The document provides an overview of staff performance appraisals, including why they are conducted, the performance appraisal cycle and form, tips for conducting appraisals, and contract requirements for addressing unsatisfactory work performance. Performance appraisals are used to communicate expectations and feedback, identify training needs, and improve employee performance. The performance cycle involves setting expectations, ongoing feedback, and reviewing performance against expectations. The appraisal form is used to formally evaluate performance against established standards. Contract requirements mandate attempts to correct unsatisfactory work through a corrective action plan before termination can occur.

1. Staff Performance Appraisals Presented By: Alan Napier & Steve Garwood

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

3. 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

4. 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

5. 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 isn’t one of them Unaware of the value Not assuming responsibility

6. The Performance Cycle Three step process Set expectations On-going tracking and feedback Reviewing progress

7. 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

8. 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

9. 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!

10. 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 member’s personnel file

11. 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

12. 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

13. 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

14. The Appraisal Form -Rating scale definitions Exceptional – contributions & excellent work are widely recognized…consistently exceeds defined expectations…produces important & impactful results… Highly Effective – most objectives exceed expectations…projects and objectives are completed in a manner that expands the scope of assignment….employee is viewed as having made notable contributions to the department

15. 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 requirements…a 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 indicated…performance improvement plan must be in place

16. 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 member’s 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

17. 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

18. 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

19. 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

20. 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!

21. 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

22. 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.”

23. 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.

24. 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.”

25. 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

26. 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

27. 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

28. Contract requirements for managing unsatisfactory work performance Implementing the corrective action plan Employee’s 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.

29. 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

30. 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 employee’s skills) the University will explore that alternative.

31. 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.

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

33. 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 …