The Ohio State University Libraries
Guide to Performance Management
Step 1: Planning and Goal Setting
Step 2 and 3: Mid-Year Check Ins
Step 4: Annual Review
Step 1
Performance Management – Planning and Goal Setting
Contents
Overview of the Performance Management Process ................................................................................... 2
What is the Planning and Goal Setting Process? .......................................................................................... 3
Why is Planning and Goal Setting Important? .............................................................................................. 3
What are the main steps? ............................................................................................................................. 3
Key Considerations and Tips ......................................................................................................................... 3
Preparing for Planning and Goal Setting – Employee ................................................................................... 4
Preparing for Planning and Goal Setting – Supervisor .................................................................................. 5
More Resources ............................................................................................................................................ 6
Overview of the Performance Management Process
Performance management is intended to be an on-going process. For University Libraries, the process
has four steps.
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Step one: performance planning and establishing goals / August
Step two: providing coaching and feedback / November
Step three: providing coaching and feedback / March
Step four: completing an annual review / July
Through the performance management process, we intend to establish an even higher performance
culture and instill even more commitment to The Ohio State University.
Why do we have performance management?
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Coach, guide, develop and evaluate performance
Evaluate performance fairly and consistently across the Libraries
Provide verbal and written recognition of accomplishments
Align expectations and behaviors
o with the Libraries Strategic Themes
o with University goals
o with University values
Plan for the future
Rewards: monetary, professional development and new projects opportunities
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Optimize human resources and increase productivity
Set goals and support professional development
Documentation for business purposes
What is the Planning and Goal Setting Process?
Planning and Goal Setting is the processes of establishing clear understanding of:
 University Values
 University Goals
 Libraries Strategic themes
 The new performance management process
o Steps
o Timelines
o Available resources
Why is Planning and Goal Setting Important?
 It sets agreed upon goals and performance expectations
 It creates an understanding of what support the employee needs
 It provides a listing of what support can be provided
 It guides how the job is accomplished
 It describes how the results will be evaluated
What are the main steps?
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Review the performance management materials
Understand the new process
Create at least 3 SMART performance related goals
Performance goals may include special projects, areas to focus on, or areas improvement
Tie them to OSUL strategic themes
Create 2 SMART developmental goals
Note the desired results
Complete the Step One Form
o Original stays with supervisor
o Copy to employee
o Copy to AD
Key Considerations and Tips
Establish Major Position Responsibilities Expectations
For many positions, the supervisor and direct report know the major position
responsibilities and the expectations for them. However, it’s always good to make sure
you both have the same understanding. The information below can be used to help
assure that both understand the major position responsibilities and the performance
expectations for them.
Use your position description’s critical job functions and list. What function does your
job provide to the libraries and the constituents? Is it administrative support, technical
assistance, customer service, supervision, housekeeping services, and/or project
management, etc.?
List all major functions:
And then, consider who is served by this position? Is it students, faculty, staff, parents,
vendors, and/or public agencies, etc.?
List all major constituents:
Once the above is completed, identify the key tasks that are needed to deliver the major
position responsibilities and standards of performance for each task. Some tasks may
require more than one standard. Some standards may not apply to all tasks.
Standard(s) associated with tasks may include quality, quantity, timeliness, cost.
Setting Goals
Use the SMART method to set Individual goals and align them with University goals, University
Libraries’ strategic themes /or the employee’s career aspirations. If you’re unclear about goal
setting and relating it to OSUL strategic themes, check with your supervisor or AD.
o Specific – focus on specific results that are easily identified when they are achieved and
when they are not
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Measurable – include times, quality, quantity oriented
Action-Oriented – make it challenging
Realistic – assure that it’s attainable
Time-Bound – provide deadline or timeline
Preparing for Planning and Goal Setting – Employee
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Use the performance management Step One resources for more information.
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Review the University goals, values and the Libraries strategic themes.
Review your previous goals:
o Where have you made improvements?
o What have been your major achievements?
o Where could you continue to improve, and how?
Look ahead and ask yourself, “In the coming year…
o How can I continue to support the strategic themes?
o How can I continue to achieve desired results?
o What would I like to learn?”
o How can my supervisor help me be more successful?”
o What resources do I need to do my job better?”
o What responsibilities would I like to take on?”
Review your previous performance evaluation.
o What expertise and areas of excellence can you leverage and emphasize?
o Where could you continue to improve?
Preparing for Planning and Goal Setting – Supervisor
 Use the performance management Step One resources as necessary.
 Review and understand the new performance management process.
 Review the employee’s job description – consider its accuracy.
 Review the employee’s attendance record – does it accurately reflect what occurred and
are there any concerns?
 Review the University goals, values and the Libraries strategic themes.
 Review any previous performance standards, if appropriate.
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Review prior goals.
Determine areas of excellence and plan to discuss these.
Determine areas for improvement and develop specific suggestions.
Reflect on the University goals, values and the Libraries strategic themes.
Consider how the employee’s responsibilities support /align with the themes.
Develop a list of suggested activities and goals.
Consider employee development opportunities / training to the support the activities.
Develop a list of questions to engage your employee in the discussion. For example:
o Do you understand the new process?
o Do you understand the University goals, values and the Libraries strategic
themes?
o What do you like best about your job? Least?
o What do you think are your strengths? Areas for improvement?
o Considering last years accomplishments, how can we continue to leverage these
and assure they’re aligned to the strategic themes?
o Considering last years improvement areas, how can we work together to
address them?
o How can I help you optimize your performance?
o Is there anything that gets in the way of your performance?
o What would you like to learn?
Give your employee advance, personal notice of the planning meeting.
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Give your employee the Preparing for the Planning Meeting checklist above to help
prepare.
Remind your employee of the value of reviews to both of you.
During the Planning and Goal Setting meeting, use Step One Planning and Goal Setting form to
document the conversation. Sign, and copy to employee and supervisory files. Since one
objective of the performance management process is to align individual goals to the strategic
themes, forward to the AD for approval.
More Resources
Performance Management tip sheet
Preparing for the Planning Conversation tip sheet
Goal Setting tip sheet
Frequently Asked Questions tip sheet
Performance Planning conversation guide
Steps 2 and 3
Performance Management – Mid-year Check-ins
Contents
What are the Mid-year Check-ins? ............................................................................................................... 6
Why are the Mid-year Check-ins important ................................................................................................. 6
What are the main steps? ............................................................................................................................. 7
Key Considerations and Tips ......................................................................................................................... 7
More Resources ............................................................................................................................................ 8
What are the Mid-year Check-ins?
The mid-year check-ins are documented meetings between employee and supervisor. They provide an
opportunity to note what’s working, what’s not and how to adjust to move forward through the
remainder of the performance period.
Why are the Mid-year Check-ins important?
The mid-year check-ins help to:
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Coach, guide, and develop throughout the performance management process
Provide verbal and written recognition of accomplishments to date
Continue to align expectations and behaviors
o with the Libraries strategic themes
o with position expectations
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o with University values
o with University goals
Adjust plans as necessary
Consider what is needed to further support the employee
Document performance for business purposes
What are the main steps?
 Collect relevant performance information
 Meet to discuss results
 Document progress
 Adjust plans
 Sign document
o Copy to employee
o Copy to supervisor
o Original to OSUL HR
Key Considerations and Tips
Development
 Encourage professional development
 Create a plan – use the forms provided
 Consider a mentor
 Utilize networking
 Use stretch assignments
Coaching and Feedback
 Is ongoing, beyond the mid-year check-ins
 Emphasize the value of feedback
 Respond with concern
 Share thoughts and feeling
 Enhance self-esteem
 Consider an appropriate office setting
 Examples of giving feedback
Communications
 Use I statements
 Be aware of body language
 Paraphrase and summarize
 Take notes
 Hear the whole message before drawing conclusions
 Be specific about what needs done differently
 Ask for reactions
Motivation
 Ask what’s important
 Provide recognition
 Focus on important tasks
 Consider the impact
 Train and explain
 Let people work
 Expect excellence
 Be respectful
 Model positive behavior
More Resources
Development conversation guide
Developing Your Employee tip sheet
Motivation tip sheet
Individual Development Plan tip sheet
Step 4
Performance Management – Annual Review
Contents
What is the Annual Review? ......................................................................................................................... 8
Why is the Annual Review important? ......................................................................................................... 9
What are the main steps? ............................................................................................................................. 9
Key Considerations and Tips ......................................................................................................................... 9
More Resources .......................................................................................................................................... 12
What is the Annual Review?
The annual review consists of an employee self-review and the final review provided by the supervisor.
The review:
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Informs the employee what is being done well and where there is room from improvement
Provides an opportunity for the employees to ask for what is needed
Strengthens supervisor and employee relations
Sets the stage for the next performance period
Provides input for salary, promotion, corrective action decisions
Why is the Annual Review important?
The annual review process is important because it engages the employee and supervisor in actively
participating in the performance process. It is a set aside time where the employee and supervisor
shares observations and information that will describe how the employee meet the position
expectations, support and enhance the employee’s performance and developmental goals, and how the
employee meets the university’s values.
What are the main steps?
 The employee collects relevant performance and position information
 The employee submits the self-appraisal form to the supervisor
 The supervisor collects relevant performance and position information
 The supervisor drafts an annual review using the information
 The supervisor submits the review to the second level reviewer
 The ADs meet to confirm all annual reviews
 The ADs return the reviews to the supervisors
 The supervisor meet with the employee and discuss the reviews
 The review is signed by the employee, supervisor, second level reviewer, and HR
 The original is given to the employee
 A copy is given to the supervisor and HR
Key Considerations and Tips
Rating Scale
The rating scale acknowledges that a fully met expectations rating represents good, solid
performance. The often and consistently exceeded ratings allow for degrees of acknowledgement of
exceptional performance. The occasionally and did not meets ratings must be accompanied by
specific information on making improvements.
Did Not Meet Expectations
0 – 5% range
Did not meet job expectations; fell short of required performance and improvement is required.
Performance caused problems/inconveniences/hardships for colleagues and patrons of the unit,
had a negative impact on the unit's effectiveness, demonstrated an on-going pattern of tardiness,
inaccuracy, not meeting deadlines, caused more work for others, etc. Specific steps for
improvements must be included in the performance review.
Occasionally Did Not Meet Expectations
0 – 5% range
Met some job expectations, however fell short of required performance. Level of performance was less
than expected. Did not demonstrate an on-going pattern of performance expectations but must
improve in order to fully meet performance expectations. Examples may include: sometimes did not
keep the supervisor informed, did not ask questions in a timely manner in order to complete a task, and
sometimes was tardy or late in meeting deadlines, etc. Specific steps for improvements must be
included in the performance review.
Fully Met Expectations
30 – 60% range
Met job expectations. Utilized ability and experience to produce the desired results that are expected
from a qualified employee. Consistently contributed to the achievements of the overall unit and
Libraries' goals. Demonstrated an on-going pattern of performance that fulfilled the job expectations.
Correction is not required and the performance is expected to continue at that same level and not
decline. Examples may include: arrived and left on time, kept others informed as needed, met all
deadlines, followed department and university policies and guidelines, etc. A solid employee
committed to doing the job well.
Often Exceeded Expectations
50 – 70% range
Often exceeded job expectations. Superior performance in all aspects of the job, characterized by
notable skills, initiative, and superior job knowledge. Sought new and better ways to accomplish tasks.
Was willing to assume additional responsibilities. Demonstrated performance that had a significant
impact on the unit or the Libraries.
Fully met expectations and additionally took appropriate actions to use skills and initiative.
Examples may include: volunteered or effectively participated on a committee, appropriately
suggested new or better ways to due a task, sought and/or took on additional or new
responsibilities as appropriate, improved the way a task or unit functions, etc.
Consistently Exceeded Expectations
0 – 10% range
Consistently exceeded all job expectations. Demonstrated an on-going pattern of high-level
“knock your socks off” extraordinary performance that significantly impacted the entire unit or
Libraries at a level recognized as outstanding by peers, unit leaders and others. Documentation
to support this rating must be included in the performance review. Usually characterized as
never been done before, unmatched, not equaled and easily recognized by others in the unit as
being extraordinary. This rating is intended to recognize specific, exceptional, “above and
beyond” performance in the particular year under review, and not to recognize high-level
performance that is generally consistent from year to year.
Employee Self Review
The employee uses the Self-Appraisal form to complete a self-evaluation. Use the following
information to help prepare for the self-evaluation.
Gather information:
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A copy of the position description
The planning and goal setting form
The mid-year check ins
Comments from customers (students, staff, faculty, etc.) on your performance
Other performance related documentation
Analyze the information:
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Ask questions:
What do I do well?
What could I improve? How?
Are there any suggestions I can make to improve a process or procedure?
In the coming year…
o What would I like to learn?”
o How could my supervisor help me be more successful?”
o What resources do I need to do my job better?”
o What responsibilities would I like to take on?”
Transfer the information to the annual review form
Review your current evaluation form. How will the information you have gathered help you
address each area and explain your self-ratings? Be prepared to offer examples of special
projects or daily work that you have successfully completed during the year. Be prepared to
discuss specific instances when your performance could have been improved, or where there
were barriers to your success.
Supervisor Annual Review
Use the following information to prepare for the annual review.
Prepare an agenda:
 Think of specific examples of behaviors observed from the previous performance period
 Consider employee’s self-assessment
 Review performance and professional goals (attainment and non-attainment)
 Consider priorities for the coming year
The Review Meeting
 Maintain Positive Body Language
 Smile
 Open, relaxed posture
 Expression of interest
 Moderate eye contact
 Hand/arms support what is being said
 Appropriate facial expressions
 Sufficient volume, varied pace & pitch of voice
 Agree on how/when to record the employee’s comments and finalize the Discussion
Document
Listening Skills
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Paraphrasing is restating what the speaker has said in your own words. Paraphrasing
helps you discover if you have heard the speaker correctly. Asking questions is also a
good way to paraphrase what has been said.
Summarizing is a means of recapping the main focus of a long conversation in a concise
manner.
Taking notes helps keep you focused on the speaker. It also enables you to frame
questions and summarize information.
Withholding judgment means not evaluating the message until you have heard the
WHOLE message.
Receiving Feedback
 The intention of feedback is to help you recognize your strengths and your areas for
growth.
 Listen with your head. Receiving criticism, and sometimes praise, can be uncomfortable
for many of us. Although it feels "personal," remember that feedback is about what you
do, not who you are.
 Breathe deeply and maintain internal support. If you are feeling anxious, try taking
deep breaths, taking a sip of water, or asking for a brief break from the conversation.
Communicating that you are uncomfortable is an appropriate use of feedback.
 Test your hearing - "check" your understanding with the speaker. This is where
paraphrasing is important. Before disagreeing, be sure you have understood what your
supervisor is saying.
 Reflect and analyze what was shared. How does this information fit with your own selfevaluation?
 Check it out. Have you heard this feedback from others?
 Experiment with new behavior. Try out the new behavior and see what effect it has.
 Check back with your supervisor. If the new behavior doesn't seem to produce the
desired results, is not working for you, or presents barriers for your performance, talk to
your supervisor.
More Resources
Performance Review conversation guide
Performance Reviews tip sheet
Preparing for Your Review tip sheet
Learning to Manage Your Manager tip sheet