The Appraisal Interview
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1 The Appraisal Interview Preface by the Vice Chancellor for Human Resource Management at the University of Innsbruck What is an Appraisal Interview? How does the Appraisal Interview work? Topics of an Appraisal Interview Guidelines for preparing an Appraisal Interview between Manager and Scientific Staff Final Reports
2 Preface Preface Dear Colleagues, 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 during breaks. Both however cannot be a substitute for the purpose of an Assessment Interview. For the successful conduction of an Appraisal Interview talking enough time for it (at least an hour) as well as choosing an appropriate, quiet location are vital. The structured outline of enables both, the employee and the manager, to look back on past performance as well as to agree on future goals and tasks. Due to the written form those agreements become verifiable and binding, while at the same time remaining confidential because of the foureyes principle. No content of the interview (except agreed upon training measures) is passed on to third parties. The Appraisal Interview fosters trust and cooperation within the organizational unit and is valuable for all parties involved. The Appraisal Interview demands for mutual willingness for dialogue, joint evaluation and analysis of agreed upon 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. Finally it also provides an opportunity to getting to know each other better. Hence, the University of Innsbruck decided to keep and further optimize this leadership and development instrument, which is statutory in Public Work Law ( 45 and 45b DBG 1979) even after the full legal independence was established for universities in Austria. Details regarding the Appraisal Interview can be found on the following pages. Assistant Prof. Mag. Dr. Wolfgang Meixner Vice Chancellor for Human Resources
3 How does the Appraisal Interview work? What is an Appraisal Interview? Talks between employee and manager happen on an almost daily basis. The annual Appraisal Interview however offers the opportunity to systematically discuss the following content: Discuss work and performance of the past year tasks, work conditions and cooperation Resolve problems and misunderstandings Mutually voice acknowledgement and critique in a factual matter Agree on measures to boost development and further education Mutually agree on long term goals and focus points Hence, an Appraisal Interview is a One on One interview which: Takes place at least once a year Requires both parties to prepare for it Is semi structured Is carried out by the employee and the direct supervisor using specific contents
4 How does the Appraisal Interview work? Why carry out an Appraisal Interview? From the manager s perspective A manager s success depends on how well an employee can carry out his or her tasks. The Appraisal Interview enables the manager to fulfill his/her leadership role. The manager Agrees on goals with the employee therefore providing the employee with a direction to go to Facilitates important information regarding the University and/or the organizational unit Evaluates goals together with the employee and conducts causal research Receives information regarding himself, his employees and organizational unit (mutual exchange of expectations and desires) Assists and promotes his/her employees From the employee s perspective An employee s success and career depend on how well he/ she develops his/her skills and competencies, performance and job satisfaction as well as how well he/she prepares for possible future tasks and new requirements. The employee Receives, via the Appraisal Interview, a guideline on the basis of which criteria he/she will be evaluated. Receives feedback on his/her performance Receives information regarding the University and the organizational unit Can influence his/her area of work and set goals Can get information on possible paths for development, requirements and training and can also voice his/her wishes regarding training.
5 How does the Appraisal Interview work? How does the Appraisal Interview work? The date for the interview should be agreed upon at least two weeks ahead. The interview takes place during work time. Schedule approx. one to two hours in a appropriate and quiet environment Manager and employee prepare for the interview independently. Employee and direct supervisor carry out the interview Task Balance of the Appraisal Interview Manager Employee Manager and employee commonly stipulate the agreement (Attachment Appraisal Interview Agreements) *Agreements remain with the manager (confidential), a copy is given to the employee Information, that the Appraisal Interview was carried out is entered in VIS *Information regarding required training are sent to the Human Resource Development department * The required templates can be found at the end of this guideline
6 Preparing for the Appraisal Performance Evaluation Talk about past performance and the level of goal achievement Analyze problems and difficulties and discuss potential for improvement (focus on the past) Identification of Position How do we currently work together? Strengths and Weaknesses of the employee and manager (focus on the present) A conversation with the topics Goals/Focus Points Agree on new goals and focus points (precise, with deadlines and fulfillment criteria) (focus on the future) Systematic Support Support career development of the employee via targeted training Commonly discuss development potential and plan qualification actions (focus on the future)
7 Preparing for the Appraisal Guidelines for preparing the Appraisal Interview between direct supervisor and scientific staff (Status before the Collective Bargaining Agreement came into force)
8 Preparing for the Appraisal Performance Evaluation and Review Employee Which of the agreed upon goals were reached? Extent to which they were reached (teaching, research, administration) Which tasks were not performed, resp. not performed in a satisfactory manner? What do you consider being reasons for this? What is the split of your workload between research, teaching and administration? Do you wish to change this split? How satisfied are you with the work results? In Research: Publications, projects, presentations, participation at scientific events, activity as reviewer, results of evaluations In Teaching: Type and volume of teaching, development of concepts and performance appraisal, supervision of thesis and dissertations, development of learning aids, didactic training In Administration: Nature and scope of administrative work for the organizational unit, coordination of congresses and trainings, activities in committees, involvement in shared tasks Manager Which measures were taken by the employee to reach those goals? Were they reached in a timely manner? See previous year s form Agreements Which tasks were not completed, or completed unsatisfactory? Where do you see opportunities or the need to improve the work environment? Can or should missed tasks be made up for? Would it make sense to delegate those tasks to a different employee? How can current work output be optimized? Are you satisfied with the employee s engagement, motivation and willingness to perform? In Research: Publications, projects, presentations, participation at scientific events, activity as reviewer, results of evaluations In Teaching: Type and volume of teaching, development of concepts and performance appraisal, supervision of thesis and dissertations, development of learning aids, didactic training In Administration: Nature and scope of administrative work for the organizational unit, coordination of congresses and trainings, activities in committees, involvement in shared tasks
9 Preparing for the Appraisal Identification of Position and cooperation with the manager and colleagues Employee How satisfied are you in terms of cooperation with your manager? Which areas of cooperation are positive, which areas could be improved / changed? Do you receive enough information? Are you able to pass on information which is important for your job to your manager? Do you get feedback for the work delivered? (Acknowledgement, constructive criticism) How satisfied are you in terms of cooperation with your co workers? With the team work? Manager How satisfied are you in terms of cooperation with your employee? Which areas of cooperation are positive, which areas could be improved / changed? Is the flow of information satisfactory? Does the employee provide you with sufficient information regarding work delivered? Do you provide enough feedback regarding work delivered? Acknowledgement and constructive criticism What is your appraisal in regard to cooperation of the employee with co workers? the contributions to team work?
10 Preparing for the Appraisal Focus Points, Goals, Tasks Employee Which specific goals of your organizational unit are particularly important for your area of work? Which focus points do you see for the coming year in the area of Manager Which specific goals and deducted tasks of your organizational unit are particularly important for this department and area of work? What does the employee need to know? Which focus points do you see for the employee in the coming year? Research Teaching Administration Which suggestions do you have to make for your organizational unit (e.g. meetings )? The agreements will be entered in the Agreements template and are signed by the employee and the manager. The employee receives a copy.
11 Preparing for the Appraisal Systematic Development / Perspectives Employee Do your work tasks reflect your interests, skills and abilities? Are there other qualifications you could contribute? How do you evaluate your career development so far? What do you expect from your future career development? Which options for continued employment can you imagine, after your contract expired? Manager Does the qualification profile of the employee fit his/her area of work? How do you evaluate the delivered performance in light of the necessary qualification for a scientific career (dissertation, habilitation) Which goals for development do you see for the employee? Which options for continued employment do exist, after the contract expired? are there future projects? Which qualification and training measures are necessary in order to reach the set goals? What is the qualification and training need that can be deducted from recent performance of the employee? (e.g. also scholarships) How were completed qualification and training measures applied to work by the employee? Which other general conditions are necessary in order to reach the development goals? How could you use the latest qualification measures? Which other general conditions are necessary in order to reach the development goals? The development and training needs will be entered in the Information template and this template needs to be sent to the Department for Human Resource Development. Please also consider the training possibilities of the Department for Human Resource Development.
12 Appraisal Interview Confidential Agreements, Remains with the Manager, Copy will be given to the Employee Agreement between (Name, Function) and Manager Employee Jointly developed on: Place Date Location Goal What? Strategies to Realize How? Resources With? Time Plan Until When? Responsible Who? Signature Manager Employee
13 Information will be forwarded to the Department for Human Resource Development Together with the following employees a need for further development and training has been identified Name Development / Training Need Date Signature of the Manager and Stamp of the Organizational Unit
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