DIRECTIONS FOR COMPLETING LEVEL 3 PERFORMANCE EVALUATION FORMS
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1 DIRECTIONS FOR COMPLETING LEVEL 3 PERFORMANCE EVALUATION FORMS Please read these Level 3 directions in their entirety prior to completing any Level 3 evaluation forms. Annual Performance Evaluation forms will be used for permanent status employees. In the event that an employee was transferred or promoted DO NOT use these forms; instead use the Trial/Probationary Evaluation Forms outlined in Sections 3 and 4 of this Manual. STEP 1 Educating the Employee About the Process 1. Meet with the employee in a private office to let them know that their Annual Performance Evaluation is due. 2. Review with the employee the Town s Performance Policy, the components of the program, and the value of a Performance Evaluation Program. Goals of a Performance Program: Supports the objectives & goals of the Town by linking the employee s work with the overall mission of the Town. Analyzes the objectives & goals of the organization & the department Provides an opportunity to review the employee s job description to ensure it is accurate and up to date Analyzes the employee s skills & assignments Clearly communicates performance goals & expectations Recognizes & acknowledges good performance Recognizes areas which are in need of improvement Provides for a specific individual Performance Improvement Plan 3. Have a copy of the employee s job description in front of you to review point by point, discussing its content with the employee and how that translates into your expectations and goals for this individual. Determine if it is complete and accurate as is, or if corrections need to be made. Next explain the purpose and value of the program and outline how the program works. 3-1
2 4. Provide the employee with a blank copy of the Annual Performance Evaluation form. Briefly review each of the performance evaluation criteria categories, being sure to highlight and explain the areas within each category that are considered most important to the employee s position. Explain to the employee that you will need their input in completing the evaluation. Explain that there is a three part process to completing a Performance Evaluation: a. The Employee s Self Review Ask her/him to take the form with them and complete it, noting achievements as well as areas of concern and adding comments and goals. Emphasize that no matter how good a person is at their job, there is always room for growth and improvement. Note: Some employees would prefer not to conduct the self-appraisal. If this happens, it is prudent to remind the employee that although there is no obligation to perform a self-evaluation, the process works best when all phases are completed. b. The Supervisor s Appraisal Explain that you will complete a draft of the review also, listing explanations, goals and improvement plans, if appropriate. c. The Performance Appraisal Meeting Inform the employee that a meeting will be scheduled at which time you and the employee will meet in a private office to review the employee s and supervisor s input. The goal of this meeting is to generate a discussion which will focus on strengths, weaknesses, future goals and areas in need of improvement. 5. At this time, schedule the actual meeting with the employee to complete the Performance Evaluation process. It is a good idea to schedule the meeting within 72 hours, and ask the employee to bring his/her completed form to the meeting. Suggestions - Do not conduct a performance evaluation on a Friday, the day before a Holiday, or just after reprimanding an employee. Take all steps necessary to ensure that information regarding an employee and his/her performance is discussed and maintained in a confidential manner. STEP Preparing Yourself for the Process
3 1. Before completing an annual evaluation form, you will need to collect all appropriate documentation regarding the employee over the course of the past 12 months. (e.g. accomplishments, reports, significant memos, departmental or personal disciplinary actions, etc.) 2. Now think back over the past 12 months in relation to the employee s job performance and develop an outline on paper consisting of topics such as: a. Leadership and vision b. Initiative and accomplishments throughout the year c. Professional development and use of resources and expertise d. Financial management e. Response to problems f. Staff performance, motivation and staff development g. Areas of technical or managerial weakness h. Interpersonal relations within the department, with other departments, and with the public i. Overall impression of the department, division and/or work product j. Goals for continued improvement 3. Next, review documentation related to an employee. Consider additional topics such as: a. Expectations, goals and job responsibilities b. How s/he is meeting those expectations and goals c. Leadership by example (including attendance, work ethic, credibility, etc.) d. Accomplishments e. The employee s strengths, weaknesses and any problem areas f. Education & training participation, internally and externally g. Overall work results, either individual or departmental h. Improvement of overall job performance and/or skill development 3-3 i. List areas of excellence and/or tasks done well
4 j. Note any counseling or disciplinary action taken in regard to this employee and the employee s subsequent performance response PLEASE NOTE: The more specific you are in this process, the easier it will be to actually complete the evaluation form. Employee accomplishments during the evaluation period are measured against the objectives or goals previously established and recorded. 4. Successfully completed, a performance evaluation should provide an employee with: What is expected of them How they are meeting those expectations What are their strengths What are their weaknesses How they may improve their job skills and overall performance When they have done a good job 5. It is important to provide an evaluation which spans 12 months. It is common when completing a performance evaluation to get caught up in trait rating biases. SAMPLE TRAIT RATING BIASES When conducting performance evaluations, it is important to be aware of common biases: Recency Giving too much weight to recent events (positive or negative) Similarity Rating people with similar values & interests to yourself higher Horns/halo Effect Being overly influenced by a single trait Initial Impression Ignoring or distorting subsequent information Leniency Grading everyone higher than deserved Contrasting 3-4 Evaluating an employee relative to the last person graded
5 Central Tendency Placing everyone in the middle of the scale Attribution Tendency to see poor performance more within the control of the individual, and to see superior performance as more influenced by external factors DREADING VS. DOING Other factors that inhibit good performance evaluations must also be overcome: Supervisors We dread them, so we either do them poorly or not at all We fear that our employees dread them We fear that they will backfire We dislike the heavy responsibility We lack confidence and usually can t choose the method or form We fear the legal consequences Employees Often dread them for emotional reasons Fear they will be over praised Fear they will be criticized or over criticized Feel they are unimportant Dislike them for practical reasons STEP COMPLETING THE ANNUAL PERFORMANCE EVALUATION FORM
6 General Directions 1. All permanent employees need to be evaluated annually, and are subject to an Annual Performance Evaluation to be completed in accordance with the time frames established for the employee s evaluation level. In the event that an employee was transferred or promoted, they will serve a six month trial period and are subject to a three (3) month, and six (6) month evaluation. If the employee successfully completes their trial period, they will receive annual evaluations as outlined above. 2. It is the responsibility of the Department Head to monitor their Department s Performance Program. 3. Please type or print in INK; and complete ALL sections. 4. During your initial meeting with the employee, you should have reviewed with the employee their job description, expectations, and goals. Performance Criteria Section 1. Please complete the Information Section at the top of the evaluation form: a. Employee s name b. Date of hire c. Employee s position title as listed on their current job description d. Department in which the employee currently works e. Name of employee s immediate supervisor (evaluator) f. Date evaluation is being completed g. Period of evaluation The following ratings are used throughout the Level 3 evaluation form: 5.0 OUTSTANDING: All position requirements were exceeded. All planned objectives were achieved above the established standards and accomplishments were made in unexpected areas as well. Assistance above and beyond was provided to others. Results obtained were exemplary and exceeded those expected EXEMPLARY: Results generally exceed expectations. Obstacles to the achievement of objectives were overcome while at the same time good working relationships with subordinates, peers and superiors were developed or enhanced. All position requirements were met and all objectives were achieved above the standards established. This rating is above average performance in this area. for SATISFACTORY: All position requirements were met and planned objectives were accomplished within the established standards. Any minor areas where performance should have been better were overshadowed by superior accomplishments such
7 that the overall job met expectations. There were no critical areas where accomplishments were less than planned MARGINAL: Performance in one or more critical related areas does not meet expectations. Not all planned objectives were accomplished within the established standards and some position responsibilities were not completely met. Development activities must be implemented immediately to ensure that performance improves to the good level (see performance improvement plan) UNSATISFACTORY: Performance is unacceptable. Position requirements are not being met and important objectives have not been accomplished even with close supervision and guidance. Improvement Plan must be implemented immediately and criteria reviewed again within 3 months. 2. Performance Criteria Rating for each Category: Each performance criteria category focuses on a specific job skill. Adjacent to each criteria are phrases which describe many of the specific aspects of that job skill. You may wish to concentrate on certain areas or add other areas that also apply, sharing this information with the employee prior to the evaluation. Considering all areas in each category that apply to the position, determine an appropriate rating between 1 and 5, as outlined above. You are not limited to whole numbers, but may indicate through fractional numbers (e.g. 4.2) a more adequate expression of ability. Verifying details: Please use this area to list examples substantiating your rating, such as did an outstanding job of designing, drafting and promoting company logo. Goals: Please use this area to outline goals for the upcoming year to either continue with outstanding performance or to develop a skill to a higher level. OVERALL RATING Once you have completed all performance criteria categories, add up the total points and divide by the number of areas rated, in order to obtain the average score. Write the average score in the space provided. e.g. Leadership _3.9_ Technical/conceptual expertise _4.5_ Financial resource management _4.3_ Operational effectiveness _3.5_ Staff performance and development _3.9_ Communications _3.5_ Overall Rating _3.93_ PERFORMANCE IMPROVEMENT PLAN 3-7 Look at the ratings listed in each performance criteria rating section. If the employee received any ratings of unsatisfactory ( ) or marginal ( ) you will need to provide an improvement plan.
8 Improvement Plan: e.g. Mr. Smith has demonstrated difficulty in producing quality work within established time frames. He will need to delegate minor work to subordinates and learn to take control of his time. Mr. Smith needs to take a course in time management within the next 2 months. Supervisors should provide counseling as well as an improvement plan to any employee who has received an unsatisfactory rating or improvement needed rating in any one area. If an employee receives 3 or more scores of unsatisfactory or improvement needed rating, that employee shall receive detailed counseling and focused retraining in those particular areas. Additionally, over the next three month period, the supervisor will work with the employee, in order to help him/her bring his/her performance up to an acceptable organizational standards. AN IMPROVEMENT PLAN FOCUSES ON: Strengths as well as weaknesses Goals and objectives Specific Performance Desired Gaps in Knowledge and Skills Time Frame to be Completed Supervisor s Overall Comments Section 1. Use this space to provide a summary statement regarding the employee s overall performance. 2. Write any additional comments which you would like to convey, bearing positive reinforcement in mind Employee s Comments Section 1. Leave this section blank until you meet with the employee to discuss their performance evaluation. 2. Following your discussion of the completed evaluation, encourage the employee to express his/her opinion regarding their evaluation, the process, or any other comments related to their job performance. Signatures 3-8 Following your meeting with the employee you will need to: 1. Ask the employee to sign the evaluation stating that s/he meet with you and together you both reviewed its content. Remind them that their signature does not mean that they necessarily agree with your ratings.
9 2. As the supervisor/appointing authority you will sign the evaluation. 3. Where appropriate, provide your Department Head with the completed evaluation for her/his signature. ** Prior to meeting with the employee, the draft evaluation should be reviewed with your supervisor if you are not the appointing authority ** 4. It is the responsibility of the Department Head or Appointing Authority to see that Human Resources receives the original completed and signed evaluation for the employee s permanent personnel file. STEP THE FACE TO FACE MEETING WITH THE EMPLOYEE Perhaps the most delicate, yet potentially most productive element of the performance review program is the performance review meeting. If done properly and with sufficient preparation, the meeting should serve as a positive experience for both the supervisor and the employee. Since the goals, accountabilities, assignments and measurable objectives have been outlined prior to the beginning of the review period, the structure of the interview should be fairly clear how well did the employee perform in relation to the goals set for his/her job.
10 This process, based upon factual criteria, should lead to an open and candid exchange of information. Sufficient time and emphasis should be allotted for discussing the employee s methods of work and any other factors related to position responsibilities. The purpose of the interview is to review performance, not to discuss salary. Finally, goals, responsibilities and measurable objectives for the forthcoming year should be set. In addition to a discussion of the employee s performance in the current position, the review meeting may include a career development discussion wherein the supervisor will explore with the employee his/her career aspirations. This discussion would include counseling on promotional possibilities and an explanation of the training and experience requirements necessary for advancement. ** Remember to review your completed portion of the Performance Evaluation with your supervisor prior to discussing it with the employee if you are not the employee s appointing authority. The Performance Evaluation Form you complete is the official one. ** FIVE MAJOR OBJECTIVES 1. Reach agreement on the employee s level of performance over the past 12 months 2. Identify strengths 3. Identify areas which are in need of improvement 4. Where appropriate and necessary, agree on a performance improvement plan 5. Agree on goals and objectives for the next 12 months (e.g. new challenges, programs, skill development,etc.) KEY POINTS Allow up to 1 hour of uninterrupted time to meet with the employee Prepare yourself mentally Remind the employee to bring their self-appraisal form to the meeting Do not just give the employee the completed Performance Evaluation to read. Review your completed Performance Evaluation draft against the employee s evaluation, point by point. GROUND RULES 3-10 The supervisor bears a great responsibility to the employee. His/her relationship with the employee and attitude toward development has an important effect on the employee s future. Some of the ground rules essential to a successful performance review meeting are: The performance review meeting should be conducted within 3-5 days of completing the evaluation form
11 Prepare detailed notes, anticipate questions and problem areas and have examples to back up statements. Review the individual s position responsibilities and decide what is to be accomplished during the discussion Select a place which offers complete privacy and is free from interruptions. If possible, schedule the interview with no limit of time. Do not accept telephone calls. Notify the employee in advance of the meeting in order to allow him/;her time to prepare for the interview Never undertake the review immediately after reprimanding or disciplining an employee Be realistic about human nature in approaching and conducting the interview Use an interview approach applicable to the individual and the nature of the evaluation. An unsatisfactory or mediocre evaluation rating may require bluntness and firmness. An introverted type of employee will require more patience and careful approach than the extrovert. Accentuate the positive and develop the relationship. Success is built on encouragement and developing strength rather than emphasizing weakness. Be direct in discussions, keeping the discussion performance oriented. Do not allow yourself to be placed in a defensive or argumentative position Allow the employee ample opportunity to talk and ask questions Be objective and truthful Try not to give advice unless asked SUGGESTIONS 1. Establish and maintain rapport, putting the employee at ease. Start and end the interview on a positive note. Be natural and do not manifest pessimism. 2. Initially, focus on the employee s strengths and how these contribute to his/her effectiveness. Be sincere. The employee will then be more receptive and open-minded regarding the negative aspects. 3. Review the performance criteria categories one by one with the employee a. ask the employee for input b. listen c. record the employee s input in the designated area on your draft copy of the Performance Evaluation Share your rating and rationale; begin a dialogue a. Be descriptive and not evaluative. Provide specific examples using descriptive behavior. b. Don t be afraid to change your rating based on the information which the employee shares. (e.g. the employee reminds you of special projects or training s/he has completed)
12 5. It is important to note if there is a large discrepancy between your rating and that of the employee. This would indicate that there is a lack of understanding and clarity about the employee s job responsibilities, expectations, and the criteria used for evaluating performance. If this is the case then a separate plan needs to be developed in order to rectify the situation and so noted on the evaluation. 6. Avoid confrontation or an argument 7. Focus on job performance, and not personality 8. Use past performance to focus on the future. 9. Emphasize strengths and accomplishments, as well as areas needing improvement 10. Avoid being distracted, stay on focus 11. Discuss the employee s overall performance rating, and if appropriate the specifics of the agreed upon performance improvement plan 12. As the supervisor you should provide counseling and an improvement plan for any employee who has received an unsatisfactory rating ( ) or improvement needed rating ( ) in any one area. If an employee receives 3 or more scores of unsatisfactory or improvement needed rating, that employee will need to receive detailed counseling and focused retraining in those particular areas. Over the next three month period, you will need to work with the employee, in order to help him/her bring their performance up to an acceptable organizational standards. 13. Ask if the employee has any questions 14. Terminate the meeting when complete or otherwise advisable (e.g. loss of rapport, lack of progress etc.) If the meeting ends before accomplishing your objectives, agree on a time when the meeting will be resumed. 15. Always conclude on a positive note 16. Ask the employee to write any comments, sign and date the form. Inform her/him that once the Department Head has signed the Performance Evaluation, s/he will be provided with a copy and the original will be sent to Human Resources to be placed in their permanent personnel file. 17. If done, ask the employee to give you their completed Self-Appraisal for your files As the supervisor you will sign the form in the appropriate section 19. Deliver the completed and signed Performance Evaluation to your supervisor or, if you are the appointing authority, copy for your files and send the original to Human Resources. If you have any questions concerning the Performance Evaluation form or the appraisal process please feel free to contact Human Resources for assistance.
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