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  1. 1. SAMPLE / DRAFT PERFORMANCE APPRAISAL PROCEDURES (Please Note: All Sample/Draft Personnel Policy language should be reviewed and approved by a City Attorney prior to adoption.) I. Why do performance evaluation? • Employee development • Identification of training needs attorney • Employee motivation • Identification of organizational problems • Documentation to support other management decisions including corrective action/discipline • Ensure Job / Position Description is up to date and accurate. II. How to do performance evaluation: • Establish the right atmosphere. Find a private place where interruptions and phone calls are unlikely. Have your calls held. Even the seating arrangements can be more important than you think. Two comfortable chairs at a conference table are better than sitting behind the desk with the employee in front of you. • Choose the right time. Look at your work schedule as well as the employee’s. Mid-morning is often considered an ideal time. You’ve completed the start-up routine but neither of you is too tired to conduct a proper appraisal session. Fridays can be bad days if you are dealing with a marginal performer. There is a weekend to brood immediately afterward, instead of a workday when improvements can be made. Select a time other than lunch. You and the employee will be able to better focus on the appraisal rather than the distraction of the meal and the server. • Be in the right frame of mind. Don’t attempt to conduct an appraisal session if you are not feeling well or if the staff person is not well. Both of you need to be prepared mentally for the session. • Set the agenda. Have the self-appraisal, planning calendar and appraisals from others in place. • Review position description with employee in advance of evaluation with particular emphasis on the performance evaluation factors included in the description. • Continuous observations during the year with written notation, dating and describing important examples of good and poor performance. • Evaluate each performance factor independently of all other factors. • Plan a :30 minute employee conference to review the evaluation. Schedule the conference no more than one or two days in advance to minimize pre-meeting apprehension. • The conference should be friendly but formal. Emphasize good performance and be specific about any unsatisfactory performance. • Emphasize that an unsatisfactory rating is your appraisal of job performance, not of the person. • If unsatisfactory performance noted, specify the expected corrective actions and set near term (3 month) follow up. Do this until the performance improves. • Brief your supervisor on the strong and weak performance evaluations of those employees you supervise.
  2. 2. III. Directing the appraisal session: You are conducting this session for one purpose; to discuss the employee’s performance. You should avoid all questions that produce short, simple answers. Try instead to ask questions that require extended, thoughtful responses.  Which parts of the job do you feel you do well? This open-ended question encourages the employee to expand and discuss his/her job.  Provide me with the details.  Please elaborate. IV. Providing feedback: Make the feedback specific. Sometimes employees just don’t measure up to the city/town’s performance standards. You have to point this out, and it won’t be easy. Some managers try to avoid this experience. They hope the employee’s performance will improve with time, experience, or just luck. Usually, the result is just the opposite. Employees conclude that their performance is acceptable and no one tells them anything different until they are fired (worst case scenario). In a case like that, a huge wrongful discharge claim could be filed because appraisals didn’t reflect the actual performance. Performance feedback needs to be constructive in order for it to be productive. It tries to reinforce the positive and change the negative by:  Identifying what was done well or poorly.  Describing what action or behavior is desired.  Explaining the effects of the observed and desired acts or behavior. Constructive feedback focuses on the behavior, not the person.  Consider the employee’s feelings; focus on the action, not the person.  Avoid attacking the individual and making judgments.  Encourage the employee to listen rather than go on the defensive.  Let the employee know what behavior is expected. Explain how you want inadequate behavior changed.  Explain the results or effect of the action or behavior.  Take time to point out positive behaviors that can be repeated and work with the employee to come up with ways to repeat those behaviors.  Follow up with more feedback and action plans as needed. V. Evaluation errors: • "Halo and horns" effect - a general impression colors the rating on all factors. Treat each factor separately. • "Recency" effect - the evaluation is based upon the last three or four weeks of performance rather than the totality of the evaluation period. • "Central tendency" - fence straddling by the evaluator who is unwilling to assign appropriate high or low ratings. • "Rater bias" - personal prejudice against the employee.
  3. 3. VI. Administration: • An employee's signature on the evaluation form does not necessarily imply agreement with the evaluation, only that the employee has participated in the evaluation. • Written memoranda documenting performance through out the year should be attached to the evaluation report. • Performance appraisals should be signed by the supervisor. • The signed report and the employee's comments and other documents must be filed in the employee's personnel folder and stored in a secure place not readily accessible by employees. • The personnel file should be made available to the employee upon request but under controlled circumstances to prevent loss of critical documentation.
  4. 4. SAMPLE/DRAFT PERFORMANCE EVALUATION FORM Employee:_________________________________ Position:_______________________________ Supervisor:________________________________ Department:____________________________ Date: _____________________________________ Time in Position:________________________ SECTION I - GENERAL PERFORMANCE STANDARDS Consider each standard separately. Mark an X in the appropriate box which most reflects the evaluator’s response. A substandard performance rating on any performance standard must be supported by specific comment in the space provided. Use additional sheets if necessary. 1.JOB KNOWLEDGE, SKILLS, AND ABILITIES: The employee demonstrates the knowledge, skills and abilities necessary to perform work satisfactorily. Does not have the basic Has the basic knowledge, Has exceptional knowledge, skills and skills, and abilities to knowledge, skills, and abilities to perform work perform work abilities to perform work. satisfactorily. satisfactorily. COMMENTS: 2. QUALITY OF WORK: The employee demonstrates accuracy, attention to detail and effectiveness in completion of work. Work is sometimes Work is usually accurate Work is consistently of inaccurate or incomplete; and thorough; work meets excellent quality, fails to meet departmental departmental standards. accuracy, and detail. standards. COMMENTS:
  5. 5. 3. PRODUCTIVITY: Employee performs work with efficiency, consistency and timeliness. Works slower than Completes work on time, Quickly completes work, expected; work is of with consistency and often ahead of schedule; substandard consistency efficiency; meets effectively prioritizes and timeliness. departmental standards. works; exceeds departmental standards. COMMENTS: 4. RELIABILITY: The employee exhibits dependability and conscientiousness in performing work and in willingness to accept responsibilities. Sometimes is not Consistently dependable Extremely dependable; dependable and and conscientious; usually follows through promptly conscientious in accepts responsibilities; on all tasks; accepts performing work; unwilling meets departmental responsibilties; exceeds to accept responsibilities. standards. job goals; show high level of initiative. COMMENTS: 5. COMMUNICATION: The employee demonstrates the appropriate level of written and verbal communication skills necessary to satisfactorily perform the job. Communication skills Possesses the required Has excellent impair work performance. communication skills and communication skills; very is effective in the position; effective in verbal and meets departmental written interactions. standards. COMMENTS:
  6. 6. 6. WORK RELATIONSHIPS: The employee possesses the ability to maintain effective and productive working relationships with fellow employees, supervisors and the public. Has trouble getting along Has a generally positive Exceeds departmental with other employees, approach in assisting standards; highly supervisors, and the others; maintains effective cooperative; works hard to public. working relationships; promote positive work meets departmental relationships. standards. COMMENTS: 7. SAFETY: The employee adheres to the rules and regulations to ensure safety standards are met. Fails to follow safety rules Follows safety rules and Exceeds departmental and regulations; falls meets departmental standards for safety. below departmental standards. standards. COMMENTS:
  7. 7. SAMPLE /DRAFT JOB PERFORMANCE STANDARDS This section is designed to be "job specific". Refer to the "Job Performance Standards" of the employee's position description. Briefly list the major job duties specifically related to the performance of this job. Check the standard which represents the employee's work performance. Additional job performance standards may be attached. In the comment section, provide information to explain and support ratings that indicate substandard performance. BELOW STANDARD: Job performance generally falls below standards required for the position. MEETS STANDARDS: Job performance satisfactorily meets the requirements for the position. EXCEEDS STANDARDS: Job performance consistently exceeds the standards for the position. BELOW MEETS EXCEEDS STANDARD STANDARD STANDARD JOB PERFORMANCE STANDARDS 1. COMMENTS: 2. COMMENTS: 3. COMMENTS: 4. COMMENTS: 5. COMMENTS:
  8. 8. SECTION III - OVERALL WORK PERFORMANCE: Check the standard which matches the employee's OVERALL work performance. An overall work performance rating which does not meet "Job Requirements" requires specific explanation in the comment section. Explanation must include the specific job performance areas requiring improvement. Attach additional sheets as necessary. Performance needs Performance meets Job Performance exceeds Job improvement to meet Job Requirements Requirements. Requirements. COMMENTS: SECTION IV - EMPLOYEE COMMENTS: Comments are encouraged either agreeing, disagreeing or acknowledging the supervisor's evaluation. Attach additional information if needed. Supervisor's signature:___________________________________________ Date:_______________ Employee's signature:____________________________________________ Date:_______________ Chief Administrator's signature:_____________________________________ Date:______________ NOTE: By signing this form, the employee acknowledges only that this evaluation was discussed and a copy has been received by the employee. The employee's signature does not signify agreement with the evaluation.
  9. 9. SAMPLE/DRAFT EMPLOYEE SELF EVALUATION EMPLOYEE NAME: ___________________________ DATE:_______________ EVALUATOR: _______________________________ 1. What were your principal accomplishments in your areas of responsibility since your last evaluation? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ____________________________ 2. Within the areas of your responsibility, what are things you could improve or build upon? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ____________________________ 3. Having reviewed your position description, do your areas of responsibility fit your position description? If certain areas do not, what adjustments do you feel should be made? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ __________________________________ 4. What aspects of the city/town operations are you most satisfied with? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ __________________________________
  10. 10. 5. What aspects of the city/town operations are you least satisfied with? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ____________________________ 6. How do you feel about your career development with the city/town? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ____________________________ 7. Where do you see yourself two years from now? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ __________________________________ Once this self evaluation has been reviewed by the employee and evaluator, it should be attached to the employee’s Performance Appraisal.