Performance Evaluations
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1 OFFICE OF THE DEAN 260 Brodie Centre 727 McDermot Avenue Winnipeg, MB R3E 3P5 Office: Fax: Performance Evaluations Performance Evaluations are intended to encourage open communications between the employee and the supervisor, in order to provide an opportunity for clarification of job responsibilities, the supervisor's expected standards for performance, and the employee's progress toward achievement of those standards; and to foster employee development. An employee's performance evaluation should be an ongoing process and the supervisor is encouraged to periodically assess progress toward meeting expectations and to communicate these assessments to the employee when appropriate. At least once annually those assessments should be put in writing by the employee's supervisor, following input from the employee. Ideally there should be no surprises when the parties meet to discuss the employee s performance over the past year, as any areas of concern would have been identified and previously discussed as they occurred. A. TIMING OF EVALUATIONS A Performance Evaluation may be conducted at any time the supervisor determines one would be of value, but the following minimum guidelines are recommended. 1. Probationary Employee. A probationary employee should be evaluated at least once during her/his probation using the Probationary Employee Evaluation. More frequent evaluations may be conducted if the supervisor determines that they would be of value. 2. Regular Employees. Performance should be evaluated in writing at least once a year, preferably in the month of the employee s anniversary of employment with the University. B. THE EVALUATION PROCESS The performance evaluation process consists of discussions between the employee and supervisor; and a summary of evaluations received from others the employee works with and the completion of a written Performance Evaluation. 1. At the beginning of the evaluation process, the employee shall be provided with his/her job description, a copy of their previous written evaluation and a copy of a blank Performance Evaluation form so that (s)he may complete a self-evaluation. As well, your
2 supervisor may contact other staff identified as working or interacting on a regular basis with you to fill out an evaluation of you. 2. The evaluations will be reviewed and collated confidentially by your supervisor. 3. The contents of the evaluations received will be summarized and discussed with you and not ratings or comments will be attributed to a single reviewer. 4. A schedule, normally not more than two (2) weeks, shall be established with regard to the timing for; Submitting the self-evaluation, as detailed in two (2) below; A meeting to discuss the employee s and supervisor s assessment (Draft) and to develop the final Performance Evaluation. 5. The employee and supervisor independently assess the employee s performance and use the Performance Evaluation form to detail those assessments (Drafts). 6. The employee s final Performance Evaluation shall be developed out of the two (2) independently created Drafts and summary of evaluations made by other staff (if applicable). Areas of performance, where both the employee and supervisor have common views, are discussed and incorporated into the final evaluation. Where differences of opinion exist with regard to how the employee has performed the parties need to more thoroughly examine those issues, try to determine why there is a difference of opinion and seek to reach a consensus on the item(s) of disagreement. If no consensus can be reached, the supervisor shall make a determination on the areas of disagreement for inclusion in the final Performance Evaluation. If the employee wishes, his/her thoughts may be included in the Employee Comments section of the form. 7. The supervisor shall prepare the final Performance Evaluation for signatures. C. THE WRITTEN EVALUATION The performance evaluation shall be written on the Performance Evaluation form and shall include: 1. Information on the employee's job duties and key areas of responsibility. 2. Comments and ratings on specific areas of responsibility and overall performance in relation to established goals. 3. Future plans, objectives and goals. 4. Signatures of the employee and the supervisor. The employee shall be given a copy of the final Performance Evaluation, and shall be allowed time to reflect on the evaluation and respond orally or in writing before the Performance Evaluation is placed in the personnel file (two {2} weeks). Any written response to the evaluation shall be attached to the Performance Evaluation.
3 Conducting Effective Performance Evaluations: What's required? In general, the University expects that supervisors conduct a Performance Evaluation of each employee, in writing, at least once annually. The performance evaluation is a communication tool between the employee and the supervisor and the written Performance Evaluation becomes apart of the employee s personnel file. The Performance Evaluation looks at specific areas, previous goals, and standards of performance and the employee's progress toward meeting them. It shall also recommend future goals, note any improvement plans established and detail employee development strategies agreed to or recommended. The Pre-evaluation Checklist and Evaluation Preparation 1. Set a date, time and location, in advance that is mutually convenient for both you and the employee, which will allow enough time for both of you to do your preparation work. A conference room is a good choice for privacy and no interruptions. It will also place the employee more at ease than if the evaluation is conducted in the supervisor s office which could be seen as intimidating or hostile for the employee. Schedule enough time for discussion (1 to 1-1/2 hours). 2. The University has no obligation to allow a Union Representative to attend an evaluation meeting with the employee. Any request, by an employee, to have a Union representative attend the evaluation meeting should not be agreed to without prior consultation with a Staff Relations Officer. 3. Gather: the job description goals set from the last evaluation policies and procedures related to the position your documentation notes any feedback or letters from co-workers, students or university personnel current disciplinary memos the previous Performance Evaluation of the employee 4. When asking the employee to do a self-evaluation, be sure to obtain their Draft early enough so that you have a chance to review it as a part of your preparation. Note: be sure to also provide the employee with your draft, so the (s)he may also review it ahead of time. 5. Before filling out your Draft evaluation form, take a moment to:
4 list the main areas of responsibility of the employee. consider what the employee has done well over the past year consider areas where the employee needs to improve. consider what you and/or the University can do to help the employee do a better job in the future. 6. Remember to avoid: Halo Effect - tendency to overrate a favoured employee, or an employee who had a prior good rating. Horns Effect - tendency to rate an employee lower than circumstances warrant. What You Did Today Error- letting outstanding work (or unsatisfactory work) immediately prior to the evaluation offset an entire year of performance. Cookie Cutter Effect - not focusing on an individual s specific performance and rating all of your employees, or groups of employees the same. Conducting the Evaluation 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 should talk 90% of the time and you talk 10% of the time. Be non-judgmental 3. Compare the employee s actual performance results and behaviours to the standards. Stay away from an attitude or personality focus. 4. Keep the evaluation 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. 10. Set goals, expectations, and standards together for the next evaluation. 11. Discuss development/training plans with the employee. 12. Summarize the session and end, when ever possible, on a positive note.
5 Handling Employee Behaviours If the employee becomes defensive or makes excuses: o Listen to what the employee has to say and paraphrase back. Remain neutral. Maintain eye-contact. o Don't solve the problem. o Ask for specifics with open-ended questions. o Try to determine the cause; "Tell me more." "How did you reach that conclusion?" Ask how the employee will resolve the problem. If the employee becomes angry: o Stay calm and centered. Maintain eye-contact. o Listen to what the employee has to say and paraphrase back. o Let the employee vent as long as is necessary until (s)he can again listen to you. o Avoid arguments. o Bring discussion and focus back to performance and standards. o Use the employee's name, and ask open-ended questions. If the employee is unresponsive or withdraws: o Be patient and friendly. o Show concern. o Stay silent, and wait for the employee to say something. o Ask open-ended questions. o Note that the employee is unresponsive. o Encourage the employee that you want to hear his/her input, and stress that their input is important to you. Closing and Follow-up 1. After the evaluation discussion, complete the written Performance Evaluation. It can be completed in the MS Word template for printing. 2. Both the supervisor and the employee should sign the evaluation. Signing the evaluation does not mean the employee agrees with the evaluation; it means that the evaluation has been shared with the employee. The employee may provide a written response to the final Performance Evaluation if they wish. 3. Thank the employee for the work they do for the University and their input into the evaluation. Provide them with a copy of the final Performance Evaluation. Forwarded the original to Human Resources for placement in the employee's personnel file, along with any written response to the Performance Evaluation that the employee elects to submit. 4. You and the employee should exchange ongoing feedback about performance goals and standards throughout the year.
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