COLLEGE OF

WILLIAM & MARY/VIMS

PERFORMANCE PLANNING &

EVALUATION POLICY FOR
PROFESSIONAL &
PROFESSIONAL FACULTY

Informational Session
Training Objectives
 The Purpose of Performance Management
 Performance Management Cycle
 Roles & Responsibilities

 Methods of Assessment
 Understanding the Ratings
Training Objectives (cont.)
 Conducting the Performance Review Meeting
 Appeal Process
 Best Practices and Common Pitfalls in Assessing
Performance
The Purpose of the Policy
Designed to establish a system for:

 aligning performance goals with University

strategic goals;
 setting performance & career development goals &
objectives;
 monitoring employee progress, providing
constructive feedback, & evaluating performance.
 Aligning Goals

College’s Unit’s Employee’s Employee’s

Strategic Strategic Annual Developme
Objectives Objectives Goals nt Goals
Example of Goal Alignment

College: Explain Unit: Develop an Employee:

and promote integrated Ensure all Development:
W&M through a communications communication Increase
more effective strategy meets W&M knowledge of
communications consistent with Branding W&M branding
strategy W&M Branding standards strategies
 Expected Outcomes
 Development of a common performance culture;

 Individual, team and organizational effectiveness;

 Alignment of individual performance with College’s

and Unit’s strategic objectives;

 Fostering on-going feedback and competency

development;
 Expected Outcomes (cont.)
 Set forth roles, responsibilities and performance
standards;
 Lay out assessment criteria;
 Provide information for:
 Compensation decisions
 Rewards & Recognition
 Development Plan
 Corrective Actions
The Essence of
Performance Management
Performance management is a communication tool
that enables employees to know exactly where they
stand and what they need to focus on to improve their
own performance and to grow within the organization.
Stages of Performance Cycle
Phase I
Planning

Phase III
Phase II
Evaluation
Monitoring
 Phase I
Planning

Roles and Responsibilities

Supervisor • Seeks input from employee regarding annual
performance & professional development goals
• Communicates & documents employee’s
performance plan and method of evaluation
• Reviews position description for accuracy
• Meets with employee to discuss and finalize
Employee • Collaborates with supervisor to develop annual
performance and professional development goal
• Collaborates with supervisor to ensure accuracy of
position description
• Clarifies expectations & understands how
objectives will be rated
Starting Point
Employee Position Description
A document that contains info about
the position, core responsibilities,
required qualifications, etc.
 Phase I
Planning

Selecting Method of Assessment

In order to accommodate various types of

professional/professional faculty positions, the
policy provides supervisors latitude in selecting the
method of performance planning, evaluation and
documentation most appropriate for a position.

The supervisor informs the employee at the beginning

of the cycle the primary method that will be used for
evaluating the employee’s performance.
Methods of Assessment Phase I
Planning

Examples
 Supervisory evaluations: top-down performance evaluation
conducted by a direct supervisor
 Peer-to-peer: performance evaluation conducted by a
colleague in an equal position level and typically in the same
functional area
 360° Assessment: provides a more holistic view of the
employee's performance by attaining feedback from the
employee, subordinates, superiors and peers
 Self–evaluation: completed by employee and usually
complimented by supervisor’s evaluation on the same factors
 Phase I

Setting Goals
Planning

Performance plans must be established

within 30 days of the new performance year.

For new employees hired before March 1st

plans must be established within 30 days of
the hire date and will cover the remainder of
the current performance year.

For new employees hired after March 1st plans

must be established within 30 days of the hire
date and will cover from the hire date through the
next performance year.
 Phase I
Planning

Basic Competencies
Job knowledge
Leadership skills
Problem solving
Relationship building
Communication
Organizational citizenship
 Phase I
Planning

Performance Planning Model

GET THE WORK DONE!
ACHIEVE RESULTS

 What you do  How you do it

Annual Goals Job Knowledge
Duties/Responsibilities Leadership Skills
Special Projects Problem Solving
Relationship Building
Communication
Organizational Citizenship

EMPLOYEE CAREER DEVELOPMENT

 Phase II
Roles and Responsibilities Monitoring

Supervisor • Monitors employee performance during

performance year & communicates with employee
on a regular basis about performance
• Conducts at least one interim discussion and
documents discussion
• Addresses instances of poor performance in a
timely manner
• Assists employees whose performance has been
identified as needing improvement
Employee • Manages own performance to achieve goals &
communicates with supervisor circumstances that
may affect goal achievement
• Seeks performance feedback from supervisor and
internal/external customers
• Addresses aspects of performance identified as
needing improvement
 Phase II

Employee Involvement
Monitoring

Employees are more likely

Encourage open and
to consider the system as
ongoing communication and
being fair if they have
collaboration between
involvement and understand
supervisors and employees
the process.

Em
plo
yee
s
are
mor
e
likel
y to
de
mo
nstr
ate
gen
uin
e
co
mm
itm
ent
to
goa
ls
and
perf
orm
anc
e.
 Phase II
Monitoring

Performance Documentation
Both Employee and Supervisor are encouraged to maintain documentation
in support of performance evaluation.

Supervisor Employee

 Supervisor’s File  “Me” File

A confidential file for each employee A confidential file containing any
containing any notes, Memos, work notes, Memos, work samples, etc.
samples, interim evaluation,
previous employee evaluations,
disciplinary actions, etc.
 Phase III
Roles and Responsibilities Evaluation

Supervisor • Provides employees opportunity for self-assessment

• Prepares annual performance evaluations and
documents significant performance issues
• Conducts meetings with employees individually to
discuss evaluations and development needs
• Provides chosen performance evaluation
documentation for review and approval by the
reviewer
Employee • Provides a self assessment to supervisor
• Participates in performance discussions
• Addresses aspects of performance identified as
needing improvement
 Phase III

Steps of Performance Assessment

Evaluation

Employee
Self
Interim Assessme
Evaluation nt
s
Supervisor
’s
Document
ation

Performance Evaluation
 Phase III
Evaluation

Evaluate Results & Competencies

Results Competencies
What was accomplished How the work was accomplished

Performance to Job knowledge

expectations Leadership skills
Problem solving
Achievement of Relationship
goals building
Communication
Business
Organizational
contribution citizenship
Rating Scale
Exceptional An employee whose work is characterized by:
• sustaining exemplary performance throughout the rating period;
• providing excellent service in support of the mission of the organization;
• consistently exceeding and sometimes far exceeding the criteria of the job responsibilities;
• consistently demonstrating initiative for the benefit of the College and Department;
• demonstrating full mastery of knowledge, skills and abilities, required work, and basic competencies.

High An employee whose work is characterized by:

• consistently high level of accomplishment;
• often exceeding performance expectations;
• providing significant service in support of the mission of the organization;
• independently demonstrating highly proficient knowledge, skills, and abilities, required work and
behavioral competencies.

Satisfactory An employee whose work is characterized by;

• achieving results at a level that generally meet and may at times exceed performance targets;
• providing commendable support to the contributions of the organization;
• demonstrating fully proficient knowledge, skills and abilities, required work, and behavioral
competencies; with only a few areas in need of some improvement.

Fair An employee whose work:

• requires substantive improvement to fully meet the performance targets;
• provides basic support to the mission of the organization;
• is at the beginner or developmental stage of demonstrable knowledge, skills and abilities;
• exhibits inadequate behavioral competencies;
• requires guidance and training to improve performance.

Unsatisfactory An employee whose work:

(May conduct an • fails to meet the criteria of the job function;
interim performance • falls short of performance targets;
evaluation and • provides inadequate support to the mission;
improvement plan (See • performs below the beginner or developmental stage of demonstrable knowledge, skills and abilities;
Appointment &
Terminations policy ) required work and behavioral competencies.
 Rating Guide
Performance = 5 Performance = 5 Performance = 5 Performance = 5 Performance = 5
Competencies= 1 Competencies= 2 Competencies = 3 Competencies = 4 Competencies = 5
Exceptional
5
Performance = 4 Performance = 4 Performance = 4 Performance = 4 Performance = 4
Competencies = 1 Competencies= 2 Competencies= 3 Competencies = 4 Competencies = 5
4 High
Performance

Performance = 3 Performance = 3 Performance = 3 Performance = 3 Performance = 3

Competencies = 1 Competencies = 2 Competencies = 3 Competencies = 4 Competencies = 5
3 Satisfactory

Performance = 2 Performance = 2 Performance = 2 Performance = 2 Performance = 2

Competencies = 1 Competencies = 2 Competencies = 3 Competencies = 4 Competencies = 5
2 Fair

Performance = 1 Performance = 1 Performance = 1 Performance = 1 Performance = 1

Competencies = 1 Competencies= 2 Competencies= 3 Competencies= 4 Competencies = 5
Unsatisfactory
1

1 2 3 4 5
Competencies
Performance Review Meeting
During the Meeting:
 Encourage dialogue;
 Be specific, use plenty of examples;
 Focus on the issues, not on the person;
 Close on a positive note and make arrangements for
follow-up with next-steps.
Performance Review Meeting
Follow up includes:
1. A written development plan with new goals, timelines
and clarified standards of performance.
2. Additional meetings between employee and
supervisor.
3. Interim evaluations.
4. Training to build on strengths and address the needs.
5. Coaching and mentoring.
 Coachi
Best Practices
ng

Collab
oration

Communica
tion

http://www.wm.edu/offices/hr/managerssupervisors/performance-b/index.php
Common Pitfalls
Using evaluation as a corrective action tool.

Leniency error: tendency to give higher ratings than warranted.

Severity error: tendency to give lower ratings than warranted.

Opportunity bias: give credit or fault an employee for factors beyond his/her control.

“Halo” effect: generalization from one good trait.

“Pitchfork” effect: generalization from one weak trait.

Recency bias: give more importance to recent performance and ignoring the past.

Rating the job rather than individual: applying job criticality factor.

Length of service bias: credit for longevity of service or penalizing for being new.
Appeal Process
1. Employee should discuss issue with supervisor within 10 business days
of having received the evaluation for reconsideration.
2. Supervisor may decline to reconsider, or reconsider it and either affirm or
revise the evaluation.
3. If issue is not resolved, employee may file a written appeal with the
reviewer within 10 business days of receiving the supervisor’s response.
4. Reviewer will discuss the appeal with the employee and the supervisor.
Within 10 business days of receiving the appeal the reviewer must
respond in writing to the employee. The response should indicate:
 reviewer agrees with the supervisor’s evaluation; or
 supervisor will revise the evaluation or complete a new evaluation

The reviewer’s decision is final; however employees alleging policy violations may
have access to the Professional & Professional Faculty Grievance Procedure.
Performance Evaluation Cover Form

http://www.wm.edu/offices/hr/documents/forms/professional-professional_faculty_performance_checklist.pdf
 Performance Management
Timetable

Phase I Phase II Phase III

July - August Sept - March April - June
Goal Setting

Performance,
Monitoring,
Feedback
Mid-year Review
Dec-Jan
Annual Review Due date set
by Provost
Questions and Answers