Supervisor’s Guide to Conducting Performance Appraisals Monday, May 16, 2011 – Thursday, June 30, 2011
Table of Contents Introduction
2
Preparing for the Performance Appraisal Meeting
4
Performance Management Process
5
Supervisor Checklist
6
Conducting the Meeting
8
Common Tendencies to Avoid
10
Required Competencies and Key Indicators
12
Performance Standards
19
Employee Online User Guide
20
Supervisor Online User Guide
22
Next Step: Setting
25
Goals
Goal Setting Exercise
26
FAQ’s
27
Introduction Emmanuel College’s annual Performance Appraisal Program is a process for enhancing job performance and increasing communication between the supervisor and the staff member. The Performance Appraisal Program is an opportunity to guide staff development. Done effectively, performance appraisals build rapport between supervisors and staff, create a link between individual and institutional goals, and serve as a guide for continuous improvement and learning. The Performance Appraisal Program is comprised of two components; the online appraisal tool through www.interviewexchange.com and a face-to-face meeting between supervisor and employee. The following describes the specific benefits that the Performance Appraisal provides to staff, supervisors and to the College.
For staff, the College’s Performance Appraisal Program offers opportunities for: · · · ·
increasing job satisfaction; training/professional development; promoting a sense of ownership and self-direction; improving job performance.
For supervisors, effective performance appraisals of staff can: · · · · · ·
yield better teamwork and cooperation; set clearer expectations; produce better departmental performance; clarify roles as supervisor and mentor; improve job performance; develop the supervisor as a leader.
For the College, effective performance evaluations contribute to: · better service to students and other members of the community; · staff alignment with strategic goals; · enhancement of a climate that values all employees; · an overall improvement in work performance; and, · engaged employees who go above and beyond individual job requirements to contribute to the success of the College.
Preparing for the Performance Appraisal Meeting Schedule the meeting several days in advance. This will allow the staff member time to prepare to contribute to the discussion. Before the meeting, examine your own role as a supervisor. Have you provided the staff member with adequate support, clear instructions, sufficient training and routine feedback about his/her job performance? Review any relevant documents, especially goals established during the previous year. Carefully define the results you hope to achieve in this meeting. Ensure privacy and avoid interruptions.
Performance Management Process Define Job Responsibilities
Planning
Set Expectations
Appraise Performance
Manage/Coach
Supervisor Checklist Before sitting down to complete the Performance Appraisal, it is helpful to gather the following information and documents for your own review and reference:
Employee’s job description; Date employee began present position; Employee’s attendance during past year; Your notes regarding the employee’s performance during the past year; Current projects the employee is working on and employee’s progress; Examples of work problems you want to discuss; Examples of employee’s work over the past year and recent work; How employee relates to co-workers, students, and others; Level of employee’s technical skills; Employee’s educational background and experience; List of job and career objectives drawn up during past performance review; List of training and development courses attended by employee during past year; List of available training courses appropriate for employee for upcoming year.
When completing the evaluation form, consider whether the employee met his/her goals for the period. If not, were there any outside circumstances that limited the employee’s ability to meet goals? Did you provide the employee with feedback on progress toward goals during the year? Do you have records of specific examples of successes, improvements, or weaknesses? When rating an employee on different factors, base the ratings on how well the employee performed his/her job. Be careful of dramatic ratings such as “exceeds expectations” to “needs improvement.” The supervisor must discuss all “needs improvement” ratings with the Office of Human Resources. All comments made should be meaningful and consistent with performance rankings.
Conducting the Meeting Begin by emphasizing your supportive intentions. Describe your agenda for the meeting in positive terms and invite the staff member to ask questions, express concerns or comment on the process during this meeting. Remind the staff member that improving communications and generating a continuing dialogue are central to the performance appraisal process. Focus on job performance, not the person. Avoid generalizations. Be able to support your feedback with specific examples.
Emphasize strengths and accomplishments as often as possible. Acknowledge the staff member’s efforts, skills and talents and how they have contributed to your department’s success and the overall success of the College. Keep the staff member involved in the discussion. Listen carefully to your staff member’s comments. You might discover skills and interests that can benefit your department and the college. Focus on the future. End on a positive note by discussing anticipated achievements for the next year.
Common Tendencies to Avoid Rating Tendency
Explanation
Halo Effect
A tendency to rate an employee high on all competencies because they excel in one area.
Horn Effect
A tendency to rate an employee low on all competencies because they need improvement in one area.
Central Tendency
Rating performance as average or around the midpoint. This is the most common and serious of the rater tendencies.
Recent Behavior
Basing the rating on recent performance on a project rather than overall performance throughout the past year.
Spillover Effect
Allowing past performance appraisals to unjustly influence current ratings.
Status Effect
Over-rating employees in jobs held in high esteem and under-rating employees in lower level jobs or those held in low esteem. Rating an employee higher than deserved because of similar personality traits as the rater. Rating an employee lower than deserved because of different personality traits than the rater.
Same as Me
Different from Me
Keep your appraisal or comments regarding the employee’s performance specific, fair and objective, and based on what occurred during the entire review period. Avoid comparing the employee’s performance to that of other employees. Consider the following criteria when preparing employee performance documentation and evaluations: Criteria
Explanation
Accuracy
Who did what, when, and what was the result?
Behavior
What did the employee actually do?
Completeness
Are all the relevant points covered?
Consistency
Does documentation cover the same performance areas with the same level of detail for all employees in the same job?
Effort
Does employee get credit for taking responsibility, putting in extra time, volunteering, following instructions, etc?
Individualized
Does it relate to the particular employee’s goals?
Measurable
Can progress in meeting performance goals be measured or given numerical support?
Results
Can you show that the employee did or did not complete the task successfully?
Timeliness
Were the employee’s goals met during the current review period?
Required Competencies & Key Indicators
Quality of Service
KEY INDICATORS Responds to requests with an appropriate level of urgency; Anticipates future needs and regularly improves systems and responds as needed; Adapts to change quickly; Applies rules and policies appropriately; Adjusts behavior to fit the situation or person as appropriate; Modifies plans and goals to meet changing institutional demands and opportunities; Capitalizes on opportunities to reduce costs, improve student service, increase productivity, increase student satisfaction, improve decision -making and reduce waste.
Engagement & Initiative
KEY INDICATORS
Commits fully to the mission of the College; Stays current in own job field and is committed to professional development; Demonstrates a willingness to go beyond the boundaries of the job to benefit others; Seeks ways to better understand the needs of students and to improve service to all constituencies; Anticipates internal and external forces that will impact the future effectiveness and efficiency of the College and responds with needed change; Incorporates the College’s mission and values into development plans; Is a self-starter who develops new ideas/solutions; Sets high standards for own work; Reaches decisions based on the highest ethical standards.
Commitment & Accountability
KEY INDICATORS: Arrives on time ready to work; Has a minimum of unplanned absences; Returns calls/voice mails/e-mails in a timely manner; Produces work that is free from error; Demonstrates strong attention to detail; Arrives at appointments, meetings and events on time; Uses technology efficiently and effectively; Works in a safe manner; Demonstrates appropriate technical expertise; Follows supervisor’s standards and guidelines for the established goals and outcomes; Performs duties in accordance with College policy; Makes effective use of time and follows through on assigned tasks.
Communication
KEY INDICATORS Expresses ideas effectively through written and oral communication; Gives clear direction; Actively listens; Deals effectively with angry or demanding people; Consults with supervisor about actual or potentially sensitive issues; Assumes responsibility for communicating relevant information to supervisor on a timely basis; Listens to and considers the view of others; considers the advantages, disadvantages, usefulness, potential results and other relevant factors of alternatives; Has open communication style and sets others at ease in conversations, and encourages positive interaction; Ensures clear, accurate understanding of requests by listening attentively and asking appropriate questions; Clearly and patiently explains why certain requests cannot be met and provides appropriate alternatives.
Teamwork & Cooperation
KEY INDICATORS Maintains effective working relationships with co-workers, supervisors and the public; Treats co-workers with honesty, courtesy and respect; Functions effectively with administrative peers; Has a manner of dealing with people that encourages joint problem-solving, openness and candor; Works effectively with people across organizational boundaries; Refers to others appropriately; Takes ownership of problems and avoids finger pointing.
Leadership & Management (For supervisor employees only)
KEY INDICATORS Gives clear direction; Delegates decision-making; Develops others; Makes appropriate decisions; Gives criticism and praise correctly and is consistent with all staff; Encourages flexibility and personal initiative by others; Shares information and keeps people-up to-date; Solicits input, ideas and expertise of others; Builds team spirit; Resolves conflict quickly; Works as a facilitator and coach; Encourages participative decision-making; Holds employee accountable for problem-solving and continuous streamlining of work processes; Ensures that employees are trained appropriately; Incorporates the College’s mission into the goals of the department.
Performance Standards Exceeds Expectations Performance clearly surpasses the fully proficient level for this period. The employee who reaches this level of excellence does so through truly unique and exceptional application of knowledge, skill, and/or ability that may be difficult to sustain over time. Meets Expectations Performance is what would be expected of an employee who is fully experienced and qualified. The individual who reaches this level of performance can be depended upon consistently to attain the expected results. Minimally Meets Expectations Performance only marginally meets the requirements of the position. The employee demonstrates an inconsistent level of achievement and requires more direction and guidance than normally expected for routine functions. Needs Improvement Performance does not meet what is required. Performance is unsatisfactory and little or no significant developmental progress or improvement has been evidenced. Improvement is essential; corrective action planning is required.
Employee Online User Guide 1. Supervisor invites Employee to complete a selfappraisal. Generally the supervisor gives 3-5 days to complete it. 2. Employee completes the self-appraisal A. Login to Interview Exchange www.interviewexchange.com B. Click “Start Review” from the Dashboard C. Type Employee Name, Position, and Supervisor’s Name D. Select “Annual Review” for review period; and Department E. Click “Create Form”
F.
Click Self-Appraisal (+) sign to view and complete the questions. Make sure to click “Save” for each section.
G. Click “Complete Form” to notify Supervisor that the self-appraisal was completed. 4. Supervisor will then rate Employee on the required competencies. After Supervisor completes this portion, Employee will receive a notification to review the performance appraisal. 5. Supervisor will schedule an appraisal meeting with Employee to discuss the performance appraisal. 6. Employee will then acknowledge receipt of the performance appraisal, acknowledging they have been given an opportunity to examine the contents and certifying that job performance was reviewed and discussed..
Supervisor
Online User Guide 1. Supervisor invites Employee to complete a selfappraisal. Generally the supervisor gives 3-5 days to complete it. 2. Supervisor will receive an e-mail when Employee completes a self-appraisal. Supervisor will then review Employee’s self-appraisal and evaluate the required competencies. A. Login to Interview Exchange www.interviewexchange.com B. Click “My Team Reviews” C. Select “Annual Review” D. Click “Edit” to complete supervisor section.
E. Click copy in the self-appraisal section in order to show the Supervisor reviewed Employee’s selfappraisal. Make sure to save each question.
F. Cut and paste Employee’s job description in the job description section. G. Rate the Employee on the required competencies using drop down scale and comments. Please note that details for each competency can be found by clicking on the links. Make sure to save each question.
H. Click “Complete Form” when finished with each question. I. Add appropriate names on the routing list for approval. J. Click “Send for Routing”
3. After both Supervisor and Employee have reviewed the final appraisal they must both click “Acknowledge Receipt” for the appraisal to be routed to the Office of Human Resources.
Next Step: Setting Goals During the performance appraisal meeting, the supervisor and employee should also discuss goals for the year. Both should be prepared with a draft of 3-5 possible goals for the year. Goal setting is a two-way process and it is critical that the employee understands and agrees upon the goals and expected outcomes. A good way to begin thinking about goals is to examine the main job responsibilities of a position or the projects that you need to complete within the year. Some goals may be personal, some departmental, and some professional. All goals must be relevant to the employee’s position and should be written as S.M.A.R.T. Goals. S.M.A.R.T. Goals are goals that are Specific, Measureable, Attainable, Relevant and Timely. Example of a S.M.A.R.T. Goal: 1. My goal is to create a spreadsheet for the budget. (Specific) 2. This spreadsheet will track expenditures on a monthly basis. (Measureable) 3. I have the Excel skills to complete this task. (Attainable) 4. Creating this spreadsheet will reduce errors and help the department meet its goals. (Relevant) 5. The creation of this spreadsheet will take approximately two weeks to complete. (Timely)
Goal Setting Exercise Once goals have been developed and mutually agreed upon, the Goal Setting Exercise should be completed. If the employee has written more than three goals, attach an additional page to the document. The form should be kept by the supervisor and the employee and reviewed throughout the year. This form can be downloaded from the performance appraisal instructions on Interview Exchange.
FAQ’s Q: A: Q: A: Q: A: Q: A: Q: A:
Are performance appraisals done annually or by anniversary date? Beginning in May of 2011, the College is moving from an anniversary date to a focal (common date) performance appraisal program. If I have recently conducted a performance appraisal for a staff member do I need to complete the process again through the new system? If you have conducted a performance appraisal prior to January 1, 2011 you will need to complete the process through our new system. What method should I use to invite the employee to complete a self-appraisal? Supervisors may send an e-mail, call, or have a face-to-face meeting with an employee to ask them to complete a self-appraisal. How long do I give the employee to complete the selfappraisal? Generally supervisors should give 3-5 business days for the employee to complete the self-appraisal. How does the employee receive a user id and password to Interview Exchange? The Office of Human Resources will initially set up all employees in the system. The employee will then receive an auto-generated e-mail directing them to www.interviewexchange.com to register.
Q: A:
Q: A:
Why does the supervisor need to click on “copy” for each of the employee’s self-appraisal questions? Clicking “copy” indicates that you have reviewed the employee’s responses. It does not indicate that you agree with them. How do I respond if an employee disagrees with my appraisal of his or her performance? You should discuss the differences with the employee in an effort to reach a mutually satisfying resolution. If you are unable to achieve such a resolution, you should arrange for the employee to discuss the appraisal with the next level of supervision who would consider the reason for disagreement and discuss the matter with both of you to seek a resolution.
Q: A:
What is the process if a resolution cannot be reached? If a resolution cannot be reached, the employee should prepare a written statement of the reasons he or she disagrees with the appraisal. This statement should be sent to the Director of Human Resources within five working days after the appeal. The Director of Human Resources will review the information and discuss the matter with the employee and supervisor within ten business days.
Q:
If an employee approves the performance appraisal does that indicate that he or she agrees with the appraisal? Not necessarily. Clicking on “Approved” only indicates that the employee has been given the opportunity to examine the contents of the appraisal and that his or her job performance was reviewed and discussed.
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For additional support or questions please contact the Office of Human Resources at 617-735-9991.
The Office of Human Resources 400 The Fenway, Boston, MA 02115 www.emmanuel.edu