Activity 1: Opening (Total Minutes = 75) Teaching Tips/Notes



Activity 13: Practice #8 - Assess and Evaluate Performance

Purpose: To build understanding of key performance assessment concepts and procedures, and to enable the supervisor to assess worker performance over a variety of dimensions. The supervisor will be able to apply this knowledge to the State’s Performance Assessment Review System (PAR); rate his/her workers’ job performance; and create customized development plans for each worker.

Time: 195 minutes (over 2 days)

Objectives: Through this activity, the supervisor will:

• Describe the purpose and value of performance evaluation.

• Describe the purpose of each section of the Performance Assessment Review (PAR) System form.

• Identify common sources of performance data.

• Review tips on preparing for and conducting performance appraisal meetings.

• Design performance tracking strategies.

• Distinguish between performance appraisal and disciplinary actions.

Materials: (change below as needed)

• Participant Workbook

• Flip chart and markers

• Projector

• PowerPoint file

• Blank copies of the PAR form

• Sets of completed sample PAR forms

• Handout for Confronting Performance Exercise

|Sequence: (of topics/exercises) |Time |

|Rational for Performance Appraisal |15 minutes |

|Realities in the Local Offices - Exercise |35 minutes |

|A Model for The (PAR) |25 minutes |

|Collecting Performance Data - Exercise |45 minutes |

|A Model for PAR Meetings |20 minutes |

|Performance Management Continuum - Exercise |45 minutes |

|What’s in Your Circle of Influence? |10 minutes |

|Activity 11: Assess and Evaluate Performance (Total Minutes = 195) |

|Method |Script |Tips/Notes |

|Rationale for Performance Appraisal (15 minutes) |

|[pic] | | |

|Slide #1 |[pic] | |

|Integrative Statement |“No discussion of supervisory responsibilities for people management would | |

| |be complete without a focus on performance appraisal. We have been looking | |

| |at how to build relationships with our workers, how to inspire them, | |

| |motivate them, help them understand one another and resolve conflicts. | |

| |These are all great climate-setting and problem solving practices. | |

| |But performance appraisal gets down to defining fundamental issues in job | |

| |performance. It answers the three key questions every worker needs to know:| |

| |What is my job? | |

| |How well am I expected to do it? | |

| |How am I doing?” | |

|Say: |“As important as it is, it’s not everybody’s favorite dimension of | |

| |supervision.” | |

|Ask: |What do you think of this quote from Alfred Kadushin’s textbook: | |

| |Supervision in Social Work? Does it ring true for you? | |

| |Why? | |

|[pic] |[pic] | |

|Slide #2 | | |

|Ask: |“How do you feel about rating people’s performance? Is it |Acknowledge their discomfort|

| |anxiety-producing? How will you manage that?” |with rating another’s |

| | |performance, but hold them |

| | |accountable – it’s an |

| | |important part of their job.|

| | | |

| |What about these next quotes? What are your thoughts? | |

|[pic] | | |

|Slide #3 |[pic] | |

|Ask: |The research seems to suggest that little time is devoted to them. | |

| | | |

|Say: |Perhaps this is because, in the business of child welfare, supervisors are | |

| |always in conference with workers, guiding and directing performance. | |

| |Or, perhaps it’s because the value is not readily obvious. | |

|Do: |Build argument in favor of Performance Appraisal. | |

|[pic] |“Organizations cannot function efficiently when roles are confused, |Rational for Performance |

|Key Points: |responsibilities aren’t clear, expectations for effective performance |Appraisal |

| |aren’t shared, and worker tasks are not directly linked to the achievement | |

| |of the mission. | |

| |The Performance Appraisal process and system helps answer those 3 key | |

| |questions every worker needs to have answered: | |

| |What is my job? | |

| |How well am I expected to perform my job? | |

| |How am I doing?” | |

| |Finally, we are required to conduct performance appraisals for legal, | |

| |contractual, and ethical reasons. | |

|[pic] | |Rational for Performance |

|Slide #4 |[pic] |Appraisal |

|[pic] |Title 4A of NJ Administrative Code establishes management’s responsibility |. |

|Key Points |to conduct performance appraisals – and provides the rules under which they| |

| |will be conducted. | |

| |Further, it requires sups to be evaluated on doing PARs for subordinates. | |

| |“A supervisor’s own PAR shall provide that the supervisor shall complete | |

| |the PAR of his or her subordinates. A supervisor who fails to timely | |

| |complete the final rating, of his or her subordinates or who is responsible| |

| |for another employee’s failure to timely complete a final PAR rating, shall| |

| |receive a rating of Unsatisfactory, and may be subject to discipline.” | |

| |Details of the State’s performance appraisal systems are negotiated with | |

| |Labor Unions. | |

| |Our professions code of ethics requires it. | |

| |Due process requires it. | |

| |Performance appraisal is a part of both our administrative and educative | |

| |roles. | |

| |When taking the Civil Service exam, there are extra points given to the | |

| |score. |Civil Service exam points. |

| | |O points |

| | |1 point |

| | |3 points |

| | |Final review if |

| | |unsatisfactory |

| | | |

| | |Loss of increment |

|Do |Review and elaborate on the purposes for the worker: |Purpose of Performance |

| |[pic] |Appraisal - Worker |

| | | |

|[pic] | | |

|Slide #5 | | |

|Do: | |Benefits of Performance |

|[pic] |Have participants turn to the pages in their workbook that are devoted to |Appraisal |

| |the benefits of performance appraisal. | |

| |Two of the pages: Benefits to the Organization and benefits to the worker | |

| |are completed. | |

| |Direct their attention to the page headed “Benefits to the Supervisor.” | |

|Do: |Large Group Discussion | |

|[pic] |Have participants brainstorm and discuss the benefits of the performance | |

| |appraisal process to the supervisor. | |

| |Chart Responses | |

| |Add value where applicable by sharing the key points below, and in the | |

| |slide which follows. | |

|[pic] |Benefits to the Supervisor: |Benefits to the Supervisor |

|Key Points |Through performance appraisal, the supervisor can reach a common | |

| |understanding with the worker on expectations for job performance – | |

| |reducing likelihood for misunderstandings. | |

| |The supervisor can identify the worker’s developmental strengths and needs.| |

| |By evaluating strengths and needs, the supervisor is in a better position | |

| |to efficiently deploy his/her staff – make assignments. | |

| |The supervisor can also use this opportunity to learn the interests and | |

| |goals of individual workers, and be able to make a better match of workers | |

| |to specific developmental opportunities. | |

| |Formal evaluation provides protection for the supervisor in the cases where| |

| |personnel decisions are contested. | |

| |The standards for performance help the supervisor translate agency | |

| |objectives into specific tasks at the worker level. | |

| |The process helps the supervisor fulfill both his/her administrative and | |

| |educative roles. | |

|[pic] |[pic] | |

|Slide #6 | | |

|[pic] |Review and elaborate on the purpose for the organization: |Purpose of Performance |

|Slide #7 |[pic] |Appraisal - Organization |

|Realities in the Local Offices – Exercise (35 minutes) |

|Say: |“You’ve heard the arguments supporting the use of a performance evaluation | |

| |system. Let’s take a look at some of the realities of the process and tool | |

| |used with your workers in the local offices.” | |

| | | |

| |“Through this next activity, our goal will be to quickly surface the | |

| |existing practices, attitudes, and beliefs about performance appraisal in | |

| |your local offices.” | |

|Do: |Prior to the session, prepare 3X5 Index cards with the following questions |Goal: to actively engage the|

| |on them, one question per card: |participants in a discussion|

| |Questions: |of present realties, and |

| | |potential benefits. |

| |1. How is performance appraisal and the PAR process viewed in your local | |

| |office, and what have you learned about the process from the example set by| |

| |others? | |

| |2. How do the Goals and Job Responsibilities sections of your workers’ PAR| |

| |documents get written, and who can make changes? | |

| |3. How much time do you devote to tracking your workers’ performance and | |

| |how do you do it? | |

| |4. How can you use the PAR process to change your workers’ job | |

| |performance? | |

| |5. If you woke up tomorrow, and things worked the way they were “supposed | |

| |to,” how would the PAR process be used, and what would be different? | |

| | |“Miracle Question” |

|Do: |Break the class into 5 groups. |Group Exercise |

|[pic] |Give each group one of the index cards with a question on it. | |

| |Tell the groups their task is to read, discuss and answer the question. | |

| |They must appoint a reporter to share their answers with the class. | |

| |Allow 5-7 minutes for groups to answer questions. | |

| |When groups are done, debrief as follows. | |

| |Ask each question, showing slides, with questions on them, as you go. |Debriefing |

|Do: | | |

|[pic] | | |

| | | |

|[pic] | | |

|Slide #8 | | |

| |For questions 1-3 chart responses on an easel sheet headed “REALITIES.” | |

| | | |

| |[pic] |“REALITIES” |

| | | |

| | | |

| | | |

|[pic] |After question #1, show the next slide: | |

|Slide #9 | | |

| |[pic] | |

| |Discuss how no-one cares about PAR until HR is demanding them, or there’s | |

| |an administrative action that will only be supported if a PAR has been done| |

| |properly. | |

| |[pic] | |

|[pic] | | |

|Slide #10 |Expect that many of your supervisors will not know who has written them, or| |

| |when, or how they were otherwise generated. Some may not be able to tell | |

| |you who distributes them in their offices. | |

| |Make sure they know they should be asking questions about the documents, | |

| |and customizing them to their unit and worker needs. | |

| |[pic] | |

| | | |

| | | |

| |Discuss the importance of giving performance feedback on a regular basis – | |

| |Performance feedback should reflect a worker’s job duties as detailed in | |

| |the PAR. | |

| | | |

| | | |

| | | |

|[pic] | | |

|Slide #11 | | |

|[pic] |[pic] | |

|Slide #12 | | |

|[pic] |For question #4, chart participant ideas for changing worker behavior |“POSSIBILITIES” |

| |through the PAR, and post on wall for later. Refer back to this chart when | |

| |conducting the “Confronting and Changing Performance Exercise” later in the| |

| |program. | |

| |Head this easel sheet “POSSIBILITIES” | |

| |Acknowledge that changing worker behavior through use of the PAR is | |

| |possible if used appropriately. | |

| |[pic] | |

|[pic] | | |

|Slide #13 | | |

|[pic] |For question #5, chart participant responses to the “Miracle” question on a|“MIRACLE” |

| |separate easel sheet headed “MIRACLE” | |

| |Connect to previous purposes and benefits of performance appraisal. | |

| |Post for reference later. | |

|Say: |“We’ve seen the arguments and requirements for conducting performance | |

| |appraisals. | |

| |We’ve acknowledged that the present use of the system isn’t always what it | |

| |should be. | |

| |Tomorrow we’ll take a look at how the PAR system is intended to work – as a| |

| |tool for supervisors to use in shaping their worker’s performance. | |

| |Then, we will re-visit what YOU can do to make it work best for you.” | |

|Closing Statement |“This ends the day’s instruction on the “Assess and Evaluate Performance. | |

| |We’ll continue tomorrow with the use of the PAR tool, and its place in | |

| |managing performance.” | |

| |

|End of Day Three |

| |

|Opening of Day Four |

|Do: |Conduct Opening exercise from 9:00 – 9:20 am. | |

| |Refresh participants on what was covered yesterday, and transition into | |

| |today’s material. | |

|A Model for the PAR (25 minutes) |

|Do: |Show next slides which present a model for the role of PAR in performance | |

| |management, and the various sections of the PAR tool. | |

|[pic] | |The Model |

|Slide #14 |[pic] | |

|[pic] |PAR is the foundation of performance management efforts. | |

|Key Points |It defines the job. | |

| |It frames training and coaching efforts. | |

| |Teachable moments during conferencing also shape performance and reinforce | |

| |the PAR requirements. | |

| |Performance feedback, to be effective, must be frequent and developmental. | |

| |All of the lower level activities contribute to building optimal | |

| |performance in the worker. | |

|Say |“The PAR tool in use for your caseworkers consists of the following | |

| |components. | |

|[pic] |[pic] |PAR Components |

|Slide #15 | | |

| | | |

|[pic] | | |

|pp. 89-102 | | |

|Do: |Distribute blank copies of the PAR document, and the packet of Sample PAR | |

|[pic] |documents. | |

| |Use the blank PAR to illustrate the sections. | |

| |Use the Samples to illustrate teaching points around the first 3 sections | |

| |of the PAR. | |

| |Begin with a discussion of the first section of the PAR – Major Goals of | |

| |the Unit and Ratee. | |

| |Show connections between Goals of DCF and unit and ratee goals. | |

|[pic] | |Connections –Levels of Goals|

|Slide #16 |[pic] | |

|Do: |Explain slide above, and provide examples with next two slides. | |

| |[pic] | |

|[pic] | | |

|Slide #17 | | |

| |[pic] | |

| | | |

| | | |

| | | |

| | | |

| | | |

|[pic] | | |

|Slide #18 | | |

|Do: |Transition to next slides explaining the “Goals” section of the PAR tool. | |

| |Refer back to slides above to illustrate the points. | |

|[pic] | |Major Goals of Unit |

|Slide #19 |[pic] | |

| | | |

| |Major Goals of the Unit: | |

|[pic] |Major Goals of the Unit describe what you intend to achieve in key result | |

|pp. 89-102 |areas (intake, permanency, adoptions, etc.) | |

| |The Major Goals of your unit should tie directly to the mission of the | |

|[pic] |agency. | |

|Key Points |There should be a specific connection such that achievement of unit goals | |

| |will clearly support achievement of agency outcomes for children and | |

| |families. | |

| |The major goals of the unit are not involved in the rating of individual | |

| |performance – they are there to keep supervisor and worker focused on the | |

| |bigger picture. | |

| |[pic] |Major Goals of Ratee |

|[pic] | | |

|Slide #20 |Major Goals of the Ratee: | |

| |The Major Goals of the Ratee specify the work-related goals or objectives | |

| |of your worker. | |

|[pic] |The identification of Major Goals is significant because it gives the | |

|pp. 89-102 |supervisor and worker the opportunity to discuss the worker’s job in direct| |

| |relationship to the “Big Picture.” | |

|[pic] |Completion of this section of the form satisfies two needs: | |

|Key Points |Provides overall direction for the worker for the upcoming year; and | |

| |Establishes a shared understanding for what the worker’s contributing role | |

| |is in the achievement of the unit’s goals. | |

| |Major goals of the Ratee should be high level statements of intent – what | |

| |you intend for the worker to do. | |

| |They should capture what the worker is to achieve in key results areas for | |

| |the upcoming year. | |

| |It is preferable that they focus on specific projects or accomplishments | |

| |rather than capturing routine, ongoing efforts. | |

| |It is helpful if they contain some measurement indicator, such as a date | |

| |for completion, or the scope or extent of the results to be achieved. | |

| |Common problems experienced by supervisors in writing Major Goals of the | |

| |Ratee include: | |

| |The statement is too vague | |

| |Or the statement is too specific, and results in being a task statement | |

| |that properly belongs in the Job Responsibilities section. | |

| |Major Goals of the Ratee are attainable objectives. Individual Job | |

| |Responsibilities are the specific tasks to accomplish those objectives. | |

|[pic] | | |

|Slide #21 |[pic] | |

| | | |

| |Goals should be specific – stating exactly what is to be done, and by when.| |

| |Goals should have some unit of measure in them – sometimes expressed as a | |

| |percentage or some other quantifiable unit of performance. | |

| |Attainability refers to the goal being within the worker’s range of | |

| |authority – does the worker have the authority to make decisions and take | |

| |action toward the goal? | |

| |Goals should be realistic – in time frames, in scope of the goal to be | |

|[pic] |achieved, and in the context of the worker’s capabilities. Set the bar to | |

|Key Points |stretch the worker, but not so high that the worker simply cannot achieve | |

| |it. | |

| |All goals should be tied to the strategic goals of the agency. | |

|Do: |Answer any questions on the first sections of the PAR form. | |

| |Have participants scan the samples provided, and identify problems with the| |

| |way the goals are stated. | |

| |Explain that these sections are not stated as goals, but as job functions. | |

| |While this may be a common practice, it is incorrect, and not what the tool| |

| |was designed to do. | |

| |Explain that supervisor’s should have goals for their units that help move | |

| |the agency toward its strategic goals. This will not happen by simply | |

| |stating the functions of the unit. | |

| |Likewise, supervisors should set goals to achieve during the rating cycle | |

| |with each worker. The goals should be developmental in nature, and help the| |

| |unit achieve its targeted goals. | |

| |Point out the parallels between setting goals for families, and setting | |

| |goals for units and workers. Goals all share the same qualities – they are | |

| |toward a desired state; they are measurable and time-limited, and they are | |

| |S.M.A.R.T. | |

|Say: |“The next section of the PAR form documents the key job responsibilities of| |

| |the worker. | |

|[pic] | |Job Responsibilities |

|Slide #22 |[pic] | |

| | | |

|[pic] | | |

|pp. 89-102 |Explain the Job Responsibilities and Essential Criteria sections of the | |

| |PAR. | |

|Do: |This can be done as a presentation, or through a Socratic dialogue with the| |

| |group. | |

| |Cover key teaching points below. | |

| | | |

| | | |

|[pic] | | |

| |Individual Job Responsibilities | |

|Key Points |Duties/tasks that must be completed to achieve ratee’s and unit’s goals. | |

| |The number is determined by the complexity of the job, but generally there | |

| |are between 6 and 10. | |

| |They should be expressed using action verbs. | |

| |Some examples are in your workbook. | |

| |Guidelines to consider when writing the job responsibilities are: | |

| |Do the tasks identified contribute to the achievement of the unit’s goals? | |

| |Are theses tasks critical to the job? | |

| |Do they require a significant amount of time to perform? | |

| |Do they include those that are done frequently? | |

| |Do they reflect work over which the worker has direct control | |

| |(responsibility, authority and resources to act)? | |

|[pic] | | |

|Slide #23 |[pic] |Note: The Learner’s Guide |

| | |calls these “Essential |

| |Essential Criteria |Criteria” as per the PAR |

| |Are performance level indicators for each job responsibility |Handbook published by the |

| |They include specific units of measurement: |DOP. The terms mean the same|

| |Quality |thing. |

| |Quantity | |

| |Timeliness | |

|[pic] |They describe “satisfactory” performance | |

|pp. 89-102 |They can be positively or negatively directed | |

|Say: | |Alternative application |

|[pic] |Alternative application exercise – if time permits: |exercise – if time permits. |

| | | |

| |“In following our teaching model, it’s time now for you to practice | |

| |applying these guidelines. | |

| | | |

| |(Chart) | |

| |In small groups, work collaboratively to write 2 job responsibility | |

| |statements, and for each of those, write 2 to 3 Essential Criteria.” | |

|Do: |Set up groups of 3-4. | |

| |Provide sheet of easel paper and markers | |

|[pic] |Assign task. | |

| |Provide 15 minutes to complete. | |

| |Have groups post their results. | |

| |Invite class to get up and walk around the room reading each others work | |

| |(serves to help them take a stretch break as well.) | |

| |Reconvene class & Debrief. | |

| |Correct any errors on the group work, and provide instructive feedback. | |

|Ask: |What questions do you have about your classmate’s work as posted? | |

| |What did you find challenging about writing these? | |

| |How comfortable are you that you can write these on your own? | |

|Say: |“In addition to rating workers on how they carry out their job | |

| |responsibilities, supervisors must consider the manner in which they | |

| |perform their job as a whole over 7 Performance Measures.” | |

|[pic] | |Universal Performance |

|Slide #24 |[pic] |Factors |

| | | |

| |Universal Performance Factors and Examples of Satisfactory Performance | |

| |All PAR forms contain these same seven factors. | |

| |They are global measures of performance. | |

|[pic] |To rate an employee on these factors, you must consider how they perform | |

|pp. 89-102 |their job overall – not just on some tasks. | |

| |For each Universal Factor, some Standards for Satisfactory Achievement are | |

|[pic] |provided. They are intended to frame your thinking about the factor. They | |

|Key Points |are not all-inclusive. | |

| |When rating workers on these factors, supervisors should ground the rating | |

| |in facts – observed behaviors – not just gut feelings. | |

|Ask: |“How do you plan to track performance data on your staff?” | |

|Say: |“It is advised that you develop the discipline and habit to track and make | |

| |notes on your worker’s job performance on a regular basis. Make note of any| |

| |instructive feedback provided, and the result. It is extremely difficult to| |

| |recall it at the 6 and 12 month time frames if you have not been making | |

| |notes. Additionally, you may fall prey to rating biases if you base your | |

| |rating on what you can recall at the last minute.” | |

|Do: |Explain that you will finish explaining the remaining sections of the PAR | |

| |form, and then return to the issue of tracking performance and gathering | |

| |performance data immediately after. | |

| |Explain that the final pages of the PAR tool pertain specifically to the | |

| |conveyance of a rating at 6 and 12 months during the rating cycle. | |

| |Explain the following sections. | |

| | | |

|[pic] |[pic] | |

|Slide #25 | | |

|[pic] |Significant Events |Significant Events |

|pp. 89-102 |Data for performance ratings should be tracked and documented throughout | |

|[pic] |the rating cycle. | |

| |In this section – make note of anything that is significant, remarkable, | |

|Key Points |and noteworthy. Include positive and negative events. | |

| |Write them down as they occur – don’t wait until rating time. | |

| |You decide what is recorded, but your worker can bring something to your | |

| |attention for inclusion here as well. | |

| | | |

| |Justification for the Evaluation: | |

| |Justify rating with examples of job behaviors that support the rating | |

| |(positive and/or negative as appropriate.) | |

| |A well-written justification statement: |Justification |

| |describes actual performance in behavioral terms. | |

| |Gives reasons and examples. | |

| |Includes relevant “outlier” performances. | |

| |To write your justification statement: | |

| |Review the significant Events Fact Sheet and other performance data you | |

| |have been keeping track of. | |

| |Give reasons that substantiate the rating. | |

| |Do not include issues that are not part of the PAR process. | |

| |Interim justification = 1st 6 months of rating cycle. | |

| |Final justification = all 12 months of the rating period. | |

| | | |

| |Development Plan: | |

| |Development plans can be for the improvement of weaknesses or the further | |

| |development of strengths, or the acquisition of new skills. | |

| |Collaborate to develop a specific plan of action. the plan should be | |

| |mutually established. | |

| |Skill development can be addressed by training, coaching, mentoring, | |

| |special assignments, self-directed learning, reading, shadowing, and | |

| |practice sessions, etc. | |

| |Plan should outline specific actions and prioritizes areas targeted for | |

| |development. | |

| | | |

| |The Rating: | |

| |The Worker must PASS 70% of all Individual Job Responsibilities (IJR) and | |

| |Performance Measures (PM) in order to achieve a Satisfactory rating. |Development |

| |Divide the total number of PASSING Individual Job Responsibilities and | |

| |Performance Measures by the TOTAL NUMBER of Individual Job Responsibilities| |

| |and Performance Measures on the form to derive the percentage point of the | |

| |rating. | |

| |(illustrated formula in workbook) | |

| | | |

| |Signatures: | |

| |Worker and supervisor sign the form. The worker can agree or disagree. | |

| |The signature just attests that he/she has had the meeting with the | |

| |supervisor and received the information. | |

| |The supervisor’s supervisor is generally the reviewer of the document. The | |

| |reviewer signs off on the form, but cannot change the rating. | |

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| | |Rating |

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| | |Signatures |

|Transition Statement |“We’ve been discussing the use of the PAR system in the creation of job | |

| |responsibilities and standards, and the conveyance of ratings. | |

| | | |

| |One piece of advice we need to focus in on is the need to track performance| |

| |throughout the rating cycle. But what do you track? What evidence or | |

| |behavioral data do you use? How do you know that what you’re tracking is | |

| |what makes an effective worker? Let’s take a look at that.” | |

|Collecting Performance Data – Exercise (45 minutes) |

|Ask: |“What is “Performance data”? | |

|Say: |“Performance data” are facts about the worker’s job performance – the |Work produced or not |

| |behaviors demonstrated toward fulfilling job responsibilities and |produced. |

| |Performance Measures.” |Looking for results and |

| | |outcomes. |

| |Performance data is central to the formation of your assessment of a | |

| |worker’s job performance. | |

| | | |

| |The reliability and credibility of your assessment and ratings depends on | |

| |it. If you don't have the right data, you can't make an objective | |

| |assessment.” | |

|Ask: |“What other evidence could you use to assess performance aside from | |

|[pic] |performance data?” | |

| | | |

| | | |

| | | |

| |Chart responses. | |

|Do: |Show slides below and explain types of performance data. | |

|[pic] | | |

|Slide #26 |[pic] | |

| | | |

| | | |

| |Quantitative data is more concrete. There are some electronic tracking | |

| |systems in place to help you collect it. | |

| |Qualitative data is more difficult to identify because, when speaking about| |

| |such high-level constructs such as “team work” and “problem solving” and | |

| |“organizational citizenship,” some planning and analysis must be done to | |

|[pic] |determine what is meant by those words in behavioral terms, and what | |

|Key Points |behaviors you’re going to look at to measure them. | |

| |The development of this thinking process is essential for your ability to | |

| |conduct an adequate appraisal of your workers’ performance. | |

| | | |

| | | |

| |[pic] | |

| | | |

| | | |

| | | |

| | | |

|[pic] | | |

|Slide #27 | | |

|[pic] |7 Key Sources of Performance Information | |

|Key Points | |Note: items in bold are |

| |Workers verbal reports of activity |those highly depended on by |

| |Worker’s written records of activity |social work supervisors. |

| |Observation of the worker in the field |(McCarthy, Kulakowski, and |

| |Observation of the worker in case conferences |Kenfeld, 1994) |

| |Observation of the worker in unit meetings | |

| |Worker correspondence, reports, case documentation, weekly schedule, daily |Least depended upon is |

| |action logs, etc. |underlined. (Kadushin, 1992)|

| |Client and work unit outcomes. | |

| |# interviews conducted | |

| |# children placed or reunified | |

| |# case plans completed | |

| |# home visits made | |

| |# foster homes evaluated | |

| |# FTMs held, | |

| |etc. | |

|Say: | | |

| |“So, when you make an assessment of your workers, you are looking at | |

| |behavioral data and other evidence of performance. | |

| | | |

| |Let’s apply this information now in an exercise. | |

|Do |Break class into groups |Performance Data Exercise |

|[pic] | | |

|Slide #28 |[pic] | |

| |Turn to the Group Exercise: Identifying Performance Data pages in their | |

| |workbooks. | |

|[pic] |There is a page for 3 job responsibilities, and a page for all 7 | |

|pp. 103-104 |Performance Measures. | |

| |Assign groups all 3 job responsibilities and divide the 7 factors amongst | |

|[pic] |the groups. Each group should be working on no more than 5 items. Each | |

| |group should have to struggle with at least 2 universal factors. | |

| |Instruct groups to discuss and identify what job behaviors(s) or other | |

| |evidence would they assess in order to derive and support their rating of | |

| |an employee over these responsibilities and factors. | |

| |Clarify what is meant by “job behaviors” or “other evidence.” Refer back to| |

| |slide. Ask which source of information is likely to net “job behavior data”| |

| |(observation of worker) v. which is likely to net “other evidence” (review | |

| |of outcome data.) Ensure group understands distinction between these | |

| |factors, and personal traits or characteristics. | |

| | | |

| | | |

| |Have groups list their results on easel sheets and post them. | |

| |Give the groups 30 minutes to complete this work. | |

|Do: |Spot review lists as posted. | |

| |Point out good examples, and what makes them good. | |

| |Point out examples that are either too vague or at too high a level to be | |

| |much help. | |

| |Emphasize the need to seek performance data – data that is evidence of the | |

| |job behaviors the supervisor is rating. | |

|Ask: |What did you struggle with in completing this exercise? |Debriefing |

| |How helpful were the Essential Criteria in knowing what data to collect? | |

| |Were all of them written in a manner that was helpful? | |

| |What about the statements “Organizes and plans work in order to complete | |

| |assignment within agency guidelines and time frames.” and “Interfaces with| |

| |other agencies in establishing a network of services to stated regulation.”| |

| |Were they particularly helpful? How did you decide to measure these things?| |

| | | |

| |In terms of the Performance Measures, how easy/difficult was it to identify| |

| |behavioral data to assess them? What made it so? | |

| | | |

| |What did you learn from this exercise? | |

| | | |

| |What can you conclude about collecting the performance data and evidence | |

| |you need to formulate and support a rating? | |

|Say: | |Connections to the Reform |

| |“The reform plan, our new case practice model, and agency values call for |Plan and New Case Practice |

| |casework to be carried out in a certain manner. These principles speak to |Model |

| |the quality of casework. Beyond the mechanics of completing forms within | |

| |timeframes, this is the work behind the forms.” | |

|[pic] |(chart on easel): | |

| |family engagement | |

| |cultural competence | |

| |individualized, customized case planning | |

| |community collaboration | |

|Do: | | |

| |Have participants take out their sample PAR forms they used in a previous | |

| |exercise. | |

|Ask: | | |

| |In the sample PAR forms you looked at earlier, where do you see opportunity| |

| |to rate a worker on his/her: | |

| |ability to engage families? | |

| |cultural competence? | |

| |ability to develop case plans with meaningful goals? | |

| |ability to seek out and make the best use of community resources? | |

| |If these abilities are at the heart of effective case practice in the | |

|Ask: |agency, why are they not more prevalent in these forms? | |

| | | |

| |What would you do to add these elements in? | |

| | | |

| |How would you assess your workers in these dimensions of casework? | |

|Say: |“These are the challenges you face as you become the next generation of | |

| |supervisors in the agency. Your role is to promote change toward casework | |

| |that embraces these qualities.” | |

|Ask: | |Expect to hear “time” and |

|[pic] |“What are the challenges you face in gathering performance data on your |the difficulty of going out |

| |workers?” |with workers, and the |

| | |uncertainty of how to |

| |Chart responses. |identify what they are |

| |Transition to explaining 2 methods for collecting data – Folder and Log |looking for when they go. |

| |Explain the following two alternatives for collecting performance data: |Performance Folder |

|Do: | | |

| |Creating a Folder | |

| |Hold up an empty folder with a name on the tab. | |

| |Explain that this represents their folder on one of their workers. | |

| |Ask them to brainstorm what should go into the folder, and at what | |

| |intervals, in order to help them form an appropriate assessment of the | |

| |worker’s performance at rating time. | |

|Say: |“Take a few moments to record ideas you’d like to apply from this exercise | |

| |in the space provided in your workbook.” | |

|Do: |Creating a Performance Log |Performance Log |

| |Explain that some supervisors find it easier to create a log of specific | |

| |performance events that can be used as data to support a rating. | |

| |Such logs may be easier to use than a collection of various documents and | |

| |notes in a folder. | |

| |Liken use of the log to “Nurses Notes” on a hospital chart. Relevant | |

| |assignments and results, specific performance events, feedback given, work | |

| |output, and other data would be charted in the log. | |

| |With the class, brainstorm the elements and format for a performance log. | |

| |Advise them to 1st list the key elements of the log – and then lay them out| |

| |on a page to complete the format of the log. | |

|A Model for PAR Meetings (20 minutes) |

|Integrative Statement | | |

| |“Fair, balanced performance appraisals are critical in the development of | |

| |your workforce. Often, the performance appraisal process takes a back seat to| |

| |getting through the events of each day. Then, suddenly, it’s appraisal time. | |

| | | |

| |Because the process doesn’t always get the attention it deserves, there are | |

| |supervisors who view the PAR as a requirement with little impact on the real | |

| |world. This is unfortunate. As a supervisor, whose role is to get work done | |

| |through others, the PAR process, and the tracking of performance is the | |

| |foundation for your conversations and actions around growing your workers. | |

| | | |

| |For purposes of employee development, it is important to use it effectively. | |

|Say: | | |

| |“There are three main phases of the PAR process: | |

| |The Initial PAR meeting and the interim and final rating meetings.” | |

|Do: |Refer them to the pages in their Workbook and review key points below. | |

| | | |

|[pic] |[pic] | |

|pp. 96-102 | | |

| | | |

|[pic] | | |

|Slide #29 | | |

| |Initial PAR Meeting: | |

| |Purpose of the Initial Meeting is for the supervisor and worker to jointly | |

|[pic] |discuss what the job is and how well it is to be done. | |

| |This meeting provides an opportunity for them to review job expectations | |

|Key Points |(Major Goals, Job Responsibilities, and Performance Factors), and to discuss | |

| |how well they should be accomplished (Essential Criteria). | |

| |This meeting is a conversation, not a monologue! | |

| |Supervisor and worker engage in dialog to reach mutual understanding. | |

| | | |

| |Interim and Final Rating Meetings: | |

| |During the rating period, observe, track and make assessments of performance.| |

| | | |

| |Give regular performance feedback. Your assessments of your workers’ | |

| |performance should not be a surprise at their PAR meetings. | |

| |Gather facts - log job performance throughout the rating cycle. Keep folders | |

| |on your workers with important e-mails and/or other documents reflecting job | |

| |performances and results. | |

| |Note significant events on the PAR form. | |

| |Derive your rating based on facts. | |

| |PRIOR to the meetings, give your worker the PAR form, and ask her to reflect | |

| |on her own performance. Ask her to conduct a self rating. Research has shown | |

| |that workers will often be harder on themselves than you will be. | |

| |For the interim rating, you must consider performance in the first 6 months | |

| |of the rating cycle. This rating is just a “check-in” for the worker to see | |

| |how she is doing, and to allow time to make adjustments to performance. It | |

| |does not factor into the final rating. | |

| |For the final rating, you are considering performance over the entire year. | |

| |Meet with worker to discuss the rating. It is advisable to give the worker | |

| |time to reflect on her performance, and to come into the rating meeting | |

| |having assessed her own performance. (See strategies in Workbook). | |

| |After discussing performance, discuss development activities to either help | |

| |the worker grow in a new direction, or improve current performance. Strike | |

| |agreement on the activities and time frames in the development plan. | |

| |Both parties sign and date the PAR. The worker checks whether she agrees or | |

| |disagrees with the rating. | |

| |Submit the PAR to your reviewer (usually your immediate supervisor) and your | |

| |Local Office HR representative or PAR coordinator. | |

| | | |

|Do: |Review the following model for all PAR meetings. | |

| | | |

|[pic] | | |

|Slide #30 |[pic] | |

| | | |

|Do: |Step 1 = Preparation. Supervisor and worker prepare separately for the | |

| |meeting. | |

|[pic] |At the initial meeting, each comes to the meeting prepared to discuss goals, | |

|Key Points |responsibilities and criteria for satisfactory performance. | |

| |At interim and final meetings each comes prepared to discuss actual | |

| |performance during the rating period, and areas for development. | |

| | | |

| |[pic] | |

|[pic] | | |

|Slide #31 |Supervisors should be aware of the potential for bias in their evaluation of | |

| |the worker. | |

| |What follows are some common biases that can influence how you rate your | |

| |worker. | |

|[pic] | | |

|Key Points |[pic] | |

| | | |

| |Recency Bias – “You’re only as good as your last performance.” | |

|[pic] |Horns and Halo Effect – Judge workers as “good” or “bad” and seek performance| |

|Slide #32 |that supports that judgment | |

| |Extreme Performance Bias – rating based only on unusual or extreme behaviors | |

| |(rather than typical) during rating period | |

| |First Impression Bias – supervisor recalls only those behaviors consistent | |

|[pic] |with his/her first impression of the worker. | |

|Key Points |[pic] | |

| |Step 2 = Conduct the meeting as a dialog. | |

| |At the initial meeting, share performance expectations and address worker’s | |

| |questions and concerns. | |

| |At rating meetings, hear the worker’s self-rating. | |

|[pic] |Discuss performance over each goal, job responsibility, and universal | |

|Slide #33 |performance factor. | |

| |Offer data to support your evaluation of the worker’s performance. | |

| |Listen to and respond to worker’s concerns and challenges. | |

| |Explain significant events recorded through rating cycle. | |

|[pic] |Step 3 = Collaborate on a development plan to continue to grow worker skills.| |

|Key Points | | |

| | | |

|Do: |Recall earlier discussion of supervisor anxieties about rating someone. | |

| |Discuss worker anxieties and reactions to being rated. | |

| |Explain the factors below that influence a worker’s acceptance of the rating | |

| |conveyed by the supervisor. | |

| | | |

| |[pic] | |

| | | |

|[pic] | | |

|Slide #34 | | |

| |Use of employee input into the rating. This includes the initial agreement | |

| |meeting and both rating meetings. Seeking their input and using it will | |

|[pic] |build credibility and trust. | |

|Key Points |Two-way communication during rating. Create an atmosphere where the worker | |

| |feels their viewpoint is important and will be heard. Be genuine and sincere.| |

| |Opportunity to challenge. Allow the worker the opportunity to present his | |

| |perspective, and even produce evidence to support it. You should not be | |

| |defensive in these matters. | |

| |Rater’s degree of familiarity with the work. The worker should get the sense | |

| |that you know what he does, how he does it, what it requires of him, etc. | |

| | | |

| |What strategy did we discuss that will build your credibility with the worker| |

| |in this area? | |

| |(regular performance feedback throughout the rating cycle.) | |

| | | |

| |Consistent application of standards. Workers know what the standards are and | |

| |who is not living up to them. They want supervisors to do something about it.| |

| |Evenhanded application of performance standards reinforces the worker’s | |

| |understanding of what’s expected of him, and reduces surprises at rating | |

| |time. | |

| |Grounding rating in facts. Ratings must be grounded in behavioral data. If | |

| |the supervisor is familiar with the ratee’s work, and is in regular | |

| |discussion about performance there should be no surprises at rating time. | |

| |Assessing performance and keeping track of results will greatly reduce | |

| |subjectivity at rating time. | |

| |Credibility of the process. When the performance appraisal system is operated| |

| |well, employee’s confidence in the evenhandedness of the conveyance of | |

| |organizational rewards is increased. Workers can begin to see a connection | |

| |between good performance and work benefits, be they extra recognition; | |

| |special assignments; or other rewards available to public sector supervisors.| |

| |Good workers know who the poor performers are. They expect supervisors to do | |

| |something about it. And they expect to be rewarded in some way for what they | |

| |do. Failure to do so increases the likelihood that they will leave. | |

| |[pic] | |

| | | |

|[pic] | | |

|Slide #35 | | |

| | | |

|Summarize |Reiterate key points on the following slide. | |

| | | |

| |[pic] | |

| | | |

|[pic] | | |

|Slide #36 | | |

|Performance Management Continuum – Exercise (45 minutes) |

|Say: |“The performance appraisal process is the positive, growth-oriented means | |

| |of shaping performance on the job. No model of performance management would| |

| |be complete, however, without representing the full scale of supervisory | |

| |options when shaping performance.” | |

| |“Let’s explore how to use the PAR process as a basis for confronting and | |

| |changing poor performance.” | |

|Do: |Break class into groups. | |

| |Explain that their task will be to determine how to handle a worker who is | |

| |performing below standard, using the situation described in the next slide,| |

| |and the performance data that you will distribute. | |

| |Distribute the simulated PAR form and performance data for this exercise. | |

| |Assign the task on the next slide. | |

|[pic] |[pic] | |

|Slide #37 | | |

|Do: |Explain that they are preparing for the interim rating for the worker. | |

| |Tell the groups to discuss and agree on what strategy they would present to| |

|[pic] |the worker to improve her performance before the year- long rating cycle is| |

| |over. | |

| |Then, tell the groups to determine what they would do if, by the final | |

| |rating, the worker’s performance was still not up to the job standards. | |

| |Tell them to include: | |

| |What steps they would take; | |

| |Who they would consult and bring into the process; and | |

| |What they would document. | |

|[pic] |Provide groups with easel sheets to record their results. | |

| |Allow 15 – 20 minutes for these discussions. | |

| |Have groups post and report out their results. | |

| |Note similarities and differences in approaches. | |

| |Ask the following questions during the debriefing. | |

|Ask: |What measures for correcting the performance did your groups have in |Debriefing Questions |

| |common? | |

| |Did you give the worker an unsatisfactory interim rating? | |

| |What unique ideas were raised? | |

| |How far were you willing to go to correct this worker’s performance through| |

| |coaching and other positive means? | |

| |At what point would you start to explore other, more disciplinary means of | |

| |handling the performance? | |

| |Who did you inform and bring into the conversation about this worker’s | |

| |persistent poor performance? | |

| |How many of you know what procedures to follow once you decide to take | |

| |disciplinary action? | |

| |How do you think it “fits” in with managing performance through the PAR | |

| |process? | |

| | | |

|[pic] |Shaping performance begins with the initial PAR meeting where you and your | |

|Key Points |worker come to a common understanding of her job duties and how well she is| |

| |expected to perform them. | |

| |Regular performance feedback during the rating cycle serves to reinforce | |

| |the expectations and identify skills that need to be developed. | |

| |Groups should identify how they would give performance feedback to the | |

| |worker, and should construct a plan for follow-up through the rating cycle.| |

| |If an unsatisfactory rating is conveyed at the interim rating period, under| |

| |the union contract the supervisor must conduct and document performance | |

| |conferences and improvement goals every 3 months thereafter. |Trainer should convey |

| |Groups should also acknowledge that at some point, when all of the |details of the union |

| |coaching, reminding, prompting, etc. has failed, stronger action must be |contract regarding |

| |taken to gain compliance from the worker with the performance standards. |unsatisfactory ratings. |

| |Trainer should point out that the PAR process is not intended to handle |Excerpts are included in |

| |disciplinary actions. Once it has been decided that a disciplinary approach|Appendix A. |

| |is needed, the supervisor should plan a separate series of meetings and |(It is recommended that |

| |activities outside the context of PAR meetings. |trainer prepare by reviewing|

| |Trainer should also point out that, absent a fully executed PAR, with |entire section on PAR in the|

| |accompanying documentation of significant events, and a viable |existing contract.) |

| |developmental plan, it will be very hard for management to uphold a | |

| |disciplinary action with a worker. (Remind them of the key point on due | |

| |process.) | |

| |Advise the supervisors that there is a specific process for disciplinary | |

| |action, that the Cooperative Labor Relations presenters will share with | |

| |them in the afternoon. | |

|Say: |“When all of your attempts at shaping performance via teaching, guiding, | |

| |mentoring, evaluating performance through the PAR, and coaching does not | |

| |result in the worker demonstrating the desired performance… | |

| | | |

| |It may be time to apply corrective action or discipline. | |

|Do: | | |

| |Explain the next slide on the continuum of initiatives from PAR, through | |

| |coaching to disciplinary action. | |

|[pic] | | |

|Slide #38 |[pic] | |

| | | |

| | | |

| |Reiterate that this afternoon they will hear from Employee Relations staff | |

| |on the concepts and process of applying corrective actions and discipline | |

| |to manage performance problems. | |

|Conclude: |“ Remember: | |

| |The PAR process is a positive, growth-oriented tool in your toolbox for | |

| |managing worker performance. | |

| |It must be accompanied by regular performance feedback – it is not intended| |

| |to be a twice a year paper exercise. | |

| |The PAR process forms the foundation for all other performance–related | |

| |activities. | |

| |Those of you who supervise caseworkers have the advantage afforded by | |

| |regular conferencing with your staff on their cases. These conferences | |

| |provide you with opportunities to collect performance data on your staff.” | |

|What’s in Your Circle of Influence? (10 minutes) |

|Say: |“In order to use the performance appraisal and PAR process effectively |Adapted from The Seven |

| |within the constraints of the current reality, it’s important to |Habits of Highly Effective |

| |distinguish where we can be most effective. |People. Stephen R. Covey. |

| | |Simon & Schuster, 1992. |

| |To do so, we need to notice where we focus our time and energy. | |

| | | |

| |We each have a wide range of concerns about our workers; their performance;| |

| |their strengths and needs; and our efforts to document their performance | |

| |and give them a rating. These things that make up our Circle of Concern. | |

| | | |

| |[pic] | |

| | | |

| | | |

| | | |

| | | |

|[pic] | | |

|Slide #39 | | |

| | | |

| | | |

| | | |

| |As we look at those things within our Circle of Concern, it becomes | |

| |apparent that there are some things over which we have no real control and | |

| |others that we can do something about. We could identify those concerns in | |

| |the latter group by circumscribing them in a smaller Circle of Influence. | |

|Say: |A proactive approach is needed to effectively use the performance appraisal|Out of the Box Coaching and |

| |process and tool within the current organizational realities. |Breakthoughs with the |

| | |Enneagram.  Mary R. Bast, |

| |Proactive people are value-driven. They read reality, and they know what’s |Ph.D. |

| |needed. They focus their efforts in the Circle of Influence. They work on |Copyright © 2000. |

| |the things they can do something about. The nature of their energy in doing| |

| |this is positive, enlarging and magnifying, causing their Circle of | |

| |Influence to increase. | |

| | | |

| |[pic] | |

| | | |

|[pic] |Proactive supervisors use the performance appraisal process and the tool | |

|Slide #40 |to support and guide development of their workers. They link it to the | |

| |operational goals of their unit, and to other coaching and training | |

| |efforts. They use it to document significant performance events, and as a | |

| |basis for frequent feedback and dialog about performance with their | |

| |workers. | |

|Say |Reactive people tend to neglect those issues that are under their control | |

| |and influence. Their focus is elsewhere and their Circle of Influence | |

| |shrinks. | |

| | | |

| |[pic] | |

|[pic] | | |

|Slide #41 |There are things (like the weather) that our Circle of Influence will never| |

| |include. But as proactive people, we can create and carry our own physical | |

| |or social weather with us. We can try to accept those things that at the | |

| |present we can't control, while we focus our efforts on the things that we | |

| |can. | |

|Conclusion | | |

| |Review the last slide, and encourage supervisors to use the PAR process as | |

| |the important tool for managing performance that it is intended to be. | |

| |Summarize those areas of the PAR that are in their direct control. | |

| | | |

| | | |

|[pic] |[pic] | |

| | | |

|Slide #42 | | |

| | | |

APPENDIX A:

The following is excerpted from the Professional Union Contract between CWA and the State of New Jersey, pp. 32-33.

“Article 16

Performance Evaluation System

C. Performance Evaluation System Meeting

1. At least twice a year, with a six (6) month interval between meetings, an immediate supervisor will hold a PAR meeting with an employee.

2. The supervisor will provide the PAR form to the employee ten (10) days prior to the meeting.

3. At the mid-year PAR meeting, the supervisor and the employee will discuss the employee’s performance based upon the standards for satisfactory performance contained on the PAR form prepared the previous meeting. Performance expectations may be modified during the mid-year meeting. The form will be signed by the supervisor and the employee, and a copy of the form will be immediately provided to the employee. A copy for the form will be placed in the employee’s personnel file and provided to the employee’s supervisor.

4. At the final PAR meeting, the supervisor and the employee will discuss whether the employee met the previous year’s standards for satisfactory performance and will mutually formulate standards for satisfactory performance for the upcoming year.

5. Following the PAR meeting, the supervisor and the employee will complete and sign the appropriate section of the PAR form and the form will be immediately provided to the employee. The form will be placed in the employee’s personnel file and provided to the employee’s supervisor.

D. Unsatisfactory Rating

1.a. Where the performance of an employee is unsatisfactory, the designated supervisor will confer with such employee at least once every three (3) months and shall set forth the deficiencies and improvement goals required to achieve a satisfactory level of performance.

b. A record of such conferences shall be made and a copy given to the employee within two (2) weeks of the conference.

2. Where a normal merit increment has not been earned due to an unsatisfactory rating and the performance of the employee improves to the point the warrants granting of the normal merit increment, such increment may be granted effective on any payroll period following ninety (90) days from the anniversary date.

3. The normal anniversary date of such employee shall not be affected by this action.

4. Where a normal merit increment has been denied, the performance ratings concerned with the issue of restoration, as provided in D.2. shall not be grievable.”

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