Archdiocese of Canberra and Goulburn
Catholic Education Office

Developmental Staff Appraisal (Draft)

Related Policies:

Developmental Staff Appraisal for Assistant Principals, Religious Education Coordinators & Coordinators

Purpose:

This policy outlines the process for conducting Developmental Staff Reviews (DSA) for staff engaged in Archdiocesan Schools and the Catholic Education Office

Policy:

All Archdiocesan school staff and staff within the Catholic Education Office should participate in an annual DSA. For staff members on contract who undergo the appointment renewal process they should participate in the DSA process in the years that they do not undertake an appointment renewal review.

Definitions:

“Developmental Staff Appraisal (DSA)” is a process that encourages discussion between a staff member and his/her Principal/Supervisor. The DSA interview provides a forum for discussing the staff member's goals/objectives for his/her position and relevant Professional Development by:

• Identifying indicators of success;
• Discussing factors that stand in the way of effective performance;
• Providing a formal event for recognition of good performance.

DSA focuses on four phases, the review of the Duty Statement, the Self Reflection, the Interview and the Report. DSAs should take place within the context of continuous discussion and feedback about what is happening in the work environment. It should not hold surprises for the staff member or be used where disciplinary or grievance procedures should be used instead.

DSA is a two-way conversation. The person giving feedback to the staff member needs to give clear feedback and listen to how the staff member is experiencing the workplace in performing his/her duties.

DSA processes need to include statements expressing the mutuality of the process. “This is what is needed from your position, this is what I'll do to help you achieve it”. It is also important to examine work practices in an objective way. This may mean the leader or supervisor articulating reasons for changing priorities or the staff member suggesting more efficient ways of working.

The DSA will be more satisfying if the emphasis is on achievement of goals rather than the performance of individuals. Staff members can participate as problem solvers rather than opponents and develop new skills and improve communication with other members of staff.

Procedures:

1. Skills for Effective DSAs

Effective DSAs calls on a range of skills that require consideration, information, practice and feedback. The skills used in DSA are relational and include skills such as active listening, empathy, questioning and giving feedback. Each of us uses these skills within the strengths and limitations of our own personality and experience. This is true of the person being appraised and the person facilitating this process. All participants benefit from monitoring and reflecting on their responses to the process. Some participants or teams/sections may wish to do short training sessions to these topics. The Human Resources Division can arrange this on request.

2. Giving Feedback

The following points are important for giving positive and constructive feedback.

• Create ongoing working relationships where feedback is given and taken continuously. Remember it is only fair to give people credit that is rightfully theirs.
• Give positive and negative feedback when events occur.
• Be courteous. Have genuine consideration for other people's feelings, wishes and problems.
• Don't tamper with the truth – give facts not rationalisations.
• Be concise in your writing and talking. Be clear when giving instructions.
• Be generous. Remember it is the productivity of others that creates the group's successes.

3. Trust

To create good working relationships it is essential to build and maintain trust by:

3.1 Paying Attention
Keep communication going with other staff. Listen to the ideas of others. Do not make your judgements too soon. Listen for feelings and concerns as well as content. Reflect on your own interpersonal style and how that affects others.

3.2 Showing Empathy
Be aware of the feeling and attitudes of other staff. Recognise there may be gender and age differences in this. Ask yourself how you would feel. Acknowledge and validate the ideas of others – this does not necessarily mean you agree with them. Do not withdraw when anxiety or difficult feelings present themselves. Make sure you are giving the same message verbally and non-verbally.

3.3 Giving Respect
Model the behaviour you expect – demonstrate high standards and ethical behaviours. Act sincerely and honestly even if it means giving bad news. Seek out and honour other people's perspectives. Focus on the value of other staff member's ideas and feelings.

4. Rapport

Accept that people are different and some will have idiosyncrasies, vulnerabilities and limitations. Remain open to their opinions and feelings. Affirm their viewpoint frequently. Take time to know other staff and care about them. Give time and attention to your conversations with each other.

5. Reliability

Do what you say you will, keep promises and sustain commitment. Make sure people experience you as reliable. Follow up and follow through.

6. Sincerity

Be yourself, say what you mean and feel. Let others know where they stand with you. Say it to the person before you say it to others.

7 . Managing Emotions

DSAs can be a source of high emotions. Some hints for helping a staff member who responds emotionally to a DSA process are:

1. handle the emotional response first;
2. stay clam;
3. pause before replying, breathe deeply;
4. don't take it personally;
5. avoid fighting back;
6. allow the person to express their feelings, do not interrupt an angry person;
7. listen for feeling as well as content;
8. reflect their feelings back to them with empathy and repeat their concerns for them;
9. acknowledge their feelings before proceeding;
10. seek assistance and/or debriefing from a trusted colleague or the Human Resources Division.

8. Overcoming Difficulties

The following hints may assist if your interview/discussion is not going well.

8.1 Denial
Clarify the area of disagreement. It may be the problem or one of its causes. Keep an open mind. You may need to revise your judgement. Support your cause with facts. Remember to consider needs, feelings and emotions. Work toward a win/win result.

8.2 Defensiveness
Refocus on the problem. Look for positive solutions. Do not continue without positive feedback. Avoid blame, criticism and moralising in your communication.

8.3 Disinterest
Challenge the other person. State your own feelings and reactions clearly and objectively. Name the behaviour.

8.4 Disagreement
Try to establish common ground. Clarify the area of disagreement, whether it is the problem or the causes. Focus on facts. Take time out and review. Avoid placating or distracting.

8.5 Cynicism/Scepticism
Offer evidence. Focus on proven benefits. Be open and honest but hold to what you believe. Enlist ‘trial' commitment.

9. Questioning Techniques

Successful questioning allows an interview to become a conversation focussed on the relevant areas. Consider the following tips for effective questioning:

1. know the person you are talking to;
2. be sensitive to timing, it facilitates accurate and effective answers;
3. prepare a question plan – its is a good starting point but it needs to be used flexibly;
4. ask the person's permission to ask the question – it puts the person at ease;
5. move from broad questions to narrow questions;
6. build in previous responses;
7. focus your question and pursue one line of thought;
8. avoid ambiguous questions;
9. avoid multi questions, they cause confusion;
10. use plain English and avoid emotive words and jargon;
11. avoid catch or trick questions, they cause tension;
12. avoid slanted or manipulative questions;
13. avoid threatening questions, they cause tension;
14. maintain a collaborative climate;
15. use situations instead of direct questions where possible;
16. always acknowledge answers, they are not always easy to give.

10. Giving Effective Feedback

Effective feedback :

• is based on mutual trust and respect
  • it is a joint exploration
  • it requires both parties to listen
• focuses on performance
  • it describes observable behaviour
  • it describes modifiable behaviour
  • it affirms strengths and efforts
• is specific and organised
  • it has a clear purpose
  • it avoids generalities
  • it is logical
  • it allows direct expression of feelings
  • it uses direct language
• is understood and agreed by both parties
  • it includes checking and clarification
  • it allows for changes of mind
  • it allows freedom of choice for appraisee
  • it avoids assumptions about what the other knows
• is reliable, valid, objective
  • it is given immediately and in an appropriate place
• occurs when the appraiser is motivated to help rather than react
  • it is given with care

11. Receiving Effective Feedback

When receiving feedback from another person:

• listen carefully to the description of your behaviour and to how the other person feels about it;
• observe the non verbal message as well;
• check that the message received is accurate eg “Do you mean….?”
• give it careful consideration;
• weigh up the pros and cons of changing or not changing your behaviour;
• discuss these with your team leader or supervisor;
• make a decision and tell your team leader or supervisor what you have decided.

It may be that you need to change your behaviour. Discuss this with your team leader or supervisor, ask for any assistance that you may require. It may be that some of their behaviour needs to change as well.

  12. Receiving and Dealing with Criticism

What we believe about ourselves makes criticism manageable or impossible for us. There are two common assumptions people can make which can stop us learning from criticism:

• for me to feel good about myself, it is absolutely necessary that I am liked by and approved by everyone;
• for me to feel good about myself, I must never make a mistake.

To please everyone all the time is not just possible. It is possible to respond assertively to criticism. Non-defensive, non-apologetic and non-attacking responses to criticism will encourage discussion to remain centred on the behaviour, not the person.

There are 5 basic ways to respond assertively to criticism:

12.1 Accept accurate criticism
When a criticism is accurate and realistic, the most powerful response may be simple acceptance. There is no need to apologise or defend. Acceptance of valid criticism will lead to open discussion and expectations and will add to your credibility.

12.2 Disagree with inaccurate criticism
It is important not to agree with criticism that is not accurate. If you feel criticism is based on value judgments or not based on facts then request specific factual information and refute it with specific information.

12.3 Set limits
Do not agree to aggressive criticism or personal innuendo. Be clear on how you expect to be treated.

12.4 Fogging
Fogging is a response that neither agrees nor disagrees with the criticism. It works by acknowledging that you have been criticised and then moving on to a new subject.

12.5 Delaying
Many times criticism is completely unexpected. Rather than responding immediately, you can indicate confusion or surprise. You can ask for time to consider the criticism.

13. Steps in Developmental Staff Appraisal

13.1 Your Section/Division Head will:

• Make sure you have an up to date duty statement.
• Tell you who will conduct your appraisal.
• Give you an interview time.

13.2 You will be asked to:

• Review your duty statement.
• Complete a self-appraisal form (Form A or B attached – use according to your response style).
• Attend the interview.
• Check the draft report (Form AA or BB attached).

13.3 Your Section/Division Head will:

• Forward the report to Human Resources who will send you a copy after it has been seen by the Director.

14. Conducting the Interview

• Keep to the appointment.
• Select the venue with care.
• Remember the DSA is a significant event.
• Develop a conversational tone and flow.
• Ask if you can proceed to a plan.
• Invite the staff member or team leader/supervisor to contribute to the plan.
• Ask questions about the staff member's role:
  • Do you have the support you need to do your job well?
  • Do our systems still handle the tasks/flow of work effectively?
  • Is our team working well?
• Make sure you can identify specific positive contributions and thank the person for them.
• If there are areas of performance that are unsatisfactory raise the concerns in a factual, calm way. Ask what can be done about resolving those issues.

15. Some Themes for the Interviews

• Quality of work
• Critical thinking/decision making
• Innovation/creativity
• Knowledge of system/school needs and processes
• Planning/organisation
• Responsiveness/timeliness
• Initiative
• Adapting to and implementing change
• Emotional control/energy level
• Training/continuous learning
• Attendance/promptness
• Personal image/work area
• Ethical behaviour
• Delegation
• Relationships
  • with supervisor
  • with co-workers
  • with those responsible to you
• Conflict resolution
• Client service
• Leadership skills
• Communication skills
  • verbal
  • written
  • listening
  • informing others
  • presentation
• •  Professional development
  • undertaken
  • planned
  • needed
• Work enhancement plan
  • agreements you want to make

16. Writing the Report

This is an essential and challenging task. It requires:

1. Time
2. Form
3. Editing

Guidelines:

1. Keep to what was discussed.
2. Be positive.
3. Where criticism is needed be specific and give directions for change.
4. Be precise and concise.
5. Avoid biases.
6. Have your Principal/Team Leader or Head of Division read your draft.
7. Get it done on time.

References:

Nil

Forms:

Checklist

Developmental Staff Appraisal (Form A)

Developmental Staff Appraisal (Form AA)

Developmental Staff Appraisal (Form B)

Last updated on December 2, 2006