Performance Appraisals

1. Performance Appraisals Guide for Supervisors

2. Table of Contents • Why Do Performance Appraisals? 3 • What Employees Want To Know 4 • Why Performance Appraisals Don’t Work 5 • Halo Effect 6 • Horns Effect 7 • Minimizing Rater Errors 8 • Collecting Peer/Customer Input 9 • Questions to Ask 10 • How to Select Peers/Customers 11 • Self-Assessment 12 • Do’s and Don’ts 13 • Guidelines for Giving Feedback 14-15 • Tips for Giving Constructive Feedback 16 • What Makes An Effective Performance Review? 17-18

3. Why Do Performance Reviews? • To share perspectives and reach agreement on the current performance of the individual; • To recognize and reinforce performance strengths; • To identify and discuss performance where improvement is needed and/or desired; • To discuss career interests, developmental needs and opportunities where appropriate; • To modify/adjust job elements, objectives, accountabilities, standards and to set objectives for the next cycle; • To agree on a performance development plan for areas needing improvement where appropriate: and, • Establish equitable, objective, defensible documentation in the event disciplinary action becomes necessary.

4. What Employees Want to Know • What’s expected of me? • How am I doing? • If I am in trouble, how do I get help? • Am I being treated fairly and consistently compared to other employees?

5. Why Performance Reviews Don’t Work Poorly communicated Comments too general No link to job description Surprises Employees perceive them as unfair Negative issues are avoided Lack of consistency among different supervisors Evaluators fail to tell the truth Evaluators don’t want to make the employee feel bad Evaluators are intimidated by the employee Evaluators don’t want to admit hiring mistake /failure to train

6. Halo Effect A Halo effect is the tendency to over-generalize in a positive direction. Some typical reasons this happens are as follows: • Past Record – Because the individual has performed at a high level in the past, performance is presumed to be as effective in the current year. • Personal Compatibility – The tendency to rate those we find more attractive in manner and personality higher than is warranted by actual performance. • Recency Effects – The effect created by outstanding performance during the last few weeks or months of the rating period, when less effective performance was more typical during the rest of the rating period. • One-Asset Ratings – The rating bias stems from over-attention to an impressive personal quality of the individual. • Blind Spot Effects – The tendency to be blind to performance problems that we have in common with the person being rated.

7. Horns Effect Horns effects are the reverses of Halo effects, the tendency to over-generalize in a negative direction. Some typical “horns” effects are: • Supervisor As Perfectionist – The supervisor’s expectations are so high that he/she rates the employee lower than deserved based on equitable standards. • Employee is Contrary – Lower ratings than deserved are given based on the supervisor’s irritation with the employee’s tendency to disagree with or question the supervisor too often. • Weak Team Effect – The tendency to underrate an individual based on team results rather than individual performance. • Self-Comparison Effect – The tendency to rate lower than deserved because of an unfavorable comparison with the methods or kind of work the supervisor was able to produce when he or she was in a similar job. • Top Down Effect – The supervisor rates the employee lower than deserved because the supervisor received a lower than deserved/expected rating.

8. Minimizing Rater Errors Make sure you and your employee understand the standards for the job. In other words: “You can’t nail jelly to a tree.” Hold frequent informal performance conversations throughout the year. Normalize performance feedback by making it a daily part of your coaching routines – keep surprises to a minimum. Document performance as it occurs – don’t rely on memory alone. Be specific and concrete with your feedback.

9. Collecting Peer/Customer Input In many jobs at Pacific University, employees work very independently and manager’s don’t often directly observe their performance. It makes very good sense to seek input about performance from the people who work most closely with employee, peers and internal customers. Although a variety of methods can be used, the simplest methods are usually most effective and efficient for you, the reviewer, and the people providing input. A simple questionnaire tailored to the job and services can be constructed and submitted to a sample of key people. Simple, open-ended questions like those below are usually sufficient to elicit information helpful in a review:

10. Questions to Ask What does this employee do effectively? What could this employee do more effectively? What services does this employee provide that you find valuable? What services would you like to see this employee provide? What recommendations do you have for this employee to improve his/her performance or service delivery?

11. How to Select Peers/Customers Have the employee submits a list of names. The manager can choose some from the list and add one or two of their own choosing. Everyone can be included in very small departments. Rotate names for giving peer input. Draw names from a hat. Select customers based on the frequency of contact with the employee. Select customers that have a significant impact on the success of the department.

12. Self Assessment Self-assessment can be a valuable tool in creating a two-way communication process about performance. It encourages employee involvement in a very important aspect of their work performance review and planning. When done thoughtfully, it can also create dialogue between employee and manager about future opportunities, and alert the manager to potential problems. It can also help reduce negative feelings about the performance appraisal by providing a meaningful avenue for input. Here are some dos and don’ts about self-assessment:

13. Do’s and Don'ts DOExplain the reasons why you value the employee’s input through self-appraisal. • Explain how you will use the self-appraisal. • Give the employee a reasonable amount of time to prepare and submit the form. • Discuss the employee’s self-appraisal during the performance review – adopt their ideas and input where possible. DON’TAsk the employee to “rate” their own performance – have them use the self-assessment form. • Argue about differences in their/your appraisal. • Ignore their input.

14. Guidelines for Giving Feedback Use clear behavioral language (describe behaviors rather than personality traits). Provide feedback that is concrete and specific. Be as objective as possible. Describe the impact of behavior rather than assumed intent. Focus on the behavior, not the employee. Ask the employee for comments: then listen and discuss. Be balanced – focus on strengths as well as areas for improvement. Describe the desired outcome as well as the current situation.

15. Guidelines for Giving Feedback

16. Tips for Giving Constructive Feedback Describe the specific job behavior that needs to be improved. Explain how the behavior negatively impacts the employee and the department. Focus on the behavior, not the employee. Ask the employee for comments; the LISTEN and discuss. Ask how you can help the employee meet the performance standards in the future.

17. What Makes An Effective Performance Review? • Arranging for a private place where you will not be interrupted. • Setting up a date for the meeting in advance and keeping the appointment. • Preparing for the appraisal by reviewing all documentation (self-appraisal, peer input, your notes from the year, etc.) • Thanking the employee for taking the time to complete their self-assessment and come to the meeting. • Having a job description that accurately reflects the job. • Having shared expectations of what the job involves.

18. What Makes An Effective Performance Review? • Reviewing the employee’s accomplishments and strengths. Giving specific examples to support your conclusions. • Making expectations and timelines clear. Discuss any “homework” you expect the employee to do over the next year. • Reviewing areas that need improvement or where improvement is desirable. Preparing a specific plan of improvement when performance is low. • Celebrating the employee’s contributions to the university during the last year.