Employee Performance Management Process

Transcription

1 Employee Performance Management Process Summer 2009

2 EPMP EMPLOYEE GUIDE: CONTENT Introduction... 4 Overview... 5 DPS Commitment to Performance Management... 6 Employee Performance Management Process (EPMP) Defined... 7 Positions covered by EPMP... 7 EPMP Mechanics... 8 EPMP Parameters... 8 EPMP Cycle and Timing... 9 EPMP Roles & Responsibilities EPMP Forms DPS Success Factors Performance Planning Roles & Responsibilities Timing Documentation Components of the Performance Plan Individual Performance Planning Steps Defining Goals Creating Alignment Development Planning Ongoing Dialogue Roles and Responsibilities Documentation Receiving Feedback Mid-Year Checkpoints Roles and Responsibilities Timing Documentation Preparing for the Mid-Year Checkpoint Meeting Participating in the Meeting Performance Evaluation Roles and Responsibilities Timing Components of the Performance Evaluation Performance Ratings Preparing for the Performance Evaluation Participating in the Meeting Note: While the initial edition of the Employee Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 2 of 66

3 EPMP EMPLOYEE TOOLKIT: CONTENT Introduction EPMP Forms Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form Completed Example: Performance Planning and Evaluation Form Roles & Responsibilities Performance Planning Ongoing Dialogue: Feedback and Coaching Mid-Year Checkpoint Performance Evaluation Goal Setting: Tips and Tools Documenting Goals Creating Goal Alignment Stretch Goals SMART Goals Prioritizing Goals Translating Goals into Action Development Planning Note: While the initial edition of the Employee Guide provides a brief overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, midyear checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 3 of 66

4 INTRODUCTION This EPMP Process Guide is your resource for Denver Public Schools Employee Performance Management Process (EPMP) for Central Office employees. The Process Guide outlines the important role performance management plays for the district, managers, and each Central Office employee. It explains the purpose and mechanics of the EPMP process and includes a Toolkit, which provides tips, tools, and examples to support the performance management process. The Process Guide serves as a reference for employees as they participate in EPMP, as well as an orientation to the process for new employees. You are encouraged to visit the Denver Public Schools Performance Management Web site at for additional information and resources on performance management. Note: While the initial edition of the Employee Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 4 of 66

5 OVERVIEW DPS vision of leading the nation s cities in student achievement, high school graduation, college preparation, and college matriculation is ambitious, but we can do it if we take it step-by-step. Most important, we need to have the right people focused on the right things and empowered to perform. Each employee plays a critical role; you are the link between the district s goals and the results we must accomplish to achieve those goals. The Board of Education (BOE) has defined clear five-year goals with respect to student achievement and growth. In response, the superintendent and the senior team have defined the Action Plan, defining key strategies or pillars of actions to drive goal achievement. (The Action Plan is the next phase of the Denver Plan. It will continue to be refined over 2009.) We need to translate these goals and strategies into specific results for each employee, define clear accountability, and support employees in contributing to their fullest potential. The BOE goals, Policy A, and the Theory of Action can be found on the DPS Web site ( on the Board of Education page. Imagine how successful DPS will be if each staff member is: Aligned around clear strategies to achieve our mission and goals. Focused on those things most directly linked to student achievement and growth. Empowered by clear goals and expectations. Accountable and rewarded for results. Developing those capabilities most important to district success. The Employee Performance Management Process (EPMP) focuses employees on the outcomes and actions that are most important for student and district success and empowers them to perform. It provides a process that enables employees to translate district and department/division goals and strategies into results they can accomplish in their day-to-day work. EPMP also engages employees in goal achievement and provides an important foundation for employee development, ensuring the district remains a compelling place to work, grow, and learn. Page 5 of 66

6 DPS Commitment to Performance Management EPMP is part of the district s broader focus on performance management, which includes a set of initiatives designed to increase student achievement, high school graduation, and college readiness. These performance management initiatives aim to: Provide clear objectives and standards. Develop measurement systems to track progress. Allow autonomy to perform coupled with accountability for results. Award rewards based on performance. At their core, these performance management initiatives are guided by a strong focus on People, Service, and Results. The People focus includes recruiting, training, retaining, and rewarding highly motivated and skilled employees and ensuring that the right people are doing the right jobs. The Service focus refers to the mission of employees to support their teams, their customers, and the mission of the district to the best of their abilities. The Results focus means setting clear goals, tracking progress, implementing change when it is necessary, and accepting accountability for results. The School Performance Framework provides a roadmap for school personnel to follow in setting and achieving goals. While EPMP provides a similar framework for Central Office employees, it is important to realize that this is only a framework. Its power will be realized only when employees and managers collaborate in using it to define how they will contribute to district success. More information regarding the district s performance management initiatives can be found at: Page 6 of 66

7 Employee Performance Management Process (EPMP) Defined EPMP provides a standard process and format for employees and managers to use in planning, monitoring, developing, evaluating, and recognizing performance. It is an ongoing process grounded in two-way dialogue and focused on employee development. EPMP Mission The Employee Performance Management Process is an ongoing system of goal setting and performance appraisal for Central Office employees to ensure that: The District s Goals and Action Plan are effectively translated into achievable goals and performance expectations at the district, department, team, and individual levels. Employees at all levels are held accountable for their achievement, recognized for their contributions, and supported in their career development. The district maintains a process for continuous improvement and focus on service. DPS remains a compelling place for employees to work, learn, and grow. EPMP will evolve with the district. DPS is in the early stages of developing our talent management processes and performance management provides a critical foundation. Future goals include linking EPMP with job descriptions, defining competency profiles for key jobs, enhancing employee development planning processes and opportunities, and strengthening the link between performance and rewards. Positions Covered by EPMP EPMP will ultimately cover both exempt (not eligible for overtime) and non-exempt (eligible for overtime) Central Office employees. Implementation for exempt employees is effective with the performance year beginning September 1, It is anticipated that EPMP will be extended to nonexempt employees for the performance year, which begins September 1, If you have any question as to whether your position is covered by EPMP, ask your manager. It is DPS goal to standardize performance management to the extent possible, but the nature of the performance management process must also be appropriate to the position. For example, separate processes currently exist for teachers and principals and it is likely these processes will remain separate as they are unique to the needs of the these positions. Page 7 of 66

8 EPMP MECHANICS EPMP Parameters There are certain fixed parameters within the EPMP process. These include use of the standard performance management form, following the standard performance management cycle and timelines, and ensuring employee involvement in the process. Specific parameters include: Annual Goal Setting and Performance Evaluation. Each employee will participate in an annual, documented, goal setting and performance evaluation process. This will include a mid-year checkpoint. Standardized Cycle. The start of the performance year is September 1. The performance evaluation process for the prior year and performance planning process for the upcoming year starts August 1 and ends October 31. Standard Form. A standard form will be used for both performance planning and evaluation. This form and additional forms supporting the performance management process can be found in the EPMP Toolkit at the end of this document and also on the DPS Web site under HR Forms ( Cascading Goal Setting Process. Department/division leaders will lead a cascading goal setting process to translate district goals into group, team, and individual goals. Rating Scale. Central Office employees will be rated using a four-point rating scale. Calibration. Managers are responsible for calibrating performance goals and evaluations across teams and individual employees to facilitate equity in terms of expectations and ratings. Co-accountability. Managers and employees are both active participants in the process; managers are accountable for process execution. Page 8 of 66

9 EPMP Cycle and Timing Important Dates Annual Performance Review Cascading Goal Setting in Departments/Divisions Sept 1 Aug 31 Aug Oct All Goals/Performance Plans Completed Oct 31 Mid-Year Checkpoint Meetings Annual Performance Evaluations Complete and Submitted to HR Jan Feb Sept 15 Performance Evaluations Approved and Finalized Sept 30 Performance Evaluations Communicated to Employees Oct 1 Oct 31 EPMP starts with performance planning where department/division heads establish group goals for the upcoming year. These goals are subsequently cascaded into team and individual goals and performance expectations. Throughout the year employees and managers engage in ongoing dialogue, where they monitor progress, adjust goals where appropriate, seek and provide performance feedback and coaching, solve problems, and recognize achievements. Performance discussions should occur through on-the-spot feedback, normal work reviews, problem-solving sessions, and scheduled team and one-on-one meetings. A documented mid-year checkpoint is expected to occur in the January/March timeframe each year to track progress against the performance plan. Page 9 of 66

10 The final step is performance evaluation, where performance is evaluated against the goals and expectations set at the beginning of the year. The performance evaluation process includes employee self-evaluation as well as the manager s evaluation of employee performance. The year-end performance evaluation should summarize and prioritize key themes from prior discussions. EPMP Roles and Responsibilities A key tenet of EPMP is co-accountability; both employees and managers are active participants in the process with specific roles to play. The EPMP Toolkit provides a detailed outline of employee roles for each step in the EPMP process. EPMP Forms The three main performance management forms used in the EPMP process are explained below. They can be found on the HR Web site ( and in the EPMP Toolkit. Performance Planning and Evaluation Form. The Performance Planning and Evaluation Form serves a dual purpose. During performance planning, this form is used to record goals and expectations. During performance evaluation, achievements are documented on the same form. The form includes the following components: Individual Goals Success Factors Other Performance Factors People Management Performance Summary Performance Rating The Performance Planning and Evaluation Form is the official, signed record of all performance planning and evaluation discussions. It is submitted to Human Resources when finalized and signed. Signing this form in conjunction with performance planning indicates that both parties (employee and manager) have an understanding of expectations, relative priorities, and how performance will be measured. Signing it in conjunction with the performance evaluation indicates that both parties have participated in the evaluation process. The employee s signature indicates the form has been reviewed with the employee, but does not necessarily indicate he or she is in agreement with it. There is space on the form for the employee to note any additional information or perspective he or she would like to have on record. Employee Performance Planning and Self-Evaluation Form. This is a questionnaire for employees to use when preparing for performance planning and evaluation discussions. Managers may request this form in advance of the scheduled meeting or simply have you use it to prepare for the meeting. The form is not submitted to Human Resources, but both employee and manager should retain a copy for their records. As an alternative, for performance planning purposes, managers may ask employees to draft the Page 10 of 66

11 performance planning section of the Performance Planning and Evaluation Form for the manager to finalize. Mid-Year Checkpoint Form. This form is provided to document mid-year discussions. Employees and managers can use this form to prepare for the discussion; managers are responsible for preparing final documentation on the discussion. This form is submitted to Human Resources when finalized. DPS Success Factors DPS Success Factors are an important foundation of our culture and an integral part of EPMP. The Success Factors define the actions and behaviors that district leadership believes will drive success. They are performance expectations for each employee. DPS Success Factors define who we are as an organization, what we stand for, and what we stand on. They define how each employee contributes to student achievement and growth. If all employees demonstrate these values, we will achieve our goals. DPS Success Factor Definition Put Students First Achieve Results Collaborate Puts students first in setting priorities and delivering results. Sets aggressive goals, focuses on key priorities, and assumes responsibility for results. Works proactively with others to achieve common goals. Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders. Make Change Happen Seizes opportunities for improvement and promotes positive change. The goal is to shape and reinforce the culture DPS is creating and to move each employee to a place where exhibiting the Success Factors is not a conscious effort, but simply a day-to-day part of job performance. Actions and behaviors that are representative of each Success Factor are defined in the exhibit on the following page. Page 11 of 66

12 Exhibit Success Factors Put Students First Puts students first in setting priorities and delivering results Achieve Results Sets aggressive goals, focuses on key priorities and assumes responsibility for results Collaborate Works proactively with others to achieve common goals Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders Make Change Happen Seizes opportunities for improvement and promotes positive change Representative Actions Prioritizes work to focus on those actions most critical to serving students and achieving DPS goals. Considers all policies and decisions from perspective of impact on students and families. Demonstrates empathy in interaction with students and families. Identifies critical needs and highest impact activities; works with manager to align objectives, time and resources. Applies sound judgment in making decisions and solving problems in ways that best serves students. Gathers relevant data, identifies key issues and considers broader implications in making decisions. Takes responsibility for completing tasks and identifying ways to improve. Demonstrates ability to get things done; consistently delivers on promises made. Removes barriers to achieving results. Focuses on actions needed to achieve goals; effectively managing shifting priorities. Holds self and others accountable for achieving results. Proactively raises issues and drives them to closure. Collaborates within and across teams to accomplish results. Pitches in to help others achieve their goals. Builds and maintains positive relationships with students and stakeholders. Contributes positively to team effectiveness. Inspires trust and confidence by making and keeping commitments. Clearly articulates goals and what s needed to accomplish them to enable others to take action. Takes time to understand objectives and needs of students and other stakeholders. Takes steps to prevent problems; quickly addresses problems when they occur. Sets priorities effectively to handle competing needs. Finds ways to deliver quality service within time and resource constraints. Solicits and acts upon feedback. Anticipates and proactively addresses student and stakeholder needs. Demonstrates a can do attitude; initiates and positively embraces change. Finds new challenges and opportunities energizing and motivating. Demonstrates sense of urgency; moves forward despite ambiguity and removes barriers to achieving results. Finds proactive, creative ways to contribute to DPS objectives. Champions new ways of doing things. Forward- thinking; plans for future opportunities and needs. Page 12 of 66

13 PERFORMANCE PLANNING Performance management is about empowerment. Performance planning is about defining and creating focus on key priorities and clarifying performance expectations. Think about it: it s unlikely that goals will be achieved unless everyone knows exactly what they need to do to contribute. Performance Planning requires setting direction, defining accountability, and then turning people loose to perform. Performance Planning Objectives The specific objectives of performance planning are to: Set goals aligned with district/ department/ division objectives. Clarify performance expectations. Establish priorities and ensure efforts are focused on the highest impact results. Determine how success will be measured. Discuss development objectives and establish development plans. Page 13 of 66

14 While managers have ultimate accountability, performance planning is a collaborative process. No one knows your job and how you can contribute better than you! Your participation in the process is important to ensure goals are realistic and expectations are clear. It is also important to ensure agreement on how success will be measured, and to discuss what resources and support will be required to achieve your goals. Performance planning sets employees up for success. It ensures your contributions are the most important ones to support district goal achievement and enables you to continuously develop in your role. Roles and Responsibilities Refer to the EPMP Toolkit for an overview of employee roles and responsibilities. Timing The performance planning cycle generally runs from August 1 October 31. While all goals need to be completed by October 31 each year, there is some flexibility in the process. It s fine for a department or division to get a head start on performance planning before August if that helps them prepare for the school year, for instance, and some groups may need to wait until closer to the end of the performance planning cycle until CSAP and School Performance data is released to set goals and priorities. However, each employee should have a completed performance plan by no later than October 31. Documentation Employees will generally use the Employee Performance Planning and Self-Evaluation Form in preparing for performance planning discussion. Managers may request this form in advance of the scheduled meeting or simply have the employee bring it to the meeting for reference. This form is not submitted to Human Resources, but both employee and manager should retain a copy for their records. As an alternative, for performance planning purposes, managers may ask employees to draft the performance planning section of the Performance Planning and Evaluation Form for them to finalize. Page 14 of 66

15 Components of the Performance Plan Individual Goals Individual goals may relate to ongoing responsibilities, special projects, continuous improvement goals, job-related personal development, etc. Consider the following questions: How can you most directly contribute to the district, department/division, and team goals? Are there high-impact operational improvements you should be focused on this year? Which of the key areas of ongoing responsibility warrant top of mind focus for you this year? DPS Success Factors How can you incorporate the Success Factors into your role on an ongoing basis? Consider examples of specific ways you have demonstrated the Success Factors in the past, and think about examples of actions that would represent superior performance in these areas. Key areas of focus for the upcoming year should be identified, considering development needs and opportunities to take performance to the next level. Other Performance Factors This optional section allows you and your manager to identify any other factors that should be considered in assessing your overall performance. This may include: Productivity or quality standards Attendance, policy compliance, standards of conduct Functional, job-specific knowledge, skills, and abilities Certifications and licensures Proficiency with specific tools and equipment Etc. People Management Expectations This section is applicable only to employees with responsibility for hiring and performance management. The following is DPS standard criteria for the People Management factor: Visible and Accessible Leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance planning involves discussing key areas of focus for the upcoming year; consider your development needs and opportunities as well as more general leadership development goals for your team. Page 15 of 66

16 Individual Performance Planning Steps Multiple Incumbent Jobs In some groups there may be many employees performing essentially the same job, e.g., nurses, psychologists, curriculum specialists. In these situations, your manager may find it appropriate to first develop a performance plan for that specific job and then customize it to fit each employee in the role. Individual performance planning will then focus on what s unique to the employee. If similar jobs are found in other groups, employees will be encouraged to coordinate performance planning activities with those groups. Your HR Partner can assist in facilitating these sessions. Page 16 of 66

17 The EPMP Toolkit at the end of this guide provides tips and tools to use throughout performance planning. The remainder of this section provides an overview of: Defining Goals Creating Goal Alignment Performance Planning It also discusses individual development planning, an optional component of EPMP that is driven by employees. Defining Goals Goals should generally concern change; they should go beyond normal operations and bridge the gap between where an employee is now and where the employee wants to be. They should concretely define how an employee can most directly contribute to DPS goals. A well-written goal defines specific results to be achieved and how someone will know when it has been achieved. The EPMP Toolkit at the end of this guide provides a variety of tools to assist in the goal-setting process. It discusses: Documenting Goals Goal statements should define specific results or outcomes to be achieved, how the goal supports higher level (department/division or district goals) and how goal achievement will be measured. While optional, weighting goals can help define and emphasize priorities. Stretch Goals Good goals have stretch -- they are ambitious, but achievable with a reasonable degree of effort, and they require contributions beyond the status quo. Goals that are too aggressive, where the likelihood of achievement is very low, can be demoralizing. Conversely, goals that are set too low or are too easy to achieve will do little to motivate the employee or drive continuous improvement. SMART Goals SMART goals are: S Specific Describe exactly what you want to achieve. M Measurable Defines how you will know when the goal has been achieved. A Achievable Realistic in terms of knowledge/skills and resource requirements. R Relevant Tied to key department/division or district priorities. T Time-Bound Defines specific end-date. Prioritizing Goals Having more than three to five goals may dilute focus and the ability to achieve the goals. It is important to identify the critical few. Page 17 of 66

18 Action Planning Defining goals is about creating focus. Employees also need to develop the roadmap to translate goals into action. This involves defining specific steps to achieve the goal, identifying key milestones, and defining the resources required for goal achievement As you begin to identify potential goals, it is a good time to re-assess ongoing activities and consider if there are any processes you can improve to work more efficiently, ways you can better serve customers, or activities that you are doing that may not be as important as others you should be doing. Don t wait until performance planning to discuss these ideas with your manager, but performance planning does provide an ideal time for you and your manager to systematically look at your job and how you spend your time. Below are some questions you should consider when identifying potential goals. What do key customers and colleagues need and expect from you this year? What aspects of the team goals do you own or co-own? What special projects might be appropriate to further function objectives? What district, group, or team initiatives would benefit from your participation? What current responsibilities need additional focus? Where are the opportunities for meaningful improvement in operations or service levels? What new roles might you take on to expand your contributions within the team? Are there specific Success Factors that warrant special focus? What opportunities exist to develop or expand knowledge, skill, and ability in areas that will benefit the function or group? Page 18 of 66

19 Creating Alignment A key objective of performance planning is goal alignment. For DPS, goal alignment starts with the District Goals defined by the Board of Education. These goals serve as guideposts for the district s work and provide specific metrics and milestones related to student and district success. The Action Plan defines the district s strategies or key pillars of action for achieving District Goals. Further information on the District Goals and Action Plan can be found on the Performance Management Web site ( The District Goals are concrete but ambitious. To achieve the goals, the district needs to break them down into more manageable pieces discrete outcomes that a department/division can realistically accomplish. Each of those outcomes then needs to be broken down further into outcomes that teams and individuals can realistically accomplish. That s called "cascading goals" and it provides an important foundation for the EPMP performance planning process. The pillars of the Action Plan represent broad strategies that the district believes will lead to goal achievement. It can sometimes be difficult to link these strategies back to your work or the work of your team on a daily basis. However, every time a strategy is implemented to better serve colleagues, every time a process is improved, every time a new process is introduced to improve the effectiveness of a function, we get closer to achieving District Goals. Page 19 of 66

20 Your role is to work with your manager to define how you can most directly contribute to district success based on the job you do and the impact you have on students or colleagues who serve students directly. Examples of cascading goals are provided in the EPMP Toolkit. Development Planning While not part of the official EPMP process at this time, the process provides an excellent forum to focus on personal career goals and career development. While employees are responsible for driving development discussions around future career goals, managers can also play an important role in helping employees articulate their goals, explore the possibilities, and define appropriate development activities. A Development Planning tool is available in the EPMP Toolkit. A Development Planning Form to document goals and monitor progress is available on the HR Web site ( These development goals are not rated as part of the performance evaluation; however, if a development goal is critical for current job performance, it should be documented in the Performance Planning and Evaluation Form to ensure progress is monitored and evaluated. Page 20 of 66

21 ONGOING DIALOGUE Ongoing dialogue is at the heart of an active partnership between an employee and his or her manager. Remember, performance management is a process, not an event. Ongoing dialogue means frequent, effective interactions, both formal and informal. Ongoing Dialogue Objectives The specific objectives of ongoing dialogue are to: Monitor performance against the performance plan set at the beginning of the year. Provide real-time, concrete feedback and coaching to continuously develop performance. Recognize accomplishments, progress, special efforts, or a job-well done. Support employees in identifying and solving problems; understand what they need from you to be successful. Identify development needs and opportunities. Adjust goals as circumstances and priorities and change. Foster accountability for results. Page 21 of 66

22 Roles and Responsibilities One of the parameters of EPMP is co-accountability. That means both managers and employees are responsible for initiating dialogue about performance. As an employee, you are responsible for: Asking for direction and guidance when you re not clear. Proactively seeking feedback and coaching, and incorporating it into future performance. Offering your ideas on how work processes or customer service can be improved. Identifying ways you might be able to take on new responsibility or expand your role. Asking for help solving problems and removing barriers to performance (make sure you ve thought through potential solutions.) Identifying potential changes to goals and priorities based on changing circumstances. Monitoring, tracking, and documenting your performance against performance plans. Sharing feedback you receive from others. Discussing your career goals and exploring how you can use your current job to develop knowledge and skills that will contribute to those goals. Perhaps most importantly, let your manager know what you need from him or her to be successful. There may be barriers, e.g., team priorities, resource limitations, but your manager can t help if he or she doesn t know what you need. Refer to the EPMP Toolkit for an overview of employee roles. Documentation The EPMP process does not include specific forms for ongoing dialogue, but documenting performance conversations and events as they occur will make mid-year checkpoint discussions and year-end evaluations easier and more effective. Employees should keep track of accomplishments, progress, and challenges; feedback from colleagues and customers; ways they have demonstrated the Success Factors; extraordinary efforts; and anything else that would be helpful in providing concrete examples of their performance. Employees should use whatever process works best for them. For instance, jot down things you want to remember in a notebook, send yourself s and store them in an EPMP file, create a file to store work samples, s, notes from others, etc. Discuss with your manager whether a monthly reporting system might be helpful. Ongoing documentation does not need to be extensive or formal; just a quick note to file will help jog your memory when it s time to develop formal documentation. Document frequently and be specific. Page 22 of 66

23 Receiving Feedback Feedback is an important part of continuous learning and performance development, but it is common for people to feel uncomfortable when receiving feedback, especially when it relates to opportunities for improvement. When accepting feedback, try to keep the following points in mind: Feedback is rare, but it shouldn t be. When feedback is offered, it should be accepted and valued, viewed as a gift from someone trying to help you be all you can be. There are consequences for ignoring feedback. Feedback enables you to understand the impact of your actions on others and highlights opportunities for constructive change. If you ignore feedback, others will quit giving it to you, significantly reducing your chance of success. Avoid being defensive. Keep an open mind. If you disagree, wait until the person has finished speaking, then evaluate your thoughts and state your ideas. Even if feedback is not delivered effectively, it is important to listen. Ask follow-up questions to ensure you understand what is being said, and take the time to evaluate it objectively. Ask for specific examples. To maintain or improve performance, it helps to know specifically what it is that you did effectively or ineffectively. Try to obtain as many concrete examples as possible. Ask for examples in a positive, non-challenging way. View feedback as a chance to find out how to improve. View each feedback discussion as a learning opportunity. Think how you might enhance or change your performance based on the feedback you received. Page 23 of 66

24 MID-YEAR CHECKPOINT The EPMP mid-year checkpoint is a documented conversation between an employee and his or her manager to discuss accomplishments, assess progress against performance plans, and identify priorities for the remainder of the year. It is less formal than the annual performance evaluation, focusing on status and next steps to goal achievement. Mid-year checkpoints reinforce the basic objectives of performance management in that they ensure employees: Keep efforts aligned with team, department/division and district goals. Remain focused on critical priorities. Are empowered by clear goals, expectations and feedback. Are accountable and recognized for results. Are developing those knowledge and skills most important to future success. Mid-Year Checkpoint Objectives The specific objectives of the mid-year checkpoint are to: Assess progress against the performance plan defined at the beginning of the year. Document accomplishments, progress, and challenges. Discuss priorities for the remainder of the year. Discuss plans and provide guidance to complete goals by year-end. Adjust goals if appropriate based on changing priorities and circumstances. Identify potential barriers to goal achievement and problem-solve around them. Page 24 of 66

25 Roles and Responsibilities Refer to the EPMP Toolkit for an overview of employee roles and responsibilities. Timing Mid-year checkpoint discussions are held from January 15 through March 1 each year. Documentation The Mid-year Checkpoint Form is the documented, signed record of the discussion. Both employees and managers use the Mid-year Checkpoint Form in preparing for the discussion. Managers are responsible for completing the form, gaining the employee s signature, and forwarding the Form to Human Resources. An employee s signature indicates the form has been reviewed with the employee, but does not necessarily indicate he or she is in agreement with it. There is space on the form for an employee to note any additional information or perspective that he or she would like to have on record. Preparing for the Mid-year Checkpoint Meeting To prepare for the mid-year checkpoint meetings: Page 25 of 66

26 Participating in the Meeting The mid-year checkpoint meeting should be a dialogue, not a one-way conversation. Employees should ask questions to clarify feedback, share their perspective, and let their manager know where they need additional support. They should also discuss development goals and ask for coaching in areas where they want to develop. Let your manager know what you need from them to be successful! Page 26 of 66

27 PERFORMANCE EVALUATION Performance evaluation involves formal discussion, evaluation, and documentation of the employee s performance relative to the performance plan developed at the beginning of the performance year. It is an opportunity for employees to reinforce their overall contributions, to highlight their accomplishments and strengths, and to discuss challenges and opportunities. It is also about accountability: ensuring employees take accountability for delivering against the performance plan and managers take accountability for providing the guidance, resources, feedback, and support needed to facilitate success. Performance Evaluation Objectives The specific objectives of the performance evaluation are to: Evaluate annual performance against the performance plan established at the beginning of the year. Provide a summary view of the entire year s performance. Foster accountability for results. Provide a formal record of annual performance, including a performance rating, to support management and HR decisions. Page 27 of 66

28 Roles and Responsibilities Refer to the EPMP Toolkit for an overview of employee roles in the performance evaluation process. Timing The end of the performance year is August 31. The performance evaluation cycle is August 1 through October 31. Performance evaluation documentation is to be completed by September 15 each year to allow for senior team review and calibration. Senior team approval will be communicated by October 1, and performance evaluations are to be communicated to employees by October 31. Components of the Performance Evaluation Managers are responsible for completing the Performance Evaluation sections of the Performance Planning and Evaluation Form. Individual Goals Managers will document goal achievement relative to the performance indicators set during performance planning and assign a performance rating for each goal. The performance rating scale is discussed later in this section Success Factors Managers will evaluate the employee s performance on each of the success Factors, paying particular attention any areas of focus identified during performance planning. While it is not necessary to comment on each Success Factor, employees will receive a performance rating on each Success Factor. Other Performance Factors Performance relative to any other performance factors identified during performance planning will be documented and a performance rating assigned. People Management If an employee manages other employees, performance relative to the criteria for People Management Expectations below will be evaluated and rated. Managers will also consider any other areas of focus identified during performance planning. Visible and Accessible Leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. The performance evaluation concludes with a summary of overall performance and an overall performance rating. Page 28 of 66

29 Both managers and employees sign the completed Performance Planning and Evaluation Form following the performance discussion. Signed forms are forwarded to Human Resources for inclusion in your employee file. An employee s signature indicates the form has been reviewed with him or her. There is space on the form for the employee to note any additional information or perspective he or she would like to have on record. Performance Ratings Employees receive performance ratings for each section of the Performance Planning and Evaluation Form as well as for overall performance. In the Individual Goals section, a rating is assigned to each goal; the same format is used for the Success Factors. All performance ratings will reflect the standard EPMP rating scale. 4 Exceeds Expectations Performance regularly exceeds expectations. Superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency in DPS Success Factors or critical job skills. Performance ratings are to be assigned in whole numbers; decimals or fractions will not be recognized. Determining the performance rating ultimately involves management judgment and is not a mathematical formula to be followed. Page 29 of 66

30 Preparing for the Performance Evaluation While the manager is responsible for completing performance evaluations, employees have input to the process. To prepare: Page 30 of 66

31 Participating in the Meeting The performance evaluation meeting should be a dialogue, not a one-way conversation. Employees should ask questions to clarify feedback, share perspective, and let their manager know where they need additional support. They should also discuss development goals and ask for coaching in areas where they want to develop. Let your manager know what you need from them to be successful! Page 31 of 66

32 Employee Performance Management Process Central Office Positions EPMP Toolkit Summer 2009 Page 32 of 66

33 EPMP TOOLKIT: CONTENT Introduction EPMP Forms Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form Completed Example: Performance Planning and Evaluation Form Roles & Responsibilities Performance Planning Ongoing Dialogue: Feedback and Coaching Mid-Year Checkpoint Performance Evaluation Goal Setting: Tips and Tools Documenting Goals Creating Goal Alignment Stretch Goals SMART Goals Prioritizing Goals Translating Goals into Action Development Planning Note: While the initial edition of the Employee Guide provides a brief overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 33 of 66

34 INTRODUCTION The Employee Performance Management Process (EPMP) Toolkit is a collection of tips and tools designed to help facilitate the EPMP process. The EPMP Toolkit includes forms and samples, information on roles and responsibilities, goal setting processes, and other tools to help you at each stage of the performance management process. Depending on your experience and needs, you may use all or some of the tools. Note: While the initial edition of the Employee Guide provides an overview of the performance management process, it is primarily focused on performance planning. Additional material on feedback and coaching, mid-year checkpoints, and the performance evaluation process will be provided over the course of 2009/2010 in conjunction with training related to these topics. Page 34 of 66

35 EPMP: FORMS This section of the toolkit contains the following forms: Performance Planning and Evaluation Form Employee Performance Planning and Self-Evaluation Form Mid-Year Checkpoint Form A Completed Example of the Performance Planning and Evaluation Form All forms are posted on the HR Web site ( Page 35 of 66

36 Performance Planning and Evaluation Form Central Office Exempt Employees Employee Name: Employee Job Title: Supervisor Name: Supervisor Job Title: Dept/Division: Planning Date: Review Date: DPS Employee Performance Management Process (EPMP) aligns individual work to the district s mission by focusing employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee has on student achievement and growth. It provides a structured process and format for managers and employees to use in planning, tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for additional guidance on the process and tools to assist in executing the process. Performance Rating Definitions 4 Exceeds Expectations Performance regularly exceeds expectations; superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency In DPS Success Factors or critical job skills. Page 36 of 66

37 Individual Goals Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility, special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance. Performance Planning Define the most critical outcomes for the upcoming year (Goal Statements), the district or department/division goal supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than three to five. Weighting the goals is optional but can help emphasize priorities. Performance Evaluation Document actual results and assign a performance rating for each goal. 1 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 2 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 3 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Weight Rating (year-end) Weight Rating (year-end) Weight Rating (year-end) Page 37 of 66

38 4 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 5 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Weight Rating (year-end) Weight Rating (year-end) Page 38 of 66

39 DPS Success Factors DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer to the Success Factor definitions at the end of this form for guidance. Performance Planning During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage). Success Factors - Areas of Focus Performance Evaluation The performance evaluation should document actual performance against expectations, citing specific examples. Then, assign a performance rating to each Success Factor. Success Factors Comments / Observed Actions Rating Put Students First Achieve Results Collaborate Deliver Excellent Service Make Change Happen Page 39 of 66

40 Additional Performance Factors (Optional) Identify any other factors that should be considered in assessing the employee s overall performance (e.g., knowledge/skills/abilities, certifications, attendance, policy compliance, standards of conduct, etc.). Performance Planning Performance Indicators/Areas of Focus Performance Evaluation Comments/Observed Actions Performance Rating People Management (If Applicable) Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for hiring and performance review). Expectations for people managers are defined below. During performance planning, identify any specific goals or areas of focus for the upcoming year. People Management Expectations Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance Planning Goals/Areas of Focus Performance Evaluation Comments/Observed Actions Performance Rating Page 40 of 66

41 Year-End Performance Summary Document overall observations of performance over the course of the year, highlighting major accomplishments, strengths, growth and opportunities. Manager s Comments Overall Performance Rating Employee s Comments Signatures Performance Planning Supervisor Name Signature Date Employee Performance Evaluation Supervisor Employee Name Signature Date Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be noted above. Page 41 of 66

42 Success Factors Put Students First Puts students first in setting priorities and delivering results Achieve Results Sets aggressive goals, focuses on key priorities and assumes responsibility for results Collaborate Works proactively with others to achieve common goals Deliver Excellent Service Takes responsibility for understanding and effectively addressing needs of students and other stakeholders Make Change Happen Seizes opportunities for improvement and promotes positive change Employee Performance Management Process EMPLOYEE PERFORMANCE MANAGEMENT PROCESS (EPMP) DPS SUCCESS FACTORS DPS Success Factors define who we are as an organization, what we stand for and stand on. They define how each employee contributes to student achievement and growth. If all employees demonstrate these actions, we will achieve our goals. Representative Actions Prioritizes work to focus on those actions most critical to serving students and achieving DPS goals Considers all policies and decisions from perspective of impact on students and families Demonstrates empathy in interaction with students and families Identifies critical needs and highest impact activities; works with manager to align objectives, time and resources Applies sound judgment in making decisions and solving problems in ways that best serves students Gathers relevant data, identifies key issues and considers broader implications in making decisions Takes responsibility for completing tasks and identifying ways to improve Demonstrates ability to get things done; consistently delivers on promises made Removes barriers to achieving results Focuses on actions needed to achieve goals; effectively managing shifting priorities Holds self and others accountable for achieving results Proactively raises issues and drives them to closure Collaborates within and across teams to accomplish results Pitches in to help others achieve their goals Builds and maintains positive relationships with students and stakeholders Contributes positively to team effectiveness Inspires trust and confidence by making and keeping commitments Clearly articulates goals and what s needed to accomplish them to enable others to take action Takes time to understand objectives and needs of students and other stakeholders Takes steps to prevent problems; quickly addresses problems when they occur Sets priorities effectively to handle competing needs Finds ways to deliver quality service within time and resource constraints Solicits and acts upon feedback Anticipates and proactively addresses student and stakeholder needs Demonstrates a can do attitude; initiates and positively embraces change Finds new challenges and opportunities energizing and motivating Demonstrates sense of urgency; moves forward despite ambiguity and removes barriers to achieving results Finds proactive, creative ways to contribute to DPS objectives Champions new ways of doing things Forward- thinking; plans for future opportunities and needs Page 42 of 66

43 Employee Performance Planning and Self-Evaluation Form Central Office Exempt Employees Name: Job Title: Supervisor Name: Dept/Division: Date: Performance Planning for Upcoming Year 1) What are your goals and priorities for the upcoming year? What specific contributions will you make to achieving DPS or department/division goals? Think about what you want to focus on with respect to ongoing job responsibilities, special projects, process improvements, personal development, taking on new responsibilities, etc. For each goal, describe how goal achievement will be measured. 2) Who do you need to work with or coordinate with to achieve your goals? 3) What Success Factors do you want to focus on in the upcoming year? 4) Do you have career development goals you would like to discuss with your supervisor? What specific development activities would help you achieve your goals, and how will you measure success? 5) What can your supervisor do to help you be as successful as possible? Page 43 of 66

44 Self-Evaluation for Prior Performance Period 6) Review the individual goals and performance indicators agreed-upon at the beginning of the year. (These are documented on the Performance Planning and Evaluation Form.) Describe actual results achieved. 7) Refer to the DPS Success Factors definitions at the end of the Performance Planning and Evaluation Form or in the EPMP Guide. What areas do you consider to be strengths? Where do you see opportunity for improvement? Document specific examples of how you demonstrated the Success Factors. 8) What were your most important accomplishments during the prior performance period? How did you contribute to achieving DPS goals? 9) What specific challenges did you face? How did you overcome them? 10) What do you believe you could have done better? How would you do it differently? 11) What other factors/considerations do you want to highlight during your performance evaluation discussion? Page 44 of 66

45 Mid-Year Checkpoint Form Central Office and School Support Positions Employee Performance Management Process Name: Job Title: Supervisor Name: Dept/Division: Date: The EPMP Mid-Year Checkpoint is a documented conversation between managers and employees to acknowledge accomplishments and assess progress against performance plans. To prepare for the meeting, you will need the performance plan documented on the Performance Planning and Evaluation Form at the beginning of the year, and any performance documentation from the first half of the year. The sections below will guide you through the meeting. 1. Assess progress made against year-end goals. What has been accomplished? What are the priorities for the remainder of the year? Are there potential barriers to goal achievement? What will be required to overcome them? 2. Discuss performance against the Success Factors, including the areas of focus identified in the performance plan. Provide specific examples of actions and behaviors that demonstrate the Success Factors. 3. What other factors/considerations do you want to highlight during this mid-year check point discussion? Consider opportunities, challenges, special accomplishments, and areas of focus identified in the initial performance plan. Employee s Comments Signatures Mid-Year Check Point Name Signature Date Supervisor Employee Note: Employee signature indicates the form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be noted above. Page 45 of 66

46 COMPLETED EXAMPLE Performance Planning and Evaluation Form Central Office Exempt Employees Employee Performance Management Process Employee Name: Employee Job Title: Supervisor Name: Supervisor Job Title: John Grape Operations Manager Dept/Division: Transportation Jane Apple Planning Date: September 12, 2009 Executive Director, Transportation Review Date: September 10, 2010 DPS Employee Performance Management Process (EPMP) aligns individual work to the district s mission by focusing employees on clear goals and expectations and inspires excellent performance by reinforcing the impact each employee has on district goals. It provides a structured process and format for managers and employees to use in planning, tracking, evaluating, developing and recognizing performance. Refer to the EPMP Process Guide for further guidance on the process and tools to assist in executing it. Performance Rating Definitions 4 Exceeds Expectations Performance regularly exceeds expectations; superior performance in key areas and DPS Success Factors. Goes above and beyond in accomplishing results and supporting others. Demonstrates high degree of skill and competency. 3 Fully Meets Expectations Consistently meets expectations in key areas. Meets all goals and demonstrates full proficiency in DPS Success Factors and critical job skills. 2 Partially Meets Expectations or Developing Meets some expectations, but not all. May be developing to full proficiency in DPS Success Factors and critical job skills. Applies to those still on learning curve for the job as well as those who are not fully meeting performance expectations for their level of experience. 1 Unsatisfactory Performance does not meet expectations in key areas. Did not meet goals and/or does not demonstrate proficiency In DPS Success Factors or critical job skills. Page 46 of 66

47 Individual Goals Individual goals define priorities for the upcoming year. They may relate to job outcomes in key areas of responsibility, special projects, continuous improvement goals, or skill development related to job performance. The goal is to focus on the primary results the employee is expected to deliver. Refer to the EPMP Process Guide for further guidance. Performance Planning Define the most critical result areas for the upcoming year (Goal Statements), the district or department/division goal supported, and how success will be measured (Performance Indicators.) Try to limit the number of goals to no more than three to five. Weighting the goals is optional but can help emphasize priorities. Performance Evaluation Document actual results and assign a performance rating for each goal. 1 Goal Statement Oversee standard operations for assigned terminals to provide consistently safe, ontime transport of students throughout the course of the school year o Maintain consistently high percentage of on-time routes across segments, with no single segment lower than 95% for longer than 5 days Performance o Number of DPS-caused reportable accidents per 100,000 total miles driven at or Indicators below 2.15 District or Department/Division Goal Supported Results 2 Goal Statement Performance Indicators On-Time Delivery to School monthly metric Weight 35% Reportable accidents came in at 2.14, below expectation of 2.15 and on-time routes met expectations. Overall performance met expectations, but continued focus should be put on increasing on-time route scores. Rating (year-end) Develop and implement new orientation and on-boarding process for new transportation employees to facilitate retention and minimize time to full productivity o New on-boarding process implemented by October 1, 2009 o First 30 day regretted turnover under 10% by May 1, 2010 o 85% of new hires surveyed after 30 days indicate satisfied or higher with job placement o 95% of new employees rated as fully proficient by supervisors at 30 days after hire o Process encompasses district, department and team protocols and performance standards 3 District or Department/Division Goal Supported Results Empowerment and Accountability Financial Stability and Transparency Customer Satisfaction Met key performance indicators. New process was comprehensive and used alternative training methodologies very effectively. Good job of consolidating wide range of existing protocols and performance expectations. On-line participant reference tools have applicability for existing employees, which is an added benefit. Overall the new process has resulted in a decline in 30 day turnover to 12%, but it continues to trend downward. John continues to work with supervisors to develop assessment process for full proficiency ratings. Weight 20% Rating (year-end) 3 Page 47 of 66

48 3 Goal Statement Performance Indicators District or Department/Division Goal Supported Results 4 Goal Statement Performance Indicators Develop strategy by January 1, 2010 to reduce 2010/2011 maintenance budget by minimum of 2.3% o Cost reduction strategy developed, presented and approved by Department Head by January 1, 2010 o Include all maintenance supervisor s input into the strategy development o Create the first draft of a strategy implementation plan by June 1, 2010 (including resource needs, key milestones, and success metrics) Financial Stability and Transparency - Aligning spending with goals - Providing fiscal stability Exceeded expectations. Approved strategy projects 3.2% cost savings. Supervisory and subject matter expert involvement in project team generated significant ownership of the recommendations, as demonstrated by their positive involvement in the strategy presentation. Implementation plan is comprehensive, and tracking and reporting systems have already been implemented. Weight 25% Rating (year-end) Lead annual contract negotiations with bargaining unit to ensure agreement meets District objectives and parameters o Contract agreed to and signed by both parties by August 10, 2009 o Contract includes total increase less than or equal to 3% over contract term o Bargaining unit agrees to new staffing levels and performance management process 4 District or Department/Division Goal Supported Results 5 Goal Statement Performance Indicators District or Department/Division Goal Supported Results Financial Stability and Transparency - Aligning spending with goals Signed contract by designated date. While overall cost increase was slightly above target, it was due to unanticipated level of increase in health care premiums and district decision to not pass full cost increase on to employees. John demonstrated significant patience and negotiating skill, bringing sensitive issues such as new staffing levels to successful conclusion. Weight 20% Rating (year-end) Weight Rating (year-end) 3 Page 48 of 66

49 DPS Success Factors DPS Success Factors define those actions that are critical to the success of DPS and expected of each employee. Refer to the Success Factor definitions at the end of this form for guidance. Performance Planning During performance planning, discuss any specific areas of focus with respect to the Success Factors for the upcoming year (e.g., opportunities for development, actions that directly support team or individual results, strengths to leverage). Success Factors - Areas of Focus Collaborate - Develop strategies to actively involve supervisors and other key stakeholders in important decisions that will impact them. For example; Involving supervisors in maintenance budget development. Work with school principles as partners to approach problem solving. Deliver Excellent Service Collaborate with supervisors and employees to determine ways to decrease the guaranteed complaint response time. Provide training that proactively addresses new hire s needs and solicit their feedback on increasing performance in shorter time periods. Performance Evaluation The performance evaluation should document actual performance against expectations, citing specific examples. Then, assign a performance rating to each Success Factor. Success Factors Put Students First Achieve Results Collaborate Deliver Excellent Service Make Change Happen Comments / Observed Actions Established ongoing meetings with school personnel to discuss issues and opportunities. This has been met with great enthusiasm from all parties and has improved the communication and collaboration between departments. Negotiations with external vendors completed successfully for all parties. New hire job satisfaction and performance increased. Customer response time has improved considerably from 24 hours to same day. The establishment of school/department meetings has created a means to quickly identify concerns/issues. Utilizing this feedback, John evaluated our current process for assigning students to routes, eliminated redundancies which had an immediate effect in providing timelier service for students. John has consistently and effectively addressed concerns while taking steps to prevent problems from re-occurring. John collaborated with his supervisors to better anticipate training needs of new hires. Through implementation of these ideas and suggestions he solicited from newer employees, new hire productivity and quality has increased, more quickly. Although this wasn t an area of focus for John this year, he continues to be a role model for others in promoting positive change and acting on opportunities for improvement. Rating Page 49 of 66

50 Additional Performance Factors (Optional) Identify any other factors that should be considered in assessing the employee s overall performance (e.g., knowledge/skills/abilities, certifications, attendance, policy compliance, standards of conduct, etc.). Performance Planning Performance Indicators/Areas of Focus Maintain licensure and certification specified in job description. Performance Evaluation Comments/Observed Actions Yes, maintained as required. Performance Rating 3 People Management (If Applicable) Applicable only to those positions which have direct responsibility for managing other people (i.e., have responsibility for hiring and performance review). Expectations for people managers are defined below. During performance planning, identify any specific goals or areas of focus for the upcoming year. People Management Expectations Visible and accessible leader. Sets clear goals and performance expectations; provides effective performance feedback and coaching. Sets high standards of performance and empowers employees to achieve them. Develops and motivates employees to be their best; keeps employees informed and connected to DPS. Performance Planning Performance Indicators/Areas of Focus Implement EPMP within team ensuring all team members have: Documented performance plans by set date Documented midyear checkpoints by set date Year end evaluations by set date Quality audit by manager of sample documents for each event. Enhance feedback (positive and developmental) to employees on a daily and consistent basis. Performance Evaluation Comments/Observed Actions Review of completed performance plans and other required documentation shows these were thoroughly completed for all eligible employees. Discussions with some employees indicate that not all employees receiving ongoing, informal feedback. This resulted in some surprise reviews to certain employees. Ongoing coaching required to get John comfortable with difficult feedback delivery Performance Rating 2 Page 50 of 66

51 Year-End Performance Summary Document overall observations of performance over the course of the year, highlighting major accomplishments, strengths, growth and opportunities. Manager s Comments John was successful at achieving the specific goals identified for the year and consistently demonstrates the district s Success Factors. John s consistency in delivery and dedication to improving the department make him a strong member of this team. John was instrumental in improving the on-time delivery for several schools. Although overall ontime delivery was at 99.6%, he took the time to closely analyze the data and as a result he identified several schools that consistently had buses running late. After correcting the problem, buses are now consistently on-time thus improving our customer service. John needs to focus more on day-to-day people management and must ensure that all employees are given regular and ongoing feedback. Overall Performance Rating 3 Employee s Comments Signatures Performance Planning Supervisor Name Signature Date Employee Performance Evaluation Supervisor Employee Name Signature Date Note: Employee signature indicates the Performance Planning and Review Form has been reviewed with the employee but does not indicate agreement with its contents. Any areas of disagreement should be documented above. Page 51 of 66

52 EMPLOYEE RESPONSIBILITIES Performance planning Prepare for the performance planning meeting by completing the Employee Performance Planning and Self Evaluation Form. Alternatively, your manager may ask you to draft the performance planning section of the Performance Planning and Evaluation Form. Actively participate in the performance planning meeting; ensure you are clear on goals, priorities, and expectations. Recommend updates to the performance plan as appropriate based on changing goals and priorities. On-going Dialogue Proactively seek coaching and feedback. Identify barriers to performance and potential solutions. Incorporate coaching and feedback into future performance. Document performance events you want to remember as they happen, e.g., "above and beyond" service, key accomplishments, missed expectations, new skills, etc. Discuss potential changes in goals and priorities with your manager. Mid-year Checkpoints Prepare for meeting by reviewing the performance plan documented at beginning of the year and completing the Mid-Year Checkpoint Form. Actively participate in the meeting, providing examples of accomplishments, raising potential barriers to performance, and identify what support you need from your manager to achieve goals. Request checkpoint meeting if manager doesn t schedule it. Performance Evaluation Track accomplishments and feedback over the performance period. Prepare for performance review meeting by completing the Employee Performance Planning and Self Evaluation Form. Actively participate in performance review meeting; clarify feedback. Document comments on the Performance Planning and Evaluation Form and sign. Page 52 of 66

53 GOAL SETTING: TIPS & TOOLS Introduction The purpose of this section is to provide you with tips and tools to assist you in developing goals. Setting goals isn t easy, but with practice and tools to structure your thinking, it will become a much more natural process. Goal setting is intended to focus employees on those outcomes most important for district, department/division and team success. It will also ensure that expectations are clear and mutually agreed-upon and define accountability for results. With that, people are empowered to perform. Remember, goals don t have to be perfect and they can evolve over time, but they should be as clear as possible to ensure mutual understanding of expectations and how success will be measured. Please remember that these are tools only, provided as a starting point to help you think through the key components of goal-setting. Your manager will provide additional guidance on how the goal-setting process works within your group. DOCUMENTING GOALS The Performance Planning and Evaluation provides a standard format for documenting goals. The following provides additional definition and guidance on each section. Form snapshot: Goal Statement Performance Indicators District or Department/Division Goal Supported What is to be accomplished and why How performance will be measured Why the goal is important Weight Relative Priority 4 Page 53 of 66

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55 Examples Goal Statement Performance Indicators Decrease total processing time for Full-Time Teacher job requisitions, while maintaining accuracy standard, to place teachers into schools more rapidly. Average Total Processing Time reduced to 2.33 days by November 30, District or Division/Department Goal Supported Team Goal. Decrease total processing time for Full-Time Teacher job requisitions, while maintaining accuracy standard, to place teachers into schools more rapidly. Weight 25% Goal Statement Develop skills to intermediate level on new routing software to increase efficiency. Performance Indicators Time to Provide Bus Service metric decreased to zero in the over 13 days category. Segments per bus, across assigned routes, increased by 15%. Supervisor observes comfort level and competence in intermediate skill functions. District or Division/Department Goal Supported Department Goal. Remove 5 buses from service to reduce costs. Weight 30% Goal Statement Performance Indicators Prepare and conduct In-Service sessions for peers to gain buy-in to Positive Behavior Support program (PBS) implementation. Principal Survey satisfaction results increase 10% on April 2010 report. Supervisors observe improved interactions with students. Complaint calls from parents decrease 20% by June District or Division/Department Goal Supported Division Goal. Implement school-based PBS program in the Transportation division to improve interactions with students. Weight 25% Page 55 of 66

56 CREATING GOAL ALIGNMENT A key objective of performance planning is goal alignment. For DPS, goal alignment starts with the District s Goals and Action Plan: department/division heads translate the District s Goals and Action Plan into goals for their group. Your role is to translate these goals into individual results, then establish plans for achieving these results. Examples of cascading goals are provided in the following pages. These examples are provided to show goal alignment; they are not SMART goals in that they do not define how performance will be measured. The primary objective of goal setting is to define the most important ways teams and individual employees can contribute to department/division and district goals. However, in reality, not every goal will clearly align with a broader (district/division or district) goal. Goals need to be set in the context of the realities of your function. For instance, you need to consider the necessary level of performance and resources required to support your most important, recurring tasks. You have to keep the lights on, so to speak, and look for opportunities for continuous improvement. You may need to develop new and better ways to serve colleagues and customers, remove problems that are creating barriers to your function s effectiveness, or develop new knowledge and skills that are required for current and future performance. Goal Alignment Example: ProComp Specialist Note: Examples represent goal alignment, not SMART goals. Page 56 of 66

57 Goal Alignment Example: HR Training Lead Goal Alignment Example: Payroll Office Support Staff Note: Examples represent goal alignment, not SMART goals. Page 57 of 66

58 Goal Alignment Example: Payroll Technician Goal Alignment Example: Outreach Coordinator Note: Examples represent goal alignment, not SMART goals. Page 58 of 66

59 STRETCH GOALS Goals that are too aggressive, where the likelihood of achievement is low, can be demoralizing. Goals that are set too low will do little to motivate continuous improvement. Good goals have "stretch;" they are achievable with a reasonable degree of effort, but require contributions beyond the status quo. Stretch goals represent a level of performance that leads to continuous improvement; they "move the bar" in a meaningful way. They are a realistic challenge a high reach that is achievable given strong effort. They may involve significant new outcomes or services for a function, innovation in processes and tools, or an expansion of existing knowledge, skills, and relationships. SMART GOALS Goals must be defined clearly enough so employees and managers know exactly what is expected. Even the best employee may not meet the goal assigned if he or she does not have the same definition of the goal as his or her manager. For example: a goal is stated, "Improve your communication skills." The employee goes out and takes a course on Presentation Skills and does a great job improving his or her verbal presentations. At the end of the year the manager is disappointed and gives the employee low marks because the employee did not improve his or her etiquette skills, which is what the manager meant by "improve your communication skills." The SMART model ensures that goals are written and documented in such a way that both employees and managers are working from the same definition of the expected result. The real aim of SMART goals is to specify who, what, and why for each goal to ensure shared understanding and expectations. How the goal will be achieved is defined in the action plan for achieving each goal. (See Translating Goals into Action tool.) The key to establishing an effective goal is to ensure that it meets SMART criteria: Page 59 of 66

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