This guide contains information, timelines, and other resources to help University leaders assist their employees with the new Performance Management System and the Goal-Setting Process for 2015. Supervisor’s Guide to Goal-Setting Helping your employees set SMART Goals Human Resources Department Eastern Kentucky University is an Equal Opportunity/Affirmative Action employer and educational institution and does not discriminate on the basis of age, race, color, religion, sex, sexual orientation, disability, national origin or Vietnam era or other veteran status, in the admission to, or participation in, any educational program or activity which it conducts, or in any employment policy or practice. Any complaint arising by reason of alleged discrimination should be directed to the Office of Equity and Inclusion, Eastern Kentucky University, Rice Building, 224 Summit Street, Richmond, Kentucky 40475-3102, (859) 622-8020 (V/TDD), or the Director of the Office for Civil Rights, U.S. Department of Education, Philadelphia, PA. Introduction Supervisors, Human Resources welcomes you to this supervisor’s forum and thanks you for taking the time out of your busy schedules to spend an hour with us today. The Human Resources Department, along with other areas on campus, have been working for many months now to develop a more efficient process for delivering employee performance management. We are excited to begin the implementation of this new evaluation process. So… why are we doing this now? For several years now you have been completing this process via a paper system and, yes, we heard you when you voiced your frustrations. We understand how feedback is an integral part of the employment process and how it is crucial to informing your employees on (not only) how they are performing their jobs, but also provides them the direction for meeting and surpassing the expectations of those jobs. We are also responsible for maintaining our SAACS accreditation and one of the requirements is to have a Performance Management Program. We were also charged by President Benson to develop and implement a merit pay program and any such program must have an effective way of documenting the performance of our staff. After a month of meeting with several performance management vendors we reached a unanimous decision and purchased a system from a company called Halogen. This system contains the tools and resources to assist us in transitioning from our paper based system to a more effective, convenient, and efficient electronic system. Halogen includes many features that allow supervisors and employees to monitor performance, reference their goals, provide feedback, and update their status on a consistent and continual basis. Over the last couple of months Human Resources has been working with pilot groups which is made up of many of your fellow employees. These pilot groups have been using the system and providing us with feedback so that we can provide the campus with a system that will not only meet the goals mentioned above, but also be received positively from the campus community. These supervisory forums precede a series of campus-wide announcements, invitations and trainings that will go out to the entire staff to begin phase one of the performance management process; Goal-Setting. We are committed to providing ample opportunities for the staff to ask questions and maintain an open dialogue about this process. You, as a supervisor, will be one of your employee’s primary resources. This guide is intended to help you introduce the goal setting process to your employees. At the session today we will take you through the implementation timeline, give you an overview of “What is a goal”, and provide you with a foundation for your role as supervisor. You are encouraged to ask questions during the session, and share any insights you may have, challenges that you foresee, and/or make any helpful suggestions. This will be a big transition and is an important initiative and your active participation is key to its success. When employee performance is managed correctly, the benefits can have a huge impact on your department’s productivity and the university’s overall success. Human Resources looks forward to working with you throughout this process. Thank you, Human Resources 1|Page Performance Management Annual Cycle Employee Set Goals Complete Performance Review Manager & Employee finalize goals Perform Job Functions 2|Page General Planning and Implementation Considerations December 2014 A campus-wide email goes out to all full-time, benefitted employees that includes information about the upcoming goal-setting process. Employees will likely approach their supervisors with questions after receiving this email. Presentations offered for employees on “How to determine your goals”. These are voluntary presentations that focus on general goal-setting concepts, definitions, and ways to approach/think about what constitutes a goal vs. a general job expectation. Supervisors should encourage employees who are having difficulty distinguishing what their goals might be to attend. Presentations/help sessions available for Supervisors (only) on “How to determine goals”. This might be helpful for newer supervisors who haven’t had a lot of experience in managing employees, who haven’t assisted others in setting goals, or for supervisors who haven’t addressed job expectations with their employees in some time. January 2015 Campus-wide email to all full-time, benefitted employees prompting them to begin entering their goals. Information will include an introduction to the Halogen system, login directions, and instructions/deadlines for goal setting. Attachments will include a step-by-step visual aid detailing the goal-setting process with screen shots of the system, some general goal-setting help sheets (how to set a SMART goal, etc.), and a list of times and locations that HR Staff will be available for trainings on how to use the system/input their goals. Human Resources will offer trainings designed to show employees how to input their goals into the system. February 2015 Supervisors and Employees should meet, face-to-face, to discuss the process and the goals that they have set. Post- meeting, both the employee and the supervisor will login to the system to “sign-off” on the finalized goals. March- June 2015 Employees will perform their job and work towards attaining the goals that they have set. Human Resources will offer training sessions for supervisors on how to evaluate their employees. July 2015 Employee evaluations will begin. Supervisors will review their employee’s goals and the progress made and conduct a performance evaluation. Again, supervisors will sit down with each of their employees to discuss their goals. 3|Page Timeline Goal-Setting Timeline and Key Events Date Event Comments Wednesday, December 3, 2014 Campus-wide Email to all Full Time Employees Introduces new process and invites employees to begin considering their goals Monday, December 8, 2014 Supervisor Session Offered on Goal-Setting Supervisor-specific training to assist with determining goals Tuesday, December 9, 2014 Employee Session Offered on Goal-Setting Focuses on helping employees consider their goals Wednesday, December 10, 2014 Employee Session Offered on Goal-Setting Focuses on helping employees consider their goals Thursday,December 11, 2014 Employee Session Offered on Goal-Setting Focuses on helping employees consider their goals Tuesday, December 16, 2014 Employee Session Offered on Goal-Setting Focuses on helping employees consider their goals Wednesday, December 17, 2014 Final Session Offered for Supervisors on Goal Setting Supervisor-specific training to assist with determining goals Monday, January 5, 2015 Online system available for goal-entry The system will be "opened" so employees may begin entering goals. An email with a tutorial will be sent out. 1/8/2015 thorugh 1/30/2015 Systems-trainings Offered Trainings on how to use the system, for those who need it (supervisors and employees). Dates and Locations TBD Friday, February 6, 20145 Deadline for goal-setting All employees must have their goals entered into the system Wednesday, February 25, 2015 Deadline for Supervisor/Employee Meeting Supervisors should have met with all of their employees, faceto-face, by this date and discussed finalized goals Monday, March 2, 2015 Goal-Setting Process is complete Employees should have completed the final sign-off 3/2/2015 -6/30/2015 Employee performs their job Employee should be attempting to meet their goals Tuesday, June 30, 2015 End of goal-setting/review period Employees should have completed/met their goals Wednesday, July 1, 2015 Beginning of evaluation period for supervisors Supervisors will be offered additional trainings on how to evaluate their employees. 4|Page Guidelines for Setting SMART Goals Setting mutually agreeable performance goals with employees allows you and the employee to share hopes and ideas for the future. Setting goals annually will lead to higher levels of performance and more motivated employees. The purpose of setting goals is to give employees targets on which to focus. Your employees will most likely ask you how many goals they need to write. The number of goals is not nearly as important as their quality. Three or four well thought out, specific goals that will help set expectations for employees and help them reach their fullest potential should be what you are targeting. If there are groups of employees you supervise in the same job group, doing the same functions, they can have a shared goal that is set by you, their manager. Goals are meant to stretch oneself as an employee. A goal is not simply to show up to work on time. This is an expectation of everyone in their job. Strong goals have specific attributes that will be discussed further. Writing Effective Goals What makes a good goal statement? Using the “SMART” acronym will help you form a goal: S – Specific M – Measurable A – Attainable R – Realistic T – Time-Oriented 1. Specific – write a concise statement of the goal that explains what needs to be accomplished and when – the specific results or outcomes expected. 2. Measureable – include in the specific goal statement the measurements to be used to determine that the results or outcomes have been achieved. Measurements are not necessarily numeric in nature. 3. Attainable – the expected results or outcomes must be within the authority, skill, and knowledge level of the employee, and the resources needed to achieve the goal must be available to the employee. 4. Realistic – a goal must represent an objective toward which the employee is both willing and able to work. 5. Time-Oriented – deadlines for achieving expected results and outcomes should be set, not leftopen ended. 5|Page In other words, the goals you and your employee write should answer these questions: WHAT specifically do you want to improve or accomplish? By HOW MANY, HOW MUCH, or TO WHAT EXTENT? By WHEN? Example Goals: Needs Clarification and Editing: Title: Clean desk and work area Finish projects on my desk, so I can file papers away and not look so cluttered Better: Title: Enhance personal organization, professional image, and strategic impact. • Earn certification in my field of study by May 31, 2015. • Clean desk & work area by finishing projects on my desk by June 30, 2015, so I can file papers away and not look so cluttered. • Polish professional image and communications through coaching & practicing on written communications. • Seek opportunities for public presentations and practice with high-level audiences (ongoing). Needs Clarification & Editing: Title: Customer Service • Greet people as they come into the office and be friendlier. Better: Title: Improve Customer Service • Achieve and maintain an average student service rating of at least 4.0 (out of a possible 5.0) on our annual survey by June 30, 2015. Needs Clarification & Editing: Title: Office Supplies • Order office supplies on time. Better: Title: Improve Inventory Order Process and Costs • Check supply inventory bi-weekly and re-order as needed to avoid shortages starting February 2015. • Develop inventory spreadsheet to track orders and costs to reduce waste by 2% by June 30, 2015. 6|Page The Role of the Supervisor The role of the supervisor in this process multi-faceted and critical. As a manager and potential mentor, you should serve as a knowledgeable resource to your employees. You should be open and approachable when they have questions and take the time to address their questions. Most often, they will be seeking guidance from the person that they feel has the most influence on their reputation as a good-employee, their job security, or their promotional potential. They likely view you as the person that has the most authority to determine what role they themselves will serve within University, and when they come to you seeking guidance or direction, your response will send a strong message. Finding, or scheduling, a dedicated amount of time to spend with them, if that is what they need, is something you should consider seriously. Your attitude and approach to this process will most likely set the tone and dictate the kind of attitude that they will have towards the process. Taking the time to devote your attention to setting expectations for employees can be challenging but is a necessary and rewarding function of being in a supervisory position. Your employees should know what you expect of them and should be able to reiterate the standards that are set within your area. You might provide them with some examples of goals that help capture the vision that you have for your area, or you might reflect on ideas and identify things that you would have liked to accomplish within your area that were difficult to achieve. It is the role of the supervisor to provide (and subsequently promote) the vision for your area and the direction that you would like your department to be going towards. When employees know what is expected of them, and how those expectations will help the department achieve its objectives, their performance is reflective of the shared understanding and strong leadership that they experience while on the job. Supervisor Responsibilities Before you can accurately evaluate someone on the job that they are doing, you should know what the job entails. If you don’t already have a strong understanding of their position, you should first get familiar with their job. You might review their job description or have a conversation about how their job has changed or evolved. You could observe them doing the work that they do, and ask questions. It is the responsibility of the supervisor to set the expectations for performance. Oftentimes, people assume that everyone is on the same page, or overlook differences in personality and work-style that can have an impact on job performance. Within your area, there should be some general work expectations that are shared among all your employees, and there should also be job-specific expectations for the variety of titles that you might supervise. When you are talking with your employees, it is important to give HONEST, and ACTIONABLE feedback. The approach one might take can be variable, but being direct and factual about performance should not be overlooked. If you have an employee whose performance is consistently lower than par, it is 7|Page your responsibility to address that. Consider whether or not you’ve set forth a standard or expectation, and if not, do so. If you HAVE been clear about performance expectations, you should be honest with the employee if they are not meeting them. The dialogue that you have might reveal something that could be an easy resolution to the problem, but you won’t discover that until you have the conversation. Supervisors are responsible for communicating with their employees. They should not always communicate through notes, or emails, or other workers. Additionally, conversations about performance should happen on a continual basis, not just once a year at the end of the review period. Providing feedback and following up on the things that were addressed in the previous meetings is a helpful way to ensure that you and your employees are still “on the same page” and that progress is being made. Having face-to-face conversations and initiating an open dialogue with your employees throughout this process is more than a responsibility… it is a requirement. This process is purposefully structured to be an interactive and interpersonal process that allows supervisors and their employees to discuss the issues and challenges that the work generates and the achievements and accomplishments that can be realized. The convenience of an electronic system should not substitute for appropriate management. It is NOT your responsibility to set each goal for the employee, but it is your role to offer them the guidance and support that they need to be able to set their own goals. Human Resources will provide support throughout the process, but it is ultimately the supervisor’s responsibility to make sure that their employees are participating in the goal-setting process, are setting and working towards their goals, and are paying attention to the guidelines and successfully meeting the deadlines. Supervisor’s Toolkit You are encouraged to utilize the resources available to you. Attend the trainings, ask questions, and encourage your employees to do the same. If you find that you need more help during this process, please refer to the contacts listed below to identify people who are eager and happy to help you. 8|Page HR Contact Area HR Specialist Team (859) 622-5094 Option #1 human.resources@eku.edu Assistance with: Password resets, Login issues, Questions about the system or evaluator/employee assignments Your Department’s HR Consultant: Erin Bailey (859) 622-1324 erin.bailey@eku.edu Human Resource Consultant, serving: University Programs Student Success & University Counsel Libraries Graduate School Angela Keene (859) 622-8637 angela.keene@eku.edu Human Resource Consultant, serving: College of Arts & Sciences Marketing & Communications Quenna Norris Thompson (859) 622-8616 quenna.norris-thompson@eku.edu Human Resource Consultant, serving: College of Business & Technology University Development & Alumni Relations College of Health Sciences University Athletics Emily Potter (859) 622-6834 emily.potter@eku.edu Human Resource Consultant, serving: Finance & Administration Tarena Tyree (859) 622-1325 tarena.tyree@eku.edu Human Resource Consultant, serving: College of Education e-Campus Affairs Government Relations Becky Smith (859) 622-2614 becky.smith@eku.edu Human Resource Consultant, serving: Training Resource Center University Training Consortium Toni Wells (859) 622-8296 toni.wells@eku.edu Human Resource Consultant, serving: College of Justice & Safety Don DeLuca (859) 622-1329 don.deluca@eku.edu Assistant Director, HRIS Jennifer Strauel (859) 622-8873 jennifer.strauel@eku.edu Interim Director, Human Resources Center for the Arts Academic Internal Audit 9|Page