports are provided in this document. These guidelines, information/tools and other resources are provided to ensure effective management of the Performance Review Cycle and the Performance Framework by: Ensuring all staff have job profiles Ensuring an effective performance review system and well-defined process is in place which includes ensuring a consistent approach is followed for conducting performance reviews Building the capacity and knowledge of staff/managers to effectively conduct performance review meetings Ensuring effective feedback is provided for development purposes - to support the growth in people s effectiveness and competence, a University-wide people strategy. Note: Recommendations of the College Workplace Review also included the development and implementations of a consistent performance management system for CUPE 1975 where currently no guidelines or systems are established. Information will be available on this in the near future.

5 2. JOB PROFILES Fundamental to a good employment relationship is that a person knows what is expected of them in their job so they can be fully engaged in their work and reach their full potential. Prior to conducting performance reviews or giving informal performance feedback, employees need to know what is expected of them in their job. Employees usually understand the terms and conditions of employment in terms of pay and benefits, etc.; however, they are often less clear about what is expected from them on the job. Job Profiles, and specifically accountability statements, are therefore needed. Accountability statements within job profiles define the fundamental expectations and the scope of the person s role with in the work unit and what the person is expected to achieve, which is fully and completely their responsibility. They describe what outcome or result is expected The development (or review of) Job Profiles are the first step in the Performance Review cycle. These are used not only to ensure the employee knows what their job is, but also and just importantly, for staff recruitment and selection; training and development; and performance management. The development of job profiles for all College staff was discussed in the College Workplace Review under the theme of Workload and Duplication of Duties: 2a) Standardizing Job Profiles It is important for the College to address the current lack of clarity surrounding the responsibilities and reporting relationships faced by employees. The College must ensure that all people are primarily working on projects and performing duties that relate to their job profile. The following recommendations were developed: Develop concise, meaningful, standardized job profiles for staff that align with the family/phase parameters in each bargaining unit and meet the strategic needs of each department. Incorporate clear knowledge and skill requirements into the job profiles for all CUPE, ASPA and other non-academic positions. Provide templates and information sessions for staff to draft their profiles (College HR advisor in consultation with Central HR) Developing Job Profiles As per the recommendations above, Job Profiles are required for all College staff.

6 It is recommended that employees begin the process by drafting their own profiles, in consultation with their supervisor or Department Head, as they are in the best position to prepare the initial draft Final version must be signed off by both the staff member and their supervisor Templates and samples, for both ASPA and CUPE 1975 employees, are available on PAWS to assist you and your staff The College HR Advisor is also available for assistance and, for 2009, will be providing drop-in sessions for your employees to give feedback and direction. Job profiles should be submitted to Barb Gillis, Director of Finance and Administration by at For 2009, the initial year of this recommendation, the deadline is June 30, For new positions, this will be a step in the recruitment process a copy of the job profile will be required by April 30 of the following year of the start of a new position (if not fully developed at recruitment time). Positions can be reviewed, if requested, to ensure that positions are correctly classified as per employees' current accountabilities. These profiles, reviewed yearly, should be used for staff recruitment and selection; training and development; and performance management (for ASPA - the Accountabilities are placed and assessed in staff s Performance Feedback and Development forms).

7 3. PERFORMANCE REVIEWS AND PERFORMANCE FEEDBACK The Annual Performance Review process provides a vital link between the Colleges and University s strategic plan, its vision and guiding principles, and the individual. It will also ensure that goals and objectives flow from the strategic plans to the personal objectives of each individual. And, as discussed earlier, they are an integral step in the Performance Review Cycle. The purpose of the guidelines and forms for conducting Performance Reviews are to ensure that a consistent approach is followed for conducting Annual Performance Reviews and that job-related skills and knowledge, and employee competencies and accountabilities are evaluated and where the employee is not meeting expectations, development plans are put in place. A properly prepared review form that includes appropriate and valid competencies for measuring employee performance is essential for an effective performance review. Workplace Review Through the College Workplace Review, conducted in 2007, it was determined that employees are lacking clear expectations and stated goals. It was recommended that the College strive to provide employees with these. Also discussed was training: training opportunities to employees in various sectors in order to help them understand their job profile and achieve set objectives are also required. An effective performance review system includes: Clearly defined goals that relate back to organizational goals are included in an effective Performance Review system The establishment of a development plan, including training that may be needed to address what skills, knowledge are required to achieve set objectives. Specific recommendations discussed in the Workplace Review included: Individual goal/objective setting at performance review time. Having periodic discussions about goal achievement is central to a high performance, high accountability culture. Identifying training needs of individual staff members and developing a plan for remedial action that foster improvements. The development and implementation of a consistent performance management system for CUPE 1975 where currently no guidelines or systems are established.

8 a) Definition of Performance Reviews Performance Reviews are an assessment of employee s performance to see if they are meeting expectations and where learning and development may be needed. They are also: a way to increase communication and respect between the supervisor and the employee; reviewing performance provides a critical feedback mechanism for employees and a chance for managers and employees to share valuable information; a means of problem-solving to encourage an employee s development and productivity; and a formal record of the manager s opinion of the quality of the employee s work. b) Purpose of Performance Reviews The two main purposes of a Performance Review are: to help people understand where they stand in relation to expected and/or productive job performance and behavior, and development. The goal in a performance review is to gain the employees understanding re your expectations. They tell the employee how they did and provide the opportunity for discussing their achievements and most importantly, allow for the building of a development plan, supporting the growth in their effectiveness and competence. A performance review system is therefore important in identifying training and development needs. Development A shift in culture from giving feedback to only supporting merit to supporting development has occurred. Develop is one of the University-wide people strategies or strategic initiatives. Effective feedback should focus on development - supporting growth in people s effectiveness and competence to do the right things. Performance reviews therefore ensure a venue for providing objective feedback which can support development. These also will provide a venue to ensure plans, including training, are in place to address gaps in skills, knowledge, or competencies of the individual. Planning/Goal Setting Performance Reviews set the stage for a new planning session to begin.

9 They provide a venue for ongoing proactive planning for the year ahead and for setting of goals. Discussed further in section f), holding discussions about goal setting and achievement is central to a high performance, high accountability culture. Are not tied to merit Performance reviews and merit are two separate processes. Performance reviews are meant for employee development while merit is to award staff for their growth in their accountabilities and competencies. CUPE 1975 employees do not have a merit system. In summary, Performance Reviews and providing effective feedback are about: getting people to their goals and to exceeding expectations opportunities for learning motivation development to ensure the person is successful supporting performance - enabling employees to perform their work as efficiently and accurately as possible. c) What a Performance Review isn t It is not about disciplinary action: serious performance deficits must be dealt with outside the context of performance reviews. It is not about serious personal problems which are affecting work performance. These issues must also be dealt with outside the context of performance reviews. There are separate processes for dealing with these actions. Your HR Advisor should be contacted for assistance. d) Performance Feedback Defined Performance feedback, delivered as part of your performance review discussion or in other informal opportunities, is about assessing individual performance to determine if: performance expectations are being met and results are being achieved. e) Constructive Feedback Constructive feedback is information-specific, issue-focused, and based on observations. It comes in two varieties: Positive and Negative. Its goal is to improve the current situation or performance its goal is never to criticize or offend.

10 The main purpose of constructive feedback is to help people understand where they stand in relation to expected and /or productive behavior. Constructive feedback alerts an employee to an area in which his performance could improve. Constructive feedback is not criticism; it is descriptive and should always be directed to the action, not the person. Positive feedback is news or input to an employee about an effort well done. It involves telling someone about good performance. This feedback should be timely, specific, and frequent and is valuable for sustaining appropriate performance and motivation (as discussed further below). Negative feedback is news to an employee about an effort that needs improvement. f) Regular Performance Feedback is Crucial Good management is not only the fit of identifying talent, but the art of selective recognition of strengths and weaknesses, and the proper encouragement of the best in any man or woman. Giving performance feedback once a year, at performance review time, is not sufficient. For Reinforcing Performance and Sustaining Motivation Regular Performance Feedback is essential for reinforcing appropriate performance and sustaining motivation. How often should your employees receive constructive feedback on their performance? Employees performing their work as efficiently and accurately as possible can only be accomplished if the manager remains in regular, constructive contact with each employee. Formal performance evaluations provide valuable feedback on performance, but they happen only once each year. Hearing how an employee is doing only once a year is insufficient to sustain motivation in most employees. Therefore, constructive feedback must be used regularly, more than once or twice a year, to acknowledge real performance. Try to catch and respond to employees doing the job right just as much as you catch and respond to them doing something not quite right and don t acknowledge how they are performing only once or twice a year. Even for the employees who always do a decent job and simply chug along without causing problems, regular performance feedback has an important objective: to ensure that they continue in this satisfactory fashion.

11 For Goal Achievement Regular performance discussions are also important for goal achievement. Having periodic discussions about goal achievement is central to a high performance, high accountability culture. These discussions are important to helping employees achieve their own goals and dreams and to the overall success of the organization. To Avoid Surprises Regular meetings throughout the year, focused on evaluating progress and responding to new challenges, will avoid surprises at the annual review time as well. In conclusion: Look at the annual review as one of several opportunities through out the year to assess performance. The golden rule of an effective review is that there should be no surprises. Regular meetings throughout the year, focused on evaluating progress and responding to new challenges, are essential to avoid this. For more information, see the article Why Regular Performance is Crucial: Supporting Performance

12 4. CONDUCTING AN EMPLOYEE PERFORMANCE REVIEW Performance reviews are used, in part, to assess what has and hasn t been achieved over the past 12 months; they are also, and just importantly, viewed as an opportunity for managers and staff to plan proactively for the year ahead. The steps and processes, the setting, the context and the manner used in conducting effective performance reviews are all critical to carrying out successful performance reviews. As mentioned earlier, a properly prepared review form that includes appropriate and valid competencies for measuring employee performance is essential for an effective performance review. Therefore, the following form is required for completion at yearly staff performance reviews: For ASPA staff, the ASPA Performance Review and Development Plan Form available on HR s website at urrent.doc (Revised and improved from 2008.) Be sure to give employees feedback on an ongoing basis. Look at the annual review as one of several opportunities through out the year to assess performance. Starting off with solid preparation, making sure the employee is well informed, comfortable with the process and open to feedback will make for a successful event. a) Summary Procedures for the Annual Performance Review Step 1: Give the employee a chance to do a self-appraisal before you give the official review. ASPA staff should complete the official Performance Feedback and Development Form prior to the interview, as per the steps identified on the form. Step 2: Be sure to find a nice, quiet office area away from phones and faxes. Step 3: Review past performance the employee should discuss the accomplishments over the past year in terms of the outcomes they are accountable for.

13 Step 4: Review how well the employee demonstrated the accountabilities and competencies. Step 5: Be fair. Do not make one failure overshadow the employee s entire performance. Conversely, recognize they may need to develop in other areas and give them tips and advice on how to accomplish this improvement. Step 6: Outline goals and objectives for the next 12 months Step 7: Establish a Development Plan. Discuss development priorities for the next 12 months: consider what skills, knowledge and competencies are required to achieve the objectives outlined. Step 8: Close review; assure employee you will support him in his efforts to learn, train and improve performance (where applicable). b) Detailed Procedures for the Annual Performance Review Department Head Role As the employee s manager/department head, your role is: To familiarize yourself with the Performance Review systems objectives and procedures. To set up the meeting Prepare for the meeting and help the employee prepare for the meeting Be sure the meeting is in a positive environment free from interruptions. Use specific examples. Listen to the employee. Ensure the employee understands their objectives and goals Support growth and development Prior to the Review: Be sure to give employees feedback on an ongoing basis on the job. An employee should never hear about a problem with his performance for the first time during the review process.

14 Maintain a consistent review schedule. In addition to providing ongoing feedback throughout the year, let employees know when the formal review will take place. Prepare for the interview Provide employee with adequate time to prepare. Give your staff the opportunity to consider how they ve performed over the past 12 months and to identify their achievements from the past year and areas where they would like to improve. ASPA staff have the opportunity to do a self-appraisal before the official review, using the ASPA Performance Feedback and Development Form available at It is recommended that both the employee and the manager, individually and beforehand, complete the self-assessment part of the form, as per the instructions and steps on the form, for an effective performance review. If completed by the employee prior to the review meeting, this will give the manager an opportunity to understand what the employee thinks about his own performance as well as highlight some of the ups and downs that may have occurred throughout the time period covered by the review. The manager/department head should collect the Performance Review form, with this completed self-review, from the employee before the interview and use some of the points from his perspective on the actual review if you have not already noted them yourself. Manager: Plan in advance what you are going to say during each part of the review; approach a review with a specific agenda in mind. Be sure you can successfully deliver the message you intend regardless of the employee s response. Pull out last year s review form and go through what was covered then. Keep a performance file on each staff member so you won t have to rely on memory you find you need to discuss something that occurred months before the actual review meeting. Allow sufficient time and situations over the past year to make an assessment. Try to observe the employee in a variety of situations over an extended period of time; observe how well he or she manages both independent and collaborative/team assignments.

15 The Interview: The Structure Setting Find a nice, quiet office area away from phones and other interruptions where you can meet with the employee to discuss the reviews. Set a time frame (and give yourself an extra fifteen minutes). Discussion of a person s performance evaluation may be one of the most important interactions you ll ever have with that individual. An hour should be sufficient to review the performance as well as discuss development activities, career plan, future goals and projects. Build time in for discussion and questions from the employee. Greeting Start the review with a warm greeting and perhaps some brief small talk to help relax tensions and create a more conducive atmosphere for the review. Impose a structure Open the discussion with a general introduction, explaining the purpose of the review, talking about the employee s accomplishments and positive attributes. Don t start by discussing the form itself. The form simply serves as the formal record of your assessment of how well the individual has done over the past year and provides a guideline and steps to follow for an effective performance review interview. Rather, start with something like Tim, why don t you start by telling me how you feel the past year has gone? Listen to responses and continue the discussion from there. Utilize the review form for measuring, discussing and documentation of employee performance and subsequent development plans formulated at the review meeting. At the meeting, go through each section of the form and give the employee a chance to discuss any of the ratings you have given that they do not understand or agree with on the form. Give specific examples to explain your ratings if these are areas of weakness. If new information comes forward that you were unaware of, you can consider making changes to your ratings. They may not fully agree with your on every point, but should thoroughly understand your position and your ratings. Review last year s goals. Assess this past year s objectives and to what extent they were met (and, if not, how they might be)

16 Review past performance. Remain objective and balance constructive criticism with positive feedback. Summarize the overall performance first Review accountabilities over the past year in terms of outcomes they were accountable for. A review of the employee s job profile could aid in the discussion. (The accountabilities of all staff should be on the review form.) Discuss problem areas or weaknesses. If you hesitate to point these out, you ll never see improvement. When discussing problematic areas, focus on ways to improve performance, not the mistakes. Use specific examples, as per guidelines for Giving Effective Feedback. If there is a gap between the employee s perceived versus actual performance, explain the difference and suggest ways performance goals may be met Invite comments on your observations; give them an opportunity to air their thoughts. Listen actively and respond appropriately to what is being said. Don t fixate on getting the employee to agree with your performance appraisal. Avoid being argumentative, but if their responses have not changed your overall ratings, let them know this. You could say I understand that you don t agree with what I have said, but my perception of your overall performance remains as I have stated it. The review ratings are the supervisor s/department heads opinion the employee is likely to have a different opinion. The goal is to gain the employee s understanding. The important thing is that they understand your expectations and how their performance was assessed. Talk about future expectations. Clarify job requirements and responsibilities as these can change over time Goal Setting Outline future objectives and set clearly defined goals for the next 12 months. Plan for Change the Performance Plan The outcome of this process, where there are some deficiencies in performance expectations, is a commitment and a plan to change. The plan should include agreement of the stated problem and a detailed action plan with milestones for progress reviews, e.g. "As agreed we will change your hours due to your medical condition and communicate

17 to the team the need to change the timing of the team meeting to include you. Let's review if this is working in two weeks." This plan should also have an agreement of what competencies (behaviours) are to be demonstrated in this role. Development Plan Formulate a personal development plan: identify training and development needs to meet objectives and to address any weaknesses discussed, as per above. Inquire about their professional development and career goals and discuss how you both might work toward meeting them. Review the individual s development over the previous twelve months, and outline the individuals broad career directions and development priorities for the following 12 months. Consider what skills, knowledge and competencies are required to achieve the objective outlined in the Performance Plan, and to close the gap on current and planned competencies. Ensure you document any training and other objectives and plans, as agreed to in the meeting. Your College HR Advisor and the Training and Development section in PAWS/Arts & Science tab, can be consulted for ideas and suggestions in this regard. Throughout the meeting Be courteous and tactful Focus on behavior/performance rather than personality; the action and not the person Ending the interview Encourage employees to come to you afterward if they have questions or concerns Assure the employee you will do anything you can do support him in his efforts to learn, train and improve performance. Ensure the employee clearly understands their objectives and are satisfied they have been able to air any issues or concerns. The employee must leave the room feeling that they have been listened to. If follow-up activities are needed, commit and follow through on these promises. Unless the employee s performance is substantially less than satisfactory, try to end the review on a positive note. You might say The departmental faculty and I very much appreciate your work and we are glad to have you here! A copy of the form should be stored in the Departmental files and a copy must also be submitted to HR for the official personnel file.

18 c) Tips for Conducting a Better Performance Review Provide employee with adequate time to prepare. Give your staff the opportunity to identify their achievements from the past year and areas where they would like to improve. Keep a performance file on each staff member so you won t have to rely on memory you find you need to discuss something that occurred months before the actual review meeting. Allow sufficient time and situations over the past year to make an assessment. Set a time frame (and give yourself and extra fifteen minutes) Set the appropriate tone: The review itself should be handled in a professional manner and treated as a conversation, not a lecture. Don t start by discussing the form itself. Don t fixate on getting the employee to agree with your performance appraisal. The important thing is that the employee understands your expectation and how their performance was assessed. If you must criticize, focus on behavior rather than personality. Encouragement is the best incentive for improvement. For details on these Tips, see Buzzle.com Four Tips to Help Managers with Performance Reviews and Performance review tips Tips for conducting a better performance review d) Biggest Mistakes Managers Make in Performance Review Meetings Waiting For The Performance Appraisal To Give Feedback Overemphasizing Recent Performances Being Too Positive Or Negative Being Critical Without Being Constructive Talking Not Listening Treating the occasion like a tick-box exercise, rather than encouraging an open and thought-provoking discussion. Becoming distracted by relatively minor issues and problems that should be dealt with elsewhere. Using the meeting as a way of 'dumping' feedback on individuals and focusing on their weaknesses, rather than seeking to understand how they could make the most of their talents in the year ahead. For details on these Mistakes, see "The 5 Biggest Mistakes Managers Make and How to Avoid Them"

19 e) Additional Resources on How to Conduct Performance Reviews: See the following articles in the Appendixes for more information: 1) How To Conduct a Performance Review 2) Conducting a Performance Review - Humanresourcesmagazine.com 3) Online Business Advisor: Conduct Effective Performance Reviews 4) Performance Review Tips - BC Jobs 5) How to Conduct an Employee Performance Review Also, see the book Execution The Discipline of Getting Things Done, Building Block Three f) Performance Feedback Forms ASPA Performance Feedback and Development Plan form

20 5. GUIDELINES FOR GIVING FEEDBACK a) Giving Constructive Feedback Feedback may be used to reinforce a behavior that is considered to be positive as well as to change a behavior that is considered to be negative. As the leader you have a responsibility to create an environment within your team where giving and receiving constructive feedback is considered the norm. Healthy effective teams regularly exchange feedback between all team members. The guidelines for giving constructive feedback can be placed into four categories: manner, content, timing and frequency Manner How you say something often carries more weight than what you have to say Start with Heart. What do I want for myself? For others? Be direct when delivering your message. Be clear about what you want to say. Avoid need to phrases, which send implied messages that something didn t go well. Provide clarity on what occurred. Be sincere and avoid giving mixed messages - the yes, but messages. Putting but or however or although in the middle of a thought tells the other person Don t believe a thing I said before. Don t ask about their motivations. Effective feedback involves what or how something was done, not why. In positive feedback situations, express appreciation. In negative feedback situations, express concern. A tone of concern communicates a sense of importance and care and provides the appropriate level of sincerity to the message. Effective feedback is consistent as possible Give the feedback person-to-person, not through messengers of technology. State observations, not interpretations. Hold your ground Content What you say Setting the stage. Explain the value of feedback and that you want to give feedback to support an individual's growth and learning. Acknowledge that it is difficult to hear feedback.

21 The most common error is for people to take the feedback personally, stop listening and become defensive. This does not allow for the person to easily change their behavior. It is therefore useful to state that the feedback is about a specific behavior, and not about them as a person. Identify the topic or issue that the feedback will be about. Own the feedback. Start each point with an I message such as I have noticed. I messages help you be issue-focused and get into the specifics. State the Facts. Be specific and free of judgments that may initiate a power struggle. Effective feedback is specific, not general. Make sure you have the facts and deal with the facts only leave fears and emotions behind. Example: when you interrupted me.not when you rudely interrupted me, or, The report you turned in yesterday was well-written, understandable, and made your points about the budget very effectively. Don t say good report. Describe the behaviour Be descriptive rather than evaluative. Give specific descriptive observations of behaviour rather than interpretations, general evaluations of judgments of the person or inferences about motives or personality traits. Ex. You are consistently late to our team meetings. Emphasize the effect of the behavior on you and/or the department/work unit. Detail the implications of how this issue affects others, one's self, or the success of the company, e.g. "When you are late to meetings, people do not see you as a committed team member." Focus on behaviour that the receiver can probably change rather than fixed or enduring characteristics. Successful feedback describes actions or behavior that the individual can do something about. Tell what you ve noticed, not what you think of it. Ex. When you held competing conversations during the meeting, when Mary had the floor, you distracted the people in attendance. Explore the issue fully. Before you can develop a plan for change you need to fully understand the total context in which the behavior occurs, e.g. "Are you having difficulty managing your time effectively?" At this stage the person receiving the feedback may offer a different interpretation of the

22 behaviour or apologize and commit to changing their behaviour, e.g. "My tardiness is due to a medical problem that requires time sensitive injections." Hold your ground. If he/she pushes back you need to listen for new information, but hold your ground and continue to be specific until it is clear that the message is understood, e.g. "I understand that you have been very busy recently, but your being late impacts the rest of the team who are also busy." Make a request for what you d like to have happen. When it time to shift to negative or problematic areas, focus not on mistakes but on ways to improve performance Listen actively and respond appropriately to what is being said. Check to make sure the other person understands what you communicated. Remain objective and balance constructive criticism with positive feedback. Plan for change. The outcome of this process is a commitment and a plan to change. The plan should include agreement of the stated problem and a detailed action plan with milestones for progress reviews, e.g. "As agreed we will change your hours due to your medical condition and communicate to the team the need to change the timing of the team meeting to include you. Let's review if this is working in two weeks." Timing Effective feedback is well timed. Feedback is meant to be given in real-time, as close as possible to when the performance incident or behaviour occurs so that the events are fresh in everyone s minds. When giving negative feedback there are times when you need some time to cool off and get your thoughts in order before you talk to the employee. Giving the feedback tomorrow is still timely and will be more constructive in the end. Frequency Use constructive feedback regularly (more than once a year) to reinforce appropriate performance and sustain motivation. Regular feedback makes all the other guidelines work.

23 Hearing how well an employee is doing, whether acceptably, or otherwise, just once or twice each year is insufficient to sustain motivation for most employees. Employees need performance feedback much more often than formal evaluations provide. For more information on frequency of feedback, see "Why Regular Performance Feedback is Crucial" For sources and more information on Giving Effective Feedback, see Articles in Appendix 7: Self Help Tips for Professionals Basic Guidelines for Giving Feedback, Tips on Giving and Receiving Feedback, and Self Help Tips For Professionals 10 Steps for Giving Effective Feedback Also see additional articles as follows: How To Provide Feedback That Has an Impact and Giving Constructive Feedback - For Dummies b) Qualities of Effective Feedback Effective Feedback: Is based on Direct Observation. Do not assume feedback provided by others is accurate. Is specific, not general. It always focuses on a specific behaviour and not on a person or their intentions. Focuses on (or describes) a behaviour or action that the individual can do something about. Describes rather than judges or evaluates; it provides simple unadorned description of the behavior. Is intended to help, not control or manipulate. Is focused on creating mutual understanding and dialogue. Is done out of a commitment to build stronger relationships and higher performance for the employee. Is as consistent as possible. Is well timed. Whether the feedback is positive or constructive, provide the information as closely tied to the event as possible. c) Tips for Giving Constructive Performance Feedback The main purpose of Constructive Performance Feedback is to help people understand where they stand in relation to expected and/or productive job behavior.

24 1. Start with Heart. What do I want for myself? For others? For the relationship. 2. Select an appropriate time and place. Pick a time and place where you will not be interrupted, and where the environment is appropriate to the type of message you are delivering. 3. Set the stage Explain the value of feedback and that you want to give feedback to support an individual's growth and learning. Acknowledge that it is difficult to hear feedback. State that the feedback is about a specific behaviour, and not about them as a person. 4. State the Facts. Be specific, free of judgments that may initiate a power struggle. Describe the behaviour that you see. Direct to the action, not the person or their intentions. Be specific and stick to the facts, e.g. "You are consistently late to our team meetings." 5. Identify the problem clearly and specifically. Take the time to identify the problem clearly and then organize the issues that need to be addressed. Is this an isolated problem or can this be seen in many areas of their performance? How does this issue impact the success of the individual's performance? How does it impact the rest of the team/organization? 6. Start each key point with an I message, such as I have noticed. 7. State observations, not interpretations. Report the behaviour you notice at a concrete level, instead of as a characterization of the behavior. 8. Make your case. Detail the implications of how this issue affects others, one's self, or the success of the company, e.g. "When you are late to meetings, people do not see you as a committed team member." 9. Be sincere and avoid giving mixed messages - the yes, but messages. Putting but or however or although in the middles of a thought tells the other person Don t believe a thing I said before. 10. In positive feedback situations, express appreciation. In negative feedback situations, express concern.

25 11. Hold your ground. If he/she pushes back you need to listen for new information, but hold your ground and continue to be specific until it is clear that the message is understood, e.g. "I understand that you have been very busy recently, but your being late impacts the rest of the team who are also busy." 12. Explore the issue fully Before you can develop a plan for change you need to fully understand the total context in which the behavior occurs, e.g. "Are you having difficulty managing your time effectively?" At this stage the person receiving the feedback may offer a different interpretation of the behavior or apologize and commit to changing their behavior, e.g. "My tardiness is due to a medical problem that requires time sensitive 13. Make a request for what you d like to have happen. Example: I d like you to wait until I m finished speaking. 14. Plan for change. The outcome of this process is a commitment and a plan to change. The plan should include agreement of the stated problem and a detailed action plan with milestones for progress reviews, 15. Give the feedback person-to-person, not through messengers of technology. 16. Acknowledge how they are performing more than once a year Sources: How to Provide Feedback that Has an Impact and Self Help Tips For Professionals d) Additional Resources Emotional Intelligence Managing with Heart, Chapter 10

26 6. GUIDELINES FOR RECEIVING FEEDBACK Feedback is information which enables you to clarify misperceptions and misunderstanding, and opens up choices and decisions. Receiving feedback is the process of interpreting and deciding if, and how, to use it. It encourages an atmosphere of exploration and problem solving and gives you the option of changing your behaviours. a) Guidelines for Receiving Feedback 1. Listen with your ears, your eyes, and your heart with a commitment to learn. Paraphrase, listen for feelings, and listen for the commitment of the other. 2. Listen even though it may not be delivered the way you would deliver it. Avoid judgments of the process. Do not shoot the messenger. Assume positive intent on the part of the other. 3. Ask: What can I learn from this? - Does this reveal something I may not see about myself? 4. Ask for examples out of a commitment to learn more. 5. Acknowledge the feedback, including that it s not always easy to receive feedback. 6. Deal with the feedback as information. 7. Avoid defensive reactions. 8. Describe your feelings, reaction, thoughts to the other person. 9. Show the other person you have heard what they have said by using your active listening skills by paraphrasing, reflecting feelings, body posture and position 10. Talk about what you plan to do with the feedback. 11. Thank the person for the information. Ask yourself What does the other person want and expect of me? Remember, it is our choice to disclose, share or explore what you were feeling and experiencing when you acted, and how you are feeling now.

27 Sources: Cormier Consulting Group, delivered by Human Resources with additions from other University of Saskatchewan sources. b) Additional Resources on How to Receive Feedback See the following articles: How to Receive Feedback with Grace and Dignity Active Listening: Steps and Instructions and Communication: Active Listening and The Barriers to Listening Tips on Giving and Receiving Feedback

28 7. COMMUNICATION RULES a) Basic Communication Rules to Use in Difficult Performance Review Sessions - See Appendix 8 b) Key Characteristics of Supportive Communication - See Appendix 9 c) Ways to Communicate Clearly to Avoid Misunderstanding - See Leadership Principles: Conflict Resolution: Separating Misunderstanding and, Communicate Clearly articles and more at principles/5.htm

29 8. ADDITIONAL RESOURCES On delivering difficult feedback see: Book: Difficult Conversations: How to Discuss What Matters Most Course: Crucial Conversations coming in May On dealing with Non-Performers and Performance Evaluations see: Books: Execution: The Discipline of Getting Things Done (College Library) Articles referenced in this document and in the Appendix Other Book: Emotional Intelligence Managing with Heart, Chapter 10

30 APPENDICES APPENDIX 1 - How to Conduct a Performance Review Because performance reviews can be highly emotional, especially for the employee, it is best to approach a review with a specific agenda in mind. Plan in advance what you are going to say during each part of the review. Be sure you can successfully deliver the message you intend regardless of the employee s response. Greeting Start the review with a warm greeting and perhaps some very brief small talk to help relax tensions and create a more conducive atmosphere for the review. Summary Be sure that the employee understands exactly how his or her overall performance ranks. Summarize the overall performance first, and then explain what the rating means. Don t announce any salary changes at this point. If you don t give the summary at the beginning of the review, the employee will spend the rest of the review trying to figure out what his or her overall performance is, based on your comments. The employee may want to discuss the rating immediately after you offer it. Try to put this off until you have been able to thoroughly review the employee s strengths and weaknesses. Strengths Unless an employee s performance is unsatisfactory, compliment him or her on both major and minor strengths as they relate to their job. Avoid saying anything negative until you have reviewed his or her strengths. You can be either specific or general in describing strengths. Weaknesses Unless an employee s performance has been truly exceptional, you should provide feedback on areas of weakness, or at least suggest room for improvement. In reviewing weaknesses, be as specific as possible. For example, rather than saying you have a poor attitude cite a specific example of their behavior such as you are often late for company meetings and several times throughout the year you complained incessantly about company policies. Feedback After you have discussed an employee s weaknesses, you should give him or her opportunity to air their thoughts. Listen politely until the person is done. Avoid being argumentative, but do let the employee know that his or her feedback has not affected your review. For example, you may want to say I understand that you don t agree with what I have said, but my perception of your overall performance remains as I have stated it. Salary Recap the employee s overall performance rating. Announce the new salary, if any, and the date on which the new salary will be effective.

31 Closing Unless the employee s performance is substantially less than satisfactory, try to end the review on a positive note. You might say The company and I very much appreciate your work, and we are glad to have you here! * Source Streetwise Small Business Start-Up (