Performance and Career Management Process

1. Performance and Career Management Process OCFO Supervisor/Manager Training June 10, 2013 Kim Williams, Phil Weiss, Neli Lopez

2. AGENDA • Opening Comments • 2012 PMP Survey Results • Assessing Performance and Writing Performance Reviews • Performance Review Process and Resources • Q & A

3. Opening Comments

4. Lab requiring overall performance ratings after two years with none required • All divisions including OCFO will participate • Five tiered rating structure: • Ratings distribution: Expectation of rough ‘bell curve’ • Stronger alignment of goals and expectations with performance assessment and ratings All PMPs delivered and signed by mid-September 2013 What’s Changing at Berkeley Lab?

5. OCFO has defined new objectives for effective professional development and performance management: • Align performance with the OCFO vision, values, strategic goals • Provide common framework to describe, discuss, evaluate performance for all OCFO staff • Provide clarity and consistencyin performance assessment across all OCFO units • Focus on key performance messages; emphasize meaningful discussion between employees and supervisors • Streamline and simplify process/PMP tool New OCFO divisional goals What’s Changing in the OCFO?

6. OCFO Divisional Goals Actively contribute to the successful FY14 implementation of the Financial Systems Modernization (F$M) project to deliver high quality, accessible financial data; high value end-to-end OCFO services; OCFO operational efficiency, and financial stewardship essential to effective research management. Work effectively individually, in teams, and with partners and customers to fulfill the OCFO vision: High-value financial stewardship, services and strategic solutions that contribute to our scientific mission. Perform at the valuable or higher level across all performance aspects on the OCFO performance guidelines in accomplishing position responsibilities and goals.  Take appropriate actions and steps as both individuals and teams to ensure that everyone in the OCFO is working in a safe and sound manner and actively promoting a caring, safety culture. What’s Changing in the OCFO?

7. 2012 PMP Survey Results

8. Executive Summary – Change from FY11 to FY12

9. Quality of Last Performance Review

10. Frequency of Performance Feedback • In FY12 • 92% received feedback • 58% received feedback twice or more frequently

11. Observations/Recommendations

12. Assessing Performance and Writing Performance Reviews

13. Outstanding – Performed at an outstanding level. Completed projects and/or achieved a culmination of results under unique circumstances that have made significant contributions. Excellent – Consistently performed at an excellent level for all essential job requirements and goals. Continually took initiative to accomplish results or make significant progress using creative approaches and resulting in innovation and/or improvements. Or was new to the job and still learning, but exceeded essential expectations. Valuable – Consistently performed at a solid and valuable level for all job responsibilities and goals. Achieved expected results, was dependable and accountable, and may have preformed at an excellent level at times. Or was new to the job and still learning, but met essential expectations. Needs Improvement – Accomplished some parts of the job satisfactorily but some elements required further improvement. May have needed closer supervision than should be required. Unacceptable – Failed to meet minimum job requirements and expectations in relation to regular duties. Required an excessive amount of supervision and coaching. Received corrective discipline during performance year or prior unsatisfactory performance evaluations. Assessing Performance5 Rating Levels

14. OCFO Performance Guidelines

15. Performance Guidelines developed to articulate and help assess/rate performance Guidelines are guidance, but don’t reflect all factors used to determine overall rating, which will also include: • Success in accomplishing goals – performance & job development • Performance relative to peers throughout the OCFO • Special assignments. E.g. OCA • Feedback How to use the Guidelines • Use to assess performance on responsibilities and goals • Describe and assess employee in Strength / Development Sections of performance review Assessing Performance OCFO Approach

16. Writing Performance ReviewsThings to Do • Keep it simple and succinct – summarize overall performance of job, focus on key goals and accomplishments • Evaluate performance directly related to the employee’s job duties as described in the Position Description • Review the employee’s performance over the entire 12 month performance cycle • Give specific examples • Use objective measurement and examples of impact • Acknowledge improvement as appropriate • Solicit customer / peer feedback

17. Writing Performance ReviewsThings to Avoid • No surprises in the review – problems or issues should have been previously discussed • References to personality, behavior, and stress level • References to Age, Race, Ethnicity, Gender, Disability, Sexual Orientation, etc. • Colorful, subjective and editorial comments which can be taken out of context • References to medical leaves, leave of absences, part-time work, school schedule • Do not use personal names – use job titles

18. Writing Performance ReviewsThings to Avoid • Bias Effect – when arbitrary factors may influence the rater to distort appraisal information • Horn Effect – focusing accomplishment on only negative things • Halo Effect – focusing accomplishments on only positive things • Leniency Effect – all employees get high or low scores • RecencyEffect - when more weight is given to recent occurrences and discounts the employees earlier performance

19. Writing Performance ReviewsNext Performance Year Goals Performance Goals • Use BLI Tool – 5 Steps for Setting Goals • Work with employee to mutually agree in identifying goals, in addition to what is already defined in their position description Job Development Goals • Improvement Needed? • Include items from Areas for Development • Agree on time frame for improvement • Create and agree on an action plan that outlines performance expectations and spells out goals Career Development Goals • Clarifies the employee’s short- & long-term career interests • Aligns the employee’s development interests with the needs of the Group/Department/Division f

20. Writing Performance ReviewsNext Performance Year Goals

21. Performance Review Discussion

22. Performance Review DiscussionThings to Do and Avoid Things to Do • Send employee the performance review a day before the discussion meeting • Take the opportunity to thank your employee for their job performance • Solicit feedback, encourage questions – view as a opportunity to have a constructive discussion • Discuss areas of strengths and improvement • Discuss Career Development • Address any Employee Comments • Be open to changes to the performance review Things to Avoid • Do not sign performance review until after the discussion

23. Performance Review DiscussionDifficult Message • Helpful Tips in Delivering a Tough Message: • Be prepared to deal with a range of emotions that may be expressed by the employee, stay calm… Too much emotion? Take a time out or reschedule • Prepare • Role play meeting with supervisor or HR staff - Practice, practice, practice • Refer to previous documentation or conversations. Support your statements. Discuss examples of where employee didn’t meet performance. • Focus discussion on job performance concerns, not personal/medical problems • Solicit individuals input on their view of performance • Allow for awkward silence, people process differently, some get quiet • Don’t commit to changes or action plans due to employees reactions • Stress that you are sincerely interested in seeing employee correct performance concerns • If employee refuses to sign review, remind that signature is acknowledgment of receipt not agreement

24. Process and Resources

25. Frequently Asked Questions • Who is eligible? Career and Term Employees • New Employee? If probationary review is completed between April 1st to June 30th, probationary review will count as the annual review • Out of Class Assignment? Overall rating should be done at their “actual” classification level, not OCA higher level. • Reclassification? Has person been reclassified to a higher level during the reporting cycle? Where did they spend the preponderance of their time? • Rebuttals? Ask employee to sign review. Submit rebuttal separately. • Corrective Action? Warning Letter or above

26. Overview of Forms • Combined Self-Assessment /Annual Review Summary Form • Non Rep Employees Only • Self-Assessment completion required for all non-represented employees • Guidance Sheet available • Sample Written Performance Review • Represented Employees • Use the PRD Form • Employees may complete the PRD Self-Assessment Form – encouraged but not required

27. Overview of Forms • Career Development Plan Form • Optional Form • Can submit to supervisor along with Self-Assessment • For review and discussion – does not need to go in personnel file • Represented employees can also use as career development planning tool

28. Overview of Forms • Peer Review Form • Optional Form – Non Rep Employees • Supervisor / employee can use to gather feedback from peers and customers • Does not go in personnel file • Represented Employees • Optional PRD Feedback Worksheet

29. Resources & Training BLI Resources • Performance Conversation Resource Guide • 5 Steps To Setting Annual Performance Goals Guide - • BLI Workshops • Performance Review Discussion Workshops for Supervisors & Employees – at 971 • Leading for Results Workshop • Supervisor Scenario Workshop • Understanding Differences Workshops • Career Development Workshops for Employees • Online Learning through Skillsoft • Giving and Receiving Performance Feedback,by Peter R. Garber • Performance Management: Key Strategies and Practical Guidelines, by Michael Armstrong • Coaching for Peak Employee Performance, by Bill Foster and Karen Seeker • Assessment Tools • Team Role Assessment • Creative Problem Solving Assessment • Organization Skills Assessment

30. Using eRoom • Most current Performance Review should be in the eRoom • Two methods • Edit Performance Review in eRoom • Upload most current Performance Review • Tips for using eRoom • Must use Internet Explorer • Must have Plug-In installed or in “on” mode • Quick Reference Guide • Your Department Administrator is your first resource for troubleshooting • HR will review High and Low ratings in eRoom by July 26 • Non-Rep: Outstanding, Needs Improvement, Unacceptable • Rep: Outstanding, Marginal, Unsatisfactory

31. OCFO Annual Performance Review Calendar

32. 2012 PMP Process Questions?