The performance cycle for university staff will end on Jan. 31. All signed university staff performance evaluations are officially due in Cornerstone by March 1. Please check with your department’s HR team to determine if evaluations are due earlier in your particular area as this varies by department.
8 steps to an effective evaluation
There is no “right” way to conduct a performance evaluation. However, the university and the state have guidelines and suggestions for the evaluation and planning processes. Additionally, you can plan for an effective evaluation with the following eight steps.
1. Be prepared
Consider the employee first. It is important to involve an employee in every stage of the evaluation process so that both sides of the story are represented. Have the employee do a self-evaluation. They should evaluate their own performance against their goals.
- To what extent did you achieve your goals?
- Which, if any, goals have you exceeded?
- Are there particular goals with which you are currently struggling?
- What is inhibiting your progress toward these goals: lack of training, resources, direction from management, etc.?
2. Conduct the performance evaluation meeting
Many people are anxious about performance evaluations, so try to create a tone of partnership from the beginning. Set the employee at ease and start by reviewing the purpose of the evaluation and its positive benefits for both parties. For example:
“Your performance evaluation is a way for us to discuss how well you are doing with respect to your assigned goals. Its purpose is to communicate expectations, to encourage and acknowledge good performance, to provide feedback, and to correct poor performance.”
Ask the employee to talk about their self-evaluation. This will help you understand their point of view and will prevent you from controlling too much of the conversation.
3. Identify performance gaps
Once the employee has shared their self-evaluation, move on to your evaluation. As you disclose your evaluation, give priority to how the employee’s accomplishments compare to agreed-upon goals. Ask yourself the following when evaluating the employee’s achievements:
- How close did their performance come to meeting the metrics?
- How did they do relative to their other goals?
- Are their gaps between actual and expected performance?
If your evaluation has found a “gap” between the employee’s goal and actual performance, make this the focus of your discussion and feedback.
Identify a larger organizational goal to explain how the employee’s goal supports it. People can and do change when they understand the consequences of their behavior and work. Make sure the employee affirms your statement then move the conversation toward identifying the root cause of substandard performance.
Consider asking “If you’re falling short of your goal, why do you think that is?” Listen carefully to the response and give your employee the first opportunity to identify the root cause. If you don’t hear a thoughtful reply, follow with other questions. For example, “Could the problem be that you need more training?” or “Are there too many distractions in the workplace?”
4. Find the root causes of performance gaps
In most cases, identifying root causes will create an atmosphere of objectivity where both you and your employee can contribute in positive ways. Work together to address “the problem,” which in most cases is outside the subordinate. By identifying root causes together, you won’t be attacking the subordinate and they won’t feel the need to defend themselves from your criticism.
Once you’ve identified performance gaps and discussed their root causes, make sure the employee acknowledges them and recognizes their importance. The following suggestions can help you offer feedback that is more useful:
- Encourage the employee to articulate points of disagreement.
- Avoid generalizations such as, “You don’t seem involved with your work.” Instead, offer specific comments such as “I have noticed that you haven’t offered any suggestions at our meetings. Why is that?”
- Be selective. You don’t need to recite every shortcoming or failing. Stick to the issues that really matter.
- Give authentic praise as well as meaningful criticism.
- Orient feedback toward problem solving and action.
5. Plan to close performance gaps
Give the employee the first opportunity to develop a plan to close any gaps. Say something like, “What would you propose as a solution?” Putting the ball in the employee’s court will make them more responsible for the solution and, hopefully, more committed to it. As the employee describes their plan to close any gaps, challenge assumptions and offer ideas for strengthening that plan.
Set S.M.A.R.T. goals: Specific, Measurable, Achievable, Relevant and Time bound. These goals become a development plan that becomes part of the employee’s record.
6. Re-examine performance goals
Since a significant amount of time may have passed since their last performance evaluation, re-examine the goals toward which your subordinates are expected to work.
Involve the employee in the goal-changing process to be sure that:
- They have the capacity to assume new goals
- The employee understands the details and the importance of these goals
In all cases, be very clear about new goals and how performance will be measured. This is also a good time to create a development plan to help the employee meet these goals
7. Get it on the record
It is vital to document your meeting. You should take rough notes during the meeting and complete them immediately afterward, when your memory is still fresh. Make a record of:
- The date
- Key points and phrases used by the employee, including their self-evaluation
- Key points and phrases used by you
- Points of disagreement (if any)
- A summary of the development plan
- Agreed-upon next steps
- Performance goals for the coming year
8. Follow up
You should plan on following up every evaluation session. Your high performer and satisfactory performers will obviously need less follow-up. However, if you’ve given them new, more demanding goals, you’ll want to monitor their progress and determine if they need additional training, coaching, or support.
Employees with performance gaps who have committed to development plans should be more carefully monitored. That monitoring could take the form of a follow-up meeting every few weeks or months. Here, your goal will be to check for progress against development plans. These meetings represent opportunities for coaching and encouragement from you and are like “course corrections” over a longer period.