Performance Appraisals for

Professional Staff

Alan Napier
Library Human Resources Officer
Steve Garwood
Staff Training and Development Coordinator
 Overview
• Why are we here?
• Institutional Compliance
• Other reasons to do performance appraisals
• Why do problems occur?
• Effective performance management
• The performance cycle
• Principles for preparing effective performance appraisals
• Principles for presenting effective appraisals
• Providing feedback
• Forms and procedures
 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
 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:
1. 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.
 Institutional Compliance
• Management Standards Guidebook
 Talks about the role of the supervisor relative
Performance Management
 Supervisors are expected to:
1. Set clear priorities and goals for their respective
departments, in alignment with the larger University
mission and goals
2. Set clear behavioral expectations
3. Provide staff members with ongoing feedback throughout
the year
4. Work with staff to create individual development plans
5. Hold an annual performance appraisal discussion with all
staff members whom they directly supervise.
 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
When Performance Appraisals are:
• 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
 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
Effective performance management
• Effective management of performance
involves:
1. Set clear expectations (goals)
2. Track progress towards achievement
3. Regular two-way communication about performance
throughout the cycle
4. Set milestones and make adjustments (when
necessary)
5. Documenting discussions
6. Promoting ownership
 The Performance Cycle
• Three step process
1. Set expectations
2. On-going tracking and feedback
3. Review progress (annual appraisal)
 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
 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
 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!
 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)
 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
 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)
 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
How do we avoid problems?
Review
 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:
1. Position Description and Activities form
• Describes on-going duties and responsibilities and special
projects/or activities
• Reports progress towards goals that were established
2. Updated CV
3. 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
 P RIN CE TON U N IVE RSITY LIBRARY
P os it ion Descr ipt ion
a n d Act ivit ies F or m

N a m e of Libr a ria n : ____________________________________________________

J ob Tit le a nd Ran k: ____________________________________________________

Libr a r y Depa r tm en t/Division: ___________________________________________

Da t e: ____________________ P er iod Un der Review: ______________

Description of Characteristic Duties and Responsibilities

Describe you r on -goin g du t ies an d areas of au t horit y and respon sibility . I f n o ch an ge h as occu rred sin ce last
y ear, in dicate th at an d at t ach th e descript ion com ple ted earlie r w h ich is st ill ap plicable. L ist : (a) Prim ary on -
going du t ies an d (b) S pecial project s and/or activit ies.

T h e abov e shou ld re flect con cu rren ce on t h e part of th e supervisor.

Da t e: _____________ ________________________________
Libr a r ian

________________________________
S uper visor
 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
 CON F IDE N T IAL

P RI N CE TON U N I VE RS ITY LIBRARY

LIBRAR IAN AN N U AL AP P RAISAL F ORM

N a m e of libr a r ia n : _____________ Ra n k :

N a m e of su p er visor : Da t e of a pp r a is a l:

It is p art of t h e bas ic person n e l policy of t h e L ibrary t h at all e m p loy ees are en t it le d t o a period ic rev iew
of t h eir w ork by t h eir su p erv isors . T h ere sh ou ld be a m u t u ally cle ar u n de rst an d in g of t h e w ork t h e
em ploy ee is ex p ect ed t o p erform , h ow w ell t h e e m p loy ee is perform in g t h e w ork , an d w h at t h e em ploy ee
can do t o im prov e in an y areas. T h is form is prov ided for t h is rev iew .

Aft er t h e m eet in g, bot h p a r t ie s sh ou ld sign t h is for m . Th e em p loyee is welcom e t o a t t a ch a n y wr it t en

st a t em en t h e or sh e w ish es .

Sign ed: S u per visor :

Libr a r ia n : __________________________________ Review Requ est ed .

Th is for m t h en goes t o t h e S u p er visor 's S u per visor wh o w ill r ea d t h e for m , dea l w it h a n y r equ e st for
r eview, sign t h e for m , a n d sen d it u p t h e su per visor y ch a in t o t h e U n iver sit y Libr a r ia n .

Sign ed: S u per visor 's Su p er visor :

 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
 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?
 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
• …