Performance Appraisal in the Public Sector Stephen E. Condrey, Ph.D. University of Georgia

Purposes of Performance Appraisal Improve employee performance Define employee responsibilities Eliminate misunderstandings about job duties Clarify expected results Provide an avenue for employee development Provide a written record to support personnel decisions such as salary increases, promotions, layoffs, and job-related training Provide a record of recognized employee strengths and weaknesses Improve communication with employees by involving them in the appraisal process

Characteristics of a Legally-Acceptable Performance Appraisal System The performance appraisal instrument is developed from a systematic analysis of individual jobs Job descriptions used in the appraisal process are kept up-to-date Performance appraisal focuses on specific job-related behaviors -- not traits, abilities or personal characteristics Performance standards or goals are communicated to employees Supervisors are properly trained to evaluate employees Written documentation concerning the appraisal process is maintained

Appraisal Pitfalls The Central Tendency Effect happens when the supervisor rates everyone at the midpoint of the scale, regardless of performance. The Recency Factor occurs when the supervisor rates an employee based on a recent occurrence (either positive or negative) and disregards the remainder of the appraisal period. The Halo Effect occurs when the supervisor lets performance in one area influence the ratings for other areas. Personal Bias concerns letting factors not related to job duties influence employee performance ratings. Leniency or Strictness concerns the tendency of some supervisors to rate employee performance either too leniently or too harshly.

Questions to Ask When Setting Work-Related Goals Are the goals measurable and verifiable? Can the goals be easily understood by those who must implement them? Are the goals realistic and attainable, while still representing a challenge? Are the goals consistent with the organization's policies and practices? Can accountability for goal attainment be clearly established?

Group Exercise Name two strengths and weaknesses of your performance appraisal system. What would be the first element you would change?

Performance Management Report

EMPLOYEE Name SSN___________________ Position _______________________________________________________________________________________________ I have reviewed and understand the duties, performance criteria and uniform job factors on which I will be evaluated. (signature) (date)_______________________ APPRAISING SUPERVISOR Name _______________________________________________________________________________________________ Position _____________________________________________________________________________________________ Rating criteria discussed with employee (signature) (date)________________ Ratings assigned (signature) (date)________________ Interview completed (signature) ___ (date)_______________ REVIEWING SUPERVISOR Position _____________________________________________________________________________________________ Rating criteria approved (signature) (date)________________ Ratings assigned (signature) (date)________________ ADMINISTRATIVE OFFICE Received by _ Date _____________________

PERFORMANCE RATING REPORT PERFORMANCE RATINGS The purpose of the scale is to measure levels of job-related behavior. In using the scale the supervisor should consider the extent to which the employee meets the expected standards for major job duties and uniform job factors. The supervisor should refer to the duty statements and the performance criteria when rating job performance. Performance ratings should not be made for job behaviors that were not observed during the appraisal period. Indicate the employee's level of performance by writing “1" “2,” or “3" in the appropriate space. If the employee has not been observed performing a duty, then write “NOT OBSERVED” in the comment space for that duty and adjust the duty weights accordingly. PERFORMANCE LEVEL DEFINITION BELOW EXPECTATION - Performance is frequently below expected standards and needs improvement. Characteristic performance clearly fails to meet expected standards. Below expectation performance is assigned a rating of “1.” MEETS EXPECTATION - Performance meets expected standards. Overall, work is acceptable and rarely needs improvement. Meets expectation performance is assigned a rating of “2.” ABOVE EXPECTATION - Performance is of an exceptional nature. Performance consistently meets expected standards. Work frequently exceeds standards. Above expectation performance is assigned a rating of “3.” PERFORMANCE RATING REPORT

UNIFORM JOB FACTORS (Example Only) Level of Performance Comments/Examples 1. Knowledge and Enforcement of Policies and Procedures a. Maintains a working knowledge of and complies with all rules, regulations, policies, and procedures. _______ b. Identifies and reports violations of policies, procedures, and work rules. _______ 2. Interpersonal Relations a. With Other Agencies and the General Public (1) Communicates policies and procedures effectively and accurately. _______ (2) Responds to problems and complaints in a tactful manner. _______ b. With Other Employees (1) Communicates effectively with co-workers. _______ (2) Works effectively with other personnel to achieve desired work results. _______ Work Habits and Career Development a. Work Habits (1) Reports to work on time. ______ (2) Complies with established work schedules. ______ b. Career Development Capacity (1) Accepts and performs new and additional responsibilities of a work-related nature. ______

PERFORMANCE MANAGEMENT REPORT Name ____________________________________ Date___________________________________ Title ____________________________________ Evaluation Period ________________________ _________________________________________________________________________________ Performance Objectives for the Period weight _______ 1. ________________________________________________________________________ ________________________________________________________________________ _______ 2. ________________________________________________________________________ _______ 3. ________________________________________________________________________ _______ 4. ________________________________________________________________________ _______ 5. ________________________________________________________________________ _______ 6. ________________________________________________________________________ _______ 7. ________________________________________________________________________ ____________________________________________________________________________________ Comments – Supervisor ___________________________________________________________________ Agreement to the Work Program _______________________ __________________________ __________________________ Employee Supervisor Date

IV. Describe Performance in Terms of Objectives Sought weight rating total ______ ______ ______ 1. __________________________________________________ __________________________________________________ ______ ______ ______ 2. __________________________________________________ ______ ______ ______ 3. __________________________________________________ ______ ______ ______ 4. __________________________________________________ ______ ______ ______ 5. __________________________________________________ ______ ______ ______ 6. __________________________________________________ ______ ______ ______ 7. __________________________________________________ TOTAL SCORE ________ ______________________________________________________________________________________ V. Comments – Supervisor ________________________________________________ Signature Date VI. Comments – Employee

SUMMARY PERFORMANCE REPORT Eligible for merit increase? ________________ yes / no NOTE: An employee must receive a rating of “meets expectations” or “above expectations” on a majority of the uniform job factors and an overall score of 200 to be eligible for a merit increase. PERFORMANCE STRENGTHS PERFORMANCE NEEDS DEVELOPMENTAL PLANS EMPLOYEE COMMENTS: __________________________________________________ signature* date *Signature does not indicate agreement, but indicates that the appraisal was reviewed and discussed with the employee.

Group Exercise: Performance Appraisal Please complete the Goals section of the Performance Management Report. Weight your goals. What are the similarities and differences between this system and the one your organization employs? What are the advantages and disadvantages of each?

2008 IPMA Benchmarking Report Does the appraisal system require that elements and standard include credible measures of performance that are observable, measurable, and/or demonstrable?

2008 IPMA Benchmarking Report Does the performance appraisal include at least one element that holds the employee accountable for achieving results?

2008 IPMA Benchmarking Report How often do poor performers recover and become productive employees? Most respondents (51%) said that their organizations are effective in handling poor performers some of the time, while 35 percent said “most of the time.” At the extremes, six percent said “almost always” and 8 percent said “almost never.”

2008 IPMA Benchmarking Report What outcomes are in place for those who are the bottom level(s) of the performance appraisal system? Note that the percentages add up to more than 100 because respondents were asked to check all that apply.