GENERAL GUIDELINES FOR ANNUAL APPRAISAL

The purpose of evaluating employee performance is to motivate and coach for improved performance and to determine a basis for merit increases. The process is designed to increase emphasis on the dialogue between managers and employees. This is a joint responsibility of a manager and an employee. The manager sets goals and standards, provides resources and support, and coaches the employee. The employee takes action to achieve desired goals and manages personal growth.

A broader goal is to encourage managers to engage in a year-round performance feedback process with employees. Continuous performance improvement depends on continuous performance feedback: mutual agreement on performance expectations and objectives, performance tracking, coaching and counseling, periodic performance appraisals, and a developmental plan to strengthen job knowledge and skills.

Ongoing specific feedback combined with employee involvement helps ensure that performance reviews are conducted positively and constructively – with no surprises. Effective performance management means giving an employee accurate, specific information about performance, early and often.

The key to the success of the performance management process is management’s commitment and preparation in providing complete and accurate information with which the employee can improve their individual performance and enhance their development. The desired outcome is for employees to become productive contributors to their respective work teams.

Each of us needs to know where we stand relative to our manager’s expectations. Feedback tells us where we stand and thus enables us to redirect our efforts towards achieving - or exceeding - our objectives.

Involve Your Employees in the Performance Appraisal Process:
To ensure that your discussions do not contain any surprises, involve your employees in the process - from the beginning. Involvement is the most effective way to facilitate an employee’s acceptance of the appraisal and to monitor expectations.

Before sitting down to complete the form, ask the employee for input. Consider having the employee fill in a draft. Have the employee summarize current accomplishments, including specific information on results achieved; special challenges faced, budget constraints, and so on. Ask the employee to describe key strengths, such as job knowledge, job skills and competencies. Finally, have the employee identify two or three major developmental needs and plans of action: opportunities for improving performance that would benefit both AUS and the employee.

Keeping input balanced:
Continuous performance improvement depends on continuous performance feedback. Therefore, it is crucial to describe an employee’s strengths. First of all, no matter how well an employee performs, that employee must always be building on strengths in order to move up to the next level of performance. Secondly, one of the basic principles of effective feedback is that it MUST be balanced in content. An employee will quickly discount and disregard one-sided feedback.

The focus should be on opportunities for improving job performance skills that are most likely to benefit AUS and the individual employee’s career growth. For example: “Communication Skills, Teamwork, or Completed Works”. Be as specific as possible in pinpointing development needs. Highlight exactly which skills need improving: “Needs to improve conflict-management skills”.

To ensure that balanced feedback is given, talk to people with whom the employee has interacted in order to accomplish their results: peers from other teams or departments, vendors and suppliers and customers. Ask other supervisors and managers for feedback on the employee’s accomplishments, strengths, and development needs.

Discussions with an employee
There are four practices that will help an appraisal discussion be successful:
• Ongoing feedback throughout the year
• Accurate information on the employee’s performance
• Good listening skills
• A focus on the person’s performance rather than on the person

The third and fourth of these actually occurs during the appraisal discussion. The first two will help you, as a supervisor, prepare for a constructive review of the employee’s performance and discussion of strengths and development needs.

For the review to have meaning, the discussion must occur within the context of your ongoing efforts to help the employee do a better job. If routine performance feedback is given, the employee is more likely to benefit from an appraisal discussion. The employee should leave an appraisal discussion firmly committed to improving job performance.

During the appraisal discussion, focus on performance and not on the person. Separate the employee’s work behavior from the employee’s personality. Give feedback on the specific behavior rather than personality traits. Whenever possible, tie the employee’s performance to desired outcomes, agreed-to timetables, variances from targets, and so on.

Some suggestions for facilitating a constructive appraisal discussion are:
• Reserve space for the discussion on “neutral ground”: a conference room, an empty office or some other private area;
• Give the employee enough notice of the discussion;
• Ensure privacy – you should not be interrupted during the session;
• Be prepared to give specific examples; and
• Give the employee a copy of the completed Appraisal Form.

Summary:
Both managers and employees benefit when the appraisals are written with care and precision and then discussed in an atmosphere of honesty and mutual respect. Managers get motivated employees who are clearly and energetically focused on doing the job right. Employees increase their commitment to building on strengths and improving performance in specific areas. Employees also receive recognition for a job well done, as well as performance feedback vital to their personal growth. Employee self-confidence rises, boosting professionalism and morale – and ultimately performance.

For further information on the evaluation phases please see Performance Management Program