Performance Appraisal in Performance Appraisal in the Public Sectorthe Public Sector

Stephen E. Condrey, Ph.D.Stephen E. Condrey, Ph.D.

University of GeorgiaUniversity of Georgia

Purposes of Performance AppraisalPurposes of Performance Appraisal

o Improve employee performanceImprove employee performanceo Define employee responsibilitiesDefine employee responsibilitieso Eliminate misunderstandings about job dutiesEliminate misunderstandings about job dutieso Clarify expected resultsClarify expected resultso Provide an avenue for employee developmentProvide an avenue for employee developmento Provide a written record to support personnel decisions such Provide a written record to support personnel decisions such

as salary increases, promotions, layoffs, and job-related as salary increases, promotions, layoffs, and job-related trainingtraining

o Provide a record of recognized employee strengths and Provide a record of recognized employee strengths and weaknessesweaknesses

o Improve communication with employees by involving them in Improve communication with employees by involving them in the appraisal processthe appraisal process

Characteristics of a Legally-Acceptable Characteristics of a Legally-Acceptable Performance Appraisal SystemPerformance Appraisal System

o The performance appraisal instrument is developed from The performance appraisal instrument is developed from a systematic analysis of individual jobsa systematic analysis of individual jobs

o Job descriptions used in the appraisal process are kept Job descriptions used in the appraisal process are kept up-to-dateup-to-date

o Performance appraisal focuses on specific job-related Performance appraisal focuses on specific job-related behaviors -- not traits, abilities or personal behaviors -- not traits, abilities or personal characteristicscharacteristics

o Performance standards or goals are communicated to Performance standards or goals are communicated to employeesemployees

o Supervisors are properly trained to evaluate employeesSupervisors are properly trained to evaluate employees

o Written documentation concerning the appraisal process Written documentation concerning the appraisal process is maintainedis maintained

Appraisal PitfallsAppraisal Pitfallso The The Central Tendency EffectCentral Tendency Effect happens when the supervisor rates everyone at happens when the supervisor rates everyone at

the midpoint of the scale, regardless of performance.the midpoint of the scale, regardless of performance.

o The The Recency FactorRecency Factor occurs when the supervisor rates an employee based on occurs when the supervisor rates an employee based on a recent occurrence (either positive or negative) and disregards the a recent occurrence (either positive or negative) and disregards the remainder of the appraisal period.remainder of the appraisal period.

o The The Halo EffectHalo Effect occurs when the supervisor lets performance in one area occurs when the supervisor lets performance in one area influence the ratings for other areas. influence the ratings for other areas.

o Personal BiasPersonal Bias concerns letting factors not related to job duties influence concerns letting factors not related to job duties influence employee performance ratings. employee performance ratings.

o Leniency or StrictnessLeniency or Strictness concerns the tendency of some supervisors to rate concerns the tendency of some supervisors to rate employee performance either too leniently or too harshly.employee performance either too leniently or too harshly.

Questions to Ask When Setting Work-Questions to Ask When Setting Work-Related GoalsRelated Goals

o Are the goals measurable and verifiable?Are the goals measurable and verifiable?

o Can the goals be easily understood by those who Can the goals be easily understood by those who must implement them?must implement them?

o Are the goals realistic and attainable, while still Are the goals realistic and attainable, while still representing a challenge?representing a challenge?

o Are the goals consistent with the organization's Are the goals consistent with the organization's policies and practices?policies and practices?

o Can accountability for goal attainment be clearly Can accountability for goal attainment be clearly established?established?

Group ExerciseGroup Exercise

Name two strengths and weaknesses of Name two strengths and weaknesses of your performance appraisal system. your performance appraisal system. What would be the first element you What would be the first element you would change?would change?

Performance Management Performance Management ReportReport

EMPLOYEEName SSN___________________

Position _______________________________________________________________________________________________ I have reviewed and understand the duties, performance criteria and uniform job factors on which I will be evaluated.

(signature) (date)_______________________

APPRAISING SUPERVISOR

Name _______________________________________________________________________________________________ Position _____________________________________________________________________________________________ Rating criteria discussed with employee (signature) (date)________________

Ratings assigned (signature) (date)________________

Interview completed (signature) ___ (date)_______________

REVIEWING SUPERVISORName _______________________________________________________________________________________________ Position _____________________________________________________________________________________________ Rating criteria approved (signature) (date)________________ Ratings assigned (signature) (date)________________

ADMINISTRATIVE OFFICE

Received by _ Date _____________________

PERFORMANCE RATING REPORT

PERFORMANCE RATINGS

The purpose of the scale is to measure levels of job-related behavior. In using the scale the supervisor should consider the extent to which the employee meets the expected standards for major job duties and uniform job factors. The supervisor should refer to the duty statements and the performance criteria when rating job performance. Performance ratings should not be made for job behaviors that were not observed during the appraisal period.

Indicate the employee's level of performance by writing “1" “2,” or “3" in the appropriate space. If the employee has not been observed performing a duty, then write “NOT OBSERVED” in the comment space for that duty and adjust the duty weights accordingly.

PERFORMANCE LEVEL DEFINITION

BELOW EXPECTATION - Performance is frequently below expected standards and needs improvement. Characteristic performance clearly fails to meet expected standards. Below expectation performance is assigned a rating of “1.”

MEETS EXPECTATION - Performance meets expected standards. Overall, work is acceptable and rarely needs improvement. Meets expectation performance is assigned a rating of “2.”

ABOVE EXPECTATION - Performance is of an exceptional nature. Performance consistently meets expected standards. Work frequently exceeds standards. Above expectation performance is assigned a rating of “3.”

UNIFORM JOB FACTORS(Example Only) Level of Performance Comments/Examples

1. Knowledge and Enforcement of Policies and Procedures

a. Maintains a working knowledge of and complies with all rules, regulations, policies, and procedures. _______

b. Identifies and reports violations of policies, procedures, and work rules. _______

2. Interpersonal Relations a. With Other Agencies and the General Public

(1) Communicates policies and procedures effectively and accurately. _______

(2) Responds to problems and complaints in a tactful manner. _______

b. With Other Employees

(1) Communicates effectively with co-workers. _______

(2) Works effectively with other personnel to achieve desired work results. _______ 3. Work Habits and Career Development

a. Work Habits

(1) Reports to work on time. ______ (2) Complies with established work schedules. ______

b. Career Development Capacity

(1) Accepts and performs new and additional responsibilities of a work-related nature. ______

PERFORMANCE MANAGEMENT REPORTName ____________________________________ Date___________________________________ Title ____________________________________ Evaluation Period ________________________ _________________________________________________________________________________

Performance Objectives for the Periodweight _______ 1. ________________________________________________________________________ ________________________________________________________________________

_______ 2. ________________________________________________________________________ ________________________________________________________________________ _______ 3. ________________________________________________________________________ ________________________________________________________________________ _______ 4. ________________________________________________________________________ ________________________________________________________________________

_______ 5. ________________________________________________________________________ ________________________________________________________________________ _______ 6. ________________________________________________________________________ ________________________________________________________________________ _______ 7. ________________________________________________________________________ ________________________________________________________________________ ____________________________________________________________________________________

Comments – Supervisor ___________________________________________________________________

Agreement to the Work Program _______________________ __________________________ __________________________ Employee Supervisor Date

IV.Describe Performance in Terms of Objectives Soughtweight rating total______ ______ ______ 1. __________________________________________________ __________________________________________________

______ ______ ______ 2. __________________________________________________ __________________________________________________

______ ______ ______ 3. __________________________________________________ __________________________________________________

______ ______ ______ 4. __________________________________________________ __________________________________________________ ______ ______ ______ 5. __________________________________________________ __________________________________________________ ______ ______ ______ 6. __________________________________________________ __________________________________________________ ______ ______ ______ 7. __________________________________________________ __________________________________________________ TOTAL SCORE ________ ______________________________________________________________________________________V.Comments – Supervisor ________________________________________________ Signature Date ______________________________________________________________________________________VI.Comments – Employee

Eligible for merit increase? ________________ yes / no NOTE: An employee must receive a rating of “meets expectations” or “above expectations” on a majority of the uniform job factors and an overall score of 200 to be eligible for a merit increase.

PERFORMANCE STRENGTHS

PERFORMANCE NEEDS DEVELOPMENTAL PLANS

EMPLOYEE COMMENTS:__________________________________________________ signature* date

*Signature does not indicate agreement, but indicates that the appraisal was reviewed and discussed with the employee.

Group Exercise: Performance AppraisalGroup Exercise: Performance Appraisal

1.1. Please complete the Please complete the Goals Goals section of the Performance section of the Performance Management Report.Management Report.

2.2. Weight your goals.Weight your goals.

3.3. What are the similarities and differences between this What are the similarities and differences between this system and the one your organization employs? What are system and the one your organization employs? What are the advantages and disadvantages of each?the advantages and disadvantages of each?

2008 IPMA Benchmarking Report2008 IPMA Benchmarking ReportDoes the appraisal system require that elements and standard include credible measures of performance that are observable, measurable, and/or demonstrable?

2008 IPMA Benchmarking Report2008 IPMA Benchmarking ReportDoes the performance appraisal include at least one element that holds the employee accountable for achieving results?

2008 IPMA Benchmarking Report2008 IPMA Benchmarking ReportHow often do poor performers recover and become productive employees?

Most respondents (51%) said that their organizations are effective in handling poor performers some of the time, while 35 percent said “most of the time.” At the extremes, six percent said “almost always” and 8 percent said “almost never.”

2008 IPMA Benchmarking Report2008 IPMA Benchmarking ReportWhat outcomes are in place for those who are the bottom level(s) of the performance appraisal system? Note that the percentages add up to more than 100 because respondents were asked to check all that apply.