DALLAS COUNTY COMMUNITY COLLEGE DISTRICT

Transcription

1 DALLAS COUNTY COMMUNITY COLLEGE DISTRICT STRATEGIC PERFORMANCE MANAGEMENT SYSTEM SUPERVISOR REFERENCE GUIDE DISTRICT OFFICE OF HUMAN RESOURCES 1601 S. LAMAR STREET DALLAS,TEXAS 75215

2 STRATEGIC PERFORMANCE MANAGEMENT SYSTEM ADMINISTRATOR PERFORMANCE REVIEW Introduction Dallas County Community College District serves a dynamic and diverse community with evolving educational needs and expectations. DCCCD is experiencing growing demands and expectations for greater levels of performance accountability from federal, state and regulatory agencies. Our policies and procedures are also changing constantly in alignment with regulatory, political and institutional needs. In response to these constantly changing requirements, needs and expectations, the DCCCD Board of Trustees has articulated a strategic plan that is now in its third year of implementation. The one element that remains constant is change. Change will continue to be constant and may accelerate in the future, which means that our employees must be flexible and in a state of constant growth and development, so that they can be successful. Given this reality, how can we, as an institution, create a culture of performance excellence within which our employees are flexible, accountable and willingly oriented toward lifelong learning and development? The key to this complex question lies in effective and responsive training and development programs, along with a complementary performance management system that aligns performance with the strategic needs of the District. This Strategic Performance Management System is designed in response to the strategic needs of the District. It provides supervisors with effective tools for creating a culture of continuous performance improvement through development. Page 2

3 Process Summary The design of this Strategic Performance Management System is based on the concept of continuous performance improvement. It is cyclical and comprises four essential parts, each with processes and procedures that begin with setting performance goals for/at the beginning of the reporting year. The process concludes at the end of that year with the annual performance review meeting and another cycle of the annual performance management processes begins. This annual process is designed to provide employees with opportunities for continuous performance improvement, and supervisors with a structured and continuous process to coach and monitor employee performance for improvement throughout the year. This annual cyclical process has four interrelated parts, each with a key set of performance-related processes and activities: Key Processes and Activities Page 3

4 STRATEGIC PERFORMANCE MANAGEMENT SYSTEM The Process Optional Performance Feedback Tool and Performance Feedback Summary Report At the discretion of the supervisor, the Optional Performance Feedback Tool (SPMS Form #4) may be used for the performance review and/or in developing performance goals for the approaching year. This form provides a process by which reviewers (employees) provide feedback regarding the identified employee s performance. The reviewers forward the completed forms to the identified employee's supervisor (or his/her designee), who, in turn, compiles the data and provides the employee with a summary report, the Performance Feedback Summary Report (SPMS Form #5). This report contains anonymous ratings for seven competency areas, as well as overall ratings, comments, and suggestions for performance improvement. The results should provide information regarding the development of performance and performance/career goals. To be Completed by: Mid-May, if used for performance review (due July 1 st ) End of July, if used only in developing performance goals for approaching year (due September 1 st ) 1. PLAN: Performance Planning Performance planning is the first part of the performance management process. In the performance planning meeting, the supervisor and employee review the employee's performance, including his/her successes and challenges in meeting the performance goals for the reporting year. They also discuss and agree upon a new set of goals for the approaching year. Outcome(s): Identify performance goals in the Annual Performance Review Report (SPMS Form #1) Page 4

5 Key Activities: Review results from Performance Feedback Summary Report (if used) Supervisor and employee explore issues related to strategy, timelines and evaluation method, and also set performance goals for the approaching year Employee completes Performance Goals section of Annual Performance Review Report This part of the process involves the following activities: A. Agreement on Performance Goals Current Employees: The supervisor and employee agree on performance goals for the approaching year. New Employees: The Strategic Performance Management System does apply to new employees. Clear performance goals and expectations should be developed for the remainder of the reporting year. B. Performance Goals The Performance Goals section of the Annual Performance Review Report consists of four areas. These areas are articulated as goals that the employee provides prior to the performance planning meeting. o College (or Location)/Division/Department Goals: One to five college (or location)/division/department strategic goals for the approaching year that relate to any of the following areas: Process Improvement, Program Improvement, Program Assessment, Program Evaluation, Program Reorganization, Program Development, and Service Improvement. o Interpersonal Development Goals: One or two goals related to behavior and interpersonal skills for the approaching year. The goal(s) may relate to current needs and/or career goals. o Professional Development Goals: One or two professional development (technical skills and/or knowledge) goals. The goal(s) may relate to current needs and/or career goals. o Career Goals: One or more short-term and long-term goals that may relate to personal and/or professional development goals. The first part of the performance management cycle concludes when the performance goals have been set for the approaching year. Page 5

6 2. PERFORM: Strategic Performance and Leadership The second part of the process is a year-long period during which the employee performs his/her job and works to achieve his/her performance goals. Outcome(s): and employee Effective leadership and performance demonstrated by both the supervisor Key Activities: Employee performance Implementation and achievement of college (or location)/division/department goals Implementation and achievement of interpersonal, professional, and career goals 3. MONITOR: Performance Monitoring and Coaching The third part of the process includes monitoring and coaching, which are critical because the most important role of a supervisor is performance coaching. Monitoring and coaching go hand-in-hand. The purpose of monitoring the employee's performance is to: track progress on goals and provide performance feedback; take advantage of opportunities for performance coaching. Outcome(s): Track employee's progress on performance goals and provide feedback and coaching for strategic alignment Key Activities: Supervisor monitors employee's progress Supervisor schedules progress meetings/conversations with employee 4. REVIEW: Performance Review The fourth and final part of the process is the performance review. In the performance review meeting, the supervisor provides the employee feedback and feedforward regarding his/her performance. This meeting also brings closure to the reporting year s performance management process. Page 6

7 Outcome(s): Completion of the Annual Performance Review Report (SPMS Form #1) Key Activities: Completion and review of the following: Annual Performance Review Report The employee completes the Major Accomplishments section of this report/form and submits it to his/her supervisor prior to the performance review meeting. The employee lists his/her major accomplishments as they relate to the performance goals for the reporting year. Performance Review The performance review provides the supervisor and employee the opportunity to review the employee's major accomplishments and his/her successes and challenges in meeting the performance goals for the reporting year. The supervisor provides feedback and feedforward regarding the employee's performance. Page 7

8 TIPS FOR MONITORING PERFORMANCE AND COACHING Traditional performance review systems have become perfunctory events that occur once a year and tend to focus on the past, with a supervisor-directed conversation. The supervisor continues to manage without ever setting performance goals or referencing the outcomes of the last performance review, and documentation is safely filed out of sight in the Human Resources Department. While the formal performance review is an important part of this performance management process, it is not the most vital part of the processes described in this guide. Performance management is a process not an event. It is a continuous process of monitoring, coaching and supporting those for whose performance the supervisor is responsible. The most vital part of the processes of managing performance is the supervisor s capability as a performance coach. Central to this role is his/her consistency in monitoring and followingup on the employee's progress on performance goals. Performance Goals and Plans The annual performance plan is a "living" document and a work in progress. This plan should serve as a touchstone that helps focus ongoing performance conversations between the supervisor and employee. The performance goals are kept "alive" and effective when they are discussed in conversations between the supervisor and employee. Research has found that they are effective only when there is follow-up action that monitors progress on the performance goals and when the supervisor plays an active role as a performance coach at every opportunity he/she gets. Performance goals and plans should not be carved in stone. They should be frequently revisited, assessed, and reaffirmed or modified as circumstances arise that justify making changes/modifications. Performance goals are also kept "alive" when they are flexible and allow for updates and amendments as circumstances and roles change. Monitoring performance goals can be done by: taking the opportunity to ask about recent accomplishments during formal, scheduled meetings, chance conversations and/or brief interactions; targeting an inquiry regarding a particular goal or plan of action; providing feedback on successful accomplishments or performance shortfalls; helping to identify areas in which the employee needs to focus attention as circumstances change; reflecting any changes in the employee's role or function and revising/making amendments to his/her performance goals and annual performance plan. Page 8

9 Finally, one of the objectives of performance management is facilitating continuous learning and development from experiences gained in dealing with challenges and successes every day at work, based on the belief that everything employees do presents them with opportunities for learning. Page 9

10 COACHING TIPS FOR PERFORMANCE IMPROVEMENT Supervisors must approach their responsibility for performance coaching with utmost humility and honesty, always with the intention of helping others improve their performance by making progress in what they do and in improving their overall job performance. Coaching is both an ongoing process and an event. In other words, coaching for performance improvement can be done "just in time" or it can be a focused meeting regarding the employee s performance problems. Remember that great coaching occurs when trust exists between the supervisor and employee. Encourage honest conversations without retribution. And remember the difference between: Good Mistakes = Best Effort, Poor Results Bad Mistakes = Poor Effort, Poor Results. The Coaching Conversation Following are the four basic steps to an effective coaching conversation. Begin the conversation with the employee by: 1. identifying the problem or area(s) for improvement using clear, specific and accurate terms; 2. exploring with the employee the potential cause(s) of the problem or area(s) for improvement; 3. identifying the impact or effect of the problem on the college/location, department or division, and, if the need arises, the consequences of the behavior for the employee; 4. developing a performance improvement plan; These four coaching conversation steps are detailed below. 1. Identify the Performance Problem or Issue/Behavior Always be specific and accurate in identifying the problem or issue/behavior when addressing it with the employee. This can be done by seeking feedback or input from others or by directly observing the performance problem or issue/behavior. In your discussion, take time to frame the message in a non-threatening way and communicate so the employee can understand the importance of the desired behavior or outcome. Remember to be specific, accurate and timely. Do not wait until a problem has become chronic and serious before deciding to address it. Focus on the problem not the person. Always treat the employee with dignity and respect. Page 10

11 2. Identify the Cause(s) of the Performance Problem or Issue/Behavior To establish the cause(s) or reason(s) for the performance problem or issue/behavior, ask questions to clarify whether it is the result of unclear expectations or lack of proper training and/or information. The reason for asking is not to assign blame. The objective is for the supervisor and employee, through dialogue, to identify the contributing factors to the problem. It is important to begin by identifying any outside factors or those over which the supervisor nor the employee has any control. The goal is to determine whether the problem or issue/behavior is the result of: a. inadequate support or guidance from the supervisor; b. failure to understand what was expected; c. inability to do the job; d. deficit in skills to do the job; e. lack of proper attitude to do the job. 3. Identify the Effect of the Performance Problem or Issue/Behavior After identifying the problem or issue/behavior and its cause(s), the supervisor should express in clear, specific and accurate terms the effect(s) it is having on others and, if the need arises, the consequences for the employee should the problem or behavior persist. The supervisor s objective is to help the employee understand how the desired solution to the performance problem or issue/behavior: a. relates to the college (or location)/division/district's mission, vision, values, performance standards and/or job requirements; b. can produce the desired results for the employee, college/location, division or department; c. will build relationships, and its importance to the employee's career aspirations. 4. Agree on a Performance Improvement Plan With this plan, the supervisor and employee jointly develop steps to improve the employee s performance. The supervisor should attempt to paint a picture of what success would look like with the adoption of the performance or behavior changes, and develop an action plan of how the employee might achieve the desired results. Remember, this is a conversation about possibilities and an exploration of alternative solutions. The supervisor should remain open to using the employee s suggestions in the development of the plan. The employee is more likely to be successful, if he/she "owns" the plan. This plan must: Page 11

12 a. be clear, specific and accurate regarding the performance problems or behaviors that need to be changed; b. be clear about how and where the employee will acquire the required skills, knowledge, attitude or behavior; c. establish timelines and specific dates, if possible, for performance improvement or to complete skills development; d. establish clear expectations and agree on how results will be evaluated; e. state the frequency and method by which the supervisor will provide performance feedback to the employee; f. be documented by the supervisor on the Performance Improvement Plan (SPMS Form #3). Monitor Progress and Coach for Performance Improvement In order to more effectively monitor the employee's performance, the Performance Improvement Plan should contain tangible and measurable steps with actions that can be monitored and assessed for opportunities to coach for performance improvement. Studies have found that the single most critical action that determines success in the performance improvement processes occurs when the supervisor follows through, monitoring performance and providing feedback on observable and reported progress. Feedback works best when it is Frequent, Accurate, Specific and Timely. In short, remember the acronym, "FAST" (Feedback/Feedforward (Bruce Tulgan, 1999)). The supervisor s role should be clearly and specifically defined in the Performance Improvement Plan. If the supervisor is going to take an active role as the performance coach, he/she must create opportunities to frequently interact with the employee. This will give the supervisor the chance to directly observe the employee s performance and will provide opportunities for frequent coaching and giving feedback. The goal of performance coaching is for the employee to develop the capacity to self-monitor and self-regulate his/her own performance. However, most circumstances will require a more active role of the supervisor, which includes monitoring employee performance and coaching for performance improvement. While the supervisor should consistently maintain positive relationships with all employees, it is particularly important and critical for the supervisor to maintain a positive relationship with his/her direct reports as they are moving through the performance improvement process. Good relationships enable the supervisor to more easily provide frequent feedback and positive reinforcement. Positive working relationships make monitoring, coaching and following-up Page 12

13 much easier for both supervisor and employee. A positive working relationship is critical and essential to performance improvement and management. There are basic tips for monitoring progress and coaching for performance improvement: a. The supervisor must never criticize even the most errant employee in pubic if he/she has any intention of taking corrective action against the employee. Public criticism directly affects the level of trust between supervisor and employee. It undermines the quality of their relationship and affects their ability to achieve the desired performance results. Remember the old adage: "Praise in public and criticize in private." b. At a minimum, the supervisor must always respect the worth and dignity of the employee. The supervisor should maintain a positive attitude about him/her one that is caring and in the spirit of genuine concern and helpfulness. The more successful the supervisor is in achieving and maintaining a good working relationship, the more likely he/she will be in receiving a positive response from the employee one committing to change. c. Always be mindful of the importance of giving appropriate attention and time to the employee whose performance and/or behavior need monitoring and coaching. Page 13

14 TIPS FOR MONITORING PERFORMANCE IMPROVEMENT Effective monitoring of the employee's performance requires consistent and frequent monitoring by the supervisor throughout the year. Here are some tips: Frequency of interaction is the key to creating and maintaining a positive relationship that indicates care, openness and a willingness to help. Monitor the employee frequently, but avoid becoming overly intrusive. The key is for the supervisor to recognize and use opportune moments that frequently arise during his/her interactions with the employee to observe the progress being made toward achieving the performance goal. Another approach is to schedule frequent "update" meetings as the need arises, thereby creating regular opportunities for monitoring and coaching. Provide adequate support and check frequently to ensure that the employee has adequate resources to ensure his/her success in achieving the performance goal. Help the employee stay focused on the performance goal, using it as a touchstone for your progress conversations. This can be accomplished by inviting the employee to attend or participate in an educational program that complements the issues related to his/her development. The challenge for the supervisor is to be careful that the employee does not perceive his/her attempts to be helpful as punitive or harassing. Whenever possible and appropriate, the supervisor should provide suggestions (in a helpful way) as to how the employee might improve his/her performance or behavior. The supervisor should give credit for the employee's success instead of taking credit for his/her assistance. The level of trust increases when the supervisor helps the employee succeed, making "deposits" in the "relationship account". Be deliberate about your role as supervisor and plan the performance-monitoring activities, including follow-up and follow-through with the employee to ensure he/she is moving in the right direction. These efforts will lead to a rewarding relationship with the employee as his/her performance or behavior improves. Be prepared to take corrective action during the monitoring and follow-up phases of the process. If the performance results are aligned with the desired goals, then the supervisor should provide feedback that supports staying the course. However, if the performance results do not match the desired goals, the supervisor should be prepared to take action and redirect the employee onto the right track. This can be done by analyzing the employee's performance to determine the root cause(s) of the problem Page 14

15 and then by modifying the strategies in the Performance Improvement Plan (SPMS Form #3) for the desired results. The supervisor should document performance observations and feedback and keep a chronologic record of the employee's performance by using the Performance Log (SPMS Form #2). This Log is to be used to record significant events and feedback for both positive and negative performance and performance improvement needs. The contents of this Log are to be kept confidential. While the supervisor s role is critical, it is only half of the equation. The employee s recognition that change is needed and his/her willingness to change are equally essential parts of this process. The challenge for the supervisor is to deal with the fact that people do not change simply because they are ordered to do so. If that were the case, coaching would be unnecessary. For performance coaching to work, the other half of the equation the employee must cooperate, and if he/she does not, the supervisor is wasting his/her time. Even the best performance and behavioral coaches recognize this reality: the employee s response is the key to success. This being said, if the supervisor's coaching efforts are unsuccessful, he/she needs to recognize when to discontinue coaching the employee and how to proceed. The supervisor must have the wisdom and courage to make the difficult decisions regarding when and how to terminate employment. Thus, as the employee works to achieve the desired outcomes in the performance improvement plan, it is important for the supervisor to negotiate consequences for results in the event of success or failure, particularly in corrective action situations. Page 15

16 TIPS FOR PROVIDING PERFORMANCE FEEDBACK "FAST" Feedback/Feedforward is a process developed by Bruce Tulgan in a book aptly named FAST Feedback, published in It is a practical method for providing performance feedback and feedforward to employees and is based on the "FAST" method, an acronym for:. Frequent. Accurate. Specific. Timely This method features four elements: FREQUENCY Frequency is relative because each employee has a unique frequency. The key is to discover the employee s unique frequency and to use that knowledge in providing him/her performance feedback. Each employee creates and regulates his/her frequency by giving the supervisor opportunities to provide performance feedback during the course of a year as the employee completes specific tasks and assignments. Frequency needs vary, depending on the nature of the tasks over time. Suggestions for Supervisors: Discover the employee's unique frequency preferred method for receiving feedback and recognition by either asking him/her or by giving feedback and observing the results. Then, based on your observations, make frequency adjustments. If in doubt, ask the employee how often he/she would like feedback and in what form (oral or written; formal or informal). Also ask if frequency needs are being met: "Are we talking often enough?", for example. Take advantage of the performance feedback opportunity that is most effective in each situation. Use the employee's preferred feedback medium (e.g., , face-to-face, telephone, voice mail, memorandum). ACCURACY Providing feedback is one of the most critical responsibilities of the supervisor because it affects levels of trust and performance. Feedback must be honest, appropriate and balanced to be effective. To provide accurate and effective feedback, the supervisor must be willing to suspend assumptions, check facts from multiple perspectives, carefully rehearse delivery for effectiveness, and reflect on the fairness and effectiveness of the feedback. Page 16

17 Suggestions for Supervisors: Recognize any assumption(s) you are making about the employee and/or situation. Obtain the facts from multiple sources not from only one perspective. Check your assumption(s) against the facts to ensure that they are accurate and fair. This will reduce the likelihood of prejudicial behavior and the "halo" or "horn" effects in your decisions on feedback. Carefully rehearse your delivery of the feedback to ensure it is constructive and effective. Take time to reflect on the fairness and balance of the feedback. SPECIFICITY The supervisor should provide specific and accurate feedback that informs the employee of exactly what is right and wrong about his/her performance. For best results, the supervisor needs to follow this with feedforward and suggestions of follow-up steps, as well as timelines for completion. Suggestions for Supervisors: Set clear and concrete goals, with specific outcomes. Ensure that each goal and outcome objective has a concrete deadline. Provide suggestions of follow-up steps and strategies for success in achieving the desired results. TIMELINESS In order for feedback or feedforward to be effective, it must be immediate. Research has shown that when feedback is given in close proximity to the specific performance event, the impact is far greater than when it is delayed for days or weeks. Effective feedback and feedforward must be immediate if it is to have any impact on performance. Suggestions for Supervisors: Take time to observe and assess the employee's performance and provide immediate feedback. Without becoming intrusive, interact with the employee. This will enable you to make first-hand observations and obtain information regarding his/her performance. Provide immediate feedback to the employee regarding your assessments and impressions in relation to your expectations and vision. Like everything else, don't overdo it. Page 17

18 TIPS FOR CONDUCTING PERFORMANCE REVIEWS The purpose of the performance review conversation is not only to give the supervisor and employee a sense of how well the employee performed duties during the course of the year but, most importantly, to determine areas of concentration for future personal and professional development. These conversations are also occasions to reflect on the supervisor s effectiveness in terms of his/her follow-throughs, coaching and support. The analyses of future needs should not only factor in deficits in skills or behavior, but, more critically, the future needs for the position or department (given the dynamic nature of our service area and society). The performance review conversation should not only encompass results in terms of successes and failures, but also the process by which the results were achieved. In other words, the conversation should not only encompass what happened but, more importantly, why. It is a dialogue from which the supervisor and employee learn from the past to become more effective in the future. Thus, the performance review conversation offers learning opportunities and enables performance improvement for both supervisor and employee. As a result, the supervisor s effectiveness should improve and the employee should become a better performer at his/her job. Key Elements of the Performance Review The successful performance review conversation must accomplish the following objectives: Performance Review: Reviewing major accomplishments and assessing successes and challenges in meeting performance goals for the reporting year; Performance Feedback: Providing the employee with an assessment of how well he/she is performing the job; Feedforward and Positive Reinforcement: Acknowledging successes while encouraging the employee to pursue further development by honing skills and hardwiring desired behaviors, always encouraging him/her to progress from "good" to "better" and then on to "great"; Performance Dialogue: Expressing encouragement regarding the employee's accomplishments for the reporting year and having an open conversation regarding expectations for the approaching year. The supervisor solicits input and also shares his/her opinions and perspectives regarding the employee's performance and development needs. If the performance dialogue is only a one-way conversation, it is incomplete, as this dialogue not only represents a review of the employee's performance, but also the supervisor's performance as an effective coach. In fact, throughout the management/improvement process, the supervisor should pursue feedback regarding his/her performance. Some of that feedback should be reflected in the supervisor's performance review and goals; Page 18

19 Agreement on Performance Expectations: Clarifying performance expectations, agreeing on performance measures and ensuring that each "player" in the process has a clear understanding of the expectations. The employee must understand what is expected of him/her and what to expect from the supervisor and any other employees involved in the process. Preparing for the Performance Review Supervisor Preparation for this meeting includes a carefully considered agenda containing specific points that will be covered during the conversation. The supervisor is to assess how well the employee has accomplished the college (or location)/division/department goals, interpersonal development goals, professional development goals, and career goals. Additionally, the supervisor is to reflect on factors that affected and probable causes of the employee's success(es) or failure(s), and the feedback and feedforward that he/she will provide the employee. Employee The employee carefully assesses his/her success in meeting the performance goals for the reporting year. This assessment is to include factors and reasons that explain any shortfalls in attaining these goals. The employee is to reflect on the need for additional training and/or coaching, special support and more frequent progress meetings. The employee is also encouraged to think about his/her career goals and aspirations and any associated needs or requests he/she may have. Performance Self-Assessment Preparing for the performance review meeting involves reflecting on the employee s performance during the year compared to his/her performance goals set at the beginning of the year. This process gives the employee an opportunity to assess his/her major accomplishments and the achievement of the performance goals specifically, the successes, the need for improvement and why, and the actions that should be taken to ensure that these improvements are made in the approaching year. The self-assessment part of the process is critical because: it promotes constructive engagement and dialogue between the supervisor and employee that is healthy and positive; it shifts the role of the employee from passive participation to active involvement in the process; Page 19

20 it reduces the chances of the employee becoming defensive; it makes the conversation more collaborative, promotes partnership and builds the relationship. Remember that the self-assessment part of the process includes the Major Accomplishments section of the Annual Performance Review Report (SPMS Form #1): the employee's College (or Location)/Division/Department Goals, Interpersonal Development Goals, Professional Development Goals, and Career Goals. The Performance Review The performance review meeting provides the supervisor and employee the opportunity to review the employee's major accomplishments and his/her successes and challenges in meeting the performance goals for the reporting year. The supervisor provides feedback and feedforward regarding the employee's performance. The supervisor's role should be one of a performance coach challenging, yet supportive. Page 20

21 STRATEGIC PERFORMANCE MANAGEMENT SYSTEM INSTRUCTIONS AND FORMS Page 21

22 STRATEGIC PERFORMANCE MANAGEMENT SYSTEM ADMINISTRATOR PERFORMANCE REVIEW Roles and Responsibilities Introduction The purpose and intent of the Strategic Performance Management System is to provide employees (administrators) with constructive feedback regarding their performance by recognizing and reinforcing great performance and identifying areas for performance improvement. Following are the roles and responsibilities for each of the key players employee (administrator), supervisor, and reviewers. THE EMPLOYEE (ADMINISTRATOR) The Strategic Performance Management System is an annual, cyclical process that the following employees are required to follow: District Administration: Executive Vice Chancellors Vice Chancellors Provost Associate Vice Chancellors Executive Directors District Directors Legal Counsel College Administration: Presidents Executive Vice Presidents Vice Presidents Executive Deans Deans Associate Deans Assistant Deans NOTE: At the discretion of the President or Executive Vice Chancellor, this Strategic Performance Management process may be used with any employee, including Directors. Roles and Responsibilities At the request of the supervisor, employees are responsible for completing the following performance-related forms and processes: Page 22

23 Optional Performance Feedback Tool (SPMS Form #4) At the discretion of the supervisor, this form may be used for the performance review and/or in developing performance goals for the approaching year. It is the employee's responsibility to select seven employees (reviewers) to complete Optional Performance Feedback Tool forms. These seven employees must be preapproved by the supervisor of the identified employee and each employee work group (faculty, administrators, and professional support staff) must be represented. The object is to collect broad feedback across the spectrum of employee groups. The completed forms are forwarded to the supervisor or his/her designee, who compiles the data onto a summary report. Performance Feedback Summary Report (SPMS Form #5) The supervisor or his/her designee compiles the data from seven Optional Performance Feedback Tool forms onto the Performance Feedback Summary Report. Any form(s) that have not been signed and/or from employees not previously approved will be reviewed by the supervisor to determine whether their feedback should be reflected in the Performance Feedback Summary Report. At the completion of this process, the supervisor or his/her designee forwards the (anonymous) summary report to the identified employee. To be Completed by: Mid-May, if used for performance review (due July 1 st ) End of July, if used only in developing performance goals for approaching year (due September 1 st ) Performance Goals Section of Annual Performance Review Report (SPMS Form #1) If the Performance Feedback Summary Report is used, the employee should use its scores, comments, and suggestions for improvement to determine his/her performance goals for the approaching year. The Performance Goals section of the Annual Performance Review Report consists of four areas that are articulated as goals: College(or Location)/Division/Department Goals, Interpersonal Development Goals, Professional Development Goals, and Career Goals. The employee completes this entire section and submits the report/form to his/her supervisor prior to the performance planning meeting. To be Completed by Early August Page 23

24 Performance Planning Meeting The performance planning meeting is initiated and scheduled by the supervisor. Its purposes are for the supervisor and employee to review the employee's performance, including his/her successes and challenges in meeting the performance goals for the reporting year, and also to discuss and agree upon a new set of goals for the approaching year. To be Completed by End of August Major Accomplishments Section of Annual Performance Review Report (SPMS Form #1) The employee completes the Major Accomplishments section of the Annual Performance Review Report by assessing his/her success in meeting the performance goals for the reporting year as they relate to the following four areas: College (or Location)/Division/Department Goals, Interpersonal Development Goals, Professional Development Goals, and Career Goals. After completing the Major Accomplishments section, the employee submits the report/form to his/her supervisor prior to the performance review meeting. To be Completed by End of May Performance Review The performance review meeting is initiated and scheduled by the supervisor. It provides the supervisor and employee the opportunity to review the employee's major accomplishments and his/her successes and challenges in meeting the performance goals for the reporting year. The supervisor provides feedback and feedforward regarding the employee's performance. To be Completed by End of June Page 24

25 THE SUPERVISOR The supervisor is responsible for ensuring that the cyclical performance management process is completed at the designated times during the year. The supervisor is to regularly monitor progress on performance goals during the course of the year. Roles and Responsibilities The role of the supervisor in the performance management process is essentially performance coach. The success of this process depends on how consistently the supervisor monitors employee performance and how successfully he/she functions as a performance and behavioral coach during the course of the year. The supervisor should continuously monitor the employee s performance and progress as it relates to his/her performance goals through monthly, quarterly or semi-annual progress conversations with the employee. In addition to performance monitoring, the supervisor should provide the employee with frequent, accurate, specific and timely performance feedback throughout the year. Each supervisor is responsible for the following: Optional Performance Feedback Tool (SPMS Form #4) At the discretion of the supervisor, this form may be used for the performance review and/or in developing performance goals for the approaching year. The employee is to initiate this task by selecting seven employees (reviewers) to complete Optional Performance Feedback Tool forms. These seven employees must be pre-approved by the supervisor of the identified employee and each employee work group (faculty, administrators, and professional support staff) must be represented. (In extenuating circumstances, the supervisor and employee may agree on an alternate combination of reviewers.) The completed forms are forwarded to the supervisor or his/her designee, who compiles the data onto a summary report. Performance Feedback Summary Report (SPMS Form #5) The supervisor or his/her designee compiles the data (including comments and suggestions) from seven Optional Performance Feedback Tool forms onto the Performance Feedback Summary Report. The supervisor/designee is responsible for screening the comments and suggestions and in determining which to include in the summary report. Personal attacks and derogatory comments should not be included. The supervisor/designee must ensure that only completed and signed Optional Performance Feedback Tool forms are reflected in the summary report. Any form(s) Page 25

26 that have not been signed and/or from employees not previously approved will be reviewed by the supervisor to determine whether their feedback should be reflected in the Performance Feedback Summary Report. At the completion of this process, the supervisor/designee forwards the (anonymous) summary report to the identified employee. To be Completed by: Mid-May, if used for performance review (due July 1 st ) End of July, if used only in developing performance goals for approaching year (due September 1 st ) Performance Goals Section of Annual Performance Review Report (SPMS Form #1) If the Performance Feedback Summary Report is used, the supervisor encourages the employee to use its scores, comments, and suggestions for improvement to determine his/her performance goals for the approaching year. The Performance Goals section of the Annual Performance Review Report consists of four areas that are articulated as goals: College (or Location)/Division/Department Goals, Interpersonal Development Goals, Professional Development Goals, and Career Goals. The employee is to complete this entire section and submit the report/form to his/her supervisor prior to the performance planning meeting. To be Completed by Early August Performance Planning Meeting The performance planning meeting is initiated and scheduled by the supervisor. Its purposes are for the supervisor and employee to review the employee's performance, including his/her successes and challenges in meeting the performance goals for the reporting year, and also to discuss and agree upon a new set of goals for the approaching year. The supervisor's role during this meeting should be one of a performance coach challenging, yet supportive. To be Completed by End of August Major Accomplishments Section of Annual Performance Review Report (SPMS Form#1) The supervisor asks the employee to complete the Major Accomplishments section of the Annual Performance Review Report. The employee assesses his/her success in Page 26

27 meeting the performance goals for the reporting year as they relate to the following four areas: College (or Location)/Division/Department Goals, Interpersonal Development Goals, Professional Development Goals, and Career Goals. After completing the Major Accomplishments section, the employee submits the report/form to his/her supervisor prior to the performance review meeting. To be Completed by End of May Performance Review The performance review meeting is initiated and scheduled by the supervisor. It provides the supervisor and employee the opportunity to review the employee's major accomplishments and his/her successes and challenges in meeting the performance goals for the reporting year. The supervisor provides feedback and feedforward regarding the employee's performance. The supervisor's role during this meeting should be one of a performance coach challenging, yet supportive. To be Completed by End of June THE REVIEWERS The effectiveness and success of the performance management process depend on the reviewers who complete the Optional Performance Feedback Tool (SPMS Form #4). It is essential that they provide constructive feedback on a job done well, offer comments and suggestions for performance improvement (feedforward), sign and send the completed form to the named supervisor (or his/her designee) in a timely manner. Reviewers are encouraged to adhere to the process and procedures and to limit their comments/suggestions to the spaces provided on the form. The more constructive the feedback provided by the reviewers, the more effective the process will be. Roles and Responsibilities The role of the reviewer is to provide the identified employee with constructive feedback, comments, and suggestions for performance improvement (feedforward). It is essential that the reviewer be honest and thoughtful with his/her responses. It is equally important that each reviewer complete, sign and forward the Optional Performance Feedback Tool form to the named supervisor (or his/her designee) promptly. Page 27

28 Following are all of the necessary forms for use in conducting a successful performance review. Annual Performance Review Report (SPMS Form #1) This form consists of three parts: 1. Performance Goals - The employee indicates his/her performance goals for the approaching year by early August and submits the report/form to his/her supervisor prior to the performance planning meeting. 2. Major Accomplishments - By the end of the following May, the employee lists his/her major accomplishments for the reporting year as they relate to the performance goals and submits the report/form to his/her supervisor prior to the performance review meeting. 3. Supervisor's Comments - The supervisor indicates comments regarding his/her agreement on the employee's performance goals for the approaching year by the end of August (performance planning meeting). By the end of the following June (performance review meeting), the supervisor indicates comments regarding his/ her agreement on the employee's major accomplishments for the reporting year. Performance Log (SPMS Form #2) This form may be used by the supervisor to keep a chronological record of significant events regarding the employee's performance, and for comments/feedback on both positive and negative performance and performance improvement needs. Performance Improvement Plan (SPMS Form #3) This form may be completed anytime during the year as the need arises. It is used by the supervisor to provide documentation of plans to improve employee performance and as back-up documentation in preparing for the performance review. This form should be kept for one year or until the end of the reporting year. If the problem persists, it should be noted on the Annual Performance Review Report. After attaching the Performance Improvement Plan (form) to the Annual Performance Review Report, the supervisor forwards them to the location's Human Resources office. Optional Performance Feedback Tool (SPMS Form #4) At the discretion of the supervisor, seven employees (reviewers) each complete one of these forms, assessing the identified employee's performance. If the results are to be used for the performance review, this process should begin by early April. If they are to be used only for the performance planning meeting (developing/setting performance goals for the approaching year), this process should begin by mid-june. Performance Feedback Summary Report (SPMS Form #5) The supervisor or his/her designee compiles the data from seven completed Optional Performance Feedback Tool forms onto this (anonymous) summary report and forwards it to the identified employee. If the results are to be used for the performance review, this summary report must be completed by mid-may. If they are to be used only for the performance planning meeting (developing/setting performance goals for the approaching year), this summary report must be completed by the end of July. Page 28

29 DALLAS COUNTY COMMUNITY COLLEGE DISTRICT STRATEGIC PERFORMANCE MANAGEMENT SYSTEM ADMINISTRATOR PERFORMANCE REVIEW Annual Performance Review Report SPMS FORM #1 PERFORMANCE YEAR EMPLOYEE'S NAME EMPLOYEE'S ID NUMBER DATE EMPLOYEE'S JOB TITLE LOCATION CURRENT JOB DESCRIPTION IS ACCURATE: YES NO I REQUEST A REVIEW OF JOB DESCRIPTION: YES NO Employees are to complete the Performance Goals section for the approaching year by early August. Supervisors are to indicate their comments regarding these goals in the Supervisor's Comments section by the end of August (performance planning meeting). By the end of the following May, employees are to complete the Major Accomplishments section for the reporting year. Supervisors are to indicate their comments regarding these accomplishments in the Supervisor's Comments section by the end of June (performance review meeting). EMPLOYEE'S PERFORMANCE GOALS and ACCOMPLISHMENTS; SUPERVISOR S COMMENTS Performance Goals College (or Location)/Division/Dept Goals Major Accomplishments Supervisor s Comments WHAT OUTCOME(S) DO YOU WANT? DESCRIBE THE DESIRED OUTCOME(S). (EXAMPLES: EXCEPTIONAL CUSTOMER SERVICE, PROCESS IMPROVEMENT, PROGRAM EVALUATION AND/OR REORGANIZATION, INCREASED PRODUCTIVITY AND EFFICIENCY) Identify 1-5 Goals EXAMPLE: WILL DEVELOP A STRATEGIC PLAN FOR THE STAFF AND ORGANIZATIONAL DEVELOPMENT DEPARTMENT THAT WILL SYSTEMATICALLY ADDRESS THE PROFESSIONAL DEVELOPMENT NEEDS OF FACULTY, STAFF AND ADMINISTRATORS OF THE DISTRICT. DESCRIBE YOUR ACCOMPLISHMENTS REGARDING EACH OF YOUR COLLEGE (OR LOCATION)/DIVISION/DEPARTMENT GOALS EXAMPLE: THE TASK FORCE COMPLETED THE STRATEGIC PLAN IN MARCH 2008 AND PRESENTED IT TO THE BOARD, CHANCELLOR S STAFF AND EMPLOYEE GROUPS FOR FEEDBACK. SURVEY AND FOCUS GROUPS WERE CONDUCTED IN JUNE. THEIR FEEDBACK AND SUGGESTIONS WERE INTEGRATED INTO A REVISED DRAFT, WHICH WAS PRESENTED TO THE BOARD. THE SUPERVISOR INDICATES COMMENTS REGARDING AGREEMENT ON: (1) THE EMPLOYEE'S COLLEGE (OR LOCATION)/ DIVISION/DEPARTMENT GOALS FOR THE APPROACHING YEAR; (2) THE EMPLOYEE'S MAJOR ACCOMPLISHMENTS (SELF-ASSESSMENT) FOR THE REPORTING YEAR. (COMMENTS SHOULD REFLECT THE DEGREE OF SUCCESS OR FAILURE AND FUTURE EXPECTATIONS REGARDING EACH GOAL. THE SUPERVISOR MUST STATE IN CONCRETE TERMS WHETHER ANY PART/ELEMENT OF A GOAL WILL BE CARRIED OVER TO THE APPROACHING YEAR'S PERFORMANCE GOALS.)