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  • Flip chart answers and address at end
  • Flip chart answers and address at end
  • Transcript

    • 1. Performance Appraisals for Professional Staff Alan Napier Library Human Resources Officer Steve Garwood Staff Training and Development Coordinator
    • 2. 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
    • 3. 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
    • 4. Institutional Compliance Program
      • Program that broadly defines the University’s 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.
    • 5. 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.
    • 6. 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
        • Let’s employee know where there they stand relative to established expectations
        • Identifies possible training and professional development areas
    • 7.
      • 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
      When Performance Appraisals are: When Performance Appraisals are:
    • 8. 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
    • 9. 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
    • 10. The Performance Cycle
      • Three step process
      • Set expectations
      • On-going tracking and feedback
      • Review progress (annual appraisal)
    • 11. 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
    • 12. 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
    • 13. 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!
    • 14. Principles for preparing effective performance appraisals
      • A performance appraisal should be a fair and frank assessment of the member’s 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)
    • 15. 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
    • 16. Providing Feedback
      • Don’t 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)
    • 17. Providing Feedback
      • Consider using the STAR or STA/AR approach when giving feedback
        • Situation or task (ST): what are the circumstances that prompted the employee’s 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
    • 18. How do we avoid problems? Review
    • 19. 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
    • 20.  
    • 21. Forms and Procedures
      • The supervisor
        • Reviews CV and proposed goals and signs the Position Description and Activities Form
        • Prepares a draft appraisal of the member’s performance for rating period
          • The appraisal should represent the entire rating period and be a fair and frank assessment of the member’s 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 supervisor’s 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
    • 22.  
    • 23. 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
    • 24. 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?
    • 25. Conclusion
      • Questions?
      • More training available from:
        • Learning and Development Office, University Human Resources http://www.princeton.edu/hr/l&d/
          • Managing Effective Interactions
          • Performance Management: Appraisals and Setting Expectations
          • Coaching Others Toward Improvement