Transcript Document

Texas State Performance
Appraisal System
Putting the Pieces Together
These quotes were reportedly taken from actual
federal employee performance evaluations:
 "Since my last report, this employee has reached rock
bottom and has started to dig."
 "His men would follow him anywhere, but only out of
morbid curiosity."
 "This employee is really not as much a has-been, but
more a definite won't be."
 "Works well when under constant supervision and
cornered like a rat in a trap."
 "When she opens her mouth, it seems that it is only to
change feet."
 "He would be out of his depth in a parking lot puddle."
 "This young lady has delusions of adequacy. "
 "Takes him 1½ hours to watch 60 minutes."
Goals of the Training
 Review the Performance Appraisal UPPS
 Explain performance expectations, standards,
weights, ratings and scores
 Discuss how to conduct effective appraisal
conferences
 Update you on policy changes
 Explain how to complete forms
 Explain the appeals process
 Answer your questions!
How is performance appraisal done at
Texas State?
Guidelines for performance appraisal
are set forth in UPPS04.04.20, Staff
Performance Appraisal. This UPPS
establishes a system for the appraisal,
development and documentation of
regular staff performance.
Goals of Performance Appraisal
 To provide the opportunity for the supervisor and
employee to assess the employee’s past performance.
 To help assess that the quality and quantity of work
performed by Texas State staff members best meets the
University needs.
 To allow for continuous communication between
supervisor and employee about job performance.
Goals of Performance Appraisal
 To offer the supervisor and employee the opportunity to
develop a set of expectations for future performance.
 To provide for future development of the employee.
 To provide supporting documentation for pay decisions,
promotions, transfers, grievances, complaints,
disciplinary actions and terminations.
At a minimum the performance
measurement system should provide:
 A clear sense of direction.
 An opportunity for employees to participate in setting the
goals and standards for performance.
 Prompt, honest, and meaningful feedback
 Immediate and sincere reinforcement.
At a minimum the performance
measurement system should provide:
 Coaching and suggestions for improving future
performance.
 Fair and respectful treatment
 An opportunity for employees to understand and
influence decisions with affect them.
Advantages of Appraisal System
 Defines job duties
 Identifies work products that result from job duties
 Describes knowledge, skills and abilities (KSAs) needed
to perform job
 Identifies the value of each duty
 Job duties relate to performance expectations
Appraisal Cycle
 By March 15 of each year, supervisors develop and give
each employee a performance plan covering the
remainder of the calendar year
 In January and February of the following year each
employee’s accomplishment of the performance plan
expectations is appraised
 The cycle repeats annually
Definitions
 GOJA Booklet - An individualized listing of duties,
KSA’s, and other requirements for a position
 Performance Appraisal - a continuous process in
which a supervisor assesses an employee’s
achievement of previously established performance
expectations
 Performance Expectation - a statement on a duty from
the GOJA booklet which summarizes a significant
portion of the job.
Definitions
 Performance Standard - how we know a goal or duty
has been accomplished in an acceptable manner.
There are four kinds (quality, time, quantity, and
resource), and we will review them in a short while.
 In this session we’ll discuss a fictitious employee named Vicki
Anderson. Vicki is a Human Resources Assistant, and we’ll
use section 5 of her GOJA to develop her Performance
Appraisal Form.
 Vicki’s supervisor has reviewed her GOJA, and there have
been no substantive changes in it. So, the supervisor selects 8
- 10 duties to be evaluated.
 For example...
Performance
Expectations
Performance
Standard
WT Rating Score
This Expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
6. Monitor budget
allocations.
- Expectations come from Section 5 of the GOJA.
The next step is setting standards. There are
four kinds of standards: Quality Standard
Time Standard
(How well the
expectation is done)
(When is the
expectation is done)
Quantity Standard
Resources Standard
(How much the
expectation is done)
(Either establishes a limit or
specifies resources that are not
fully under the employee’s control
Note: The ‘standard’ cannot be ‘perfection,’ but it must meet
the business needs of the University. Standards are written at
the ‘meets performance standard’ level, which earns a 3
rating.
Performance
Expectation
Performance
Standard
This expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
Questions are
answered in a
courteous, accurate,
efficient manner with
no more than 5-10
valid complaints per
calendar year.
6. Monitor budget
allocations.
Worked hours do not
exceed budget and
time restraints, not
exceeding 2-4 valid
errors per semester.
Wt. Rating Score
Valid: well grounded in principles or
evidence; logically correct; sound.
 You must be able to explain that the
performance standards are valid. Lack of
understanding of this concept will create
problems when the performance appraisal
meeting is conducted.
Performance
Expectation
Performance
Standard
This expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
6. Monitor budget
allocations.
Questions are
answered in a
courteous, accurate,
efficient manner with
no more than 5-10
valid complaints per
calendar year.
Worked hours do not
exceed budget and
time restraints, not
exceeding 2-4 valid
errors per semester.
Wt. Rating Score
Setting Weights
 Use GOJA information to establish
weights.
 Weights must add up to 100.
 If you want the expectations to be of
equal weight, divide the number of
expectations into 100 and put the result
in the weight column.
 You may work with your employees to
set weights and standards.
Give each employee a copy of the standards,
expectations, and weights for his or her position.
This is their Performance Plan for the year.
Performance
Expectation
Performance
Standard
Wt. Rating Score
This expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
Questions are
answered in a
courteous, accurate,
efficient manner with
no more than 5-10
valid complaints per
calendar year.
10
10
6. Monitor budget
allocations.
Worked hours do not
exceed budget and
time restraints, not
exceeding 2-4 valid
errors per semester.
Performance Plan
Part I of Performance Appraisal Form
– expectations, standards and weights only
 When: Given to each employee annually by March 15
– Also given within 30 calendars days after any new
hire, reclassification, transfer, or demotion.
 Requirements: Supervisor and employee must initial
and date the plan. Each retains a copy.
 Changes: The supervisor may change plan at any time.
Both initial and date the revised plan. Each retains a
copy. (Do not send copies to Human Resources.)
 What:
Reminders About Ratings
 Be Consistent. Performance that rates a 4 or a 2 for
one employee should be the same for everyone
performing the same duties with the same level of
performance .
 The impact of a major error can affect the rating.
Document if the rating is not obvious.
 Don’t rate an employee down for a problem that is
out of the employee’s control.
Reminders About Ratings
 If an employee is rated a 1 or a 2 on any of the items
in Part I, documentation of these ratings MUST
appear on item 2 of Part II, which we will go over a
little later.
Performance
Expectation
Performance
Standard
Wt. Rating Score
This expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
6. Monitor budget
allocations.
Questions are
answered in a
courteous, accurate,
efficient manner with
no more than 5-10
valid complaints per
calendar year.
Worked hours do not
exceed budget and
time restraints, not
exceeding 2-4 valid
errors per semester.
10
3
10
3
TCHR Audit Changes Related to
Ratings
 Documentation in Section II needed for any rating
above or below a “3”- “meets standards.”
 New criteria added: “Employee complies with policies,
procedures, and work related rules and demonstrates
appropriate work related behavior.” Yes / No
Other Policy Changes
 Proportionate scoring for employees who transfer during
the appraisal period or who are simultaneously
supervised by more than one supervisor.
 GOJA Certification
 GOJAs must be signed and dated as accurate prior to
evaluation
 PIF- If used, must designate a date for review of
performance
 Professional Development plan for staff
Performance
Expectation
Performance
Standard
Wt. Rating Score
This expectation is met when:
5. Answer employment,
employee relation,
compensation,
classification, and related
policy/procedure questions.
6. Monitor budget
allocations.
Questions are
answered in a
courteous, accurate,
efficient manner with
no more than 5-10
valid complaints per
calendar year.
Worked hours do not
exceed budget and
time restraints, not
exceeding 2-4 valid
errors per semester.
10
3
30
10
3
30
More on Scoring
 After scoring each of the expectations, add the
scores for all of them and enter the total in the
last box of the table on Part I.
 If the overall score is below 300, then you
must complete a Performance Improvement
Form.
“Speaking of scores, where does
MERIT fit into all of this?”
A score of 300 means an employee is
minimally eligible for a merit raise. But
it is up to you and your chain of command
to decide how to use the score.
If you use the score to help decide merit,
document what factors besides the appraisal score
were considered and why merit decisions were
made. This is especially true if you have an
employee with a score of 425 who did not get a
merit and an employee with a score of 350 who did!
“What about a new duty or
project that is assigned
during the year?”
 Create a generic expectation for “special
projects.”
 Consider the “other duty” to be one of the
already existing expectations. Adjust the
weights, if necessary, to recognize the
increased importance of this expectation.
 Create a specific expectation for this special
project and adjust the weights of the other
expectations.
 Per the UPPS, tell the employee about any
changes when they occur. Don’t wait until
the appraisal interview.
“How can I measure whether my
employees are meeting
expectations?”
You might use these:
- valid compliments and complaints from
customers,
- customer satisfaction surveys, and
- your own observations.
Whatever measures you use, the employee needs to
clearly understand what your standards are at the
beginning of the evaluation period.
“I have an employee with
an attitude problem.”
How do I reflect that on
their appraisal?”
How do you know that your employee
has an attitude problem? Probably because of
certain behaviors: rudeness to co-workers or
customers or not performing duties in a timely
manner.
Rate the employee based on those behaviors. Not
only is this more objective, but is it far more
descriptive than saying the employee has an
attitude problem. And it allows the employee to
know specifically what he or she needs to know to
improve.
“Do all employees have to be appraised
in January and February?”
No. Employees who are promoted,
transferred, reclassified, demoted, or hired
between October 1 and December 31
should be appraised after six months on
the job and again after the next
December 31.
Alternate Appraisal Cycle
 Based on the needs of the University, the annual appraisal cycle may
be tied to:
–
–
activities or events which do not coincide with the calendar year, or
employee anniversary dates
 Can be for one employee or a group
 Vice Presidents must establish by memo to the affected employee(s)
–
Copies go to supervisor, department head, and Human Resources
 Appraisal events are tied to the end of the cycle:
–
–
–
–
Interviews: during the 2 months following cycle
Performance plan to employee: no later than 2 1/2 months after end of
cycle
Signed forms to VP: no later than 3 months following cycle
Signed forms to Human Resources: no later than 3 1/2 months following
cycle
Normal Appraisal Cycle
Remember the normal appraisal:
 By March 15 of each year, supervisors develop and give
each employee a performance plan covering the
remainder of the calendar year.
 In January and February of the following year each
employee’s accomplishment of the performance plan
expectations is appraised.
 The cycle repeats annually
If you work in an area that uses an alternate
appraisal cycle, it might be helpful to develop this
type of time line for tracking due dates.
“Do all employees have to be appraised using this
appraisal system?”
 No. A supervisor may use an
 alternate appraisal system if it:
– Achieves the goals established in section
– Is approved by the President.
01.02 and
Completing Part II
 Part II of the Performance Appraisal Form should reflect
a summary of the employee’s strengths and
opportunities for improvement. Discussion of these
points may take place during the regular appraisal
interview or within ten days of the interview.
 Part II must be completed if:
– there were any expectations rated other than a “3”;
or
– the employee did not comply with any applicable
policies, procedures, rules, or guidelines.
Preparation for the Performance
Discussion
 Keep a weekly log of individual’s performance.
– Reduces chances of rating errors
– Makes writing up an evaluation simpler
– Gives support and back to the rating
 Preparation should not begin a week or two before
discussion takes place.
 Allow sufficient time to write the evaluation.
– Time to review and possibly revise
Preparation for the Performance
Discussion
 Setup an agreed upon time for the discussion
convenient for both parties.
 Be Prepared!
– Know what you are going to say
– Decide some developmental opportunities before
the interview
 Arrange the room in a way that it will encourage
discussion.
– Limit barriers between yourself and the employee
– No phone calls or interruptions during interview.
Performance Appraisal Discussion
Steps
 Set the subordinate at ease:
– Let the individual know the interview will be a two
way process. Neither party should dominate the
discussion
 Discuss each dimension separately
– Get employees impression of themselves first.
– Explain yourself and your position
– If there is any problems, try together to determine
the cause
– This will help point out action plans to resolve
those problems
Performance Appraisal Discussion
Steps
 Together setup action places to correct any problems
– Be specific about the who, what, and when
– Be sure to provide some kind of of follow-up or
report back
 Close the interview on an optimistic note.
Communication Suggestions
 Do not control the interview
– Make it two ways
– Ask open-ended questions rather than submitting
your own solutions
 Stress behaviors and results rather than personal
traits
– Say “I noticed that your weekly report has been
one or two days late this last six weeks,” rather
than, “You tend to be a tardy, lazy person.”
Communication Suggestions
 Show interest and concern
 Allow the subordinate to finish a sentence or thought.
– This includes being receptive to the subordinate’s
own ideas and suggestions.
 Be supportive - you’ve invested a lot in him or her.
 Set specific, not general, goals to be achieved
Communication Suggestions
 Meet in a private place with the employee.
 Provide a non-threatening environment.
 Give the employee concrete examples of work behavior
that contributed to the rating.
 LISTEN!!
 Discuss problems hampering performance and work
together on solutions.
“How can I avoid upsetting my
employees with the appraisal
process?”
Treat them consistently.
Keep good documentation.
Address performance problems when they occur.
Don’t wait until the interview to inform them. No
surprises!
Be supportive. Remain objective. Don’t play
favorites.
Be prepared for the interview.
“What happens after
the interview?”
After Part I and Part II are complete, the
supervisor, employee, and department director
sign the form.
Within five working days, the employee is given
a final copy of the signed form.
The original is kept in the employee’s
department personnel file, and a copy is
forwarded to Human Resources via the Vice
President’s office by April 15.
To Second-Line Supervisors and Administrative Officers:
If you supervise supervisors, you must evaluate them on three special
Performance Expectations. One additional Expectation is applied to
administrative officers. For other employees, these do not apply.
Performance Expectations*1. Leadership:
Assigns specific responsibilities, recognizes assigned employees’ abilities,
capacities, and limitations. Provides advice and help in achievement of assigned
employees’ goals.
*2. Employee Development:
Provides encouragement and opportunities for staff to participate in development
experiences.
*3. Employee Appraisal:
Appraises assigned employees in a timely and thoughtful manner.
**4. Employee Recruitment:
Progress toward achieving increased numbers of women and ethnic minorities in
the workforce.
Appeals
 An employee may appeal an appraisal within
10 working days to the department director. If
the employee’s supervisor is the department
director, then the appeal goes one level
above the director.
 The employee writes a confidential memo to
accomplish the appeal. A copy of the
appraisal must be attached. Decisions on
appeals must be rendered within five working
days. The decision is final.
 Copies of all Performance Appraisal forms
and applicable attachments go to Human
Resources for inclusion in the employee’s
personnel file.
Other Forms
 The Post-Performance Appraisal Form
– An optional form to get feedback from the employee
about the process.
 The Performance Improvement Form and
Follow-Up to Performance Improvement Form
– These forms are completed when performance falls
below an overall rating of 300. Be sure and call
Human Resources to discuss possible disciplinary
actions appropriate to the type of performance
problem your employee may be having.
Other Forms
 The Performance Commendation Form
– This form can be used when an employee’s
performance has gone ‘above and beyond’
expectations.
Reminder: UPPS Changes-TCHR Audit
 Documentation in Section II required for any rating
above or below a “3- meets standards.”
 New criteria added: “Employee complies with policies,
procedures and work rules and demonstrates
appropriate work related behavior.” Yes/No- Section II
Other UPPS Changes
 Proportionate scoring for employees who transfer during
the appraisal period.
 Proportionate scoring for employees who are
simultaneously supervised by more than one
supervisor.
 New forms are on HR website.
How To Contact Us
Location: J. C. Kellam
Building, Suite 340
Telephone:
Office
Fax
(512) 245-2557
(512) 245-3911
Web:
http://hr.txstate.edu
Texas State Performance
Appraisal System
Putting the Pieces Together