conducting appraisal

8/14/2019 Conducting Appraisal

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Conducting Effective Appraisal Meetings

Section I Welcome 1

Section II Getting Started 4

Section III Getting Down to Business 8

Section IV Appendix 17

TABLE OF CONTENTS


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Conducting Effective and Comfortable Appraisal Meetings

Appraisals are a way of life for organizations such as the

University of South Dakota. They can be very beneficial because

they tie individual job performance to USDs overall goals. They

also provide USD with useful data by identifying talented

employees who are important to the Universitys future as well as

identifying developmental needs where productivity can be

improved. In addition, performance appraisals convey the message

that employees are accountable for their performance. And finally,

they provide a vehicle for rewarding good performance with pay.

Yet despite these benefits, if youre like many managers, you may

not eagerly anticipate giving your employees appraisal interviews.

In fact, you may be tempted to delay the interview or even avoid it

altogether. Here are just a few of the reasons why:

Appraisals involve confrontation because it requires facingconflict and dealing with disagreement.

Appraisals require an investment in time to plan and conductthem.

Appraisals often lack a systematic format which ensures thatall pertinent issues are covered so that conclusions can be

accurately drawn.

Appraisals are often viewed as futile because its your wordagainst your employees.

In the first Performance Management training module, you learned

how to plan for strong performance by developing performance

goals with your employees. During the second module, you

learned how to provide ongoing informal feedback about the

performance goals throughout the performance cycle. And in thethird training session, you learned how to rate employees fairly

based on how well they performed each goal. In this final training

session, you will learn how to conduct the appraisal meeting with

your employees and discuss your ratings with them. You will gain

the practical skills you need to make the appraisal meeting easier

and more comfortable all the way around.

TRAINING GOALS


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SPECIFICALLY, YOULL LEARN HOW TO:

Structure the meeting so that both positive and negativeinformation regarding performance is sufficiently addressed.

Ensure the employee actively participates in the appraisal meeting.

Develop your employee by planning future performance and areasfor growth.


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Closing the Loop and Charting the Course

The appraisal meeting closes the loop on the employees past

performance and charts a new course for the coming year. There

are two main purposes of the appraisal interview, and those two

purposes often conflict with each other.

The first purpose is to develop employees and give feedbackabout their performance so they can continue to improve in

their work.

The second is to evaluate employees performance so they canreceive a merit increase that reflects their levels of

performance.

The problem is that when you evaluate an employee, it makes him

or her defensive, which in turn may make it more difficult to enter

into a discussion of his or her weaknesses and areas for

improvement. For this reason, it is difficult to make the most of the

appraisal meeting as both a developmental and an evaluation tool.

Merit increases for your employees are based on performance

appraisal scores. This means that employees will naturally want to

emphasize their strengths and will be anxious about their raises. Itwill be your challenge as a manager to conduct developmental

interviews while being sensitive to your employees concern about

the ultimate consequences of the appraisals - their raises.

PastPerformance

FuturePerformance

Purpose of the Appraisal Meeting


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In a developmental appraisal, your goal is to provide both feedback

and ideas to employees -- feedback about what they have done

over the last year and ideas about ways they might improve ormaintain their performance. This includes identifying training

needs as well as other kinds of developmental needs, such as

having an employee work with different kinds of people at the

University or on a variety of projects.

Even though your appraisal will be developmental, it still serves

the purpose of evaluating the employee for a merit increase. It is

difficult for a manager to act as a judge and then, minutes later,

turn into a coach and counselor. From the employees perspective,

Develop employees

Evaluate employees performance


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it is difficult to hear your ideas about development while worrying

about being evaluated.

Naturally, the appraisal meeting should not be the only opportunity

to provide performance feedback to employees. Employees should

receive feedback throughout the performance cycle. On the day of

the performance appraisal, they should not receive any surprises.

Employees should come to the appraisal meeting knowing pretty

well what you think of their work. The conversation should

reinforce and reflect previous coaching sessions. If you have

coached your employees throughout the performance cycle, both

you and they will feel more comfortable with the meeting process.


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Each time you conduct an appraisal meeting with an employee,

youll follow a specific sequence of events.

Adequate Planning And Preparation 1Without preparation by both supervisor and

employees, the full advantages of the meeting are

not realized. You must be prepared to discuss any

setbacks, failures or unachieved goals. Your

employees must also prepare for the evaluation by

completing the self-appraisal and by being ready to

discuss both positive and negative aspects of their performance.

Appraising Employee Performance Relative To Goals 2Your employees want and need to know how

you formally rated their performance over the

past year. You need to not only provide the

ratings, but also discuss the reasons for the

ratings. You should support your reasons with

actual examples that stay focused on performance-related

behaviors.

Planning For Future Performance 3When the focus of the appraisal meeting

changes to future performance, your role

must change from one of a judge to one of an

advisor. You need to develop action plans

with your employees that provide your

employees with strategies to both improve their performance andpursue additional skill areas.

USDs Appraisal Process


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It is helpful that you keep the following in mind before you begin

the appraisal process:

Employees want to improve.

Employees know how to do their job and are sufficientlyinnovative to find ways to improve their performance.

Supervisors and managers have a stake in employees careers,not just in their daily performance.

Rewards are based not only on work quality and productivity,

but also on internal and external customer satisfaction.

Before You Begin the Appraisal Process


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Preparation by Supervisors

The first step is to give the employee sufficient notification of the

date of the meeting. The meeting will seem less important if the

appraisal is delayed or postponed. Therefore, establish a time that

will be convenient for both of you. Also make sure that you allow

sufficient time for you to rate your employees and for your

employees to complete their self-appraisal.

The second step is to provide your employees with the appraisal

form and have them complete the self-appraisal section.

Once you have received and reviewed their self-appraisals, you

must complete the evaluation section of the form by rating your

employees performance. As mentioned in the introduction of this

manual, the Rater Bias module provided you with techniques to

rate your employees fairly based on notes from your coaching

sessions. To make sure youll be fair, you should reread the rater

bias information in that module, follow up on other sources of

objective data and review your coaching notes and the self-

appraisal. Based on these sources of information, you will rate the

employees performance on each goal.

Immediately prior to meeting, review the appraisal form containing

the ratings that you completed for your employee. In addition to

the ratings, consider points to discuss concerning the employees

future performance. Also note any discrepancies that exist between

your ratings and the employees self-appraisal. Be prepared to

address these discrepancies in the meeting. Finally, it is a good

idea to review the communication--skills section of the Coaching

module. Practice paraphrasing techniques and using "I" statements.

In order to be optimally prepared for the interview, select the exact

words to use for introductory statements and to confront

defensiveness. Anticipate problems and be ready to provide

examples to support and illustrate your points.

Planning and Preparing for the Appraisal Process


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Preparation by Employees

While employees will hopefully know their supervisors opinions

of their performance before going into the meeting, they may feel

uncertain about what will actually take place in the meeting in

terms of format and process. Therefore, it is advisable to provide

them a preparation list that delineates all the documents that they

should review and the developmental issues that they should come

prepared to discuss. A copy of this list can be found in the

Appendix.

At the same time that they are provided the preparation list,

employees should also be given the official form and instructed to

complete the self-appraisal section.

Now, all that awaits is the moment of truth -- conducting the

appraisal meeting.


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The meeting should take place in a private area without

interruptions. To conduct the meeting successfully, break the

session into three parts and understand what you want to

accomplish in each part. The interview session should consist of an

opening, a discussion of performance ratings and a discussion of

future performance. The session flows best if you follow this order.

Opening

Performance Ratings

Future Performance

Opening

The opening of the meeting should put the employee at ease as

quickly as possible. During the opening, youll make some small

talk and demonstrate some interest in the employee as a person.

You can help to create a comfortable and calm environment by sit-

ting next to the employee rather than across a desk. The employee

is probably quite anxious at this point; therefore, you should try to

show empathy and to help the employee relax. The most important

element in putting the employee at ease however, is discussing

your approach to the appraisal openly and letting the employee

know that you plan to make this a mutual conversation.

Discussion of Performance Ratings

The most critical part of the discussion of performance ratings is

organizing it for optimum effectiveness. Lets take a look at a

logical progression of steps:

The First Step Of Your Discussion 1You do this by saying, "Id like to start by hearing you talk about

your accomplishments over the last year. What things did you do

that youre really proud of?" The employee should elaborate on the

accomplishments he or she detailed in the self appraisal.

Conducting the Appraisal Meeting

Ask The Em lo ee To Review His Or Her Self-A raisal As


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2 Ask What The Employee Would Like To ImproveThis is done simply by asking, "Where did you feel you could have

done better?"

3 Offer Support For Those Areas For ImprovementAsk the employee: " As you try to work on that in the upcoming

year, what would make it more likely for you to be successful?

What can USD do? What can I do?" Throughout the first three

steps, you will use your active listening skills.

4 Express Your ExpectationsAt this point the floor is yours. Its time for you to share with the

employee what your expectations were and how the employee did

compared to your expectations. Using "I" statements, begin with

something like: "Now, Id like to express to you what I was

looking for and how I saw your performance." The best way to do

this is to present the evaluations to the employee and encourage the

employee to take ample time to read and understand the ratings

and comments.

5 Review Each GoalProvide feedback about the employees performance, using specific

examples. In many cases the employee will have already said

something about this area in the first part of the meeting. It is

important that you relate your comments back to the employees

comments. For example, you might say: "You said earlier that you

were pleased with your efficiency in getting the new system

installed. I had focused on the number of bugs still in the systemwhen we started using it. That was a real problem for me because

so much work had to be redone. But I agree with you that you got

it done more quickly than I expected. I think I would rather have it

done a bit more slowly and have fewer errors."


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Then tell the employee what overall rating you gave him or her for

that performance goal. The rating must reflect the employees

performance relative to the goal. Therefore, the examples should

focus solely on the performance goal. If performance has been

acceptable, you should compliment the employee. However, you

should not offer empty compliments in an attempt to buffer

negative feedback. Also avoid sandwiching compliments between

criticisms. It is important that you present an accurate and fair

assessment in a supportive and non-punitive manner.

While the tone of the appraisal is intended to be positive,

remember you still have to make the hard choice of evaluating

your employees. Many of your employees will receive a "Meets

Expectations" level. It will be helpful if you clarify to the

employee that you see performance at this level as positive, as

what you expect. You can also discuss with the employee what he

or she would need to do to be rated as an "Outstanding" or

"Exceptional" but be careful to keep your word next year if the

person performs according to your expectations.

Ratings 6If there is disagreement, it is important for the supervisor to be

patient and try to understand what the employee is feeling. In fact,

you should repeat what the employee has said so there will be

clarity of understanding. Only when both parties understand one

another is it possible to discuss and resolve differences. Negative

feedback can provide opportunities for improvement, andconveying this is something an effective rater must learn to

practice.

Although the best situation would be for the appraisal meeting to

proceed smoothly, there is the possibility that the employee will

not agree with the appraisal. Do not try to stop the employee from

venting frustration. In many cases, it is prudent to say nothing in

response, but rather just listen. If the person becomes increasingly

rude or abusive, you may end the meeting and reschedule it for the

next day.

Ask The Em lo ee To Verball React To The A raisal


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The most important aspect of the discussion of ratings is the

exchange of viewpoints. Maintaining this communication is

essential to both job improvement and to building a strong working

relationship between the employee and supervisor. Therefore, the

main thing to keep in mind is to promote and encourage dialog. If

there is no verbal communication, distrust and resentment may

emerge. The employee may readily agree with negative feedback

quickly in order to deflect attention from the issue. You will need

to recognize this tactic and control the dialog. Similarly, an

employee may also use tangents in an effort to avoid

uncomfortable discussions. Again, you should recognize the

dynamics and retain control of the meeting.

An employee who is criticized may seek justification in

comparisons to others in the department. Do not be drawn into

discussions concerning other behaviors and other employees. Also,

do not let a persuasive employee force the alteration of an honest

opinion rendered in good faith. This does not mean that your

ratings need to be set in stone. If the employee provides support forhis or her opinion and presents information that you had not

considered, a modification of the rating may be warranted.

Discussion Of Future Performance

The discussion of future performance is very important for

summarizing the evaluation aspect and helping both of you close

the meeting in a positive fashion.

1 Discuss DevelopmentUse all the discussion you and the employee have had so far to

discuss employee development and your role in supporting that

development Be sure again that the approach is to assign mutual

responsibility for the employees success -- the employees efforts

and your use of USDs systems and resources. At the same time, be

clear that it is your responsibility to set stretch goals for employees

and expect them to achieve them. It is also your responsibility to

identify those employees who have the most potential. With that in

mind, it is important to recognize that many employees fall into the"Meets Expectations" rating category and they deserve respect

even though they may not be superstars.


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In order to encourage the employee to participate in the

development discussion, you may want to ask the following

questions:

What are your career goals?

How do think these goals support this departments and the

Universitys overall goals?

What additional skills do you need to realize these goals?

What help do you need from others to achieve these goals?

How can we monitor your progress toward these goals?

Plan For Next Year

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It is probably most convenient if you use the time that you are

together to plan for the coming year. You both can talk generally

about how you can use your experiences of the past year to

improve your relationship and the employees work performance

for the coming review period.

Do The Paperwork

3Following the discussion, you and the employee will complete theTraining and Development Plan section. A copy of the Training

and Development Plan may be found in the Appendix. In addition

to the development goals for next year, make sure you indicate

your responsibilities as well as the employees in order to

accomplish goals. In this section, you should summarize the

development discussion and restate the extent and timing of your

support. Determine what, if any, additional meetings and follow-up

sessions are to be held. Then both of you must sign the form

indicating that the appraisal has been completed.


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4 Request FeedbackFinally, ask if the employee has any remaining thoughts or

feelings. Discuss those, using active listening. If the employee says

no, indicate that you would be glad to talk about the appraisal if he

or she has any second thoughts during the next couple of weeks.


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Your role as supervisor in the performance appraisal is critical.

Providing consistent feedback and winning the trust of the

employee by honest and open verbal exchange are determining

factors in the overall success of The University of South Dakotas

performance management system for non-faculty exempt staff.

The following are effective communication techniques useful in

the appraisal meeting:

Let the employee do most of the talking.

Make a special effort to listen.

Use brief comments such as "I see" or "Uh-huh" to indicate

that youre listening.

Maintain good eye contact.

Ask open-ended questions.

Match your words with appropriate facial and body language.

Paraphrase to ensure understanding.

Use silent pauses to encourage them to discuss sensitive points.

Emphasize points of agreement.

Give examples based on behaviors relating to performancegoals.

Knowing the employees and being aware of their strengths and

weaknesses, coupled with a sincere desire to create job

satisfaction, are ways in which you can decrease the amount of

negative experiences associated with the performance appraisal.

Summary


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1. Review the performance appraisal form.

2. Complete the self-appraisal section of the appraisal form and

return it to your supervisor.

3. Review the report of your last performance review. Be

prepared to discuss goals you achieved, and those that were not

accomplished. Prepare a list of development goals.

4. Write down, or be prepared to discuss the following:

What do you think has been your most valuablecontribution(s) to your department this past year?

Considering the goals on the Appraisal Form, whatwould you have preferred to have done better?

Whats keeping you from reaching your full potential?

What frustrates you, and how can this be alleviated?

What are your career goals or interests?

What can your supervisor do to help you achieve your

goals or interests?

Employee Preparation List


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Employee Self-Appraisal

Instructions

This page to be completed by employee prior to the evaluation of his or her performance.

Accomplishments

Looking over the goals described in this appraisal form, what would you say are your key accomplishments this

year?

Opportunities for Improvement

Considering the goals on this Appraisal Form, what would you have preferred to do better?

Training and Development Plan

Describe your professional development goals and how you plan to reach these goals. Also identify how your

supervisor can assist in your development.


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Employee Training and Development Plan

Training and Development Plan

Describe the ways in which the employee can develop his or her skills to better meet his or her performance and

career goals.

Supervisors Role

Describe how you can assist the employee.

Employee Comments

Please provide feedback regarding the proposed development plan as well as the appraisal process and rating.

Signatures

Employee* Date

Supervisor Date

* My signature signifies that I have had a performance appraisal and read this form. It does not necessarily imply

agreement with the content.

conducting appraisal

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