TheAppraisalInterview

PrefacebytheViceChancellorforHumanResourceManagementattheUniversityofInnsbruck WhatisanAppraisalInterview? HowdoestheAppraisalInterviewwork? TopicsofanAppraisalInterview GuidelinesforpreparinganAppraisalInterviewbetweenManagerandScientificStaff FinalReports

Preface

Preface DearColleagues, Quite frequently one is confronted with the view Why should an Assessment Interview be carried out at all we talk with each other all the time anyway? One does not exclude the other. Daily communication at the work place is vital for factual cooperation, just as much as frequent talks duringbreaks.BothhowevercannotbeasubstituteforthepurposeofanAssessmentInterview. ForthesuccessfulconductionofanAppraisalInterviewtalkingenoughtimeforit(atleastanhour)as wellaschoosinganappropriate,quietlocationarevital. The structured outline of enables both, the employee and the manager, to look back on past performanceaswellastoagreeonfuturegoalsandtasks.Duetothewrittenformthoseagreements become verifiable and binding, while at the same time remaining confidential because of the four eyes principle. No content of the interview (except agreedupon training measures) is passed on to thirdparties.TheAppraisalInterviewfosterstrustandcooperationwithintheorganizationalunitand isvaluableforallpartiesinvolved. TheAppraisalInterviewdemandsformutualwillingnessfordialogue,jointevaluationandanalysisof agreedupon goals and possible deviations. It enables the identification of potential areas for development together with appropriate training measures. The Appraisal Interview also facilitates the agreement on annual targets in regard to carrying out the necessary tasks of an organizational unit.Finallyitalsoprovidesanopportunitytogettingtoknoweachotherbetter. Hence, the University of Innsbruck decided to keep and further optimize this leadership and developmentinstrument,whichisstatutoryinPublicWorkLaw(45and45bDBG1979)evenafter thefulllegalindependencewasestablishedforuniversitiesinAustria.DetailsregardingtheAppraisal Interviewcanbefoundonthefollowingpages. AssistantProf.Mag.Dr.WolfgangMeixner ViceChancellorforHumanResources

HowdoestheAppraisalInterviewwork?

WhatisanAppraisalInterview?
Talksbetweenemployeeandmanagerhappenonanalmostdailybasis.TheannualAppraisal Interviewhoweverofferstheopportunitytosystematicallydiscussthefollowingcontent: Discussworkandperformanceofthepastyeartasks,workconditionsandcooperation Resolveproblemsandmisunderstandings Mutuallyvoiceacknowledgementandcritiqueinafactualmatter Agreeonmeasurestoboostdevelopmentandfurthereducation Mutuallyagreeonlongtermgoalsandfocuspoints Hence,anAppraisalInterviewisaOneonOneinterviewwhich: Takesplaceatleastonceayear Requiresbothpartiestoprepareforit Issemistructured Iscarriedoutbytheemployeeandthedirectsupervisorusingspecificcontents

HowdoestheAppraisalInterviewwork?

WhycarryoutanAppraisalInterview?
Fromthemanagersperspective Amanagerssuccessdependsonhowwellanemployeecancarryouthisorhertasks.TheAppraisal Interviewenablesthemanagertofulfillhis/herleadershiprole.Themanager Agreesongoalswiththeemployeethereforeprovidingtheemployeewithadirectiontogo to FacilitatesimportantinformationregardingtheUniversityand/ortheorganizationalunit Evaluatesgoalstogetherwiththeemployeeandconductscausalresearch Receivesinformationregardinghimself,hisemployeesandorganizationalunit(mutual exchangeofexpectationsanddesires) Assistsandpromoteshis/heremployees Fromtheemployeesperspective Anemployeessuccessandcareerdependonhowwellhe/shedevelopshis/herskillsand competencies,performanceandjobsatisfactionaswellashowwellhe/shepreparesforpossible futuretasksandnewrequirements.Theemployee Receives,viatheAppraisalInterview,aguidelineonthebasisofwhichcriteriahe/shewillbe evaluated. Receivesfeedbackonhis/herperformance ReceivesinformationregardingtheUniversityandtheorganizationalunit Caninfluencehis/herareaofworkandsetgoals Cangetinformationonpossiblepathsfordevelopment,requirementsandtrainingandcan alsovoicehis/herwishesregardingtraining.

HowdoestheAppraisalInterviewwork?

HowdoestheAppraisalInterviewwork?
Thedatefortheinterviewshouldbeagreeduponatleasttwoweeksahead.Theinterviewtakes placeduringworktime.Scheduleapprox.onetotwohoursinaappropriateandquietenvironment Managerandemployeepreparefortheinterviewindependently. Employeeanddirectsupervisorcarryouttheinterview

Task

Balanceof the Appraisal Interview

Manager

Employee

Managerandemployeecommonlystipulatetheagreement (AttachmentAppraisalInterviewAgreements) *Agreementsremainwiththe Information,thattheAppraisal *Informationregarding manager(confidential),acopy Interviewwascarriedoutis requiredtrainingaresentto isgiventotheemployee enteredinVIS theHumanResource Developmentdepartment *Therequiredtemplatescanbefoundattheendofthisguideline

PreparingfortheAppraisal

PerformanceEvaluation Talkaboutpastperformanceand thelevelofgoalachievement Analyzeproblemsanddifficulties anddiscusspotentialfor improvement (focusonthepast)

IdentificationofPosition Howdowecurrentlywork together? StrengthsandWeaknessesofthe employeeandmanager (focusonthepresent)

Aconversation withthetopics
Goals/FocusPoints Agreeonnewgoalsandfocus points(precise,withdeadlines andfulfillmentcriteria) (focusonthefuture) SystematicSupport Supportcareerdevelopmentof theemployeeviatargeted training Commonlydiscussdevelopment potentialandplanqualification actions (focusonthefuture)

PreparingfortheAppraisal

GuidelinesforpreparingtheAppraisalInterviewbetween directsupervisorandscientificstaff
(StatusbeforetheCollectiveBargainingAgreementcameintoforce)

PreparingfortheAppraisal

PerformanceEvaluationandReview

Employee
Whichoftheagreedupongoalswerereached? Extenttowhichtheywerereached(teaching, research,administration) Whichtaskswerenotperformed,resp.not performedinasatisfactorymanner?Whatdo youconsiderbeingreasonsforthis?

Manager
Whichmeasuresweretakenbytheemployeeto reachthosegoals?Weretheyreachedina timelymanner? SeepreviousyearsformAgreements Whichtaskswerenotcompleted,orcompleted unsatisfactory?Wheredoyouseeopportunities ortheneedtoimprovetheworkenvironment? Canorshouldmissedtasksbemadeupfor? Woulditmakesensetodelegatethosetaskstoa differentemployee? Howcancurrentworkoutputbeoptimized?

Whatisthesplitofyourworkloadbetween research,teachingandadministration?Doyou wishtochangethissplit? Howsatisfiedareyouwiththeworkresults? InResearch: Publications,projects,presentations, participationatscientificevents,activityas reviewer,resultsofevaluations InTeaching: Typeandvolumeofteaching,developmentof conceptsandperformanceappraisal,supervision ofthesisanddissertations,developmentof learningaids,didactictraining InAdministration: Natureandscopeofadministrativeworkforthe organizationalunit,coordinationofcongresses andtrainings,activitiesincommittees, involvementinsharedtasks

Areyousatisfiedwiththeemployees engagement,motivationandwillingnessto perform? InResearch: Publications,projects,presentations, participationatscientificevents,activityas reviewer,resultsofevaluations InTeaching: Typeandvolumeofteaching,developmentof conceptsandperformanceappraisal,supervision ofthesisanddissertations,developmentof learningaids,didactictraining InAdministration: Natureandscopeofadministrativeworkforthe organizationalunit,coordinationofcongresses andtrainings,activitiesincommittees, involvementinsharedtasks

PreparingfortheAppraisal

IdentificationofPositionandcooperationwiththemanagerandcolleagues

Employee
Howsatisfiedareyouintermsofcooperation withyourmanager? Whichareasofcooperationarepositive,which areascouldbeimproved/changed? Doyoureceiveenoughinformation? Areyouabletopassoninformationwhichis importantforyourjobtoyourmanager? Doyougetfeedbackfortheworkdelivered? (Acknowledgement,constructivecriticism) Howsatisfiedareyouintermsofcooperation withyourcoworkers?Withtheteamwork?

Manager
Howsatisfiedareyouintermsofcooperation withyouremployee? Whichareasofcooperationarepositive,which areascouldbeimproved/changed? Istheflowofinformationsatisfactory? Doestheemployeeprovideyouwithsufficient informationregardingworkdelivered? Doyouprovideenoughfeedbackregardingwork delivered?Acknowledgementandconstructive criticism Whatisyourappraisalinregardtocooperation oftheemployeewithcoworkers?the contributionstoteamwork?

PreparingfortheAppraisal

FocusPoints,Goals,Tasks

Manager

Employee

Whichspecificgoalsofyourorganizationalunit Whichspecificgoalsanddeductedtasksofyour areparticularlyimportantforyourareaofwork? organizationalunitareparticularlyimportantfor thisdepartmentandareaofwork? Whatdoestheemployeeneedtoknow? Whichfocuspointsdoyouseeforthecoming Whichfocuspointsdoyouseefortheemployee yearintheareaof inthecomingyear? Research Teaching Administration Whichsuggestionsdoyouhavetomakeforyour organizationalunit(e.g.meetings)? TheagreementswillbeenteredintheAgreementstemplateandaresignedbytheemployeeand themanager.Theemployeereceivesacopy.

PreparingfortheAppraisal

SystematicDevelopment/Perspectives

Employee
Doyourworktasksreflectyourinterests,skills andabilities?Arethereotherqualificationsyou couldcontribute? Howdoyouevaluateyourcareerdevelopment sofar? Whatdoyouexpectfromyourfuturecareer development? Whichoptionsforcontinuedemploymentcan youimagine,afteryourcontractexpired?

Manager
Doesthequalificationprofileoftheemployeefit his/herareaofwork?

Howdoyouevaluatethedeliveredperformance inlightofthenecessaryqualificationfora scientificcareer(dissertation,habilitation) Whichgoalsfordevelopmentdoyouseeforthe employee? Whichoptionsforcontinuedemploymentdo exist,afterthecontractexpired?arethere futureprojects? Whichqualificationandtrainingmeasuresare Whatisthequalificationandtrainingneedthat necessaryinordertoreachthesetgoals? canbedeductedfromrecentperformanceof theemployee?(e.g.alsoscholarships) Howcouldyouusethelatestqualification Howwerecompletedqualificationandtraining measures? measuresappliedtoworkbytheemployee? Whichothergeneralconditionsarenecessaryin Whichothergeneralconditionsarenecessaryin ordertoreachthedevelopmentgoals? ordertoreachthedevelopmentgoals? ThedevelopmentandtrainingneedswillbeenteredintheInformationtemplateandthis templateneedstobesenttotheDepartmentforHumanResourceDevelopment. PleasealsoconsiderthetrainingpossibilitiesoftheDepartmentforHumanResourceDevelopment.

AppraisalInterviewConfidentialAgreements, RemainswiththeManager,CopywillbegiventotheEmployee Agreementbetween(Name,Function) ________________________and ________________________

Manager Employee

Jointlydevelopedon:

________________________Place ________________________
Date Location

Goal
What?

StrategiestoRealize
How?

Resources
With?

TimePlan
UntilWhen?

Responsible
Who?

Signature __________________________
Manager

__________________________
Employee

InformationwillbeforwardedtotheDepartmentforHumanResourceDevelopment Togetherwiththefollowingemployeesaneedforfurtherdevelopmentandtraininghasbeenidentified Name Development/TrainingNeed

_______________ ____________________________________________________________________

Date

SignatureoftheManagerandStampoftheOrganizationalUnit