Appraisal Tips

Objective Setting

Your role as the supervisor of others is to identify and communicate your department's overall objectives to your staff and translate them into individual objectives. Discussing and reaching agreement on objectives at the beginning of the cycle, in addition to providing periodic feedback and modifications as needed, will lead to a successful end of the cycle appraisal discussion with minimal anxiety and no surprises. Effective objective measurement standards also successfully link performance to merit and recognition recommendations.

The performance appraisal session should focus on the individual's main job responsibilities. Then based on departmental goals and key responsibilities, discussion and documentation of the performance outcomes that the individual will be required to achieve over the next six to twelve months should be included. The number of objectives (typically three-six for each individual) should reasonably reflect the most important accomplishments required for success.

Tips for writing objectives

Start with the end result in mind.
Ask your staff to draft their objectives. This facilitates their involvement and incorporates their ideas into the process.
Make sure there are measures or processes in place to assess the end result.
Use S.M.A.R.T. techniques and ask yourself if your goals are Specific, Measurable/observable, Achievable, Relevant/realistic, and meet a Timeframe.
Compare your staff ideas to your own and decide on the most appropriate objectives.
Make sure your objectives consider quality, quantity and timeliness.
Include all clients/associates both internal and external to your department.

Questions to ask yourself when writing objectives

How does this objective support Columbia /department goals?
What do you expect to be accomplished at the end?
Why is this important?
Who does this benefit?
Who is involved?
Due date?
How? (Action steps)
How will you know when this objective is achieved? (Measures/observations/completion/accuracy)
Is there any room for misinterpretation on the part of the staff member?

Feedback / Coaching

Feedback is critical to the successful accomplishment of objectives. Giving feedback to your staff member throughout the performance cycle is important, whether we are coaching for success, reinforcement or improvement.

You may find it useful to think about your role as a C.O.A.C.H as steps for your discussions with your staff. These are useful for interim communications throughout the year:

Recognize and document both positive and negative events as they occur.
Focus on the most important priorities.
Describe specific situations and behavior.
Focus on the work, not the individual; relate feedback to goals and expectations.
Balance positive and constructive statements.
Try to see things from the individual's perspective; share your own experiences, if relevant.
Present corrective feedback in a positive, action-oriented way.
Ensure that the individual understands by asking him or her to summarize.
Follow up to monitor improvements and set follow-up dates.

Create a supportive environment

Set an agenda and communicate it to the employee.
Explain the purpose of the meeting.
Let the individual know that the meeting will be a dialogue.
Block out distractions.
Listen.

Offer honest discussion of behaviors

Start with strengths and accomplishments.
Ask the individual for input on his or her strengths and accomplishments, and for weaknesses and/or areas for improvement.

Assess performance and agree to objectives

Discuss results; ask the individual for input.
Review strengths and developmental needs.
Help the individual see the impact of his or her performance on the department and on Columbia.

Create a development plan together

Ask the individual for ideas.
Ensure that the plan is specific, with actions, resources and dates.
Support the individual development efforts.

Have follow-up meetings

Immediately compliment the individual for a job well done.
Continue to discuss development needs.
Keep ongoing documentation of both accomplishments and development needs.
If the individual's performance is below standard, document and review as appropriate.

Performance Discussion

In addition to the ongoing feedback you give to your staff throughout the year, the end of cycle appraisal meeting will mean a great deal to them. Following are suggestions for getting the most out of the discussion with an employee.

Prepare yourself and the individual

Organize the form and your examples.
Be familiar enough with your ratings and comments to talk about them without reading them.
Give the individual at least two weeks' notice before the appraisal meeting.

Get the individual involved

If objectives have been previously set, ask the individual to complete a written self-assessment of his/her accomplishments and submit it to you prior to the appraisal discussion.
Tell the employee that you are looking forward to having two-way dialogue during the meeting.

Set aside private time and space

Schedule at least a one hour meeting with that individual.
Find a closed office for the meeting.
If possible, do not accept interruptions.

Start on a positive note

Put the individual at ease. Move to a table or sit in a chair next to the individual. Do not sit behind your desk.
Start the meeting by talking about the benefits of the Performance Appraisal process and how this meeting is a good opportunity for both of you to discuss success and positive events from the prior year, and to plan for next year.
If applicable, ask the individual for input; discuss the completed self-assessment that the individual completed prior to the appraisal session.
Discuss accomplishments and strengths of the individual.

Discuss achievements against targets

Review each objective and competency, if applicable, and your assessment of each.
During the meeting, discuss your evaluation for each section of the form.
Restate the expectations from the beginning of the cycle and provide examples of the individual's performance and to what extent performance exceeded, met or did not meet expectations.
Describe the overall rating, how it was calculated and what it means.

Follow with development feedback

Ask the individual for suggestions on what he or she might do differently the next time.
Discuss areas for improvement in a way that shows the individual where changes should be made to meet expectations, or could be made to achieve even greater results.
Focus on development; that is, problem solve with the individual on how improvements can be made, and keep the discussion positive and future-oriented to the extent possible.

Use active listening skills; ask questions to gain understanding

Provide opportunities for the individual to participate in the discussion and listen when they do.
Listen actively by using eye contact, paying attention to the individual's underlying feelings and restating points that seem important to the employee.
Ask open-ended questions that encourage the employee to talk about his or her performance.
Use silence when appropriate and keep a comfortable pace so the individual has time to reflect and speak.

Agree on action steps and time frames for improvement

Emphasize the importance of continuous improvement.
Discuss action steps and set time frames.
Set a date to review progress.

End by expressing the individual's value and contributions

Ask the individual to summarize the discussion.
Summarize your discussion and overall rating and end on a positive note, stressing the individual's overall contribution to Columbia.
Show your appreciation for the good work the individual has done.
Thank the individual for participating during the process.
If appropriate, encourage the individual to take steps to improve job performance

Developmental Planning

A Development Plan is important to help your staff learn new skills, knowledge, abilities and behaviors and to continue to remain current in their skills and/or improve their job performance. The development plan identifies specific activities, not just classroom training programs. While the Objective/Competencies selected for the performance plan are specific to the job, the development plan is an opportunity to focus on the individual. The supervisor and the individual jointly create a development plan based on:

Development for growth in the current job.
Future development/career interests.
Areas for improvement, where the employee is not meeting expectations.

If the individual needs to improve in some aspects of the position, and/or wants to grow in his or her current position, then development activities should be directly linked to Objectives and Competencies, if applicable. If the individual is meeting or exceeding expectations consistently and has career interests beyond his or her current role, there may be ways to incorporate skill building into the current position that will help the individual move in the desired direction. When you develop the plan together, think creatively about what activities will be best for the individual based on the skills, knowledge, abilities and behaviors needing development, the opportunities available (examples of development activities are listed below), time and budget constraints, and how the individual prefers to learn. You may select skills, knowledge, abilities and/or behaviors for development.

Development Activities

We often think of development as attending a classroom-training program; however, there are many other activities that can help employees build skills, knowledge, abilities and behaviors. In addition to other ideas you and your staff may have, examples are listed below.

Attend professional development workshops offered by the HR Training and Development Department.
Attend meetings or conferences of professional associations.
Read professional journals.
Visit Columbia library for books or videos on the topic.
Use Skills @ Columbia to access thousands of e-learning courses.
"Job shadow" an individual in another department to understand how your positions fit together.
Volunteer outside of Columbia to learn a new skill.
Make contacts with counterparts at other universities to compare job approaches and resources.
Participate on a task force or committee.
Take a course through the professional development component of the tuition exemption program.
Matriculate in a degree program at Columbia.
Invite someone to lunch and ask about his or her experiences.
Review the Jobs at Columbia site to identify job openings and learn what skills, knowledge and abilities are necessary for advancement.

Ways for supervisors to support an individual's development

Help your staff to understand why continuous improvement is important.
Support and guide your staff in their career development.
Provide ongoing dialogue as your staff work on their development activities.
Encourage development discussions with your staff and support implementation of their development plans.
Encourage your staff to take advantage of internal and external development activities.
Make the time to let your staff attend and/or work on their development activities.
Give all direct reports opportunities to take part in developmental opportunities.
Attempt to understand how your staff learns best and present opportunities that support different learning styles and interests.

Ways for staff to be involved

Communicate short and long term career interests and discuss needs with supervisor.
Seek out creative development opportunities.
Take accountability for completing development activities.
Discuss with supervisor and colleagues the learning experiences achieved through the development activity.