Supervisors’ Guide to Performance Appraisals
Office of Human Resources 12/16/2008
Why bother to do performance appraisals? 1.
To set goals for employees, department and organizational improvement.
2.
To inspire and encourage employees to succeed.
3.
To give formal feedback to employees concerning where they stand in terms of job expectations.
4.
To clarify job responsibilities and job standards.
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To reinforce good performance in an official way, so that others will know about it and to improve substandard performance and have documentation that it has been addressed.
6.
For career development.
7.
To document overall performance so there is a written record.
8.
To justify merit raises and as a basis for promotion.
9.
For planning; to give the supervisor information to make decisions about staffing, professional development, resources, or other issues.
10.
As a tool to give the supervisor feedback about his or her own performance.
11.
To communicate in depth, in a manner not typically possible during the everyday press of business.
12.
________________________________________________________ ________________________________________________________
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Planning for the Appraisal: If you evaluate employees informally all year long, you will accomplish two objectives: ♦ No unpleasant surprises when you evaluate them formally later on; ♦ Their performance will improve because they will know exactly what to keep doing and what to stop doing. A leader has an important role in helping improve employee performance. As a leader: ♦ Explain what is expected with detailed information of what is necessary to complete the job satisfactorily; present new information for each new task assigned. ♦ Correct poor performance by offering negative feedback (in a positive manner) immediately and always do it in private; implement a performance improvement plan. ♦ Recognize good performance with frequent positive reinforcement. ♦ Base and record feedback on factual information with a full account of performance. Documenting Performance You will need a way to measure and document performance as it occurs. You might use reports, log sheets (sample log sheet attached) personal observation, monthly reports, complaint/praise comments or letters or other methods. These measuring devices should accurately tell you the extent to which an employee meets his or her job requirements. Whatever method(s) you choose, it is important to keep good records during the year. Research has shown that most supervisors remember only the most recent performance --- perhaps the last six weeks. Unfortunately, many employees mysteriously improve their performance a few weeks before their appraisals, thereby influencing their supervisor to forget several months of past performance. A simple method to keep track of performance is a log or reminder file. With this tool, you need only write a reminder note or phrase about any performance that is particularly good or unacceptable.
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The performance-tracking tool allows you to note and remember specific occurrences during the year and to spot trends or changes in performance. It will also help you monitor your own performance --- the coaching, disciplining and encouraging you must do as their performance changes. Be aware that the performance-tracking tool is only an aid to help you create documentation, along with information from counseling sessions, praise calls or letters and performance appraisals. It should not contain “secrets” you are unwilling to share with your employees, nor should its sole purpose be to discipline or fire an employee. As a supervisor, one of your main goals is to assist each of your employees to reach their potential. Getting Employee Involvement Notify the employee several weeks in advance of the formal appraisal date. Ideally, the employee should be notified 2 – 4 weeks prior to the appraisal meeting. It is a good idea to get the employee involved in evaluating his or her own performance. Ask the employee to evaluate him/herself, using the employee self-appraisal form (copy attached). Some employees will jump at the chance. Others will be reluctant until you tell them the purpose which is to begin a dialogue which will produce a fair and honest appraisal. Still others will be uncomfortable with the idea and will refuse. If this happens, don’t force anyone to do a self-evaluation, it is merely a useful tool. When reviewing the employee’s completed self-evaluation, interestingly, you will find that most employees rate themselves lower than you do. If their self-evaluation is higher than yours, you will know which areas the formal performance discussion must focus on and where to furnish specific examples to prove your conclusions. Preparing the Appraisal Before you write the appraisal, take a look at the Performance Appraisal Organizer that follows. This tool will help you organize your thoughts and focus on the most critical areas.
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Performance Appraisal Organizer 1. What tools do I have ready? A) Job description…………………………………………………………… [ ] B) Performance Tracking Log………………………………………………[ ] C) Last employee appraisal ……………………………………………..…[ ] D) Statistics, reports or other information..……………………………[ ] E) Complaint/praise letters ……………………………………………….[ ] 2. Is the evaluation scheduled in a convenient, private place with enough time reserved for the discussion? [ ] 3. Have I informed the employee of what to expect and how to prepare for the discussion? [ ] 4. What are this employee’s major responsibilities? Have they changed? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 5. What are this person’s major contributions this review period? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 6. What goals were set for this employee? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________
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7. What projects or assignments have been done exceptionally well? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 8. What problem or skill deficiencies have I seen in this employee’s performance? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 9. How much support have I provided? How could I have done better to support his/her performance? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 10. What external obstacles may have prevented him/her from doing his/her best job? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 11. What few specific changes would I like from this employee? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 12. What major changes seem to be coming in the next year which would impact this employee’s job? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________
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13. What special projects or responsibilities could this employee take on next year? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 14. What training or help will he/she need to be successful? ________________________________________________________________________ ________________________________________________________________________ _______________________________________________________________________ 15. What seems to motivate this person and how can I best address his/her needs and wants for the future? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________
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Staying Objective Evaluate performance, not personality Potential Caution Areas: ♦ Attitude ♦ Career ♦ Potential ♦ Job knowledge ♦ Effort The Supervisors’ Guide to Performance Appraisals aims to take some of the frustration out of the process. No “perfect” appraisal format can guarantee an objective appraisal. However, by acquiring good working knowledge of the mechanics involved, you can write a more objective appraisal and discuss it competently and confidently with an employee. The first and most basic rule to follow is to evaluate behavior and performance, not personality. This must start with your discussing and setting performance objectives in terms of either results or behaviors. In other words, you should only measure what the employee does, not who he or she is, in terms of personality or other factors. In fact, the only fair way to evaluate performance is to write a report of what happened during the review period, after discussing what happened, at the time it happened, throughout the year. Many supervisors evaluate background factors that should not be evaluated because they are more subjective, and do not pertain to the employee’s contribution to the job in terms of results or behaviors. Some factors that should not be evaluated are: Attitude Attitude cannot be measured; it is intangible, and is an assumption by the supervisor. However, you can evaluate attitude, write about it, and take action on the basis of the behaviors that the attitude may cause. In other words, evaluate the behaviors you observed that led you to the conclusion that someone had a good or bad attitude. For example, instead of writing that someone was not a “team player,” you would write, “He and I have discussed the fact that three projects in the last four months that required close interaction with other employees were not completed on schedule, because he did not consult others for help, got into arguments on three occasions with coworkers, and did not share
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his progress on the projects with coworkers, even when asked repeatedly to do so.” Career Personal development is a separate issue, different from the performance on the job during the review period. Some people are advancing rapidly in their careers; others are content to stay in the same job at the same level of performance or pay. Either way, it should not be evaluated. Rather, you can discuss and write about plans for personal development on the “development” part of the performance appraisal form. But do not let it influence you when you must rate and narrate exactly how an employee did in the job behaviors and results as compared to what was expected. Potential When you evaluate potential you make an educated guess about what someone might do in the future. Therefore, it is a subjective judgment, not a report about what happened. Deal with potential by setting goals and objectives, and planning assignments and new behaviors that will be necessary to tackle jobs in the future. Job Knowledge What someone knows is not the issue; the issue is what the person does with their knowledge. A person could know a lot, and still not be able or willing to perform the job in question. Job knowledge should cause or enable the behaviors and results that the job requires. So, measure and evaluate those --- an employee who has a great amount of job knowledge should perform better. Effort How hard someone tries should be one of the factors that help produce results on the job. However, we’ve all seen examples of people who try hard, and still can’t get the job done. However, if the effort is there and success is not, look for impediments to performance; do they need to be better organized? Thank, and reinforce in writing, employees who are trying and work with them to find out what is impeding their progress or success. Separate trying from doing, and evaluate whether the employee exhibits the behavior and results that the job requires.
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Writing about Performance When you write comments on performance, try to write behavioral examples that illustrate a trend or prove your ratings, rather than writing conclusions about the performance. For example, do not write “Tara is occasionally hostile to coworkers when her moods affect her.” Rather, you might write, “On three occasions, April 25, July 9 and August 1, Tara engaged in arguments with coworkers, raising her voice and interrupting the department work day.” In other words, prove your conclusions by specific examples. Each main assertion you make should meet two criteria: ¾ Is it related to significant parts of the job, having an impact on organization or service? ¾ Is it demonstrated by hard evidence, either quantifiable or qualitative examples? If you write critical comments, it is important to include what the employee SHOULD have done or must do. For example, “Continuing to argue with coworkers takes time away from productive work, interferes with others’ work and erodes positive work atmosphere. Tara must refrain from arguing, or bring any serious disputes with coworkers to the attention of management.” To be most positive, you may want to use phrases such as “Here are some ways to maximize your effectiveness…” or, “In the future, you might try…” Balance your criticisms with accurate, positive comments and specific suggestions for improvements. Examples of Good and Bad Written Performance Appraisals Instead of Writing: 1. “Always does high quality work in word processing.” Write: 1. “Documents processed by him/her are readable, correctly spelled and helpful suggestions are provided to me on how wording and format could be improved.” Instead of Writing: 2. “Can always be counted on to manage projects well.” Write: 2. “On her three major projects this year, x, y, and z, she communicated the goals, revisions, and progress checks to others
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involved in the projects, and coordinated their assignments so that the projects were completed within budget and ahead of schedule.” Instead of Writing: 3. “Has excellent people skills in explaining information to the public.” Write: 3. “This year, six different customers have complemented his ability to take time to explain complex information thoroughly. In addition, I have noticed his ability to listen to understand the other person’s needs and to answer specific questions, as well as his taking the time to verify whether the other person understands his presentation of the information.” Instead of Writing: 4. “Needs to continue working toward alertness to unsafe conditions.” Write: 4. “He has gotten into three accidents this year, each involving mistakes in following procedures with equipment. He must take the time to read the procedure manual for use of the XYZ equipment, and must follow them step-by-step, asking questions if any part is unclear.” Instead of Writing: 5. “He is not a team player. Sometimes his moods affect his working relationships.” Write: 5. “He has gotten into arguments with coworkers on four different occasions this year. On several occasions, he has also refused to help others when they asked him for work assistance. In addition, he has refused offers to participate in team meetings or work discussions, when his input was needed to plan or complete a project.”
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When you have to write about things which are not easily described Every supervisor eventually finds it hard to address performance that is not easily measurable. If you want to address performance that is not easily measurable, the following steps should help. First, determine the general issues that you want to address. Then under each issue find behaviors that match what you have seen on the job. 1.
The ability to analyze situations, problems and data. Write examples that illustrate the employee’s ability to: • Understand and define problems clearly • Formulate realistic solutions that withstand critical scrutiny by others. Participate constructively in group problem solving • Follow accepted norms and procedures for analyzing problems • Make a decision which was accepted by coworkers, customers, clients, management, etc.
2.
The ability to solve problems and make decisions. Write examples that illustrate the employee’s ability to: • Accumulate relevant information prior to making job-related decisions • Present well-considered alternatives when making recommendations • Make decisions on time • Notify the affected parties prior to implementing decisions • Determine potential causes of the problem • Bring others into the problem solving process to generate discussions of causes and alternative solutions
3.
The ability to use good judgment. Write examples that illustrate the employee’s ability to: • Follow accepted procedures or standards when taking action. • Think through the consequences of an action before proceeding (for example, the costs in terms of money, public perception, confidence, trust, etc. • Inform management and others of current or proposed action, rather than following a course “blindly” • Avoid making repeated mistakes which are similar in nature • Consider how his/her actions may affect other employees, the organization, its customers, etc.
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• •
Think through alternative courses of action before making a decision or taking an action Understand how unusual a given course of action was in terms of the usual practice in your industry or organization
4.
The ability to exhibit creativity. Write examples that illustrate the employee’s ability to: • Generate workable ideas, concepts and techniques • Attempt new approaches to recurrent problems • Simplify and/or improve procedures, techniques and processes • Present information in an attention-gaining and interesting manner • Present ideas to supervisors or others in a manner which increases the other person’s interest, understanding and enthusiasm or the ideas • Challenge conventional practices
5.
The ability to be decisive. Write examples that illustrate the employee’s ability to: • Make decisions on available information • Take action, rather than to delay and discuss • Make commitments and follow through on them • Make decisions and not change them when challenged • Set a clear course of actions, or goal and move toward it directly
6.
The ability to work with other employees Write examples that illustrate the employee’s ability to: • Share information or help others when necessary • Participate in meetings • Give and get others’ input into key decisions, projects, etc. • Assist in training others when needed • Be sensitive to others’ schedules, so as not to interfere with their work efficiency and time usage • Avoid arguments and confrontations with coworkers • Give and get feedback about performance in a constructive manner • Verbally support others’ performance in a positive, supportive manner
7.
The ability to work with those outside the work group, including students, parents, donors, vendors and people in other departments Write examples that illustrate the employee’s ability to:
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• • • • • • •
Present the department or organization’s point of view, policy or decision in a firm, clear way Obtain specific commitments and compliances from others to policies, decisions, etc. Listen to others’ questions, complaints and comments by demonstrating that one has heard accurately Accept others’ emotions, including anger, by reducing tension in the situation Actively support the department and organization’s image by making positive comments and refraining from negative ones Courteously speak in a manner which shows respect for the other person Build rapport when needed
8.
The employee’s ability to manage his or her schedule (time management). Write examples that illustrate the employee’s ability to: • Set priorities on a short and long-term basis • Adhere to schedules and plans set by others • Plan projects and other activities • Be punctual in regard to daily work schedule, meetings and other appointments • Adhere to work schedules, including break times, deadlines, time off allowances and other limits • Inform supervisor and others when he/she cannot be punctual and present • Change or add to normal working hours when necessary • Organize his/her schedules, projects and responsibilities
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The employee’s ability to be engaged. Write examples that illustrate the employee’s ability to: • Take on new and challenging assignments • Raise his/her level of performance by taking specific steps to do so • Show interest in the performance of assigned tasks • Actively support organizational goals and other employees’ efforts • Anticipate problems and develop alternatives in advance • Attempt to keep knowledge current in the field of expertise • Respond with constructive activities after counseling or feedback indicates a need for performance improvement • Have a plan for growth in skills and career • Initiate new activities • Perform tasks without direction from management or others
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• • •
Perform tasks in addition to those assigned Show non-verbal and verbal indicators of interest in the job and willingness to perform it Commit to specific goals and follow through enough to reach them
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Performance Appraisal Discussion Planning the Discussion Plan your strategy for the interview, grouping your points for maximum impact. Determine which are likely to cause the most controversy. Then prepare an approach which accepts, yet answers the employees’ objections in an open, non-threatening way. Before the appraisal discussion, take a moment to look at the Appraisal Discussion Focus below as part of the preparation for the appraisal interview. Appraisal Discussion Focus If you are rating the employee…
Employee’s likely future will be…
Your discussion objective should be…
Exceeds Expectations
Promotion
Consider opportunities
Growth in present assignment Make development plans
Meets Expectations
Broadened assignment
Review possibility of extending responsibility
No change in duties
How to maintain performance level Consider possibilities
Promotion
Growth in present assignment Make development plans No change in duties Needs Improvement
Performance correctable Performance uncorrectable
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How to maintain or improve performance level Together, create performance improvement plan and gain employee commitment Review possible reassignment or prepare for termination
Preparing for the Discussion 1.
Schedule the Meeting
Establish a time for the discussion when the employee is likely to be able to give his/her complete attention to the conversation. Make sure that the employee has time to adequately prepare. Generally an hour should be enough for the conversation. If it is not, you can always schedule another meeting. Schedule the meeting in a private place where you will not be interrupted. If you do not have office space, or an office in a high traffic area, try to reserve a conference room, or other “neutral space” for the discussion. 2.
Prepare the Employee for the Discussion
If you have done your homework, and discussed performance all year long, the employee should have nothing to fear. In that case, tell the employee that you will simply review your past conversations and there is nothing to worry about. If something might be discussed which would upset the employee, ask the employee to review their job responsibilities and be ready to talk about how he or she did. 3.
Be Ready to Justify Your Ratings
Through statistics, observations (yours or others), or other means, you may have to explain to the employee how you arrived at your ratings. Have everything ready and think through what you will say and what you will show the employee. 4.
Prepare to Create the Right Feeling
Contrary to conventional wisdom, it is not always best to sit in an informal arrangement facing 45 degrees from the employee and away from the desk. Although this may be a fine way to set up a relaxed atmosphere with those employees with whom you have already achieved good relationships, for others, it may appear threatening or phony. Whatever your relationship with the employee has been during the review period, it will most likely be the same during the appraisal. Some employees may want or need you to be more formal and sit across a desk. By far, the most important aspect of an appraisal discussion is the extent to which you can create a dialogue, not a monologue. Most supervisors talk 80-90% or more when they “deliver” an appraisal. A better approach would be to talk 60% of the time, trying your best to listen and build on the employee’s ideas for causes, reasons and the
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background for performance. If you listen to the underlying reasons for performance (or nonperformance), you may discover such issues as: Lack of Training Unclear Expectations Personal Problems Lack of Motivation Lack of Resources Lack of Organizational Support Peer Pressure Lack of Clarity about Rules, Standards or Goals Lack of Reinforcement for Good Performance Lack of Negative Reinforcement for Poor Performance Suggested Agenda for conducting a 2-way Performance Appraisal Discussion 9 9 9 9 9 9 9 9
Build Rapport Set Agenda Discuss Primary Responsibilities and Key Results Discuss Problem Areas Solve Problems Together Establish Commitments and Agreements Set Goals and Objectives End on an Upbeat Note
Build Rapport Relax. Be friendly and open to discussion and if the time and discussion is right, smile. Put the employee at ease. Set Agenda Discuss the purpose, how long the discussion will take, what order the form will be discussed in, etc. Be positive. Example: “I’m going to review your responsibilities and then I’d like to simply start at the top of the form and work my way down.” Or: “I’d like to start with what I consider to be your real successes over this review period. Then, let’s spend a little time on ways you could possibly improve and be even better. My goal here is your success.” Discuss Primary Responsibilities and Key Results Exchange information. If possible, have the employee present his/her appraisal first. If the employee has not done a self-appraisal, and hasn’t thought much about the appraisal, present your evaluation by quickly giving an overview, focusing primarily on the final ratings. - 18 -
Then give the employee time to react. Take notes and encourage the employee to speak. Ask questions. For example: “What do you feel went particularly well for you this year?” “What did you feel good about achieving this review period?” “What would you like to have changed or done differently?” “Are you having any kinds of problems getting work done?” “One of your responsibilities is…. How is that going?” “What obstacles got in your way this year which might have kept you from achieving your best? How have you tried to overcome them?” “Where do you think you could improve?” “What do you need from me (or management) to make your job easier or better?” Generally, it is best to focus on positive results first; describe good performance and any improvements you have noticed before presenting negatives. Discuss Problem Areas For problem areas, mention your concerns, then ask questions and listen to explanations, paraphrasing perceptions and main points. Agree with the points of the employee’s argument with which you can. Encourage the employee to give specific examples of his/her conclusions. After you have heard the employee’s point of view, you may provide examples that illustrate your own contentions. For example: “We’ve discussed in the past your tendency to sometimes miss deadlines. How do you feel you’ve progressed in that area? (Listen and repeat what you hear.) “First, let me tell you that I agree with some of the points you’ve made.” (List points of agreement.) “Now let me describe my reasons for what I wrote (or rating I’ve given).” Slowly describe the reasons and be aware of the employee’s reactions. Don’t change the appraisal unless you have heard new information. Distinguish between your perceptions and what is fact. It’s okay to have perceptions and to respect the employee’s perceptions as well, but be open to the fact that they might be incorrect. Solve the Problems Together At this point, engage the employee in a problem solving discussion. For example you might say: “I’d like to work with you to solve this in the future…” “What do you suggest is a fair solution to these problems?” “What can we do to correct it?” “What options do you see here?” “How could you have done that better?” “We need to work out a plan to…”
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If you refuse to argue or continue to focus on future performance, most employees will participate. Be careful to let the responsibility for improvement rest on his/her shoulders. Put your expectations for improvement in a positive context. For example: “Some ways you can improve your effectiveness are…” “A strategy I’ve seen used effectively would be for you to…” Establish Commitments and Agreements Be prepared to request what you want, specifically and without apologies. For example: “What I am requesting is that you take over the responsibility to keep me informed of each week’s progress every Friday before 4:30.” Another approach you can take is to ask the employee to set his/her own goals and commitments. Set Goals and Objectives “So what would you be willing to commit to doing? By what date?” “What will you need from me to get you there?” “Let’s set up some milestones and checkpoints.” “What responsibilities would you like to discuss changing or adding?” “An area I’d like to see you tackle is the problem we’ve had of… Let’s set an objective for solving it.” End on an Upbeat Note Summarize the accomplishments of this discussion. Be positive about the future. For example: “Let’s restate what we agreed upon…” “I’m feeling good about what we discussed and I’m glad we had a chance to talk. You are going to have a great year!” “I count on you!”
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Bad News Discussion If you sense a bad news discussion, when you must evaluate someone as less than acceptable, you will want to use the following checklist: 1. 2. 3. 4.
5. 6. 7.
Do I have all the facts? Can I back up my assertions with facts and specific examples? Do I know exactly what I am asking the employee to do? Before confronting the employee, I need to know: A) Is it a training issue? B) Is it a disciplinary issue? C) Are there any obstacles in the organization preventing good performance? (Low staffing, unclear expectations or competing priorities) D) Does he/she know what is required? Am I ready to speak about the problem without blaming and accusing? Can I balance my negative comments with a few positive ones? Am I committed to helping the employee succeed yet giving him/her the responsibility and accountability for success?
The best appraisal discussions are based on plenty of active listening, a commitment to problem solving rather than faultfinding, and a nonjudgmental, straightforward exchange of views. If you anticipate that the employee will be defensive, remember to go slowly; if you want him or her to understand you, you will first have to understand him or her. Paraphrase what you understand to be his or her point of view, and try to find a common goal or some points to agree on. For example, you might say, “Can we agree that we both want the calls to be handled quicker? What do you think might be some ways of accomplishing that?” Remember that your ultimate objective for the appraisal interview is understanding, not necessarily agreement. At some point, you may have to tell the employee, “I am the one who is responsible for this evaluation and part of my job is to make the final decision about ratings.” When your discussion is over, make sure the employee signs his or her evaluation, even if he or she disagrees. If the employee refuses to sign it, initial it yourself with the words, “(Employee’s name) refused to sign this evaluation, but received it on (Date).”
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Encourage the employee to write his or her comments about the appraisal. Likewise, if the employee writes lengthy critical comments, you should write a return memo promptly which reviews the employee’s comments and concerns, and which offers the opportunity for the employee to discuss these matters at any time.
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Checklist for Performance Appraisal Discussion Did You:
1. Put the employee at ease?.....…………………………………… [ ] 2. Explain the purpose and your agenda?.......…………………..…[ ] 3. Get the employee’s self-evaluation?........................……............[ ] 4. Focus on positives before you talked about negatives?..............[ ] 5. Listen and build on the employee’s ideas for improvement? …………………………………………….…..[ ] 6. Ask how you can help and offer your help, if appropriate?........ [ ] 7. State specifically what you want for performance outcomes? …………………………………………………[ ] 8. Explain how the employee could receive a higher rating next time? …………………………………………………[ ] 9. Allow conflict to be expressed openly and invite the employee to help you solve any problem?.........………….…….[ ] 10. End the discussion with specific commitments, goals, etc.? …………………………………………………….. …[ ]
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