ICS Learner Guide

Performance Appraisal Toolkit

Society for Human Resource Management

Table of Contents

Performance Appraisal Process

Individual Goals Worksheet

Interim Performance Evaluation

Performance Improvement Plan

Performance Improvement Hints

Counseling and Disciplinary Issues

Pitfalls to avoid when appraising an employee

Performance Management Profile: Example Audit of an HR Function

Employee Development Plan

Instructions for Establshing an Employee Performance Plan

Performance Appraisal Process

Purpose:

This process serves to implement the company’s annual performance review and evaluation process for individuals in all company elements. For the purposes of this procedure, all employees who meet the eligibility requirements for the review cycle will be included.

Process:

►Week 1

Human Resources will distribute preliminary data on employees eligible for review to managers and supervisors with direct reports. This will be accompanied by performance review forms and timelines for completion for all eligible employees.

►Weeks 2-3

Senior Managers and their direct reports will then meet to lay out their respective action plans for conducting the review, distribute forms and direct the completion of the reviews, including employee acknowledgements, and the re-assembly of all completed reviews for a final audit by the vice president.

►Week 4

Each senior manager will prepare a cover report of the review process in accordance with the instructions previously provided by Human Resources and assemble all related review materials to be returned to Human Resources.

►Weeks 5-6

Human Resources will review all submitted materials from business unit senior managers, including a gap analysis to ensure that all employees have been accounted for, and review the distribution of performance ratings provided in the review process. Human Resources will request supporting information for reviews that fall out of normal company parameters that are not explained in the vice presidents’ process cover reports. Performance metrics will be completed, and all performance reviews will be filed appropriately. Finally, Human Resources will advise senior management of the review completion and any outstanding issues related to the performance appraisal process.

Special Notes:

1. If there are ongoing performance review issues with some employees, normally derived from the information provided with company element reports, Human Resources and the company element’s vice president will take appropriate steps to reconcile these issues as circumstances require.

Individual Goals Worksheet

1. Instructions & Guidelines

What are goals?

Goals are statements of end results expected within a specified period of time.

How are goals defined?

For each goal, describe the end result and indicate quantity, quality, time frame, percentages or other specific measures. Each goal should fit into and support the overall strategy of the business Unit.

What are some examples?

To meet or exceed all financial targets set in the annual business plan.
To assure that all employees understand our strategy/tactics, and have incorporated them into the individual goals they have set for themselves and their staff for the year.
To hire, develop and retain people with multicultural skills, where relevant.
To build broker alliances thereby producing growth in the numbers of captives under management
To complete inspection reports within 30 days from last date of inspection using format and inspection protocol described in serving instructions.
To achieve at least _____ billable hours/year.
To consolidate results on a quarterly basis.

When are they set?

Annually, each January.

By whom?

Goals should be set through mutual agreement between employee and supervisor.

How many?

Usually 4 or more. However, each CEO may require a minimum number of goals, or may establish common goals which are to be included on every employee's worksheet.

May they be revised?

Goals may be carried forward from the previous year, revised, added or deleted during the review period as necessary.

Who should have an individual goals worksheet?

Each CEO will determine the group, i.e., all employees will set goals, or all employees but professional and/or technical staff will set goals, or all employees but support staff will set goals, etc.)

Individual Goals Worksheet

Name: ______Date: ______
Position: ______Company/Office: ______
1. Goal:
Year-end comments:
2. Goal:
Year-end comments:
3. Goal:
Year-end comments:
4. Goals:
Year-end comments:
5. Goal:
Year-end comments:
6. Goal:
Year-end comments:
7. Goal:
Year-end comments:
I have read and understand my goals.
Employee: ______Date: ______

Employee Self-Assessment

Performance Review Period: ______

Employee Name ______Date ______
Job Title ______Office ______
Supervisor's Name ______
Employee Instructions:
Please complete and return this 3 page self evaluation to your supervisor by _____.
Your thorough and timely participation in the appraisal process will help facilitate a fair and comprehensive review of your progress and accomplishments since the last performance review *.
* If you have been employed by the company less than a year, substitute references to "since the last performance appraisal" with "since you were hired" and answer the questions accordingly.
Supervisors: Attach completed Self-Assessments to the Employee's Performance Appraisal and return to HR.
List your most significant accomplishments or contributions since last year. How do these achievements align with the goals/objectives outlined in your ___ review?
Since the last appraisal period, have you successfully performed any new tasks or additional duties outside the scope of your regular responsibilities? If so, please specify.
What activities have you initiated, or actively participated in, in effort to encourage camaraderie and teamwork within your group and/or office? What was the result?
To which of the following factors would you attribute your professional development since last year: offsite seminars/classes (specify if self-directed or required by your supervisor), onsite training, peer training, management coaching or mentoring, on-the-job experience, better exposure to challenging projects, other - please describe.
Describe areas you feel require improvement in terms of your professional capabilities. List the steps you plan to take and/or the resources you need to accomplish this.
Studies have shown that high customer satisfaction and employee satisfaction is closely linked. What are your ideas for improving the Company's client and/or employee satisfaction and retention?
State two career goals for the coming year and indicate how you plan to accomplish them.
Evaluate yourself on all factors that apply to you since your last performance appraisal, or date of hire, if employed here less than one year. If a category does not apply to you, indicate N/A.
Rating Scale: 4 - Outstanding 3 - Very Competent or High Level
2 - Satisfactory 1 - Inexperienced or Improvement Needed
Category / Self-Rating
a. Technical Skills (job/discipline area specific)
b. Technical Knowledge(up-to-date on industry/discipline news, articles and best practices)
c. Quality of Work Product (comprehensive, accurate, timely, etc.)
d. Utilization or Productivity
e. Business Development
f. Project Management Skills
g. Computer Skills(i.e. MS Word & Excel, etc., the web)
h. Time Management & Organizational Skills
i. Interpersonal Skills(positive attitude; ability to get along well with co-workers/clients/vendors)
j. Communication Skills - Verbal/Written(proposals/reports, letters, memos, etc.)
k. Innovation or Creativity
l. Collaboration/Teamwork/Mentoring Skills (circle & rate all that apply)
m. Employee Policies (knowledgeable of/compliant with Company policies & procedures)
n. Leadership Skills(applies to anyone - not restricted to supervisory level employees)
o. Professionalism(punctuality, attendance; conduct; responsiveness and follow through)
p. Overall
9. Name any other management personnel, besides your current supervisor, that
you feel should provide input towards your performance appraisal.
Thank you for taking the time to complete the Employee Self-Assessment.
Please return this form to your supervisor by: ______.

Formal Performance Interview Planning Checklist

Be prepared -- know the objectives and goals of the meeting
Time and Place -- choose a quiet, private spot with as few interruptions as possible

3. Conducting the interview:

Create a positive environment and help the employee feel at ease
Give balanced feedback, both positive and negative, but start with the positive
Focus on the job, not the person
Ask questions and allow the employee to provide feedback
When discussing areas for improvement, discuss methods and objectives for improving
Discuss possibilities for advancement, the employee's aspirations and professional development necessary to be a candidate for such future positions (see professional development section).

4. Conclusion:

Summarize and review the important points of the discussion
Restate the action steps that have been recommended and provide a time frame for completion
Make sure employee reviews the appraisal and provides comments
Have employee sign it to acknowledge that he or she has read it (does not signify agreement with the content).

5. Follow-up:

Follow-up with the employee to see how plans are proceeding within the given time frames
Offer the employee assistance in achieving objectives and encourage discussion of successes and obstacles.

CONFIDENTIAL

Interim Performance Evaluation

Name ______Position ______

Supervisor ______Dept. ______

Date of Hire ______

To be completed by the immediate supervisor. Copies will be retained by the employee being reviewed and his/her supervisor. Original is returned to the Human Resource Department.

SECTION 1 - PERFORMANCE REVIEW
Employees are evaluated on each of the factors listed below. Please use space on back for comments if the rating circled is D or U and specify which factor you are commenting on.

CIRCLE ONE
Customer Service / The extent to which the employee provides prompt, high-quality
service to members, staff, vendors and internal/external customers. / O P C D U
Communication / Creates effective working relationships by information sharing / O P C D U
Teamwork / Consensus building and using active listening skills / O P C D U
Achievement / Ability and willingness to achieve organizational and individual goals
by seizing opportunities and learning from experience / O P C D U
Flexibility/Innovation / Initiates new ideas, exhibits creative thinking and grasps
new concepts / O P C D U
Technical Excellence / Apply and develop technical and role specific skills
and organizational knowledge / O P C D U
O P C D U
O P C D U
O P C D U

SECTION 2 - OVERALL PERFORMANCE RATING

Varying degrees of importance should be placed on those factors measuring performance in a given job. The overall performance rating represents a composite of your opinion, judgement and impressions of this person’s performance.

Circle the Bolded word(s) below that best describes the employee

Outstanding / Results significantly surpass expectations. Superior contribution to the objectives of his/her performance in assigned areas of responsibility.
Proficient / Results are very good. Significant contribution to objectives of department and functional area.
Competent / Results are good. Performance is consistent with expectations. No important areas of failure or lack of accomplishment.
Developing / Results do not consistently meet expectations. May lack experience but has the capacity to improve the overall level of performance within a reasonable period of time.
Unacceptable / Performance does not meet expectations.

SECTION 3 - KEY DEVELOPMENT AREAS

Identify 2 - 3 key developmental areas the employee should focus on over the next year. Develop a plan to provide formal or informal training in these areas.

1......

2......

3......
Employee’s Comments:
......
......
......
......
SECTION 4 - APPROVALS/CONCURRENCES

Employee’s Signature______Date ______

(This report has been discussed with me. I understand that my signature does not necessarily indicate agreement; I can make my disagreement, if any, known by a written communication to my immediate supervisor, with a copy to the Human Resource Department.)

Reviewer ______Date ______

Department Head ______Date ______

Human Resources ______Date ______

Performance Appraisal
Name ______Company ______
Date______
Job Title ______Department______
Review Period: From______To______Date of Hire______
Type of Evaluation: O Six Months O Annual
Definition of Performance Ratings:
Exceptional Employee consistently exceeds performance objectives with virtually no detected preventable/controllable errors. Makes significant contributions well beyond normal job responsibilities. Individual requires little direction or supervision.
Exceeds Objectives Employee exceeds performance objectives on a regular basis. Employee is making a valuable contribution to the company. Errors are infrequent and are typically detected and corrected by the employee.
Expected Performance Employee consistently meets but does not exceed performance objectives. Employee is fully competent and is satisfactorily performing the job.
Marginal/Needs Improvement Employee does not adequately accomplish objectives nor fulfill all responsibilities; must improve performance within a designated time period. Or, the employee is new to the position and tasks presently assigned are adequately performed as expected.
Unsatisfactory Unacceptable performance; below expectations. Employee does not accomplish most or all position objectives.
Not Applicable/NA Category does not apply.
1. Performance of Objectives. Summarize the most important objectives undertaken during the review period and comment on the results achieved. Attach additional sheets as needed.
ObjectivesPerformance Results
2. Methods Used to Achieve Results. Consider those behaviors that are critical to job success.
A. Job Knowledge. Technical knowledge and skills, analytical ability, problem-solving skills. COMMENTS:______
______
______
B. Communications. Verbal and written communications, presentation skills, and listening skills. Are communications clear, concise, courteous?
Comments:______
______
______
C. Quality of Work. Accuracy, neatness, thoroughness, completeness of work.
Comments:______
______
______
D. Quantity of Work. Work output, speed, timeliness, effectiveness. Work habits.
Comments:______
______
______
E. Dependability. How reliable is the employee in completing assignments and meeting deadlines? Attendance? Punctuality?
Comments:______
______
______
F. Interpersonal Skills. Does employee work harmoniously and effectively with subordinates, peers, supervisors, and the public? Team player? Shares information with others as needed? Resolves conflicts? Welcomes and seeks constructive feedback on own performance? Cooperative?
Comments:______
______
______
G. Initiative. Does employee work independently? Solves problems? Assumes additional responsibility? Looks for more efficient and cost-effective ways?
Comments:______
______
______
H. Adaptability. Is employee able to adjust to a variety of situations? Flexible?
Comments:______
______
______
I. Decision Making. Uses logical and sound judgment.
Comments:______
______
______
J. Other Factors Relevant to the Position:
______
______
______
3. Performance Improvements
Briefly identify areas showing improvement or areas that required attention from last review.
______
______
4. Employee’s Strengths.
______
______
______
5. Overall Performance Rating. Consider all performance criteria and indicate overall rating, using definitions of performance levels as a guide.
O Exceptional
O Exceeds Objectives
O Expected Performance
O Marginal/Needs Improvement
O Unsatisfactory
6. Recommendations. What are the major goals and accountabilities for the next review period? What are the priorities for the next 6 months?
______
______
______
7. Developmental Plans. What is the plan to build on performance and to support continued professional development? What actions can be taken to improve performance? Are there on-the-job activities or outside programs or training that would help the employee?
______
______
______
8. Employee Acknowledgment.
I have read my job description, understand the principal accountabilities of my position, and understand that this appraisal is based upon my performance in my position.
______
I have read the appraisal and have discussed its contents with my supervisor. I wish to make the following comments:
______
______
______
______
______
Employee Signature: ______Date______
Supervisor’s Signature: ______Date______
Appraisal of Management Skills
This section should be completed on those employees who have supervisory responsibilities. Use the comment section to explain strengths and weaknesses in each area. List specific action needed to correct any deficiencies.
1. Planning and Organization. Forecasting, setting objectives, anticipating changes; securing and budgeting resources, structuring tasks, establishing priorities.
Comments:______
______
______
______
2. Leadership. Ability to take charge. Select, direct, and coordinate activities of others to do better work, assume more responsibility, or prepare for future job opportunities. Coach, motivate, and develop others. Serve as a role model. Make decisions, communicate.
Comments:______
______
______
______
3. Control. Select control points, measure and report results, evaluate and correct performance, direct policy and procedure, operate within budget.
Comments:______
______
______
______

Performance Improvement Plan

TO:
FROM:
DATE:
SUBJECT:Performance Improvement Plan
[REASON FOR PIP]
During the past month [specify dates if available], it has become increasingly evident to your [team leader or supervisor] and me that you have not been performing your assigned work in accordance with what is expected of a[n] [job title]. On [dates of all counselling and verbal warning sessions], you were counselled about this unacceptable performance. To date, there has not been any significant improvement. Company XYZ values you as an employee, and it is your leadership team's intent to make you fully aware of this situation and to assist you in improving your work performance. However, it is important that you realize the responsibility to improve is yours alone.
You are being placed on a written improvement plan. For the next [30, 60, or 90] days, [date, 200__] to [date, 200__], your work will be closely monitored by your leadership team. You must demonstrate immediate improvement in the following areas:
[BODY OF PLAN]
[Identify areas of improvement. Be specific about what needs to be improved. If possible, list objectives with specific deadlines on a separate sheet and attach it to the plan.]
[MONITORING THE PLAN]
[Name the person(s) monitoring the plan] will review your progress on each of the above items requiring improvement every [day or week and time or review]. We trust that in so doing, we can guide you in becoming a contributing employee of Company XYZ.
[OR ELSE]
Improvement must occur immediately and must be maintained. If any portion of this improvement plan is violated at any time during the specified timeframe, disciplinary action to include separation from the company may occur. A decrease in performance after successfully completing the improvement plan may result in being dismissed from Company XYZ without the issuance of another warning or improvement plan.
[CLOSING]
As always, the Open Door Policy is available for you to discuss any concerns.
Your signature acknowledges this discussion. It does not indicate agreement or disagreement with this plan.
______
Employee Signature / ______
Date
______
Leader Signature / ______
Date
______
Witness Signature / ______
Date
TIPS FOR WRITING OBJECTIVES
Define specific performance objectives that need to be met. Objectives should be specific, measurable, achievable, relevant, and time oriented. The recommended format for writing an objective is:
TO: / (Action to be taken)
SO THAT: / (Desired results)
BY: / (MM/DD/YY)
STANDARD: / (Measurement of results)

Performance Appraisal Schedule