Employees Performance Apprisal by bpc70158

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									PERFORMANCE APPRAISAL PROCEDURE

The following instructions are directed to all faculty and staff who are responsible for the
evaluation of their respective employees. The following pages provide detailed instructions for
the completion of the performance appraisal form and will assist management in making their
evaluations as meaningful and complete as possible.

OBJECTIVES OF APPRAISALS

Performance appraisals are to be prepared upon the anniversary date of each employee’s
respective hire date. USPS employees are also expected to have a probationary evaluation six (6)
months from their initial hire date and another evaluation on their anniversary date. Law
Enforcement Officers serve a twelve (12) month probationary period. If a USPS employee has
been promoted or transferred, the employee is expected to have another probationary evaluation
six (6) months from the promotion or transfer date (12 months for Law Enforcement Officers).
The transfer or promotion date will be the new anniversary date.

The performance appraisals have the following main objectives:

    1. To evaluate how the job has been performed, to discuss the performance with the
       employee, and to determine future goals.

    2. To evaluate short and long term goals previously set.

A true performance appraisal has many facets to it. It is a continuous process which should not be
restricted to just an annual review form. Department heads, supervisors or department chairs
should carry out informal, regular discussions with their employees throughout the year and
summarize more formally in writing the annual performance appraisal. The informal discussions
should establish the following:

   a. How the job is going (giving praise where due and criticism where necessary)?
   b. What are their strengths and how can we build them?
   c. What areas may need improvement, if any?
   d. What requirements there may be for training (informal and formal), coaching, guiding,
      etc.
   e. What specifically is expected of the employee over the next three-to-six month period?

Frequent communication provides the opportunity for both you and your employees to check
perceptions against reality. When both of you have an accurate understanding of what the other
person is thinking, communication and performance will improve.




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ANNUAL WRITTEN PERFORMANCE APPRAISAL

The performance appraisal will summarize all major points covered during the informal
discussions. The appraisal will:

  1. Allow employees to learn there supervisor’s views of how they have been performing their
     job and what will be expected of them in the following year.

  2. Give the employee an opportunity to express their views on their performance and their
     future with the College.

  3. Places the vital information of the evaluation on record for future reference and use as
     documentation.

IT IS RECOMMENDED THAT YOU GIVE THE EMPLOYEE AN APPRAISAL FORM
A COUPLE DAYS BEFORE THE APPRAISAL AND LET THEM APPRAISE
THEMSELVES. THIS WILL BE VERY HELPFUL WHEN IT COMES TIME FOR
YOUR CANDID DISCUSSION WITH THE EMPLOYEE.



THE APPRAISAL INTERVIEW

The main purpose of the interview is to ensure that all supervisors give their employees feedback
on how they see him/her. A frank and honest appraisal interview helps the manager and the
employee to find a mutually and acceptable way to work out improvement in areas where
improvements are attainable.

The annual performance appraisal interview should:

  1. Enable the evaluator and the employee to analyze past performance, using as a basis the
     comments, ratings, remarks, and goals noted on the previous appraisal as well from your
     written comments generated from informal discussions throughout the year.

  2. Enable the parties to discuss strengths and how to build on them. Also to discuss and agree
     on what can be done to improve performance in those areas where improvement is needed.

  3. Enable the parties to discuss, identify, and agree on future goals for the coming year.

  4. Provide an opportunity for finding out what the employee’s thoughts are on his/her future
     training and employment and to provide an opportunity for these to be recorded.

The interview in reality should be a discussion. Two-way communication is essential if full
advantage is to be gained, and as much input should come from the individual being evaluated as
from the evaluator.




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EIGHT STEPS FOR CONDUCTING A PERFORMANCE APPRAISAL

  1. Control the environment.
     Schedule a private time.
     Reduce interruptions.
     Warm-Up.

  2. State the purpose of the discussion.
     If the employee has earned a good report, say so at once. It breaks the ice and reassures the
     employee.
     If you are giving a critical report, either overall or for a particular task, make sure he/she
     appreciates the reason. (The examples/ comments should make this clear.)

  3. Ask for the employee’s opinion.
     Allow the employee to talk: encourage them to talk, even if that means waiting in silence
     for them to reply. This can be difficult, but don’t be tempted to “butt” in and answer your
     own questions.
     To help encourage the discussion, here are some questions you might ask:

             How do you feel you did this appraisal period?
             What particular parts of your job interest you the most?
             What parts interest you least?
             How do you feel you have carried out the main tasks you are responsible for?
             Which tasks could have been performed more effectively and how?
             What, if any, were the reasons preventing you from being more effective in these
              areas? What obstacles have you encountered?
             What tasks do you feel you have performed particularly well and why?
             What areas, if any, are unclear in the job?
             What extra help or guidance do you feel you need to do the present job more
              effectively?
             Where do you see your future in say, five years time?

Remember: Conversation will flow easier if you give the employee a blank appraisal form
before the appraisal, and allow the employee to evaluate themselves ahead of time. This way
the employee will be more prepared to discuss their opinion.

  4. Present your assessment.
     Be candid and specific. Since the annual performance appraisal is a formal summary of
     less formal discussions which should have taken place throughout the year, it should
     contain no surprises for the individual being evaluated, either as to the ratings or as to the
     examples which provides the basis for the ratings. However, as it is not possible to achieve
     a precise measurement of performance, it is essential that the individual being appraised be
     aware of the rationale for the evaluator’s judgment. This should be stated clearly in the
     discussion.

      Give corrective feedback. Always focus on the specific behavior you want to change, not
      the employee’s personality. Your message has to be, “You’re okay; it’s your performance
      that needs to be better.” So separate performance (behavior) from the person (personality).
      It’s a must for excellent management.




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   When you need to discuss poor performance, here’s a simple acronym you can use to
   remember how to give corrective feedback in a non-threatening manner:

             B: Behavior: State the specific behavior that is unacceptable.
             E: Effect: Explain why the behavior is unacceptable and how it affects
             productivity and performance.
             E: Expectation: Tell the employee what you expect him or her to do in order to
             change the behavior.
             T: The Result: Let the employee know what will happen if the behavior
             changes and what will happen if it doesn’t.

   Give positive feedback. Don’t just focus on the areas that need improvement.

             B: Behavior: What aspects of the employee’s behavior do you find valuable?
             E: Effect: What positive effect does his or her performance have? Why is that
             performance important?
             T: Thank you: Where can you find more opportunities to use this tangible
             expression of appreciation?

5. Build on the employee’s strengths.

   Ask the employee to name his or her strengths.
   Share your opinion of those strengths.
   Focus on performance not personality.

   Discuss areas that need improvement.
   Ask the employee what areas they think need improvement.
   Determine together how the employee can improve in these areas.
   Determine if additional training is needed to accomplish this. Once again, focus on
   performance, not personality.

6. Ask for the employee’s reaction to your assessment.

   Really listen to what the employee has to say. Reach an agreement on the evaluation
   ratings.

7. Set specific goals.

   First take a look at short term goals they have been working on recently as well as the
   goals that were set at the last performance appraisal. In order to complete this year’s
   evaluation, it is necessary to take into consideration whether the prior goals have been met.

   Set future goals S.M.A.R.T. (See instructions, on “completing the form”, for guidance on
   these goals.)

8. Close the discussion.

   Summarize the meeting. End the appraisal on a positive note. Be encouraging to the
   individual who has done well. It is also important to encourage the employee who,
   although receiving less than a satisfactory report through inexperience, has done his or her
   best and applied himself or herself conscientiously. To the individual who basically needs
   to improve his/her performance, the points for improvement must be summarized. Ask for
   any additional employee comments. Have the appraisal form signed. Thank the employee


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       and explain the next step. (For instance: We’ll check in with each other on those short term
       goals we discussed, the date they determined their completion should be attained. OR we’ll
       meet informally on date to discuss how your progress is going on the areas that need
       improvement.)

       COMPLETING A PERFORMANCE APPRAISAL FORM

       Completing an appraisal form is not necessarily an easy task. Many managers feel that the
       passing of judgment on another employee presents them with an embarrassing problem,
       particularly if they are required to discuss unacceptable performance with him or her.
       Studies confirm that the number one reason employees don’t improve after appraisals is
       because they are not sure what their managers expect or exactly how to change their
       performance. Just remember that the guiding principle must be, how can you improve
       things for the appraised; how can you develop their talents to the benefit of the
       organization.

       One of the dangers of a review system is that managers tend to base their ratings on the
       most recent work and achievements of the employee. This can be most detrimental if, for
       example, an employee performs extremely well for two or three months of the year but
       then, for reasons outside of their direct control, then go through a difficult period close to
       the appraisal time. This is why it is extremely important for managers to keep relevant
       documentation throughout the year on the employee’s ongoing performance.

       Examples should be given to substantiate numerical ratings. It is probably easier to write
       the examples first and assign ratings according to the value of the examples/ comments
       written. Do not hurry over the appraisal. It is best to first prepare a draft and review it
       multiple times before you finalize it.

The “S.M.A.R.T.” approach:

        S- Goal is stated in terms of Specific results..

        M- Goal can be Measured quantity and quality.

        A- Goal is Attainable and achievable though challenging (stretching) for the
        employee

        R-Goal is Relevant and realistic to the job requirements for the individual or the team

        T- Goal has a Timeline associated that is doable and realistic.

       EXPLANATION OF RATINGS

       E-Exemplary: Performance consistently exceeds the expected level in most areas.

       C- Commendable: Performance consistently meets all standards/expectations and
        occasionally exceeds the expected level in some areas.

       EF-Effective: Performance satisfactorily meets the expected standards/expectations

       M-Marginal: Performance fails to meet expected level in some areas.

       U-Unsatisfactory: Performance fails to meet the expected level in all or most areas.


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SECTION I

LEVEL OF PERFORMANCE OF MAJOR DUTIES - USPS AND POLICE:
List the major duties from the position description. Assign the letter of a performance rating, as
defined above, for each duty. Provide comments to support the ratings assigned.

Examples and Ratings:
The manager should record under the section designated for examples, his or her evaluation of the
performance of the main tasks. Examples should be brief but should clearly reflect both strengths
and areas that need improvement if applicable. Objectivity is of utmost importance.

JOB DUTIES - The employee will either:

        Rating
       E: Have outstanding job knowledge. Have complete mastery of all phases of their job
        duties.
       C: Be competent. Understands all phases of the job duties, needs to look up answers
        seldom.
       EF: Be well informed. Can answer most questions or knows where to find answer.
       M: Be moderately informed and needs some direction.
       U: Be inadequately informed. Lacks knowledge in some phases of the job. Employee can
        not find answers on his/her own.


ACCOMPLISHMENTS - A&P AND EXECUTIVE:
In a narrative format, describe how the employee has fulfilled the responsibilities of the
position.

For all Staff, an updated Position Description must be completed if there has been
any change in duties.



SECTION II

OTHER ATTRIBUTES IN RELATION TO PERFORMANCE - USPS AND
POLICE:
Assign the letter of a performance rating, as defined above, to access the attributes in relation to
the employee’s performance of duties. Provide comments to support the ratings assigned.

          1. Works independently

                  E: Can be relied on to take action on his or her judgment. Does not need to be
                   prompted on when to act and sets high goals. Is a self-starter with high
                   motivation to achieve? Consistently goes beyond the call of duty.

                  C: Can be relied on to take action on his or her judgment and does not need to
                   be prompted when to act. Strives hard and has a high desire to achieve. Always
                   puts in a solid days’ work.




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      EF: Can be relied on to take action on his or her judgment. May need to be
       prompted on when to act. Does a satisfactory job.


      M: Occasionally may act on his or her own judgment but frequently needs to
       be told to do so and always need reassurance first.

      U: Consistently waits for things to happen. Usually needs to be told when
       action is necessary.


2. Attends to duties in absence of direct supervision

      E: Completes all job duties in absence of the direct supervisor. Does not need
       to be prompted on when to act. Strives hard, has a high desire to achieve.

      C: Completes most job duties in the absence of the direct supervisor. Does not
       need to be prompted on when to act. Strives hard, has a high desire to achieve.


      EF: Completes some job duties in the absence of the direct supervisor. May
       need to be prompted when to act. Does a satisfactory job.


      M: Occasionally completes assignments in the absence of a direct supervisor.
       Needs help and reassurance in some areas.


      U: Continually has problems completing job duties in the absence of the direct
       supervisor. Usually needs intercession from direct supervisor.


3. Completes assignments accurately

      E: Completes all assignments accurately. Does not need to be prompted on
       when to act. Strives hard and has a high desire to achieve.

      C: Completes most assignments accurately. Does not need to be prompted on
       when to act. Strives hard and has a high desire to achieve.


      EF: Completes assignments with some direction from the direct supervisor.
       May need to be prompted when to act. Does a satisfactory job.


      M: Occasionally completes assignments that are not completely accurate.
       Needs help and reassurance in some areas.


      U: Continually has problems completing accurate assignments.




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4. Meets required deadlines

    E: Works invariably ahead of schedule. Always meets required deadlines.

    C: Usually completes work on schedule, sometimes early. Meets all required
     deadlines.


    EF: Usually completes work on time. Satisfactory meets required deadlines.


    M: Usually completes work on time. However, may miss some deadlines.


    U: Does not complete work in a timely manner. Consistently misses deadlines.


5. Accepts and carries out additional assignments as assigned

    E: Consistently takes ownership of and accepts additional assignments.
     Completes all additional assignments and exceeds expectations.

    C: Takes ownership of and accepts additional assignments as expected.
     Completes all additional assignments as expected and occasionally exceeds
     expectations.


    EF: Satisfactory takes ownership of and accepts additional assignments and
     meets the expected standards.


    M: Sometimes does not take ownership for and accepts additional assignments.
     Fails to meet the expected standards.


    U: Fails to take ownership for and accept additional assignments. Fails to meet
     expected standards.


6. Works with co-workers, supervisors, and the comities served

    E: Consistently contributes a positive team environment both inside and outside
     of the department and the college. Cooperates and supports co-workers and treats
     them with dignity and respect at all times.

    C: Usually contributes to a positive team environment both inside and outside of
     the department. Almost always cooperates and supports co-workers and treats
     them with dignity and respect.
    EF: Satisfactorily contributes to a positive team environment both inside ad
     outside of the department. Does cooperate and support co-workers and treat them
     with dignity and respect.




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               M: May contribute to a positive team environment, but may have trouble from
                time to time keeping his/her own personal agendas in check.


               U: Not be a team player. Rarely contributes to a positive team environment.
                Rarely cooperates and supports others.



AREAS TO IMPROVE - A&P AND EXECUTIVE:
Include the areas in which the employee can improve performance and develop
professionally. Recommend ways in which the employee can accomplish these
objectives.



SECTION III

OVERALL LEVEL OF PERFORMANCE - USPS, POLICE, A&P AND
EXECUTIVE
Based upon the ratings assigned or narratives in sections I and II, assign the letter of a
performance rating to reflect overall performance. Provide comments to support the rating
assigned. Include constructive recommendations for performance improvement, as appropriate.



SECTION IV

GOALS - USPS & POLICE
In this section you can discuss, identify, and agree on goals/ objectives for the next year, both
short and long term goals.

When setting goals, a good process to use would be the “S.M.A.R.T.” approach. Employees will
need guidance during the goal setting portion of the appraisal.

PERFORMANCE PLAN - A&P AND EXECUTIVE
Identify specific actions/behaviors/goals the employee needs to either start doing, stop
doing, and/or continue doing in the upcoming performance period. Include the indicators
of success.



SECTION V

EMPLOYEE COMMENTS - USPS, POLICE, A&P AND EXECUTIVE
Employees are afforded the opportunity to make any comments regarding their appraisal,
goals and/or performance plan for the next appraisal period.




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SECTION VI

SIGNATURES - USPS, POLICE, A&P AND EXECUTIVE:
When overall performance rating is Marginal or Unsatisfactory, you must obtain signature of a
higher- level supervisor, preferably the dean/director/designee, to acknowledge review;
otherwise, signatures of higher- level supervisors are optional.

Please note: An employee’s signature does not signify their agreement with the appraisal, it
simply means that the appraisal has been discussed with them. If the employee refuses to sign,
please indicate that on the employee signature line and if possible, have a higher-level supervisor,
preferably the dean/director/designee witness the refusal by signing the appraisal.



RE-CAP

         1.     Be sure to review the employee’s official position description to identify the
                major duties to be evaluated, as well as changes in duties since the last
                evaluation, if applicable.

         2.     Assess the performance of the employee and complete the form to document
                the level at which duties has been performed, using the ratings defined above.

         3.     Provide a copy of the completed and signed form to the employee after reviewing
                it with the employee. Sign and date the form on the date completed.

         4.     Forward the original of the completed and signed form to Human Resources for
                inclusion in the employee’s official personnel file.




01.22.10/ymt




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