PERFORMANCE
APPRAISAL PROCEDURES
(Please Note:
All Sample/Draft Personnel Policy language should be reviewed and
approved by a Company Attorney prior to adoption.)
I. WHY DO
PERFORMANCE EVALUATION?
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Employee development
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Identification of training needs attorney
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Employee motivation
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Identification of organizational problems
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Documentation to support other management decisions
including corrective action/discipline
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Ensure Job / Position Description is up to date and
accurate.
II. HOW TO DO
PERFORMANCE EVALUATION:
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Establish the right atmosphere. Find a private place where interruptions and
phone calls are unlikely. Have your
calls held. Even the seating
arrangements can be more important than you think. Two comfortable chairs at a conference table
are better than sitting behind the desk with the employee in front of you.
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Choose the right time. Look at your work schedule as well as the
employee’s. Mid-morning is often
considered an ideal time. You’ve
completed the start-up routine but neither of you is too tired to conduct a
proper appraisal session. Fridays can be
bad days if you are dealing with a marginal performer. There is a weekend to brood immediately
afterward, instead of a workday when improvements can be made. Select a time other than lunch. You and the employee will be able to better
focus on the appraisal rather than the distraction of the meal and the server.
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Be in the right frame of mind. Don’t attempt to conduct an appraisal session
if you are not feeling well or if the staff person is not well. Both of you need to be prepared mentally for
the session.
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Set the agenda.
Have the self-appraisal, planning calendar and appraisals from others in
place.
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Review position description with employee in advance of
evaluation with particular emphasis on the performance evaluation factors
included in the description.
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Continuous observations during the year with written
notation, dating and describing important examples of good and poor
performance.
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Evaluate each performance factor independently of all
other factors.
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Plan a :30 minute employee conference to review the
evaluation. Schedule the conference no more than one or two days in advance to
minimize pre-meeting apprehension.
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The conference should be friendly but formal. Emphasize
good performance and be specific about any unsatisfactory performance.
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Emphasize that an unsatisfactory rating is your
appraisal of job performance, not of the person.
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If unsatisfactory performance noted, specify the
expected corrective actions and set near term (3 month) follow up. Do this
until the performance improves.
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Brief your supervisor on the strong and weak performance
evaluations of those employees you supervise.
III. DIRECTING THE APPRAISAL SESSION:
You are conducting this session for one
purpose; to discuss the employee’s performance.
You should avoid all questions that produce short, simple answers. Try instead to ask questions that require
extended, thoughtful responses.
q Which parts of the
job do you feel you do well? This
open-ended question encourages the employee to expand and discuss his/her job.
q Provide me with the
details.
q Please elaborate.
IV. PROVIDING FEEDBACK:
Make the feedback specific. Sometimes employees just don’t measure up to
the city/town’s performance standards.
You have to point this out, and it won’t be easy. Some managers try to avoid this
experience. They hope the employee’s
performance will improve with time, experience, or just luck. Usually, the result is just the
opposite. Employees conclude that their
performance is acceptable and no one tells them anything different until they
are fired (worst case scenario). In a
case like that, a huge wrongful discharge claim could be filed because
appraisals didn’t reflect the actual performance.
Performance feedback needs to be constructive
in order for it to be productive. It
tries to reinforce the positive and change the negative by:
q Identifying what was
done well or poorly.
q Describing what
action or behavior is desired.
q Explaining the
effects of the observed and desired acts or behavior.
Constructive feedback focuses on the
behavior, not the person.
q Consider the employee’s
feelings; focus on the action, not the person.
q Avoid attacking the
individual and making judgments.
q Encourage the
employee to listen rather than go on the defensive.
q Let the employee know
what behavior is expected. Explain how
you want inadequate behavior changed.
q Explain the results
or effect of the action or behavior.
q Take time to point
out positive behaviors that can be repeated and work with the employee to come
up with ways to repeat those behaviors.
q Follow up with more
feedback and action plans as needed.
V. EVALUATION
ERRORS:
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"Halo and horns" effect - a general impression
colors the rating on all factors. Treat each factor separately.
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"Recency" effect - the evaluation is based
upon the last three or four weeks of performance rather than the totality of
the evaluation period.
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"Central tendency" - fence straddling by the
evaluator who is unwilling to assign appropriate high or low ratings.
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"Rater bias" - personal prejudice against the
employee.
VI. ADMINISTRATION:
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An employee's signature on the evaluation form does not
necessarily imply agreement with the evaluation, only that the employee has
participated in the evaluation.
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Written memoranda documenting performance through out
the year should be attached to the evaluation report.
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Performance appraisals should be signed by the
supervisor.
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The signed report and the employee's comments and other
documents must be filed in the employee's personnel folder and stored in a
secure place not readily accessible by employees.
·
The personnel file should be made available to the
employee upon request but under controlled circumstances to prevent loss of
critical documentation.
PERFORMANCE EVALUATION
FORM
Employee:_________________________________
Position:_______________________________
Supervisor:________________________________
Department:____________________________
Date:
_____________________________________
Time in
Position:________________________
SECTION I - GENERAL PERFORMANCE
STANDARDS
Consider each standard
separately. Mark an X in the
appropriate box which most reflects the evaluator’s response. A substandard
performance rating on any performance standard must be supported by specific
comment in the space provided. Use additional sheets if necessary.
1. JOB KNOWLEDGE, SKILLS, AND
ABILITIES: The employee demonstrates the knowledge, skills and
abilities necessary to perform work satisfactorily.
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Does not have the basic knowledge, skills and abilities to perform work
satisfactorily.
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Has
the basic knowledge, skills, and abilities to perform work satisfactorily.
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Has exceptional knowledge, skills, and abilities to perform work.
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COMMENTS:
2.
QUALITY OF WORK: The employee demonstrates accuracy,
attention to detail and effectiveness in completion of work.
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Work is sometimes inaccurate or incomplete; fails to meet departmental
standards.
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Work
is usually accurate and thorough; work meets departmental standards.
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Work is consistently of excellent quality, accuracy, and detail.
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COMMENTS:
3.
PRODUCTIVITY: Employee performs work with efficiency, consistency and
timeliness.
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Works
slower than expected; work is of substandard consistency and timeliness.
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Completes
work on time, with consistency and efficiency; meets departmental standards.
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Quickly completes work, often ahead of schedule; effectively
prioritizes works; exceeds departmental standards.
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COMMENTS:
4.
RELIABILITY: The employee exhibits dependability and conscientiousness
in performing work and in willingness to accept responsibilities.
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Sometimes is not dependable and conscientious in performing work;
unwilling to accept responsibilities.
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Consistently
dependable and conscientious; usually accepts responsibilities; meets
departmental standards.
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Extremely dependable; follows through promptly on all tasks; accepts
responsibilties; exceeds job goals; show high level of initiative.
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COMMENTS:
5.
COMMUNICATION: The employee demonstrates the
appropriate level of written and verbal communication skills necessary to
satisfactorily perform the job.
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Communication
skills impair work performance.
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Possesses
the required communication skills and is effective in the position; meets
departmental standards.
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Has excellent communication skills; very effective in verbal and
written interactions.
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COMMENTS:
6. WORK RELATIONSHIPS: The
employee possesses the ability to maintain effective and productive working
relationships with fellow employees, supervisors and the public.
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Has trouble getting along with other employees, supervisors, and the
public.
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Has
a generally positive approach in assisting others; maintains effective
working relationships; meets departmental standards.
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Exceeds departmental standards; highly cooperative; works hard to
promote positive work relationships.
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COMMENTS:
7. SAFETY: The
employee adheres to the rules and regulations to ensure safety standards are
met.
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Fails to follow safety rules and regulations; falls below departmental
standards.
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Follows
safety rules and meets departmental standards.
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Exceeds departmental standards for safety.
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COMMENTS:
JOB PERFORMANCE STANDARDS
This section is designed to be "job specific".
Refer to the "Job Performance Standards" of the employee's position
description. Briefly list the major job duties specifically related to the
performance of this job. Check the standard which represents the employee's
work performance. Additional job performance standards may be attached. In the
comment section, provide information to explain and support ratings that
indicate substandard performance.
BELOW STANDARD: Job performance generally falls below
standards required for the position.
MEETS STANDARDS: Job performance satisfactorily meets
the requirements for the position.
EXCEEDS STANDARDS: Job performance consistently exceeds
the standards for the position.
JOB PERFORMANCE
STANDARDS
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BELOW STANDARD
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MEETS STANDARD
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EXCEEDS STANDARD
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COMMENTS:
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2.
COMMENTS:
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3.
COMMENTS:
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4.
COMMENTS:
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5.
COMMENTS:
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SECTION III - OVERALL WORK
PERFORMANCE: Check the
standard which matches the employee's OVERALL work performance. An overall work
performance rating which does not meet "Job Requirements" requires
specific explanation in the comment section. Explanation must include the
specific job performance areas requiring improvement. Attach additional sheets
as necessary.
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Performance needs improvement to meet Job Requirements.
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Performance
meets Job Requirements
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Performance exceeds Job Requirements.
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COMMENTS:
SECTION IV - EMPLOYEE COMMENTS:
Comments are encouraged either agreeing, disagreeing or acknowledging the
supervisor's evaluation. Attach additional information if needed.
Supervisor's signature:
___________________________________________ Date:_______________
Employee's signature: ____________________________________________ Date:_______________
Chief Administrator's
signature: _____________________________________ Date:______________
NOTE: By signing this
form, the Employee acknowledges only that this evaluation was discussed and a
copy has been received by the Employee. The Employee's signature does not signify agreement with the
evaluation.
DRAFT EMPLOYEE SELF
EVALUATION
EMPLOYEE NAME: ___________________________ DATE: _______________
EVALUATOR: ________________________________
1.
What were your principal accomplishments in your areas of responsibility
since your last evaluation?
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
2. Within the areas of your responsibility,
what are things you could improve or build upon?
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
3. Having reviewed your position description,
do your areas of responsibility fit your position description? If certain areas do not, what adjustments do
you feel should be made?
____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
4. What aspects of the city/town operations
are you most satisfied with?
____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
5. What aspects of the city/town operations
are you least satisfied with?
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
6. How do you feel about your career
development with the city/town?
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
7. Where do you see yourself two years from
now?
________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________
Once this
self evaluation has been reviewed by the employee and evaluator, it should be
attached to the employee’s Performance Appraisal.
Performance Review Guidelines for Self-Appraisal
Self-Appraisals
offer numerous benefits to the appraisal process including greater perceived
accuracy, fairness and improved understanding of the demands and expectations
of the organization. We recommend
that the Self-Appraisal be completed and submitted to your manager
approximately 2 weeks prior to your Performance Appraisal discussion.
The
Performance Review Form provides periodic written review of individual
performance, in the context of the ongoing performance management process. It
is designed to facilitate constructive discussion between the employee and
manager in order to clarify performance objectives, provide feedback about the employee’s
performance with respect to skills and behaviors, provide a framework for
identifying the employee’s development plans, and serve as a basis for merit
increase decisions. Managers and employees
are responsible for completing a yearly performance review as part of ongoing
performance discussions. Preparation
for the performance review discussion should begin with the employee completing
a self-appraisal.
The Human Resources Department is available to answer
questions and to provide assistance to managers and staff members on any aspect
of the performance management process, including the performance review form.
I Major Areas of Responsibility (This is what you do)
This
section of the Performance Review form is used to record the three or four
major activities or goals that you are responsible for in your job as well as
the evaluation criteria for these. The major
activities typically reflect duties described in the job description and/or
performance goals. Evaluation criteria
encompass such standards as impact, timeliness, cost effectiveness, client
satisfaction, accuracy, consistency, etc.
During the review period, the manager and staff member are encouraged to
review progress in meeting identified goals or activities, and the manager may
decide to revise, add, or delete any of these in order to best meet changing
organizational needs.
II Performance
Competencies—Skills and Behaviors (This is how you do
it)
At
the beginning of the review period, the manager and employee are responsible
for reaching a shared understanding of the key skills and behaviors as they
relate to the individual’s job description and have been established by the
manager. While the employee will be
evaluating him or herself regarding the key skills and behaviors, the manager
is ultimately responsible for assessing the staff member’s performance against
the agreed upon performance expectations and reviewing the assessment with the
individual. Performance that does not
meet expectations should be addressed in the Development Plan section of the
Performance Review.
III
Overall Assessment
The
manager completes a brief summary of the employee’s overall performance. (Employee does not complete this section.)
IV
Development Plan
There
are four kinds of Development Plans:
1)
Development to close performance gaps: the manager, in conjunction with the
staff member, should identify development plans for any goals, skills or
behaviors which are assessed at the “Needs Improvement” performance level.
Development
plans which address performance at the “Needs Improvement” performance level
should be reviewed and discussed through ongoing performance discussions.
2)
Development to enhance job skills and performance: plans identified by a manager
with the individual to provide opportunities for a staff member to enhance
job-related skills and performance.
3)
Development for career advancement: plans identified by the manager and
individual to enhance the promotability of a staff member.
4)
Development for career exploration: staff members may initiate a development plan
to provide opportunities for career exploration through cross-training or
mentoring activities.
V Performance Goals and Expectations
This
section is used to begin the performance management process for the next review
period. Goals typically reflect major job
activities and may be modified throughout the year based upon changing
organizational needs.
Employee Self-Appraisal
Name
___________ Date
of Review
Job
Title Department___________________________
Date
Appointed to this Position___ Review
Period_________________________
Manager’s
Name and Title________________________________________________________________________
Section I —
Major Areas of Responsibility
Major Areas of Responsibility/Goals—
These
typically relate to the major activities that you perform on your job and/or
the goals that have been established by your manager and discussed with you. This is also an opportunity to describe
noteworthy accomplishments.
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Primary Performance Expectations:
Responsibilities/Goals
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Notes/Comments on Achievements &
Areas for Improvement
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Section II—Performance Competencies (Skills
and behaviors)
These skills and behaviors have been identified as
important for most employees. Other
skills and behaviors may be added if needed.
Please review and consider how you have demonstrated these in your job
and how you might improve on these going forward.
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Competency Area
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Notes/Comments on Competency Areas
and Suggestions for Improvement
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Taking Responsibility: Completes
assignments in a thorough, accurate, and timely manner that achieves expected
outcomes; exhibits concern for the goals and needs of the department and
others that depend on services or work products; handles multiple
responsibilities in an effective manner; uses work time productively.
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Customer Focus: Is dedicated to meeting the expectations and
requirements of internal and external customers; acts with customers in mind;
establishes and maintains effective relationships with customers and gains
their trust and respect; goes above and beyond to anticipate customer needs
and respond accordingly.
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Problem Solving/Creativity: Identifies and
analyzes problems; formulates alternative solutions; takes or recommends
appropriate actions; follows
up to ensure problems are resolved.
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Collaboration/Teamwork: Uses diplomacy and
tact to maintain harmonious and effective work relationships
with co-workers and constituents; adapts to changing
priorities and demands; shares information and
resources with others to promote positive
and collaborative work relationships; supports diversity initiatives by demonstrating
respect for all individuals.
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Communication/Interpersonal Skills: Is able to
effectively communicate and to influence others in order to meet
organizational goals; shares information openly; relates well to all kinds of
people; is able to speak well and write effectively.
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Section III—Growth and Development Plan
Employee: Describe two or three of your top strengths
and one or two growth/development opportunities. Provide this to your manager for discussion
and review.
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Strengths:
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Growth/Development
Opportunities:
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What will you (employee) do? (This can be as
simple as reading a book, serving on a team, observing someone who does it
well, asking for feedback on a behavior that you’re trying to change, etc.)
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What can the manager do to support
this?
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Section IV—Performance Goals & Expectations (for next review period)
Name: ____ Review
Period Start Date: _
Job
Title: Manager’s
Name: __________________________
Goals for Next Review Period—Identify three to five
goals to be accomplished during the next review period by thinking of the major
activities related to your job. At the
end of the review period, rate how well these goals were achieved. Keep in mind that during the review period,
goals and evaluation criteria may be revised, added, or deleted in order to
best meet changing organizational needs.
This form should be helpful in completing next year’s performance
review.
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SMART Goal (Specific, Measurable, Attainable,
Realistic, Timely)
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How we know it was achieved
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Appendix: Knowledge, Skills and Abilities for Business and Financial Managers
The following skills
that are applicable can be incorporated into the Major Areas of Responsibility
Section 1 and/or the Performance Competencies Section 2.
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Competencies/Skills
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Notes/Comments
on Competency Areas and Suggestions for Improvement (optional but strongly encouraged)
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Financial Acumen: Demonstrates
knowledge of and effectively implements GAAP; demonstrates knowledge of and
effectively implements internal finance/accounting policies and procedures;
meets university deadlines.
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Business Knowledge: Demonstrates through accuracy; understands the department’s mission; plans for short
term goals as well as longer term financial planning; understands the roles
of central staff and supports company needs for financial reporting;
contributes to university work groups to develop and enhance business
practices and policies.
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HR,
Payroll, Oracle, SIS systems: Ability to understand and integrate related
program or process changes into the unit; reviews & assesses programs for
effectiveness.
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Managing
and measuring work:
Clearly assigns responsibility for tasks and decisions; sets clear objectives
and measures; monitors process, progress and results; provides feedback (both
up and down).
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Hiring and Staffing: Is a good judge of
talent; recruits & hires the best people available from inside or outside
the organization; is not afraid of selecting strong people; assembles and
orients talented staffs.
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Delegating:
Comfortably
and effectively delegates both routine and important tasks and decisions;
broadly shares both responsibility and accountability; tends to trust people
to perform; lets direct reports finish their own work.
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Fostering
Diversity and Inclusiveness: Manages a diverse
group of people equitably; hires variety and diversity without regard to
class; supports equal and fair treatment and opportunity for all.
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Developing
Self:
Shows
evidence of personal development (e.g. software skills enhancement, financial
training); completes specialized training as appropriate (e.g. research,
compliance, etc.); identifies ways to improve efficiency and accuracy.
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Developing
Others:
Provides
challenging tasks and assignments; holds frequent development discussions,
completes performance reviews, etc; is aware of each direct report’s career
goals; constructs compelling development plans and executes them; pushes
direct reports to accept
developmental
moves; provides mentoring; is a people builder.
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PERFORMANCE APPRAISAL FORM TEMPLATE
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Part
A Appraisee to complete before the
interview and return to the appraiser by (date)
A2 Discussion points:
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Part B To be completed during the appraisal by the appraiser - where appropriate and safe to do so, certain items can completed by the appraiser before the appraisal, and then discussed and validated or amended in discussion with
the appraisee during the appraisal.
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