The Performance Appraisal
as a Management Tool
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Pop Quiz
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A list of criticisms and
suggestions for improvement
aren’t worth much without a plan
for accomplishing them.
TRUE: People need a plan and
they need management support
to accomplish new objectives.
2
Pop Quiz
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Individuals must have both the ability
and the desire if they are to change
their behaviors.
TRUE: The fine points about what
people need in order to get the job
done and what will motivate them to
stay on track must be worked out in a
face-to-face conversation with their
supervisors.
3
Pop Quiz
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Strong performers have no desire to
change.
FALSE: Even strong performers need new
goals to stay fresh. In fact, they’re often
more in need of a challenge than the
average performer.
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Goals of Session
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To Review the Performance Appraisal
Document and Process
To Learn to Prepare Fair and Accurate
Evaluations
To Learn to Use the Performance Appraisal
Meeting as a Mentoring Opportunity
To Learn to Create Performance Plans and
Monitor Results
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Description of our Current
Performance Appraisal System
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Mission Statement
Aurora University an inclusive
community dedicated to the
transformative power of learning
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OVERVIEW OF EVALUATION

Part I:
achievements and behaviors
related to individual, departmental, and
institutional performance

Part II: Overall Rating, review last year’s
goals in this section
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Part III: Annuals goals and development
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Review of Part I
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Performance related to the specific job
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Based on job description
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Service and Respect—functions of ALL
University jobs.
Look at whole picture
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Review of Part I
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How the individual ties in with the
University
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Collaboration
Adaptability
Representative of University
How the individual does the specific job
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Job knowledge
Quantity and quality of work
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Rating

Rate each individual responsibility
quantitatively or qualitatively
Exceeds Expectations
 Between Meets and Exceeds
 Meets Expectations
 Between Meets and Needs Improvement
 Needs Improvements/Below Expectations
 Unacceptable

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Exceeds Expectations Rating
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Employee significantly exceeds the
expectations related to this section of the
evaluation. This rating is very unique and
difficult to achieve because it represents
consistently exceptional performance or
achievement beyond the expectations of the
position. A definitive, significant result must be
cited.
Requires written supportive information.
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Between Meets and
Exceeds Expectations
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Employee demonstrates understanding of work
beyond assigned area of responsibility.
Identifies needs and executes beyond assigned
job responsibilities.
Performs well above expectations based on the
job description
This rating requires written supportive
information.
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Meets Expectations

Employee independently and competently
performs all aspects of the responsibility
or goal. This indicates consistently good
performance at the level expected of a
fully trained, capable individual.
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Between Meets Expectations &
Needs Improvement
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Employee (new to position) exhibits
appropriate progress in the course of
learning the responsibilities of a new
position.
Employee (seasoned in position) is not
performing all duties up to the level
expected.
Performance Plan is typically indicated.
Written supportive information required.
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Needs Improvement
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Employee fails to meet expected job
standards and must show change in
performance to competently perform most
aspects of this responsibility.
This rating requires a written Performance
Plan and timeline for improvement.
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Review Job Description
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Review and update job description as
necessary
Sign off on completed job description and
include with performance appraisal.
If there are updates, send to HR in
electronic format.
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Part II: Overall Rating
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The “Big Picture”
Add comments as to why the person is
receiving this rating.
How the individual is performing the job
as a whole.
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Part III
Setting & Monitoring Goals
Remember that goals should always tie to
the Mission and Values of the University
and the department.
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Part III
Setting & Monitoring Goals

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Supervisor and Staff member work
together to establish annual performance
goals
Review goals throughout the year for
relevance, adjust as necessary
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Review of Part II
Setting & Monitoring Goals
Be SMART:
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Specific
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Measurable
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Action-Oriented
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goals outline exactly what the organization
hopes to accomplish
goals can be evaluated to determine
whether they have been accomplished
will take
goals specify the actions you
Realistic goals are attainable but challenging
Time-Oriented goals have a specific amount of
time in which to be accomplished
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Review of Part II
Setting & Monitoring Goals
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Pursuing excellence is a collaborative effort.
Cooperation wins over competition every time
Goals are guideposts that reflect the success of
the organization
Understanding each other’s priorities leads to
the success of all individuals within the
department
Compatible goals promote trust
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Review of Part II
Setting & Monitoring Goals
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Samples of goals:
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We will increase transfer admissions by 12%
over last year
We will conduct department meetings once
per month with a published agenda so that
employees can come prepared to offer input
on meeting topics
We will complete customer service training by
April 15
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Common Appraisal Errors
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Halo Effect
Leniency/Severity
Central Tendency
Recency Effect
Contrast Effect
Subjectivity
Biases
Poorly Planned Meeting
Unprepared Supervisor
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Common Errors: Halo Effect

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Also known as “Halo and Horns”
Refers to the tendency to rate based on
one outstandingly positive or negative
aspect of the individual’s overall
performance.
The ratings for other aspects of
performance will mirror the
outstanding aspect, regardless of
actual level of performance.
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Common Errors: Leniency/Severity
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The tendency to either rate all individuals
in a group very high or very low.
“All my people are stars and deserve the
highest rating.”
“No one can get higher than ‘meets
expectations,’ I don’t believe in it.”
Leads to frustration for the person
evaluated, as no true picture of strengths
and challenges can emerge.
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Common Errors: Central Tendency
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Similar to Leniency and Severity
Rating right down the middle.
AKA “the easy way out.”
Produces little value for the evaluated
employee as little thought is behind the
rating.
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Common Errors: Recency Effect
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The tendency to remember what
happened in the month or two before the
evaluation, at the expense of the other 10
to 11 months of the year.
Keep notes over the course of the year of
good and negative events. Will help in
creating a full picture. Of course, events
should be recognized/addressed at the
time as well
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Common Errors: Contrast Effect
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The tendency to compare employees
against each other as opposed to against
the standards of the job.
Refer to the job description, remind
yourself that each employee has different
strengths and challenges.
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Common Errors:
Subjectivity & Biases
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Performance Appraisal by its nature
contains subjectivity. The goal is to
minimize it, to focus on behaviors and the
job description as much as possible.
Bias should be carefully monitored as well.
Focus on behaviors and the job at hand,
not politics, etc.
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Common Errors:
Poorly Planned Meeting
Unprepared Supervisor
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Have an agenda
Keep the session moving forward in a
positive manner
Follow the guidelines for mentoring and
appraisal meetings (below)
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Legal Aspects of
Performance Appraisals
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Tips for Legal Appraisal
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Focus on behavior, not the individual
Be fair – remember Appraisal Errors
Consistent / Continuous Feedback
Document ~ Document ~ Document
Do you have what you need for Fact
Finding?
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The Performance Appraisal
Meeting: An Opportunity for
Mentoring
Mentor: A wise advisor;
A teacher or coach
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During Evaluation Meeting
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First ask for employee comments and
suggestions
Be sincere, stay job oriented and objective
Summarize previous memos/suggestions
Suggest new approaches with timelines
Use good 2-way communications
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Active listening, paraphrasing and restating
Use different approach for different employees
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Improving Performance
Evaluations
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Review traits of the best performance appraisals
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Objective, caring and honest
Evaluation is not a surprise – frequent feedback has
been given
Encourage and reward good performance
Give specific and firm feedback for poor performance
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After Evaluation Meeting
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Finalize Form - Add your comments and
signature
Give to employee for comments and
signature
Give copy to supervisor for review
Give copy to employee
Send signed original to Human Resources for
employee file
Set date for planning meeting for next year
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How Mentoring Works
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Provides coaching/encouragement
Protects protégé from adverse forces
Encourages positive
advancement/assignments
Provides personal support
Role models appropriate behaviors
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Guidelines for Mentoring
Dialogue
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My role is not to control, take over or
simply provide answers
My role is to give guidance
We learn and grow together
Beware of my own hidden agendas
I will view my protégé as a colleague
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Positive Reinforcement
Used to increase the frequency of a
preferred/desirable behavior on the part
of the employee
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Types of Positive
Reinforcement
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Praise/recognition
Monetary
Time off for good performance
Respect from others
Trophies/plaques
Flexibility of hours
41
Performance Improvement
Plans
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When Positive Reinforcement isn’t enough
to bring about needed change in an
employee’s performance.
Objective:
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To provide the employee with the structure,
tools and feedback from appropriate
individuals that will enable the employee to
improve performance and to better contribute
to the goals of the university.
42
Performance Improvement
Plans
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Typical components of a Plan:
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Training to assure the employee has the
needed information
Monitoring
Mentoring and/or “buddying” the with
superior performers
Feedback: Communication is KEY
Again, document ~ document ~ document
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Performance Improvement
Plans
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Informal, documented discussions
Written performance plan with time frame
Status review meetings during time frame
Resulting in either…
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Positive outcome and productive employee
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Or
Final warning at 15-30 days prior to end of
time frame
Termination
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Summary
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Reviewed the Performance Appraisal
Document and Process
Learned tips on how to prepare fair and
accurate evaluations
Learned to use the Performance appraisal
meeting as a mentoring opportunity
Learned to create Performance Plans and
monitor results
45
Discussion & Questions
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