Thread: Performance Appraisal Handbook Sample

Performance Appraisal Handbook
A Supervisor’s Guide to the Performance Appraisal System for Staff Employees


Western Kentucky University



Questions concerning Western Kentucky University’s performance appraisal process may be directed to: Department of Human Resources, Wetherby Administration Building, Room 42, 745-5360.



Purpose
A major responsibility of a supervisor is that of coaching and counseling those under his/her supervision so that employees are able to achieve higher levels of job performance while experiencing a greater sense of individual job satisfaction and accomplishment. The collective and effective performance of employees assists the University in accomplishing strategic goals and fulfilling its mission.

Individual performance appraisals serve as important tools to facilitate professional job growth while providing relevant information to management regarding compensation and other personnel related decisions. Performance appraisal is an on-going process--the essence of which is to enhance open, honest and timely communication between employees and supervisors. While supervisory feedback about individual performance is best communicated at the time of the specific observation, a formal written appraisal is required annually to reinforce, summarize and document the informal discussions that have occurred over the evaluation period. A mid-year performance assessment is recommended and is intended to enhance communication and review progress to date on goals and action plans.

Goal-setting is an important element of the performance appraisal system. Both employee and supervisor should actively participate in this process so that meaningful and relevant goals are developed for the subsequent appraisal period. Goals should be explicit, measurable, attainable, realistic and time specific.

Philosophy
The University accepts the general philosophy that employees genuinely desire to do a good job. Based on this premise, the appraisal process is intended to promote effective communication and information to help employees succeed with specific job responsibilities. It is the University’s intent to support and train employees to successfully perform in the jobs where assigned.

Supervisors should not use the performance appraisal process to just emphasize failures. Rather, the written appraisal should be a fair and balanced assessment so employees know where they stand with respect to job performance and expectations.

Goals of the Performance Appraisal System
For supervisors, the process of performance management is one of the most important leadership responsibilities. The performance appraisal system has three primary goals:

1. to provide a formal means of constructive, open and honest communication between the employee and his/her supervisor
2. to enhance employee development through performance feedback and through the identification of future professional development activities
3. to measure and document job performance as a basis for making promotion, compensation and other personnel management decisions

Who Should Conduct the Appraisal
The individual (supervisor) who has the authority to make hiring recommendations and to assign work to the employee should be the person responsible for completing the appraisal. Supervisors who do not directly observe or otherwise measure the outcomes of a given employee’s job performance should seek input from individuals who do directly observe the employee (e.g., a crew leader, group leader, area coordinator, other workers). This may be the case, especially in larger departments/units.

It is the responsibility of department/unit heads and supervisors to prepare written performance appraisals and to conduct timely appraisal meetings, according to University guidelines. If a given supervisor should delay or neglect to conduct an appraisal, the affected employee is encouraged to initiate such or may contact the Department of Human Resources for assistance.

Documentation
Performance documentation is important throughout the entire (calendar) evaluation period. The supervisor should keep a file and document accomplishments and events, positive and negative, as they occur. Good documentation will serve to provide the supervisor with objective information on which to base the performance appraisal. Documentation is also important because decisions regarding planning, staffing, and compensation depend on accurate records of performance.

Preparing for the Appraisal Meeting
The appropriate setting and advance preparation are key components for conducting effective performance appraisals. The supervisor and employee should establish a convenient time and place for the appraisal meeting. The meeting location should be free from interruptions such as phone calls, office visitors, general conversations and similar common office activities. Both parties should have ample time (several days) to prepare for the appraisal meeting.

Supervisor’s Preparation
Prior to the appraisal meeting, the supervisor should take time to review the job description and any other performance related documentation collected during the appraisal period. The appraisal form should be completed and notes made regarding points for discussion—including any changes in job responsibilities. It is recommended that the written appraisal be maintained in a draft mode until discussed and finalized with the employee.

It is important that supervisors give each appraisal the time and attention it deserves. In larger departments, it is easy to get “burned out” and to speed through appraisals. It is recommended that appraisals be reasonably distributed over a period of time to help reduce supervisory pressures.

Employee’s Preparation
Self-assessment can be a meaningful part of the appraisal process. Working with his/her supervisor, employees are encouraged to prepare a self-assessment appraisal if desired. Employees may also wish to submit a report of accomplishments and any comments or questions in advance of the appraisal meeting. This information will assist the supervisor in planning and conducting the actual performance appraisal meeting and report.

Performance Standards and Goals
Performance standards and goals are the basis from which employee performance is measured. The written performance appraisal should reflect how well the employee performed against defined job responsibilities and previously established goals and objectives. Effective goals and objectives must be specific, measurable, reasonable and have a time frame.

Specific- Objective and precise language is essential when developing performance goals and objectives. Supervisors should use terms and descriptions which have the same meaning to the supervisor and the employee. Detailed points rather than vague descriptions are important for clear understanding and documentation.

Measurable- Goals and objectives should be written so that accomplishment, non-accomplishment or degrees of accomplishment can be objectively measured.

Reasonable- Goals and objectives which are too high or too rigid may actually inhibit an employee’s performance. Individuals may become discouraged and give up if they perceive expectations to be unattainable. Goals and objectives should be reasonable given time frames, circumstances and departmental/unit expectations.

Time Frame- A specific period of time for accomplishment should be identified with each goal and objective.


Conducting the Performance Appraisal Meeting
Following a few simple guidelines will help facilitate constructive discussions during the actual appraisal meeting.

1. Put the employee at ease. Begin the meeting with positive general friendly conversation. Describe the purpose of the meeting.
2. Focus the meeting and discussions on objective job-related behaviors. Give constructive feedback.
3. Actively listen to the employee’s feelings regarding his/her performance.
4. Do not argue with the employee. Instead, acknowledge what the employee is saying (for example, “I understand how you must feel”).
5. Ask open-ended questions to stimulate discussion.
6. Close the session on a positive note if at all possible.

Completing the Form
The appraisal form for administrative, professional and support staff employees contains four broad performance categories with selected sub-components as well as the three most significant areas of job responsibility as identified by the supervisor. Each performance factor is to be rated on a scale which ranges from “unacceptable” to “exceptional” and also includes a “not applicable” option. Ratings from each performance category provide an aggregate overall rating. Rating definitions are described below:

Exceptional- indicates outstanding contributions on a continuous basis during the appraisal period; work is consistently at the highest levels and exceeds expectations.

Satisfactory- indicates fully acceptable performance; general expectations are being met; work is consistently performed well.

Unacceptable- indicates that some or all general expectations are not being met; considerable corrective action is required; on-going overall performance at this level typically results in disciplinary action.

An overall final rating of “unacceptable” requires the development of a written performance improvement plan which outlines specific work objectives and behaviors that are to be accomplished by a pre-determined date. The performance improvement plan is not a replacement for the disciplinary process, but rather works in conjunction with that process.

The appraisal form also provides the opportunity for supervisors to provide general comments and to identify particular strengths and weaknesses during the appraisal period.

A copy of the completed and signed appraisal form is to be provided to the employee. The original appraisal form is to be submitted to the Department of Human Resources according to published deadlines. A copy should be retained in departmental/unit files.



Avoiding Common Rating Errors
When rating performance, the supervisor should strive to ensure fairness and objectivity. Supervisors should guard against anything that could inappropriately distort evaluation results such as bias, prejudice, personality traits, too much emphasis on one or two aspects, reliance on perceptions and not facts, and holding employees accountable for factors beyond their control.

Errors to be avoided include:

• Leniency- a tendency to evaluate employees at the high end of the rating scale for all or most factors without appropriate justification.

• Halo effect- a tendency to allow the influence of a particularly positive employee trait or characteristic to inappropriately affect performance measures.

• Central tendency- a tendency to rate all individuals OR all performance factors at the middle of the evaluation scale.

• Harshness- a tendency to evaluate employees with an inappropriate and/or unjustified level of criticism.

• Recency error- a tendency to allow “recent” performance to inappropriately influence the entire evaluation period.

• Similarity error- a tendency to favor those employees who are perceived to have similar beliefs or characteristics as those of the supervisor.

Employee Signature and Right to Disagree
The employee’s signature on the appraisal form does not indicate agreement with appraisal results. The signature is intended to confirm that the supervisor has discussed and reviewed the appraisal with the employee.

Any employee who disagrees with his/her appraisal may file a written response within ten (10) working days from the date of his/her signature on the appraisal form. The written response should be filed with the immediate supervisor with copies to the department head and to Human Resources. Human Resources will provide a copy of the employee’s response to the Senior Divisional Officer (Vice President) for information purposes. The supervisor must consider the employee’s response and make any justified modifications to the appraisal form with ten (10) working days. Should the employee continue to disagree with the supervisor’s assessment, an appeal may be made to the employee’s department/unit head within five (5) working days of receiving the supervisor’s response. The department/unit head shall consider the relevant facts and issues and make a determination regarding the appraisal. After receiving the department head’s response, the employee may make a final appeal to the Senior Divisional Officer within five (5) working days of receiving the department/unit head’s response. The Senior Divisional Officer will make a final determination regarding the employee’s appraisal.

Only the final appraisal document will become a part of the employee’s official personnel file as maintained by the Department of Human Resources.

Supervisors are expected to consider an employee’s response in a constructive and professional manner and are not to take any adverse actions against the employee solely for expressing disagreement with an appraisal.

Performance Appraisal Results and Salary Increase Decisions
The University traditionally establishes guidelines for employee salary adjustments given budget resources and the approved compensation philosophy for the referenced fiscal year. Only those employees whose performance has been rated as “satisfactory” or higher are eligible for a salary increase. Individuals having “unsatisfactory” job performance are not eligible for a fiscal year salary increase. Supervisors are responsible for making salary increase decisions which correlate to performance appraisal results.

Reverse Appraisals for Supervisors (“Bottom Up” Evaluations)
Another important element of the University’s performance appraisal system is that of reverse appraisals. This dimension provides individuals an opportunity to provide performance and leadership feedback pertaining to their immediate supervisor. Feedback from subordinates can provide meaningful information for improvement. Excellent supervisory leadership is essential to achieving maximum departmental/unit effectiveness.

Reverse appraisals are to be submitted voluntarily and confidentially to the next level supervisor. Employees are encouraged to complete reverse appraisals, however, they are not required to do so. Department/unit heads should provide procedural instructions and guidance for making this process work as intended.

Reverse appraisal information is to be used by the supervisor’s supervisor as a component in evaluating the supervisor’s job performance. It is recommended that reverse appraisal information be shared with supervisors only in an aggregate format in order to preserve the confidentiality of subordinate responses.

Mid-Year Reviews
In order to promote regular communication and feedback between employees and supervisors, a mid-year performance review is recommended (July-August time frame). This session is also used to formally document progress on previously identified goals and objectives and to make any necessary adjustments. Mid-year review forms are maintained in departmental/unit files and are not submitted to the Department of Human Resources.

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Every organization wants to see their employee's performance. Performance appraisal is used to measure performance of employees.