December 28, 2015

A. INTRODUCTION

• Enlightened employers recognize that the employees are their most important assets.
• Management should constantly strive to achieve optimum performance from its employees.
• One of the most important and helpful human resources tools for this purpose it the periodic performance evaluation (including a selfevaluation, if utilized).
• It is important to develop an effective performance evaluation process and to ensure that managers and supervisors are properly
• trained to implement the process.
• Proper implementation of a well thought out performance evaluation process will not only optimize employee performance, motivation and morale, but also help avoid or minimize costly legal claims, such as discrimination and retaliation.

B. FREQUENCY OF PERFORMANCE EVALUATIONS

• For new hires – during or at completion of introductory period;
• Annually on employee’s anniversary date;
• Ongoing coaching/counseling throughout an employee’s tenure;
• Following promotion/demotion

C. MANAGEMENT PREPARATION FOR THE APPRAISAL REVIEW

• Evaluator must be knowledgeable of employee’s performance for evaluation period (e.g., prior year);
• Evaluator must be familiar with job description;
• Review personnel fie (especially documentation relating to performance during evaluation period; prior evaluation document);
• Interview all managers/supervisors of employee to obtain input;
• Establish objectives/purposes;
• Select witness for interview (if applicable, anticipate possibility of negative reaction, hypersensitive employee, etc.)
• Timeliness (demonstrates respect)
• Ensure self-evaluation, if utilized, is completed by employee and reviewed by evaluator;
• Complete appraisal form objectively and completely;
• Identify key points to emphasize in interview;
• “Image” review session;
• Determine course of action if there is a negative reaction;
• Prepare for possible violence/threats during or after review session.

D. CONTROLLING AND OPTIMIZING THE ENVIRONMENT FOR THE REVIEW; SELECTING THE TIME AND PLACE

• Private/confidential;
• Quiet setting;
• Uninterrupted session (no calls, no cell phone rings, etc.)
• Convenient venue;
• Comfortable setting;
• Selection of day of week/time of day (take into consideration proximity to weekend, vacation, return from leave of absence, as well as proximity to imposition of discipline);
• Ensure adequate allotment of time for review session;
• Provide employee adequate advance notice of review session.

E. COMMUNICATIONS TECHNIQUES DURING THE REVIEW

• Be professional;
• Calm/unhurried;
• Respectful tone;
• Constructive approach;
• Appropriate use of words;
• Be specific/use examples and avoid vague labels and generalities;
• Avoid for example: misses deadlines; not a team player; uses poor judgment; no initiative; often tardy; error prone; displays poor attitude; has poor appearance.
• Ensure two-way dialogue;
• Consider using Socratic method as appropriate (i.e., pose questions to employee to facilitate two-way dialogue).

F. COMPONENTS OR ELEMENTS OF REVIEW SESSION

• Introduce purpose of session and objectives;
• Review employee self-evaluation, if utilized;
• Review and explain evaluator’s evaluation;
• Concentrate first on strengths;
• Identify and discuss weaknesses and areas in need of improvement;
• Relate evaluation to job description/discuss need to amend job description;
• Identify and discuss goals/expectations for future (ensure clear and attainable);
• Discuss need for training/mentoring/assistance;
• Review and discuss 30-60 day action plan/ performance advisory (if applicable);
• Permit employee reaction to evaluation;
• Address compensation change (if applicable);
• Discuss position change (if applicable);
• Be sure to end on positive note.

G. PITFALLS TO AVOID DURING THE REVIEW

• “Halo” effect (the tendency to avoid providing negative evaluations perhaps because the supervisor fears it will reflect badly on themselves as supervisors if an employee is rated as not performing up to expectations, or because they prefer not to upset the employee with negative feedback);
• Bias/stereotyping (the tendency to base valuations on preconceived notions or perceptions);
• Reliance on vague impressions;
• Reliance on ignorance;
• Emotion;
• Raising of voice;
• Arguing;
• Hurrying;
• Interrupting;
• Closed mindedness (to different points of view);
• Losing composure;
• Losing control of session;
• Dominating discussion;
• “Cross examining”/interrogating;
• Using generalities/vague labels;
• Avoiding “recency effect” (the overweighting of recent occurrences, either favorable or unfavorable, such that previous occurrences tend to be forgotten or receive less consideration than they deserve);
• Avoid “central tendency” (the inclination of evaluator to stick with the safer middle ground of an effective rating due to the evaluator’s reluctance to rate either high or low);
• Avoid the tendency to generalize from an inadequate or unrepresentative sample of the employee’s performance.

H. CONCLUDING THE REVIEW

• Ensure appraisal completed;
• Ensure ample opportunity for employee input;
• Ensure goals/expectations clearly understood;
• Summarize key points;
• Review 30-60 day action plan/performance advisory (if applicable);
• Provide opportunity for employee to write comments;
• Execution by employee of evaluation instrument;
• Consider providing employee copy;
• Ensure positive conclusion (if possible);
• Address possible revisions/rating changes;
• Ensure all management/HR signatures are obtained;
• File copy of evaluation in personnel file.

I. PERFORMANCE MONITORING AND COACHING BETWEEN PERIODIC PERFORMANCE EVALUATIONS

• Constructively coach/counsel as needed;
• Document performance issues as needed;
• Convey praise as appropriate;
• Ensure there are no surprises at periodic evaluation;
• Consider using Socratic method;
• Ensure two-way open dialogue.

J. IMPORTANCE AND USE OF A SENSE OF HUMOR

• Has calming effect (relaxes employee/evaluator)
• Diffuses tense moments/negative atmosphere;
• Helps drive home certain points;
• Do not overuse humor.