EH&S: Performance and

Career Management Process

Overview for Employees

June 18, 2012

Overview of Annual Performance Reviews

1. LBNL Objective:• To help foster performance that

leads to discovery, innovation, efficiencies and results

2. Focus on relationships:• Useful, open, and honest

discussions between Supervisor and Employee

3. Annual review is the culmination of ongoing feedback

4. Avoid cut-and-paste feedback: encourage evaluative comments

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Performance and Career Management Process

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Goals & Objectives Alignment

LBNL MISSIONLaboratory/Division/Group Goals

Employee Performance and Job Development GoalsEmployee Career Development Goals

Supervisor & Employee

Complete Annual Self Assessment (Required for Unit 99)Complete/update Career Development Plan (Optional) June

Feedback on Division/group goals and employee performanceUpdate on employee development progress Ongoing

Employee

Complete Feedback Form (Optional) - JuneComplete Employee’s Annual Performance Review July

Supervisor

Supervisor & Employee

Annual Conversation - Discuss and evaluate employee performance/development - Develop performance goals for new year July/August

Required/Core Elements:

• Performance expectations and goals that align with Lab/Division/group goals

• Non-represented employees (Unit 99) complete Employee Self Assessment

• Annual Performance Review – written and conversation

• 100% completion rate of Annual Performance Reviews

Performance Management at the Lab

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• Required/Core Elements:Communicate performance

expectations and goals that align with Lab/Division/group goals

Self Assessments for Non-represented employees (Unit 99)

Annual Performance Review – written and conversation

100% completion rate of Annual Performance Reviews

REQUIRED: Self-Assessments – Overview

• Forms:• Non-Represented (Unit 99) - Embedded within Annual Performance

Review Summary• CUE (CX), UPTE (TX) - PRD Employee Self-Assessment Worksheet• Nurses (NX)- P2R Employee Worksheet – Attachment A

• Value: Opportunity to highlight position, professional and career-related accomplishments

• Self- assessment should include:• Key accomplishments• Potential areas of disagreement• Specific examples• Ideas for special objectives/developmental goals• Additional issues

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Performance Review Forms - EHS

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PMP CALENDAR:

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EHS Annual PerformanceReview Summary

Form (Unit 99 – Non Supervisors/Managers)

Employee:• Gather your

last year’s performance review!

• Complete page 1 (Name, Division, Title, Supervisor, etc)

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Name: Division/Dept:

Job title: Job code:

Supervisor: Date prepared:

Period covered from: July 1, 2011 Period covered to: June 30, 2012

This form is to be used for employees and their supervisors to summarize and evaluate the employee’s performance in the last performance year.

Instructions:

Employee: Please complete the “Employee” sections (Green colorGreen color) ) of the form with your self-assessment. The intent of the self-assessment is for you to document and recognize the full range of job and career/professional accomplishments that you have achieved this year. All non-represented employees who are not scientists or engineers should complete this self-assessment. Use of bullet points is strongly encouraged. If certain sections are not applicable to you leave them blank. For additional information, see the Guidance sheet available on the EHS website.

Supervisor: Please complete the “Supervisor” sections (Tan color) Tan color) of the form. Use of bullet points is strongly encouraged. Provide evaluative comments on the employee’s performance, noting accomplishments and their impact, and indicating areas for improvement, if any. For additional information, see the Guidance sheet available on the EHS website.This form may be used for a new employee’s Probationary Review. Indicate “Probationary Review” in the “Period covered to” box below.

Employee:

List the goals you and your supervisor/manager established during last year’s performance review.

Describe your performance against them in each category.

(Don’t be shy!) This is your opportunity to speak up!)

Did you meet your goals? If you answered “yes, what

was the impact of your accomplishment/s?”

If you answered “no,” what barriers did you encounter?

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Employee: What Goals and/or Objectives did you set for this review period? (hint…refer to your last performance review)

1a. Performance Summary – Self AssessmentEmployee: List the objectives/goals you set last year, for this performance year. Describe your performance against those objectives/goals in each of the listed categories and your most significant accomplishments this performance year. Comment on the impact of your accomplishments in support of Laboratory, Division and/or group goals.

Financial

Employees

     

Customer

     

Process

     

Other

     

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Performance Summary

1b. Supervisor: Indicate if you agree with the objectives/goals the employee listed and the employee’s summary of performance. Provide additional input on the employee’s performance and their most significant accomplishments during this performance year. Comment on the impact of the employee’s accomplishments in support of Laboratory, Division and/or group goals.

Financial

     

Employees

     

Customer

     

Process

     

Other

     

Supervisors:

•Do you agree with the employee’s self assessment?

•Provide evaluative feedback to the employee.

•Base your comments on the ENTIRE period of performance, not on just recent accomplishments or shortcomings.

•Be objective

•Identify gaps or matches in your evaluation of the employee and their self evaluation.

Employee:

Did you do something that protected the health & safety of anyone and/or preserved the quality of the environment?

Supervisor:

Did this employee meet established expectations in safety?

Discuss their accomplishments and indicate any area that the employee may need improvement.

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SAFETY

Performance Year Being Reviewed 2011-2012

2a. Safety – Self Assessment

Employee: Describe your most significant accomplishments this year that protected the health and safety of yourself, your fellow employees and the public, and preserved the quality of the environment. Also recap any safety issues that you and your supervisor discussed this year, and describe any improvements you have made.

2b. Safety – Self AssessmentSupervisor: Indicate if the employee has met your expectations in safety. Add any

additional comments, if necessary, and recap any safety issues that you and your employee discussed this year, including improvements the employee has made or areas of improvement still needed.

Areas of Strength:

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3a. Areas of Strength – Self Assessment

Employee: List several of what you consider to be your most valuable strengths.

3b. Areas of Strength

Supervisor: List several of what you consider to be the employee’s most valuable strengths.

Some examples of strengths are:

•Organizational Awareness•Results oriented•Collaborative•Courageous•Sets priorities•Achieves goals

Employee:

It’s helpful if you provide examples of your strengths .

Supervisor:

You may be able to identify other strengths this employee demonstrates .

Areas for Development :

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4a. Areas for Development – Self Assessment

Employee: Identify areas for Development.

4b. Areas for Development

Supervisor: Add any additional areas for development.

Employee:

•Where do feel you need to improve?•What area do you want to develop?•Why?•If you got better at this, how would it benefit you?•How can your supervisor help you in this area?

Supervisor:

Provide comments, feedback and suggestions for development opportunities.

Laboratory, Professional & Community Service:

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5a. Laboratory, Professional & Community Service – Self Assessment

Employee: Briefly describe your laboratory contributions such as process improvements/cost savings, laboratory/university committee work, awards, professional service, community service and/or other service-oriented activities.

5b. Laboratory, Professional & Community Service

Supervisor: Provide evaluative comments, and indicate if there are other areas of service on which the employee should focus.

Employee:

•Think about ways you have made contributions to the Lab in the area of cost savings, goodwill, any service to the community or the Lab that you believe is noteworthy.

Supervisor:

•Comment and offer other focus areas for this employee.

Competency Assessment :• Employee:

• Think about how you perceive yourself in each of the categories.

• You can refer to times you received both positive and negative feedback to help you and include specific examples in this section !

• Rate yourself!

• Supervisor:

• This employee has rated their competencies, based on their perception of themselves.

• Rate the employee in the categories.

• Use the comments area for specific feedback.

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GOALS:

For Next Performance Year

7a. Employee Goals

Employee: List at least one general goal you plan to accomplish in the next performance year.

7b Goals

Supervisor: Indicate whether you agree with the goal listed by the employee. Add any additional comments or revisions as needed.

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SMART Goals

•Specific- clear and well defined

•Measureable – help you track your degree of success

•Aligned – relate to bigger picture/career goal

•Realistic – challenging but not impossible

•Time Bound- a deadline gives a sense of urgency and increases likelihood of success

RATINGS:

8. Overall Rating (To be completed by supervisor) Insert an “X” next to the overall rating. Add comments if desired.

(5) Outstanding: Performed at an outstanding level. Completed projects and/or achieved a culmination of results under unique circumstances that have made significant contributions.

(4) Excellent: Consistently performed at an excellent level for all essential job requirements and goals. Continually took initiative to accomplish results or make significant progress using creative approaches and resulting in innovation and/or improvements. Or, was new to the job and still learning, but exceeded essential expectations.

(3) Valuable: Consistently performed at a solid and valuable level for all job responsibilities and goals. Achieved expected results, was dependable and accountable, and may have performed at an excellent level at times. Or, was new to the job and still learning, but met essential expectations.

(2) Needs Improvement: Accomplished some parts of the job satisfactorily but some elements required further improvement. Needed closer supervision than should be required.

(1) Unacceptable: Failed to meet minimum job requirements and expectations. Required an excessive amount of supervision and coaching. Did not meet expectations in relation to regular duties.

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Employee:

Your supervisor will enter an overall rating of your performance during this performance period.

Supervisors :

Rate overall performance here.

Note: Employees are sometimes disappointed if they don’t receive an “Outstanding” rating on their performance evaluation.

For the record…a “Valuable” is a GOOD performance evaluation. Employee is solid, valued, and is consistently performing well.

Unit 99 (Non Represented) Employee Comments (optional)

Employee Comments (optional)

Signature Date

Employee

Supervisor

Division Reviewer

04/21/23 18

Employee:

•This is your opportunity to comment on this performance year! Speak your mind!!!

•Reiterate your goals, ask for coaching or more regular feedback, this is an interactive process.

Sign and submit to your supervisor!

Supervisor:

•READ the employee’s self evaluation and provide feedback. In the supervisor area. •Schedule an “in person” meeting with the employee to go over review.

EHS Annual Performance Review Reference Guide for: Non Represented Employees

04/21/23

This guide will be available to guide you through the performance management process.

EHS Performance Evaluation Forms for Managers &

Supervisors

“ Only a strong tree can stand alone. ”

— Arnold Glasow

04/21/23 20

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1a. Performance Summary – Self AssessmentEmployee: List the objectives/goals you set last year, for this performance year. Describe your performance against those objectives/goals in each of the listed categories and your most significant accomplishments this performance year. Comment on the impact of your accomplishments in support of Laboratory, Division and/or group goals.

Financial

     

Employees

     

Customer

     

Process

     

Other

     

Employee Self Assessment:

Employee:

List the goals you and your supervisor/manager established during last year’s performance review.

Describe your performance against them in each category.

(Don’t be shy!) This is your opportunity to speak up!)

Did you meet your goals? If you answered “yes, what was

the impact of your accomplishment/s?”

If you answered “no,” what barriers did you encounter?

Manager/Supervisor:

04/21/23 22

Performance Summary1b. Supervisor: Indicate if you agree with the objectives/goals the employee listed and the employee’s summary of performance. Provide additional input on the employee’s performance and their most significant accomplishments during this performance year. Comment on the impact of the employee’s accomplishments in support of Laboratory, Division and/or group goals.

Financial

     

Employees

     

Customer

     

Process

     

Other

     

•Do you agree with the employee’s self assessment?

•Provide evaluative feedback to the employee.

•Base your comments on the ENTIRE period of performance, not on just recent accomplishments or shortcomings.

•Be objective

•Identify gaps or matches in your evaluation of the employee and their self evaluation.

Safety

04/21/23 23

2a. Safety – Self Assessment

Employee: Describe your most significant accomplishments this year that protected the health and safety of yourself, your fellow employees and the public, and preserved the quality of the environment. Also recap any safety issues that you and your supervisor discussed this year, and describe any improvements you have made.

2b. Supervisor: Indicate if the employee has met your expectations in safety. Add any additional comments, if necessary, and recap any safety issues that you and your employee discussed this year, including improvements the employee has made or areas of improvement still needed.

3a. Areas of Strength – Self Assessment

Employee: List several of what you consider to be your most valuable strengths

3b. Areas of Strength

Supervisor: List several of what you consider to be the employee’s most valuable strengths.

Employee:

Did you do something that protected the health & safety of anyone and/or preserved the quality of the environment?

Supervisor:

Did this employee meet established expectations in safety?

Discuss their accomplishments and indicate any area that the employee may need improvement.

Areas for Development

04/21/23 24

4a. Areas for Development – Self Assessment

Employee: Add any additional areas for development.

4b. Areas for Development

Supervisor: Indicate whether you agree with employee and add additional areas (if any) for development.

5a. Laboratory, Professional & Community Service – Self Assessment

Employee: Briefly describe your laboratory contributions such as process improvements/cost savings, laboratory/university committee work, awards, professional service, community service and/or other service-oriented activities.

5b. Laboratory, Professional & Community Service

Supervisor: Provide evaluative comments, and indicate if there are other areas of service on which the employee should focus.

Employee:

•Where do feel you need to improve?•What area do you want to develop?•Why?•If you got better at this, how would it benefit you?•How can your supervisor help you in this area?

Supervisor:

Provide comments, feedback and suggestions for development opportunities

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6a. Supervisory Responsibility – Self Assessment

Employee: Indicate the number of individuals you directly supervise and describe your performance including employee development and performance management.

6b. Supervisory Responsibility

Supervisor: Provide evaluative comments on the employee’s performance as a supervisor, if any, including employee development and performance management.

Employee:

•Describe your performance as a Manager/Supervisor.

•Discuss your leadership abilities.

•Provide examples of development opportunities and/or coaching you’ve provided to your direct reports.

•Is your staff engaged in their work?

Supervisor:

•Comment and provide evaluative feedback on this employee’s supervisory skills and abilities.

Supervisory Skills?

Competency

04/21/23 26

Leadership :What’s your style?•Authoritarian •Democratic/Consensus Building•Transactional• Hands off

Internal & External Communication•Do you listen?•How do you effectively adapt your communication style to influence your staff?•For Internal and External audiences?

Initiative•Are you a courageous decision maker?•Are you adaptable to change?

Accountable: “The Buck stops here” –President Harry Truman•Decision maker •Shapes or drives culture•Accepts responsibility

Goal Setting:

04/21/23 27

For Next Performance Year Goals8a. Employee Goals

Employee: List at least one goal from each strategic plan category and one general goal you plan to accomplish in the next performance year, including:

FinancialEmployeesCustomerProcessGeneral

8b. Employee Goals

Supervisor: Indicate whether you agree with the goals listed by the employee and add any additional comments or revisions. List the goals from each strategic plan category the employee needs to accomplish in the next performance year, including: FinancialEmployeesCustomerProcessGeneral

SMART Goals

•Specific- clear and well defined

•Measureable – help you track your degree of success

•Aligned – relate to bigger picture/career goal

•Realistic – challenging but not impossible

•Time Bound- a deadline gives a sense of urgency and increases likelihood of success

Manager RATINGS:

9. Overall Rating (To be completed by supervisor) Insert an “X” next to the overall rating. Add comments if desired.

(5) Outstanding: Performed at an outstanding level. Completed projects and/or achieved a culmination of results under unique circumstances that have made significant contributions.

(4) Excellent: Consistently performed at an excellent level for all essential job requirements and goals. Continually took initiative to accomplish results or make significant progress using creative approaches and resulting in innovation and/or improvements. Or, was new to the job and still learning, but exceeded essential expectations.

(3) Valuable: Consistently performed at a solid and valuable level for all job responsibilities and goals. Achieved expected results, was dependable and accountable, and may have performed at an excellent level at times. Or, was new to the job and still learning, but met essential expectations.

(2) Needs Improvement: Accomplished some parts of the job satisfactorily but some elements required further improvement. Needed closer supervision than should be required.

(1) Unacceptable: Failed to meet minimum job requirements and expectations. Required an excessive amount of supervision and coaching. Did not meet expectations in relation to regular duties.

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Employee:

Your supervisor will enter an overall rating of your performance during this performance period.

Supervisors :

Rate overall performance here.

Note: Employees are sometimes disappointed if they don’t receive an “Outstanding” rating on their performance evaluation.

For the record…a “Valuable” is a GOOD performance evaluation. Employee is solid, valued, and is consistently performing well.

Employee/Manager Comments (optional)

Employee Comments (optional)

Signature Date

Employee

Supervisor

Division Reviewer

04/21/23 29

Employee:

•This is your opportunity to comment on this performance year! Speak your mind!!!

•Reiterate your goals, ask for coaching or more regular feedback, this is an interactive process.

Submit to your supervisor! You will sign when you have your face-to-face discussion.

Supervisor:

•READ the employee’s self evaluation and provide feedback. In the supervisor area. •Schedule an “in person” meeting with the employee to go over review.•Once you have met with the employee, you should both sign and submit to Division Director.

EHS Annual Performance Review Reference Guide for:Managers and Supervisors

04/21/23

This guide will be available to guide you through the performance review process.

PRD forms CUE & UPTE

04/21/23 31

PRD formEmployee-Self Assessment

04/21/23 32

This form is required for all employees represented by CUE or UPTE.

PRD FeedbackWorksheet (Optional)

04/21/23 33

This is the Supervisor Feedback worksheet. This is to be used to solicit feedback from peers, customers, or others. Supervisors can use this optional form for input .

PRD Form 3

04/21/23 34

Rating scale

04/21/23 35

RATING SCALE DEFINITIONS

O

Outstanding. Results achieved far exceed expectations. Continuously performs all elements of the job in a way that rarely, if ever, is expected or anticipated of any employee in the position. Always seeks to improve; seeks, finds and achieves new dimensions not expected or achieved by past incumbents.

EExcellent. Results achieved consistently exceed the expectations and requirements of the job in all key areas. Most - if not all – elements of the job performed in an excellent fashion adding new dimensions of the job through capability and desire.

VGVery Good. Consistently meets all job requirements and occasionally exceeds expectations in some areas. Can be depended on for effective and highly capable performance in key job elements.

GGood. Consistently meets expectations and requirements of job. Demonstrates capable and effective performance.

AAcceptable. Accomplishes some parts of the job satisfactorily but some elements require further improvement.

MMarginal/Requires Improvement. Employee is having difficulty meeting minimum job requirements and expectations. If improvement is not forthcoming, employee may be placed on a performance improvement plan.

UUnsatisfactory. Fails to meet minimum job requirements and expectations. Employee requires an inordinate amount of supervision, coaching. Employee must be placed on a performance improvement plan.

EHS Forms

EHS website :• Forms, guidelines, and resources

Website Link: http://www.lbl.gov/ehs/html/performance-review.shtml

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Additional Conversation Resources

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BLI Discussion Tool• Questions & Resources for

Performance & Development Conversations

BLI Workshops• Performance Review Discussion

Workshops for Supervisors & Employees

• Leading for Results Workshop • Supervisor Scenario Workshop• Understanding Differences

Workshops• Career Development Workshops for

Employees

Additional Conversation Resources

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On BLI Website:

Online Learning• Giving and Receiving Performance Feedback,

by Peter R. Garber• Performance Management: Key Strategies

and Practical Guidelines, by Michael Armstrong

• Coaching for Peak Employee Performance, by Bill Foster and Karen Seeker

Assessment Tools• Team Role Assessment• Creative Problem Solving Assessment• Organization Skills Assessment

Career DevelopmentPlan – Optional for Employee to Use

• Optional form Employee can submit to Supervisor

• Opportunity to create a plan for long-term learning and growth

04/21/23 39

Feedback Form – OPTIONAL

• Optional form for Supervisor to gather feedback.

• Supervisor can use feedback as a resource to draw from when completing the performance evaluation

• To be sent and collected by Supervisor (not by the Employee)

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EHS– REMINDER Calendar of Due Dates

(Refer to PMP Calendar for complete timeline)

By June 30:• Supervisor obtains feedback ( optional)• Employee Self-Assessment to Supervisor -required

By August 6:• 100% Compliance – DOE & UCOP Requirement • Supervisor & Employee review FY’13 Goals• Supervisor, Employee, & Dept Head sign final review• Supervisor submits signed reviews:

• Hard Copies: To HR• Soft copy storage ( to be determined – may be smart sheet, or e-

room)

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Q & A

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