Government of Nunavut. Performance Management GUIDELINES FOR SUPERVISORS

Transcription

1 Gvernment f Nunavut Perfrmance Management GUIDELINES FOR SUPERVISORS

2 Table f Cntents Overview....PAGE 4 The Perfrmance Management Cycle PAGE 6 Planning.....PAGE 7 Establishing Links with Strategic Pririties....PAGE 7 Identifying Respnsibility Areas..PAGE 7 Develping the Perfrmance Plan PAGE 8 Setting S.M.A.R.T. Objectives and Standards...PAGE 8 Objectives. PAGE 9 Standards..PAGE 10 Objectives & Standards - Advantages and Disadvantages. PAGE 10 Preparing a Training and Develpment Plan.. PAGE 11 Cnfirm the Emplyee s Understanding and Agreement...PAGE 13 Dcumenting, Reviewing, & Updating...PAGE 13 Caching..PAGE 15 Prviding Feedback...PAGE 16 Identifying Perfrmance Issues....PAGE 17 Guidelines fr Dealing with Perfrmance Issues......PAGE 17 Cnducting a Cnstructive Feedback Sessin......PAGE 18 Active Listening Techniques......PAGE 19 An Easy-t-Remember Guide fr Prviding Feedback......PAGE 20 2

3 Observing and Dcumenting Perfrmance......PAGE 20 Review PAGE 22 Cmpleting the Perfrmance Review Frm... PAGE 22 Perfrmance Review Frm Factrs... PAGE 25 Cmmn Rating Errrs PAGE 30 Crrective Actins.. PAGE 30 Preparing fr the Perfrmance Review Meeting...PAGE 31 Cnducting the Perfrmance Review Meeting PAGE 32 Cmpleting the Perfrmance Review - Signing Off.....PAGE 34 Reslving Perfrmance Review Differences......PAGE 35 Filing the Perfrmance Review PAGE 35 Glssary... PAGE 36 References....PAGE 39 Guiding Dcuments PAGE 40 Appendix PAGE 46 Objectives and Standards Setting Frm.....PAGE 47 Training and Develpment Plan... PAGE 48 Perfrmance Observatins Frm.... PAGE 50 Perfrmance Review Frm PAGE 51 3

4 Overview Gvernment f Nunavut Perfrmance Management Guidelines Perfrmance Management is an nging prcess where the supervisr and emplyee wrk tgether t plan, mnitr, and review the emplyee's wrk bjectives r gals and verall cntributin t the rganizatin. This prcess encurages cntinuus imprvement where emplyees take respnsibility fr results. It als prvides a frum fr discussing the emplyee s training and develpment needs. Perfrmance management starts with the develpment f a perfrmance plan that identifies fr the emplyee what is t be accmplished and hw during a specified perid f time (the perfrmance perid). The plan is fllwed up with infrmal, nging mnitring and feedback n prgress twards the gals set in the perfrmance plan. During this perid a midterm review is cnducted t cmment n an emplyee s perfrmance against the agreed upn gals and prgress made against training and develpment activities. At the end f the perfrmance perid - usually a year - the supervisr and emplyee meet t summarize the accmplishments and challenges f the past year and cmplete a perfrmance review. The perfrmance review assesses emplyee perfrmance against a variety f factrs, utlines future training and develpment needs and establishes perfrmance bjectives and standards fr the upcming perfrmance perid. Within the Gvernment f Nunavut, perfrmance management is ultimately aimed at achieving the strategic gals set frth in Pinasuaqtavut, thrugh the develpment f emplyees wrk-related skills, knwledge and experience, within the framewrk f Inuit scietal values and principles - Inuit Qaujimajatuqangit (IQ). The IQ values mst reflected in perfrmance management are: Aajiiqatigiingniq cncept f cnsensus decisin making, Pilimmaksarniq cncept f skills acquisitin, and Piliriqatigiingniq cncept f cllabrative relatinship f wrking fr a cmmn purpse. Overview f the Perfrmance Management Cycle The Perfrmance Management Cycle fr the Gvernment f Nunavut has three interrelated phases: planning, caching, and review (see Figure 1 n page 6). 4

5 Planning Effective planning allws fr practive cmmunicatin and clarificatin f perfrmance expectatins between supervisrs and their emplyees thrugh the establishment f a perfrmance plan. It ensures that varius aspects f departmental and divisinal pririties and emplyee jb descriptins are reflected in the respnsibilities assigned t emplyees. Emplyees must have sufficient detailed knwledge f their perfrmance expectatins t be able t manage their wrklads t achieve the desired results. The results need t be clearly defined in bjectives/standards that are established at the beginning f the perfrmance perid. It is these bjectives/standards that frm the basis f the perfrmance review, which is cnducted at the end f the perfrmance perid. An emplyee may require knwledge r skills that they currently d nt have in rder t cmplete an bjective/standard. When this ccurs, the emplyee will wrk with their supervisr t develp a training and develpment plan, which may include frmal training curses r infrmal ptins such as n-the-jb training, jb shadwing, assigned reading, etc. Caching The supervisr has an nging respnsibility t ensure that the planned results are cmpleted. This invlves mnitring emplyee prgress n their plan and revising the perfrmance plan when necessary. The mid term review frmally addresses emplyee prgress n the Perfrmance Observatins Frm. (See Appendix) Als, the giving and receiving f feedback n emplyee results is critically imprtant. Any cmments made t emplyees thrughut the year that acknwledged success r made cnstructive suggestins abut ways t imprve results shuld be dcumented. Review An emplyee s perfrmance review nrmally takes place at the end f the perfrmance perid. There shuld be n surprises fr the emplyee during this phase f the perfrmance management cycle. The emplyee and supervisrs review the bjectives/standards that were set at the beginning f the perfrmance perid and d an assessment f the results achieved. Then they bth review any recrds f feedback that ccurred between the supervisr and the emplyee. They cnsider what, if any, external factrs beynd the emplyee s cntrl may have led t less than satisfactry results. This review is cmpleted using the Perfrmance Review Frm (See Appendix). GN emplyees are entitled t an annual perfrmance review. It is the respnsibility f supervisrs t ensure that this pprtunity is prvided. 5

6 Figure 1. The Perfrmance Management Cycle PLANNING Discussin and dcumentatin between supervisr and emplyee f perfrmance expectatins fr the perfrmance perid REVIEW COACHING Frmal review prcess where an emplyee s perfrmance during the perfrmance perid is assessed and dcumented Caching and feedback thrughut the perfrmance perid by reviewing prgress twards gals 6

7 Planning (Aajiiqatigiingniq) The planning prcess invlves the supervisr and emplyee mutually discussing and agreeing n the emplyee s respnsibility areas and clearly defining the expected perfrmance f each respnsibility area in terms f wrk bjectives and standards. This prcess invlves the develpment f a perfrmance plan using the fllwing steps: 1. Establishing links with strategic pririties cntained in Departmental Business Plans and Main Estimates 2. Identifying respnsibility areas f the psitin 3. Develping perfrmance bjectives r standards fr the respnsibility areas 4. Preparing a training and develpment plan 5. Cnfirming the emplyee s understanding and agreement Establishing Links with Strategic Pririties As a starting pint, fr a supervisr t prepare an emplyee s perfrmance plan, he/she shuld first review existing strategic planning infrmatin fr the GN, the department and the divisin r wrk unit such as: Pinasuaqtavut Guiding Principles f Inuit Qaujimajatuqangit Nunavut Land Claims Agreement (Article 23) Departmental r divisinal visin and/r missin statements Gals and bjectives f the department and/r divisin Departmental and/r divisinal pririties The department s business plan and main estimates It is imprtant t ensure that individual emplyees realize and understand hw their wrk cntributes t the larger gals f the gvernment department. This allws the emplyee t understand that they are an essential part f a larger team effrt and that their wrk has an impact n the success f the department. Identifying Respnsibility Areas By wrking tgether, the supervisr and emplyee identify the emplyee s majr areas f respnsibility using the emplyee s jb descriptin. Respnsibility areas are thse areas in which perfrmance at the expected level is essential t the department s success in achieving its gals. The supervisr and emplyee must cme t an understanding f what level f perfrmance is expected fr gd perfrmance. T determine which areas are imprtant, the fllwing questins may be used as a helpful guide: 7

8 Hw much f the emplyee s time is spent perfrming it? Hw wuld unsatisfactry perfrmance in the respnsibility area affect the department s effectiveness in achieving its gals? What is the impact f errr t the divisin r department? Culd inadequate perfrmance cntribute t lss f time and/r mney, injury, r serius prperty damage? Are there legislatin, plicies, r cntractual requirements that make adequate perfrmance f the respnsibility critical? In identifying respnsibility areas, remember t include bth nging, repetitive functins that will cntinue indefinitely as cre requirements f the jb, special prjects, assignments, and prgram imprvement initiatives that are specific t the current perfrmance perid. Example f respnsibility areas: Cnducting interviews (staffing cnsultant) Translating (interpreter translatr) Data entry (data entry clerk) Facility security (crrectinal fficer) IT maintenance (helpdesk technician) Develping the Perfrmance Plan Setting S.M.A.R.T. Objectives and Standards The next step is t develp statements f expected perfrmance fr each critical respnsibility area. Perfrmance bjectives and standards are tw f the mst cmmn methds t define expected results. Bth bjectives and standards are mst useful when they are: Specific Measurable Achievable Reasnable Timely 8

9 Specific Measurable Achievable Reasnable Timely Objectives/standards must express the actin and results required s that bth the staff member and supervisr can see clearly whether r nt the bjective has been achieved When setting bjectives/standards, there must be sme way f measuring and verifying whether the bjective has been achieved and t what level Althugh they shuld prvide challenge and develpment t the individual, bjectives/standards als must be achievable The bjectives/standards must be relevant t the level at which the individual is at their career and t the pririties and wrklad f their particular area Objectives/standards need t have clear time frames attached t them. Althugh the perfrmance develpment and review prcess is annual, bjectives can be set fr lnger time frames. This may be particularly apprpriate fr research-based bjectives where bjectives may be set fr lnger perids but reviewed at least n an annual basis Objectives and standards identify targets fr measuring perfrmance results. Frm perfrmance bjectives and standards, supervisrs can prvide specific feedback describing the gap between expected and actual perfrmance and insight n training and develpment needs. Objectives An bjective is a statement f the results r utcmes an emplyee is expected t accmplish during the perfrmance review perid. Identifying bjectives encurages the supervisr and the emplyee t cntinually lk fr ways t imprve verall departmental effectiveness and efficiency, and link individual and departmental peratins and results t verall pririties. Objectives set thrugh a cllabrative prcess between the emplyee, supervisr and department bring frth cmmitment (Piliriqatigiingniq). Clear, agreed upn bjectives prevent surprises during the perfrmance review. A well written perfrmance bjective has six basic cmpnents: A clearly stated bjective The required specific tasks t btain the bjective The expected results f the cmpleted bjective A timeline in which the bjective shuld be cmpleted r reviewed Anticipated cnstraints assciated The actual results f hw well the emplyee accmplished their bjective (See Objectives and Standards Setting Frm in Appendix) 9

10 Example: Submit by Nvember 30, 2007, a reprt cmprised f the ttal csts f airfare assciated with duty travel fr the department in the fiscal year Standards A standard refers t a set f actins r behaviurs that are required n an nging basis, and describes prcess rather than results. Standards are specifically tied t duties and respnsibilities. Like bjectives, well written standards have the same six basic cmpnents; that is, they must specify the standard, tasks invlved, expected results, timelines, anticipated cnstraints, and actual results. Example: Prepare payrll dcuments fr prcessing every secnd Tuesday fr yur respective departments by fllwing the payrll guidelines and making any fllw up inquires with emplyees where necessary. Objectives and Standards Advantages and Disadvantages The advantages and disadvantages utlined belw can give guidance n when t use bjectives r standards r bth. Objectives Advantages Ties Department/Divisin bjectives t emplyee s bjectives. Specific t individual. Facilitates emplyee and supervisr cmmunicatin. Future riented. Flexible. Can be put int place fr all emplyees, but mre easily used fr emplyees with a brader scpe f respnsibilities, and Objectives Disadvantages Can fcus n annual results, while ignring rutine aspects f jb. Care must be taken t ensure bjectives are realistic. Can be cmprmised by changing circumstances. T much flexibility. Must be cnsistent with culture and can be time cnsuming t implement a fully Standards Advantages Tied t jb duties and respnsibilities. Best when applied t any emplyee perfrming the same jb duties. Facilitates cmmunicatin. Makes it very clear hw perfrmance will be measured. Standards can exist fr any jb. They are particularly useful in jbs where fr health, safety, legal and/r peratinal Standards - Disadvantages Can becme t task riented. Less flexible when respnsibilities f a psitin change. If standards are nt reviewed and updated regularly, it can hld the emplyee and unit back. May nt prvide enugh challenge fr emplyee. Takes time t develp. 10

11 a mixture f nnrutine and rutine wrk. integrated system. requirements wrk must be dne in a certain way. They are als mre easily put int place fr jbs that have a large number f rutine tasks required. Fr many psitins, a cmbinatin f bth bjectives and standards is apprpriate. Fr example, perfrmance expectatins fr special prjects r assignments can usually be expressed best in terms f bjectives, while the nging, rutine aspects f the jb may be stated mst effectively in terms f standards. Preparing a Training and Develpment Plan (Pilimmaksarniq) The planning prcess is cmpleted by identifying, thrugh discussin between the supervisr and emplyee, develpmental bjectives that are unique t the individual emplyee and t the current review perid. These bjectives shuld cntribute t bth the departmental bjectives and the emplyee s career gals. These will include persnal develpment bjectives directed twards enhancing the emplyee s capabilities in their present psitin r preparing them fr pssible future respnsibilities and pprtunities. These bjectives are brken dwn int tw areas. The first is required training fr current planning perid which includes general training fr skills develpment and specialized training which is specific t psitin. The secnd is career develpment training which includes training identified by the emplyee fr persnal career develpment. Training and develpment plans can wrk in integratin with Inuit Emplyment Planning (IEP) and successin planning by identifying individuals fr future psitins/vacancies and prviding related training and develpment pprtunities. The training and develpment plan als addresses previus training the emplyee has received and shuld detail whether this training has had an impact n persnal develpment and the perfrmance in their psitin. It shuld be nted that all training and develpment activities are dependent n departmental and divisinal budgets. Pririty shuld be given t training required fr the current planning perid befre fcusing n career develpment training activities. Examples: Required training General training: Micrsft Excel, database management, effective writing skills, Inuktitut keybarding. 11

12 Specialized Training: cmplete requirements fr certificatin as a Canadian Health Nurse, meet n a weekly basis with the supervisr f financial services and receive advice n yur implementatin f the new financial prcedures within yur divisin. Career Develpment Training Take n-line curses t btain the Human Resurces Prfessinal certificatin, Enrll in Financial Mdules 1-6 t learn abut financial prcesses and systems used by the GN. Pririty (i.e. wrk release, financial supprt) is t be given t training activities that are required fr the planning perid. Training activities shuld be detailed in the training and develpment and cnsidered required if: Perfrmance f main functins r the verall evaluatin is rated as Fair r Pr as f the midterm review, annual review, r a significant time during the perfrmance perid; r The emplyee must acquire a new bdy f knwledge r skill in rder t maintain perfrmance at r abve the Gd level. If a significant number f training requirements are identified fr the Training and Develpment Plan, a supervisr can cnsider creating a Learning Plan with the emplyee. A Learning plan is a dcumented prcess f identifying learning needs, chsing a learning gal, identifying actins the emplyee and department need t take t achieve the gal, determining hw prgress tward gal attainment will be measured, and establishing a timetable fr the learning. A Learning Plan is required t: Take wnership f learning and career develpment Assess strengths and identify the areas f further develpment Priritize learning gals accrding t rganizatinal and jb needs as well as t establish persnal learning pririties Identify learning pprtunities that are available bth within the Gvernment f Nunavut (GN) and elsewhere Fr mre infrmatin n Learning Plans, cntact the departmental human resurces practitiner. 12

13 Cnfirm the Emplyee s Understanding and Agreement The cmmunicatin f perfrmance bjectives/standards and training and develpment plans at the beginning f the review perid is essential fr effective perfrmance management. The best way t ensure that the emplyee clearly understands and is cmmitted t the perfrmance plan is t invlve them directly in each step f the prcess. This will result in a better understanding f the prcess frm bth perspectives and will instill a sense f wnership n the part f the emplyee. If it is nt feasible t invlve emplyees in the preparatin f the perfrmance plan, it is imprtant t discuss the established respnsibility areas and standards/bjectives with them, describe hw and why they were develped, and explain hw the emplyee s individual perfrmance gals relate t the rganizatin s gals and pririties. Dcumenting, Reviewing, & Updating The emplyee, supervisr and departmental human resurces practitiner shuld retain cpies f the perfrmance plan. The emplyee and supervisr shuld establish a schedule t meet peridically t discuss the emplyee s prgress in implementing the plan, any prblems r bstacles encuntered, and any actins required t assist the emplyee. A frmal midterm review shuld be held during the perfrmance perid t: Discuss and cmment n the staff members prgress in achieving the agreed upn bjectives/standards r tasks t date Mnitr prgress n the staff members training and develpment plans Discuss and dcument any actins t assist the staff member t fully meet the requirements f the jb (See Perfrmance Observatins Frm in Appendix) The emplyee shuld be made aware that the perfrmance plan is changeable. It can and shuld be updated as required, t reflect changes in wrk assignments r pririties. In sme circumstances, reviews are cmpleted where there has been n previus planning prcess with emplyees. In cases like this, care must be taken t ensure that perfrmance expectatins were clearly understd by emplyees during the review perid. It is nt fair t evaluate emplyees n perfrmance if they have nt been given adequate ntice f perfrmance expectatins. It is recmmended that supervisrs create a perfrmance plan with an emplyee as fllws: Prbatinary emplyees and ther permanent emplyees new t the department r divisin shuld have a perfrmance plan within 10 days f beginning emplyment in a psitin. 13

14 Fllw up meetings t the perfrmance plan shuld ccur n less than mnthly with prbatinary emplyees fr the first six mnths f emplyment and quarterly fr the next six mnths fr emplyees n 12 mnths prbatin. Emplyees in trainee psitins (i.e. interns) shuld have perfrmance plans within 10 days f initial emplyment. Emplyees whse main duties change significantly (either by prmtin, transfer assignment r ther actins) shuld have a revised perfrmance plan within 10 days f the change. Supervisrs and emplyees shuld meet each year near the beginning f the perfrmance planning perid t review the existing perfrmance plans and t make any revisins needed t cmplete the perfrmance plan fr the new cycle. 14

15 Caching Caching is the prcess f prviding nging supprt t emplyees thrughut the perfrmance perid t help them successfully achieve the bjectives and standards set dwn in their perfrmance plan. This invlves peridically reviewing the perfrmance plan with emplyees individually, bserving and dcumenting perfrmance, and prviding nging feedback. It als includes taking crrective measures with emplyees when the actual perfrmance des nt meet the agreed-upn standard. This may, at first glance, appear t be a challenge t a supervisr, wh may have a large number f emplyees reprting t him/her and a significant peratinal rle as well. Hwever, failure t make perfrmance planning meaningful thrugh recgnizing strng perfrmance and intervening when plans g wrng can be highly de-mtivating t emplyees. Emplyees can begin t feel that their effrts d nt matter t the verall gals f the department. The fllwing are useful tips that may make the perfrmance management prcess run mre smthly, increase management effectiveness and imprve verall mrale f the emplyees. 1. Create a system. A simple binder can make an excellent perfrmance management tracking system. Place the perfrmance plans fr each emplyee wh reprts t yu in a separate sectin f the binder. Then add a number f Perfrmance Observatins Frms (see Appendix) after each emplyee s perfrmance plan. Each time yu review an emplyee s perfrmance plan with them r make an bservatin abut their perfrmance, nte it briefly n the frm. These bservatins can frm the basis fr the perfrmance review scheduled fr the end f the perfrmance perid. 2. Set a date. Set aside time n yur calendar fr at least nce a mnth t review all emplyee perfrmance plans and prvide cmments n the perfrmance bservatins frm. Be sure t share yur perfrmance bservatins with emplyees. 3. Keep perfrmance plans up t date. Keeping perfrmance plans simple makes them easy t maintain. The rle f maintaining perfrmance plans can be delegated t each emplyee, and reviews can be requested n a mnthly basis. An increased fcus n managing their wn perfrmance plan can help emplyees becme mre accuntable and self directed in their wrk and verall perfrmance. 4. Discuss the level f assistance required. Mst emplyees will appreciate being given the g-ahead t implement their perfrmance plan. During the planning prcess, the supervisr may ask the emplyee what type f supprt they think they need t accmplish the bjectives and standards in their plan. Mst emplyees will prbably have nly ne r tw areas that require particular attentin, and these can shape their training and develpment plan fr the perfrmance perid. 15

16 5. Give timely feedback. Feedback needs t be shared with emplyees sn after the event that caused it. Whether the feedback is psitive r cnstructive, emplyees need t receive input n their perfrmance. Prviding Feedback The purpse in prviding feedback is t help emplyees cntinue r develp gd perfrmance and change r imprve unacceptable perfrmance, by helping them t see the results f their wrk accurately and bjectively. T be effective, feedback shuld be hnest, specific, cnstructive, balanced, and timely. Hnest. Emplyees cannt maintain r imprve gd perfrmance r change unacceptable perfrmance if they d nt receive accurate feedback. Unclear feedback t an emplyee may create mre serius prblems in the lng run. Specific, factual, and related t perfrmance, nt persnality. If feedback is t general (e.g., Yu re just ging t have t wrk a little harder ) emplyees will nt knw what t d t maintain r enhance their perfrmance. Likewise, if feedback evaluates the persn (e.g., Yu re t aggressive ), rather than describing sme aspect f their behavir, the emplyee will prbably becme defensive, and be left with n clear idea f hw t imprve their perfrmance. Specific, factual feedback: Describes what was expected Cites examples f hw the emplyee s perfrmance met/exceeded/failed t meet expectatins Pints ut the cnsequences f their perfrmance i.e., its impact n the achievement f individual and/r departmental gals Cnstructive. Emplyees need t knw nt nly what is wrng, but hw it can be crrected. Cnstructive feedback prvides infrmatin abut hw t change perfrmance. Fr best results the supervisr shuld als invlve the emplyee in suggesting slutins t perfrmance prblems. Balanced. Prviding balanced feedback means: Giving feedback n a regular basis Giving feedback when smething is dne right and nt just when smething ges wrng Aviding infrmatin verlad giving t much feedback at ne time, particularly when it s negative Timely. Feedback shuld be given as clse as pssible t the event that it cncerns. Delayed feedback cnveys the message that the perfrmance (whether gd r bad) wasn t very imprtant. 16

17 Identifying Perfrmance Issues Supervisrs will ften sense that there is a perfrmance issue befre they fully understand what factrs are causing it. When this happens, it is helpful t step back and cnsider what actins shuld be taken and in what rder. The fllwing table prvides a structured and lgical way t cnsider all f the pssibilities befre taking actin. Guidelines fr dealing with perfrmance issues Area f Cncern Crrective Actin Perfrmance specificatins D perfrmance standards exist? D emplyees knw what is expected and why? D emplyees cnsider the standards attainable? Task interference Can the emplyee easily recgnize when actin is required? Are the jb prcedures and wrk flw lgical? Are adequate resurces available? Are there barriers t effective cmpletin f the tasks utside f emplyee s cntrl? Cnsequences Are there any cnsequences fr effective perfrmance? unsatisfactry perfrmance? Feedback D emplyees receive infrmatin abut their perfrmance? Is the infrmatin they receive hnest specific cnstructive balanced timely Knwledge/ skill D emplyees have the skills and knwledge necessary t perfrm at the expected level? D they knw why the desired perfrmance is imprtant? Clearly identify respnsibilities Define expected perfrmance (what, when, hw well and why). Verify understanding thrugh discussin and feedback frm emplyee. Dcument. Restructure the psitin s that it has Clear inputs a lgical sequence f activities minimal interference amng tasks sufficient resurces Remve barrier Add psitive cnsequences, remve negative cnsequences f desired perfrmance where pssible Prvide specific perfrmance infrmatin thrugh direct cmmunicatin infrmatin systems Prvide n-the-jb and/r classrm training. Prvide jb aids (manuals, checklists, etc.). Explain the big picture and hw their wrk cntributes t end results. Individual Capacity Are emplyees, physically, intellectually, and emtinally able t perfrm? Prvide assistance t enable the persn t imprve their ability t d the jb. Cnsider ther emplyment ptins. Cntact the human resurces practitiner fr advice. 17

18 Cnducting a Cnstructive Feedback Sessin Smetimes it is necessary fr supervisrs t meet with emplyees individually t give them feedback n behaviur that is causing cncern and affecting the prductivity f the team. Many supervisrs find it difficult t cnfrnt matters f this nature. Supervisrs need t keep in mind that changing an emplyee s difficult behaviur can be a tremendus benefit t the emplyee and his/her cwrkers. Fllwing the steps belw can significantly imprve the supervisr s chances f psitively reslving the issue. 1. Prepare fr the meeting Analyze the prblem. Think thrugh what yu want t discuss. Hld the discussin in a lcatin where there will be privacy and n interruptins. If yu are emtinally upset abut the prblem, allw yurself time t calm dwn. Try t apprach the discussin bjectively and impersnally. 2. Set the climate Establish a psitive and c-perative envirnment by using a nn-threatening, matter-f-fact tne. 3. State the facts Describe the unacceptable perfrmance in an bjective, factual, nnjudgmental way, mentining specific wrk related examples. Identify the negative impact n yu, thers, the wrk unit, department, etc. f the emplyee s perfrmance. Describe expected results. 4. Listen Have the emplyee describe the situatin as they see it (use active listening techniques). Be pen t any new insights n the prblem cming frm the emplyee. 5. Obtain the emplyee s agreement that a prblem exists Respnd t denial, blaming f thers, etc., by restating factual infrmatin and reviewing the negative impacts f the unacceptable behaviur. If necessary, specify the cnsequences fr the emplyee if the prblem is nt crrected. 6. Agree n an actin plan Ask the emplyee fr their suggestins fr slving the prblem (use active listening skills). Offer yur suggestins if necessary. Agree n a specific plan f actin: have the emplyee tell yu what they plan t d, hw they plan t d it, and within what time perid. Dcument the actin plan. 18

19 7. Fllw up Mnitr results. Meet peridically t discuss prgress. Prvide psitive reinfrcement f any imprvement. Offer yur help. Active Listening Techniques A key cmpnent f the caching prcess is the capacity t prperly listen t individual emplyee issues, cncerns and successes. Trusting that their supervisr hnestly cares abut them helps imprve emplyee mtivatin and prductivity. Active listening skills help supervisrs understand perspectives n issues, s that the prblem can be dealt with mre effectively. Try Using: Open questins Ask questins that can t be answered by a yes r n. Use wrds such as: what, where, when, wh, why and hw. Fr example: What d yu think we can d abut the prblem? Reflective questins Summarize yur understanding f what the emplyee has said, in rder t clarify and cnfirm, fr example: Supervisr: Hw are yu ding n that reprt? Emplyee: Well, (pause) nt t well, I guess Supervisr: Yu re discuraged by hw slwly it seems t be ging? Emplyee: N, it s nt that I just dn t see the pint f it all. Directive questins Request expansin r explanatin n ne particular pint. D nt ask this type f questin until yu have btained a cmplete expressin f the emplyee s feelings and pinins and feel yu understand their pint f view as well as pssible, fr example: Supervisr: Since yu agree that..., what steps d yu think culd be taken t imprve the situatin? Neutral understanding Indicate acceptance withut either agreement r disagreement by using head nds and remarks such as uh-huh, I see, really, etc. Allw pauses either after a questin t give the emplyee ample time t respnd r after the emplyee has said smething, t allw them t cntinue and expand n their pint. 19

20 Avid using: Clsed questins D nt ask questins that invite a ne-wrd answer. Leading questins D nt ask questins that suggest the answer the supervisr is lking fr, i.e., Yu dn t really believe that, d yu? Dergatry phrases D nt use language that puts dwn the individual r implies that their cmments are f n value, such as: If I were yu... That s ridiculus... Yeah, but... Yu dn t seem t understand... The truble with yu is... Whether yu like it r nt... An Easy-t-Remember Guide fr Prviding Feedback Sequence Explanatin 1. When yu Start with a When yu statement that describes the behavir withut judgment, exaggeratin, labeling, attributin, r mtives. Just state the facts as specifically as pssible. 2. I feel Tell hw their behavir affects yu. If yu need mre than a wrd r tw t describe the feeling, it s prbably just sme variatin f jy, srrw, anger, r fear. 3. Because I Nw say why yu are affected that way. Describe the cnnectin between the facts yu bserved and the feelings they prvke in yu. 4. (Pause fr discussin) Let the ther persn respnd. 5. I wuld like Describe the change yu want the ther persn t cnsider 6. Because and why yu think the change will alleviate the prblem. 7. What d yu think? Listen t the ther persn s respnse. Be prepared t discuss ptins and cmprmise n a slutin. Observing and Dcumenting Perfrmance The perfrmance standards r bjectives that have been established during the planning phase prvide the basis fr evaluatin. Hwever, if the supervisr relies entirely n memry at the time f evaluatin, there is a strng risk f an incmplete and inaccurate analysis. There is a tendency t remember recent events mre vividly than 20

21 earlier nes and they may exercise a disprprtinate weight in the evaluatin (please refer t Cmmn Rating Errrs n page 28). Onging dcumentatin f relevant examples f perfrmance helps t ensure that the verall evaluatin is fair and balanced. It als prvides a useful infrmatin base fr interim reviews and nging caching discussins. What t dcument Critical incidents f bth inadequate and utstanding perfrmance, nting: When the incident ccurred (time, date) Wh was invlved What happened What was the impact r result (psitive r negative) Hw was it handled (what actin did I take) Praise r criticism received abut the emplyee s perfrmance, Specific examples f wrk utput, Spt-check bservatins f emplyee s perfrmance, Attendance recrds, Recrds f any disciplinary actin taken and cpies f related crrespndence, Recrds f discussins related t wrk perfrmance and cpies f related crrespndence, and Infrmatin abut special activities r achievements that may be beynd the nrmal wrk expectatins, but reflect directly r indirectly n their perfrmance r ptential. Nte: The perfrmance being dcumented shuld als be discussed with the emplyee at the time and cmmended r crrected as apprpriate. Observed behaviur vs. assumptins When dcumenting perfrmance, include nly factual infrmatin abut bserved behaviur. Avid assumptins abut the emplyee s attitude r persnality characteristics. Summary Dcumentatin is vital t an effective perfrmance management review system. It is cmpsed f written material cvering the full range f the emplyee s wrk behaviur and perfrmance. It must be accurate and cmplete regarding bth psitive and negative (if any) aspects f perfrmance. It must cntain all relevant infrmatin and s shuld be written as sn as pssible after the incident. It must cntain an accurate factual accunt f bserved perfrmance, rather than what is guessed r inferred. Since it invlves cnfidential infrmatin, it must be kept in a secure place. 21

22 Review Review is the final phase f the perfrmance management cycle. It prvides an excellent pprtunity fr a supervisr t cmmunicate with an emplyee abut past perfrmance, evaluate the emplyee s jb satisfactin, and make plans fr the emplyee s future develpment and perfrmance. The perfrmance review summarizes the emplyee s cntributins ver the entire perfrmance perid. This infrmatin is dcumented in a perfrmance review frm, and a rating is assigned t factrs that summarize the emplyee s verall level f perfrmance. The perfrmance review prvides the basis fr identifying an emplyees training and develpment needs. If nging cmmunicatin and feedback have been maintained thrughut the perfrmance perid, the perfrmance review discussin shuld hld n majr surprises fr either the emplyee r the supervisr. It shuld simply cnsist f summing up perfrmance during the perfrmance perid. If a supervisr plans t leave his/her psitin, due t retirement, transfer, resignatin etc, a perfrmance review shuld be cmpleted fr emplyees prir t leaving. Fr emplyees n prbatin, a perfrmance review shuld be cmpleted half way thrugh the prbatinary perid and near the end f the prbatinary perid t ensure the emplyee is meeting the requirements f the psitin and t identify any training needs. Cmpleting the Perfrmance Review Frm It is recmmended that a supervisr cmplete the perfrmance review frm and prvide t the emplyee ne week befre hlding a meeting t discuss the results. This time frame gives emplyees sufficient time t review hw they have been evaluated, review their supervisr s cmments n perfrmance and make cmments f their wn regarding the evaluatin. The review frm shuld prvide an accurate accunt f: Actual perfrmance in relatin t the perfrmance expectatins previusly established, Areas f perfrmance requiring imprvement, if any, Areas f superir perfrmance, if any, and Specific actins planned in relatin t emplyee training and develpment. 22

23 When writing cmments n the frm, avid: A lng narrative: brief cmments that are t the pint and jb-related are cmmunicated mre effectively than lengthy descriptive statements, Lack f validatin: evaluative cmments must be supprted by specific references t results achieved in relatin t perfrmance standards, and Vague narrative: evaluative cmments shuld be clear, cncise and cncrete. Rating Perfrmance The fllwing rating scale guidelines are t be used in determining the emplyee s verall perfrmance rating fr each factr f the review frm. 5-Far exceeds perfrmance expectatins Perfrmance cnsistently and significantly exceeds all perfrmance standards set with respect t all areas f respnsibility. The emplyee has accmplished additinal majr prjects and assignments, while cntinuing t exceed the perfrmance standards set with respect t all regular areas f respnsibility. The emplyee s wrk has invlved an unusually high degree f pressure (arising frm factrs such as an extremely heavy wrklad, unusually demanding deadlines, wrk invlving a high level f public scrutiny, r the requirement t demnstrate an exceptinally high level f prfessinal expertise) ver an extended perid f time (ne-half r mre f the year). The emplyee is able, if circumstances require, t perfrm the jb effectively and efficiently withut directin. The emplyee is readily recgnized by superirs, subrdinates, and peers as exceptinal n the basis f their perfrmance in the past year. Any develpmental activities identified fr the emplyee are directed tward preparatin fr higher level respnsibilities; n further develpment is required t meet the requirements f the current jb. Imprtant cnsideratins: This rating is t be reserved fr the few truly utstanding perfrmers in a department, wh excel in every aspect f their jb. The number shuld nt exceed a very small percentage f the ttal ppulatin. Due t the exceptinal nature f this categry, yu are required t dcument specific examples f the individual s accmplishments during the evaluatin perid that justify this rating. An individual wuld nt be expected t maintain this rating frm year t year. In fact, repetitin f the rating wuld suggest either that the standards set fr the psitin are t lw, r that the individual is underemplyed in the psitin. 23

24 4-Exceeds perfrmance expectatins Perfrmance cnsistently exceeds the expectatins set with respect t mst areas f respnsibility, while perfrmance f all ther jb requirements meets the standards. The emplyee s wrk has invlved an unusually high degree f pressure (arising frm factrs such as an extremely heavy wrklad, unusually demanding deadlines, wrk invlving a high level f public scrutiny, r the requirement t demnstrate an exceptinally high level f prfessinal expertise) ver a significant perid f time (ne quarter t ne-half f the year). The emplyee functins efficiently and effectively with a minimum f directin. All wrk is cnsistently f high quality. All deadlines are met and many are surpassed. Errrs are infrequent and f minimal imprtance. Any develpmental activities identified fr the emplyee are directed tward preparatin fr higher level respnsibilities; n further develpment is required t meet the requirements f their current jb. 3-Meets perfrmance expectatins Perfrmance cnsistently meets the expectatins set with respect t all areas f respnsibility and ccasinally exceeds the standards f sme respnsibility areas. When requested t d s, the emplyee readily accepts and carries ut additinal respnsibilities as required, while cntinuing t meet the standards f all regular respnsibilities. The emplyee requires n mre than the expected level f supervisin and n a day-t-day basis functins with minimal directin. There is balance between the quality and quantity f their wrk. Errrs are few and seldm repeated. Deadlines are met except in circumstances beynd the emplyee s cntrl. Any develpmental activities identified fr the emplyee are directed tward refining jb skills that are already at the acceptable level r acquisitin f new skills required by changes in the jb requirements. Imprtant cnsideratins: This rating shuld be given as an indicatin f cnsistently dependable quality perfrmance. In a healthy wrk unit, the majrity f emplyees are wrking at this level. 2-Falls shrt f perfrmance expectatins The emplyee s perfrmance is uneven, meeting r even exceeding the standards set with respect t sme areas f respnsibility, but falling belw the standards set fr thers, ccasinally resulting in negative repercussins fr the wrk unit. Pririties may be determined mre by what the emplyee feels his/her strengths t be, than by the needs f the rganizatin, resulting in sme key aspects f the jb being inadequately addressed. 24

25 The emplyee requires mre supervisin than wuld be expected, given the level f the psitin. Wrk is ccasinally late and/r prductivity is smewhat belw standard. Errrs ccur and/r are repeated mre frequently than expected. Any develpmental activities identified fr the emplyee are directed tward imprving current jb perfrmance in thse areas in which the standards are nt being met. The belw standard perfrmance is nt serius enugh t be a majr cause f cncern t the supervisr and can nrmally be remedied thrugh caching sessins. Imprtant cnsideratins: This rating is apprpriate fr an inexperienced emplyee wh requires further develpment and experience in their jb in rder t be able t fully meet the perfrmance standards with respect t all aspects f the jb, r an experienced emplyee whse perfrmance in certain aspects f the jb is belw standard. 1-Fails t meet mst perfrmance expectatins The emplyee has failed t meet the expectatins set fr mst f the requirements f the psitin and their perfrmance is clearly belw the satisfactry level. Due t the clearly unsatisfactry level f the emplyee s perfrmance, clse supervisin is required even n the mre rutine aspects f their wrk. This rating implies that the emplyee failed t cmplete prjects r assignments f majr imprtance r that they were imprperly dne, resulting in serius cnsequences fr the wrk unit. An initial rating at this level wuld indicate the need fr immediate perfrmance caching by the supervisr, aimed at the implementatin f specific crrective measures t imprve each unsatisfactry aspect f perfrmance. Imprtant cnsideratins: Ratings at this level, fllwing implementatin f develpmental activities that have failed t bring abut perfrmance imprvement, wuld indicate the need fr the supervisr r manager t cntact their human resurces practitiner fr further advice and ptins fr the emplyee. N-Nn Applicable This factr is nn applicable t the emplyee s area f wrk at the present time. Perfrmance Review Frm Factrs The Gvernment f Nunavut Perfrmance Review Frm is divided int 13 areas f evaluatin which are referred t as factrs. Each factr has sub-factrs which are rated by checking ff the apprpriate bx n the rating scale (5, 4, 3, 2, 1 & N). 25

26 1. Gals Achievement Achieves predetermined r expected bjectives/standards: Predetermined bjectives/standards are listed in the Objectives and Standards Setting Frm and are agreed upn by the supervisr and emplyee at the beginning f the perfrmance management cycle. In case the Objectives and Standards Setting Frm was nt cmpleted earlier, the expected bjectives r standards, as per prir discussin, maybe cnsidered fr this purpse. This sub factr measures the quantity r vlume f achievement. Perfrms wrk at a desired level f quality This sub factr measures the level f quality at which bjectives r standards were achieved. Meets timelines n assigned tasks/bjectives/standards This sub factr measures the time taken in achieving the tasks, bjectives r standards and whether they were achieved with the prescribed timeline, befre r after. 2. Planning & Organizing Develps clear plans that are cnsistent with gals This sub factr measures the ability t plan wrk in line with the brader bjectives/standards f the department/divisin. Identifies & rganizes pririty activities This sub factr measures the rganizatinal skills by identifying key areas/pririties and wrking accrding t them. Uses time efficiently This sub factr measures the time management skills and the ability t cmplete (at least) the mst imprtant tasks n time. 3. Teamwrk Wrks cllabratively t achieve rganizatinal gals This sub factr measures the ability/behaviur t wrk effectively in a team, as a leader and/r an active member t achieve verall gals. This may be fr prjects r day t day peratinal assignments. Slicits & incrprates gd ideas frm thers This sub factr measures the skills/willingness t lk fr ideas frm thers and incrprate gd ideas after scrutiny. Supprts & acts in accrdance with final grup decisins This sub factr measures the certainty and flexibility t supprt and implement the grup decisin after it has been reached (even if it may nt be ne s persnal prpsitin/pinin in the decisin making prcess). 26

27 4. Cmmunicatin Speaks clearly and effectively & Writes clearly and effectively These sub factrs measure the verbal and written cmmand ver the language t cmmunicate effectively. Interprets messages crrectly & respnds apprpriately This sub factr measures the ability t understand the verbal, as well as, nn verbal messages (including bdy language) crrectly and respnd t them in a prfessinal and pleasant manner. Demnstrates penness in sharing infrmatin This sub factr measures the ability/willingness t share fficial infrmatin penly, crrectly and prmptly t cncentrated parties/stakehlders. 5. Client Orientatin Identifies & understands client needs This sub factr measures the ability t identify and understand client needs frm the pint f clients requirements/perceptin. Prvides timely & quality client services This sub factr measures the ability t deliver the service t clients as per the agreed scpe, quality and timeline. Establishes & maintains pleasant relatins with clients This sub factr measures the verall client relatins established thrugh effective service delivery, client satisfactin and public relatins. 6. Prfessinalism Demnstrates prfessinal cmpetence & expertise This sub factr measures the prfessinal/technical cmpetence and expertise f ne s wn prfessin used in the current psitin (example: Accunting, Medicine, Engineering, IT). Operates within prfessinal & rganizatinal standards This sub factr measures the cnfrmity t ne s wn prfessinal and GN/ departmental rules, regulatins, plicies and cde f cnduct. Is punctual and has a gd attendance recrd This sub factr measures the behaviur f shwing punctuality and gd attendance. Even authrized absenteeism can be cnsidered negatively if it is n a regular basis and/r beynd a reasnable limit. 27

28 7. Creativity Actively seeks t imprve methds, prgrams & services This sub factr measures the desire and effrts t lk fr ways t imprve methds, prgrams and services, and nt t be cntent by the status qu. Offers new & different ideas/ptins t slve prblems This sub factr measures innvativeness, i.e. the ability and expertise t ffer new ideas/ptins in wrk related issues. Supprts changes and new appraches This sub factr measures the willingness and effrts t supprt and implement changes and new appraches and nt resist them. 8. Cmmitment t Cntinuus Learning Keeps abreast f new develpments in wn prfessin This sub factr measures the accmplishments in ne s prfessinal knwledge and awareness f new develpments in the prfessin. Actively seeks prfessinal & persnal develpment This sub factr measures the accmplishments in ne s prfessinal and persnal skills (als called as hard/technical and sft skills). Cntributes t the learning f clleagues & subrdinates This sub factr measures the cntributin and effrts in the learning prcess f thers t accmplish an verall increase in knwledge and skills levels at the wrkplace. 9. Respect fr Diversity This sub-factr measures the emplyee s ability t wrk effectively with peple frm all backgrunds. Treats all peple fairly, with respect & in a friendly manner This sub factr measures the behaviur in being genuinely fair, respectful and friendly in dealing with diverse peple. Prmtes & practices Inuit scietal values and principles This sub factr measures the interests and effrts in prmting and practicing Inuit scietal values as specified in Inuit Qaujimajatuqangit (IQ). 10. Judgment/Decisin-Making Identifies key issues & rt prblems This sub factr measures the understanding f key issues and rt prblems in relatin t verall peratins f the unit. Analyses infrmatin & assumptins bjectively This sub factr measures the analytical ability t apprach t prblem slving. 28

29 Makes decisin based n merits/demerits f alternatives This sub factr measures the skills and experience t chse between alternatives and evaluate impact f decisins. 11. Leadership Demnstrates understanding f gals & current issues This sub factr measures the understanding f gals and current issues that influence/affect present and future wrk prductivity. Prvides directin & envirnment fr achieving gals This sub factr measures the insight and technical expertise t direct thers n assigned tasks and prvide the apprpriate envirnment, tls and infrastructure t achieve desired gals/results. Reacts with calm and certainty in difficult situatins This sub factr measures the maturity, bjectivity and mental balance when faced with difficult and/r unpleasant situatins. 12. Managing Perfrmance Ensures clarity f rles & respnsibilities t staff members This sub factr measures the ability t supervise emplyees with minimum cnflict and verlap f activities. Delegates & mnitrs emplyee perfrmance apprpriately This sub factr measures the skills t delegate and cntrl functins and mnitr emplyee perfrmance/activities. Prvides regular perfrmance feedback & caching t staff This sub factr measures the ability t prvide feedback and cach/develp subrdinates n a regular basis. 13. Financial Management Maintains and dcuments an accurate accunt f finances This sub factr measures the ability t keep and update accurate recrds f finances whether it is in electrnic r hardcpy frm. Prcessed dcumentatin is crrect and prperly allcated This sub factr measures the accuracy f prcessing financial dcuments and allcating thse funds apprpriately. Ability t plan, budget and frecast funds allcated This sub factr measures the ability plan fr the future with the funds and finances that have been allcated t frecast ptential expenditures. 29