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 UPPS , 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 duties to be evaluated.  For example...

Performance Performance Expectations 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 (How well the expectation is done) Time Standard (When is the expectation is done) Quantity Standard (How much the expectation is done) Resources Standard (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 Performance Expectation 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.

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 Performance Expectation 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.

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 Performance Expectation 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

Performance Plan  What: 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.)

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 Performance Expectation 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

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

Halo / Devil’s Horns Effect Leniency / Stringency Central Tendency Error Similar-to-Me Effect Contrast Effect

Performance Performance Expectation 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

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!

 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. “What about a new duty or project that is assigned during the year?”

“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.

 No. A supervisor may use an  alternate appraisal system if it: – Achieves the goals established in section and – Is approved by the President. “Do all employees have to be appraised using this appraisal system?”

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.

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. 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.

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.

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Texas State Performance Appraisal System Putting the Pieces Together