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

2. 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

3. 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

4. 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.

5. 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?

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

7. Performance Management Report

8. 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 _____________________

9. 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

10. 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 ______

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

12. IV.
Describe Performance in Terms of Objectives Sought
weight rating total
______ ______ ______ __________________________________________________
__________________________________________________
______ ______ ______ __________________________________________________
______ ______ ______ __________________________________________________
______ ______ ______ __________________________________________________
______ ______ ______ __________________________________________________
______ ______ ______ __________________________________________________
______ ______ ______ __________________________________________________
TOTAL SCORE ________
______________________________________________________________________________________
V. Comments – Supervisor
________________________________________________
Signature Date
VI. Comments – Employee

13. 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.

14. 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?

15. 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?

16. 2008 IPMA Benchmarking Report
Does the performance appraisal include at least one element that holds the employee accountable for achieving results?

17. 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.”

18. 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.