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Employee's Guide to

Performance Appraisal

Performance Appraisal
For additional copies or if you have questions concerning this guide, please contact your agency personnel office, or: Administration and Information Personnel Management Division Selection Section Emerson Building, Room 126 Cheyenne, Wyoming 82002 ph. 777-7188

Employee's Guide to

DISCLAIMER

State of Wyoming Department of Administration and Information


2001 Capitol Avenue, Emerson Building Cheyenne, Wyoming 82002

At the time this Employee's Guide was published, it was written in accordance with the Wyoming State Personnel Rules. Subsequent revisions to the Personnel Rules could cause conflicting statements. If such a situation should arise, the most current Personnel Rules will always be the official document upon which a ruling will be based or an interpretation will be made.

SUMMARY OF MAJOR CHANGES



One form for all permanent employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 27 Performance planning now documented on form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 17 Midterm review now documented on form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 17 Now three ratings instead of five . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 12 A written summary required for the overall rating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 12 Evaluator's supervisor also signs the employee form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 13 Uniform performance standards for all employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 9

TABLE OF CONTENTS
Section 1: BACKGROUND AND PURPOSE . . . . . . . . 1
Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Performance Planning . . . . . . . . . . . . . . . . . . . . . . . . . Midterm Performance Review . . . . . . . . . . . . . . . . . . The Performance Appraisal Interview . . . . . . . . . . . . Agency Head Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 2 2 2 2 2

Section 2: THE APPRAISAL SYSTEM . . . . . . . . . . . . . 3


Performance Appraisal System . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Appraisal Dates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 How Often and When Appraisals Are to Be Completed . . . . . . . . . 5 Probationary Employee . . . . . . . . . . . . . . . . . . . . . . . 5 Permanent & Non-Probationary At-Will Employees . 6 Employee Changes Positions or Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Evaluators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Multiple Evaluators . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Evaluator's Supervisor . . . . . . . . . . . . . . . . . . . . . . . . 7 Copies of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Goals, Special Projects, and Work Activities . . . . . . . . . . . . . . . . . . 7 Performance Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Performance Standard Definitions . . . . . . . . . . . . . . . 9 Midterm Performance Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Performance Ratings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Rating Scale Definitions . . . . . . . . . . . . . . . . . . . . . . 12 Written Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Employee Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Work Improvement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Goals, special projects, work activities now documented and evaluated . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 7 Appeals process shortened . . . . . . . . . . . . . . . . . . . . . . . . . See Personnel Rules, Chapter 14 Appeals allowed only on overall rating of Needs Improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 12 New mandatory Work Improvement Plan form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 24

Section 3: THE APPRAISAL . . . . . . . . . . . . . . . . . . . . 14


Permanent Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Performance Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Midterm Performance Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Formal Work Improvement Plan required only on an overall rating of Needs Improvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . See page 22

The Performance Appraisal Interview . . . . . . . . . . . . . . . . . . . . . . Prior to the Appraisal Interview . . . . . . . . . . . . . . . . Sample Self-Appraisal Form . . . . . . . . . . . . . . . . . . Probationary Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . First Appraisal Period . . . . . . . . . . . . . . . . . . . . . . . Second Appraisal Period . . . . . . . . . . . . . . . . . . . . .

18 18 19 20 20 21

Section 1: BACKGROUND AND PURPOSE


Background Your performance appraisal is not just a set of instructions for your supervisor to complete a form. It is an important tool designed to establish performance expectations and to evaluate your performance in order to help you develop your full potential. Employee goals and performance are a necessary contribution to the success of the work unit, the agency, and the State of Wyoming in reaching organizational goals and objectives. The State of Wyoming established the Performance Appraisal System on July 1, 1989, by the Wyoming State Legislature, 1989 Session Laws, Chapter 52. The Statute says: "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." This pamphlet is designed to provide employees with some basic information about employee performance evaluations. The development of individual performance is the key to being effective employees. When properly administered, a performance appraisal system can enhance both employee productivity and job satisfaction. All employees need to know how their performance is viewed by their supervisor. Performance appraisal is not a one-way street.

Section 4: WORK IMPROVEMENT PLAN . . . . . . . . 22


Work Improvement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Reappraisal of Needs Improvement Performance . . . . . . . . . . . . . 23

Sample Forms: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Sample Work Improvement Plan . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Sample Probationary Employee Report . . . . . . . . . . . . . . . . . . . . . 25 Sample Permanent Employee Report . . . . . . . . . . . . . . . . . . . . . . 27

HELPFUL ICONS: Throughout this guide look for these icons to find important information... U Mandatory steps K Highly recommended L Useful ideas O Good technique to try

You, as an employee of the State of Wyoming, will play a significant role in the successful use of the performance appraisal system.

Section 2: THE APPRAISAL SYSTEM


Performance Appraisal System
Employees covered by the performance appraisal system must be appraised using the Performance Appraisal System established and administered by the A&I Personnel Management Division.

Purpose
The purpose of the Performance Appraisal System includes:

Written Measurement of Employee Performance Performance Appraisal Training for Evaluators Pay Increases Based Upon Performance
There are three major phases to the appraisal system. They are: A. Performance Planning This step establishes specific goals, special projects, work activities, and work standards for the performance appraisal period. Midterm Performance Review During the year discuss performance and make changes to the plan if necessary. The Performance Appraisal Interview A performance appraisal interview is held between the evaluator and employee to discuss the ratings, achievements, improvements, expectations, and to begin the planning process for the next period.

Coverage
The performance appraisal system covers all employees, including probationary, permanent and non-probationary at-will, except for: (a) (b) (c) (d) (e) (f) (g) Elected State Officials and their Deputies Directors, Deputies, Agency Heads, and Division Administrators who statutorily serve as at-will employees Provisional and contractual employees Emergency Temporary Interns Intermittent

B.

C.

A non-probationary at-will employee is an at-will employee who has no expectation of continued employment and may be dismissed at any time without cause or reason.

Appraisal Dates
All employees covered under the performance appraisal system shall be assigned an appraisal date. The appraisal date of an employee is determined as follows: (1) Employees hired by the State as of July 31, 1989, will have July 1 as an appraisal date. (2) Employees given a probationary appointment after July 31, 1989, their appraisal date shall be the date on which the employee was given a probationary appointment. (3) Employees given a permanent appointment after July 31, 1989, their appraisal date shall be the first day of 3

Agency Head Responsibilities


Each agency head is responsible for ensuring that use of the performance appraisal system complies with statutory provisions and appraisal objectives, and that deadlines and internal equity are met. Agency heads shall ensure that each employee is appraised on job-related performance criteria.

the month in which they were given a permanent appointment. (4) Non-probationary at-will employees shall have the first day of the month the employee received an atwill appointment as their appraisal date. (5) Employees appointed to two positions simultaneously, their appraisal date shall be the first day of the month in which they were given a permanent appointment. (6) A permanent employee separated due to a reduction in force, who has been reinstated within twenty-four months, shall have the same appraisal date as prior to the reduction in force. (7) Probationary employees taking a leave of absence without pay shall have their appraisal date extended by the number of days they are absent. Permanent and non-probationary at-will employees shall have their appraisal date extended for each calendar month they were absent. The following exceptions apply to employees covered by the performance appraisal system: (a) The appraisal date of an employee shall not be extended if the employee is on leave of absence without pay due to a worker's compensation injury, or is on Family Medical Leave.

appraised at least once a year and include a midterm performance review. Whenever concerns over an employee's performance arise, additional appraisals and/or work improvement plans may be conducted at the discretion of the supervisor or the agency head.

Probationary Employee
A probationary employee shall be appraised twice during their probationary period. Both appraisals are to be completed on a separate Probationary Employee Performance Appraisal Report (A&I-PM32). The first appraisal shall be completed during the 5th month of employment. The second appraisal shall be completed within 30 days prior to the employee's appraisal date. Conducting a performance appraisal on a probationary employee does not alter or change their at-will status during their probationary period. Their status will change upon receiving a permanent appointment. Upon the second appraisal of a probationary employee, the agency head or designee signs the Performance Appraisal Report indicating the employee will be given a permanent appointment. If a probationary employee will not receive a permanent appointment, then they shall be dismissed from employment during the probationary period. Probationary periods cannot be extended beyond the original 365 days of continuous employment, unless the employee has been on a leave without pay, thus extending their performance appraisal date by the number of days they were absent.

How Often and When Appraisals Are to be Completed


Probationary employees shall be appraised twice during their probationary period. Permanent and non-probationary at-will employees shall be 4 5

Permanent and Non-Probationary At-Will Employees


Permanent and non-probationary at-will employees shall be appraised at least annually within 90 days before their appraisal date.

Evaluator's Supervisor
The evaluator's supervisor is responsible for reviewing the employee's appraisal for consistency of ratings, adherence to the criteria set up in the plan, checking the overall accuracy of the evaluation, written justification, and documentation.

Employee Changes Positions or Supervisors


If you change supervisors or move to a position in another agency, and are within 90 days of your performance appraisal date, the previous supervisor(s) shall complete the appropriate performance appraisal report on you.

Copies of Records
The original Performance Appraisal Report shall be submitted to the A&I Personnel Management Division. A copy shall be placed in the employee's agency personnel file. Upon the employee's request, the evaluator shall provide the employee with a copy of the Performance Appraisal Report. If the employee receives an overall performance rating of Needs Improvement, the evaluator shall give the employee a copy of the Performance Appraisal Report.

Evaluators
The primary evaluator shall be the immediate supervisor of the employee and shall have at least 90 days of direct supervision of the employee. If this is not possible due to extenuating circumstances, then the agency head shall determine the appropriate evaluator.

Documentation
It is the responsibility of the evaluator to adequately document performance throughout the performance appraisal period and to give the reasons for the overall rating. Evaluators may use a variety of recordkeeping methods. Some might use a diary, performance logs, hand-written records, typed notes, or notes on the computer designated specifically for the employee. They may also keep examples of work or correspondence.

Qualifications
The evaluator shall have received training on the Performance Appraisal System. The training shall be based on guidelines by the A&I Personnel Management Division. Evaluators shall be required to attend continuing personnel evaluation education programs as deemed necessary by the A&I Personnel Management Division.

Multiple Evaluators
Agencies may designate multiple evaluators in some cases. Each evaluator shall meet the requirements given above. The evaluators shall cooperate in the completion of one annual Performance Appraisal Report for the employee.

Goals, Special Projects, and Work Activities


At the beginning of the appraisal period, the evaluator and employee shall list the goals they wish to accomplish during this appraisal period. If the employee is involved or will be involved in any special projects during this appraisal period, these should be noted and recognized in this section. Specific work activities the employee may perform in the fulfillment of

their duties may be listed. The evaluator may also list work activities that need special attention or recognition. This section was designed to allow flexibility. It may be tailored toward the accomplishment of the specific tasks of the position, achievement of individual goals or team goals, and the development of the employee.

Performance Standard Definitions 1. Policies, Procedures, and Planning


Effectively understands, develops, complies, and enforces policies, procedures and regulations related to work activities; establishes short and long-term goals, objectives, and priorities consistent with organizational policy; adjusts to new or changing situations; reacts appropriately to needed changes.

Performance Standards
There are twelve performance standards on the Employee Performance Appraisal Report. Three standards are designated Supervisors Only. However, if an employee is not a supervisor but perhaps a lead worker and the evaluator wishes to include these on the employee's evaluation, they may do so. If the statements do not apply, the evaluator may simply cross out the entire Supervisors Only statement. The performance standard definitions are general statements. Evaluators may expand the definitions to make the standards more specific for individual employees. The evaluator should clearly explain to the employee what level of performance will Meet Expectations or Exceed Expectations for each standard.

2. Analysis and Decision Making


Objectively analyzes available information, considering relevant factors; accepts decision-making responsibility within delegated level of authority; makes decisions promptly and effectively; accepts responsibility for decisions.

3. Teamwork
Develops a work climate conducive to productivity by communicating, sharing information and expertise, and works cooperatively with others in own work unit as well as other work units, sections, and divisions, in order to accomplish the work goals and the agency organizational goals.

4. Dependability
Demonstrates dependability to meet work commitments with a minimum amount of follow-up. Considers their attendance, punctuality, willingness and ability to complete necessary tasks, whether specifically assigned or not.

5. Quantity
Organizes work to use time effectively and efficiently; organizes daily work schedule; and follows through and completes work assignments based upon the work goals, priorities of the work unit and meets specified deadlines.

6. Quality
Work is accomplished in an accurate, complete, neat and correct manner and meets the position's established standards.

7. Communication
Demonstrates effective written/oral communication skills; clearly conveys ideas and information in an acceptable written/oral format that is complete, concise, accurate, and neat. Applies Knowledge and Skills Demonstrates their understanding and use of their skills in work procedures, methods, responsibilities, duties and equipment necessary to successfully perform both frequently and occasionally assigned tasks. Takes initiative to improve skills and gain new knowledge. Works cooperatively, responds actively and sensitively in attempting to fulfill the needs of all internal and external customers such as employees, agencies, and the public.

Midterm Performance Reviews


Your evaluator shall provide you with performance feedback. Evaluators shall conduct at least one midterm performance review with each employee approximately at the midpoint of the appraisal period. If you transfer to another evaluator or agency when your midterm appraisal is due, then the new evaluator shall do a midterm appraisal midpoint during the time you are working for them. For example, if the new evaluator only has six months to evaluate your performance before your performance appraisal date is due, then they shall do the midterm appraisal about the third month of your employment with them. The midterm review provides both of you the opportunity to review the plan and make any necessary adjustments. Additional benefits to the review include: A. B. Comparing perceptions about performance and resolving any differences. Identifying areas where problems exist or are emerging, and providing an opportunity to correct the problem before the end of the performance appraisal period. Praising accomplishments made during the first part of the period. Providing specific feedback and to provide the best opportunity for ensuring goals will be accomplished.

8.

9. Customer Service

10. Employee Supervision (Supervisors Only)


Complies with the State Personnel Rules and agency policies and procedures. Provides employee training and development on the organization's goals, objectives, policies and procedures, defines their scope of authority, responsibilities and duties; monitors job performance, uses the performance appraisal system effectively, and initiates appropriate disciplinary action.

11. Program Organization and Output (Supervisors Only)


Reviews program functions and work flow regularly to determine efficiency and effectiveness; makes modifications or develops new procedures to improve programs; achieves plans and/or objectives of program, department, or agency. C. D.

12. Fiscal and Resource Management (Supervisors Only)


Uses the budgetary system to acquire and allocate funds for meeting specific goals and objectives; plans adequately for necessary resources to complete program tasks; selects and obtains proper resources according to established agency policies and procedures.

Performance Ratings
The rating scale is used on each performance standard. The following behavioral definitions of the rating scale shall be applied:

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Rating Scale Definitions Exceeds Expectations


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.

Signatures
Signatures are required from you and your evaluator on both the Probationary and Employee Performance Appraisal Reports. In addition, the evaluator's supervisor shall sign the Employee Performance Appraisal Report. The agency head, or their designee, shall sign the Probationary Employee Performance Appraisal Report authorizing the probationary employee to receive a permanent appointment. What if you, as an employee, refuse to sign the appraisal? The evaluator shall write on the line designated for the employee's signature, The employee refused to sign the appraisal. The evaluator shall date and sign this statement. Signing the appraisal does not indicate that you agree with the ratings. Your signature means that you and your supervisor discussed the appraisal. If you do not concur with any rating, you may provide written comments that will be attached to the appraisal.

Meets Expectations
This level of performance meets the expectations of the position. Work productivity is acceptable. The day-today performance meets expectations and any shortcomings are generally offset by occasionally exceeding expectations.

Employee Comments
You shall be given the opportunity to attach written comments to the performance appraisal, despite whether the comments are negative or positive.

Needs Improvement
This level of performance 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. If this is the overall rating for the performance appraisal period, then:

Work Improvement Plan


Receiving an overall rating of "Needs Improvement" requires the immediate implementation of a Work Improvement Plan. Refer to Section 4, Work Improvement Plan (page 22) and Chapter 14 of the Personnel Rules.

U a Work Improvement Plan shall be implemented, U you shall be provided with a copy of the report,U
you have the right to file an appeal within twenty days of receiving a copy of your appraisal. (see Personnel Rules, Chapter 14).

Performance Appraisal Interviews


The key to the interview process is the ability of you and your evaluator to develop an open, two-way discussion. It is an opportunity to explore facts and feelings, to develop a plan for successful performance, and to resolve any problems. See page 18 for more details.

Written Summary
The evaluator shall provide a written summary explaining their justification for the employee's OVERALL performance rating for the appraisal period.

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Section 3: THE APPRAISAL


PERMANENT EMPLOYEE Performance Planning
U At the beginning of an appraisal period the evaluator and the employee shall participate in a performance planning interview. The evaluator shall clarify to the employee the performance for each performance standard, priorities and expectations of the position. The evaluator has the responsibility to establish the employee's specific goals, special projects, work activities and indicate those on the performance appraisal form. As much as possible, the employee should be an active participant in this process.
1. To assist you, as an employee, in determining what tasks are to be performed, use the classification specification, the position description questionnaire (PDQ), last year's evaluation, agency/division/section goals, etc. Compare these tasks to the performance standards and find out from your evaluator what performance is needed to meet or exceed expectations. If you have a responsibility for a job task which you feel is not covered in the performance standards, it may be addressed in the goals, special projects, and work activities section. 2. If you are to be involved in any special projects this next year other than the regular daily duties, the evaluator may include these projects so that the performance can be evaluated. 3. K Writing accurate descriptions of goals, special projects, and work activities is probably the most important skill involved in the performance appraisal. This can be a difficult task, but it can be done if you apply the system identified by the acronym

S- SPECIFIC: The greatest opportunity for misunderstanding between employees and supervisors is for performance goals to be too broadly stated. By stating the objective as specifically as possible, you and your supervisor will have a clearer understanding of what is expected during the rating period. For example, a goal to get more computer training should be replaced by attend training courses on WordPerfect 6.0 and Lotus 1-2-3. The first statement is open to differing interpretations of more and training. By being specific, you can more precisely tailor goals to meet your own needs as well to meet the needs of the organization. M- MEASURABLE: Common types of measures are cost, time, quantity, quality, and percentage of change. Without measurements you'll never know if you have actually done what was expected. It is a common misconception that because government does not deal in profit or produce widgets, we cannot measure performance. Measurement in the public sector is a little more difficult, but not impossible. We can, for example, reduce expenditures by x dollars (cost), shorten processing time by x hours (time), serve x more clients per day (quantity), decrease customer complaints from x to y (quality), or increase child car restraint usage by x% (percentage of change). A- ATTAINABLE: This is the area where you can provide yourself some stretch. Goals should be realistic, but not so easy that they are automatic. Nor should they be so pie-in-thesky that you set yourself up for failure. Think possibilities not probabilities. Make sure resources are available (or obtainable) to accomplish the goal and that you are properly trained for the task. R- RELEVANT: Relevance is achieved by linking performance goals to the mission and goals of your organization. Personal development goals should also make some contribution to organizational success. If your business is road repair, the state should probably not be sending you to basket-weaving training. However, if personal goals included training in hazardous material disposal or supervisory development, then they could logically be linked to your organization's goals and mission.

S.M.A.R.T.:

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T- TRACKABLE: As you establish goals with your supervisor, you should also establish the tracking system and timetable you will use to determine progress. Predetermined, periodic checks give you and your supervisor a chance to talk about the specific task at hand. Whether the checks are daily, weekly, monthly or whatever, will depend on the task and your experience and skill at doing that specific task. Multiple tasks will probably mean different levels of ability, so different tracking schedules might need to be established. EXAMPLE OF INEFFECTIVE GOAL SETTING: "Develop a new filing system." EXAMPLE OF S.M.A.R.T. GOAL SETTING:

U The front page of the performance appraisal form will be completed with your name and evaluator, your retirement numbers, the agency number and name. The position numbers, class code numbers and titles will be blank. These areas will be completed during the final appraisal interview. The most current position information is needed for the final appraisal. U Upon completion of the performance planning interview, both you and your evaluator initial the front page in the designated section and date it the day the interview was conducted. U If you request a copy of the performance plan, the evaluator shall provide one. U Any significant changes in the performance plan that may occur
during the performance appraisal period shall be documented and discussed with you.

"Develop by June 1, a user-friendly filing system which can be implemented taking no more than two weeks of Beth Emerson's time (80 work hours). Users will be able to find documents the first time they look, 98 percent of the time. Progress checks will be made on the final Friday of each month until completion."

Midterm Performance Review


U The evaluator shall conduct a midterm performance review with you during the rating period. Upon completion of the midterm review, both you and your evaluator need to initial the front page of the performance review report in the designated section and date it the day the review was conducted. U It is the responsibility of the evaluator to document this review with a written summary, and to keep the documentation for use during the final performance appraisal interview. U The midterm review can be an informal interview. It is designed so that you and your evaluator can compare perceptions of your performance. It is also a time for the evaluator to recognize your accomplishments. Any adjustments to the plan may be made, if necessary. This review also allows you to recognize any problem areas and strive to improve them before the final interview.

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The Performance Appraisal Interview


The performance appraisal interview is a formal meeting between the evaluator and you to document your performance over the appraisal period. If the evaluator and you have maintained open communication and constant feedback throughout the appraisal period, there should be no unanticipated information or surprises for either at the interview.

Employee Self-Appraisal Name ______________________ Date _______


Accomplishments: List your most important job-related accomplishments during this rating period. Attach additional sheets if necessary. ___________________________________________________ ___________________________________________________ ___________________________________________________ Employee Development: Please list any job-related courses, workshops, training, seminars, readings, or staff development you have completed during this rating period. Attach additional sheets if necessary. ___________________________________________________ ___________________________________________________ Resource Needs: Please list anything your supervisor or organization could do to improve your effectiveness on the job. (Consider materials, equipment, policy or procedural changes, training, supervisory support/direction, etc.) Attach additional sheets if necessary. ___________________________________________________ ___________________________________________________ Job responsibilities and performance standards: Do you believe you have a thorough understanding of the job responsibilities described in your Position Description Questionnaire? 9 Yes 9 No Do you believe you have a thorough understanding of the performance expectations described on the Performance Appraisal Report? 9 Yes 9 No

Prior to the Appraisal Interview you should:


L Gather all documentation about your performance, for example, reports, certificates, letters, and any other information that would be helpful in your evaluation. L Gather your most current position information so you can doublecheck the front page of the Performance Appraisal Report.

L If you have been asked to do a self-appraisal, make sure that is completed and thorough. O
Before the appraisal interview, one technique used by many employees and supervisors is the selfappraisal. Your supervisor may ask you for a written self-assessment. A sample employee selfappraisal is shown on the next page. Even if your evaluator does not request one, doing the self-appraisal is a good method to prepare yourself for the interview. This allows you to bring up accomplishments, future goals and interests, areas you feel need improvement, personal development you have completed during the rating period, and development you wish to pursue during the next rating period.

L Coordinate a date, time and place for the appraisal interview with your evaluator.

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L Sign the performance appraisal report. It is the evaluator's responsibility to obtain his or her supervisor's signature. You may also add written comments to be attached to the performance appraisal report. L If you receive an overall rating of Needs Improvement a Work Improvement Plan will be initiated. You shall also be provided with a copy of the evaluation. In this case the overall rating may be appealed but you must file within twenty days of receiving a copy of your appraisal. L Before conclusion of the interview is a good time to establish your next appraisal period by beginning the performance planning phase described earlier in this section. L The original performance appraisal report will be sent to your
agency's performance appraisal coordinator. They will forward the original to the Personnel Management Division. A copy shall be placed in your agency personnel file.

may compare perceptions of performance. This allows you to discuss potential problem areas and enables you to strive for improvement for the remainder of the probationary period if required. If you and your evaluator have maintained open communication throughout the rating period, there should be no unanticipated information or surprises for either of you at the interview.

U You and your evaluator sign the report in Section B. It will be sent to your agency's performance appraisal coordinator. The coordinator will send the original to the Personnel Management Division. A copy shall be placed in your agency personnel file.

Second Appraisal Period


The planning steps for the second period are the same as for the first appraisal period, except check the box for the second appraisal period and write in the second appraisal period dates.

PROBATIONARY EMPLOYEE First Appraisal Period


At the beginning of your employment the evaluator and you shall participate in a performance planning interview to establish the specific goals, special projects, work activities and to clarify the performance expectations for the first appraisal period. The performance plan is written on the back of the Probationary Employee Performance Appraisal Report (A&I-PM32) in the designated area.

U The second appraisal interview shall be completed within 30 days prior to your performance appraisal date. U The second appraisal interview is designed so you and your evaluator can discuss overall performance. Both of you will sign the report in Section A. U If you meet the expectations of the position, then the agency head (or designee) may authorize a permanent appointment by signing the report in Section B. However, if your performance does not meet the expectations of the position, then you may be dismissed without right of appeal. U The evaluation will be sent to the agency performance appraisal coordinator. The coordinator will send the original to the Personnel Management Division. A copy shall be placed in your agency personnel file.

U The first appraisal interview for discussing your performance shall


be completed during the fifth month of employment. The evaluator shall summarize your performance on the back page in the designated area. Coordinate with your supervisor a date, time and place to conduct the appraisal interview. This interview should be scheduled with sufficient notice to allow you to review past performance. After the interview you may make written comments on this page or attach them on a separate page.

U The first appraisal interview is designed so you and your evaluator


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Section 4: WORK IMPROVEMENT PLAN


Work Improvement Plan If your overall performance is rated as Needs Improvement, the evaluator shall discuss with you the areas needing improvement and immediately provide you with a written plan on the Work Improvement Plan form (A&I-PM34) developed by the Personnel Management Division. A written Work Improvement Plan shall be developed every 90 days until your overall performance rating is "Meets Expectations," or other action is taken. If your performance does not improve to "Meet Expectations," other disciplinary measures may be taken up to and including dismissal. A copy of each Work Improvement Plan shall be sent to the A&I Personnel Management Division.

Description of the expectations for improvement for each work


area needing improvement.

Explanation of the consequences if performance does not U


improve during this period (e.g., dismissal, discipline, etc.)

Date when reevaluation will take place. The evaluator shall sign the Work Improvement Plan and provide
you with a copy.

Reappraisal of Needs Improvement Performance


The evaluator shall reappraise your performance not more than 90 days after the overall work performance has been determined as Needs Improvement, and a Work Improvement Plan has been prepared. Should your overall work performance remain rated as Needs Improvement, the evaluator shall prepare another Work Improvement Plan and perform a reappraisal not more than 90 days later. If you have any questions concerning this process, consult with your agency's performance appraisal coordinator or the Personnel Management Division. If overall performance is Needs Improvement prior to you changing positions or evaluators, the new evaluator shall immediately establish an updated Work Improvement Plan. After the new evaluator has had a minimum of 90 days to directly supervise you, the new evaluator shall reevaluate your performance on a performance appraisal report.

U The information included in a Work Improvement Plan includes: Date of the written Work Improvement Plan. Names of the employee and evaluator. Agency name and agency number. The beginning and ending dates of the Work Improvement Plan. Performance areas rated as Needs Improvement. Description of the past performance for each work area needing
improvement.

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A&I-PM32
01-04-96

STATE OF WYOMING PERFORMANCE APPRAISAL REPORT


PROBATIONARY EMPLOYEE
Retirement Number Class Code Agency Name Retirement Number Class Code Agency Name Title Title

Employee's Name Position No. Agency No. Evaluator's Name Position No. Agency No.

EMPLOYEE'S PERFORMANCE APPRAISAL DATE:

____________________________
(month, year)

WHICH APPRAISAL PERIOD IS THIS? (Please check one, and indicate the dates.) __ |__| First Appraisal Period From______________________ To______________________ (Complete Section A Below) (month, day, year) (month, day, year) __ |__| Second Appraisal Period From______________________ To______________________ (Complete Sections A and B Below) (month, day, year) (month, day, year) A. My supervisor has conducted a performance appraisal interview with me and I have been given an opportunity to provide my written comments. ___________________ Date ___________________ Date B. __________________________________________________ Employee's Signature __________________________________________________ Evaluator's Signature

I authorize this employee to receive a permanent appointment. ___________________ Date __________________________________________________ Agency Head or Designee

GENERAL INSTRUCTIONS 1. A probationary employee shall be appraised twice during their probationary period. The evaluator shall complete both appraisals on a separate A&I-PM32. Send the original to your agency's Performance Appraisal Coordinator immediately after each appraisal period. The first appraisal shall be completed during the 5th month of employment. Fill in First Appraisal period information and complete section A. The second appraisal shall be completed within 30 days prior to the employee's appraisal date. Fill in Second Appraisal period information and complete sections A and B.

2. 3.

At the beginning of each appraisal period, list the performance goals, work activities, or special projects.

Summarize the employee's performance during this appraisal period.

Employee Comments:

A&I-PM33
01-04-96

STATE OF WYOMING PERFORMANCE APPRAISAL REPORT


EMPLOYEE

Employee's Name______________________________________ Retirement No.________________ Position No.__________ Class Code__________ Title______________________________________ Agency No.__________ Agency Name___________________________________________________ Evaluator's Name_______________________________________ Retirement No._______________ Position No.__________ Class Code__________ Title_______________________________________ Performance Planning
At the beginning of the appraisal period, initial this area upon establishing applicable goals, special projects, work activities, and the performance expectations for the performance standards.

Date________________

Employee Initials_____________

Evaluator Initials_____________

Midterm Performance Review


Date and initial below upon completion.

Date________________

Employee Initials_____________
To:____-____-____
(month, day, year)

Evaluator Initials_____________ Performance Appraisal Date:__________


(month, year)

Appraisal Period: From:____-____-____


(month, day, year)

EMPLOYEE'S OVERALL PERFORMANCE RATING FOR THIS APPRAISAL PERIOD IS:


_____Exceeds Expectations ______Meets Expectations ______Needs Improvement

Attach a written summary justifying the employee's overall performance. An employee receiving an overall rating of Needs Improvement may appeal the rating. My supervisor has conducted a performance appraisal interview with me, and has informed me of my performance. I have been given an opportunity to attach my written comments. Employee Signature____________________________________________________ Evaluator Signature____________________________________________________ Evaluator's Supervisor Signature__________________________________________ Date_______________________ Date_______________________ Date_______________________

Employee's Name____________________________________________

Retirement No.__________________

GENERAL INSTRUCTIONS
The evaluator shall assign the appropriate performance rating to each performance standard as it relates to the position. For performance standards that are not applicable, simply skip that standard completely and enter N/A. When all areas are completed, assign an overall rating and indicate this rating on the front page of the performance appraisal report. If the overall rating is "needs improvement," a work improvement plan shall be prepared and completed. Comments regarding the employee's performance shall be attached and include the employee's name and retirement number. PERFORMANCE STANDARDS
Exceeds Expectations

RATING
Meets Expectations Needs Improvement

1. 2. 3. 4. 5. 6. 7. 8. 9.

Policies, Procedures, and Planning Analysis and Decision Making Teamwork Dependability Quantity Quality Communication Applies Knowledge and Skills Customer Service
(Supervisors Only)

10. Employee Supervision

11. Program Organization and Output (Supervisors Only) 12. Fiscal and Resource Management (Supervisors Only)

GENERAL INSTRUCTIONS
The evaluator shall list the employee's specific goals, special projects, and work activities in the section below and rate them appropriately. Comments regarding the employee's performance shall be attached. If additional space is needed, please attach separate sheets of paper and include the employee's name and retirement number. GOALS- SPECIAL PROJECTS-WORK ACTIVITIES
Exceeds Expectations

RATING
Meets Expectations Needs Improvement

1.

2.

3.

A&I-PM34
01-04-96

STATE OF WYOMING PERFORMANCE APPRAISAL REPORT


WORK IMPROVEMENT PLAN

____________________________________________________________________ Employee's Name ____________________________________ Evaluator's Name

________________________ Retirement Number _______________ Agency Number

_______________________________________ Agency Name

Work Improvement Plan Dates: From:___________________________ To________________________________ List the performance areas that are rated as "Needs Improvement."

Describe the employee's performance for each area listed above.

Describe the expectations for improvement for each area listed above.

Explain the consequences, if the employee's performance does not improve during this time period.

_____________________________________ Evaluator's Signature _____________________________________ Employee's Signature

_____________________________ Date _____________________________ Date

If additional space is needed, please attach separate sheets of paper and include the employee's name and retirement number.

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