Category: HR-PERF
POLICY & PROCEDURE
Subject:
Performance Excellence Program (Non-Management Performance Management)
Classification:
Management Approved
Policy Owner:
Senior Vice President, Human Resources
Approved by:
WFH President and CEO
POLICY:
Effective: September 1, 2011
It is the policy of Wheaton Franciscan Healthcare (WFH) that all non-management associates
are provided with performance expectations and an evaluation of job performance and valuesbased behaviors annually.
The performance excellence program is WFH’s formal system to manage performance and
provide for the evaluation of the quality of an individual’s performance over a specific period of
time. To be successful, performance management is an ongoing process and not merely an
annual event.
The performance excellence program is an integrated process that includes five steps:
Step 1: Leadership preparation
Step 2: Performance planning
Step 3: Mid-year/mid-orientation discussion
Step 4: Performance review preparation
Step 5: Performance review and merit pay adjustment
Human Resources and Organization Development/Leadership Development will evaluate and
update the performance excellence program and educational sessions annually.
RATIONALE:
The WFH Values of Respect, Integrity, Development, Excellence, and Stewardship call forth
behaviors that influence for the better every person whose life we touch. Leaders are also called
upon to provide continuous feedback and support of our staff in their efforts to attain their goals
and live out our values. The Performance Excellence Program (PEP) is an integrated approach
to support staff in their desire to achieve their goals and live out the Values, plan intentionally for
future development and contribute to the achievement of organizational and department goals.
SCOPE:
This policy applies to all non-management associates in the owned and managed regions of
Wheaton Franciscan Healthcare.
PROCEDURE:
Documents entitled “Performance Excellence Program Leadership Guide” and “Performance
Excellence Program Associate Guide” outline roles, responsibilities and timing of the program.
WFH’s performance excellence program has five key steps summarized below. A detailed
process flow chart is included in this policy.
Step 1: Leader Preparation
To ensure the best outcome for associates, leaders are expected to spend concentrated time
preparing and planning for the process. This preparation takes place prior to engaging the
associate in the performance planning discussion. During leader preparation, department/team
goals are set and communicated, essential job duties and SMART* expectations are written for
each position that the leader oversees, and reviewers are identified for each associate. All of this
information is documented on the PEP form. It is also important to note that for some of the
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preparation, leaders will be expected to work with other leaders to establish department/division
goals, essential job duties and SMART expectations that are consistent for similar positions.
Educational sessions have been designed to train leaders in the use of the performance
excellence program form, to understand performance management best practices and to learn
to apply strategies for success. Leaders are expected to attend all mandatory PEP educational
sessions.
*SMART (Specific; Measurable; Agreed upon; Realistic but challenging; Tied to a timetable)
Step 2: Performance Planning
Once leader preparation is completed, the leader and associate meet for a performanceplanning meeting. Generally, this session takes 20-30 minutes and allows discussion around
what the associate will achieve (and how the leader will support) over the next 12 months. This
meeting is held around the beginning of the fiscal year (approximately July) or during the first
month of employment. Specific attention should be paid to the essential job duties, SMART
expectations and how the values behaviors relate to the associate’s specific role as documented
on the PEP form. This time may also include discussion of the associate’s development plan.
To foster a collaborative relationship between associates and leaders and underscore the
importance of associate participation, leaders should emphasize both their responsibilities and
commitment to the process as well as discuss the associate’s responsibilities. The PEP
Associate Guide is a useful tool to support this dialogue.
Newly Hired and Transferred Associates
Upon hire or transfer, it is expected that a leader and associate will set up a performance
excellence document within the first 30 days of employment. This requires the leader and
associate to meet and discuss the SMART expectations that the associate will be evaluated on.
Developmental goals should be set and recorded on the Introductory Review Form. New
associates and transferred associates are reviewed within the first three months of employment
(like a mid-year discussion) and thereafter, on an annual basis. Individuals hired between
January 1 and March 31 of each year (introductory reviews scheduled between April 1 and June
30) would not require an introductory review; rather an abbreviated “annual review” would take
place on the common review date as they would be eligible for a performance-based pay
increase. Individuals hired between April 1 and June 30 of each year will be eligible for a
performance excellence review and performance-based increase in July of the next year. The
Introductory PEP form should be sent to Human Resources to be placed in the associate’s file.
Step 3: Mid-year Discussion / Introductory Review (newly hired or transferred)
Over the review period, the associate works to achieve essential job duties and SMART
expectations, as well as demonstrate desired values behaviors. The leader provides coaching
and feedback to the associate to increase the probability of success. At mid-year (approximately
December) the leader and associate meet to discuss the associate’s performance so far against
the plans and goals that were discussed in the performance planning step. Generally, the
discussion is 15 to 20 minutes. Notes from the discussion are captured on the PEP form.
Newly hired or transferred associates will have an introductory review which is similar to the mid
year discussion, but recorded on a one page Introductory Review Form.
Step 4: Performance Review Preparation
Beginning in April of each year, the leader reflects on the associate performance of essential job
duties and carrying out our mission, vision and values behaviors over the last review period and
completes the planning and review form. A leader may request peer and key customer
feedback to assist in the process. In turn, the associate is responsible to complete a selfassessment for the period and provide it to the leader before the annual performance review
meeting. During this step, the leader also determines an appropriate adjustment in base pay for
the individual if appropriate. Last, the leader will review their associates’ performance forms and
performance-based pay adjustments with his/her own immediate supervisor.
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Step 5: Performance Review and Merit Adjustments
During the months of May and June, leaders meet with associates to review the performance
report that has been written by the leader and the associate self-assessment. At this point, the
leader should discuss with the associate the overall rating and recommended base pay
adjustment, if appropriate. In some circumstances, the leader and associate may need to
schedule an additional meeting to finalize the review, if significant changes in the performance
review report are agreed to in the original discussion.
The leader should finalize the PEP form summarizing the results of the performance review
meeting. The leader should note any information or suggestions raised during the performance
evaluation meeting regarding barriers to work, as well as process or system improvements that
are in the control of the leader or associate. The leader should consider these issues and
discuss the decision made or follow-up actions to be taken regarding such information. The
leader and associate should review and sign the PEP form. The associate should be given the
opportunity to attach any comments he/she wishes regarding the performance evaluation
process or the contents of the performance excellence program form. If an associate refuses to
sign the form, the leader should make note of that refusal on the form and continue on with the
process. The signing of the form acknowledges a review was done, not that an associate
agrees with the content. The PEP form should be sent to Human Resources to be placed in the
associate’s file no later than July 31 of each year.
The final step includes an agreement to meet to hold a performance planning discussion for the
next review period. The performance review meeting and the performance planning discussion
should each take approximately 30-40 minutes.
Resolution Process
A disagreement on the PEP review or merit pay increase will be reviewed and resolved by the
immediate supervisor of the leader/appraiser. No further appeal or review under the associate
appeal procedure is permitted.
Forms
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Performance excellence program (PEP) performance Planning & Review Form
PEP Associate Guide
PEP Leadership Guide
PEP Peer Input Form
PEP Performance Log
PEP Review Preparation Timeline Tool
 PEP Introductory Review Form
COMPETENCY ASSESSMENT
Purpose:
The purpose of this assessment is to assure that the competency of all associates is assessed,
maintained, demonstrated and continually improved. The competency process includes job
descriptions with initial job competencies, verification of license, registration and/or certification,
a system-wide orientation, department specific orientation, an initial assessment of
competencies, annual performance feedback, on-going competency validation of incumbents,
population appropriate competencies and continuing education.
Competency Assessment Procedure:
The competency assessment procedure is defined in the Competency Assessment of
Associates policy.
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Replaces:
Existing performance management policies and procedures
Site based Competency of Associate policies
 Competency of Associates (WFH – All Saints)
 Competency and Performance Feedback (WFH – Iowa)
 Competency of Associates (Marianjoy)
Cross reference:
Competency Assessment of Associates
Performance Excellence Program Flowchart
Review Period:
One (1) year effective in 2010 (Prior years, review period was every 2 years)
Original Policy Date:
February 15, 2005
Dates Updated:
March 1, 2007; July 1, 2010; September 1, 2011
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Performance Excellence Process – Flow Chart
Overall Organization Strategy
Mission, Vision and Values
Wheaton Franciscan Healthcare Strategic Goals
Entity Organizational
Strategic Goals Supports Organization
Goals
Executive Performance
Management GPA – Supports
Entity & Organization Goals
Director, Manager, Leader
Performance Management LEAD –
Supports Entity & Organization Goals
PEP Process – Supports Entity, Leaders & Organization
Step 1: Leader Preparation
 Department goals
 Values-based behavior
illustrations
 Competency plans

Developmental goals
 Essential job duties and
SMART expectations
 Who will conduct
performance reviews
What
Essential Job Duties
SMART expectations
Step 2:
Performance
Planning
Discussion
How
Competencies
Values/Behaviors
Leader’s Responsibilities
Step 5:
Performance
Review and Merit
Adjustment
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Associate’s Responsibilities
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Adapted from Grote Consulting Corporation
Communicate Openly
Provide coaching and feedback
Create conditions that motivate
Eliminate performance barriers
Update objectives
Provide development opportunities
Reinforce effective behaviors
Log performance and
accomplishments
Step 3:
Mid-year/Discussion
OR
Introductory Review
Achieve objectives
Solicit feedback and coaching
Communicate openly
Collect and share data
Prepare a self-assessment in
preparation for review
Personal and professional growth
Step 4:
Performance Review
Preparation
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