Models of Performance Expectations

SMART Performance Expectations

How to Write Expectations the Quick and Painless Way

Employee:  How to Prepare for and Participate
in the Expectation-Setting Meeting

Supervisor:  How to Prepare for and Participate
in the Expectation-Setting Meeting
 

At the beginning of the review period, the supervisor conducts an Expectation-Setting meeting to discuss expectations for performance with each employee who reports to him/her.  The supervisor and employee also discuss the importance and priority of each of the expectations to establish the priority duties of the position.  At the end of the Expectation-Setting meeting, the supervisor and employee document the specific standards and definitions of "Meets Expectations" for each performance area and document them.

IMPORTANT NOTE:  When Setting Expectations to begin the PRD process, it is important to remember that the supervisor and employee are required to conduct the "process," not necessarily complete the PRD form.  The PRD form is only used as a tool to assist in the PRD process.  Supervisors and employees are free to change or amend the PRD form.  They may use some, all or none of the PRD factors outlined on the various PRD forms.  OR supervisors and employees may choose to use another form of performance expectations (See Models of Expectations) to conduct the PRD process.  You DO NOT have to use the "form." You are required, by policy, to complete the PRD process.

• All memos and letters will conform to standards departmental format.
• All work shall have no more than two corrections per page.  All spelling and punctuation errors shall be corrected and suggestions on sentence construction are encouraged.
• No memo or letter shall be submitted more than once for corrections.

Checklists

Checklists are useful for frequently performed tasks.  Checklists could delineate expectations by duty (work areas or specific areas of assignment, i.e. inventory, budgeting, customer service) or time (daily, weekly, monthly, yearly or periodic assignments).  Checklists are particularly helpful if there is a required procedure or method for accomplishing the task.

Example: Supervision of Student Workers

• All student work schedules are posted two weeks prior to the beginning of the workweek.
• Weekly work schedules are completed and submitted to supervisor for approval one week before posting.
• Direct workload to all student workers according to appointed title and available assignments.
• For new workers: give student a copy of the performance expectations and explain each task.  Discuss performance and productivity measures/standards for each task.
• Only non-routine student worker problems or issues are referred to supervisor.

• Reconcile all outstanding disbursement requests and expenditure transactions submitted during the prior month.  Submit all expense reports to director for approval prior to processing.
• Double-check all paperwork for posting to accounts.
• Submit updated budget to Director.
• Submit tally sheet for all upcoming "known" expenditures.
• Update inventory for all supplies with current counts (including overhead/auxiliary supplies).
• Circulate "Employee of the Month" nomination sheet with updated criteria. Collect and tabulate results. Submit to Director

The supervisor and employee should begin by identifying the priority outputs for the job.  They then define how those outputs are to be accomplished.  These operational expectations may be categorized under specific performance factors or maintained as individual expectations.

Examples: Administrative Responsibilities

Meets Expectations:

• All written requests are returned within two working days.
• Expenses are within 2 percent of budget.
• The annual conference is organized and carried out with a participant-day cost of under $100.
• Two departmental processes (incoming invoices and application processing) are to be re-engineered/re-structured to show a decrease in turn around time and an increase in customer service.
• A one-month's supply of inventory is continuously maintained.  Additional inventory is only ordered to take advantage of volume discounts and cost savings.
• Supervisor is not required to handle routine inquiries.  Routine inquiries are defined as: information about applications, deadlines, scheduling, or programs.

• The department shall implement a new community relations program by March.
• Eliminate all filing backlog by September 15.
• Revise the purchasing and requisition manual by July 1.
• Recruit, hire, and train two new program analysts before the end of the year.
• Overtime costs are lowered to fewer than 2% of overall labor costs for the year.
• All requisitions are filed within two weeks of receipt (stamped).

The first goal of the supervisor and the employee is to read over the tasks and duties that are outlined in an updated job description and use those job functions to further define specific performance expectations using the S.M.A.R.T. criteria.

Specific: Describe specific behaviors that are required for job performance

Measurable: Provide a quantitative value to allow for objective monitoring and evaluation

Attainable: Be realistic for the employee to achieve and accomplish within the stated guideline

Relevant: Pertain to the requirements of the current position.

Trackable : Allow for the monitoring and evaluation of current performance levels
 

1.    Determine the "Essential Functions of the Job"

Think about the duties, tasks and required functions of the job.   What are the important outputs?  What are the requirements, and any special needs or concerns that may define the job?  What duties are essential in order for the position, the office, and the department to function? (A current job description may offer some help in identifying functions.  However, job descriptions are frequently very general in describing duties and should only serve as a beginning in setting expectations.)
 

Make a list of five to seven essential functions of the job.
For example:
* Manage student workers
* Complete Project X and Project Z
* Provide assistance and support to Dr. Jones
* Use database to track student applications
* Coordinate grant proposals and submittals

2.    Determine the best method to write and evaluate expectations
The supervisor will determine which model is best suited to conduct the PRD process for the position(s).  The supervisor and employee may use the PRD form with performance factors (employee, administrative/managerial, or officer) and/or use another paper-based or electronically-based process for setting and evaluating expectations.  The supervisor will also make the final decision about the format of expectations that will be used in evaluating employee performance. (See Models of Expectations.)

Because performance expectations are to focus on the unit's goals and objectives, as well as on priority duties that are relevant to accomplishing those objectives, the supervisor and employee are not required to use the PRD form or each performance factor delineated on the PRD form.  If the employee and supervisor elect to use the PRD Form, they should only use those factors that relate to and contain the essential duties, functions and requirements of the job.  The supervisor may elect to use the supplementary factors in addition to, or in lieu of, the standard factors listed on the PRD form.  The supervisor may also develop individualized expectations or projects for the employee.  The supervisor and employee should preview the forms and the factors before the meeting to determine which factors are best suited for the job.

3.    Determine "Meets Expectations"
For each of the performance areas or factors chosen, the supervisor will define performance that "Meets Expectations."  For example, if using Performance Factors, in the area of Job Knowledge, the supervisor defines the specific procedures, policies, and responsibilities that are required to perform the job competently. (See Models of Expectations for more examples.)

"Meets Expectations" reflects good performance, the level of performance that would be expected of qualified and experienced employees in the job.  Each "Meets Expectations" definition should be written directly on the PRD form or PRD paperwork under the appropriate performance factor and/or area.  The employee should be prepared to offer ideas about the definition of "Meets Expectations," discuss varying levels of performance, and come to agreement with the supervisor about how and what will be measured.

For example:

USING PERFORMANCE FACTORS

ESSENTIAL FUNCTIONS	PERFORMANCE FACTORS (optional)	"MEETS EXPECTATIONS"
Manage student workers	Management Staffing Leadership and Motivation	*All student work schedules are posted two weeks prior to the beginning of the workweek. *Weekly work schedules are completed and submitted to supervisor for approval one week before posting. *Direct workload to all student workers according to appointed title and available assignments.
Complete Project X and Project Z	Administration	*The annual conference is organized and carried out with a participant-day cost of under $100. *Two departmental processes (incoming invoices and application processing) are to be re-engineered/re-structured to show a decrease in turn around time and an increase in customer service
Provide assistance and support to Dr. Jones	Customer Service Administration	*All memos and letters will conform to standards departmental format. *All work shall have no more than two corrections per page.  All spelling and punctuation errors shall be corrected and suggestions on sentence construction are encouraged *No memo or letter shall be submitted more than once for corrections *Reconcile all outstanding disbursement requests and expenditure transactions submitted during the prior month.  Submit all expense reports to director for approval prior to processing. *All written requests are returned within two working days. *Expenses are within 2 percent of budget.
Use database to track student applications	Quantity of Work	*Ensure database is updated within three working days of receipt of application.
Coordinate grant proposals and submittals	Organization and Work Allocation Quality of Work	*Double-check all paperwork for posting to accounts. *Submit updated budget to Director. *Submit tally sheet for all upcoming "known" expenditures. *Update inventory for all supplies with current counts (including overhead/auxiliary supplies). *Collect and tabulate results. Submit to Director.

NOTE:
Expectations for the performance of different employees with the same job title should be very similar, and when possible, the same.  (Some specific duties or tasks may differ.)  Where desirable, a "group" Expectation-Setting meeting may be held.

• Expectations are not set in stone.  You can change (revise, amend, supplement) expectations at anytime.  However, you can only evaluate an employee?s performance of the new expectations from the point of communication on forward.

• Employees should be encouraged to prepare a list of ideas and suggestions of performance expectations to bring with them to the meeting and discuss.