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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
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.
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
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
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
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.
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
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.
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.
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.
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 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.
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.
8.
9. Customer Service
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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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:
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).
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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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."
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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.
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.
Date when reevaluation will take place. The evaluator shall sign the Work Improvement Plan and provide
you with a copy.
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
Employee's Name Position No. Agency No. Evaluator's Name Position No. Agency No.
____________________________
(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.
Employee Comments:
A&I-PM33
01-04-96
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_____________
Date________________
Employee Initials_____________
To:____-____-____
(month, day, year)
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)
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
Work Improvement Plan Dates: From:___________________________ To________________________________ List the performance areas that are rated as "Needs Improvement."
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.
If additional space is needed, please attach separate sheets of paper and include the employee's name and retirement number.