The following frequently asked questions (FAQs) are provided to assist department heads and supervisors in managing the year-end performance appraisal process and to respond to employee inquires.

TIPS FOR FIRST TIME PREPARERS

 Why should all employees be encouraged to complete a self-evaluation or a draft of an
appraisal form?
The self-evaluation or the draft of an appraisal form provides staff the opportunity to review their accomplishments and to actively participate in the evaluation and goal setting process. This reinforces the concept of performance management as a shared responsibility. This also serves as a reminder for you of accomplishments you may have forgotten and helps you to determine if you are both on the same page regarding performance, and if not, enables you to prepare to address the differences.

 How do I get started?
Read the Guide for Performance Development and Planning and the Performance Overview on Performance Development and Planning on the following URL: Human Resources
The Guide provides a step-by-step guide for staff and supervisors about performance management as a shared responsibility. Ask your staff to evaluate their performance using the new, streamlined and simplified Performance Appraisal form, competencies, and evaluation ratings and let them know the date it’s due back to you to ensure you have the benefit of their assessment before you complete their appraisal. Sign up for a Brown Bag Lunch training session on Performance Developing and Planning:
Training.Brown


 Who do I contact if I need help writing the performance appraisal?
If after you have read the Guide for Performance Development and Planning and reviewed the Performance Overview on Performance Development and Planning and you still have questions or concerns, contact the Human Resources Generalist for your respective department or Wendy McRae-Owoeye, Director, Employee Relations, Performance Development and Programs and one of them will be happy to assist you.

COMPLETING THE PERFORMANCE APPRAISAL FORM

 Do I need to comment on all major responsibilities and goals?
It is strongly encouraged and recommended that managers provide staff with a written narrative for each major responsibility and goal. Just a few well chosen sentences that recognize accomplishments provide staff with the constructive feedback that they want and deserve. The feedback you provide should be honest, accurate, timely and based on job related objectives.

 Am I expected to assign a rating for all major responsibilities and goals?
You are strongly encouraged to fill out the entire form: Section 1, Part A. the Performance Overall Summary and Part. B. Progress Against Last Year’s Individual and/or Departmental Goals, Section 2 – The Competency Assessment Section.

Each competency does not require a development plan unless the individual needs to improve in a specific area.
For more information, please visit the following URL for Section 4.3 – Appraisal Form: Human Resources







 Is it important to evaluate staff on the Competencies?
Yes. The new, streamlined, and simplified Competencies are provided to help staff and supervisors discuss behaviors that support achieving effective results. What skills are performed by staff and how staff get their work done is an important aspect of performance. For more information visit the Performance Development and Planning Overview and review the competency model and assessment dictionary at the following URL: Human Resources




 How do I write a performance appraisal if the employee’s job description is not accurate?
The performance appraisal should reflect the work the employee has accomplished during the year. Therefore, it is important to write a few paragraphs about his/her accomplishments, and cite examples that will provide feedback that will help the employee achieve higher-level results during the next performance cycle. Make rewriting the job description a priority, or set a goal for the employee to draft the revised position description, so both of you are clear about your expectations!


 How do I complete the performance appraisal form for an employee who is new to my department?
If the employee has transferred to your department from another department during the fiscal year, the performance appraisal should reflect the employee’s performance during the entire year. Call the employee’s previous supervisor and ask them to provide you with feedback on the employee’s performance of their prior major responsibilities and goals.

 It is the busiest time of year for me, how can I better manage the year-end performance management process next year?
This year we are taking proactive steps to encourage staff and supervisors to be more diligent about planning, discussing, and monitoring progress throughout the year, rather than placing so much emphasis on the Year-End-Appraisal. We are also suggesting that during the coming year, staff and managers prepare mid-year appraisals so that you and your staff have the opportunity to discuss year-to-date accomplishments, progress on goals, to modify goals if necessary, and to clarify performance expectations for year-end. Early and on-going planning are key factors for successful performance appraisals.

PLANNING AND SETTING GOALS

 Why is goal setting so important?
Goal setting is a key element in planning how staff can successfully support the work in your department. Make sure departmental goals exist and share them with your staff, and as their manager, share your goals with them and show them how their goals support your goals and the broader departmental goals. This helps employees see their connection to the department, clarifies why their job exists, and why their contributions are critical to the department’s success.

 How do I engage staff?
Recognize your staff by thinking about and talking to them about how they can grow, learn and develop their personal and professional goals. Challenge them by planning “stretching” goals and projects. Share information, keep them informed, and involve them in decision-making so that they can contribute more effectively to achieving the results you need to meet your goals.

ASSIGNING RATINGS

 Do performance appraisals influence salary decisions and when do staff receive performance increases?
Brown’s annual performance based salary increases are effective July 1st. Brown's compensation system links performance to pay to recognize and reward staff who produce the most effective results. The performance pool which will be announced in the Spring, will again support salary increases that take into consideration the overall performance ratings and has budget implications. The performance increase guidelines will support the expectation that most of the staff will fall into the Proficient Assessment Category so that Highly Accomplished Performers receive higher performance increases. As such, we expect for staff and supervisors to use the entire spectrum of performance ratings, which range from Highly Accomplished, Proficient, Developing/Needs Improvement to Unacceptable.

The University-Wide recommended distribution of performance ratings are the following: 1) 10% of staff should receive Highly Accomplished, 2) 80% of staff should receive Proficient, 3) 5% of staff should receive Developing/Needs Improvement and 4) 5 % of staff should receive an Unacceptable rating. Supervisors are encouraged to carefully consider the new, streamlined and simplified evaluation ratings and additional tools located on the Performance Development and Planning Overview site to support the appraisal write-up that reflects the chosen performance rating for the staff member: Human Resources


 What’s the appropriate rating for a newly hired or promoted employee?
Staff who have been recently hired or promoted are still learning the full scope of their jobs. A lower rating than the previous rating routinely reflects the performance level of recently promoted staff. Use the year-end process to proactively plan and develop goals, and ensure that the employee has a clear understanding of your expectations.

 Why is it considered appropriate for approximately 10% of staff to earn a Highly Accomplished
Evaluation rating?

Reading the Guide for Performance and attending a Performance Training Session should help explain the rationale. The definition for the Highly Accomplished Performance rating describes “Staff members in this category consistently and substantially exceed requirements of the position and perform at maximum levels of effectiveness”Employees in this category make unique and significant contributions to the department. Typically, these staff members are the natural leaders in their departments. They stay abreast of trends, are proactive in building skills and relationships, and play a leadership role in presenting new and innovative ideas that benefit the department to achieve department/division-wide goals. Frequently, there was a one-time event or project outside the scope of their regular responsibilities that created the opportunity for them to rise above the routine demands of their jobs. Supervisors are encouraged to carefully consider the entire spectrum of the evaluation ratings so that the selected rating accurately reflects the staff member’s level of accomplishment and performance appraisal so that inflated ratings are avoided.

PREPARING FOR THE PERFORMANCE APPRAISAL MEETING

 How can I make the end of the year performance appraisal process less stressful for staff?
If you and your staff have not talked during the year about their performance and your expectations of their work, they may be nervous about the meeting because they don’t know what to expect. So, get them involved in the process by asking them to complete a self-appraisal or draft of an appraisal form so they can feel prepared. For the process to be successful and meaningful, you need to know how they view their accomplishments over the past year. Let them know the performance meeting will include a review of accomplishments, and that you also want to focus on the future – goal setting and planning for improvement. Plan to talk regularly with staff about their work during the course of the coming year, so that you both will have a clear understanding if their work is meeting your expectations, and next year the year-end performance appraisal meeting will be more productive and less stressful.

 When and how do I talk to employees about salary increases?
Performance and the salary increase should not be discussed in the same meeting. Knowing that there will be two separate meetings keeps the first meeting focused on performance, and reinforces that staff input is considered in preparing your assessment of their performance. At a separate meeting, after the salary increases in your area have been approved, tell your staff face-to-face and in writing about the salary increase. Share the salary increase guidelines with them, your reasons, and any other salary administration material so they understand the rationale for the increase. If part of the increase is other than performance, let the staff member know that and explain the reasoning. We are trying to put more and more information in the hands of supervisors so that you are equipped to discuss salary and increases. Contact a Compensation Services representative or your HR Representative if you have questions.

 Should I develop my staff?
The new, simplified and streamlined Performance Development and Planning Process is designed to help staff be the best they can be. The Plan for Academic Enrichment emphasizes the importance of aligning the mission and Goals of the University to help Brown be a high performing University that attracts, develops, motivates and retains talent. Staff who develop are more likely to produce the most effective results that benefit the individual, the department and University.


 Are the performance appraisals primarily about performance increases?
The Year-end Performance Appraisal does provide the basis for determining salary increases. However, working is about more than a paycheck. The benchmarking data shows that what is most important to employees about pay is a sense that they are fairly paid, especially among their peers. We call this concept internal equity and performance based pay.

Staff who produce the most effective results by being developed should be rewarded with highest increases. And more important than pay is recognition that takes the shape of talking to your staff about how they can grow, learn and develop their personal and professional skills. Brown offers training and development opportunities, Employee Education Program, BEAR Day and Staff Development Day. Be proactive about developing your staff!