Performance Appraisals for Professional Staff

Alan NapierLibrary Human Resources Officer

Steve GarwoodStaff 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

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:

1. Creation of a workplace that is collaborative and flexible2. 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.

Institutional Compliance

• Management Standards Guidebook Talks about the role of the supervisor relative

Performance Management Supervisors are expected to:

1. Set clear priorities and goals for their respective departments, in alignment with the larger University mission and goals

2. Set clear behavioral expectations3. Provide staff members with ongoing feedback throughout

the year4. Work with staff to create individual development plans5. 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:

1. Set clear expectations (goals)

2. Track progress towards achievement

3. Regular two-way communication about performance throughout the cycle

4. Set milestones and make adjustments (when necessary)

5. Documenting discussions

6. Promoting ownership

The Performance Cycle

• Three step process

1. Set expectations

2. On-going tracking and feedback

3. 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:1. Position Description and Activities form

• Describes on-going duties and responsibilities and special projects/or activities

• Reports progress towards goals that were established2. Updated CV3. 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

PRINCETON UNIVERSITY LIBRARY Position Description

and Activities Form Name of L ibrarian: ____________________________________________________ J ob Title and Rank: ____________________________________________________ L ibrary Department/Division: ___________________________________________ Date: ____________________ Period Under Review: ______________

Description of Characteristic Duties and Responsibilities Describe your on-going duties and areas of authority and responsibility. I f no change has occurred since last year, indicate that and attach the description completed earlier which is still applicable. L ist: (a) Primary on-going duties and (b) Special projects and/or activities. The above should reflect concurrence on the part of the supervisor. Date: _____________ ________________________________ L ibrarian

________________________________

Supervisor

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

CONFIDENTIAL

PRINCETON UNIVERSITY LIBRARY

L IBRARIAN ANNUAL APPRAISAL FORM

Name of librarian: _____________ Rank: Name of supervisor: Date of appraisal: It is part of the basic personnel policy of the L ibrary that all employees are entitled to a periodic review of their work by their supervisors. There should be a mutually clear understanding of the work the employee is expected to perform, how well the employee is performing the work, and what the employee can do to improve in any areas. This form is provided for this review. After the meeting, both parties should sign this form. The employee is welcome to attach any written statement he or she wishes. Signed: Supervisor: L ibrarian: __________________________________ Review Requested. This form then goes to the Supervisor's Supervisor who will read the form, deal with any request for review, sign the form, and send it up the supervisory chain to the University Librarian. Signed: Supervisor's Supervisor:

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 http://www.princeton.edu/hr/l&d/

• Managing Effective Interactions

• Performance Management: Appraisals and Setting Expectations

• Coaching Others Toward Improvement

• …