Performance Appraisals for Professional Staff

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Performance Appraisals for Professional Staff

• Alan Napier
• Library Human Resources Officer
• Steve Garwood
• Staff Training and Development Coordinator

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Overview

• Why are we here?
• Institutional Compliance
• Other reasons to do performance appraisals
• Why do problems occur?
• Effective performance management
• The performance cycle
• Principles for preparing effective performance
  appraisals
• Principles for presenting effective appraisals
• Providing feedback
• Forms and procedures

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Why are we here?

• Observations from LHR, DOF, and University
  Librarian
• Various inconsistencies (i.e. timing, disconnects
  between ratings and increases)
• Lack of support documentation
• Lack performance management throughout the
  performance cycle
• Need for fairness and consistency

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Institutional Compliance Program

• Program that broadly defines the Universitys
  expectations of managers relative to the
  deployment of financial, physical, and human
  resources.
• The institutional expectations for management of
  human resources include
• Creation of a workplace that is collaborative and
  flexible
• 2. Communicating expectations clearly, provide
  periodic feedback on achievements and problem
  areas and coach and provide training for
  professional development and improved
  performance.
• 3. Be knowledgeable of own strengths and
  weaknesses as supervisors and must take
  responsibility for improving their skills and
  performance.

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Institutional Compliance

• Management Standards Guidebook
• Talks about the role of the supervisor relative
  Performance Management
• Supervisors are expected to
• Set clear priorities and goals for their
  respective departments, in alignment with the
  larger University mission and goals
• Set clear behavioral expectations
• Provide staff members with ongoing feedback
  throughout the year
• Work with staff to create individual development
  plans
• Hold an annual performance appraisal discussion
  with all staff members whom they directly
  supervise.

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Other reasons to conduct performance appraisals

• DoF policy requirement
• Salary increases
• Promotion
• Reappointment
• Other uses
• Provides fair consistent documentation of
  contributions
• Ongoing communication and goal setting tool
• Foster performance improvement and enhancement
• Lets employee know where there they stand
  relative to established expectations
• Identifies possible training and professional
  development areas

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When Performance Appraisals are
When Performance Appraisals are

• Done Well
• Opens communication
• Employee understands what is expected and how
  they are doing relative to established goals
• Employee is aware of areas requiring further
  development
• Motivates and enhances performance
• Done Poorly
• Inflammatory
• Source of conflict
• Waste of time

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Why do problems occur?

• Not sure how process works
• Not comfortable giving feedback
• Fear of grievances or complaints
• Time pressure multiple competing priorities
• Unsure of value
• Do not understand responsibility

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Effective performance management

• Effective management of performance involves
• Set clear expectations (goals)
• Track progress towards achievement
• Regular two-way communication about performance
  throughout the cycle
• Set milestones and make adjustments (when
  necessary)
• Documenting discussions
• Promoting ownership

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The Performance Cycle

• Three step process
• Set expectations
• On-going tracking and feedback
• Review progress (annual appraisal)

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Set Expectations

• Accomplished at the beginning of each performance
  cycle or within 30 days of hire
• The performance cycle runs from 1 July 30 June
• Expectations
• Performance goals for the position for the
  reporting period
• What the position will do and how they will do it
• Should be SMART
• Specific
• Measurable
• Achievable
• Realistic
• Timely (contain a measurement of time)
• Should be aligned with the goals and objectives
  of the Library, Department or work unit

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Ongoing tracking and feedback

• Should occur throughout the performance cycle
• Shared process
• Supervisor should identify sources of
  information.
• Possibilities include e-mails, financial
  reports, faculty/student feedback, participation
  on internal and external committees,
  participation in professional organizations
• Employee has responsibility for tracking and
  monitoring own progress as well
• Supervisor should meet with employee during the
  year
• To discuss progress towards established goals
• Identify areas for improvement/development
• Discuss modifications to goals
• Coach on how to sustain progress or improve

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Reviewing Progress

• Should address performance for entire cycle
• Compares actual performance with established
  goals
• Involve a discussion of the appraisal with the
  employee
• The last step in the process should include
  beginning to plan a new set of goals for the next
  cycle!

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Principles for preparing effective performance
appraisals

• A performance appraisal should be a fair and
  frank assessment of the members performance
• It should address the entire performance period
• It should be specific and based upon facts
• It should always be supported by documentation
• It should never be based upon discriminatory
  criteria
• Common mistakes
• Central tendency
• Rater Inflation
• Recent behavior emphasis (good or bad)

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Principles for presenting effective appraisals

• Plan ahead!
• Pay attention to location and time
• Have support documentation available
• Go over the appraisal point by point
• Allow for two-way discussion
• Know what options are available if the employee
  disagrees with the performance appraisal
• Use resources for assistance

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Providing Feedback

• Dont forget the DDI Key Principles
• Maintain or enhance self-esteem
• Listen and respond with empathy
• Ask for help and encourage involvement
• Share thoughts, feelings and rationale (to build
  trust)
• Provide support without removing responsibility
  (to build ownership)

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Providing Feedback

• Consider using the STAR or STA/AR approach when
  giving feedback
• Situation or task (ST) what are the
  circumstances that prompted the employees
  actions?
• Action (A) What did the person do or say in
  response to the action?
• Result (R) What was the result of the action?
• Alternative Action (A) What could the employee
  have done differently?
• Enhanced Result (R) What would be the
  anticipated result of the alternative action?
• Remember to document feedback sessions
• Tool DDI discussion planner

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How do we avoid problems?Review
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Forms Procedures

• The annual performance review process is
  initiated in the late winter
• A message is sent to the professional staff
  (normally in December) initiating the performance
  appraisal portion of the process
• Each Professional prepares the following
  documents
• Position Description and Activities form
• Describes on-going duties and responsibilities
  and special projects/or activities
• Reports progress towards goals that were
  established
• Updated CV
• Draft of new goals for next reporting period
• All documents are submitted to the supervisor for
  signature and review
• Both forms are located on the LHR website at
• http//library.princeton.edu/hr/forms/forms.html
  

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Forms and Procedures

• The supervisor
• Reviews CV and proposed goals and signs the
  Position Description and Activities Form
• Prepares a draft appraisal of the members
  performance for rating period
• The appraisal should represent the entire rating
  period and be a fair and frank assessment of the
  members performance
• Discusses draft appraisal with the appropriate
  AUL or Deputy
• Meets with member and discusses the appraisal,
  areas for improvement and goals for next period
• Both parties should sign the form
• The member can attach a written statement to the
  appraisal (if desired)
• The member can also ask for a formal review of
  the appraisal by the supervisors supervisor
  (normally AUL or Deputy)
• All materials (CV, goals for next cycle, signed
  Position Description and Activities Form and
  signed Annual Appraisal Form) are then forwarded
  to the AUL or Deputy

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Forms and Procedures

• The AUL or Deputy
• Will review the materials provided for each
  professional in his/her area
• As needed will discuss concerns regarding
  appraisal with professional and supervisor
• University Librarian
• Works collaboratively with AULs and Library Human
  Resources Officer to review all appraisals
• Submits required documentation to DoF

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Summary

• Forms and Procedures
• Providing feedback
• Principles for presenting effective appraisals
• Principles for preparing effective appraisals
• The performance cycle
• Effective performance management
• Why do problems occur?
• Other reasons to do performance appraisals
• Institutional Compliance
• Why are we here?

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Conclusion

• Questions?
• More training available from
• Learning and Development Office, University Human
  Resources http//www.princeton.edu/hr/ld/
• Managing Effective Interactions
• Performance Management Appraisals and Setting
  Expectations
• Coaching Others Toward Improvement