The document outlines the performance appraisal process and guidelines for staff at a university library. It discusses why performance appraisals are conducted, including institutional compliance, feedback, and professional development. It describes the performance appraisal cycle of setting expectations, ongoing feedback, and annual reviews. Principles for effective appraisals and feedback are provided. Forms and procedures for initiating, conducting, and documenting the appraisal process are explained.

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

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

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 …