INTRODUCTION
The
variable pay program for information technology employees is
designed to support and promote organizational effectiveness
through improved performance at the individual and group level,
and reward employees for their contributions.
Performance
appraisal is a process, not just a piece of paper. This appraisal
system focuses on the future, as well as the past. It provides
a way for assessing achievements, building relationships, and
incorporates the principles and strategies that encourage success.
Following
is a list of detailed instructions for the appraisal process.
Further assistance is available from your Human Resources Department.
SECTION
ONE: EMPLOYEE INFORMATION
EMPLOYEE
NAME: First name and last name of the employee whose performance
is being evaluated.
IDENTIFICATION
NUMBER: The employee's identification number that is used
for payroll purposes.
DEPARTMENT: The
department where the employee is assigned.
CLASSIFICATION
TITLE: The classification title for the employee's position.
CLASSIFICATION
NUMBER: The classification number.
COMPETENCY
LEVEL: Indicate whether the employee is classified as Competency
Level 1, 2, or 3.
POSITION
NUMBER: The position number of the employee's job.
EVALUATION
PERIOD: The beginning and ending dates for the period covered
by the evaluation.
SALARY
ELIGIBILITY DATE: The date the employee is eligible for
a merit increase.
SALARY: Check
whether the employee's salary is "at or below" the
control point of the salary range, or "above" the control
point.
Check
whether the evaluation is for completion of trial service, annual
review, or documentation for a special merit increase.
SECTION TWO: COMPETENCIES
COMPETENCIES:
The following categories represent the knowledge, skills, and
abilities of information technology workers that are known to
be critical to business success:
- Technical
Knowledge
- Work
Coordination
- Problem
Solving/Prevention
- Communication & Service
- Accountability
Competencies
provide a road map so employees understand the knowledge, skills,
and abilities it takes to do their jobs well and advance their
careers. They communicate the mission and values of the organization.
In addition, competencies allow supervisors and employees to
place emphasis not only on what gets accomplished, but how it
gets accomplished. Focusing on the kind of behavior, style, and
approach that supervisors desire is as important as the results.
PERFORMANCE
STANDARDS: Performance standards describe the behaviors,
specific skills, knowledge, or techniques (within the general
competency category) that an employee needs to apply to achieve
the desired job objectives. Performance standards form the
framework by which performance will be evaluated.
Performance
standards can either be specific skills and/or behaviors from
each area of competence (See "Defining Competencies for
Information Technology Classifications"), or other appropriate
standard. Select standards that are relevant to the employee's
work assignments. Establish what the employee is expected to
achieve during the review period--both ongoing and specific skills
and competencies.
At
the beginning of the performance appraisal period, the supervisor
and the employee should discuss the competencies and performance
standards upon which the employee will be evaluated. If the employee
has input in developing the standard, the supervisor can expect
fewer disagreements or disappointments later.
RATING: At
the end of the performance evaluation period, the supervisor
shall consider the employee's performance and select the rating
level that most accurately describes how well the employee typically
performed in each area of responsibility. The supervisor may
request input from the employee.
RATING
LEVELS:
Outstanding: Regularly
makes exceptional contributions which have a materially positive
impact on the department or organization. Has mastered all job-related
skills and possesses a broad range of capabilities. Provides
a model for excellence.
Consistently
Exceeds Standards: Consistently exceeds all performance
expectations/objectives. Highly skilled in relation to technical
requirements of the job. Regularly produces expected accomplishments
in all areas of responsibility. Meets difficult challenges.
Demonstrates sound judgment and decision-making abilities.
Meets
Standards: Consistently meets all job standards and may
occasionally exceed performance expectations or objectives.
Demonstrates effective performance and is fully qualified to
perform job duties with the appropriate amount of direction.
Consistently performs in a reliable and professional manner.
Does
Not Fully Meet Standards: Has not consistently met job
requirements, and may occasionally demonstrate unsatisfactory
performance. Has not successfully performed tasks of the job
in all areas of major responsibility. May have the ability
to complete most assignments, however, immediate improvement
and further development must be demonstrated. If this level
of performance continues, an Improvement Plan may be required.
Performance
on each standard should be examined and evaluated separately.
Do not attempt to determine an overall rating across all standards
at this time.
COMMENTS: The
supervisor may record any remarks or explanation of the employee's
performance or rating. This commentary will enable the employee
to understand why the performance was rated as it was.
SECTION THREE: PERFORMANCE OBJECTIVES
OBJECTIVES: Performance
objectives are the heart of the merit pay program. This section
records reasonable outcomes or projects for the employee to accomplish
during the upcoming appraisal period. There is no restriction
on the number of objectives that the supervisor and the employee
develop for the next evaluation period. Identify as many as you
need, but make sure the workload is realistic.
Good
performance objectives meet the following SMART criteria:
S
= Specific
State clearly what is to be accomplished in concrete terms that can be
easily observed and mutually understood.
M = Measurable
Objectives should be quantifiable, stating exactly what the criteria
for success is, how that success will be tracked and measured, and whether
the measurement tools are available.
A
= Attainable
Can the result be realistically achieved? (Is the process used workable
and within the employee's control? Are the needed resources available?
Is the time frame reasonable? Is the objective a "reachable" stretch?)
R
= Realistic
Based upon the employee's knowledge of the job, the objective should
be linked vertically to the organization's goals, as well as being difficult,
yet feasible.
T
= Time Bound
Each objective should have a clearly defined time frame.
Studies
have shown that good planning gets good results. Following are
several alternative methods to develop performance objectives:
- The
supervisor and employee together may develop the objectives;
or
- The
supervisor and employee may develop the objectives separately,
then meet and make modifications; or,
- The
supervisor develops the objectives and reviews them with the
employee.
Allow
for flexibility when writing performance objectives. They will
need to be adjusted when work priorities change. (Sample objectives
and performance standards are offered on page 6.)
Although
writing objectives will take time, if it is done jointly, it
can be a worthwhile step toward improving job performance. There
is little chance that an employee who is involved in a joint
process will be in the dark about where the employee stands,
or that the employee will forget he/she is a principal participant
in his/her own development and is responsible for it.
The
supervisor should monitor projects and assignments on a continual
basis. This allows the supervisor to identify unacceptable performance
when it occurs and provide assistance to address such performance
rather than waiting until the annual review.
The
supervisor should meet with the employee and review objectives
at least once during the evaluation period, and preferably quarterly,
to discuss performance-to-date. This interim review should include
a discussion about whether the stated work assignments or priorities
have changed or should change. If so, the supervisor should record
those changes and provide a copy to the employee.
PERFORMANCE
STANDARD: For each objective that you have listed, indicate
the target results, either as a quantity or quality. Indicate
the manner in which the end result will be achieved in a satisfactory
(meets standards) manner.
Standards
are:
- Relevant
to objectives
- Clearly
defined and documented
- Appropriate
considering existing realities
- Challenging
but attainable
- Understood
by and acceptable to constituencies
- Revised
as appropriate
WEIGHT: The
supervisor indicates the relative importance of the objective-critical,
major, or secondary. Following is a general guideline for defining
priorities.
Critical: Must
be met or exceeded in order for the unit to meet its objectives.
(Planned objectives should include no more than two or three
objectives that are critical in nature.)
Major: Must
be met or exceeded in order for an individual to be effective.
Secondary: Should
be met, but will not preclude the individual/unit effectiveness.
SAMPLE
OBJECTIVES AND PERFORMANCE STANDARDS:
EXAMPLE
#1
Objective:
(Critical) Coordinate the technical aspects of the Alpha project
and ensure the project is complete by February 1, within the
$600,000 budget, and that the resulting system meets customer
specifications.
Performance
Standard: "Meets Standards" performance will consist
of: 1) completion by deadline, 2) costs at budget, 3) system
performance meets customer requirements, and 4) customers sign
off that they understand user procedures and are able to operate
the system.
EXAMPLE #2
Objective:
(Major) Within the next six months, the employee will define
customer requirements for an Alpha System, develop a proposed
system solution to meet requirements and obtain customer approval
for mock-up, including input and output formats, computational
processes, and quality assurance procedures.
Performance
Standard: Customer evaluation of project produces ratings of
Fully Satisfactory or better on 1) responsiveness to customer
needs, 2) timeliness, 3) quality of work, 4) efficiency/cost
control, 5) technical performance of system.
RESULTS: Throughout
the evaluation period you may find it useful to keep a record
of significant events or accomplishments on the Performance Tracking
Record available at: www.ous.edu/hr/compensation/Performance_Tracking_Record.htm
At
the end of the appraisal period, the supervisor (or, supervisor
and employee) documents the outcome of the employee's efforts
to achieve the objective. The supervisor may rely on factual
information, as well as observation. If an employee feels the
supervisor's data is incorrect, it is the employee's responsibility
to produce corrected information.
The
focus is on performance-on actions relative to goals-not the
personality traits of the employee. The supervisor should recognize
positive, negative, and incomplete results.
RATING: At
the end of the performance evaluation period, the supervisor
considers the employee's performance and selects the rating level
that most accurately describes how well he/she accomplished that
objective. Written performance evaluation is required prior to
awarding a performance based salary increase.
Performance
on each objective should be examined and evaluated separately.
Do not attempt to determine an overall rating across all objectives
at this time.
COMMENTS: The
supervisor may use this space to record any remarks or explanation
that supports the achievement level indicated. This commentary
will enable the employee to understand why the performance was
rated as it was.
This
section should include a description of any extraneous factors
or unanticipated events that complicated or inhibited the employee's
ability to achieve the desired result(s). In addition, if revisions
are made to original objectives and standards, state the reason
and the adjustment here.
DISCUSSION
OF HOW WORK WAS PERFORMED: If how the employee performed
the job had an impact on the work of peers, users, or the effectiveness
of the unit, specify what behaviors, skills, knowledge, and
techniques were involved and how they affected the effectiveness
of the employee.
UNPLANNED
ACCOMPLISHMENTS: List other accomplishments achieved by
the employee that were not included in the original list of
planned objectives.
SECTION FOUR: SUMMARY
SUMMARY
RATING: The supervisor must consider all aspects of the
employee's performance, including the relative importance of
each of the objectives, and select the rating level that most
accurately describes the overall performance during the evaluation
period.
The
focus is on job performance-not the personality traits of the
employee. Develop a rating based on how well the employee performed
in relation to the competencies and performance objectives, the
relative weight given to each objective, and any other relevant
accomplishments.
If
the employee receives less than a satisfactory evaluation, the
supervisor should meet with the employee within thirty (30) days
of the evaluation to review, in detail, the alleged deficiencies.
If
an employee is rated "Does Not Fully Meet Standards" and
the supervisor recommends withholding the performance increase,
the supervisor must give notification in writing, including the
reasons for withholding the increase, at least fifteen (15) days
prior to the employee's eligibility date. .
When
new employees are progressing satisfactorily through their initial
appointment to a new or promotional position, but may not yet
have had the opportunity to demonstrate all of their skills,
we would not normally use the "Does Not Fully Meet Standards" category,
as this would unduly penalize them for a natural and appropriate
learning curve.
COMMON RATER ERRORS
Halo
Effect: The tendency to rate a person who is exceptionally
strong in one area high in all other areas. One factor has
undue influence on the other ratings.
Horns
Effect: This is the opposite of the Halo Effect-a tendency
to rate a person who is especially weak in one factor low
on all other factors.
Central
Tendency: Tendency to avoid both high and low extremes,
lumping all ratings in the middle category.
Leniency:
This occurs when the rater gives all high ratings or a disproportionate
amount of high ratings.
Severity: The
opposite of Leniency-a tendency to give all low ratings or
a disproportionate number of low ratings.
Similar-to-Me: Some
raters have a tendency to give persons who are similar to them
higher ratings on the basis of biographical backgrounds, attitudes,
etc.
Contrast
Effect: The tendency of raters to evaluate persons relative
to each other, rather than on the basis of individual performance
evaluation criteria.
COMMENTARY SUPPORTING SUMMARY RATING: This section provides an opportunity
to emphasize, expand, or clarify the overall rating.
This
commentary will enable the employee to understand why the performance
was rated as it was.
DEVELOPMENTAL
NEEDS/PLANS: Providing employees with training and development
opportunities encourage good performance. Training strengthens
job-related skills and helps employees keep up with changes
in technology.
The
supervisor and employee should reach agreement on needed development,
resources needed to enable the employee to perform at the desired
level, and steps to improve performance. Supervisors may wish
to help employees find ways of satisfying their own professional
interests and meeting the objectives of the organization at the
same time.
SECTION FIVE: SIGNATURES
RATING
PERFORMED BY: Signature of the supervisor who performed
the review.
RATING
REVIEWED BY: The supervisor has the option of having the
performance appraisal reviewed by another supervisory person.
Supervisors in academic or general business departments should
feel comfortable asking a technical supervisor in a central
Information Technology office to review the planned objectives,
performance standards, or results.
Employees
who receive an evaluation of "Meets Standards" or higher
may request an independent review by a representative from the
university/college Human Resources Department.
EMPLOYEE
SIGNATURE: The signature of the employee does not signify
agreement with the review, but only that he/she has read the
evaluation.
EMPLOYEE
COMMENTS: This section provides an opportunity for the
employee to record remarks about any aspect of the performance
appraisal. All written comments provided by the employee within
sixty (60) days of the evaluation shall be attached to the
performance evaluation.
APPOINTING
AUTHORITY: Signature of the designated appointing authority
for the institution.
Once
completed, the performance evaluation will be placed in the employee's
personnel file.
SECTION SIX: COMMUNICATING WITH THE EMPLOYEE
DURING
THE EVALUATION PERIOD:
- A
fundamental component of successful evaluation is regular communication
between the supervisor and the employee. Building work relationships
is essential to achieving desired results. Regular two-way
communication between the employee and supervisor helps build
this relationship.
- Brief
discussions should take place whenever appropriate. Formal
sessions should be scheduled at least once during the evaluation
period, and preferably quarterly, to discuss what is going
well and what can be improved.
- Use
these sessions to describe rather than evaluate performance.
Inquire about any changes in the work situation since the previous
discussion. Determine if there are any obstacles blocking success.
Ask about resources that the employee may need to accomplish
their objectives. Acknowledge accomplishments during this period.
Discuss new priorities in the department so the employee can
re-focus efforts, if appropriate. Modify plans in response
to changes.
- It
is important for both parties (supervisor and employee) to
maintain open communication in order to keep each other informed
of work progress and work together to resolve problems when
they occur. It is far better to resolve problems when they
are small, before they become "disasters."
- A
key principle that encourages employees to accept constructive
criticism is to be "hard on the problem, and soft on the
person." The focus should be on correcting the problem
or behavior, not on punishing the employee. The performance
evaluation is an assessment of performance and should not be
punitive. The performance evaluation should not be the place
where the employee first hears about disciplinary action.
- A
useful motto for the performance appraisal should be "no
surprises." Through this approach, you can reduce the
likelihood of the employee becoming emotional during the review.
- Strive
to provide continual feedback concerning expectations and performance.
When things are going well discuss how and why this is so.
When things are not going well discuss what needs to be done
to make them right. When an employee is not doing things properly,
get together and plan what needs to be done to correct the
matter. If there is a performance gap, help the employee understand
the cause and the action necessary for correction. Support
plans for professional development.
By providing feedback on a continual and timely basis throughout the
evaluation period, the supervisor establishes the groundwork for indicating
that there is a performance problem.
ANNUAL
REVIEW:
- Schedule
a meeting with the employee. (Although a self-assessment is
not required, including it may provide the employee with a
greater sense of participation in the process.) During the
meeting, review the evaluation and facilitate an open exchange
of information concerning expectations and results. Resolve
any disagreements on factual matters. Determine the reasons
for different views relative to subjective assessments and
resolve them if at all possible. Be open and make every effort
to respond in a positive manner.
- The
annual review is a good time for the supervisor to review the
position description with the employee and determine if the
work described is current, or if the job duties have changed.
The position description may need to be revised and a copy
sent the Office of Human Resources.
Analyze the issues and attempt to view them from both sides. Listen carefully
to the employee and try to understand their perspective. Give the same
attention you would expect from your own supervisor.
- In
conjunction with the evaluation, it is important to discuss
the impact of the appraisal on salary. The parties should establish
performance expectations for the upcoming review period, allow
the employee to comment on the form, and have the employee
sign to verify that it has been reviewed with them.
- The
appraisal is complete when the supervisor has determined-through
paraphrasing and feedback, as well as nonverbal communication-that
the content and issues have been successfully communicated,
that concerns from both parties have been expressed, and that
the employee understands and agrees to their "contract" for
the upcoming period.
