Performance Appraisalsfor Prof Staff.Ppt
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  • Flip chart answers and address at end
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Performance Appraisalsfor Prof Staff.Ppt Performance Appraisalsfor Prof Staff.Ppt Presentation Transcript

  • Performance Appraisals for Professional Staff Alan Napier Library Human Resources Officer Steve Garwood Staff Training and Development Coordinator
  • 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
  • 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
    View slide
  • 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.
    View slide
  • 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.
  • 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
    • 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:
  • 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
  • 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
  • The Performance Cycle
    • Three step process
    • Set expectations
    • On-going tracking and feedback
    • Review progress (annual appraisal)
  • 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
  • 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
  • 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!
  • 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)
  • 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
  • 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)
  • 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
  • How do we avoid problems? Review
  • 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:
  • 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
  • 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
  • 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?
  • Conclusion
    • Questions?
    • More training available from:
      • Learning and Development Office, University Human Resources
        • Managing Effective Interactions
        • Performance Management: Appraisals and Setting Expectations
        • Coaching Others Toward Improvement