Chapter 4 Performance Appraisal Process

Transcription

1 Chapter 4 Performance Appraisal Process Section 1 Performance Appraisal Process A. Purpose: Provide feedback to an employee regarding their job performance, develop performance and career development goals, and help determine pay increases. B. Frequency: Performance appraisals should be completed annually for all employees. All performance appraisal systems must be approved by the Employee Resources Director. The Employee Resources Department will audit compliance and report to the County Administrator. C. Results: The results of the performance appraisal are shared in a face-to-face interview between the person rated and his/her immediate supervisor. In that way, the person who has been evaluated knows exactly what his/her rating is and on what basis the judgments were made. This meeting is a very important component of the appraisal process during which both participants can learn more about barriers to effective work performance and actions which can be taken to improve the quality of the work. In addition, a training and development program can be planned and implemented. The form must be forwarded to the Employee Resources Department and will be reviewed and placed in the employee's personnel file. D. Delaying Pay Increases: Pay increases may be delayed or not granted at the discretion of the department head when the employee is not performing at a fully satisfactory level or due to budgetary reasons. Section 2 Section 3 Completing the Performance Appraisal Form (Appendix A): The performance appraisal form is designed to link employee performance to Marathon County s mission and core values and to provide guidance and consistency to the performance evaluation process. It should be used to summarize and evaluate an employee s overall performance for the past year and to set work goals and professional development goals for the next year. Work goals relate to the essential functions, or primary responsibilities, of an employee s position and serve to identify results (i.e. specific tasks or projects) to be achieved. Professional development goals relate to the competencies, knowledge, skills and abilities that an employee needs to perform the essential functions of his/her current position and/or to prepare him/her for future career growth. Conducting Effective Performance Appraisals: A. What s required: Chapter 4 Performance Appraisal Process, Page 1

2 1. In general, Marathon County recommends that supervisors conduct a formal written performance appraisal of each employee at least once annually. 2. The performance appraisal is a communication tool between the employee and the supervisor and is part of the official personnel file. 3. The performance appraisal looks at specific areas, goals, and standards of performance and the employee's progress toward meeting them, as well as future goals and employee development. 4. The supervisor may either use the Marathon County Performance Appraisal Form for Core Value Job Behavior or develop a customized one. B. The Pre-appraisal Checklist and Preparing for the Appraisal: 1. Set a calendar date and time in advance that is mutually convenient for both you and the employee, and that will allow enough time for each of you to do preparation. A conference room is a good choice for privacy and no interruptions. Schedule enough time for discussion [1 to 1-1/2 hours]. 2. Gather: the job description and performance standards goals set from the last appraisal work rules and procedures your documentation notes any feedback or letters from customers/co-workers current disciplinary memos the previous performance appraisal 3. If you have asked the employee to do a self-appraisal (you can use the same form), be sure to obtain that early enough so you have a chance to review it as part of your preparation. Before filling out the appraisal form, take a moment to: list the main areas of responsibility what the employee has done well what the employee needs to improve in what you can do to help the employee do a better job Chapter 4 Performance Appraisal Process, Page 2

3 4. Remember to avoid: Halo Effect - tendency to overrate a favored employee, or an employee who had a prior good rating Horns Effect - tendency to rate an employee lower than circumstances warrant Recency Error- letting outstanding work [or unsatisfactory work] immediately prior to the evaluation offset an entire year of performance Cookie Cutter Effect - not focusing on individual specific performance and rating all your employees, or groups of employees the same C. Conducting the Appraisal 1. Welcome the employee; put the employee at ease. Offer to get the employee something to drink. 2. Let the employee start Listen and take notes. Maintain good eye contact and attentive posture. Reflect back to the employee your understanding of what the employee said. Don't interrupt, but ask questions only for clarification. Apply the 90/10 Rule: the employee talks 90% of the time and you talk 10% of the time. Be non-judgmental. 3. Compare the actual specific performance results and behaviors to the standards. Stay away from an attitude or personality focus. 4. Keep the appraisal open to employee input. 5. Ask the employee for ideas about how to resolve problems. 6. Focus on the future, not on the past. 7. Emphasize strengths, as well as areas that need improvement. 8. Be honest and be prepared to discuss questionable items. 9. Support the employee's effort to improve. Chapter 4 Performance Appraisal Process, Page 3

4 10. Set goals, expectations, and standards together for the next appraisal using S.M.A.R.T. goal criteria. D. Setting Work Goals and Professional Development Goals 1. Guidelines Revised 10/1/13 Goals must align with and support County and/or department goals To have the greatest impact, limit the number of goals for the coming year Goals should be SMART Specific Measurable Attainable Relevant Time specific 2. Establish a clear action plan to achieve each goal Action plans should include specific expected results and a target date for completion Discuss development/training plans with the employee. Summarize the session and end on a positive note. 3. Handling Employee Behaviors a) If the employee becomes defensive or makes excuses: Listen to what the employee has to say and paraphrase back. Remain neutral. Maintain eyecontact. Don't solve the problem. Ask for specifics with open-ended questions. Try to determine the cause: "Tell me more." "How did you reach that conclusion?" Ask how the employee will resolve the problem. Chapter 4 Performance Appraisal Process, Page 4

5 b) If the employee becomes angry: Stay calm and centered. Maintain eye-contact. Listen to what the employee has to say and paraphrase back. Let the employee "run down" for as long as s/he needs until the employee can listen to you. Avoid arguments. Bring discussion and focus back to performance and standards. Say the employee's name, and ask open-ended questions. c) If the employee is unresponsive or withdraws: Be patient and friendly. Show concern. Stay silent, and wait for the employee to say something. Ask open-ended questions. Note that the employee is unresponsive. E. Closing and Follow-up Encourage the employee that you want to hear his or her input, and this input is important to you. 1. After or during the appraisal discussion, complete the written appraisal. 2. Both the supervisor and the employee should sign the appraisal. Signing the appraisal does not mean the employee agrees with the appraisal; it means that the appraisal has been shared with the employee. The employee can provide a written response, which is optional. 3. Provide the employee with a copy, and the original should be forwarded to the Employee Resources Department for placement in the employee s personnel file. 4. You and the employee should exchange ongoing feedback about performance goals and standards throughout the year. F. Guidelines: In addition to the above procedures, supervisors are strongly Chapter 4 Performance Appraisal Process, Page 5

6 encouraged to follow the guidelines below: 1. Meet with staff to discuss the performance appraisal process 2. Consider what tools might be helpful to track staff achievements and other critical incidents throughout the year, for example a performance diary. 3. More frequent feedback both formal and informal is strongly encouraged. 4. Solicit input and feedback from customers, team members, collaborators, etc. to the extent feasible and appropriate. 5. Review job content and performance standards as part of the performance dialogue. 6. Revisit any Needs to improve ratings on a more frequent basis (e.g. quarterly). Other issues that require more frequent attention may also be identified for follow-up. 7. Establish clear expectations for all new staff and acquaint them with the performance appraisal process. Chapter 4 Performance Appraisal Process, Page 6

7 Marathon County Mission Statement APPENDIX A PERFORMANCE APPRAISAL FORM FOR CORE VALUE/ JOB BEHAVIORS Marathon County Government serves people by leading, coordinating, and providing county, regional, and statewide initiatives. It directly or in cooperation with other public and private partners provides services and creates opportunities that make Marathon County and the surrounding area a preferred place to live, work, visit, and do business. Marathon County Vision Statement (Insert Departmental Mission Statement Here) Marathon County Government leads by providing high quality infrastructure and integrated services and by developing trusting, collaborative relationships among diverse partners. It is proactive in enhancing health and safety, protecting the environment, and providing cultural, recreational, and economic opportunities which make Marathon County and the surrounding area a preferred place to live, work, visit, and do business. (Insert Departmental Vision Statement Here) Marathon County's Core Values These core values are principles for which we stand and provide us direction on how people are to conduct themselves as representatives of Marathon County: SERVICE is responsively delivering on our commitments to all of our internal and external customers. INTEGRITY is honesty, openness, and demonstrating mutual respect and trust in others. QUALITY is providing public services that are reflective of "best practices" in the field. DIVERSITY is actively welcoming and valuing people with different perspectives and experiences. SHARED PURPOSE is functioning as a team to attain our organizational goals and working collaboratively with our policy makers, departments, employees, and customers. STEWARDSHIP OF OUR RESOURCES is conserving the human, natural, cultural, and financial resources for current and future generations. Chapter 4 Performance Appraisal Process, Page 7

8 Employee Information Employee Name: Classification: Department: Appraisal Period: From to Mo/day/yr Mo/day/yr Type of Review: Introductory (at the end of the introductory period) Interim (as a check point during the year, or before the end of a trial period) Annual (at the end of the performance year) Date of Last Performance Review: Performance Review Date: Each employee is responsible for performance in each Core Value area: A. SERVICE is responsively delivering on our commitments to all of our internal and external customers. (Insert departmental behavioral examples of SERVICE here) Describe the employee s performance in the Service area, using specific examples: Check one rating for Service: Needs to Improve Practices the Values Champions the Values Chapter 4 Performance Appraisal Process, Page 8

9 B. INTEGRITY is honesty, openness, and demonstrating mutual respect and trust in others. (Insert departmental behavioral examples of INTEGRITY here) Describe the employee s performance in the Integrity area, using specific examples: Check one rating for Integrity: Needs to Improve Practices the Values Champions the Values C. QUALITY is providing public services that are reflective of "best practices" in the field. (Insert departmental behavioral examples of QUALITY here) Describe the employee s performance in the Quality area, using specific examples: Check one rating for Quality: Chapter 4 Performance Appraisal Process, Page 9

10 Needs to Improve Practices the Values Champions the Values Revised 10/1/13 D. DIVERSITY is actively welcoming and valuing people with different perspectives and experiences. (Insert departmental behavioral examples of DIVERSITY here) Describe the employee s performance in the Diversity area, using specific examples: Check one rating for Diversity: Needs to Improve Practices the Values Champions the Values E. SHARED PURPOSE is functioning as a team to attain our organizational goals and working collaboratively with our policy makers, departments, employees, and customers. (Insert departmental behavioral examples of SHARED PURPOSE here) Describe the employee s performance in the Shared Purpose area, using specific examples: Check one rating for Shared Purpose: Chapter 4 Performance Appraisal Process, Page 10

11 Needs to Improve Practices the Values Champions the Values Revised 10/1/13 F. STEWARDSHIP OF OUR RESOURCES is conserving the human, natural, cultural, and financial resources for current and future generations. (Insert departmental behavioral examples of STEWARDSHIP OF OUR RESOURCES here) Describe the employee s performance in the Stewardship of our Resources area, using specific examples: Check one rating for Stewardship of our Resources: Needs to Improve Practices the Values Champions the Values G. PERFORMANCE MANAGEMENT (complete for supervisory staff only) Sets clear expectations with staff Gives feedback in a respectful, constructive way Promotes self-development in areas of greatest value to County Uses coaching skills effectively to improve staff performance Conducts effective and timely performance evaluations Recognizes excellent performance Encourages staff to engage in learning and development opportunities Describe the employee s performance in the Performance Management area, using specific examples: Check one rating for Performance Management: Chapter 4 Performance Appraisal Process, Page 11

12 Needs to Improve Meets Expectations Write down developmental goals and specific action steps to achieve the goals. GOAL: ACTION STEPS: GOAL: ACTION STEPS: Add additional pages if necessary Chapter 4 Performance Appraisal Process, Page 12

13 Write down work goals and specific action steps to achieve the goals. GOAL: ACTION STEPS: GOAL: ACTION STEPS: Add additional pages if necessary Chapter 4 Performance Appraisal Process, Page 13

14 OVERALL SUMMARY The overall summary should reflect the performance in all core value areas, goal attainment, and any other job-related factors you may wish to comment on. Be sure to discuss what have been the key learnings for the past year. Chapter 4 Performance Appraisal Process, Page 14

15 Supervisor name and title: Employee comments: Supervisor comments: I have reviewed this appraisal and discussed it with my supervisor. My signature indicates that my supervisor has discussed this appraisal with me and does not necessarily imply that I agree with the evaluation. Employee Signature: Date: Supervisor Signature: Date: Dept. Head Signature: Date: Chapter 4 Performance Appraisal Process, Page 15