Penn State Performance Management:

Step One: Setting Goals and Expectations

Adobe Connect Seminar for Supervisors

Presenter: Stephanie Flanagan

slm114@psu.edu; 814-867-6436

Summer 2017
 Today’s session will help you to:
• Gain understanding of effective performance
management and recognize its importance and
benefits

• Identify your role and responsibilities related to

performance management, starting with setting
goals and expectations with your direct report(s)

• Learn the best practices of goal setting

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Q: What is Performance Management?
A: The process of setting expectations, aligning goals, assessing results, and focusing on
staff development through ongoing conversations between managers and their direct
report(s).
Setting Expectations Goals and Objectives Goal Alignment

The process of discussing what is
expected from an employee in terms
of job roles and responsibilities
Desired results each employee aims to
achieve, determined based on
conversations between managers and
employees
Process of ensuring individual
goals support the achievement of
department goals and department
goals support the achievement of
University goals

Assessment Performance Calibration Feedback and Development

Review of goals, objectives,
and other factors, and the
determination of the level of
successful achievement
Process in which supervisors and
managers at the same level in
an organization discuss staff
performance ratings and outcomes to
ensure ratings and development
messages are applied consistently
across the University
Focus of the conversations
between managers and
employees in determining
strengths, opportunities for
improvement, and how
to grow and develop

Performance management is not just a once-a-year conversation.

It impacts staff over their entire career at Penn State.
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 Employee:
“I own the process.”
Effective
Performance
Management
Involves Everyone!

Supervisor: Leader:
“I partner in “I champion
the process.” the process.”

Human Resources:
“I support the process.”

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Guiding Principles for
Effective Performance Management
Should be an ongoing process of setting expectations,
executing plans and evaluating results.

Expectations should be explicit and mutually understood.

Engagement is increased when people are involved in

planning the work.

How work gets accomplished is as important as what gets

accomplished.

Regular, honest feedback increases understanding and

positive performance.

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 Performance Management Cycle: April 1, 2017- March 31, 2018
(End-of-Year Activities: April & May 2018)
STEP ONE: STEP TWO: STEP THREE:
Setting Goals & Expectations Mid-Year Check-In End-of-Year Review
(Use PDF Goal Setting Worksheet) (Use PDF Conversation Tracker) (Use Workday)

Ongoing Conversations between staff members and their supervisors throughout the year;
Goal setting document available to track progress and record conversation highlights

• Staff member meets with supervisor to
discuss expectations and set 2-5 goals for
the 2017-18 performance management
cycle
• Staff member captures the agreed upon
goals in the goal setting worksheet
• Staff member reviews Job Responsibility
Worksheet in online tool (and updates, if
applicable); supervisor reviews and
approves in online tool
• Review goals and progress (make
adjustments as needed)
• Check-in re: expectations and
acknowledgement of successes and
challenges
PREPARATION:
• Staff member completes self-evaluation
in Workday
• Optional: staff member and supervisor
obtain feedback from others (e.g., peers,
customers, etc.)
• Supervisor reviews and summarizes
performance feedback for staff member
in Workday
• Peer supervisors conduct ratings
calibration meetings (two levels)

LEADERS
• HR Strategic Partners provide leadership
teams performance results from the
previous year
• Leadership teams meet to discuss ratings
and agree on norms; norms are shared with
staff members during the goal setting
process
Recommended Timing:
June 1 –August 31, 2017
DELIVERY:
• Staff member meets with supervisor to
discuss end-of-year review and receive
an overall rating of their performance;
acknowledgement of meeting occurs in
Workday
• Staff member and supervisor begin to
discuss next year’s goals and
development opportunities
Recommended Timing: Recommended Timing:
November 1- December 31, 2017 April 1- May 15, 2018

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 Program Components
CONTENT AREA FOCUS EXAMPLES

1. Job Assist department head in

Responsibilities “What are the most critical tasks and activities I administration of department
am responsible for day-to-day?” procedures and programs
“What is Done”

2. Annual Goals “What do we need to accomplish this year in Transition all budget records
from old to new tracking system
“What is Done” order to support my department’s goals?” by March 31, 2017

Communication:
3. Competencies & “What specific competencies and behaviors will Fosters open dialogue and actively
Behaviors help me accomplish my job responsibilities and listens to others in order to build
and maintain effective and
“How it is done” achieve my goals for this year? respectful working relationships
throughout the university

“ I have read and understand the PSU Values and

4. Values & my obligations under AD88: Code of Completion of Reporting Child
Compliance Responsible Conduct.” AND Abuse Training; Clery Act
Training; Safety Training, etc.
“How it is done”
“I understand my compliance obligations and
have completed the associate required
compliance training(s) for my position.”
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 Ratings Scale
• The new three-rating scale is simple to communicate and allows for honest communication of employee
effectiveness while maintaining flexibility to differentiate performance
• Performance is based around expectation; therefore, these ratings can be applied to individuals with any length
of service at Penn State
PERFORMANCE RATINGS FOR INDIVIDUAL COMPONENTS
Rating Description Illustrative Example
Successful Demonstrates the appropriate level of knowledge and/or skills. Sets goal to cut department expenses by 10%, cuts by
Performs effectively and consistently. Achieves goal targets 8-12%
Exceptional Demonstrates and applies exceptional level of knowledge and Sets goal to cut department expenses by 10%, cuts by
skills. Consistently excels. Significant achievement relative to goals over 12%
Needs Demonstrates a lack of knowledge and/or skills. Does not perform Sets goal to cut department expenses by 10%, cuts by
Improvement consistently. Does not achieve goals less than 8%
PERFORMANCE RATINGS FOR OVERALL EVALUATION
Rating Description Illustrative Example
Successful Consistently proficient in individual evaluation components; may Viewed as “Successful” on most goals, job
Contributor be strong in several areas. Meets goals and job requirements; responsibilities, competencies & behaviors; may be
consistently demonstrates competencies & behaviors “Exceptional” in several areas; may receive a few
“Needs Improvement” ratings on individual
goals/behaviors
Exceptional Consistently strong in the majority, if not all, individual evaluation Viewed as “Exceptional” on almost, if not all, goals,
Contributor components. Exceeds goals and job requirements; goes above behaviors, and job responsibilities; “Successful” in
and beyond to demonstrate behaviors remaining program components
Needs Needs improvement in most individual evaluation components. Receives a “Needs Improvement” on a majority of
Improvement Does not meet goals and fails to satisfy job requirements; does goals, job responsibilities, competencies & behaviors;
not demonstrate competencies & behaviors may be “Successful” in a few areas

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Setting Goals and Expectations: A Collaboration
Your Role as Supervisor Your Employee’s Role

1. Clearly communicate expectations re: job 1. Understand how their role aligns with
responsibilities and competencies (skills) division and department goals, and
and behaviors participate actively in setting expectations

2. Communicate how individual goals align 2. Work with you to set clear, measurable
with department and organization goals performance goals

3. Help your employees set clear, measurable 3. Monitor their own performance compared
performance goals to expectations

4. Offer advice and guidance regarding your 4. Seek advice and guidance as needed from
employee’s performance on a consistent, you
on-going basis

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 Setting Goals and Expectations
Discuss and Document Job Responsibilities
a. Discuss with your direct report their role and job responsibilities and work together to
ensure that their JRW is accurate.

Starts with a conversation around your direct report’s Job

Responsibilities Worksheet (JRW), a useful tool for managing
performance; serves as an negotiated agreement between you and
your employee.

The JRW includes:

• Summary of the position
• Key job responsibilities
• Required competencies
• Supervisory responsibility (if applicable)
• Unit peers (if applicable)

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Setting Goals and Expectations
Discuss Expectations
b. Discuss with your direct report any expectations you have regarding HOW they get their
work done.
Job Responsibility
Manage supply inventory for
upcoming on- and
off-campus events
Compile event status reports
for the group
on a quarterly basis
Monitor expenditures against
events budget
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Expectation
 Maintain methodology/process for tracking available inventory
 Inform appropriate staff when supplies are running low in order to
replenish supplies before they
are needed
 Monitor supply delivery to ensure timely ordering and receipt of
supplies for events
 Ensure data contained in reports is 100% accurate
 Deliver reports to the group no later than 2 weeks after each quarter
ends
 Update supervisor bi-weekly on expense activity versus budget
 Alert staff when their expenses are close to the budget levels
 Setting Goals and Expectations
Review University and department goals
Discuss how your direct report can support the University and ensure goal alignment

Institutional Strategy and Goals

Mission, Strategy, and Goals
Open and Clear Communication of Institutional Strategic Plan and its Impact on
Colleges/Units/Departments

College, Unit, and Department Strategies and Goals

College/Unit/Department Plans and Goals in Support of Institution Goals
Open and Clear Communication of College/Unit/Departmental Strategic Plan and its Impact on
Teams and Individuals

Individual and Individual and Individual and

Team Goals Team Goals Team Goals
Annual goals linked to College/Unit/Department goals clearly articulate:
1. “What” to achieve this year and
2. How success will be measured

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 Setting Goals and Expectations
Draft individual goals: Help your employee identify 2-5 goals for the
upcoming year/cycle. At least one goal should support department/unit
goals and one goal should support ongoing job responsibilities/professional
development. If your employee is a supervisor, a goal should be set that
directly links to that part of their role. Goals may be accomplished over
several years.

Your employee will document the following for each goal:

 Goal description
 Action steps to achieve goal
 Metrics/what success looks like
 Required resources
 Target completion date

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 Setting Goals and Expectations
Example A Good Start: Draft Goal A Strong Finish: SMART Goal
If the focus is to Lower department expenses. Reduce department expenses by at
reduce department least 1%-2% versus previous fiscal year
expenses… by following the new purchasing
process for lab supplies.”
If the focus is on an IT Complete new system Complete and implement the new ERP
project… implementation. system by February 1, 2018 through
effective collaboration across IT
functions and cross-functional teams.
Strive for SMART goals!

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Avoid Common Pitfalls
Pitfall: Limit the number of annual goals to 2 – 5 to
Too many goals ensure focus on the most important results

Pitfall: Clarify who is accountable for achieving the

Unclear goal—especially important in teams or where
accountability work is highly interrelated

Pitfall:
Clearly describe the qualities or measures of
Unclear expected the expected results to reduce ambiguity
results or measures

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 Effective Performance Management
Helps Us to:
• Target critical talent for development and retention
• Execute strategy by prioritizing and aligning goals and
objectives
• Improve performance of groups and individuals
• Make better pay decisions based on performance and desired
results
• Identify top performers to develop a succession plan
Source: Sibson Consulting

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 Step One: Setting Goals and Expectations
Immediate Next Steps
1. Encourage your employees to attend a Setting Goals and Expectations training session.

1. Meet with your employee (s) to review their Job Responsibilities Worksheet (JRW) and to
identify 2-5 goals that they will work towards achieving by March 31, 2018.

2. After your meeting, your direct report will update their JRW in the JRW online tool and
submit it for your approval. Your employee will also complete the Goal Setting Worksheet
(pdf) and share it with you.

3. Goals will be reviewed formally during the Mid-Year Check In– and then will be rated as
part of the End-of-Year Review.

Use the Performance Management Conversation Tracker (pdf) on a regular basis to record the on-going
conversations you are having with your direct reports around their progress towards goal achievement,
professional development and examples of strong performance and/or challenges.

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