Annual Evaluation Instructions

Things to keep in mind when working on performance goals and completing evaluations 

Studies have shown that good planning gets good results. Following are alternative methods to developing 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.

Classified Information Technology Instructions

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

Performance Evaluation is a process, not just a piece of paper. This evaluation 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 Evaluation process and the associated evaluation 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 forth. 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 evaluation process. Further assistance is available from your Human Resources Department.

Section One: Employee Information

Employee Name: First and last name of the employee whose performance is being evaluated.

Identification Number: The employee’s PSU 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’s position is classified as Competency Level 1, 2 or 3.

• Competency Level 1 - Performance Evaluation (PA) Form for all Competency Level 1 positions regardless of IT Classification Series,
• Competency Level 2 - PA Form for all Level 2 positions, or
• 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 current 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.

Section Two: Competencies

Competency/Performance Standards

There are certain competencies and performance standards categories that are used to evaluate the performance of all IT series classifications for classified IT positions within Oregon’s Public Universities (OPU). The following categories represent the knowledge, skills and abilities of employees in IT positions which are known to be critical to business success:

• Technical Knowledge – encompasses the knowledge, skills and abilities within a specialty area(s) of IT required to deliver products and services that support business processes.
• Work Coordination – encompasses the knowledge, 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 the knowledge, 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 the knowledge, 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 the knowledge, 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 knowledge, skills, abilities, 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 job’s 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 Evaluation 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 additional or 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 her/him/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 performance will be evaluated. When an employee has input in developing the standard/requirement, fewer disagreements or disappointments will occur at the next evaluation session.

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.

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.

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 employees in IT positions 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.

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.

Section Four: Performance Objectives

Objectives

Performance objectives are the heart of the merit pay program. This section of the evaluation records reasonable outcomes or projects for the employee to accomplish during the evaluation 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 SMART criteria as outlined at the top of this page.

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 meaningful process for employees and supervisors making it a worthwhile step toward ensuring good job performance. There is little chance that an employee who is involved in a joint process will be in the dark about where he/she/they stands. It allows employees to act as a principal participant in their own development and take responsibility and ownership of it.

Supervisors should monitor projects and assignments on a continual basis, allowing them to identify areas where performance has strayed away from acceptable outcomes. This will aid in addressing such performance issues rather than waiting until the annual review.

Supervisors should meet with their employees 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, supervisors should record those changes and provide a copy to the employee.

This section is broken down into two (2) subsections:

1. Past Year’s Performance Objectives, and
2. 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:

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 or employee may find it useful to keep a record of significant events or accomplishments.

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

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. Supervisors should recognize positive, negative, and/or incomplete results.

Supervisors should also use this space to document any remarks or explanation that supports the achievement level (rating) indicated. This commentary enables employees 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) in this space.

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 & 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.

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 purported 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.

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 her/his/their overall performance was rated as it was.

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 her/his/their professional development plan and perform at the level desired for the job. Such resources should be identified or described in this section.

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 evaluation results.

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

Unclassified/Unrepresented Positions

The following is a list of detailed instructions for this evaluation process. Further assistance is available from the Human Resources at askhrc@pdx.edu or 503-725-4926.

Performance Evaluation forms are located in the Human Resources Document Library

Employee Information

Fill out all sections with employee information (name, ID#, position details, dates) to ensure form is recorded and filed correctly. Contact Human Resources if you do not have access to employee ID number or position information.

Performance Demonstrated During Review Period (Items 1-10)

Performance Expectations: Performance expectations in the evaluation describe the knowledge, skills, abilities, behaviors, or techniques that an employee must apply to achieve the job objectives.

Review the definitions of each performance expectation and add additional factors applicable to the employee’s position.

Performance Demonstrated During Review Period: Comments and/or Examples: Recording objective examples of demonstrated performance during the evaluation period will assist the supervisor in selecting the appropriate rating for each expectation. This commentary will enable the employee to understand why their performance was rated as it was.

Rating: The supervisor shall consider the employee's performance and select the rating level that most accurately describes how the employee typically performed in each area of responsibility. Supervisors are encouraged to gather input from the employee.

Rating Levels

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

Performance Summary (Items 11-13)

Summarize performance including employee’s achievements, strengths, and areas for improvement. This section should give an accurate overall message for all areas of the employee’s performance.

Employee Development (Items 14-15)

Performance Goals: Identify as many goals as you need, but make sure the workload is realistic.

Remember, good performance goals are "SMART" and have a clearly defined Time frame. Supervisors and employees should determine how they will know if each goal has been met and/or how they will know they have succeeded.

Develop goals jointly and allow for flexibility when writing performance goals. Goals will need to be adjusted when work priorities change.

Supervisors should meet with the employee and review goals 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.

Training & Development Suggestions: Training and development suggestions should support goals and objectives. This is an opportunity for the supervisor to list specific suggestions as to how the employee may achieve some of their goals and areas for improvement. For more information about development opportunities, visit our professional Development web page.

Overall Performance Message for the Past Year

This should be a brief description of overall performance during the evaluation period.

Remember, this should be mostly objective with the focus on job performance; avoid discussion of the personality traits of the employee. Develop a statement based on how well the employee performed in relation to the job requirements and performance objectives.

If the employee receives a less than satisfactory evaluation, the supervisor should meet with the employee within thirty (30) days of the evaluation to review, in detail, the purported deficiencies. If appropriate, the supervisor should contact Human Resources to begin setting up an Improvement Plan.

Supervisors should commit to regular check-ins and review of their employee’s work and expectations of positions to provide regular feedback.

Employee Signature & Comments

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

Employee Comments: Provides an opportunity for the employee to record remarks about any aspect of the performance evaluation. All written comments provided by the employee within sixty (60) days of the evaluation will be attached to the performance evaluation.

A copy of the evaluation must be given to the employee. Another copy may be made for the supervisor’s records. The original, signed evaluation must be delivered to

Human Resources.

Communicating with Employees

During the Evaluation Period

A fundamental component of a successful evaluation is regular communication between the supervisor and the employee. The relationship between an employee and her/his/their supervisor often influences levels of productivity, engagement in work, and employee retention. Regular two-way communication between the employee and supervisor helps build this relationship.

Brief discussions should take place whenever appropriate. Formal sessions should be scheduled at least once during the evaluation period, and preferably quarterly, to discuss performance accomplishments and areas for further improvement.

Use these sessions to discuss performance expectations. Inquire about any changes in work since the previous discussion or any upcoming changes to prepare for.

Determine if there are any obstacles blocking success. Ask about resources that the employee may need to accomplish their work. Acknowledge accomplishments during this period. Discuss new priorities in the department so the employee can refocus efforts, if appropriate.

It is important for both parties (supervisor and employee) to maintain open communication in order to keep each other informed of work progress and work together to resolve problems when they occur. It is far better to resolve problems when they are small, before they become "disasters".

A key principle that facilitates acceptance of constructive criticism is to be "hard on the problem, and soft on the person." The focus should be on correcting the problem or behavior, not on punishing the employee. The performance evaluation is an assessment of performance and should never be punitive. The performance evaluation should not be the place where the employee first hears about disciplinary action.

A useful motto for the performance evaluation should be "no surprises." Through this approach, the likelihood of a productive conversation about performance increases. Performance evaluations can be difficult and stressful for employees and supervisors alike regardless of whether the feedback is positive or negative.

Having frequent conversations allows for this conversation to be more of a summary of the evaluation period rather than a “report card”.

Strive to provide continual feedback concerning expectations and performance. When things are going well discuss how and why this is so. Celebrate and acknowledge achievements and be sure to include those in the written evaluation. When things are not going well, discuss what needs to be done to make them right.

When an employee is not doing things properly, get together and plan what needs to be done to correct the matter. If there is a performance gap, help the employee understand the cause and the action necessary for correction. Support an employee's plans for professional development.

By soliciting and providing feedback on a continual and timely basis throughout the evaluation period, supervisors can establish the groundwork for indicating there is a need to “correct course” should there be a performance problem.

Annual Review

Schedule a meeting to review the performance evaluation. Employees may find that completing a self-assessment provides a greater sense of ownership over their performance process. During the meeting, review the evaluation and facilitate an open exchange of information concerning expectations and results. Resolve any disagreements on factual matters. Be open to feedback about your assessment and make every effort to respond in a positive manner.

If you expect the feedback to bring about a negative or emotional response, consider having contact information for the Employee Assistance Program or other PSU staff on hand. If you anticipate a strong response, contact Human Resources ahead of time to discuss ways to have this difficult conversation.

The annual review meeting is a good time for supervisors to review the employee’s position description and determine if the work described is current and accurate, or if the job duties have changed. The position description may need to be revised and a copy sent to the Office of Human Resources. Analyze the issues and attempt to view them from both sides. Listen carefully and try to understand the perspectives involved. Give it the same attention you would expect from your own supervisor.

The evaluation is complete when the supervisor has determined that 1) the content and issues have been successfully communicated, 2) concerns from both parties have been expressed, and 3) the employee understands and agrees to their goals and objectives for the upcoming period.

Upload the signed evaluation to Human Resources. The employee and supervisor should keep a copy as well.