Supervisor Guide - Managing Performance at Stanford
Managing performance at Stanford is a system for understanding, initiating, and successfully
accomplishing work. In this performance system, employees and supervisors together establish
performance plans. Through regular communication and assessment of performance, they share a clear
understanding of what employees are expected to achieve in their jobs, and assure that these expectations
are met.
Supervisors provide structure for performance management:
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Feedback
Coaching
Problem-solving
Rewards for meeting expectations
Scheduled and documented processes for planning performance, communicating about it, and
assessing and rating job performance.
Employees are responsible for managing their own job performance; however, at times need mentoring,
assistance, and coaching from their supervisors. The employee should participate fully in planning,
communicating, and assessing his/her job performance.
There are three phases that make up the performance cycle:
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Phase I:
Goal Setting & Development Planning
Performance planning is the first and central phase of performance management. It occurs at the
beginning of the performance cycle when supervisor and employee decide together what the employee
will accomplish during the performance cycle, usually a year.
The planning session can be a highly productive conversation, focused on future accomplishments, and
clarifying how performance will be assessed.
The performance plan that results from this process becomes the foundation for continuing
communication throughout the performance cycle, and for assessment and rating at the end of the year.
The plan is developed from both the job description and the current needs of the work group.
Identifying goals and specific job duties are essential elements of a performance plan. In performance
management, three types of goals/expectations work together to form performance expectations for any
employee.
Job goals with accompanying performance standards
Training and development goals
Expectations related to policies and practices
Performance planning is complete when supervisor and employee have reviewed the goals and
expectations established in these categories, and they present a clear picture of what the employee will be
doing during the performance cycle.
Phase II:
Mid-Year Check-In
Mid-Year Check-In is the second phase of performance management. Supervisors are encouraged to
have on-going communications throughout the year with their employees. Clear communication between
supervisor and employee is key to the success of the performance management cycle. During this cycle it
is recommended that supervisors organize one scheduled meeting mid way through the cycle to review
how the employee is doing with the goals and competencies that were established in phase I.
Phase III:
Year-End Review
In assessment and rating, the third phase of performance management, supervisors meet with employees
in a joint process to review the employee’s success in carrying out the performance plan during the entire
performance cycle. This is typically known as year-end review or the annual performance appraisal.
In completing the annual performance appraisal, here are some steps to consider. The annual
performance appraisal should be a mutual effort by the employee and supervisor, with the supervisor
guiding and managing the process.
Prepare
An effective review meeting requires that supervisors have done a good job of managing performance
throughout the review period. This includes setting performance expectations and/or goals for the major
areas of responsibilities, providing ongoing coaching and feedback, a mid-year check-in, and having
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periodic formal meetings to review work progress. When performance management is done well, the
performance assessment and evaluation should contain no surprises for the employee. It also eliminates
most of the difficulty and fear commonly associated with giving performance reviews.
1. Schedule the meeting with the employee, leaving ample time for the discussion.
2. Schedule a private conference room away from phones and other distractions.
Arrange for a meeting place that is neither your office nor the employee’s work area. A
conference room is preferable to indicate that you view the process seriously enough to avoid
being interrupted or distracted. Schedule adequate time for the meeting.
3. Ask the employee to prepare for the meeting by thinking about how he/she would assess his/her
own performance during the review period. Provide the employee with the self-appraisal form
and set a date for the employee to return it.
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In what areas of the job has the employee done especially well?
If there are goals or objectives, to what degree have they been met?
What help from you, his/her supervisor, does he/she need to be successful?
What changes could improve his/her work performance or help him/her to be more
satisfied with the job?
4. Review employee’s performance information and documentation for the review period and make
notes.
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Review previously set goals and objectives. Structure open questions to gain feedback
from the employee as to how well he/she is meeting the goals or objectives.
Review the employee’s job description to determine key areas of responsibility to
discuss. All job descriptions should be updated, as needed, before proceeding.
Review any feedback you have received that can be referred to (email or letters of
commendation, etc.), and the employee’s self-appraisal.
Complete a draft document performance appraisal form, using the recommended
performance appraisal form (available at http://hrg.stanford.edu).
5. Consult with Human Resource Group, Employee Relations for assistance as needed. Employee
Relations Specialists are available to help supervisors (and employees) to complete the process,
answer questions regarding the process, and assist in the approach needed to handle
performance evaluation.
What you assess in a performance appraisal will revolve around:
 Predetermined criteria from your work group or unit that applies to the entire group or
unit
 Previously set work objectives for an individual employee
 Performance expectations and work standards that you have previously clarified with the
employee
 Major areas of responsibility for an individual employee (based on the position’s
purpose, duties, scope, etc.)
 Workplace behavior
 Environmental influences on performance (e.g. budget, organization, strategy)
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Conduct the Meeting
Setting the atmosphere for the meeting is important. You want to convey that the meeting is for the
benefit of the employee, it is important, and that the employee has your full attention. The climate should
be cooperative as well as task oriented.
1. Open the meeting.
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Be friendly and welcoming
Explain the purpose of the meeting and the benefit of the discussion
Outline the meeting format and any other ground rules
2. Discuss performance categories with the employee, and ask the employee to discuss/summarize
the content of his/her self-appraisal form.
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Focus on one objective or area of responsibility at a time
Listen carefully and take notes
Ask employee to discuss achievements in each area first and then on any performance that
fell short of expectations
Summarize employee’s assessment of each section of the self-appraisal to assure
understanding
Discuss your own assessment after the employee has completed his/her summary
For some aspects of performance, the employee will have details that you may be unaware of.
Although there should be no major surprises during performance reviews, it’s not realistic to
expect that supervisors are familiar with everything that impacts performance. In some cases, the
circumstances related to goals not being met may impact the ultimate performance evaluation, so
it’s important to listen carefully and probe for more information if necessary. Listening carefully
to the employee’s view before adding your own will foster trust in the process.
3. Explain your view of the employee’s performance; give the employee a copy of the draft
performance appraisal form.
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Tell the employee where you agree with his/her assessment; provide recognition of
achievements
Explain the ratings, and how you arrived at the given rating
Explain where you have a different view, being specific and providing information and
examples
Ask the employee for his/her thoughts or reactions after you have completed your assessment
This step encourages in-depth discussion by stating your assessment of performance and then
asking the employee for his/her reactions.
4. Work out any differences in perceptions
 Clearly state the disagreement, discuss both positions, and reach resolution.
 If there is more than one area of disagreement, discuss and work on one at a time.
 Acknowledge any emotions that may be present.
When differences of opinion surface during performance review, it can be very uncomfortable for
both supervisor and employee. It’s important to maintain focus on facts and behaviors and not let
the discussion stray into personality issues. As the supervisor, you will need to remain non-
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defensive and state your feedback in ways that do not cause the employee to become defensive.
State the facts, then ask the employee to comment. If there is disagreement about the facts, you
may need to gather more information and finalize your assessment on that particular point later.
5. Summarize discussion and evaluation.
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Summarize the assessment based on the discussion and employee input
Ask the employee if he/she wants to add anything to the assessment
State what will happen next (you will write the assessment based on the discussion and the
employee will have opportunity to review it and add comments)
Ask employee to comment on the process and suggest improvements
Ideally, both supervisor and employee leave the discussion feeling good about the opportunity to
get together and discuss performance, the employee understands how his/her effectiveness is
viewed, and feels interest and support from the supervisor.
Follow-Up
1. Write the final version of the performance appraisal including input from the employee.
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Write only what was discussed in the meeting; there should be no surprises at this point. If you
discover an aspect of the employee’s performance that should have been discussed, schedule a
second meeting before proceeding.
Refer to the notes you took during the meeting for actual words or phrases to include in the
written appraisal. Include the employee’s point of view, the workplace factors that affected
performance, and disagreements, and steps to address those disagreements, and any other relevant
information.
Think behaviorally. Write your observations of what the employee has done or said. Use action
words (verbs) to describe the actions taken by the employee.
2. Ask the employee to review the written appraisal (and sign); the employee’s signature does not mean
agreement. (If employee does not wish to sign appraisal: Write “Employee declines to sign” on the
signature line. Make sure you sign the evaluation and date it.) Inform employee that he/she has the
option to attach written comments. Evaluate the meeting.
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What went well?
What could be improved about the meeting itself or your role in it?
What will you plan to do differently next time?
3. Submit the completed, signed appraisal by the deadline for inclusion in the Personnel file.
Ongoing Performance Management and Communication
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Request employees to turn in a summary of their progress on objectives, projects, or to what
degree they are fulfilling performance criteria/standards on a regular basis.
Schedule regular meetings with individual employees to discuss and review progress on a regular
basis (e.g., once a quarter).
Schedule a mid-year check-in with individual employees mid way through the performance cycle.
Implement any course of action agreed by you and the employee to improve performance and/or
develop new skills.
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As appropriate, periodically speak with department clients or customers to get feedback from
them as to how well your work group/specific employees are meeting their needs.
Schedule monthly or quarterly all-staff meetings (if appropriate to your work group) to discuss
and review performance as a group.
Manager Communication Guidelines
Guideline:
Means:
Make it a Two-Way
Conversation
Encourage the employee to participate in
the Mid-Year Check-in conversation. Ask
questions that will draw the employee into
the dialogue.
Celebrate Success
Provide positive reinforcement for positive
performance.
Be Honest about
Improvement Areas
Don’t avoid the subject of improvement
needs. Be direct.
Encourage and Support
Development
Focus on continuous learning, growing, and
stretching for all employees.
Manage Disagreements
with Respect
Model appropriate conduct. Ask questions
and listen well.
Supervisor’s Guide – Effective Job Goals
Job goals and specific job duties are the center of the performance management system. They
define anticipated accomplishments for the employee. The job duties are listed in the position
summary (job description), and the supervisor and employee establish goals at the beginning of
the performance review period.
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Job goals differ from the job description because they identify strategically important
projected accomplishments, results, or outcomes for one time period. They also differ from
training and development goals, because they identify work accomplishments, not ways an
employee will gain new or improved knowledge or skills. They further differ from remedial
goals, which state how an employee will overcome gaps that get in the way of accomplishments,
and career-related goals, which state how an employee will prepare for different work. The
following examples indicate how these kinds of goals may differ.
A job goal:
Monitor department budgets monthly and communicate
status to appropriate faculty member, noting areas for
attention and identifying solutions to frequently
encountered problems.
A related training and development
goal:
Successfully complete advanced budget training to
identify problems and suggest solutions.
A related remedial goal (recorded
as a training and development
goal):
Successfully complete advanced budget training to
monitor department budgets in a timely manner without
having to wait for answers to basic questions.
A career-related goal (recorded as a
training and development goal):
Increase knowledge base in financial areas by completing
courses in fund and general accounting.
SMART GOALS
SPECIFIC (and strategic)
Is the goal focused on one issue?
Is the goal clearly defined?
Is there a clear understanding of what is expected?
MEASURABLE
Can you measure the quantity?
Can you measure the quality?
Is there a deadline?
ACHIEVABLE
Does the employee have authority or control to reach the goal?
Does the employee have sufficient influence to reach the goal?
Are there resources to enable the employee to reach the goal?
RELEVANT AND REALISTIC
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Does the goal support the manager’s and overall departmental goals?
Is the goal aligned with strategic objectives?
TIME FRAME
Is there a specific date to complete the goal?
Are there milestone dates for review of progress?
Testing Your Job Goals
Your job goals should add up to an accurate statement of the work for the performance cycle. To
be sure that they do, review them.
Are there too many or too few?
For most jobs, there will probably be three to five job goals, tasks, or responsibilities in a
performance cycle. If there are more, consolidate related goals to produce fewer, more
comprehensive statements.
Do they encompass too much or too little?
Each job goal should encompass at least 10% of your whole job, although most goals will
probably represent more, and one or two goals may represent most of the job.
Are they focused appropriately?
They should focus on a strategically important accomplishment, result, or outcome, not on how
the job is done.
Are they clear?
They should describe clear, specific, attainable accomplishments. Check for these characteristics
by asking if the statement begins with an action, follows with what is acted upon, and includes
other information that you need in order to complete the work successfully.
Are they measurable?
They should include measurable targets that help answer the questions: “How will I know when I
have accomplished the goals?” and “What impact will these results have?” Measurable targets
indicate achievement or progress toward achievement of a goal and may include such
information as numerical or percentage change, costs of resources, or deadlines. When a goal
cannot be measured using quantifiable targets, indicators can be identified to answer the
questions: “How can someone tell when a good job has been done in this area?”
Are they individual?
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Goals are not the same for everybody, but are developed for each employee, with consideration
of employee strengths and experience as well as work group needs.
Training and Development Goals
Stanford 3E Model of Development
People learn from all types of experience
Stanford’s 3E Model of Development is based upon research that indicates that people learn in
their work environments in different ways. Once an individual recognizes what learning he/she
would benefit from, and has the motivation to work on it:
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Development throughout your career will come about 70% from on the job experiences,
20% from feedback, and 10% from courses and reading.
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“Developmental opportunities work best when orchestrated together. Alone, they are
single instruments."
3 levels of opportunities
The 3E model provides these opportunities at three levels:
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On the job learning -- Experience
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Exposure through targeted inputs and
coaching/feedback – Exposure
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Formal training or reading - Education
Experience: Learning acquired by demonstrating the knowledge, skills, attitudes and behaviors
in on-the-job situations with real performance consequences. The output of the activity is
measurable. Learning by doing.
Education: Any formal learning focused on acquiring content or process knowledge, where
learning objectives have been established and published. This knowledge is acquired in activities
or exercises led by an instructor in a classroom or on the web, or self-paced via the web or other
means. Learning via classes.
Exposure: Any activities that provide fresh personal insights and 360 visibility to current job
and future development opportunities through learning from others, experiencing multiple points
of view, interactions with peers, management, and subject matter experts, observations, or
personal investigation. Learning from others.
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Training and development goals often identify classes or workshops related to job performance.
Many other approaches are equally effective. These include but are not limited to:
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Coaching from a supervisor or manager (Exposure)
Coaching from mentors in a formal arrangement (Exposure)
Informal coaching from colleagues and others (Exposure)
Directed reading with opportunity for discussion (Education)
Managing or working with a specific project (Experience)
Planning and implementing a new program, service, or system (Experience)
Managing a negotiation process (Experience)
Studying a problem or performing a needs assessment (Education)
Coordinating or managing an event or presentation (Experience)
State your training and development goals as carefully as you state your job goals, with clarity,
specificity, attainability, and measurement information.
Additional resources are located at https://cardinalatwork.stanford.edu.
Examples:
Incomplete Goal
Update website (Job Goal)
Serve as HIPAA Lead (Job Goal)
Develop computer skills (Development Goal)
Complete Cardinal Curriculum (Development
Goal)
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Sample SMART Goal
Update fellowship program information and
faculty biographies on department website by
April 2015 in order to present accurate
information for the new recruitment season.
Serve as HIPPA Lead for the department,
communicate compliance and training needs
to management, track compliance, and
implement new procedures by May 1, 2015 to
comply with HIPPA regulations by the
required implementation date.
Complete SU course on iProcurement by
April 2015, practice for one month to become
proficient, and assume responsibility for
handling purchasing of office supplies for the
department by June 2015.
Complete Cardinal Curriculum research
administration course by August 2015 to
increase knowledge of research grant
administration, and complete orientation
manual for new employees by October 31,
2015.
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