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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?

· Employee development

· Identification of training needs attorney

· Employee motivation

· Identification of organizational problems

· Documentation to support other management decisions including corrective action/discipline

· Ensure Job / Position Description is up to date and accurate.

II. HOW TO DO PERFORMANCE EVALUATION:

· 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.

· 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.

· 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.

· Set the agenda. Have the self-appraisal, planning calendar and appraisals from others in place.

· Review position description with employee in advance of evaluation with particular emphasis on the performance evaluation factors included in the description.

· Continuous observations during the year with written notation, dating and describing important examples of good and poor performance.

· Evaluate each performance factor independently of all other factors.

· 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.

· The conference should be friendly but formal. Emphasize good performance and be specific about any unsatisfactory performance.

· Emphasize that an unsatisfactory rating is your appraisal of job performance, not of the person.

· If unsatisfactory performance noted, specify the expected corrective actions and set near term (3 month) follow up. Do this until the performance improves.

· 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:

· "Halo and horns" effect - a general impression colors the rating on all factors. Treat each factor separately.

· "Recency" effect - the evaluation is based upon the last three or four weeks of performance rather than the totality of the evaluation period.

· "Central tendency" - fence straddling by the evaluator who is unwilling to assign appropriate high or low ratings.

· "Rater bias" - personal prejudice against the employee.

VI. ADMINISTRATION:

· 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.

· Written memoranda documenting performance through out the year should be attached to the evaluation report.

· Performance appraisals should be signed by the supervisor.

· 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.

Does not have the basic knowledge, skills and abilities to perform work satisfactorily.

Has the basic knowledge, skills, and abilities to perform work satisfactorily.

Has exceptional knowledge, skills, and abilities to perform work.

COMMENTS:

2. QUALITY OF WORK: The employee demonstrates accuracy, attention to detail and effectiveness in completion of work.

Work is sometimes inaccurate or incomplete; fails to meet departmental standards.

Work is usually accurate and thorough; work meets departmental standards.

Work is consistently of excellent quality, accuracy, and detail.

COMMENTS:

3. PRODUCTIVITY: Employee performs work with efficiency, consistency and timeliness.

Works slower than expected; work is of substandard consistency and timeliness.

Completes work on time, with consistency and efficiency; meets departmental standards.

Quickly completes work, often ahead of schedule; effectively prioritizes works; exceeds departmental standards.

COMMENTS:

4. RELIABILITY: The employee exhibits dependability and conscientiousness in performing work and in willingness to accept responsibilities.

Sometimes is not dependable and conscientious in performing work; unwilling to accept responsibilities.

Consistently dependable and conscientious; usually accepts responsibilities; meets departmental standards.

Extremely dependable; follows through promptly on all tasks; accepts responsibilties; exceeds job goals; show high level of initiative.

COMMENTS:

5. COMMUNICATION: The employee demonstrates the appropriate level of written and verbal communication skills necessary to satisfactorily perform the job.

Communication skills impair work performance.

Possesses the required communication skills and is effective in the position; meets departmental standards.

Has excellent communication skills; very effective in verbal and written interactions.

COMMENTS:

6. WORK RELATIONSHIPS: The employee possesses the ability to maintain effective and productive working relationships with fellow employees, supervisors and the public.

Has trouble getting along with other employees, supervisors, and the public.

Has a generally positive approach in assisting others; maintains effective working relationships; meets departmental standards.

Exceeds departmental standards; highly cooperative; works hard to promote positive work relationships.

COMMENTS:

7. SAFETY: The employee adheres to the rules and regulations to ensure safety standards are met.

Fails to follow safety rules and regulations; falls below departmental standards.

Follows safety rules and meets departmental standards.

Exceeds departmental standards for safety.

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	BELOW STANDARD	MEETS STANDARD	EXCEEDS STANDARD
1. COMMENTS:

2. COMMENTS:

3. COMMENTS:

4. COMMENTS:

5. COMMENTS:

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.

Performance needs improvement to meet Job Requirements.

Performance meets Job Requirements

Performance exceeds Job Requirements.

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.

Primary Performance Expectations: Responsibilities/Goals	Notes/Comments on Achievements & Areas for Improvement

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.

Competency Area	Notes/Comments on Competency Areas and Suggestions for Improvement
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.
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.
Problem Solving/Creativity: Identifies and analyzes problems; formulates alternative solutions; takes or recommends appropriate actions; follows up to ensure problems are resolved.
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.
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.

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.

Strengths:
Growth/Development Opportunities:
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.)
What can the manager do to support this?

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.

SMART Goal (Specific, Measurable, Attainable, Realistic, Timely)	How we know it was achieved

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.

Competencies/Skills	Notes/Comments on Competency Areas and Suggestions for Improvement (optional but strongly encouraged)
Financial Acumen: Demonstrates knowledge of and effectively implements GAAP; demonstrates knowledge of and effectively implements internal finance/accounting policies and procedures; meets university deadlines.
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.
HR, Payroll, Oracle, SIS systems: Ability to understand and integrate related program or process changes into the unit; reviews & assesses programs for effectiveness.
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).
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.
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.
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.
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.
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.

PERFORMANCE APPRAISAL FORM TEMPLATE

Org/Division/Dept:

Text Box: A1 State your understanding of your main duties and responsibilities.

Part A Appraisee to complete before the interview and return to the appraiser by (date)

A2 Discussion points:

Text Box: 5. What elements of your job interest you the most, and least?

Text Box: 4. What elements of your job do you find most difficult?

Text Box: 3. What do you like and dislike about working for this organisation?

Text Box: 2. What do you consider to be your most important achievements of the past year?

Text Box: 1. Has the past year been good/bad/satisfactory or otherwise for you, and why?

Text Box: A3 List the objectives you set out to achieve in the past 12 months (or the period covered by this appraisal) with the measures or standards agreed - against each comment on achievement or otherwise, with reasons where appropriate. Score the performance against each objective (1-3 = poor, 4-6 = satisfactory, 7-9 = good, 10 = excellent):

objective measure/standard score comment

Text Box: 9. What sort of training/experiences would benefit you in the next year? Not just job-skills - also your natural strengths and personal passions you'd like to develop - you and your work can benefit from these.

Text Box: 8. What kind of work or job would you like to be doing in one/two/five years time?

Text Box: 7. What action could be taken to improve your performance in your current position by you, and your boss?

Text Box: 6. What do you consider to be your most important aims and tasks in the next year?

Text Box: A4 Score your own capability or knowledge in the following areas in terms of your current role requirements (1-3 = poor, 4-6 = satisfactory, 7-9 = good, 10 = excellent). If appropriate bring evidence with you to the appraisal to support your assessment. The second section can be used if working towards new role requirements.

Text Box: A5 In light of your current capabilities, your performance against past objectives, and your future personal growth and/or job aspirations, what activities and tasks would you like to focus on during the next year. Again, also think of development and experiences outside of job skills - related to personal aims, fulfilment, passions.

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 Text Box: B1 Describe the purpose of the appraisee's job. Discuss and compare with self-appraisal entry in A1. Clarify job purpose and priorities where necessary.