Classified IT Performance Appraisals

Completing a Performance Appraisal for Employees in Classified Information Technology Positions

INTRODUCTION

The variable pay program for information technology (IT) employees is designed to support and promote organizational effectiveness through improved performance at the individual and group level, and reward employees for their contributions.

Performance appraisal is a process, not just a piece of paper. This appraisal system focuses on the future, as well as the past. It provides a way for assessing achievements, building relationships, and incorporates the principles and strategies that encourage success.

The performance appraisal process and the associated appraisal forms are designed based on the three (3) competency levels for all IT series classifications. There are 3 forms, one for each competency level. Thus, all competency level 1 IT positions, regardless of the classification series, should be evaluated using the “Competency Level One” evaluation form, all level 2 positions using the “Competency Level Two” form, and so on. For example, an Operating Systems/Network Analyst 1, an Information Technology Consultant 1, and an Analyst Programmer 1 should all be evaluated using the Competency Level One form.

Following are detailed instructions for the appraisal process. Further assistance is available from your Human Resources Department.

SECTION ONE: EMPLOYEE INFORMATION

Employee Name: First name and last name of the employee whose performance is being evaluated.
Identification Number: The employee’s identification number that is used for payroll purposes.
Department: The department where the employee is assigned.
Classification Title: The classification title (series) for the employee’s position.
Classification Number: The classification number.
Competency Level: Indicates whether the employee is classified as Competency Level 1, 2 or 3.
1. Competency Level 1 - Performance Appraisal (PA) Form for all Competency Level 1 positions regardless of IT Classification Series,
2. Competency Level 2 - PA Form for all Level 2 positions, and
3. Competency Level 3 - PA Form for Level 3 positions.
Position Number: The position number of the employee’s job.
Evaluation Period: The beginning and ending dates for the period covered by the evaluation.
Salary: Check whether the employee’s salary is “at or below” the control point of the salary range, or “above” the control point, for the particular IT classification series.
Purpose of Rating: Check whether the evaluation is for completion of trial service or annual performance review.

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SECTION TWO: COMPETENCIES

COMPETENCY/PERFORMANCE STANDARDS

There are certain competencies and performance standards categories that are used to evaluate the performance of all information technology series classifications in the Oregon University System (OUS). The following categories represent the knowledge, skills and abilities of OUS information technology workers that are known to be critical to business success:

Technical Knowledge – encompasses those skills and abilities within a specialty area(s) of Information Technology required to deliver products and services that support business processes.

Work Coordination – encompasses those skills and abilities required to organize and prioritize work, respond to conflicting business needs, and work collaboratively with a group of people to produce and deliver a product or service.

Problem Solving/Prevention – encompasses those skills and abilities required to analyze issues within a specialty area(s), evaluate alternatives to achieve quality and technical solutions that support the long and short-term needs of users, departments, and the mission of the University.

Communication & Service – encompasses those skills and abilities required to effectively exchange information in order to interpret the needs of customers, respond to those needs, achieve customer satisfaction, and teach varying levels of information technology disciplines to groups and/or individuals.

Accountability – encompasses those skills and abilities required to make decisions and take ownership of and responsibility for work performed.

Competencies provide a road map so employees understand the knowledge, skills, and abilities it takes to do their jobs well. They communicate the mission and values of the organization. In addition, competencies allow supervisors and employees to place emphasis not only on what gets accomplished, but how it gets accomplished.

PERFORMANCE EVALUATION

Performance standards and requirements describe the behaviors and specific skills, abilities, knowledge, or techniques (within the general competency category) that an employee needs to apply to achieve the desired job objectives. These standards and requirements form the framework by which employee performance will be evaluated.

There are certain performance standards and requirements under each competency category that apply to all IT workers regardless of their classification and their particular job within those classifications. These uniform standards and requirements are listed under the “Performance Evaluation” column adjacent to the competency category on the performance appraisal form. Supervisors can simply insert a check mark or “X” in those boxes indicating satisfactory performance for those standard requirements. Supervisors should note that all boxes must be checked in order to give the employee a rating of “Meets Standards” or “Consistently Exceeds Standards”.

In addition to the common standards and requirements described above, supervisors should list any specific performance standards required for the position. A written evaluation of those additional requirements should be included. Supervisors should also use this space on the form to record any remarks, comments or explanation supporting the rating level of the employee’s performance for the particular job requirement. This commentary will enable the employee to understand why the performance was rated as it was and provide him/her/them with valuable feedback for this area of performance in future evaluations.

At the beginning of the performance evaluation period, the supervisor and the employee should discuss the competencies and performance standards/requirements upon which the employee will be evaluated. If the employee has input in developing the standard/requirement, the supervisor can expect fewer disagreements or disappointments later.

RATING & RATING LEVELS

At the end of the performance evaluation period, the supervisor shall consider the employee’s performance and select the rating level that most accurately describes how well the employee typically performed in each area of responsibility. The supervisor may request input from the employee.

The following rating levels are used to summarize employee performance for each area:

Consistently Exceeds Standards: Consistently EXCEEDS ALL performance expectations, competencies and standards. Regularly makes excellent contributions which have a materially positive impact on the department or organization. Has mastered all job-related skills and possesses a broad range of capabilities. Highly skilled in relation to the technical requirements of the job. Consistently produces expected, or more than expected, accomplishments in all areas of job responsibility. Meets difficult challenges and demonstrates very sound judgment and decision-making abilities.

Meets Standards: Consistently meets all performance expectations, competencies and standards, and may occasionally exceed job expectations or standards. Demonstrates effective performance and is fully qualified to perform his/her/their job duties with the appropriate amount of direction.

Consistently performs in a reliable and professional manner.

Deficient: Has not consistently met job requirements, and may occasionally demonstrate unsatisfactory performance. Has not successfully performed required tasks of the job in all areas of responsibility. May have the ability to complete most assignments; however, immediate improvement and further development must be demonstrated. If this level of performance continues, an Employee Improvement Plan may be required.

Performance on each standard/requirement should be examined and evaluated separately. Doing so affords both the supervisor and the employee to focus on specific competency and performance categories for future evaluations.

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SECTION THREE: OTHER PERFORMANCE FACTORS/REQUIREMENTS

In addition to the competency performance categories described above under Section Two, the following performance factors and requirements are also critical to the success of the organization:

Quality of Work
Reliability
Adaptability

While the competencies for information technology workers certainly are key performance standards that must be met, these additional performance requirements provide a well-rounded framework in which employees must succeed.

PERFORMANCE EVALUATION & RATING

For each factor/requirement, under “Rating”, check that box which indicates your overall rating of the employee for each of the 3 factors/requirements. Supervisors should also provide written evaluations supporting the rating for each of the factors/requirements. This written evaluation is an important way to communicate to the employee the reasons behind the rating given, especially for the “Consistently Exceeds Standards” and “Deficient” ratings.

Consistently performs in a reliable and professional manner.

Performance on each factor/requirement should be examined and evaluated separately. Doing so affords both the supervisor and the employee to focus on specific performance categories for future evaluations.

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SECTION FOUR: PERFORMANCE OBJECTIVES

OBJECTIVES

Performance objectives are the heart of the merit pay program. This section records reasonable outcomes or projects for the employee to accomplish during the appraisal period. There is no restriction on the number of objectives that the supervisor and the employee develop for the evaluation period. Identify and describe as many as needed, but make sure the workload is realistic.

Good performance objectives meet the following SMART criteria:

S = Specific: State clearly what is to be accomplished in concrete terms that can be mutually understood and easily observed and evaluated.

M = Measurable: To the extent possible, objectives should be quantifiable, stating exactly what the criteria for success is, how that success will be tracked and measured, and whether the measurement tools are available.

A = Attainable: Can the result(s) be realistically achieved? Is the process used workable and within the employee’s control? Are the needed resources available? Is the time frame reasonable? Is the objective a “reachable” stretch?

R = Realistic: Based upon the employee’s knowledge of the job, the objective should be linked vertically to the organization’s goals, as well as being difficult, yet feasible.

T = Time Bound: Each objective should have a clearly defined time frame.

Studies have shown that good planning gets good results. Following are several alternative methods to develop performance objectives:

The supervisor and employee together may develop the objectives; or
The supervisor and employee may develop the objectives separately, then meet and make modifications; or
The supervisor develops the objectives and reviews them with the employee.

Allow for flexibility when writing performance objectives. They may need to be adjusted if work priorities change. (Sample objectives and performance standards below)

Although writing objectives will take time, if it is done jointly, it can be a worthwhile step toward improving job performance. There is little chance that an employee who is involved in a joint process will be in the dark about where the employee stands, or that the employee will forget he/she/they is a principal participant in his/her/their own development and is responsible for it.

The supervisor should monitor projects and assignments on a continual basis. This allows the supervisor to identify unacceptable performance when it occurs and aid addressing such performance rather than waiting until the annual review.

The supervisor should meet with the employee and review objectives at least once during the evaluation period, and preferably quarterly, to discuss performance-to-date. This interim review should include a discussion about whether the stated work assignments or priorities have changed or should change. If so, the supervisor should record those changes and provide a copy to the employee.

This section is broken down into two (2) subsections: a) Past Year’s Performance Objectives, and b) Upcoming Year’s Performance Objectives.

Including these 2 subsections allows the supervisor to evaluate the objectives for the prior year and then list the objectives for the upcoming year. For each annual review, the supervisor can simply “cut and paste” the objectives from the “Upcoming Year” subsection into the “Past Year” subsection and then provide the written performance evaluation for the “Past Year” objectives. Including both sets of objectives in this section also allows the supervisor to evaluate the past year’s objectives and detail the mutually agreeable objectives for the upcoming year, all on one form.

PAST YEAR’S PERFORMANCE OBJECTIVES

List those objectives that were agreed upon from the prior year. Include the target results, either as quantity or quality, and indicate the manner in which the end results will be achieved in a satisfactory manner (“meets standards”). These should have been established and agreed upon with the employee the year prior to this performance evaluation.

RATING

At the end of the performance evaluation period, the supervisor assesses the employee’s performance for each objective, and, under “Rating”, checks the box that most accurately describes how well he/she/they accomplished that objective. Written performance evaluation is required prior to awarding a performance-based salary increase for the employee.

Performance on each objective should be examined and evaluated separately. Do not attempt to determine an overall rating across all objectives at this time.

The following ratings are used to summarize employee performance for each objective:

Consistently performs in a reliable and professional manner.

Performance on each objective should be examined and evaluated separately. Doing so affords both the supervisor and the employee to focus on specific performance categories for future evaluations.

RESULTS/COMMENTS

Throughout the evaluation period, the supervisor may find it useful to keep a record of significant events or accomplishments.

At the end of the appraisal period, the supervisor, or supervisor and employee, documents the outcome of the employee’s efforts to achieve the objective. If an employee feels the supervisor’s data is incorrect, the employee is responsible for providing additional info regarding the disputed data.

The focus is on performance, on actions relative to the accomplishment of the objective(s), not the personality traits of the employee unless those traits have an impact on the performance of others. The supervisor should recognize positive, negative, and/or incomplete results.

The supervisor should also use this space to document any remarks or explanation that supports the achievement level (rating) indicated. This commentary will enable the employee to understand why the performance was rated as it was. This space should also be used to describe any extraneous factors or unanticipated events that complicated or inhibited the employee’s ability to achieve the desired result(s). In addition, if any revisions are made to original objectives and standards, state the reason(s) and the revision(s) here.

UNPLANNED OBJECTIVES/ACCOMPLISHMENTS

Additionally, supervisors should use this “Past Year’s Performance Objectives” Section to document any other objectives or accomplishments achieved by the employee that were not included in the original list of planned objectives for the year. List the additional objective or achievement under the Objectives column, indicate it was unplanned, describe what it was, rate it under the “Rating” column, and document its result(s) under the “Results/Comments” column.

UPCOMING YEAR’S PERFORMANCE OBJECTIVES & COMMENTS

List those objectives that you’ve established for the next year. Include the target results, either as quantity or quality, and indicate the manner in which the end results will be achieved in a satisfactory manner (“meets standards”). These performance objectives are the ones that will be evaluated and rated a year from now.

SAMPLE OBJECTIVES AND PERFORMANCE STANDARDS

EXAMPLE #1

Objective: Coordinate the technical aspects of the Alpha project and ensure the project is completed by February 1, within the $600,000 budget, and that the resulting system meets customer expectations.

Performance Standard: “Meets Standards” performance will consist of: 1) project completion by the deadline, 2) total costs at budget, 3) system performance meets customer requirements, and 4) customers sign off that they understand user procedures and are able to effectively use/operate the system.

EXAMPLE #2

Objective: Within the next six months, the employee will define customer requirements for an Alpha system; develop a proposed system solution and cost estimate to meet requirements; and obtain customer approval for mock-up, including input and output formats, computational processes, and quality assurance measures and procedures.

Performance Standard: “Meets Standards” performance consists of customer evaluation of a project that produces ratings of “Satisfactory” on: 1) responsiveness to customer needs, 2) timeliness, 3) quality of work, 4) efficiency/cost control, and 5) technical performance or operation of the system.

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SECTION FIVE: SUMMARY

SUMMARY RATING

The supervisor must consider all aspects of the employee’s performance, including the ratings given under the “Competencies”, “Other Performance Factors/Requirements”, and “Past Year’s Performance Objectives” Sections, and select the rating level that most accurately describes the overall performance of the employee during the evaluation period.

The focus should be on job performance, not the personality traits of the employee unless those traits impact the performance of others. Develop a rating based on how well the employee performed in relation to the competencies, other factors/requirements, and objectives, and any other relevant accomplishments.

If the employee receives less than a satisfactory evaluation (“Deficiency” rating), the supervisor should meet with the employee within thirty (30) days of the evaluation to review, in detail, the alleged deficiencies.

If an employee is rated “Deficient” and the supervisor recommends withholding the performance pay increase, the supervisor must contact HR and give written notification to the employee, including the reasons for withholding the increase, at least fifteen (15) days prior to the employee’s eligibility date.

When new employees are progressing satisfactorily through their initial appointment to a new or promotional position, but may not yet have had the opportunity to demonstrate all of their skills, we would not normally use the “Deficient” rating category, as this would unduly penalize them for a natural and appropriate learning curve.

COMMON RATER ERRORS

Halo Effect: The tendency to rate a person who is exceptionally strong in one area, high in all other areas. One factor tends to have undue influence on the others.

Horns Effect: This is the opposite of the Halo Effect – a tendency to rate a person who is especially weak in one area, low in all others.

Central Tendency: Tendency to avoid both high and low extremes, lumping all ratings into the middle category.

Leniency: This occurs when the rater gives all high ratings or a disproportionate amount of high ratings regardless of what the ratings should be based on actual performance.

Severity: The opposite of Leniency – a tendency to give all low ratings or a disproportionate number of low ratings.

Similar-to-Me: Some raters tend to give persons who are similar to them higher ratings on the basis of those similarities (biographical backgrounds, attitudes, work styles, etc.).

Contrast Effect: The tendency of raters to evaluate persons relative to each other, rather than on the basis of individual performance evaluation criteria.

If the summary rating is “Consistently Exceeds Standards” then the supervisor should also indicate the recommended % increase, based on the employee’s current salary in relation to the control point for the salary range of the specific IT classification series. For example, if the employee is currently at or below the control point, the supervisor should indicate an increase between 6.00% and 7.25%.

For “Meets Standards” summary ratings, the supervisor should indicate a recommended % increase of either 4.75%, if the employee’s current salary is at or below the control point, or 2.00%, if above the control point.

A summary rating of “Deficient” means no increase for that evaluation period.

COMMENTARY SUPPORTING SUMMARY RATING

The supervisor should use this space to document any pertinent narrative supporting the rating given. This provides an opportunity for the supervisor to emphasize, expand or clarify the overall rating. It will also enable the employee to better understand why his/her/their overall performance was rated as it was.

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SECTION SIX: PROFESSIONAL DEVELOPMENT

RECOMMENDED PROFESSIONAL DEVELOPMENT PLAN AND REASONS WHY:

Providing employees with professional training and development opportunities encourages good performance. Training strengthens job-related knowledge, skills and abilities while helping employees keep up with changes in technology. It also demonstrates the supervisor’s willingness to further “invest” in the employee and encourages that employee to produce a “return on that investment” for the organization.

The supervisor and employee should reach agreement on needed development and the reasons why it’s necessary for the employee to succeed. Additionally, the supervisor should define or describe the specific areas of training and professional development planned for the upcoming performance period. Supervisors may wish to help employees find ways of satisfying their own professional interests and meeting the goals and objectives of the organization at the same time.

ADDITIONAL RESOURCES REQUIRED TO IMPLEMENT PLAN:

The supervisor and employee should agree on any additional resources that may be needed to enable the employee to accomplish his/her/their professional development plan and perform at the level desired for the job. Such resources should be identified or described here.

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SECTION SEVEN: SIGNATURES

Employee Signature: The signature of the employee does not signify agreement with the review, but only that he/she/they has read the evaluation.

Immediate Supervisor Signature: Signature of the supervisor who performed the review.

Next Supervisory Level Signature: This person should be the immediate supervisor’s supervisor and/or the Dean/Director of the unit. Also, supervisors in academic or general business departments may ask, and should feel comfortable asking, a technical supervisor in the University’s central IT office to help with the review of performance standards, planned objectives, or the appraisal results.

Employee's Comments: This section provides an opportunity for the employee to record their remarks about any aspect of the performance appraisal. All written comments provided by the employee within sixty (60) days of the evaluation shall be attached to the performance appraisal.

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