Staff appraisals – tips and ideas 1 Lund University, Human Resources Revised version of document ‘Staff appraisals – tips and ideas’, 2003 Print and layout: Media-Tryck, November 2007 2 Table of Contents Staff appraisals 4 Aim 4 Things to think about before the appraisal 5 Conducting the staff appraisal 7 After the staff appraisal 9 Salary review 9 Appendix 1: Possible questions* 10 Appendix 2: Personal Development Plan* 11 Appendix 3: Questionnaire Appendix 4: Questionnaire 3 Staff appraisals The aim of the staff appraisals is for you to have a dialogue with your employees at least once a year. The dialogue is important for the planning of your activities and for all employees to have an opportunity to take time to discuss their work situation, their view of their career development and your shared work environment. Certain conditions are necessary to ensure the appraisal is as constructive as possible. First and foremost, you, the head of department/manager, must show that you take the appraisal seriously and follow up the decisions made there with action. By holding appraisals regularly they become a natural part of the development of your department/division or equivalent. Aim The staff appraisal is a personal and two-way dialogue between manager and employee. It is a planned, prepared discussion based on pre-decided topics. The aim of the appraisal is to evaluate the work and prioritise the individual employee’s future duties and development needs. It is to provide an opportunity for the employee to influence the substance of his or her work/research and the work situation as a whole. Personal development in turn helps to achieve the aims and results of the department/division or equivalent. It is important to build up trust in the discussion by means of mutual openness and honesty. Your dialogue also gives you, the manager, a chance to receive feedback on your management. You should be prepared to give objective and constructive feedback and to receive criticism. If you have had an appraisal with the employee previously, you will of course follow up what has happened since then. The appraisal requires mutual confidentiality. It is important that you are in agreement that what is said remains between you, unless you agree that it is important to pass on parts of the discussion to others. 4 Things to think about before the appraisal There are some aspects of the staff appraisal that you should be aware of in order for the appraisal to be worthwhile for both parties. Manager Consider how many appraisals it is reasonable Around 20 staff appraisals is a reasonable for you to hold guideline, as you will need enough time to familiarise yourself with each employee’s situation. In larger workplaces you may need to divide up the appraisals between several people or over time. The person conducting the appraisals should have responsibility for and good knowledge of the employees concerned. Plan an appropriate time to hold the appraisals As a rule, the annual staff appraisals should be completed before the salary negotiations. Therefore, start preparing in good time. Set aside slots in your diary so that you have plenty of time between each appraisal, and remember that you need to allow time for reflection and documentation. Clarify the purpose of the appraisal with the One purpose of the appraisals is to provide a employee beforehand basis for the planning and development of your activities. They should therefore be linked to this. If you view the appraisals in this way, you can find out the workplace’s labour needs – in terms of both quantity and skills – at the same time as providing the workforce with opportunities for professional development. If the workplace is in a development phase, it may be necessary to hold more than one round of appraisals a year. Provide information about the appraisal well in Agree a time with each employee. Allow at least advance an hour for each appraisal and be sure to have time in reserve in case something unexpected comes up which requires more time. Create a questionnaire (see appendices 3 and 4) before the appraisal and hand it out to the employees when you agree a time. Also ask the employees to prepare and think of questions that they want to raise with you. Compile an overview of the employees’ duties Select a number of important elements and and results results of each employee’s work situation. If the overview is too detailed, the important aspects that you want to emphasise may be lost. Find a quiet and private location It may be a good idea to choose a neutral location for the appraisal. This is often better than sitting at the desk in your office. Bring yourself up-to-date Get out last year’s personal development plan to bring yourself up-to-date before the appraisal. 5 Employee Use the following main areas as guidance in the appraisal. The past year Make an evaluation of the past year – evaluate your own skills and development; what goals and results have I achieved during the year? Where have I had success and where have I done less well? What support and encouragement do I need to achieve new goals? Has the division of duties and cooperation been satisfactory? Your duties Are the demands in line with the results achieved? What duties could be developed further? Are my knowledge, skills and expertise utilised in my work? What are my strengths and weaknesses? Your visions and goals How well are my own goals in line with the goals of the University/my workplace? What do I think are the two or three most important goals for the development of the department/division or equivalent? The physical and psychosocial work environment What is important for me in the work environment? How can I contribute to a good work environment and good teamwork in the workplace? If there are conflicts, how can I help to manage them effectively? Quality of life What is my work-life balance like? How do I perceive the balance between work and free time? Feedback What is the process for feedback to management like? Is there anything I would like to say/suggest? Development of knowledge/skills How do I want to develop my skills? What goals do I want to set for my own development? Appendix 2 may be of help when considering these areas. 6 Conducting the appraisal The aim of the staff appraisal is not only to evaluate the employee’s work and job satisfaction, but is also to provide an opportunity to develop and deepen your relationship to one another. Manager • Ensure that you are not disturbed during the appraisal. Turn off your telephone(s) and let people know that you are busy. • You are responsible for leading and steering the discussion, and for creating a relaxed and natural atmosphere. Be perceptive – encourage the employee to be open and make sure you show interest in the discussion. • Use the questionnaire that you handed out so that you get round to discussing the most important points within the time allocated. • Look back on the employee’s results/work with the help of the previous year’s personal development plan. Look to the future and document the agreements you make. • Use your knowledge of discussion methodology: 1. Listen with all your senses 2. Ask open questions as much as possible 3. See and acknowledge your employee 4. Give objective and constructive feedback 7 Manager and employee Confidentiality Agree on rules for confidentiality at the beginning of the appraisal. Confidentiality is a prerequisite if the discussion is to be open and honest. Agree on how notes will be taken What is to be noted and how are the notes to be stored? Agree on the issues that are to be prioritised A good start to the appraisal is for both parties to have the opportunity to influence the content and form. Divide the concrete measures that come up The manager holds multiple appraisals and therefore probably has a large number of measures that are to be taken. If the measure is not intrinsically a matter for the manager, it is better if the employee takes it on him- or herself. Conclude by reflecting on whether the appraisal Conduct a joint evaluation of the appraisal. Say a went as expected few words about the next appraisal as well to create continuity and emphasise a desire for continuation. Conclusion Did all the important points come up in the discussion? Is there anything you need to do in addition, or anything about which you need to obtain more information? Draw up an individual, written personal development plan (see appendix 2) with a joint summary of what you have agreed. This defines what is to be done in terms of specific goals, who is responsible for what and when you will follow up the various aspects. It also forms a good basis for the next appraisal. The question of salary should not form part of the staff appraisal. This easily skews the focus and steers the discussion. A well-conducted appraisal naturally facilitates the subsequent salary review. 8 After the staff appraisal Manager After completing staff appraisals you are in possession of information of both a private and a general nature. Respect confidentiality when it comes to the individual agreements. Use the general information as a guide in your subsequent work to develop the department or equivalent and the individuals that form part of it. • Follow your part of the development plans in action. • Gather general information that has come out of the appraisals to create an overall picture of the development needs in the workplace. • Evaluate the personal development plans at the next appraisals. Salary review Use the Lund University Pay Policy as a basis for the discussion. Present the salary criteria used in your department or equivalent well in advance, for example at a workplace meeting. Clarify the steps in the salary process for your employees and make the conditions clear. The salary review should take place after the appraisal and before the annual salary revision. Take as a starting point the fact that well-conducted staff appraisals increase the chances of successful salary reviews and reduce the risk of conflict. Points to remember • Managers have different powers in the salary reviews. Think through your powers so that you are clear of your role in the review. • Be objective and clear in your reasoning. • Start from the current salary and discuss salary development based on performance in the coming year. • Avoid discussing salary development in kronor and öre. 9 Examples of possible questions Ask open questions. You could also ask questions such as “Can you tell me about...?” or “Would you like to describe...?” In order to be sure that you have understood everything correctly, it is a good idea to ask follow-on questions; “What do you mean?”, “What happened then?”, “Why is that?”, etc. Try to ask simple and direct questions, and to ask one question at a time. You can use closed questions when you want more facts or precise answers. The workplace’s activities and goals • What long-term and short-term goals are there for the workplace? • How do the goals of the organisation as a whole affect our workplace? Current and future duties • What has happened since your last appraisal? • What is your view of your work over the past year? • What duties and ideas would you like to develop? Support and development needs • What is your view of your skills in relation to the duties you perform? • What areas do you consider important to develop or change? • What further training do you need? • What form of support or encouragement would you like to have in your day-to-day work? Work situation and relationships in the workplace • What is your perception of your work situation? • What works and what doesn’t work as well? • Are the communication channels within the workplace satisfactory? • Is the division of duties within the group reasonable? • What do you think of the physical work environment? • Is there anything in your personal life which may affect your work situation and which you would like to tell me about? • Do you have any interests that could be of use in your work? • What concrete expectations do you have of me as your manager? • What is your perception of the climate within the group/in the workplace? 10 Personal Development Plan Competence in brief Competence • comprises knowledge, ability and willingness to act • is formed in interaction between different individuals and their values • is developed by means of reflection, experience and a desire to learn. In a broad sense, competence can be defined as the ability to meet the various demands that are made in a given situation in a specific activity. Your competence is developed when you are driven by curiosity, a sense of meaning in the task you perform and a motivation to learn. Write down the development needs and proposed measures that you have identified during the appraisal and that you have agreed on. Agree on how this document will be stored until the next appraisal. What will be How will this happen? When? Who is responsible? developed? In the short term (1 yr) Aim of the development What will be How will this happen? When? Who is responsible? developed? In the long term (3 yrs) Aim of the development This personal development plan will be followed up at the next salary review and staff appraisal. Manager Employee Date 11 Appendix 3 Sample questionnaire Administrative staff In preparation for your appraisal, please read through these questions. You may choose which questions you would like us to discuss and you are not limited to these questions. The questionnaire is not to be handed in, but rather is your private resource. Evaluation of the past year How well do you think you have performed in your duties over the past year? Please mention both the areas you have done well in and the areas that have not gone as well. What form of support or encouragement would you like to have in your day-to-day work? What has been a help or hindrance in your work? Has the division of duties and cooperation been satisfactory? With your colleagues? With your manager? With others within the organisation? Are the communication channels satisfactory? Duties What are your most important duties? Do you consider that your duties form a meaningful whole? Are the demands in line with the results achieved? What is your perception of your work situation? Is there any way you would like your duties to develop? Is there anything you would like to do in addition to/instead of your current duties? Visions and goals Draw up two or three ‘smart’ goals for our workplace and two or three goals that you think are important and challenging for you, based on our mission. Describe how we should follow them up. Work environment What is important for you in our common work environment? How can you contribute to the development of cooperation and joint initiatives in the work environment? How can you contribute to good conflict management when conflicts arise? Quality of life How do you perceive the balance between work and free time? Feedback to management What do you think is important for me as your manager to think about? Are there other management issues you would like to raise? Development of knowledge/skills How do you think your knowledge/skills have developed over the past year? Do you feel that your skills are utilised in your current work? What are you particularly good at? What do you feel unsure about? What are your aims/needs with regard to your own professional development? Appendix 4 Sample questionnaire Teaching and research staff In preparation for your appraisal, please read through these questions. You may choose which questions you would like us to discuss and you are not limited to these questions. The questionnaire is not to be handed in, but rather is your private resource. Evaluation of the past year How well do you think you have performed in your duties over the past year? Please mention both the areas you have done well in and the areas that have not gone as well. What form of support or encouragement would you like to have in your day-to-day work? What has been a help or hindrance in your work? Has the division of duties and cooperation been satisfactory? With your colleagues? With your manager? With others within the organisation? Are the communication channels satisfactory? Duties What are your most important duties? Do you consider that your duties form a meaningful whole? Are the demands in line with the results achieved? What is your perception of your work situation? Is there any way you would like your duties to develop? Is there anything you would like to do in addition to/instead of your current duties? Visions and goals Draw up two or three ‘smart’ goals for our workplace and two or three goals that you think are important and challenging for you, based on our mission. Describe how we should follow them up. Work environment What is important for you in our common work environment? How can you contribute to the development of cooperation and joint initiatives in the work environment? How can you contribute to good conflict management when conflicts arise? Quality of life How do you perceive the balance between work and free time? Feedback to management What do you think is important for me as your manager to think about? Are there other management issues you would like to raise? Development of knowledge/skills Research skills – academic skill, research productivity, academic leadership, research-related outreach activities, future plans, etc. Teaching skills – teacher training and teaching experience, fulfilment of the teaching role, research and development work, teaching leadership, teaching-related outreach activities, future plans. Leadership and administrative skills – formal training and courses (external or internal). Experience of leadership and administration, mentorship, future plans. Skills in interaction with society – interaction with society, future plans.
Pages to are hidden for
"staff_appraisals"Please download to view full document