AVPF PERFORMANCE

MANAGEMENT
PROCESS
USER GUIDE

Issued April 2005

rev. January 2007

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 Table of Contents

Performance Management Process Introduction ................................................................. 3

Overview of Performance Management Process.................................................................. 4-7

Elements of the Work Plan.................................................................................................... 8-12

Coaching & Feedback........................................................................................................... 13-14

Skip Level Communication.................................................................................................... 15-16

Summary Performance Evaluation........................................................................................ 17-20

Key Points............................................................................................................................. 21-22

AVPF Rebuttal Process........................................................................................................ 23

Supervisor Checklist............................................................................................................. 24

SPE Overview and Guidelines.............................................................................................. 25-29

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 The Performance Management Process

Introduction
The Performance Management Process was adopted by AVPF in FY2002 across the entire
organization. The major components of the process are the Work Plan, periodic Coaching and
Feedback sessions, a Skip Level Communication session between skip level supervisor and
employee followed by the Summary Performance Evaluation (SPE) at the end of the cycle.

The Work Plan should facilitate a conversation between the employee and supervisor that identifies
performance expectations, sets and clarifies goals and supports the exchange of useful Coaching
and Feedback. A major key to the successful operation of the process is the creation of a clear and
consistent Work Plan.

All employees in AVPF should strive to have a Work Plan completed within 30 days of their date of
hire or promotion.

Since Work Plans have been in place for some time, this portion of the guide may be most useful
when devising a Work Plan for a newly created position or for an existing job that is being realigned
or re-defined in major ways. Once finished, the Work Plan can be revised and updated each year.

The Work Plan will be reviewed and updated as necessary during the periodic Coaching and
Feedback sessions. The employee’s success in completion of the goals stated in the Work Plan
and the adoption of appropriate work behaviors serve as the basis for the Summary Performance
Evaluation.

The chart below is a simplified representation of the Performance Management cycle throughout
the year.

Start of Year
Work Plan

Summary Performance
Evaluation Coaching & Feedback
End of Year During Year

The Performance Management Cycle

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 Purpose of the Performance Management Process

Planning is a natural activity for people and organizations to help us reduce uncertainty. We make
lists of things we need to accomplish in our daily lives and in our jobs. Plans help us manage our
time and accomplish our goals. Performance management is a method that links the planning
process throughout the entire organization and locates each individual’s plan within the context of
his or her department goals and critical initiatives.

The purpose of the Performance Management Process is to provide staff with a better
understanding of the work that needs to be done and to explore ways to optimize the processes
involved with performing that work. It provides a formal mechanism for linking an individual job
description with the “big picture” of their department’s and AVPF’s goals and critical initiatives. The
Work Plan is a written statement identifying the work to be accomplished by a staff member to
successfully support the department, division and University goals and critical initiatives.

The Work Plan is a tool both employee and supervisor can use in planning and discussing the
work of an employee. This ensures that both individuals have a mutual understanding of the duties
and responsibilities of the employee and of the work that the employee contributes to the
University. Clear job expectations help employees to make their individual contributions toward
those goals.
The expected benefits of the Work Plan and performance management include:
• More predictability in timing of work flow and accomplish of goals
• More focus on outcomes rather than personalities
• Better understanding among colleagues of their team’s goals
• A more adaptable work force capable of demonstrating initiative in novel situations while
remaining consistent with the organization’s overall goals

The process of creating Work Plans initially helps managers, supervisors, and employees think
about job responsibilities in new ways. This often leads to a better description of tasks. The need
to note percentage of time by each Major Area of Responsibility (MAR) generates insights about
time management and priority setting. Listing the key customers helps us to think about how our
efforts relate to our colleagues’ goals and how our individual efforts fit into a larger context.

The Work Plan is an interactive process requiring input from both employee and supervisor. It is
important to keep in mind that the value of this process does not come from how well any individual
completes the forms or follows the process. Rather the value comes from the regular
supervisor/employee meetings that are held to review the Work Plan, to set and review goals, and
to evaluate the work. Keeping this in mind, it is imperative that Coaching and Feedback sessions
are held at least 3 times a year.

Responsibilities
In order for the process to be effective and productive, both employees and supervisors need to
understand that they share certain responsibilities. Although supervisors are accountable for
ensuring that every employee in their area has a current Work Plan, employees have a shared
responsibility for initiating the process if their supervisor does not follow through for some reason.

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Employees share responsibility with their supervisor for revision of the Work Plan at the start of the
new performance year, preparation of the Summary Performance Evaluation, and prompting the
scheduling of Coaching and Feedback sessions if necessary.

Supervisors are ultimately responsible and accountable for the completion of Work Plans and
Summary Performance Evaluation forms in a timely manner. They are also responsible for the time
management necessary to conduct Skip Level Communication meetings and Coaching and
Feedback sessions throughout the year. Supervisors should establish and maintain an
environment that supports the goals of the Skip Level Communications effort.

Supervisors should allow employees the time needed to prepare the Work Plan, Summary
Performance Evaluation and Skip Level Communication sessions.

Managers are responsible and accountable that each supervisor within their division or unit is using
the elements of performance management. By signing the Work Plans and SPE forms, the
manager is signifying that they have reviewed the underlying material and endorse the propriety of
the process as well as the content of the reports. Managers are responsible for providing a
supportive environment where the supervisors in their department utilize the Performance
Management Process, including Coaching and Feedback and Summary Performance Evaluations
in accordance with the purposes and goals stated above. Managers are the coaches of their
supervisors just as supervisors are expected to be the performance coaches for the employees
under their purview. Finally, managers are responsible for the scheduling of the Skip Level
Communication sessions for their area.

The Role of Department or Group Goal Setting

Department or group goal setting provides AVPF units and work groups the opportunity for arriving
at a shared understanding of their mission, goals, and priorities. AVPF Critical Initiatives from the
Executive Lead Team will have been set and shared with units and so that some or all of each
group’s goals align with the organizational goals.

The executive leadership is expected to be aware of unusual or non-recurring challenges facing the
organization in the coming year. In addition, they set the priorities and broad goals of the
organization. It has been demonstrated that executives seek information about upcoming
challenges from internal as well as external sources. By interacting with the supervisors reporting
directly to them, executives learn about emerging challenges and have the opportunity to plan for
them ahead of time instead of reacting to crises that could have been anticipated.

Each organization has its own means and methods of strategic planning. Sometimes, but not
always, this kind of planning links to the budget formation cycle. The two cycles can be on different
timetables, but it quickly becomes obvious that goal attainment requires resource planning as well
as goal setting.

Ideally an annual departmental or work group goal setting process would be completed before
individual Work Plans are developed. This is so that the employees and supervisors have a clear
understanding of the goals of the work group or unit before discussing the employee’s individual
role in that group.

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The earlier an organization or department’s goals enter the Performance Management Process, the
more influence they can exert on the individual Work Plans that result.

Who Should Complete the Individual Performance Management Process?

Each area needs to determine who should be responsible to complete the first draft of the initial
Work Plan. Gathering all the information needed to complete the individual Work Plan and giving
time for thoughtful responses to each question may take several hours (especially when completing
the Work Plan for the first time). The supervisor should reassure the employee that this is a priority,
and that the supervisor will help him/her find ways to set aside some time for this activity.

Before the employee completes the Work Plan for the first time, the supervisor should meet with
him/her (or perhaps all employees in a group) to set the context for using the Performance
Management Process for their particular area and to set expectations for how the process should
be completed. The supervisor should stress that the employee can ask for further guidance or
clarification at anytime. This guide should also help the employee in completing their Work Plan.

If the employee completes the initial Work Plan, it would be ideal if the supervisor could review the
draft plan prior to the meeting with the employee to formalize the plan. If the supervisor is familiar
with the completed Performance Management Process in advance, it will make for a more
productive meeting. Allow for at least an hour when meeting to discuss the Work Plan for the first
time.

If the employee has a split appointment and/or is working with project teams outside their
immediate work group, he/she should share a copy of the completed Work Plan with the team
leaders for those projects and meet with those team leaders or supervisors to discuss his/her Work
Plan goals for those projects.

Keep in mind that the manager of your specific unit or sub unit will also need to approve the
individual Work Plans of your group.

General Considerations for Completing the Performance Management Process

Every employee, supervisor and manager in the AVPF organization must have an individual Work
Plan to be kept current and updated at least once a year. Throughout the creation of the Work
Plan, both employee and supervisor should ask as many questions as needed of each other and
their manager in order to create a document that is meaningful and mutually understood. When the
Work Plan is complete, a one-on-one meeting will be scheduled to discuss it (and perhaps make
revisions) before formally signing the completed document.

During subsequent ongoing Coaching and Feedback meetings, the supervisor and employee may
revise the initial Work Plan and document changes as appropriate. The notations made during
these periodic Coaching and Feedback meetings serve as an important part of the Summary
Performance Evaluation Process completed at the end of the year.

When Not to Use the Performance Management Process

The Performance Management Process should not be used as the first indication of disciplinary
issues. In other words, do not wait for a Coaching & Feedback session to address any disciplinary
issues. These issues, (such as attendance abuse, insubordination, etc.) should be dealt with
immediately as noted in University policy and in a separate context from the Work Plan. However,

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progress in resolving these issues might become part of the continuous improvement strategies
determined by the employee/supervisor as part of the Work Plan in conjunction with a Performance
Improvement Plan.

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 The Elements of the Work Plan

Section I. Alignment

Page one of the Work Plan document is the explicit link between the departments critical initiatives
and goals and the individual employee.

Enter the employee’s name, title/position, department name and employee identification number
(EmplID) in the spaces provided. Enter the names of the supervisor and the department manager
in the spaces provided. Specify the period covered by this Work Plan (usually June 1 through May
31).

Indicate the dates of the completion of the appropriate Coaching and Feedback sessions as they
occur throughout the year.

Specify the overall job goal or purpose of this employee’s job. This should be a short summary that
conveys the overall purpose of the job. The Work Plan expands with more details in Section III.
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Major Areas of Responsibility (MAR). Indicate the full time equivalent for this job as a percentage.
If the appointment is split between two or more units, the percentage will be less than 100%. An
employee with no split appointment would read as 100%. When a staff member has two or more
supervisors within the same unit, all supervisors should provide input for both the SPE and the work
plan. An employee whose appointment is split between multiple units would require two or more
work plans.

The following definitions refer to sections found on the first page of the Work Plan:

Term Definition
AVPF Strategic Goals These overarching strategic AVPF goals will have been written into the
template. It is expected that an employee’s Work Plan will eventually be
linked to these AVPF goals through their department/divisions goals or
critical initiatives.
Employee Employee’s name as it appears on departmental records.
Title/Position Classification Employee’s working title as it appears on departmental records.
Department Name of Employee’s department.
Supervisor Name of Employee’s direct supervisor, responsible for day-to-day
supervision.
Manager Name of direct supervisor’s supervisor or manager.
Performance Summary Period Usually June1-May 31, unless the period is shorter due to special
assignment, transfer, new hire date.
Work Plan/Coaching and Supervisors and employees will meet a minimum of 3 times per year to
Feedback review the previous period and provide feedback in order to adjust the
Work Plan for the next period if necessary. They will use this section to
document the date and initialing each of the sessions
Job Goals / Purpose / % This identifies the % FTE (full time equivalent) appointment that this
Appointment employee is supervised by this supervisor in this department (usually
100%). In cases where there is a split appointment, or an appointment
to multiple projects, each Work Plan shall identify the portion of the
overall FTE that is assigned to this supervisor or project leader for the
Work Plan.
Job Goals / Purpose “The employee performing this job is responsible for:” This section
describes in several sentences or phrases specifically what this person
in this position is responsible for, in broad terms. This section can be
used to transition from a traditional description of duties to the Work
Plan.

Section II. Work Values and Behaviors

This section describes the behavioral expectations of how employees are expected to fulfill their
responsibilities in line with the AVPF Core Values. Work Values Behaviors are to be discussed as
part of the Coaching and Feedback component of the Performance Management Process.
Coaching and Feedback entries should be entered into this section.

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Below is a sample of the Work Values and Behaviors as they appear on the Work Plan.

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Section III. Major Areas of Responsibility

Below is a sample of a Major Area of Responsibility or MAR as it appears on the Work Plan.

This section asks the employee to complete an outline of their MAR’s percentage of total effort, and
to identify specific goals, activities, and customers for each area. The employee must also assign a
percentage (%) effort for each area of responsibility.

A MAR is a natural clustering of tasks in an employee’s position. It answers the question, “what is
the employee responsible for”. The response to this question should include big items and major
clusters of responsibility and not specific tasks (e.g. “responsible for initiating network access for
departments, schools, and colleges on campus” rather than “writing periodic status reports”). A
Work Plan usually contains at least three, but no more than seven MARs. Each task in an
employee’s job description is not necessarily a MAR.

Percentage of Effort (% Effort)

This percentage describes the amount of an employee’s effort that should be expended on this
MAR. It enables clarification between employee and supervisor of the amount of time an employee
should be spending on this MAR. A 20% effort identifies 8 hours of work per week in a given MAR.
The intent is that the percentage of effort is a rough estimate to show the relative emphasis of one
MAR to the others.

It is recommended that employees not list any MAR’s that are less than 5% of their overall duties.
(5% is approximately 2 hours/week.)

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Key Customers
Identify all customers for each MAR, or in some cases, each goal. A customer is a person (internal
or external to AVPF) who benefits by or relies on successful performance of this MAR.

Goals
This portion of the Work Plan identifies the specific goals to be accomplished in this MAR within the
percentage of effort assigned to this MAR. It answers the question “What do you want to
accomplish this year?” Ideal goals are SMART – Specific, Measurable, Attainable, Realistic,
Tangible.

Activities (How are you going to accomplish your goals?)

List in this column the major tasks and activities that apply to each goal in this area of responsibility.
For long-term projects where milestones serve as a better measure for the goal than trying to
identify specific tasks or activities, significant milestones should be identified. If useful for
clarification, when listing tasks, activities or milestones include an estimated completion date for
each task, activity, or milestone.

In ongoing Work Plan sessions, discussion of this activities section also promotes an opportunity to
discuss activities that have been added since the last meeting and to identify any activities the
employee is doing that are not yet mutually agreed upon (i.e. identify any potential surprises).

Coaching and Feedback Notes

During the periodic Coaching and Feedback sessions, changes to the Work Plan should be noted,
additional short term goals set as necessary, and both employee and supervisor are encouraged to
write notations about feedback given.

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Coaching and Feedback

It is the supervisor’s responsibility to ensure that employee/supervisor hold Coaching and

Feedback sessions at least three times a year. The purpose of these meetings is to review the
previous period and provide feedback in order to adjust the Work Plan for the next period if
necessary. Below is the timeline for the Coaching and Feedback sessions.

Timeline/action required
DUE DATE ACTION FOR SUPERVISOR ACTION REQUIRED FOR HR
June 1 Work Planning Begins
Staff member and supervisor should work together to create or Work plan must be reviewed and
revise previous Work Plan based on new conditions, approved by supervisor.
assignments or revised goals and objectives for the coming
year.
Discussion should also occur regarding planned work.
Priorities for the 1st quarter of the new year should be clearly
defined.
Submit approved Work Plans
Work plan for coming year finalized and approved. Submit
By July 31 electronically by July 31 to AVPF Unit
approved new work plans electronically to HR Administrators.
HR Administrators.

October 1 Start 1st Coaching and Feedback Session

Covers June 1 - September 30 for work completed
Covers October 1 - January 31 for planned work
Supervisor should meet with staff member to go over Work
Values and Behaviors and MAR's listed on Work Plan for the
covered quarter.
Supervisor should comment in writing on Work Values and
Behaviors and MAR's that are going well and those that need
improvement and what the improvement needs to be. These
comments can be on the Work Plan or on a separate sheet of
paper that should be attached to the Work Plan in the
supervisor's work file. A copy of the comments should also be
given to the staff member.
Discussion should also occur regarding planned work.
Priorities for the coming quarter should be clearly defined.
Supervisor and staff member should initial front page of Work
Plan and note the date that the coaching & feedback session
took place.
Complete Supervisors Checklist. Maintain original for your file Submit Supervisors Checklist by
By October 31 and send electronic copy to AVPF Unit HR Administrator. October 31 to AVPF Unit HR
Administrator.

February 1 Start 2nd Coaching and Feedback Session

Covers October 1 - January 31 for work completed
Covers February 1 - May 31 for planned work
Supervisor should meet with staff member to go over Work
Values and Behaviors and MAR's listed on Work Plan for the
covered quarter.
Supervisor should comment in writing on Work Values and
Behaviors and MAR's that are going well and those that need
improvement and what the improvement needs to be. These
comments can be on the Work Plan or on a separate sheet of
paper that should be attached to the Work Plan in the
supervisor's work file. A copy of the comments should also be
given to the staff member.
Discussion should also occur regarding planned work.
Priorities for the coming quarter should be clearly defined.

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 Supervisor and staff member should initial front page of Work
Plan and note the date that the coaching & feedback session
took place.
Update your Supervisors Checklist. Maintain original for your Submit Supervisors Checklist by
By February 28 file and send electronic copy to AVPF Unit HR Administrator. February 28 to AVPF Unit HR
Administrator.

May Optional self-assessment period.

By May 31 3rd Coaching and Feedback Session

Covers February 1 - May 31 for work completed
Supervisor should comment in writing on Work Values and
Behaviors and MAR's that are going well and those that need
improvement and what the improvement needs to be. These
comments can be on the Work Plan or on a separate sheet of
paper that should be attached to the Work Plan in the
supervisor's work file. A copy of the comments should also be
given to the staff member.
Supervisor and staff member should initial front page of Work
Plan and note the date that the coaching and feedback
session took place.
SPE drafts, taking into consideration the entire
performance year, are due to next higher supervisor for
review.

1st and 2nd ELT organization’s peer review process on all performance
week of June ratings.
4th week of June Summary Performance Evaluation Submit original SPEs and Supervisor
Covers entire Year (June 1 - May 31) for SPE Checklist with signatures by June 30
Supervisors communicate Summary Performance Evaluation to AVPF Unit HR Administrators.
to staff. Upon communication of SPE to staff, supervisors
should make a copy for your file and submit original SPEs and
Supervisor Checklist to AVPF Unit HR Administrator.
Supervisor and staff member should initial front page of Work
Plan and note the date that the Summary Performance
Evaluation took place.

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 Skip Level Communication

Skip Level Communication provides an opportunity for employees to have a meeting with their
supervisor’s supervisor. Skip Level Communication meetings should be scheduled once a year.
The goal is to improve communications and strengthen teamwork by promoting a familiarity
between employees and their supervisor’s supervisor.

Roles – For any given Skip Level Communication session, there are three roles:
• Skip Level Manager/Supervisor
• Direct Level Supervisor
• Employee

Each unit within AVPF determines how they will proceed with scheduling skip level sessions in their
areas. Some may choose to schedule them year round while other smaller units may concentrate
on doing it during a specific time of the year (i.e. May/June). Once the schedule is determined, the
skip level supervisor/manager arranges for a time to meet with the employee. Every employee
should have the opportunity to participate. Employees may decline the invitation from the skip level
supervisor/manager if they choose.

Skip Level Supervisor/Manager Preparation

Review the employee’s Work Plan and/or Summary Performance Evaluation.
Meet with employee’s supervisor to gain perspective on current issues likely to be brought up by
employees during the sessions.
Determine supervisory or first-line management goals and/or decisions that need to be reinforced
during each employee session.
Examine climate of the department and the AVPF Organization.
Questions a Skip Level Supervisor/Manager might ask the Direct Level Supervisor:
• Are there any general concerns that might be addressed?
• Are there issues or needs that might be brought up during the session?
• Are there issues or needs that may be explored or otherwise need reinforcing during each
session?
• Is there any feedback that you would like me to solicit?
• Are there any questions you would like me to ask?

Suggested Discussion Topics:

Performance Management Process experience
Employee Goals/Training – preparation required
Current issues/obstacles to goal achievement
Suggestions for improvement – within department or within the University at large
Departmental Goals and Objectives – general discussion giving manager’s perspective and
employee role
General feedback for management/supervision/leadership

Other tips:
Session may last a minimum of 30 minutes
Cultivate a comfortable atmosphere

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Don’t force discussion about work issues
Deal with confidential issues in the recommended manner. Ask the employee if there are actions
you can take that will not breech confidentially.

After the Session

Note highlights after each individual session on the Skip Level Communication Form; do not include
employee name.
After all sessions are complete, prepare a summary.
Forward copies of all Skip Level Communication forms and your summary to the AVPF Unit HR
Administrator for your department. They will analyze employee needs, general concerns, and
recommendations for improvement.
Summarize Action Plans for your boss and your staff. (at least 3 “public” actions)
Prepare an informal summary for the “direct supervisor”. Discuss feedback with them and set
goals.
Inform staff of actions taken if/when appropriate. If no issues have surfaced from the Skip Level
sessions, then at the very least prepare a memo or email to staff thanking them for their time and
reminding them they are welcome to contact you any time throughout the year.

Accountability
The Skip Level Manager/Supervisor is responsible for:
• Formulating an action plan based on feedback received.
• Communicating those actions to staff and your boss.
• Discussing the summary of information exchanged with each direct level supervisor without
violating confidentiality, and coming to an agreement on goals/action steps for the direct
level (and skip level if necessary) supervisor based on the feedback given.

As relevant, help the direct level supervisor incorporate these goals/actions into their Work Plan to
be reviewed on an ongoing basis, at a minimum during the next Coaching and Feedback session.

Hold Skip Level Communication sessions on an annual basis and act on the results. This should
be incorporated into all skip level supervisors Work Plans.

Send a copy of the forms to the departmental AVPF Unit HR Administrator if and when completed.

Documentation
Employee Identity should be kept strictly confidential

The Skip Level Communication Form will be utilized to document discussion results (Employee’s
name will not appear on the form). Do not write on the form during the session, but it’s generally
recommended to keep informal notes during the conversation.

Feedback from the AVPF Unit HR Administrators to the Department Head concerning any
recognized trends, recommendations, or general concerns should follow. Overall responses or
reactions concerning the Performance Management Process, in particular, should also be directed
both to our internal AVPF Unit HR Administrators and department management to provide
continuing input on the employee’s perception of our Performance Management Process.

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 Summary Performance Evaluation (SPE)

Summary Performance Evaluations (SPE) are based on approved Work Plans. The SPE is an
overall summary of performance compared against expectations and goals. If a staff member has
two or more supervisors within the same unit, all supervisors should provide input for both the SPE
and the work plan. An employee whose appointment is split between multiple units would require
two or more work plans

Summary Performance Evaluation Forms

Summary Performance Evaluations should be written for all staff in AVPF at the end of the
Performance Management Process. The SPE is an excel form that includes a brief instruction
sheet, a page for rating the employee’s work values and behaviors, and a separate page for
comments that support the ratings. Comments are required. Supervisors are required to review
the draft SPE with the next level of management prior to reviewing the SPE with the employee. In
Mid-June, the ELT will calibrate all performance ratings. The SPE should then be discussed during
a face-to-face session with the employee. The SPE including signatures of the employee, the
evaluating supervisor and the next-level supervisor must be completed and submitted to the unit
HR Administrator by June 30. This includes all new staff that are eligible for the September salary
program.

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Overall Rating
All staff will be evaluated overall for the year in their Summary Performance Evaluation with one of
the following ratings: Does Not Meet (DN), Improving Toward Expectations or Needs Improvement
(IE), Meets Expectations (ME), Exceeds Expectations (EE), or Sustained Excellence (SE).

If the overall designation, “Does Not Meet” is indicated, there should be a separate documented
Performance Improvement Plan (PIP) for improvement with milestones and timelines developed
with the employee prior to the Summary Performance Evaluation session. These documented
Performance Improvement Plans shall have been reviewed by the Human Resource Officer (or
representative) and then submitted along with the Summary Performance Evaluation.

In addition, the Work Values and Behaviors section and each MAR will receive a rating. Comments
are required on the SPE form to support the rating of the Work Values and Behaviors and the
MARS. Improving toward expectations or needs improvement means that either the expectations
were not entirely met or that there are areas in need of improvement. The required comments
should clarify whether the employee made reasonable progress toward the goal or there were
circumstances beyond their control that prevented accomplishment. The comments should also
clarify and specify the areas in need of improvement.

The meeting to discuss the SPE also wraps up the Performance Management Process for the year.
The supervisor and employee should spend time discussing Coaching and Feedback for the
previous quarter and also discuss the SPE which takes into account the entire previous year.

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To prepare for the SPE, the employee should review their own Work Plan concerning goal
achievement and complete the SPE for themselves.

The supervisor should draft their own SPE for each employee and must discuss it with their
next-level supervisor prior to the SPE session with the employee.

When it is time for the actual SPE meeting, supervisors should schedule a time (an hour) with each
employee the fourth (4th) week of June. Provide the employee a copy of the supervisor prepared
SPE one or two days before the scheduled meeting.

During the SPE Session

Introduce the session and its purposes (Last period Coaching and Feedback and Summary
Performance Evaluation).
Set a positive tone.

Last Period Coaching and Feedback

Review the Work Plan and evaluate the year’s last performance period. Provide Coaching and
Feedback (“the period looking back”), and clarification of the time spent on MAR’s since the
previous coaching through May.
Make brief notes on the Work Plan, if applicable.

Summary Performance Evaluation

Come prepared to recognize and appreciate accomplishments and efforts in each MAR and in the
Work Values and Behaviors Section. (“Year looking back”)

Discuss any areas with the designation “Does Not Meet” or “Improving Toward Expectations” and
how best to summarize it and plan for improvement.

Get feedback for yourself using open-ended questions. (Examples: How can I help you do your job
better? What kind of support do you need from me?)

Remember to mention the rebuttal process. (Hand them a copy.)

Outline next steps of this SPE process (The form will be finalized and signed by
employee/supervisor/next level supervisor; original will be placed in employee’s central HR file, one
copy to the department personnel file and one to the employee.)

An employee may provide additional information to be attached to the SPE. An example might be
a copy of an award received or completion of a training program.

If the employee feels that the evaluation is unfair, incorrect or does not accurately reflect their
performance, they may write a rebuttal and follow the rebuttal process. This rebuttal should also be
attached to the SPE package.

After the session

Finally, make copies of the completed evaluation for the employee and yourself and forward the
signed original to the appropriate manager. The completed signed original of the SPE will be
imaged into the employee’s central HRAA personnel file.

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Complete the supervisor checklist and at the end of the cycle, send the original signed checklist
along with the original SPE’s to your department’s AVPF Unit HR Administrator by June 30.

Keep a copy of the SPE for your files and send a copy to your departmental file (if applicable).
Check with your AVPF Unit HR Administrator if you have questions.

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KEY POINTS TO KEEP IN MIND during the Coaching & Feedback sessions and Summary
Performance Evaluations

Be prepared

Will any part of this SPE come as a surprise to the person? (It should not.) Can you deal with any
serious performance issues prior to the SPE?

If you assign “improving” or “does not meet expectations” to any area, be prepared to review in
greater detail the performance expectations you have concerning this area.

You should be prepared to describe what acceptable performance would look like and steps the
employee might take to improve in this area.

Avoid common rater errors

First Impression Error - the tendency for the supervisor to make judgment decisions early. The
supervisor may miss critical information exchanged later on with such a mindset.

Similar to Me Error - all else being equal, supervisors will give higher ratings to employees they
perceive as similar to themselves.

Halo Effect - the error of positively or negatively generalizing over several dimensions of
performance, based on an overall impression or salient characteristic of the employee. As a result,
each performance category does not receive a valid evaluation.

Primary, Recency Effect - the tendency to not treat all information equally for humans remember
first impressions and most recent events best. Important information may get lost in the middle.
(Always review all of your notes, records and review the calendar for key events during the year.)

Sex and Attractiveness Bias - the error of factoring the employee’s sex or physical attractiveness
into judgments about their performance in their position.

Misinterpretation of Nonverbal Cues - the tendency to misinterpret or not question nonverbal

behaviors. It is important to overcome the hesitancy to tactfully investigate the true cause of such
behaviors.

Judgment Bias - the error of revealing one’s own value system when reacting to an employee’s
response. It is extremely important to react in a non-judgmental manner so that the employee will
respond honestly and candidly to the questions posed. Any judgments should be made according
to the organization’s goals and relevance to the job.

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DO
Schedule a meeting time that works for
both the employee and yourself
Be prepared for the meeting
Close the door and do not allow for
interruptions (phone, pager)
Use language that will be clearly
understood
Focus on the performance, not the person
Consider the employee’s performance
throughout the year
Use specific examples to support your
praise or criticism
Make notes to yourself in advance to
clarify your evaluative comments,
particularly criticisms, so you can be very
clear
Avoid absolutes such as always or never
Give the employee advance notice that
you will be asking for feedback and provide
the questions (e.g. How can I help you do
your job better? What kind of support do
you need from me that you’re not getting?)
Summarize and ask the employee to
summarize
Avoid surprises
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DO NOT
Conduct the meeting without adequate
preparation time
Hold a superficial discussion
Discuss personality traits and attitudes
Dwell on isolated incidents
Dwell on weaknesses, faults, or
shortcomings
Compare the employee with another or
with oneself
Get into problem-solving or idea
generating discussions (Schedule another
meeting to do this)
Use this session to discipline an employee
Repeat constructive criticism in an attempt
to soften the blow. Say it once and then
listen!
Provide excuses for bad news. State your
observation and allow the employee to
respond
Use the session to discuss employee
career development plans. Schedule this
for another meeting
Avoid telling the truth for fear of
disagreement of an on-going performance
problem.
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 AVPF Summary Performance Evaluation Rebuttal Process

For non-bargained-for staff members

The rebuttal process is to be used by any staff member who feels the Summary Performance
Evaluation does not accurately reflect his/her job performance. This process is as follows:

1. The staff member and immediate supervisor should first work together to address any
concerns or differences of opinion in the evaluation.

2. If the staff member and supervisor cannot reach agreement on the concerns, these concerns
should be documented by the staff member, and signed/dated by the supervisor, then attached
to the evaluation form. Optionally, the Work Plan with Coaching & Feedback notes may be
included. The evaluation form should then be signed and dated by the supervisor and the staff
member. Copies of the entire package should be given to the employee.

3. The supervisor’s manager will review the signed evaluation (including the signed document
describing the employee’s concerns) and formulate the next steps to a resolution and
communicate them in writing to the supervisor and the employee.

4. If the staff member is not satisfied with the manager’s resolution, she/he may contact:
• Any department manager, any direct report to Peggy Norgren or Peggy Norgren
herself
• The AVPF Unit HR Administrators within the department
• The AVPF Human Resource Officer, Cheryl Reed
• The HRAA Representative, Jon Lund

For bargained-for staff members

Please refer to the contract guidelines.

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 Supervisor Checklist

The Supervisor Checklist should be filled in with each employee name and the dates that Coaching and
Feedback and SPE sessions occurred. A copy of the checklist should be included in your own summary
information with your supervisor, as well as sent to your department’s AVPF Unit HR Administrator after
each Coaching and Feedback session has been completed.

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