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State of WyomingState of WyomingPerformance Performance Appraisal System for Appraisal System for SupervisorsSupervisors
ObjectivesObjectivesEducational Goal:
Know the basic elements of the Wyoming Performance Appraisal System.
Learning Objectives: - Identify performance appraisal dates for all employees
covered under the performance appraisal system.- Know the three phases of a performance appraisal.- Know how to create effective goals with your employee(s).- Know how to conduct a meaningful appraisal.
IntroductionsIntroductions
What has been your experience with performance appraisals as being evaluated or as an evaluator?
What topic or question do you want to be sure is addressed during this training?
Please answer the following questions:
Why do we have Why do we have appraisals?appraisals?Major reasons why:- Knowledge of what employees are doing- Productivity monitoring- Job satisfaction- Career Counseling- Documentation for discipline- Planning future work activities or projects- Communication between supervisor and employee- Written measurement of employee performance
Wyoming Statute – WS 9-Wyoming Statute – WS 9-2 -10222 -1022“This system shall measure performance in writing as objectively as possible. The system shall relate differences in performance levels and provide a means of employee advancement within classification pay grades. Evaluators shall be trained in performance appraisal prior to assessing the performance of any employee. Evaluators shall be required to attend continuing personnel evaluation education programs as deemed necessary by the Personnel Division. All employees subject to appraisal may respond to the appraisal of their performance in writing.”
Employees covered Employees covered under performance under performance appraisalsappraisals
All probationary and permanent
employees are covered.
Employees Employees notnot covered under covered under performance performance appraisalsappraisals- Elected State Officials and their deputies- Directors, Deputy Directors, Agency Heads and Division Administrators who statutorily serve as at-will employees
- Emergency- Temporary / Intermittent- Interns- Provisional and contractual employees- Attorney General’s Office *
When are PA’s due?When are PA’s due?
Hired on/before 7/31/89 PA Date = July 1st
Permanent Employees
Hired after 7/31/89PA Date = 1st day of
the monthof permanent status
When are PA’s due?When are PA’s due?
> The first day of the month the employee was given a permanent appointment.
> 365 days after given the probationary appointment. 10-10-1998 to 10-9-1999
> Performance appraisal date is now October 1, (10-1) of every year.
Permanent Employees
When are PA’s due?When are PA’s due?
Probation after 7/31/89Date of probationary
appointment
Probationary Employees
Example: Jack was given a probationary appointment on October 1st, 2007. His final appraisal date would be Oct. 1, 2008.
Probationary Probationary EmployeesEmployees
Probationary Employee: an at-will employee who has no expectation of continued employment and may be dismissed at anytime during the probationary period without cause or reason.
When are PAs to be When are PAs to be Completed?Completed?Probationary employees
are appraised twice:
1st appraisal- completed during 5th month of employment
2nd appraisal- completed 30 days prior to the employee’s appraisal date
Probationary Appraisal
Dates
5th Month
30 Days Prior to Appraisal
Date
When are PAs to be When are PAs to be Completed?Completed?Permanent Employees:
Appraised annually within 90 days before their appraisal date.
When are PAs to be When are PAs to be Completed?Completed?Employees Changing Positions, Evaluators or
Agencies:
If employee is within 90 days of their appraisal date, the previous evaluator should complete the appraisal.
The new evaluator is responsible for establishing a new planning phase, conducting a midterm review and final performance appraisal report.
The employee’s performance appraisal date does not change!
EvaluatorsEvaluatorsEvaluators must be the direct supervisor with at least 90 days of supervision over
the employee.
Evaluators shall have received training on the Performance Appraisal system as
prescribed by A&I-HRD.
“Teamwork is a lot of people doing what I say.”
Marketing Exec. of the Citrix Corporation
Winning quote in a ‘Dilbert Quotes’ contest
Multiple EvaluatorsMultiple Evaluators
- Must be designated by agency
- All evaluators must meet minimum qualifications
- Cooperate in completing one Performance Appraisal report for the employee
Evaluator’s Evaluator’s SupervisorSupervisorResponsible for:
Consistency of ratings
Adherence to criteria set up in the plan
Checking the accuracy of:The evaluationWritten justificationDocumentation
SignaturesSignatures
1st
Probationary PA
FinalProbationa
ry PA
Permanent
Employee PA
Work Improvement
Plan
Employee
X X X X
Evaluator X X X X
Evaluator’s Supervisor
X
Agency Head
X
SignaturesSignaturesIf the employee refuses to sign:
- Evaluator writes “The employee refused to sign the appraisal.”
- Evaluator signs and dates
- Evaluator gives a copy to the employee.
Employee CommentsEmployee Comments
The employee must be given the opportunity to attach written comments (per Wyoming Statute – WS 9 - 2 - 1022).
Copies of RecordsCopies of Records
Submit in a timely manner
Copy for agency personnel files.
Copy of Performance Appraisal given to the Employee.
Mandatory if employee’s Overall Rating is “Needs Improvement.”
Performance Performance Appraisal CycleAppraisal Cycle
Continuous Performance
Review, Documentati
on and Feedback
Performance Appraisal Interview
Work Plannin
g Session
Informal Feedback Session
Three Phases of PAThree Phases of PAPerformance Planning
Midterm Performance Review
Performance Appraisal Interview
Establish expectations
Establish work goals for performance period
Discuss performance for past few months
Make changes for goals/projects if necessary
Discuss individual and overall ratings
Begin planning process for next performance appraisal period
EstablishEstablish Expectations Expectations
- Expectations explain how the performance standards apply to the employee’s job on a day-to-day basis
Performance Planning
Definition of GoalsDefinition of Goals
- Goals are projects or assignments that an employee is expected to accomplish during the performance appraisal period.
- Goals may be related to specific, ongoing responsibilities that are a regular part of the job, or may be based on particular assignments or “special projects” that will be accomplished during the performance measurement period.
Performance Planning
Establishing GoalsEstablishing Goals
1. What is the major function of the employee’s job?
2. What are the major outputs of the position?
3. How would the organization be impacted if the position did not exist?
Performance Planning
Establishing GoalsEstablishing Goals
Activities vs. GoalsFor the manager of a bowling alley, oiling the lanes
& cleaning the pin-setting machines are the activities – ensuring that all lanes remain operational at least 90% of the time is the goal.
For a recruiter, interviewing is the activity – making a hiring recommendation or selection is the goal.
For a manager, delivering performance appraisals is an activity – ensuring that employees meet or exceed individual goals through an ongoing process of performance management is the goal.
Performance Planning
Goal StrategiesGoal Strategies
S M A R T
Use the S.M.A.R.T. system to create effective performance goals for your
employees! “If you’re bored with life-you don’t get up every
morning with a burning desire to do things - you don’t have enough goals!”
Lou Holtz
Performance Planning
Goal StrategiesGoal Strategies
SPECIFIC:
Make sure goal statements are specific. If the goals are too broad, you will have a difficult time measuring success.
NON-EXAMPLE: “Jane will do more projects this year.”
EXAMPLE: “Jane will successfully complete two additional projects this year. Those projects are the Community Employment Plan and the Century Business Plan.”
Performance Planning
S M A R T
Goal StrategiesGoal Strategies
MEASURABLE:
- Measurements include cost, time, quantity, quality and percentage of change.
Performance Planning
S M A R T
Goal StrategiesGoal Strategies
ATTAINABLE:
“Goals should be realistic, but not so easy that they are automatic.”- A&I Evaluator’s Guide to Performance Appraisal, pg. 20
Performance Planning
S M A R T
Goal StrategiesGoal Strategies
Link your employee’s goal to
the mission and vision of the organization!
Performance Planning
S M A R T
RELEVANT:
Goal StrategiesGoal Strategies
Establish periodic checks on your employee’s progress with their projects/goals
Helpful Hint!
Take the time to periodically check your employees’ progress! This will show them that you have interest in what they are doing and you can resolve problems as they arise and not after the fact!
Performance Planning
S M A R T
TRACKABLE:
Cast Goals in Clay, Cast Goals in Clay, Not ConcreteNot Concrete
1. Goals may change during the appraisal period.
2. Regularly revisit goals with the employee.
3. Give feedback to the employee.
4. Modify goals as necessary.
Performance Planning
ExerciseExercise
- Break into groups- Use Administrative Specialist 4 Handouts- Pick a Performance Standard and set a
Performance Expectation- Then develop a SMART goal for the “Goals –
Special Projects – Work Activities” section- Complete A&I-PM33 Form (Except for
Ratings)
S M A R T
Mid-term Performance Mid-term Performance ReviewReview
“The evaluator shall conduct at least one
midterm performance review with the
employee.”
A&I Evaluator’s Guide to Performance Appraisal,
Page 11
Midterm Performance Review
DocumentationDocumentation- Evaluator must adequately
document performance. - Comments must be job-
related.- Stick to the facts.- Identify goals and
standards and how the employee achieved or did not achieve them.
DocumentationDocumentation
Who is the documentation about?
When did the performance occur?
Where did this occur?
What was the performance (in relation to goals & standards)?
Why are you documenting this performance?
In your documentation:
Answer the Five W’s
DocumentationDocumentation
Avoid subjective comments that focus on your judgment of the employee…
Non-Example: “The employee can’t get the work done because the employee is lazy.”
Example: “The employee fails to meet established deadlines. I received the monthly training report late each of the last three months.”
Conducting the Conducting the Performance Performance AppraisalAppraisal1. Review & discuss task assignments
2. Review individual strengths3. Review individual development needs4. Acknowledge & discuss differences5. Define new or change old objectives6. Set follow-up data and meeting to
review goals and discuss future expectations.
PA FormsPA Forms
A&I-PM32 - for probationary employees
A&I-PM33 - for permanent employees
A&I-PM34 - for Work Improvement Plans.
Performance Appraisal forms are available in hard or electronic formats. Contact your agency HR Representative or A&I-HRD.
Performance Appraisal Interview
Performance Performance StandardsStandards
The 12 Performance Standards
Reference Handout
Policies, Procedures and Planning
Analysis and Decision Making
Teamwork
Dependability
Quantity
Quality
Communication
Customer Service
Employee Supervision (Supervisors Only)
Applies Knowledge and Skills
Program Organization and Output (Supervisors only)
Fiscal and Resource Management (Supervisors Only)
Performance Appraisal Interview
Performance RatingsPerformance Ratings
Exceeds Expectations
Meets Expectations
Needs Improvement
“This level of performance consistently exceeds expectations for the position. The employee’s performance contributes significantly to the attainment of the work unit goals and objectives in a way that is important and highly obvious.” - A&I Evaluator’s Guide to Performance Appraisal, Pg. 12
“Above and beyond the call of duty!”
Performance Appraisal Interview
Performance RatingsPerformance Ratings
Exceeds Expectations
Meets Expectations
Needs Improvement
“This level of performance meets the expectations of the position. Work productivity is acceptable. The day-to-day performance meets expectations and any shortcomings are generally offset by occasionally exceeding expectations.” - A&I Evaluator’s Guide to Performance Appraisal, Pg. 12
Performance Appraisal Interview
Performance RatingsPerformance Ratings
Exceeds Expectations
Meets Expectations
Needs Improvement
“This level is often below expectations for the position. The employee requires closer supervision and needs special urging, reminders, pressure and follow through to get the work accomplished. Improvement is needed and may require a Work Improvement Plan.” - A&I Evaluator’s Guide to Performance Appraisal, Pg. 12
Performance Appraisal Interview
Performance RatingsPerformance Ratings
Needs Improvement
REMEMBER! “If the employee receives an overall rating of Needs Improvement a Work Improvement Plan shall be implemented immediately.” - A&I Evaluator’s Guide to Performance Appraisal, Pg. 12
Performance Appraisal Interview
Calculating RatingsCalculating Ratings
Option #1
Exceeds Expectations: If half or more of all areas are rated as ‘Exceeds Expectations’ with the remainder as ‘Meets Expectations’ then the overall rating would be ‘Exceeds Expectations’.
Meets Expectations: If half or more of all performance areas are rated as “Meets Expectations” with the remainder as ‘Exceeds Expectations’ and/or ‘Needs Improvement’ then the overall rating would be ‘Meets Expectations’
Needs Improvement: If more than half the areas are ‘Needs Improvement’ with the remaining areas rated as ‘Meets Expectations’ then the overall rating would be ‘Needs Improvement’.
A&I Evaluator’s Guide to Performance Appraisal, Pg.12
3 Recommended Options for Establishing Rating Scores
Option #2 Option #3
Calculating RatingsCalculating Ratings
Option #1
Visual diagram of Option #1
Exceeds Expectations
‘Exceeds Expectations’
‘Meets Expectations’
= +
1/2 OR MORE AREAS REMAINING AREAS
Meets Expectations
‘Meets Expectations’
‘Exceeds Expectations’ and/or ‘Needs Improvement’
= +
Needs Improvement
‘Needs Improvement’
‘Meets Expectations’
= +
OVERALL RATING
Calculating RatingsCalculating Ratings
Option #1
Exceeds Expectations- “Depending on the impact of the performance to the work unit or agency, the evaluator may choose to give the employee an overall rating of ‘exceeds expectations’ even though the rest of the employee’s performance meets expectations. This exceptional performance must be documented on the Performance Appraisal Report and the evaluator is also required to provide a written justification of the overall rating.” A&I Evaluator’s Guide to Performance Appraisal pg. 13.
3 Options for Establishing Rating ScoresOption #2 Option #3
Calculating RatingsCalculating Ratings
Option #1
Assign values to the Performance Ratings.
Exceeds Expectations = 3
Meets Expectations = 2
Needs Improvement = 1
Average the values in all relevant categories including performance goals to determine overall rating. You can round decimals up to the next whole number for .5-.9 and down to the next whole number for .1 to .4.
3 Options for Establishing Rating Scores
Option #2 Option #3
Work Improvement Work Improvement PlanPlan - Required if the employee
received overall rating of Needs Improvement.
- Must give employee copy of evaluation.
- Supervisor must advise employee of their appeal rights (reference Chapter 14 Section 16 and Chapter 12 ).
Appeals ProcessAppeals ProcessNotice of performance appraisal rating
> Evaluator provides employee with a Performance Appraisal with an overall rating of “needs improvement.”
Request for reappraisal> Employee shall have 20 days from receipt to submit a
“request for reappraisal” to the performance evaluator.
Response to request for reappraisal> Within 10 days of receipt of “request for reappraisal”
the evaluator must respond to the employee> Failure to respond to the request for reappraisal;
employee appeals to the agency head.
Appeals ProcessAppeals ProcessRequest for review
> If no change in rating by evaluator, the employee shall have 10 days to submit written request to agency head.
Response to Review> The agency head shall respond to
employee within 10 days.Appeal to State Human Resources
Administrator> Within 10 days.> State HRA then has 45 days to respond.
Contact:
Your Human Resources Professional or Chuck Crews (777-6742 / ccrews@wyo.gov)
Questions or Feedback?
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