Performance Appraisal Instruments used in the United States International Conference on Civil Servants’ Performance Appraisal August 25-26, 2015, Issyk-Kul, Kyrgyz Republic Saltanat Liebert, Associate Professor L. Douglas Wilder School of Government & Public Affairs Virginia Commonwealth University, Richmond, VA, USA

Presentation Outline Purposes of Performance Appraisal Principles of Performance Appraisal Types of Appraisal Instruments used in the US public sector

Purposes of Performance Appraisal 1)Judgement: assessment on individual’s current and past performance – Recognition and rewards (promotion) for good performance – Demotion or termination based on unsatisfactory performance 2) Development: focus on individual’s potential rather than his/her current level of skills and capabilities – Meeting employees’ needs for growth – Identifying training needs – Assisting employees in setting career goals

Principles of Performance Appraisal Assesses job-specific behaviors Based on position description (requires job analysis) Participation of employees in development Supervisory training Communication & regular feedback during the appraisal cycle Documentation Monitoring – to ensure appraisals are based on up-to- date job descriptions and conducted properly

Select Types of Appraisal Instruments degree appraisal 2.Management by Objectives (MBO) 3.Behaviorally anchored rating scales (BARS) 4.Critical incident technique 5.Trait rating 6.Essay Organizations usually have a blend/hybrid of several instruments customized for specific job groups. Federal government agencies use primarily BARS-based instruments. State and local govt agencies use a wide variety of instruments. More objective

1)360-degree appraisal Appraisal conducted by:  Supervisor  Peers at the same professional level  Subordinates  Clients within the organization  Citizens/customers when appropriate

2) Management by Objectives Raters and employees together determine 4-5 goals or objectives and a plan of action for achieving them that the employee is to achieve during the upcoming evaluation cycle (usually one year). Objectives need to be SMART (Specific, Measurable, Appropriate, Realistic, Time-bound) Key objectivesExpected results Measurable performance standards Actual results Rating 1.

3) Behaviorally Anchored Rating Scales Focuses on behaviors that are determined to be important for doing the job properly Job responsibilities are grouped into separate 6-12 dimensions or factors (such as quality of work, leadership, dependability, initiative, etc.) Behavior is then labeled on 5-7-point system (e.g. unsatisfactory, poor, acceptable, good, outstanding) Work behavior is anchored with a series of examples of acceptable and unacceptable performance. These examples serve as a guide to help the rater understand the level of performance required for an assigned rating.

3) Behaviorally Anchored Rating Scales EXAMPLE:Job: Lieutenant Investigator Dimension: Assign and review cases to investigators SuperiorReviews all cases sent to investigation from records section on a daily basis. Assigns cases to investigators on a daily basis, giving clear verbal instructions about what is expected of them by the supervisor in reference to a particular case. Very effectiveReviews all cases sent to investigations. Assigns cases to investigators. SatisfactoryReviews all cases referred to investigations from patrol division and records division. Assigns cases to investigators in a timely manner. Needs improvement Takes several days before cases are reviewed. Assignment of cases to investigators takes several days to a week. UnsatisfactoryAllows investigators to review all reports and pick their own assignments.

4) Critical Incident Technique Raters record actual incidents of successful or unsuccessful performance.

5) Trait Rating Raters are provided with a list of personality characteristics, such as cooperation, creativity, attitude, and initiative. Raters then assign a number or adjective to indicate the degree to which employees possess those traits. Name/rank__________ Outstanding = 1, very good = 2; average = 3; needs improvement = 4; unsatisfactory = 5 ___ Judgement___ Knowledge of work ___ Dependability___ Written communication ___ Work initiative___ Oral communication ___ Quality of work___ Supervisory ability ___ Cooperation___ Overall evaluation

Trends in the US states & counties Performance appraisal instrument used (percentage)StatesCounties 360-dergree appraisal4225 Appraisal linking individual and organizational performance goals 9683 Peer evaluation4819 Customer evaluation5225 Supervisors’ evaluation of teams4414 Subordinates’ evaluation of supervisor4219 Subordinates’ evaluation of manager4014

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