Performance Management: Planning for Your Annual Performance Evaluation

1. Performance Management:Planning for Your Annual Performance Evaluation General Information Session for Supervisors & Employees Overview of 2009 Performance Evaluation Cycle Pat Hawthorne Director of Library Human Resources May 2009

2. Training Agenda • Provide an overview of performance management and the purpose of performance evaluation program for the UCLA Library • Explain why we conduct evaluations and expected outcomes • Correlate the annual evaluation and Individual Work Plan (IWP) • Describe the process and key components and facts of the annual process • Cover the ratings and forms used in the UCLA Library • Articulate what you should expect from your supervisor • Identify resources for employees with questions or in need of help • Outline best practices for employee participation • Allow for questions and discussion

3. What is performance management? Performance management is : a holistic system that includes multiple components: classification, compensation, recruitment/selection, orientation, coaching and counseling, evaluation, and recognition/reward. a process used within organizations to monitor, measure, report, improve, recognize and reward performance. the process by which individual capabilities and organizational capacity are enhanced and expanded to help the organization achieve its vision and fulfill its mission. the link between organizational strategy and results.

4. What is the purpose of the program? • The UCLA Library conducts performance evaluations for all full-time and part-time career staff as part of its commitment to providing both informal and formal feedback on a regular basis to all employees regarding job performance and organizational contributions. This is part of our overall performance management initiative. • With the introduction of unit and individual work plans, the annual performance evaluation provides a process and mechanism for individuals to see how they contribute to unit progress and the library’s accomplishments. Unit and individual work plans are mechanisms to monitor our progress toward accomplishment of goals and objectives in the strategic plan. The UCLA Library Strategic Plan for 2006 – 2009 can be found at: http://www2.library.ucla.edu/pdf/UCLA%20Library%20Strategic%20Plan%20200609.pdf

5. Policies and CBUs • UC staff personnel policies and collective bargaining agreements for staff require probationary and annual performance evaluations. • Probationary evaluations are conducted in the 4th or 5th month of probation. • Annual evaluations cover the fiscal year and are conducted in July and August. The specific policies and contract articles related to Performance Evaluations are: • Personnel Policies for Staff Members – PPSM #23 • Covers Administrators, Managers, Supervisors, Policy-Covered Staff • American Federation of State, County and Municipal Employees – AFSCME – Article 26 • Covers Service Staff and Mail Processors • Coalition of University Employees – CUE – Article 26 • Covers Clerical Staff and Library Assistants • University Professional and Technical Employees – UPTE – Article 26 • Covers Technical Staff

6. Why do we do evaluations? It ensures compliance with UC policies and collective bargaining agreements. It provides employees with specific feedback on past performance of job duties and contributions for a specific period of time. It provides a method, mechanism, and process for supervisor and employee to discuss expectations, performance, contributions, goals, activities, accomplishments, and career goals. It formally sets up a two-way conversation between supervisor and employee focused on performance, accomplishment, and contribution and fosters coaching and mentoring. It provides a blueprint for future goals, including learning and development goals. It helps managers identify needs for training and in determining the viability of employees for other opportunities – transfers, promotions, special projects, etc. It serves a mechanism to recognize and praise employee contributions. It provides information for administrators to determine merit increases – for some employees.

7. How does it affect my salary? • Policy-covered Staff – salary increases are merit-based so performance evaluations do relate to salary • Represented Staff – salary increases may or may not be merit-based The current collective bargaining agreement for the specific union will spell this out in the article that deals with compensation, salary, and wags. Historically UCLA has funded salary increases ONLY when state funding is available and provided to the UC System and its campuses.

8. How does the IWP relate? Individual Work Plans (IWPs) relate to the evaluation progress . Specifically, IWPs: Are produced collaboratively between the supervisor and staff member. Must be approved by supervisor, department head, supervisory AUL. Should include SMART goals -- Specific, Measurable, Achievable, Relevant/Results-Oriented and Time Bound/Sensitive. Should not include ongoing, routine work, but specific projects and initiatives, goals for the coming year. Should include measures, outcomes, results, and criteria for assessment. Should be developed based on the Library Strategic Plan and Unit Work Plan. Are for a specific period of time – the upcoming fiscal year. Need to have a learning and development section.

9. What are the desired outcomes? • Creation of a customer-focused, results-oriented, motivated, accountable, creative, and satisfied workforce • Focus on the strategic plan and unit and individual relationship to that plan • Development of annual fiscal year work plans that move us forward • Mechanism for recording employee contributions and accomplishments • Method for planning for individual development and organizational growth

10. Key Facts About the Library Process • The Staff Performance Evaluation Calendar of Due Dates outlines the process and key due dates for the library and runs from spring to late summer. • This calendar works in concert with the unit and individual work plan calendar. • Key dates are derived from campus and system dates and deadlines. • Evaluations are due in August. • Career staff are evaluated for the fiscal year – July 1 to June 30. • This makes the evaluation time-specific – review of a slice of time. • There are three different forms available for use: • All Job Categories – Campus Version • All Job Categories – Library Version • Duties-Specific Form • Narratives or customized forms are used in some departments.

11. What do the ratings mean? There are four possible ratings: Exceeds Expectations – performing at an optimal level, performance is consistently exemplary Meets Expectations – performing at a competent level, this is the norm for most staff members Partially Meets Expectations – performance needs to be improved and/or additional training is needed Does Not Meet Expectations – reflects unsatisfactory performance; supervisors are required to outline an action plan for improvement

12. How will my supervisor do my evaluation? Supervisors are expected to develop the evaluation narrative pulling data from a variety of sources. For example, they are expected to: Examine your job description and outline major responsibilities and the IWP and the major priorities for the review period. Determine if the employee is doing all parts of the job. If not, explain why. Review the IWP status/progress report and understand what was and was not done and why. Review meeting notes from their regular meetings with the employee to make a list of major activities, projects, initiatives, and accomplishments from the year. Compile any feedback received about the employee from co-workers or customers during the review period. Ask the employee for reports – annual statistical report on productivity, etc. Review timesheets for attendance. Review performance files and logs. Find out what training the employee has attended and what the impact has been on efficiency and effectiveness.

13. What can I expect from my supervisor? Expect to have a planning meeting where the supervisor outlines his or her process and the department’s process and key deadlines and dates. Expect to receive notification of which form will be used in advance. Expect to be asked for input in the form of your IWP status/progress report, activities and accomplishments summary, self evaluations, etc. Expect to receive a draft copy of the evaluation prior to the performance discussion meeting and to have an opportunity to read it prior to the meeting. Expect to have an opportunity to comment on the draft, offer corrections and additions, clarify, and ask questions. Expect to have an uninterrupted performance discussion meeting in a private and confidential location. Expect the evaluation to focus on the period and the work and results. Expect consistency – comments support ratings – and comments that focus on behaviors, results, and impact with specific examples. Expect to receive a fair and objective evaluation that provides praise for accomplishments/success and coaching/suggestions for improvement.

14. Where can I go for help or questions? Your Supervisor Your Department Head Your Supervisory AUL Library Human Resources Campus Human Resources Your Union Representative

15. Best Practices

16. Start with a Plan • Work with your supervisor to set up the meetings necessary to complete the evaluation process – ideally you should have 2 to 4 meetings (1 meeting for planning, 1 or 2 for discussion and feedback and planning, 1 meeting to finalize the evaluation and sign it). • Built these meetings into your regular meeting schedule with your supervisor. • Review the overall calendar of due dates and clarify due dates for your evaluation. • June 15 – July 17: Employee prepares and submits year-end progress report on FY 2008 – 2009 Individual Work Plan, activity and accomplishment reports, and/or self-evaluation. • July 1 – August 14: Supervisors develop and draft staff performance evaluations, schedule and hold meetings, and finalize evaluations. • August 14 – Signed evaluation due to LHR. • Ask about deadlines within your unit /department and any additional due dates outlined by the department head and/or supervisory AUL. • Meet all deadlines!

17. Understand the Process • Make sure you understand the process – the one within the library, within your department, and the process used by your supervisor. • Do not be afraid to ask questions as necessary. • Ask your supervisor. • Come to Library Human Resources. • Find out what form or format will be used by your supervisor or within your department. • Ask your supervisor to describe how they compile information, develop and draft evaluations, and what criteria they use to evaluate and measure performance, what type of outcomes and results do they look for, etc. • Ask about process – how to the upper levels of management participate in the process in your unit/department? • Understand the culture of evaluation in the organization, specifically what do the ratings mean and how are they viewed.

18. Prepare Your IWP Status Report Start working on the year-end status/progress report on your FY 2008 – 2009 Individual Work Plan – this must be attached to your evaluation! Summarize the status of each goal – completed, in progress, deferred, dropped, modified, etc. – and write a short summary/abstract of what you accomplished including specifics – statistics, time involved, process,, impact. Add a section entitled “Other Activity and Accomplishments” and summarize significant items that were not part of your work plan. Use your calendar and other tools to refresh your memory on what you accomplished. Be sure to summarize what learning and development opportunities you participated in during the past year. Strive to honestly and objectively evaluate your successes, contributions, problems, issues, challenges. Be prepared to answer questions and provide information. Pull together supporting documentation – statistical and narrative reports, completed projects, letters, etc. – and share with your supervisor. Submit to your supervisor no later than July 17, 2009.

19. Review Last Year’s Evaluation • Pull a copy of your last evaluation – review the comments as well as goals and objectives, action plans, recognition, contributions, criticism, and challenges and issues that were identified in that evaluation. • Summarize what you’ve done since the last evaluation. • What goals and objectives have been finished? • What action plans have been completed? • How have you addressed any criticisms, issues, or challenges? • How have you built on past successes? • What changes took place that prevented or accelerated activity? Were these factors within your control? • Be prepared to answer questions and provide information. • Pull together supporting documentation – statistical and narrative reports, completed projects, letters, etc. – and share with your supervisor as early as possible in the process.

20. Mine Your Job Description • Get a copy of your current job description and mine it for information for you IWP status/progress report and/or evaluation. • Review each section as a way of prompting your memory to help you summarize your key activities and accomplishments during the past year. • Review the job description to determine if an update is necessary – revisions and updates of job descriptions should be done AFTER the evaluation process is complete. • What needs to be changed, modified, updated? • What needs to be added? • What needs to be deleted?

21. Assess Your Knowledge & Skills • Summarize what your job knowledge and skill set are in relation to the department’s work. • Identify your areas of strength and/or contribution. • Consider how you might leverage these strengths and enhance your contribution in the department and library. • Make suggestions on how you can use your strengths to benefit the department. • Identify areas of weakness. • Develop ideas for how to turn weaknesses into strengths and include in the learning and development part of your work plan. • Make suggestions for what learning and development opportunities exist to help you address weaknesses. • Ask your boss what they think your strengths and weaknesses are in terms of job knowledge and skill set.

22. Prepare Your IWP for FY 2009 – 2010 Start working on your Individual Work Plan (IWP) for the coming fiscal year – 2009 – 2010 – this must be attached to your evaluation! Look at the past year’s plan and identify incomplete, deferred, dropped, modified goals and determine if they need to be included in next year’s plan. Review your departmental work plan to develop your IWP and ensure that your IWP reflects all of those that have your name on them. Add any goals you want to accomplish in relation to your job description. Be sure to include a learning and development section of the plan – plan to learn. Be prepared to discuss your work plan and goals for the coming year – as well as your career goals – with your supervisor. Identify what you are interested in doing and why. Be open to suggestions from your supervisor. Get your supervisor’s approval for the IWP.

23. Anticipate Your Supervisor’s Perspective • In reviewing your last evaluation, work plan, job description, and activities and accomplishments summary, try to think like your boss. • What is their perspective on your accomplishments? • What is their assessment of your performance and contributions? • What is their view of your team skills? • What will they think of your goals and objectives? • What new work might they want you to take on or new skills to learn? • What suggestions might they make to improve or enhance your performance? • Be willing to listen. • Listen first, react second – possibly in a second meeting. • Expect them to be fair and objective and to provide supporting evidence and example when discussing both positive and negative performance. • Ask them what they think you can do to contribute to the department and the library in the coming year. • Keep in mind that it is often as difficult for supervisors to provide performance feedback as it is for employees to receive it.

24. Plan for the Performance Discussion • Read the draft evaluation prior to the meeting and develop comments and questions. • Think about your activities and accomplishments as well as your career plans and overall job satisfaction – plan for the discussion. Use the performance discussion meeting to raise issues for discussion – let your supervisor know what you want to discuss or what questions you have in advance of the meeting. Your supervisor can help in some of these areas. • Prepare for the meeting by asking yourself some questions: • Did I meet the expectations of my position in the past year? Why or why not? How? • What are my key accomplishments and activities? How are they measurable or assessed? • Do I have evidence that is specific and objective? • What are my strengths and contributions? • What are my weaknesses and challenges? • What knowledge and skills do I need to acquire or enhance? • How do I want to grow in the coming year? What do I want to be doing next year? • What have I learned this year? • Are my goals for next year SMART goals? Specific, Measurable, Achievable, Relevant/Results-Oriented and Time Bound/Sensitive?

25. Ask for Specifics – and Reflect • In reviewing your past year’s activities and accomplishments, pick the three things you think you did particularly well and three that you feel provided challenges or difficulties. • Ask your supervisor for specific feedback in regard to each. • For your successes – what did you do particularly well or was there anything that stood out to the supervisor as exceptional in regard to a particular project? • For those challenges – what might you have done differently from their perspective to address the challenge? • Identify what you need you learned from successes and challenges in the past year – practice reflective learning. • Be prepared to offer your reflections on how you might approach projects and assignments differently in the future based on what you have learned in the past year.

26. Listen . . . And React Accordingly • Listen carefully during the performance discussion. Focus on the speaker. • Listen for ideas, not just facts and explanations. • Be an active listener. Practice it by learning to restate or paraphrase what you heard in your own words to ensure mutual understanding. • Listen with your eyes and your ears. Watch for nonverbal cues and body language. • Let your supervisor finish before you interrupt, seek to clarify, or ask questions. • If you don’t understand something they have said, say so. Ask questions to clarify. • Ask for specific examples of what you should or should not do as a way of clarifying your supervisor’s expectations. • Control your reactions – seek to avoid defensiveness, bias, anger, etc. • When discussing your point of view, focus on your performance. Do not compare yourself to others, compare yourself to the measure or criteria. • Demonstrate you want to learn from mistakes and missteps – improve and develop is growth. • Keep an open mind.

27. Communicate During the Discussion • Keep in mind that the performance discussion meeting should be a two-way conversion. • Work to actively participate. • Prepare yourself to answer questions. Your supervisor might want your feedback. • Prepare questions to ask of your supervisor. • What do you think went well this year? • What do you think I should do differently next year? Why? How? • What can I do to improve my rating in the area of ____ next year? • How could I be more helpful to other people on the team or in the department? • What new knowledge or skills do you think I need to acquire or develop? Are there any projects or assignments that might allow me to gain new knowledge or skills? • What are your most important goals for the coming year? What are the department’s most important goals? What challenges will we face in the department and library in the coming year? What changes are ahead? How might I prepare for these? • Is there anything I can do to make your work or the work of the department easier? • What career opportunities do you see for someone with my background?

28. Plan for Learning & Development • Your IWP for the coming year should have a learning and development section that outlines your in this area. • Be sure to include a learning and development section of the plan – plan to learn. • Set a goal to achieve a specific number of learning hours. Use a range instead of a set number. • Set goals to attend specific classes or participate in specific activities. • Set goals to learn specific knowledge or skills. • Distinguish between self development, professional development, and career development goals: • Self Development – Focus is on developing/improving behaviors. • Professional Development – Focus is on developing knowledge and skills for the job. • Career Development – Focus is on helping you attain long-term career or work goals. • Identify your preferred learning style – learning by doing, learning by thinking, learning by perception, learning by intuition. • Identify informal and formal methods and modes of learning.

29. Prepare Yourself for Disagreements • If you have faced challenges or there have been issues or you and your supervisor disagree on a specific issue or situation, prepare for this part of the evaluation. • Identify if it is past or ongoing – this makes a difference. • If past, what did you do to correct or address the situation? • If ongoing, what actions are you taking to correct or address the situation? • Handle it professionally. • Acknowledge the difference of opinion in a professional manner. You may not agree, but you need to hear the supervisor’s reasons for their assessment. • Avoid knee-jerk reactions. Listen and consider the supervisor’s perspective. • Avoid defensiveness, crying, arguing. Stay calm. Agree to disagree agreeably. • Ask questions to clarify future expectations – in particular ask how you might have handled the situation or issue differently to be viewed as successful. • Consider your options – and discuss with LHR. • Provide evidence as a counter when appropriate. • Consider adding commentary to your evaluation.

30. Finalize the Evaluation • Hold as many meetings as necessary. • Be prepared to work with your supervisor to finalize the evaluation. • Pull the required pieces together: • FY 2008 – 2009 Performance Evaluation Form with Signatures • FY 2008 – 2009 IWP Status/Progress Report with Signatures • FY 2009 – 2010 IWP with Signatures • Meet all deadlines. • Review it and suggest changes if asked. Provide corrections for typographical errors or factual information as necessary. Make suggestions as appropriate. • Add your comments in the section for employee comments in a timely manner – do not delay the submission of the evaluation. If you have not completed your comments, by the deadline submit the completed evaluation by the deadline. You can submit your comments to your supervisor and LHR after the due date. They will be attached to the evaluation. • Sign the evaluation – recognize that your signature does not mean you agree with the evaluation only that you saw it and read it.

31. Questions & Discussion

32. Thank you for your participation! Comments, suggestions, and questions are welcome – send to Pat Hawthorne (path@library.ucla.edu) in Library Human Resources.