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1. Performance Appraisals for Professional Staff Alan Napier
Library Human Resources Officer
Steve Garwood
Staff Training and Development Coordinator
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:
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 Flip chart answers and address at endFlip chart answers and address at end
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 Flip chart answers and address at endFlip chart answers and address at end
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
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