Performance and Staff Development Program Guidelines

TABLE OF CONTENTS

• Introduction
• Forms Used in the Performance and Staff Development Program
• Preparing for the Performance and Staff Development Meeting
• Steps for Completing the Performance and Staff Development Plan
• Selecting An Overall Level of Performance
• Alternate Formats for the Performance and Staff Development Plan
• Performance and Staff Development Meeting Guidelines
• Steps After the Performance and Staff Development Meeting
• Performance and Staff Development Program Policy
• Competency Definitions for all Staff

INTRODUCTION

Effective managers and supervisors provide frequent guidance, coaching and feedback to their staff throughout the year on job duties and responsibilities, performance goals and expectations, progress at meeting goals and performance areas to be developed. At least once a year, you should summarize these discussions in writing using the Performance and Staff Development Plan (Performance Plan).  A short form, letter, or memorandum from you to the staff member can also be used, in lieu of the Performance Plan, to summarize your performance feedback.

This guidebook is designed to assist University of Pennsylvania managers, supervisors and faculty in preparing the Performance and Staff Development Plan.  This guidebook will also assist you in identifying important points that should be considered and included in your performance and staff development discussion with the staff member.

The goal of the Performance and Staff Development Program is to provide staff members with feedback on their performance and accomplishments for the previous year.  This program should also assist staff members in understanding their job responsibilities and supervisor's performance expectations. Performance goals for the upcoming year and specific plans to help staff members meet those goals should also be established through this process.  Competencies which are vital to the staff member's success in the current position and/or will enhance his/her professional development should also be addressed.

FORMS USED IN THE PERFORMANCE AND STAFF DEVELOPMENT PROGRAM*

1. Performance and Staff Development Plan:
   Completed by the manager/supervisor based on a review of the staff member's performance for the appraisal period.  The Performance Plan should describe the actual performance of the staff member. Issues not discussed during the appraisal period should not be reflected in the Performance Plan.  The  Performance and Staff Development Plan includes a section entitled, "Goals/Projects for Next Appraisal Cycle."  This section must be completed for all staff members.  If   the staff member's overall  performance is unacceptable or meets some but not all goals,  descriptions of the performance areas needing improvement, time frames for improvement and performance goals/expectations should be incorporated in the Goals/Projects  for Next Appraisal Cycle Section of the Performance Plan. (A separate Performance Improvement Plan is not required.)   The manager/supervisor may consult with Staff and Labor Relations on developing goals  for the next appraisal cycle.
   
2. Self-Appraisal Worksheet:
   The supervisor should discuss with the staff member the importance of completing the self-appraisal worksheet. The supervisor may require the staff member to complete the self-appraisal prior to the manager/supervisor completing the Performance and Staff Development Plan. The self-appraisal provides the staff member with the opportunity to provide his/her perspective regarding performance during the appraisal period.  This worksheet also prepares the staff member for a participatory discussion with the manager/supervisor about his/her performance.  (This worksheet is similar to the Performance and Staff Development Plan that the manager/supervisor uses to summarize the staff member's performance). The manager/supervisor should tell the staff member which key 3 - 5 competency areas will be addressed in the appraisal before the staff member completes his/her Self-Appraisal Worksheet.  This will give the staff member the opportunity to self-assess the same competency areas which will be addressed in the appraisal.
   
3. Performance and Staff Development Program Comment Sheet (Optional):
   Used by the staff member to comment on any aspect of the performance appraisal and planning process. The Comment Sheet should be returned to the manager/supervisor when completed.   The Comment Sheet should be forwarded to Human Resources/Staff and Labor Relations and will become a part of the staff member's official personnel file.  (The Comment Sheet may be forwarded to Staff and Labor Relations separately, if necessary, from the Performance and Staff Development Plan.)
   
4. Alternate Formats:
   A letter or memorandum from you to the staff member can also be used, in lieu of the Performance Plan, to summarize your performance feedback.  In addition you can use the short form version of the Performance and Staff Development Plan. 
   

PREPARING FOR THE PERFORMANCE AND STAFF DEVELOPMENT MEETING WITH A STAFF MEMBER

• Before you meet with the staff member, prepare!
  
• Advise staff members that Performance and Staff Development Plans are being completed.  Encourage staff members to complete a Self-Appraisal Worksheet and submit it to you prior to your meeting to discuss performance.  Tell each staff member which key 3 - 5 competency areas will be addressed in the appraisal before the staff member completes his/her Self-Appraisal  Worksheet.  This will give the staff member the opportunity to self-assess the same competency areas which will be addressed in the appraisal.

• Provide staff members with an outline of when you plan on meeting with them and how you will   handle the performance feedback process.
  
• Review the staff member's departmental personnel file, including:
  -documentation or notes of previous performance discussions;
  -last year's performance appraisal;
  -performance expectations and job description;
  -goals and objectives for the appraisal cycle;
  -letters of commendation (or complaints);
  -anything else that is relevant to the staff member's performance;
  -sample work products
  
• Review the staff member's performance during the entire appraisal cycle and prepare the Performance and Staff Development Plan or an alternate format.  Focus on performance during the whole appraisal cycle and not just recent performance events
  -compare staff member's actual performance to established expectations
  -view staff members as individuals;
  -determine strengths and weaknesses;
  -use the entire range of ratings.
  
• Discuss the draft Performance Plan with your supervisor, department head and/or senior business officer, as appropriate.
  
• Finalize draft Performance Plan, including the goals, projects and responsibilities for the next appraisal cycle.  (Performance Plans for staff members who have overall ratings of 'unacceptable' may be discussed with Staff and Labor Relations prior to meeting with the staff member).  Also, identify competency areas that should be further developed during the next appraisal cycle.
  
  Set up individual meetings with staff members to review their Performance and Staff Development Plans  (See Performance and Staff Development Meeting Guidelines for more  details).

STEPS FOR COMPLETING THE PERFORMANCE AND STAFF DEVELOPMENT PLAN

Background/Identifying Information: Type or print the background information (e.g., Staff Member's Name, Penn ID number, etc.) requested at the top of page one of the Performance and Staff Development Plan.  Please  note, that the Date of Appraisal is the actual date that you and the staff member will meet to discuss the Performance and Staff Development Plan.  (If you do not know the exact meeting date when you are drafting the Performance Plan, enter the date later.)  If you attach additional pages to the Performance Plan, place the staff member's and supervisor's names and Penn ID number and the department number at the top of each additional page. Please ensure  that all background information is completed accurately before forwarding the form to Human Resources/Staff and Labor Relations.

Example
Staff Member's Information:
Name:  Pena, Carlos L. Penn ID Number:   12345678
Date of  Appraisal:  4/22/XX
Appraisal Period:   4/24/XX-4/24/XX
Dept. Name and Number:  Human Resources 16018
Supervisor's Information Name:  Hood, Jonathan
Penn ID Number:   21015327

How to identify your Penn ID Number

PennCard ID Number

The number on your PennCard consists of three parts: 123456 12345678 00

123456	BIN or Bank ID number
12345678	Your PennCard ID number
00	Tracking Code

To obtain information concerning the Penn ID Number please click onto the following web site addresshttp://www.upenn.edu/penncard.

Key Goals, Projects and Responsibilities for this Appraisal Cycle: Describe the key goals, projects and/or responsibilities that the staff member had for this appraisal cycle. Refer to the goals identified in the last year's Performance and Staff Development Plan, and, any subsequent communications on goals given to the staff member during the  appraisal cycle.  Describe the performance results obtained and assess the results against the   expected outcome for each goal, project, and responsibility identified.  Provide supporting  comments when discussing performance results.   The comments should provide specific  information and examples of how the staff member met or did not meet each expected goal,  project and/or responsibility.

Example
Part I - Key Goals, Projects and Responsibilities for this Appraisal Cycle

1. Goal/Project/Responsibility:  Supervise office staff.  Hire staff, when needed, who possess the requisite skills and qualifications for the position.  Provide thorough and regular coaching, training and feedback to staff regarding job duties, responsibilities, expectations and departmental mission and goals.  Provide staff with guidance and opportunities that enhance their professional development.  Comply with all relevant University, state, Federal, and local laws and regulations in carrying out supervisory responsibilities.
2. Describe performance results, including supporting examples:  Carlos you provided regular feedback to your staff regarding performance goals and their progress at meeting these goals.   You completed annual appraisals for all staff.  You ensured that all the staff were appropriately trained on the new database program we instituted.  You provide good leadership for the department and comply with all relevant laws, policies and regulations.

Goals/Projects for Next Appraisal Cycle (This section must be completed for all staff members.): It is important that the staff member understand the goals, projects and activities that s/he will be responsible for during the next appraisal cycle.  These goals/projects and activities should be  based on the goals and objectives of the department/unit.  When outlining the goals/projects, ensure that you set a time frame for the attainment of each goal/project, list any training or resources needed for attaining the goal and describe the expected results in measurable, behavioral terms.  In this section you may include routine responsibilities as well as special projects and/or assignments.  Remember to include in the plan, projects and assignments that will help the staff member with his/her professional development and growth.  For example, if the staff member needs to enhance his/her presentation skills, you might require the staff member to develop and deliver a training program or informational seminar for the department. If goals/projects, time frames and/or expected results change during the year, remember to discuss the changes with the staff member and update the work plan.   If the staff member's overall performance is "unacceptable" or "meets some but not all goals", the performance areas needing improvement must be articulated in the Goals/Projects for Next Appraisal Cycle Section.  Remember to also schedule a date for the follow-up review and record this date in the Performance Plan.  The follow-up review should normally occur within three to six months of the  appraisal.

The following SMARTS guidelines should be followed when developing goals.
Effective goals are:
Specific - The staff member should know exactly what is expected
Measurable - Measurements are established so both the manager and staff  member can monitor performance or progress toward meeting goals
Achievable - The goal is not just a wish, it has a basis in reality
Results Focused - The goal is focused on accomplishments, not activities
Time Bound - The goal has a specific deadline or time frame for accomplishment
Stretch - The goal will be a challenge to meet, not an automatic accomplishment

You should also identify the 3 - 5 key competencies the staff member should further develop during the next appraisal cycle.

Example
Part II - Goals, Projects and Responsibilities for the Next Appraisal Cycle

1. Goal/Project/Responsibility: With other department managers, develop a brief update publication to announce upcoming programs, policy changes, and human resources updates to University supervisors and managers.
2. Expected Results and Time Frame: By January 31, XXXX, a brief one-page update will be published on a monthly basis and distributed to University supervisors and managers.  The update will be accurate, thorough and easily to read.  It will summarize upcoming programs, policy changes, cutting edge management techniques and other vital information to assist managers in effectively managing  their staff.  The update should be based on the customer survey data received in April, XXXX.
3. List the 3 - 5 key competencies the staff member should further develop during the next appraisal cycle:   Managing Resources (learning more about the budget process),   Initiative (take action), Clear Communications (presentation skills)

Giving Feedback on Selected Competencies: Give feedback on the 3 - 5 key competencies that are vital to the staff member's success in the current position and/or will enhance his/her professional development.  Be sure to address the competencies you told the staff member you would comment on.  Review the definition of each key competency.  For more details about each competency, review the full explanations listed in this document.   Discuss in detail how the staff member demonstrates the competency using supporting examples.   Also, provide feedback on how the staff member needs to further develop each competency and suggest methods to use to enhance the competency, e.g., training, work assignments, etc.REMEMBER YOU DO NOT HAVE TO GIVE FEEDBACK ON ALL OF THE COMPETENCIES LISTED ON THE APPRAISAL FORM.

Example
Part III - Competencies
Managing Resources Allocates time and resources efficiently and effectively; prioritizes work and delegate as appropriate; works to minimize institutional risk by acting as a responsible steward for the University.
Discuss staff member's demonstration of competency and how competency could be further developed:  You achieved all of your goals for this appraisal cycle within the established time frames and budget parameters.  In order to implement the new programming initiatives, you appropriately reallocated  people and financial resources.  You should continue these efforts.  To enhance your budgeting  skills, you should consider taking a course in this area and work closely with our Budget Manager to better understand the budget process. 

Selecting an Overall Level of PerformanceYou should analyze the staff member's entire performance record during the appraisal cycle against the expected goals/expectations identified for this period. Questions to consider in determining the overall level of performance include:

1. Did the staff member achieve all of the expected goals/expectations for this appraisal cycle? In other words, did the staff member successfully do his/her job? Did the staff member achieve some but not all goals/expectations for this appraisal cycle? If not, were there extenuating circumstances which affected the staff member's ability to achieve the desired results?
2. Did the staff member's performance frequently surpass the desired performance results? How often did the staff member surpass the desired performance results?
3. What impact did the staff member's performance have on the attainment of the department's goals and objectives?
4. Check one definition in the Summary of Performance section that best describes the staff member's overall performance for this appraisal cycle.

Signatures/Comments
After the Performance Plan is completed and discussed with the staff member, secure the appropriate signatures (see instructions on the form).  The Senior Business Officer must sign the Performance and Staff Development Plan, if the staff member is in any level of the following job titles: Financial Coordinator, Business Administrator, Business Manager, or Manager of Administration and Finance.

Give a copy of the finalized Performance Plan to the staff member, keep a copy for your departmental files and forward the original copy of the Performance Plan to the appropriate person in your school/center or directly to Human Resources/Staff and Labor Relations. 

The staff member can comment on any aspect of the process on the Performance and Staff Development Program Comment Sheet.  (If the staff member wishes to make comments ask him/her to check the appropriate box on the Performance and Staff Development Plan.)  Preferably, all Performance and Staff Development Program materials (e.g., Performance and Staff Development Plan, Comment Sheet and Self-Appraisal Worksheet) for a staff member will  be forwarded to Human Resources/Staff and Labor Relations at the same time.  However, you do not have to wait for the staff member to submit the Comment Sheet or Self-Appraisal Worksheet before forwarding the Performance and Staff Development Plan to Human Resources/Staff and Labor Relations.

ALTERNATE FORMATS FOR THE PERFORMANCE AND STAFF DEVELOPMENT PLAN

In lieu of completing the Performance and Staff Development Plan, you may use a letter or memorandum format to document your feedback to the staff member. In addition you can use the short form version of the Performance and Staff Development Plan.  In writing the letter or memorandum, you can use the letter or memorandum templates online or follow the guidelines outlined below:

• On page one of the document, print or type the staff member's full name, Penn ID number, date of appraisal, appraisal period and department name and number.  Also include the supervisor's full name and Penn ID number.  On any additional pages include the staff member's and supervisor's names and Penn ID numbers and department number. This will enable Human Resources to record the document appropriately and reassemble it if pages are accidentally separated.
  
• At the beginning of the document, describe the goals, projects, responsibilities, and expected results that the staff member had for this appraisal cycle.
  
• In the body of the document, describe the staff member's progress at achieving the expected goals.  Discuss the results achieved and/or not achieved and cite specific examples from your observations and documentation throughout the appraisal cycle.  Acknowledge any extenuating circumstances or challenges that affected the staff member's ability to achieve the expected results.
  
• Summarize the staff member's performance results and indicate which overall performance level the staff member achieved.  Refer to the definitions listed in the Summary of Performance section on page one of the Performance and Staff Development Plan.  If the staff member's overall performance is unacceptable, state this in your document.
  
• Give the staff member feedback on 3 - 5 key competencies that are vital to his/her success in the current position and/or will enhance his/her professional development.  Discuss how the staff member demonstrates the competency using supporting examples.  Also, provide  feedback on how the staff member needs to further develop each competency and methods that can be used to enhance the competency, e.g. training, work assignments, project team participation, etc. (For more details on competencies refer to Part III of the Performance and  Staff Development Plan or the competency listing in this booklet.)
  
• Describe the goals, projects, and/or responsibilities that the staff member will have for the next cycle.  The goals should include routine responsibilities, any special projects or assignments, performance areas that need improvement, and developmental activities that will enhance the staff member's professional growth and development. For each goal, project  or responsibility listed include the time frame for achieving the goal, any training/resources needed and the expected results.  Remember that the expected results should be specific,  measurable, achievable, and time bound.   Include some goals that will be a challenge to achieve and not easily accomplished.  This type of goal helps the staff member to grow professionally.
  
• If the staff member's overall performance is unacceptable or meets some but not all goals, areas that need improvement must be included in the Goals/Projects for the next appraisal cycle.  Also, identify 3 - 5 key competencies that the staff member should further develop in the next appraisal cycle.
  
• The staff member, supervisor, and administrative head should sign and date the letter or memorandum.  The senior business officer's signature is also required if the staff member is in any level of the following job titles: Financial Coordinator, Business Administrator,  Business Manager, or Manager of Administration and Finance.  Including lines at the end of  the document for the appropriate signatures and dates may be helpful.
  
• Give a copy of the document to the staff member, keep a copy for your departmental files and forward the original copy of the document to the appropriate person in your school/center or directly to Human Resources/Staff and Labor Relations. 

PERFORMANCE AND STAFF DEVELOPMENT MEETING GUIDELINES

• Keep an open mind.
• Meet with staff member at a scheduled time.
• Establish a comfortable environment.  Give staff member your undivided attention. Do not allow outside interruptions.
• Mutually review goals/expectations from last appraisal or performance discussions.
• Review job expectations and position description, as needed.
• Discuss Self-Appraisal Worksheet with staff member.
• Discuss Performance and Staff Development Plan (share draft Performance Plan with staff member).
• Discuss accomplishments, areas of strength, competencies, areas where improvement is needed.
• Encourage and allow staff member to comment.
• Be willing to change your assessment, if appropriate.
• Set goals for next appraisal cycle.
• Discuss any training or resources the staff member may need to meet established goals or further develop competencies.
• Plan and schedule follow-up activities.
• Provide staff member opportunity to make verbal and/or written comments.

STEPS AFTER THE PERFORMANCE AND STAFF DEVELOPMENT MEETING

• Write the final draft of Performance and Staff Development Plan (or letter/memorandum).
• Obtain signatures from staff member, your supervisor and senior business officer, if appropriate.
• Give staff member a copy of the Performance and Staff Development Plan or letter/memorandum.
• Return Performance Plan or letter/memorandum to appropriate person in school/center or Human Resources/Staff and Labor Relations.
• Conduct follow-up activities as needed, e.g., arranging for training.
• Communicate regularly with the staff member during the year about his/her performance and progress at meeting expected goals. Document these discussions, when necessary.
• Communicate with staff member about any changes or revisions in goals and expected results during the year. Update the Goals/Projects for Next Appraisal Cycle Section of the Performance and Staff Development Plan, as needed.
• If staff member's overall performance is unacceptable or meets some but not all goals, ensure that the follow-up review is conducted at the designated time.