TheAppraisalInterview

PrefacebytheViceChancellorforHumanResourceManagementattheUniversityofInnsbruck

WhatisanAppraisalInterview?

HowdoestheAppraisalInterviewwork?

TopicsofanAppraisalInterview

GuidelinesforpreparinganAppraisalInterviewbetweenManagerandScientificStaff

FinalReports

Preface

Preface

DearColleagues,

QuitefrequentlyoneisconfrontedwiththeviewWhyshouldanAssessmentInterviewbecarried
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
becomeverifiableandbinding,whileatthesametimeremainingconfidentialbecauseofthefour
eyesprinciple.Nocontentoftheinterview(exceptagreedupontrainingmeasures)ispassedonto
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
theagreementonannualtargetsinregardtocarryingoutthenecessarytasksofanorganizational
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

Manager

Whichoftheagreedupongoalswerereached?
Extenttowhichtheywerereached(teaching,
research,administration)

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

Whichtaskswerenotperformed,resp.not
performedinasatisfactorymanner?Whatdo
youconsiderbeingreasonsforthis?

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

Manager

Howsatisfiedareyouintermsofcooperation
withyourmanager?

Whichareasofcooperationarepositive,which
areascouldbeimproved/changed?
Doyoureceiveenoughinformation?

Areyouabletopassoninformationwhichis
importantforyourjobtoyourmanager?
Doyougetfeedbackfortheworkdelivered?
(Acknowledgement,constructivecriticism)

Howsatisfiedareyouintermsofcooperation
withyouremployee?

Whichareasofcooperationarepositive,which
areascouldbeimproved/changed?
Istheflowofinformationsatisfactory?

Doestheemployeeprovideyouwithsufficient
informationregardingworkdelivered?
Doyouprovideenoughfeedbackregardingwork
delivered?Acknowledgementandconstructive
criticism
Whatisyourappraisalinregardtocooperation
oftheemployeewithcoworkers?the
contributionstoteamwork?

Howsatisfiedareyouintermsofcooperation
withyourcoworkers?Withtheteamwork?

PreparingfortheAppraisal

FocusPoints,Goals,Tasks

Employee

Manager

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

Manager

Doyourworktasksreflectyourinterests,skills
andabilities?Arethereotherqualificationsyou
couldcontribute?
Howdoyouevaluateyourcareerdevelopment
sofar?

Whatdoyouexpectfromyourfuturecareer
development?

Whichoptionsforcontinuedemploymentcan
youimagine,afteryourcontractexpired?

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

StrategiestoRealize

Resources

TimePlan

Responsible

What?

How?

With?

UntilWhen?

Who?

Signature __________________________

Manager

__________________________

Employee

InformationwillbeforwardedtotheDepartmentforHumanResourceDevelopment

Togetherwiththefollowingemployeesaneedforfurtherdevelopmentandtraininghasbeenidentified

Name
Development/TrainingNeed

_______________

____________________________________________________________________

Date

SignatureoftheManagerandStampoftheOrganizationalUnit