Staff Performance Appraisals Presented By: Alan Napier

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Staff PerformanceAppraisals

• Presented By
• Alan Napier Steve Garwood

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Overview

• Why do performance appraisals?
• The performance cycle
• The appraisal form
• Tips for giving appraisals
• Contract requirements for managing Problem work
  performance

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Why do we do appraisals?

• University policy requirement
• Ongoing communication
• Foster performance improvement and enhancement
• Supervisors required to hold annual performance
  appraisal discussion and summarize.
• Feedback
• Let employee know where s/he stand relative to
  expectations
• Areas for improvement
• Identifies possible training and development
  needs

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Why do appraisals?

• Best case
• Opens communication
• Employee understands what is expected and how
  s/he is doing in the job
• Employee knows areas for further development
• Motivates employee
• Worst case
• Inflammatory
• Source of conflict
• Waste of time

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Problems occur when the manager is

• Not sure how process works
• Not comfortable giving feedback
• Fears grievances or complaints
• Overwhelmed by time pressure multiple
  priorities managing performance isnt one of
  them
• Unaware of the value
• Not assuming responsibility

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The Performance Cycle

• Three step process
• Set expectations
• On-going tracking and feedback
• Reviewing progress

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The Performance Cycle

• Setting expectations
• Accomplish at the beginning of each performance
  cycle or within 30 days of hire
• The cycle runs from 1 July 30 June
• Expectations
• What employee will do and how s/he will do it
• Should be specific and measurable
• Can be measurements or quantity, quality,
  timeliness or goals/objectives of the job

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The Performance Cycle

• On going tracking and feedback
• Should occur throughout the performance cycle
• Supervisor gathers data from identified sources
• Meets with employee during the year to discuss
  feedback
• To reinforce progress
• Identify areas for improvement/development
• Coaches on how to sustain progress or improve

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Performance Cycle

• Reviewing progress
• Appraisal of performance for entire cycle
• Compares actual performance with established
  expectations
• Should involve a discussion with the employee
• Do not forget to begin planning for the next
  cycle!

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The Appraisal Form

• Staff Performance Appraisal Form B
• Located on Human Resources web site
• The form
• Provides a written record of job performance
• Should be a frank evaluation of performance
  relative to established standards
• Appraisals become a part of the staff members
  personnel file

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The Appraisal Form

• Section I
• Should be completed by the staff member being
  evaluated
• Member lists major responsibilities of position
  in approximate order of importance
• Forwards form to supervisor

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The Appraisal Form

• Sections II, III, and IV are completed by the
  supervisor
• Section II
• Supervisor reviews major responsibilities
• Notes concurrence on comments
• Makes additions, deletions or changes in priority
  as appropriate

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The Appraisal Form

• Section III
• Supervisor checks the most appropriate block for
  each required performance factor
• The performance factors include
• Quality of Work
• Flexibility
• Initiative
• Dependability
• Interpersonal Relations
• Safety Compliance

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The Appraisal Form

• -Rating scale definitions
• Exceptional contributions excellent work are
  widely recognizedconsistently exceeds defined
  expectationsproduces important impactful
  results
• Highly Effective most objectives exceed
  expectationsprojects and objectives are
  completed in a manner that expands the scope of
  assignment.employee is viewed as having made
  notable contributions to the department

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The Appraisal Form

• Rating scale definitions (continued)
• Effective performance is competent and
  effective along established expectations,
  initiative, resourcefulness and good judgment are
  consistently used
• Improvement Required performance falls below
  expectations on one or two job requirementsa
  performance improvement plan should be
  established
• Unsatisfactory performance falls below
  expectations on several critical job requirements
  and responsibilities.without significant
  improvement reassignment or separation are
  indicatedperformance improvement plan must be in
  place

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The Appraisal Form

• Section III
• Items 7 -12 only apply to supervisory personnel
  and should not be rated for support staff members
• Section IV Supervisory Comments
• Supervisor comments on staff members strengths
  and weaknesses.
• This area can also be used to summarize the
  overall performance or to comment on any other
  factor not covered in items 1-6

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The Appraisal Form

• Signatures
• Section IV supervisor should sign the completed
  appraisal
• Section VI evaluation should also be signed by
  the reviewer prior to presentation to the employee

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Tips for giving appraisals

• A well prepared performance appraisal can
• Help an employee understand what is expected and
  how they did relative to those expectations
• Helps the employee understand where s/he needs to
  grow
• Serve as a vehicle for ongoing communication and
  career development
• Motivate the employee
• A poorly prepared and/or communicated appraisal
  can lead to conflict

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Tips for giving Appraisals

• Rate appraisal based on how the employee did
  relative to the established performance
  expectations
• Common mistakes
• Central tendency
• Rater inflation
• Recent behavior emphasis (good or bad)
• Illegal criteria

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Tips for giving Appraisals

• Be factual and specific
• Pay attention to location
• Have support documentation available
• Discuss appraisal point by point
• Allow for employee discussion
• Know where your support resources are and plan
  ahead!

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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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Contract requirements for managing unsatisfactory
work performance

• Article IX subsection H.
• No non-probationary employee may be suspended,
  disciplined or discharged except for just cause.
• Where there is a work performance situation that
  is based more on the need to acquire knowledge or
  skills or to improve judgment or decision making
  the following policy shall apply.

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Contract requirements for managing unsatisfactory
work performance

• Unsatisfactory work performance can encompass a
  variety of behaviors which include but are not
  limited to failure to complete work assignments
  or correct errors in a reasonable amount of time,
  inability or unwillingness to learn new tasks or
  skills or work collaboratively.
• The supervisor needs to be aware of patterns of
  behavior that constitutes unsatisfactory work
  performance.

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Contract requirements for managing unsatisfactory
work performance

• The supervisor should take corrective action as
  soon as patterns are identified.
• When there is poor performance, the supervisor
  should consult with the HR Manager regarding
  coaching for improved performance.

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Contract requirements for managing unsatisfactory
work performance

• When a significant performance problem is
  identified
• Supervisor and employee will work on a tentative
  corrective plan
• Involves a formal period of evaluation no shorter
  than 3 months
• During this time period the employee will have
  the opportunity to correct his/her performance

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Contract requirements for managing unsatisfactory
work performance

• The tentative corrective action plan should
  include
• A written summary of the unsatisfactory work
  performance
• Performance standards and expectations that must
  be attained
• Explanation of the period of evaluation (and)
• A statement that unless improvement is made and
  sustained, termination of employment will occur

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Contract requirements for managing unsatisfactory
work performance

• The tentative corrective action plan (continued)
• 5. Supervisor recommends a meeting with a Union
  representative to get further feedback before the
  plan is finalized
• 6. If the employee refuses representation, the
  employee should be informed that the Union will
  receive a copy of the agreed-upon plan

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Contract requirements for managing unsatisfactory
work performance

• Implementing the corrective action plan
• Employees progress will be reviewed at least
  three times
• The employee may request Union representation at
  any meeting to discuss progress
• If at any stage of the process the supervisor
  believes that situation has not progressed the
  supervisor should immediately involve HR and the
  Union in further discussion.

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Contract requirements for managing unsatisfactory
work performance

• If at end of the corrective action period the
  recommendation is to continue employment
• Employee is informed in writing along with a
  clear statement of expectations for the future
• The corrective action plan remains active for 18
  months after completion of the formal review
• If the unsatisfactory performance or behavior
  appears again during that time a new corrective
  action plan is not required
• If a new set of circumstance occurs (i.e. the
  employee changes jobs) then a new corrective
  action plan is required

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Contract requirements for managing unsatisfactory
work performance

• If at the conclusion of the review period it is
  determined that the employee is unwilling or
  unable improve
• The supervisor will confer with HR about
  termination of employment
• If the evaluation indicates there is a possible
  alternative to termination (e.g. an available
  position which is a good match with the
  employees skills) the University will explore
  that alternative.

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Remember

• The decision to place an employee under formal
  review or to terminate employment is grievable
  according to the grievance and arbitration
  provisions of the PULA contract.

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Summary

• Contract requirements for managing problem work
  performance
• Tips for giving appraisals
• The appraisal form
• The performance cycle
• Why do performance appraisals?

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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