Role of Principal for Managing Performance Appraisal System

This paper describes the role of principal for designing and implementing the scientific and systematic performance appraisal in educational institutions. The detailed role of the principal is described on various phases of the performance management such as conceptualization phase, design phase, implementation phase and evaluation phase.


The performance appraisal and development system is becoming a full fledged system to manage human resources in educational institutions. The principal and staff development cell of the institution should conduct research study to design new performance appraisal system. It should be designed participatively involving all the stakeholders of the faculty members. All the faculty members should co-operate with each other during the process of performance appraisal system design. The resource person should consider the views of faculty members on various parameters and new techniques to design performance appraisal system. The principal should create more challenges for faculty members and incorporate latest trends, contents and methods in teaching learning to design performance appraisal system. The institution should empower the faculty members and staff members to manage their own performance. It should design new instruments to appraise performance considering new techniques and system. It should take expert guidance on new performance appraisal system and make effective decisions. It should continuously organize performance planning and review sessions.

The authors of this papers interacted with 10 experts and 150 respondents on performance appraisal system. They suggested that the performance appraisal system should be holistic and role based. It should be derived from the vision, missions and goals of the institution. The focus should be present performance at the same time developing the faculty and staff members to achieve goals, missions and vision of the institution. The expectations of students within the framework of the vision of the institution should be satisfied through legal means. The principal should prepare the institution development plans and these plans should be the basis for  preparing annual plans for the individual faculty and staff members. The individual plans should be prepared in such a way that these plans cover the institutional goals.A comprehensive format with objective criteria should be designed for performance appraisal. All the faculty members and other stakeholders should be educated to follow the new performance appraisal system. The experts suggested that the principal should perform following roles during the performance management cycle:

During conceptualization phase

•    Study the theory and principles of performance appraisal system in the context of own academic programmes and activities. There may be inherent problems because of which the institution may not be successful in establishing the new performance appraisal system. For example the management of the institution takes all the decision related to change development and innovation in such case principal should consult the management of the institution with a concept paper to introduce performance appraisal in the institution.
•    The faculty members are highly experienced, matured and belong to one community and dominate the decisions and activities of the institution. In such case the consensus of these faculty members should be taken before taking any initiative.
•    Most of the faculty members are not trained to design and implement innovations in the teaching learning process, in such a case they should be appropriately trained to assume and perform the role effectively and efficiently.
•    Minimum physical and learning resources are not available in the institution. In such situation, whenever you will talk about performance, faculty members will ask for resources. So ensure the availability of minimum resources.
•    The complete environment of the institution is spoiled, only politics prevail. In such situation, take appropriate action to bring the situation to normal condition then think about performance appraisal.
•    Do SWOT analysis for introducing the performance appraisal system. If the weightage of strengths and opportunities is more and weaknesses and threats are trivial then go for performance appraisal system.
•    Undertake force field analysis for performance appraisal system, if the intensity of facilitating forces is significantly more then go for performance appraisal system.
•    Circulate concept paper and formally invite reaction of faculty members on performance appraisal system; if their reactions are positive then go for performance appraisal system.
•    Conduct one brainstorming session and know the reaction of faculty members about performance appraisal system.
•    Take help of informal communication channels to know the reactions of faculty members on performance appraisal system.
•    Assess your power to design and implement the performance appraisal system and associated change.
•    Assess the effectiveness of other systems and processes in the institution. If they are poorly designed, performance appraisal will not bring intended impact; improve the other systems and processes.
•    Take guidance and consultancy from experts on designing and implementing performance appraisal system.

During design phase

•    Introduce the performance appraisal system circulating a detailed concept paper and your intent to introduce in the institution.
•    Conduct a meeting of randomly picked up faculty members on performance appraisal and knows their reaction.
•    Conduct a formal workshop for all the faculty members and other stakeholders to create awareness about performance appraisal. This workshop should be conducted under the guidance of experts.
•    Clear the doubts raised by faculty members related to performance appraisal.
•    Conduct performance appraisal system; design workshop involving all the faculty members.
•    Design the performance appraisal manual along with formats for appraisers.
•    Prepare comprehensive performance appraisal manual which should cover vision, missions, goals and plans of the institution.
•    Validate it and get it approved from competent authority and then circulate it to all the stakeholders.

During implementation phase

•    Organize training of faculty members on new performance appraisal system.
•    Organize planning workshops for individual performance planning in the prescribed formats.
•    Validate the plans of faculty members in participative manner considering the benchmarks set at institutional level.
•    Provide all types of resources timely, especially the information, communication technology hard and soft resources.
•    Create opportunities for training, guiding and coaching within the institution and outside the institution.
•    Encourage faculty members for implementing the performance plans. Encourage self monitoring and assessment of progress of implementation on individual plans.
•    Solve implementation problems.
•    Motivate faculty members for informal appraisal of the performance through self and peer appraisal.
•    Organize appraisal sessions at the end of the year in conducive and healthy environment.
•    Analyse the performance appraisal reports of individual faculty members and take remedial and corrective actions.
•    Draw conclusions on achievements and shortfalls in performance of individuals and institution as a whole.
•    Organize experience sharing sessions at institution level.
•    Organize reward giving ceremony.

During evaluation phase

•    Evaluate the impact of the performance appraisal system on the performance of the institution as a whole.
•    Identify the weaknesses of the performance appraisal system.
•    Improve the design of the performance appraisal system.
•    Communicate the modified performance appraisal system to one and all.
•    Plan for next year performance.
•    Organize feedback, guidance counseling and training sessions for improving performance.
•    Take policy decisions for encouraging excellent performance.


The role of the principal is crucial in designing, implementing, evaluating and improving the performance appraisal system and thereby managing the performance at institution level.


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