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  1. 1. Performance Appraisals for Professional Staff Alan Napier Library Human Resources Officer Steve Garwood Staff Training and Development Coordinator
  2. 2. Overview <ul><li>Why are we here? </li></ul><ul><li>Institutional Compliance </li></ul><ul><li>Other reasons to do performance appraisals </li></ul><ul><li>Why do problems occur? </li></ul><ul><li>Effective performance management </li></ul><ul><li>The performance cycle </li></ul><ul><li>Principles for preparing effective performance appraisals </li></ul><ul><li>Principles for presenting effective appraisals </li></ul><ul><li>Providing feedback </li></ul><ul><li>Forms and procedures </li></ul>
  3. 3. Why are we here? <ul><li>Observations from LHR, DOF, and University Librarian </li></ul><ul><ul><li>Various inconsistencies (i.e. timing, disconnects between ratings and increases) </li></ul></ul><ul><ul><li>Lack of support documentation </li></ul></ul><ul><ul><li>Lack performance management throughout the performance cycle </li></ul></ul><ul><li>Need for fairness and consistency </li></ul>
  4. 4. Institutional Compliance Program <ul><li>Program that broadly defines the University’s expectations of managers relative to the deployment of financial, physical, and human resources. </li></ul><ul><li>The institutional expectations for management of human resources include: </li></ul><ul><ul><li>Creation of a workplace that is collaborative and flexible </li></ul></ul><ul><ul><li>2. Communicating expectations clearly, provide periodic feedback on achievements and problem areas and coach and provide training for professional development and improved performance. </li></ul></ul><ul><ul><li>3. Be knowledgeable of own strengths and weaknesses as supervisors and must take responsibility for improving their skills and performance. </li></ul></ul>
  5. 5. Institutional Compliance <ul><li>Management Standards Guidebook </li></ul><ul><ul><li>Talks about the role of the supervisor relative Performance Management </li></ul></ul><ul><ul><li>Supervisors are expected to: </li></ul></ul><ul><ul><ul><li>Set clear priorities and goals for their respective departments, in alignment with the larger University mission and goals </li></ul></ul></ul><ul><ul><ul><li>Set clear behavioral expectations </li></ul></ul></ul><ul><ul><ul><li>Provide staff members with ongoing feedback throughout the year </li></ul></ul></ul><ul><ul><ul><li>Work with staff to create individual development plans </li></ul></ul></ul><ul><ul><ul><li>Hold an annual performance appraisal discussion with all staff members whom they directly supervise. </li></ul></ul></ul>
  6. 6. Other reasons to conduct performance appraisals <ul><li>DoF policy requirement </li></ul><ul><ul><li>Salary increases </li></ul></ul><ul><ul><li>Promotion </li></ul></ul><ul><ul><li>Reappointment </li></ul></ul><ul><li>Other uses </li></ul><ul><ul><li>Provides fair & consistent documentation of contributions </li></ul></ul><ul><ul><li>Ongoing communication and goal setting tool </li></ul></ul><ul><ul><li>Foster performance improvement and enhancement </li></ul></ul><ul><ul><li>Let’s employee know where there they stand relative to established expectations </li></ul></ul><ul><ul><li>Identifies possible training and professional development areas </li></ul></ul>
  7. 7. <ul><li>Done Well </li></ul><ul><ul><li>Opens communication </li></ul></ul><ul><ul><li>Employee understands what is expected and how they are doing relative to established goals </li></ul></ul><ul><ul><li>Employee is aware of areas requiring further development </li></ul></ul><ul><ul><li>Motivates and enhances performance </li></ul></ul><ul><li>Done Poorly </li></ul><ul><ul><li>Inflammatory </li></ul></ul><ul><ul><li>Source of conflict </li></ul></ul><ul><ul><li>Waste of time </li></ul></ul>When Performance Appraisals are: When Performance Appraisals are:
  8. 8. Why do problems occur? <ul><li>Not sure how process works </li></ul><ul><li>Not comfortable giving feedback </li></ul><ul><li>Fear of grievances or complaints </li></ul><ul><li>Time pressure – multiple competing priorities </li></ul><ul><li>Unsure of value </li></ul><ul><li>Do not understand responsibility </li></ul>
  9. 9. Effective performance management <ul><li>Effective management of performance involves: </li></ul><ul><ul><li>Set clear expectations (goals) </li></ul></ul><ul><ul><li>Track progress towards achievement </li></ul></ul><ul><ul><li>Regular two-way communication about performance throughout the cycle </li></ul></ul><ul><ul><li>Set milestones and make adjustments (when necessary) </li></ul></ul><ul><ul><li>Documenting discussions </li></ul></ul><ul><ul><li>Promoting ownership </li></ul></ul>
  10. 10. The Performance Cycle <ul><li>Three step process </li></ul><ul><li>Set expectations </li></ul><ul><li>On-going tracking and feedback </li></ul><ul><li>Review progress (annual appraisal) </li></ul>
  11. 11. Set Expectations <ul><li>Accomplished at the beginning of each performance cycle or within 30 days of hire </li></ul><ul><ul><li>The performance cycle runs from 1 July – 30 June </li></ul></ul><ul><ul><li>Expectations </li></ul></ul><ul><ul><ul><li>Performance goals for the position for the reporting period </li></ul></ul></ul><ul><ul><ul><ul><li>What the position will do and how they will do it </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Should be SMART </li></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Specific </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Measurable </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Achievable </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Realistic </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Timely (contain a measurement of time) </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><li>Should be aligned with the goals and objectives of the Library, Department or work unit </li></ul></ul></ul></ul>
  12. 12. Ongoing tracking and feedback <ul><li>Should occur throughout the performance cycle </li></ul><ul><ul><li>Shared process </li></ul></ul><ul><ul><ul><li>Supervisor should identify sources of information. </li></ul></ul></ul><ul><ul><ul><li>Possibilities include: e-mails, financial reports, faculty/student feedback, participation on internal and external committees, participation in professional organizations </li></ul></ul></ul><ul><ul><ul><li>Employee has responsibility for tracking and monitoring own progress as well </li></ul></ul></ul><ul><ul><li>Supervisor should meet with employee during the year </li></ul></ul><ul><ul><ul><li>To discuss progress towards established goals </li></ul></ul></ul><ul><ul><ul><li>Identify areas for improvement/development </li></ul></ul></ul><ul><ul><ul><li>Discuss modifications to goals </li></ul></ul></ul><ul><ul><ul><li>Coach on how to sustain progress or improve </li></ul></ul></ul>
  13. 13. Reviewing Progress <ul><ul><li>Should address performance for entire cycle </li></ul></ul><ul><ul><li>Compares actual performance with established goals </li></ul></ul><ul><ul><li>Involve a discussion of the appraisal with the employee </li></ul></ul><ul><ul><li>The last step in the process should include beginning to plan a new set of goals for the next cycle! </li></ul></ul>
  14. 14. Principles for preparing effective performance appraisals <ul><li>A performance appraisal should be a fair and frank assessment of the member’s performance </li></ul><ul><li>It should address the entire performance period </li></ul><ul><li>It should be specific and based upon facts </li></ul><ul><li>It should always be supported by documentation </li></ul><ul><li>It should never be based upon discriminatory criteria </li></ul><ul><li>Common mistakes: </li></ul><ul><ul><li>Central tendency </li></ul></ul><ul><ul><li>Rater Inflation </li></ul></ul><ul><ul><li>Recent behavior emphasis (good or bad) </li></ul></ul>
  15. 15. Principles for presenting effective appraisals <ul><li>Plan ahead! </li></ul><ul><ul><li>Pay attention to location and time </li></ul></ul><ul><ul><li>Have support documentation available </li></ul></ul><ul><ul><li>Go over the appraisal point by point </li></ul></ul><ul><ul><li>Allow for two-way discussion </li></ul></ul><ul><ul><li>Know what options are available if the employee disagrees with the performance appraisal </li></ul></ul><ul><ul><li>Use resources for assistance </li></ul></ul>
  16. 16. Providing Feedback <ul><li>Don’t forget the DDI Key Principles </li></ul><ul><ul><li>Maintain or enhance self-esteem </li></ul></ul><ul><ul><li>Listen and respond with empathy </li></ul></ul><ul><ul><li>Ask for help and encourage involvement </li></ul></ul><ul><ul><li>Share thoughts, feelings and rationale (to build trust) </li></ul></ul><ul><ul><li>Provide support without removing responsibility (to build ownership) </li></ul></ul>
  17. 17. Providing Feedback <ul><li>Consider using the STAR or STA/AR approach when giving feedback </li></ul><ul><ul><li>Situation or task (ST): what are the circumstances that prompted the employee’s actions? </li></ul></ul><ul><ul><li>Action (A): What did the person do or say in response to the action? </li></ul></ul><ul><ul><li>Result (R): What was the result of the action? </li></ul></ul><ul><ul><li>Alternative Action (A): What could the employee have done differently? </li></ul></ul><ul><ul><li>Enhanced Result (R): What would be the anticipated result of the alternative action? </li></ul></ul><ul><li>Remember to document feedback sessions </li></ul><ul><ul><li>Tool: DDI discussion planner </li></ul></ul>
  18. 18. How do we avoid problems? Review
  19. 19. Forms & Procedures <ul><li>The annual performance review process is initiated in the late winter </li></ul><ul><li>A message is sent to the professional staff (normally in December) initiating the performance appraisal portion of the process </li></ul><ul><li>Each Professional prepares the following documents: </li></ul><ul><ul><li>Position Description and Activities form </li></ul></ul><ul><ul><ul><li>Describes on-going duties and responsibilities and special projects/or activities </li></ul></ul></ul><ul><ul><ul><li>Reports progress towards goals that were established </li></ul></ul></ul><ul><ul><li>Updated CV </li></ul></ul><ul><ul><li>Draft of new goals for next reporting period </li></ul></ul><ul><li>All documents are submitted to the supervisor for signature and review </li></ul><ul><li>Both forms are located on the LHR website at: </li></ul><ul><li> </li></ul>
  20. 21. Forms and Procedures <ul><li>The supervisor </li></ul><ul><ul><li>Reviews CV and proposed goals and signs the Position Description and Activities Form </li></ul></ul><ul><ul><li>Prepares a draft appraisal of the member’s performance for rating period </li></ul></ul><ul><ul><ul><li>The appraisal should represent the entire rating period and be a fair and frank assessment of the member’s performance </li></ul></ul></ul><ul><ul><li>Discusses draft appraisal with the appropriate AUL or Deputy </li></ul></ul><ul><ul><li>Meets with member and discusses the appraisal, areas for improvement and goals for next period </li></ul></ul><ul><ul><ul><li>Both parties should sign the form </li></ul></ul></ul><ul><ul><ul><li>The member can attach a written statement to the appraisal (if desired) </li></ul></ul></ul><ul><ul><ul><li>The member can also ask for a formal review of the appraisal by the supervisor’s supervisor (normally AUL or Deputy) </li></ul></ul></ul><ul><ul><li>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 </li></ul></ul>
  21. 23. Forms and Procedures <ul><li>The AUL or Deputy </li></ul><ul><ul><li>Will review the materials provided for each professional in his/her area </li></ul></ul><ul><ul><li>As needed will discuss concerns regarding appraisal with professional and supervisor </li></ul></ul><ul><li>University Librarian </li></ul><ul><ul><li>Works collaboratively with AULs and Library Human Resources Officer to review all appraisals </li></ul></ul><ul><ul><li>Submits required documentation to DoF </li></ul></ul>
  22. 24. Summary <ul><li>Forms and Procedures </li></ul><ul><li>Providing feedback </li></ul><ul><li>Principles for presenting effective appraisals </li></ul><ul><li>Principles for preparing effective appraisals </li></ul><ul><li>The performance cycle </li></ul><ul><li>Effective performance management </li></ul><ul><li>Why do problems occur? </li></ul><ul><li>Other reasons to do performance appraisals </li></ul><ul><li>Institutional Compliance </li></ul><ul><li>Why are we here? </li></ul>
  23. 25. Conclusion <ul><li>Questions? </li></ul><ul><li>More training available from: </li></ul><ul><ul><li>Learning and Development Office, University Human Resources </li></ul></ul><ul><ul><ul><li>Managing Effective Interactions </li></ul></ul></ul><ul><ul><ul><li>Performance Management: Appraisals and Setting Expectations </li></ul></ul></ul><ul><ul><ul><li>Coaching Others Toward Improvement </li></ul></ul></ul><ul><ul><ul><li>… </li></ul></ul></ul>