1. 1 The Performance Appraisal as a Management Tool

2. 2 Pop Quiz A list of criticisms and suggestions for improvement aren’t worth much without a plan for accomplishing them. A list of criticisms and suggestions for improvement aren’t worth much without a plan for accomplishing them. TRUE: People need a plan and they need management support to accomplish new objectives. TRUE: People need a plan and they need management support to accomplish new objectives.

3. 3 Pop Quiz Individuals must have both the ability and the desire if they are to change their behaviors. Individuals must have both the ability and the desire if they are to change their behaviors. TRUE: The fine points about what people need in order to get the job done and what will motivate them to stay on track must be worked out in a face-to-face conversation with their supervisors. TRUE: The fine points about what people need in order to get the job done and what will motivate them to stay on track must be worked out in a face-to-face conversation with their supervisors.

4. 4 Pop Quiz Strong performers have no desire to change. Strong performers have no desire to change. FALSE: Even strong performers need new goals to stay fresh. In fact, they’re often more in need of a challenge than the average performer. FALSE: Even strong performers need new goals to stay fresh. In fact, they’re often more in need of a challenge than the average performer.

5. 5 Goals of Session To Review the Performance Appraisal Document and Process To Review the Performance Appraisal Document and Process To Learn to Prepare Fair and Accurate Evaluations To Learn to Prepare Fair and Accurate Evaluations To Learn to Use the Performance Appraisal Meeting as a Mentoring Opportunity To Learn to Use the Performance Appraisal Meeting as a Mentoring Opportunity To Learn to Create Performance Plans and Monitor Results To Learn to Create Performance Plans and Monitor Results

6. 6 Description of our Current Performance Appraisal System

7. 7 Mission Statement Aurora University an inclusive community dedicated to the transformative power of learning Aurora University an inclusive community dedicated to the transformative power of learning

8. 8 OVERVIEW OF EVALUATION Part I: achievements and behaviors related to individual, departmental, and institutional performance Part I: achievements and behaviors related to individual, departmental, and institutional performance Part II: Overall Rating, review last year’s goals in this section Part II: Overall Rating, review last year’s goals in this section Part III: Annuals goals and development Part III: Annuals goals and development

9. 9 Review of Part I Performance related to the specific job Performance related to the specific job Based on job description Based on job description Service and Respect—functions of ALL University jobs. Service and Respect—functions of ALL University jobs. Look at whole picture Look at whole picture

10. 10 Review of Part I How the individual ties in with the University How the individual ties in with the University Collaboration Collaboration Adaptability Adaptability Representative of University Representative of University How the individual does the specific job How the individual does the specific job Job knowledge Job knowledge Quantity and quality of work Quantity and quality of work

11. 11 Rating Rate each individual responsibility quantitatively or qualitatively Rate each individual responsibility quantitatively or qualitatively Exceeds Expectations Exceeds Expectations Between Meets and Exceeds Between Meets and Exceeds Meets Expectations Meets Expectations Between Meets and Needs Improvement Between Meets and Needs Improvement Needs Improvements/Below Expectations Needs Improvements/Below Expectations Unacceptable Unacceptable

12. 12 Exceeds Expectations Rating Employee significantly exceeds the expectations related to this section of the evaluation. This rating is very unique and difficult to achieve because it represents consistently exceptional performance or achievement beyond the expectations of the position. A definitive, significant result must be cited. Employee significantly exceeds the expectations related to this section of the evaluation. This rating is very unique and difficult to achieve because it represents consistently exceptional performance or achievement beyond the expectations of the position. A definitive, significant result must be cited. Requires written supportive information. Requires written supportive information.

13. 13 Between Meets and Exceeds Expectations Employee demonstrates understanding of work beyond assigned area of responsibility. Employee demonstrates understanding of work beyond assigned area of responsibility. Identifies needs and executes beyond assigned job responsibilities. Identifies needs and executes beyond assigned job responsibilities. Performs well above expectations based on the job description Performs well above expectations based on the job description This rating requires written supportive information. This rating requires written supportive information.

14. 14 Meets Expectations Employee independently and competently performs all aspects of the responsibility or goal. This indicates consistently good performance at the level expected of a fully trained, capable individual. Employee independently and competently performs all aspects of the responsibility or goal. This indicates consistently good performance at the level expected of a fully trained, capable individual.

15. 15 Between Meets Expectations & Needs Improvement Employee (new to position) exhibits appropriate progress in the course of learning the responsibilities of a new position. Employee (new to position) exhibits appropriate progress in the course of learning the responsibilities of a new position. Employee (seasoned in position) is not performing all duties up to the level expected. Employee (seasoned in position) is not performing all duties up to the level expected. Performance Plan is typically indicated. Performance Plan is typically indicated. Written supportive information required. Written supportive information required.

16. 16 Needs Improvement Employee fails to meet expected job standards and must show change in performance to competently perform most aspects of this responsibility. Employee fails to meet expected job standards and must show change in performance to competently perform most aspects of this responsibility. This rating requires a written Performance Plan and timeline for improvement. This rating requires a written Performance Plan and timeline for improvement.

17. 17 Review Job Description Review and update job description as necessary Review and update job description as necessary Sign off on completed job description and include with performance appraisal. Sign off on completed job description and include with performance appraisal. If there are updates, send to HR in electronic format. If there are updates, send to HR in electronic format.

18. 18 Part II: Overall Rating The “Big Picture” The “Big Picture” Add comments as to why the person is receiving this rating. Add comments as to why the person is receiving this rating. How the individual is performing the job as a whole. How the individual is performing the job as a whole.

19. 19 Part III Setting & Monitoring Goals Remember that goals should always tie to the Mission and Values of the University and the department.

20. 20 Part III Setting & Monitoring Goals Supervisor and Staff member work together to establish annual performance goals Supervisor and Staff member work together to establish annual performance goals Review goals throughout the year for relevance, adjust as necessary Review goals throughout the year for relevance, adjust as necessary

21. 21 Review of Part II Setting & Monitoring Goals Be SMART: Specific goals outline exactly what the organization hopes to accomplish Specific goals outline exactly what the organization hopes to accomplish Measurable goals can be evaluated to determine whether they have been accomplished Measurable goals can be evaluated to determine whether they have been accomplished Action-Oriented goals specify the actions you will take Action-Oriented goals specify the actions you will take Realistic goals are attainable but challenging Realistic goals are attainable but challenging Time-Oriented goals have a specific amount of time in which to be accomplished Time-Oriented goals have a specific amount of time in which to be accomplished

22. 22 Review of Part II Setting & Monitoring Goals Pursuing excellence is a collaborative effort. Cooperation wins over competition every time Pursuing excellence is a collaborative effort. Cooperation wins over competition every time Goals are guideposts that reflect the success of the organization Goals are guideposts that reflect the success of the organization Understanding each other’s priorities leads to the success of all individuals within the department Understanding each other’s priorities leads to the success of all individuals within the department Compatible goals promote trust Compatible goals promote trust

23. 23 Review of Part II Setting & Monitoring Goals Samples of goals: Samples of goals: We will increase transfer admissions by 12% over last year We will increase transfer admissions by 12% over last year We will conduct department meetings once per month with a published agenda so that employees can come prepared to offer input on meeting topics We will conduct department meetings once per month with a published agenda so that employees can come prepared to offer input on meeting topics We will complete customer service training by April 15 We will complete customer service training by April 15

24. 24 Common Appraisal Errors Halo Effect Halo Effect Leniency/Severity Leniency/Severity Central Tendency Central Tendency Recency Effect Recency Effect Contrast Effect Contrast Effect Subjectivity Subjectivity Biases Biases Poorly Planned Meeting Poorly Planned Meeting Unprepared Supervisor Unprepared Supervisor

25. 25 Common Errors: Halo Effect Also known as “Halo and Horns” Also known as “Halo and Horns” Refers to the tendency to rate based on one outstandingly positive or negative aspect of the individual’s overall performance. Refers to the tendency to rate based on one outstandingly positive or negative aspect of the individual’s overall performance. The ratings for other aspects of performance will mirror the outstanding aspect, regardless of actual level of performance. The ratings for other aspects of performance will mirror the outstanding aspect, regardless of actual level of performance.

26. 26 Common Errors: Leniency/Severity The tendency to either rate all individuals in a group very high or very low. The tendency to either rate all individuals in a group very high or very low. “All my people are stars and deserve the highest rating.” “All my people are stars and deserve the highest rating.” “No one can get higher than ‘meets expectations,’ I don’t believe in it.” “No one can get higher than ‘meets expectations,’ I don’t believe in it.” Leads to frustration for the person evaluated, as no true picture of strengths and challenges can emerge. Leads to frustration for the person evaluated, as no true picture of strengths and challenges can emerge.

27. 27 Common Errors: Central Tendency Similar to Leniency and Severity Similar 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 evaluated employee as little thought is behind the rating. Produces little value for the evaluated employee as little thought is behind the rating.

28. 28 Common Errors: Recency Effect The tendency to remember what happened in the month or two before the evaluation, at the expense of the other 10 to 11 months of the year. The tendency to remember what happened in the month or two before the evaluation, at the expense of the other 10 to 11 months of the year. Keep notes over the course of the year of good and negative events. Will help in creating a full picture. Of course, events should be recognized/addressed at the time as well Keep notes over the course of the year of good and negative events. Will help in creating a full picture. Of course, events should be recognized/addressed at the time as well

29. 29 Common Errors: Contrast Effect The tendency to compare employees against each other as opposed to against the standards of the job. The tendency to compare employees against each other as opposed to against the standards of the job. Refer to the job description, remind yourself that each employee has different strengths and challenges. Refer to the job description, remind yourself that each employee has different strengths and challenges.

30. 30 Common Errors: Subjectivity & Biases Performance Appraisal by its nature contains subjectivity. The goal is to minimize it, to focus on behaviors and the job description as much as possible. Performance Appraisal by its nature contains subjectivity. The goal is to minimize it, to focus on behaviors and the job description as much as possible. Bias should be carefully monitored as well. Focus on behaviors and the job at hand, not politics, etc. Bias should be carefully monitored as well. Focus on behaviors and the job at hand, not politics, etc.

31. 31 Common Errors: Poorly Planned Meeting Unprepared Supervisor Have an agenda Have an agenda Keep the session moving forward in a positive manner Keep the session moving forward in a positive manner Follow the guidelines for mentoring and appraisal meetings (below) Follow the guidelines for mentoring and appraisal meetings (below)

32. 32 Legal Aspects of Performance Appraisals

33. 33 Tips for Legal Appraisal Focus on behavior, not the individual Focus on behavior, not the individual Be fair – remember Appraisal Errors Be fair – remember Appraisal Errors Consistent / Continuous Feedback Consistent / Continuous Feedback Document ~ Document ~ Document Document ~ Document ~ Document Do you have what you need for Fact Finding? Do you have what you need for Fact Finding?

34. 34 The Performance Appraisal Meeting: An Opportunity for Mentoring Mentor: A wise advisor; A teacher or coach

35. 35 During Evaluation Meeting  First ask for employee comments and suggestions  Be sincere, stay job oriented and objective  Summarize previous memos/suggestions  Suggest new approaches with timelines  Use good 2-way communications Active listening, paraphrasing and restating Active listening, paraphrasing and restating  Use different approach for different employees

36. 36 Improving Performance Evaluations  Review traits of the best performance appraisals Objective, caring and honest Objective, caring and honest Evaluation is not a surprise – frequent feedback has been given Evaluation is not a surprise – frequent feedback has been given Encourage and reward good performance Encourage and reward good performance Give specific and firm feedback for poor performance Give specific and firm feedback for poor performance

37. 37 After Evaluation Meeting  Finalize Form - Add your comments and signature  Give to employee for comments and signature  Give copy to supervisor for review  Give copy to employee  Send signed original to Human Resources for employee file  Set date for planning meeting for next year

38. 38 How Mentoring Works Provides coaching/encouragement Provides coaching/encouragement Protects protégé from adverse forces Protects protégé from adverse forces Encourages positive advancement/assignments Encourages positive advancement/assignments Provides personal support Provides personal support Role models appropriate behaviors Role models appropriate behaviors

39. 39 Guidelines for Mentoring Dialogue My role is not to control, take over or simply provide answers My role is not to control, take over or simply provide answers My role is to give guidance My role is to give guidance We learn and grow together We learn and grow together Beware of my own hidden agendas Beware of my own hidden agendas I will view my protégé as a colleague I will view my protégé as a colleague

40. 40 Positive Reinforcement Used to increase the frequency of a preferred/desirable behavior on the part of the employee

41. 41 Types of Positive Reinforcement Praise/recognition Praise/recognition Monetary Monetary Time off for good performance Time off for good performance Respect from others Respect from others Trophies/plaques Trophies/plaques Flexibility of hours Flexibility of hours

42. 42 Performance Improvement Plans When Positive Reinforcement isn ’ t enough to bring about needed change in an employee ’ s performance. When Positive Reinforcement isn ’ t enough to bring about needed change in an employee ’ s performance. Objective: Objective: To provide the employee with the structure, tools and feedback from appropriate individuals that will enable the employee to improve performance and to better contribute to the goals of the university. To provide the employee with the structure, tools and feedback from appropriate individuals that will enable the employee to improve performance and to better contribute to the goals of the university.

43. 43 Performance Improvement Plans Typical components of a Plan: Typical components of a Plan: Training to assure the employee has the needed information Training to assure the employee has the needed information Monitoring Monitoring Mentoring and/or “buddying” the with superior performers Mentoring and/or “buddying” the with superior performers Feedback: Communication is KEY Feedback: Communication is KEY Again, document ~ document ~ document Again, document ~ document ~ document

44. 44 Performance Improvement Plans Informal, documented discussions Informal, documented discussions Written performance plan with time frame Written performance plan with time frame Status review meetings during time frame Status review meetings during time frame Resulting in either… Resulting in either… Positive outcome and productive employee Positive outcome and productive employee Or Or Final warning at 15-30 days prior to end of time frame Final warning at 15-30 days prior to end of time frame Termination Termination

45. 45 Summary Reviewed the Performance Appraisal Document and Process Reviewed the Performance Appraisal Document and Process Learned tips on how to prepare fair and accurate evaluations Learned tips on how to prepare fair and accurate evaluations Learned to use the Performance appraisal meeting as a mentoring opportunity Learned to use the Performance appraisal meeting as a mentoring opportunity Learned to create Performance Plans and monitor results Learned to create Performance Plans and monitor results

46. 46 Discussion & Questions