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The Performance Appraisal The Performance Appraisal as a Management Toolas a Management Tool

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Pop QuizPop Quiz

A list of criticisms and A list of criticisms and suggestions for improvement suggestions for improvement aren’t worth much without a aren’t worth much without a plan for accomplishing them.plan for accomplishing them.

TRUE: People need a plan TRUE: People need a plan and they need management and they need management support to accomplish new support to accomplish new objectives.objectives.

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Pop QuizPop Quiz

Individuals must have both the Individuals must have both the ability and the desire if they are to ability and the desire if they are to change their behaviors.change their behaviors.

TRUE: The fine points about what TRUE: The fine points about what people need in order to get the job people need in order to get the job done and what will motivate them done and what will motivate them to stay on track must be worked to stay on track must be worked out in a face-to-face conversation out in a face-to-face conversation with their supervisors.with their supervisors.

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Pop QuizPop Quiz

Strong performers have no desire to Strong performers have no desire to change.change.

FALSE: Even strong performers need FALSE: Even strong performers need new goals to stay fresh. In fact, new goals to stay fresh. In fact, they’re often more in need of a they’re often more in need of a challenge than the average challenge than the average performer.performer.

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Goals of SessionGoals of Session To Review the Performance Appraisal To Review the Performance Appraisal

Document and ProcessDocument and Process

To Learn to Prepare Fair and Accurate To Learn to Prepare Fair and Accurate EvaluationsEvaluations

To Learn to Use the Performance To Learn to Use the Performance Appraisal Meeting as a Mentoring Appraisal Meeting as a Mentoring OpportunityOpportunity

To Learn to Create Performance Plans To Learn to Create Performance Plans and Monitor Resultsand Monitor Results

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Description of our Current

Performance Appraisal System

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Mission StatementMission Statement

Aurora University an inclusive Aurora University an inclusive community dedicated to the community dedicated to the transformative power of transformative power of learninglearning

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OVERVIEW OF EVALUATION OVERVIEW OF EVALUATION

Part I: achievements and behaviors Part I: achievements and behaviors related to individual, departmental, related to individual, departmental, and and institutional performance institutional performance

Part II: Overall Rating, review last year’s Part II: Overall Rating, review last year’s

goals in this sectiongoals in this section Part III: Annuals goals and developmentPart III: Annuals goals and development

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Review of Part IReview of Part I

Performance related to the specific Performance related to the specific jobjob

Based on job descriptionBased on job description Service and Respect—functions of Service and Respect—functions of

ALL University jobsALL University jobs. . Look at whole pictureLook at whole picture

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Review of Part IReview of Part I

How the individual ties in with the How the individual ties in with the UniversityUniversity CollaborationCollaboration AdaptabilityAdaptability Representative of UniversityRepresentative of University

How the individual does the specific How the individual does the specific jobjob Job knowledgeJob knowledge Quantity and quality of workQuantity and quality of work

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RatingRating

Rate each individual responsibility Rate each individual responsibility quantitatively or qualitativelyquantitatively or qualitatively Exceeds ExpectationsExceeds Expectations Between Meets and ExceedsBetween Meets and Exceeds Meets ExpectationsMeets Expectations Between Meets and Needs ImprovementBetween Meets and Needs Improvement Needs Improvements/Below ExpectationsNeeds Improvements/Below Expectations UnacceptableUnacceptable

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Exceeds Expectations RatingExceeds Expectations Rating

Employee Employee significantlysignificantly exceeds the exceeds the expectations related to this section of the expectations related to this section of the evaluation. This rating is very unique and evaluation. This rating is very unique and difficult to achieve because it represents difficult to achieve because it represents consistently exceptional performance or consistently exceptional performance or achievement beyond the expectations of achievement beyond the expectations of the positionthe position. . A definitive, significant result A definitive, significant result must be cited.must be cited.

Requires written supportive information.Requires written supportive information.

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Between Meets and Between Meets and Exceeds ExpectationsExceeds Expectations

Employee demonstrates understanding of Employee demonstrates understanding of work beyond assigned area of work beyond assigned area of responsibility. responsibility.

Identifies needs and executes beyond Identifies needs and executes beyond assigned job responsibilities. assigned job responsibilities.

Performs well above expectations based Performs well above expectations based on the job descriptionon the job description

This rating requires written supportive This rating requires written supportive information.information.

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Meets ExpectationsMeets Expectations

Employee independently and Employee independently and competently performs all aspects of competently performs all aspects of the responsibility or goal. This the responsibility or goal. This indicates consistently good indicates consistently good performance at the level expected of performance at the level expected of a fully trained, capable individual.a fully trained, capable individual.

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Between Meets Expectations & Between Meets Expectations & Needs ImprovementNeeds Improvement

Employee (new to position) exhibits Employee (new to position) exhibits appropriate progress in the course of appropriate progress in the course of learning the responsibilities of a new learning the responsibilities of a new position.position.

Employee (seasoned in position) is not Employee (seasoned in position) is not performing all duties up to the level performing all duties up to the level expected.expected.

Performance Plan is typically indicated.Performance Plan is typically indicated. Written supportive information required.Written supportive information required.

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Needs ImprovementNeeds Improvement

Employee fails to meet expected job Employee fails to meet expected job standards and must show change in standards and must show change in performance to competently perform performance to competently perform most aspects of this responsibility.most aspects of this responsibility.

This rating requires a written This rating requires a written Performance Plan and timeline for Performance Plan and timeline for improvement.improvement.

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Review Job DescriptionReview Job Description

Review and update job description as Review and update job description as necessarynecessary

Sign off on completed job description Sign off on completed job description and include with performance and include with performance appraisal.appraisal.

If there are updates, send to HR in If there are updates, send to HR in electronic format.electronic format.

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Part II: Overall RatingPart II: Overall Rating

The “Big Picture”The “Big Picture” Add comments as to why the person Add comments as to why the person

is receiving this rating.is receiving this rating. How the individual is performing the How the individual is performing the

job as a whole.job as a whole.

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Part IIIPart IIISetting & Monitoring GoalsSetting & Monitoring Goals

Remember that goals should always Remember that goals should always tie to the Mission and Values of the tie to the Mission and Values of the University and the department.University and the department.

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Part IIIPart IIISetting & Monitoring GoalsSetting & Monitoring Goals

Supervisor and Staff member work Supervisor and Staff member work together to establish annual together to establish annual performance goalsperformance goals

Review goals throughout the year for Review goals throughout the year for relevance, adjust as necessaryrelevance, adjust as necessary

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Review of Part IIReview of Part IISetting & Monitoring GoalsSetting & Monitoring Goals

Be SMART:Be SMART: Specific Specific goals outline exactly what the goals outline exactly what the

organization hopes to accomplishorganization hopes to accomplish Measurable Measurable goals can be evaluated to goals can be evaluated to

determine whether they have been determine whether they have been accomplishedaccomplished

Action-Oriented Action-Oriented goals specify the actions goals specify the actions you will takeyou will take

RealisticRealistic goals are attainable but goals are attainable but challengingchallenging

Time-Oriented Time-Oriented goals have a specific goals have a specific amount of time in which to be accomplishedamount of time in which to be accomplished

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Review of Part IIReview of Part IISetting & Monitoring GoalsSetting & Monitoring Goals

Pursuing excellence is a collaborative Pursuing excellence is a collaborative effort. Cooperation wins over competition effort. Cooperation wins over competition every timeevery time

Goals are guideposts that reflect the Goals are guideposts that reflect the success of the organizationsuccess of the organization

Understanding each other’s priorities leads Understanding each other’s priorities leads to the success of all individuals within the to the success of all individuals within the departmentdepartment

Compatible goals promote trustCompatible goals promote trust

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Review of Part IIReview of Part IISetting & Monitoring GoalsSetting & Monitoring Goals

Samples of goals:Samples of goals: We will increase transfer admissions by We will increase transfer admissions by

12% over last year12% over last year We will conduct department meetings We will conduct department meetings

once per month with a published once per month with a published agenda so that employees can come agenda so that employees can come prepared to offer input on meeting prepared to offer input on meeting topicstopics

We will complete customer service We will complete customer service training by April 15training by April 15

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Common Appraisal ErrorsCommon Appraisal Errors Halo EffectHalo Effect Leniency/SeverityLeniency/Severity Central TendencyCentral Tendency Recency EffectRecency Effect Contrast EffectContrast Effect SubjectivitySubjectivity BiasesBiases Poorly Planned MeetingPoorly Planned Meeting Unprepared SupervisorUnprepared Supervisor

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Common Errors: Halo EffectCommon Errors: Halo Effect Also known as “Halo and Horns”Also known as “Halo and Horns” Refers to the tendency to rate Refers to the tendency to rate

based on one outstandingly based on one outstandingly positive or negative aspect of the positive or negative aspect of the individual’s overall performance.individual’s overall performance.

The ratings for other aspects of The ratings for other aspects of performance will mirror the performance will mirror the outstanding aspect, regardless of outstanding aspect, regardless of actual level of performance.actual level of performance.

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Common Errors: Leniency/SeverityCommon Errors: Leniency/Severity

The tendency to either rate all The tendency to either rate all individuals in a group very high or very individuals in a group very high or very low.low.

““All my people are stars and deserve All my people are stars and deserve the highest rating.”the highest rating.”

““No one can get higher than ‘meets No one can get higher than ‘meets expectations,’ I don’t believe in it.”expectations,’ I don’t believe in it.”

Leads to frustration for the person Leads to frustration for the person evaluated, as no true picture of evaluated, as no true picture of strengths and challenges can emerge.strengths and challenges can emerge.

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Common Errors: Central TendencyCommon Errors: Central Tendency

Similar to Leniency and SeveritySimilar to Leniency and Severity Rating right down the middle.Rating right down the middle. AKA “the easy way out.”AKA “the easy way out.” Produces little value for the Produces little value for the

evaluated employee as little thought evaluated employee as little thought is behind the rating.is behind the rating.

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Common Errors: Recency EffectCommon Errors: Recency Effect

The tendency to remember what The tendency to remember what happened in the month or two before happened in the month or two before the evaluation, at the expense of the the evaluation, at the expense of the other 10 to 11 months of the year.other 10 to 11 months of the year.

Keep notes over the course of the Keep notes over the course of the year of good and negative events. year of good and negative events. Will help in creating a full picture. Of Will help in creating a full picture. Of course, events should be course, events should be recognized/addressed at the time as recognized/addressed at the time as wellwell

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Common Errors: Contrast EffectCommon Errors: Contrast Effect

The tendency to compare employees The tendency to compare employees against each other as opposed to against each other as opposed to against the standards of the job.against the standards of the job.

Refer to the job description, remind Refer to the job description, remind yourself that each employee has yourself that each employee has different strengths and challenges.different strengths and challenges.

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Common Errors:Common Errors:Subjectivity & BiasesSubjectivity & Biases

Performance Appraisal by its nature Performance Appraisal by its nature contains subjectivity. The goal is to contains subjectivity. The goal is to minimize it, to focus on behaviors minimize it, to focus on behaviors and the job description as much as and the job description as much as possible.possible.

Bias should be carefully monitored as Bias should be carefully monitored as well. Focus on behaviors and the job well. Focus on behaviors and the job at hand, not politics, etc.at hand, not politics, etc.

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Common Errors:Common Errors:Poorly Planned MeetingPoorly Planned MeetingUnprepared SupervisorUnprepared Supervisor

Have an agendaHave an agenda Keep the session moving forward in a Keep the session moving forward in a

positive mannerpositive manner Follow the guidelines for mentoring Follow the guidelines for mentoring

and appraisal meetings (below)and appraisal meetings (below)

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Legal Aspects of Performance Appraisals

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Tips for Legal AppraisalTips for Legal Appraisal

Focus on behavior, not the individualFocus on behavior, not the individual Be fair – remember Appraisal ErrorsBe fair – remember Appraisal Errors Consistent / Continuous FeedbackConsistent / Continuous Feedback Document ~ Document ~ DocumentDocument ~ Document ~ Document Do you have what you need for Fact Do you have what you need for Fact

Finding?Finding?

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The Performance Appraisal The Performance Appraisal Meeting: An Opportunity for Meeting: An Opportunity for

MentoringMentoring

Mentor: A wise advisor;A teacher or coach

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During Evaluation MeetingDuring Evaluation Meeting

First ask for employee comments and First ask for employee comments and suggestionssuggestions

Be sincere, stay job oriented and objectiveBe sincere, stay job oriented and objective Summarize previous memos/suggestionsSummarize previous memos/suggestions Suggest new approaches with timelinesSuggest new approaches with timelines Use good 2-way communicationsUse good 2-way communications

Active listening, paraphrasing and restatingActive listening, paraphrasing and restating Use different approach for different Use different approach for different

employeesemployees

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Improving Performance EvaluationsImproving Performance Evaluations

Review traits of the best performance Review traits of the best performance appraisalsappraisals Objective, caring and honestObjective, caring and honest Evaluation is not a surprise – frequent Evaluation is not a surprise – frequent

feedback has been given feedback has been given Encourage and reward good performanceEncourage and reward good performance Give specific and firm feedback for poor Give specific and firm feedback for poor

performanceperformance

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After Evaluation MeetingAfter Evaluation Meeting Finalize Form - Add your comments and Finalize Form - Add your comments and

signature signature Give to employee for comments and Give to employee for comments and

signaturesignature Give copy to supervisor for review Give copy to supervisor for review Give copy to employeeGive copy to employee Send signed original to Human Send signed original to Human

Resources for employee file Resources for employee file Set date for planning meeting for next Set date for planning meeting for next

yearyear

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How Mentoring WorksHow Mentoring Works

Provides coaching/encouragementProvides coaching/encouragement Protects protégé from adverse Protects protégé from adverse

forcesforces Encourages positive Encourages positive

advancement/assignmentsadvancement/assignments Provides personal supportProvides personal support Role models appropriate behaviorsRole models appropriate behaviors

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Guidelines for Mentoring Guidelines for Mentoring DialogueDialogue

My role is not to control, take over My role is not to control, take over or simply provide answersor simply provide answers

My role is to give guidanceMy role is to give guidance We learn and grow togetherWe learn and grow together Beware of my own hidden agendasBeware of my own hidden agendas I will view my protégé as a I will view my protégé as a

colleaguecolleague

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Positive ReinforcementPositive Reinforcement

Used to increase the frequency of aUsed to increase the frequency of a

preferred/desirable behavior on the preferred/desirable behavior on the partpart

of the employeeof the employee

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Types of Positive Types of Positive ReinforcementReinforcement

Praise/recognitionPraise/recognition MonetaryMonetary Time off for good performanceTime off for good performance Respect from othersRespect from others Trophies/plaquesTrophies/plaques Flexibility of hoursFlexibility of hours

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Performance Improvement Performance Improvement PlansPlans

When Positive Reinforcement isn’t When Positive Reinforcement isn’t enough to bring about needed change enough to bring about needed change in an employee’s performance.in an employee’s performance.

Objective:Objective: To provide the employee with the To provide the employee with the

structure, tools and feedback from structure, tools and feedback from appropriate individuals that will enable appropriate individuals that will enable the employee to improve performance the employee to improve performance and to better contribute to the goals of and to better contribute to the goals of the university.the university.

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Performance Improvement Performance Improvement PlansPlans

Typical components of a Plan:Typical components of a Plan: Training to assure the employee has the Training to assure the employee has the

needed informationneeded information MonitoringMonitoring Mentoring and/or “buddying” the with Mentoring and/or “buddying” the with

superior performerssuperior performers Feedback: Communication is KEYFeedback: Communication is KEY Again, document ~ document ~ Again, document ~ document ~

documentdocument

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Performance Improvement Performance Improvement PlansPlans

Informal, documented discussionsInformal, documented discussions Written performance plan with time frameWritten performance plan with time frame Status review meetings during time frameStatus review meetings during time frame Resulting in either…Resulting in either…

Positive outcome and productive employee Positive outcome and productive employee OrOr

Final warning at 15-30 days prior to end of Final warning at 15-30 days prior to end of time frametime frame

Termination Termination

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SummarySummary

Reviewed the Performance Appraisal Reviewed the Performance Appraisal Document and ProcessDocument and Process

Learned tips on how to prepare fair Learned tips on how to prepare fair and accurate evaluationsand accurate evaluations

Learned to use the Performance Learned to use the Performance appraisal meeting as a mentoring appraisal meeting as a mentoring opportunityopportunity

Learned to create Performance Plans Learned to create Performance Plans and monitor resultsand monitor results

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Discussion & QuestionsDiscussion & Questions