Performance Appraisal Form Template Performance Appraisals Managers by ugw64338

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									Performance Appraisals
Managers & Supervisors
   Goals of our program
   New on-line form
       Ratings
   Evaluation Life Cycle
   S.M.A.R.T. Expectations
   Process
       Preparing for the appraisal
       Writing the appraisal
       Delivering the appraisal
   Time line for 2007
Goals of our Performance Appraisal
                     Employee accountable for completing self-
   Accountability     assessment; supervisor accountable for
                       rating actual performance against metrics
                       he/she sets

   Consistency      Uniform process and application of ratings
                        with same core expectations for all

   Simplicity       Form and instructions are easy to understand.
                        Form was developed based on feedback
                        from 2 employee groups
             “You Talked, We Listened”
Feedback from Employee and Management Groups about Current
                Performance Review Process

   Concerns with Current Process
        No supervisor accountability to deliver reviews to employees; need consistent standards at all levels
         of management to deliver reviews in a timely manner
        No interaction between employee & supervisor from time review is initially delivered and when it‘s
         time to sit down and review the year‘s performance.
        Requires too much writing for both employees and supervisors
             People are writing books to self justify rating
        Too much time elapses from start to finish
        Too many ratings; need to simplify
        Supervisors need to provide useful feedback; not just respond to long narratives employees submit
        Documentation needs to be fair and balanced; acknowledging efforts, successes, and short-comings
        Not enough communication about the process from management to employees; breeds rumors
        Supervisors need to use performance review (with realistic feedback & suggestions) as a tool to
         educate employees on how they can improve
   What is Not Working
        Self Assessment
            Managers have already submitted ratings before reviewing the employee self assessment
        Timely delivery of goals and objectives
            Not happening
        Organization‘s objectives not flowing down from divisions and departments
   Matrixed employees
        Do not receive all feedback that should be considered in the overall evaluation
What’s Changed
   Number of ratings
   Ratings definitions
   Lab-wide Core Expectations (5) – same for all staff
   Weighting
        Core expectations account for1/3
        Job Knowledge/Technical Expectations individually weighted, totaling 2/3 of score
   Maximum number of Job Knowledge/Technical Expectations = 7 for FY08

   There are two meetings between the employee and supervisor instead of one.

   Matrixed employees and those who provide service to another group 25% or more of
    the review period: feedback will be captured and included in the review online

   Process is now automated and online

   Performance Review cycle is Oct 1st – Sept 30th
   Promotion process
   Peer Review Process – replaced with Calibration Review by divisional top
New Appraisal Form        Page 1

                     Identification section

                     Rating definitions

                     Core expectations
                     - A set of common behaviors
                     against which all employees are
                     Scoring
New Appraisal Form          Page 2

                  Job Knowledge/Technical
                   - From 2006 Performance

                   Scoring
                   Overall Rating
New Appraisal Form       Page 3

                  Employee comments

                  Supervisor comments

                  Future expectations

                  Suggested development

                  Signatures/Review
Performance Ratings
   5 = Exceeded All Job Expectations - Performance exceeded the goals and standards established
    for the position. Demonstrated performance is so exceptional that any knowledgeable observer
    would recognize the overall high quality of the results achieved by the employee

   4 = Exceeded Most Job Expectations - Performance exceeded most goals and standards and
    successfully achieved all other job requirements that contribute to the success of the Lab

   3 = Achieved Job Expectations - Performance consistently met and may have exceeded some of
    the goals established for the position. This rating reflects solid and reliable performance;
    characteristics of a fully qualified, experienced employee who is contributing to the success of the

   2 = Marginally Met Job Expectations - Performance met some job goals, but many requirements of
    the position were not successfully achieved. Further effort, training, and/or counseling are needed
    before a higher level can be achieved

   1 = Did Not Meet Job Expectations - Performance failed to meet the goals and standards for the
    position. Employee requires frequent guidance in completing routine tasks. Immediate and specific
    development is necessary to bring the employee to a satisfactory performance level.

            Any area with a rating of ‗Marginally Met Job Expectations‘ or‘ Did Not Meet Job
           Expectations‘ must receive a mid year review. An overall rating of ‗Marginally Met
            Job Expectations‘ or ‗Did Not Meet Job Expectations‘ will have a Performance
             Improvement Plan completed and turned in with the performance appraisal.
Weighting of Categories
   Overall rating consist of
       Core Expectations comprise                   of score
            Essential for overall performance success
                 Any job
                 Any group
       Job Knowledge/Technical Expectations
        contribute  to score
            Employee‘s unique contribution to the Lab‘s success
                 His/her specific job
                 The dept or group
                 Tied to overall Lab or division goals for FY 08
Glossary of “Status” Terms
   Inactive: Supervisor needs to enter the employee‘s 2006-2007 performance expectations. If a
    supervisor has an employee who has been matrixed or providing service to another group for 25% or
    more of the review period, he/she should notify the supervisors to provide feedback by clicking on the
    ‗Matrixed/Serviced Supervisor‘ button. Please coordinate with your supervisor to start the review process.
   Active: Supervisor has entered the employee‘s performance expectations and the employee can begin
    the self assessment. Employees can press the SAVE button on the link and return at a later time to
    complete the assessment or make changes. However, once the SUBMIT button is pressed; no further
    changes can be made. All changes are final as of August 15, 07.
   Employee Completion: Employee has completed the self assessment. The supervisor should complete
    the following activities:
   Writing/Finalizing the review
   Scheduling a meeting with the employee to discuss performance and FY ‗08 expectations
   *Note* The supervisor can begin working on the employee‘s review at any time.
   Next Level Supervisor: The supervisor has met with the employee and finalized the performance review
    based on feedback and discussion. The review has been sent to the next level supervisor for review and
    concurrence of the proposed rating. If in agreement, next level supervisor electronically signs and
    submits to HR. If there is no concurrence or additional documentation is needed to support the rating, the
    review can be returned to the supervisor.
   Calibration Meeting: Meeting occurs with the Division Head and his/her direct reports only. This
    meeting will calibrate ratings among the division and review any proposed ratings that are in the extreme
    categories (1 or 5). Any changes will be communicated back to the supervisor so that adjustments can
    be made and the supervisor can meet with the employee.
   HR Receipt: Next level supervisor has electronically signed off on the evaluation and it has been
    submitted to HR for review.
   Employee-Supervisor Meeting: The employee and supervisor meet to revisit the final performance
    review document, FY ‗08 expectations and the rating. Supervisor and employee electronically sign the
    document and it is submitted to HR.
Activating the Appraisal
   Activate your direct reports‘ appraisals
        Open a web browser and go to
        Click on link to the online performance appraisal

                                           Click Activate next to employee‘s name

                                           Note that the top section of form shows
                                           your own status
                  Make cyber security an integrated part of application development and architecture. Take
                  seriously the inherent risk of MIS application, and take measures to protect the integrity
                  and security of MIS data and processes

This brings up the section of the employee‘s appraisal form where the job
expectations for the past year are to be listed.
Enter the 06-07 expectations (listed, by typing or cutting/pasting from last
year‘s appraisal) and weight them relative to each other.
                        Once you click Submit, you may no
To accommodate the 06-07 review period, the form allows up to 10 job
                         longer modify these fields
expectations to be listed; though for FY08 and beyond, the maximum will be 7

If the employee has spent more than 25% of his time working for others, alert
those supervisors to complete a Work For Others Performance Summary

You can now submit the expectations which will activate the employee‘s form

               Click on Continue
Employee Notification

 Once the supervisor has activated the form, the employee
 will be notified via email to complete assessment. The
 supervisor will be alerted to begin next phase once
 employee completes assessment.
Writing the Appraisal

              The word Employee Completion
              shows the self-assessment is done

              Click on it to begin writing your

                             Employee Completion
First, enter ratings for the Core Expectations
  Then enter ratings for job knowledge/technical
expectations. Summarize employee performance
 for review period in support of numerical ratings
FY 08 Job Knowledge/Technical

  Now enter FY 08 expectations as well as the
              weight distribution
Add any general comments and suggestions for professional development

                Submit the form for next level review.
 * Note* You can press the save button and return later to complete or
make changes. However, once the ―saved and forward‖ button is pressed
                  no further changes can be made.
Next Steps in the Process



   Employee Completion

   Supervisor Draft

   Next Level Supervisor Review

   Calibration Meeting

   HR Receipt

   Employee Supervisor Meeting
Writing the Appraisal
   Evaluate each expectation separately
       Compare your assessment to employee‘s
            Focus on differences
            Use specific examples to support your decisions
       Write your comments
   Score expectations; determine ratings
       Compare rating definitions to
            Your assessment
            Make necessary adjustments so comments match ratings
   Review new expectations
       Do they naturally flow from your evaluation of
        employee‘s performance?
       Identify what professional development might help
        employee meet new expectations
Rating Pitfalls
Leniency: When supervisors see everything as good. This gives the employee an
   inflated picture of his/her performance.
Severity: When supervisors see everything as bad. Under-rated evaluations can
   lead to demoralization and turn-over.
Halo/Horns Effect: When an employee is rated either positively or negatively on one
   factor and that factor then influences the ratings for all other factors, the halo
   (positive) or horns (negative) effect is being exhibited. This is also when an
   overall global impression of the employee influences individual ratings.
Similarity: This occurs when supervisors give special consideration to those who
   have qualities that they perceive in themselves.
Recency/Primacy Bias: The recency effect occurs when recent events color or
   overshadow what occurred previously. Primacy occurs when events that
   happen first color or overshadow what comes after. First impressions are very
Unfair Comparisons: This occurs when employees are being evaluated against one
   another rather than against objective criteria.
Central Tendency: Evaluators who display central tendency tend to ignore or
   suppress differences. This tendency produces ratings that do not distinguish
   between employees.
  Evaluation Life Cycle

12-mos appraisal     6-mos      12-mos appraisal     6-mos
    w/ formal      assessment       w/ formal      assessment
 feedback & new     w/ Formal    feedback & new     w/ Formal
   expectations     Feedback       expectations    Feedback *

                         Informal Feedback
                       Expectation Adjustment
S.M.A.R.T. Expectations
   Specific – Expectations should specify what is to be achieved

   Measurable – Both employee & supervisor should be able to determine
    whether the expectations are being met; contains quantitative or descriptive
    definitions of quantity/quality

   Achievable - Are the expectations attainable for the person to whom they
    are assigned and with the resources available? Are they within the
    employee‘s control or ability to influence?

   Relevant – Do the expectations support a higher level organizational goal
    and the Lab‘s mission? Do they measure actual products/outputs (not

   Timely – How much time should it take to achieve the expectations? What
    is the target date?
Template for Expectations
 Enter expectation
 State what must be done to reach it (action verb)
 State how it will be reached (including how you know when it is reached)
 State why it must be done this way or why the expectation is important
 Set time period or deadline (break up if it exceeds reporting period)
       Expectation                   Standard (expectation)
  1.                    What:




                        Complete standard:
                                                                    Specific
                                                                    Measurable
                                                                    Achievable
Examples                                                         

• Design & produce circuit boards
• Design & produce circuit boards that meet customer specifications
• Design & produce circuit boards that meet customer specifications in an
average of 5 work days

• Do good science
• Write papers on scientific work
• Publish one scientific paper this year
• Publish one scientific paper this year in a refereed journal

• Answer phones and greet visitors
• Answer phones and greet visitors in a pleasant and helpful manner
• Provide accurate information to callers and visitors who request it,
delivered in a pleasant and helpful manner
• Provide accurate information to callers and visitors who request it,
delivered in a pleasant and helpful manner, with no more than 1
complaint per quarter
                                                                      Specific
                                                                      Measurable
                                                                      Achievable
Exercise                                                           

   Perform safe and effective maintenance/repair of the CHL, FEL,
    ESR, CTF, linacs, and SBR as it pertains to electrical,
    instrumentation and controls. This includes normal workdays and as
    needed on-call basis. While executing these tasks look for ways to
    improve the safety and reliability of the cryogenic systems. Work
    with other members of the group to maintain adequate quantities of
    spare parts that may be consumed during repairs

   Specific?    YES
   Measurable? ―safe‖ and ―effective‖ can be measured; ―look for ways‖ cannot
   Achievable? YES
   Relevant?    YES
   Timely?      YES; it appears to cover the entire reporting period
                                                                         Specific
                                                                         Measurable
                                                                         Achievable
Exercise                                                             

   Continue to upgrade and improve the cryogenic targets in Halls A
    and C and support their operation. Continue to develop new
    techniques, materials and processes to improve cryogenic and
    polarized targets, including the frozen spin target

   Specific?     Somewhat; mentions specific systems, but not how to ―upgrade,
                  improve,‖ ―support,‖ and ―develop‖
   Measurable?   NO; how much ―upgrade?‖ what if nothing ―new‖ is developed?
   Achievable?   YES
   Relevant?     probably
   Timely?        YES; it appears to cover the entire reporting period
                                                                           Specific
                                                                           Measurable
                                                                           Achievable
Exercise                                                               

   Support the Laboratory‘s Small Business Program and Affirmative
    Procurement Programs to achieve all established small business
    and ―green procurement‖ goals. In this context, closely review
    requisitions assigned to your group to determine alignment with
    JLab‘s established Small Business, hub zone, and affirmative
    procurement goals, and actively seek sources that support these
    goals to the maximum extent possible

   Specific?   YES
   Measurable? YES; ―achieve all…goals;‖ seeking ―sources that support…goals‖
                    can be documented.
   Achievable?     YES
   Relevant?       YES
   Timely?          YES; it appears to cover the entire reporting period
Preparing for the Appraisal
   Review expectations for reporting period
       Did anything change?
       Use existing expectations as baseline
   Review employee‘s professional development
       Did he/she follow your previous recommendations?
       What was the result in terms of performance?
       Were there factors beyond the employee‘s control that affected
        achieving an expectation?
   Read
       Employee‘s self assessment
       Work for Others Performance Summary (if appropriate)
   Understand the scoring and rating standards
       Form an overall picture of the employee‘s performance for the
        year to compare against the numerical score later
Delivering the Appraisal
   Establish the right environment
       Quiet, private, no interruptions
       Give employee a copy of appraisal immediately prior meeting
   Divide discussion into 2 distinct parts
       Review of past performance
            Not a negotiation—more appropriate during self-assessment review
            Use specific examples
            All comments must refer to expectation(s)
       Expectations for the future
            Does the employee consider the new expectations S.M.A.R.T.?
            Do you both understand what‘s expected?
            What can you, as a supervisor, do to help?
       End on a positive note
Performance Reviews & Merit/Equity
 Performance Ratings should be given without consideration of or respect to the
 amount of money available for merit increases

 Management     needs to accurately assess performance and assign a rating that
 reflects true performance of each employee

 Factors for Consideration for merit/equity increase: Current Salary, Market Position
 and Performance Rating

      Considerations for Salary                                     45

       Adjustments & Promotions

                                            Employee Distribution
 A. ‗Achieves‘ performance expectations                             30
    and ‗at market‘ = a minimum merit                               25
 B. Exceeds expectations and ‗at market‘                            10
    value = moderate merit increase                                  5
 C. Exceeds performance expectations and                                 1   2       3      4   5
    ‗below market‘ value = high merit
    increase + equity adjustment
 D. Promotion – TRC Process
                                                                                 Rating Scale
2007 Time Line
         Task Name   Start Finish
2007 Time Line (cont.)
          Task Name      Start Finish
2007 Time Line (cont)

                Task Name            Start Finish

     For technical help with the online process,
           call Gretchen Kadesch at x 7663

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