ASSESSING PAST WORK PERFORMANCE

Purpose of the Guideline
Introduction
Benefits and Costs
Legal Considerations
When is PWP Assessed?
Who Assesses PWP?
Which Applicants are Assessed?
How is PWP Assessed?

• Performance Appraisals

• Work Samples

• Reference Checks

Resources and Tools

Purpose of this Guideline

This guide is designed to be an overview for line managers and supervisors involved in the assessment of past work performance as part of the staffing process. In this document you will find links to further resources and information if you would like more details. 

If you require further explanation, have more specific questions, or wish to discuss a specific issue not addressed in this guideline, please contact your Human Resources Consultant.

Other references: 

• Staffing Policy: 4.1 Recruitment, Selection and Appointment ;

• Public Service Act; and 

• Public Service Act Review of Staffing Decisions Regulations.

Introduction

Past work performance (PWP) is the quality and/or quantity of an applicant's knowledge, skills and abilities as demonstrated through their actions or behaviours during previous work-related activities. While the merit factor of experience describes what was done, the PWP describes how well it was done. It describes the qualitative aspects of an applicant's experience. 

The Public Service Act states that all appointments to and from within the public service, with the exceptions of lateral transfers and demotions, will be based on the principle of merit. Past work performance is a factor of merit.  The Staffing Policy requires that a specific assessment of past work performance must be conducted.

Past work performance checks serve several purposes:

• gathering evidence of past achievements to indicate the probability of future performance;
• confirming employment history by verifying factual data, such as dates of previous jobs and reason for leaving;
• confirming perceptions or clarifying concerns that arose throughout the selection process; and
• validating the results of other assessment methods (e.g. tests, interviews).

Key Practice Considerations

The overriding consideration throughout the PWP checking process is that the information you are looking for must be related to the job. Establishing essential qualifications (competencies, knowledge, skills and abilities) ensures that you keep that focus.

Another critical consideration of PWP is ensuring impartiality through fair and objective rating of past work performance.  Key elements to maintaining impartiality are to assess all applicants against the same criteria, and to conduct the assessment objectively. 

Finally, another critical consideration is that you are seeking evidence of past performance, not opinions. Establishing assessment criteria and developing reference checking guides in advance will assist you in ensuring that you obtain the type of specific information you require. 

Benefits and Costs    

There are benefits to the employer of thorough, well done reference checking and other PWP assessment methods.

• A well-qualified, productive and effective employee is hired into a position.
• Deficiencies or concerns identified in the reference checking process can be addressed and resolved during the probationary period as part of the learning plan for the employee.
• Persons without the competencies to successfully perform the job are not hired.

In contrast, there are costs to the employer as a result of poorly done reference checking and other PWP assessment methods.

• Possible legal action, for example, for wrongful staffing, that is costly in both time and dollars.
• The potential for a poorly qualified employee who commits costly errors and may require extensive corrective training to be productive.
• If training or discipline is unsuccessful in correcting poor job performance, substantial time and energy will be required to prepare a case for rejection on probation, or if probationary period has elapsed, dismissal for cause.
• Possible decrease in morale and productivity of other workers in the employee's work unit.

Legal Considerations

The main concern for employers in conducting/receiving references is wrongful staffing.  Some court decisions from wrongful staffing suits in the United States suggest that there is a positive duty on employers to conduct a thorough reference check of a prospective employee.  In one case, the Pinkerton company was forced to pay a manufacturing company $200,000 when one of its guards had stolen a quantity of gold, and it was revealed that Pinkerton had failed to check the guard's references before staffing him.  Clearly, the message is that careful reference checking is essential to mitigate your responsibility for the actions of your employee that could cause harm to your clients.  If you have wrongful staffing issues or are concerned about a situation you are dealing with, it is strongly recommended that you contact your Human Resources Consultant.

When is PWP Assessed?

PWP can be assessed at any time, however, because the process can be time consuming, it is typically assessed late in the competition. Use PWP at a stage in the staffing process when it is possible to confirm what you have already learned through earlier assessments. If PWP is either being used as the primary assessment tool or is being assessed before the interview and/or other tests, be careful to obtain valid information.

Who Assesses PWP?

Designate one member of the assessment team to conduct past work performance checks. This is normally the manager or supervisor of the position. There may be occasions where some of the information is very technical and job-specific, therefore a team member who is a content expert could conduct checks that deal with those aspects of the work. The person conducting PWP checks gathers, documents and returns the facts to the assessment team for review and rating. 

Which Applicants Are Assessed?

Conduct PWP checks only on applicants who might be successful in the competition or be placed on an eligibility list. PWP would be assessed for the top ranked applicant plus any other applicant whose PWP score could potentially place him/her at the top. Do not check applicants who cannot be successful, even with the maximum points for past work performance and continuous service considerations.

If applicant's scores are very close, points for continuous service can be a factor in determining who is the top ranked applicant. If PWP is point rated and part of the overall calculation of points for the competition, it may not be clear who the top ranked applicant is at the point of checking PWP. Therefore, because of the potential for being successful when all points are awarded, you may need to check references on additional applicants.  If PWP is being assessed before the interview and/or other assessments, then all short-listed applicants must be checked. This approach may only be practical when you have a small pool of qualified applicants. It may also be beneficial if significant costs for travel will be incurred to have applicants participate in the assessment process. 

How is PWP Assessed?

There are several options for assessing PWP and their use will depend on the situation. The most common method of gathering information is through reference checks. In addition to verbal reference checks, other assessment tools may also be used to assist in the evaluation of past work performance.  These include, but are not limited to, the following: performance appraisals, productivity reports or any similar test of performance, samples of past work, letters of commendation or reprimand, attendance records, incident or accident reports, and previous periods of substitution into the position or other related positions.  Each of these other tools can be a very useful method of obtaining additional corroborating information, but they should not replace the verbal reference check process.

The important issue is that the method selected and used is "reasonable" within the context of the overall selection process. It is up to you (and your assessment team) to consider which sources would be the most valid and useful for obtaining the facts, descriptions, relevant incidents, and behavioural examples you require that assess PWP. Following are brief descriptions of three main tools used for assessing past work performance: reference checks, performance appraisals and work samples.

Performance Appraisals

Performance appraisals may be used to confirm past work performance where all applicants being considered have been appraised using a common format and set of standards. This degree of consistency seldom occurs unless the staffing action is restricted to an internal pool of applicants.

Performance appraisals may assist with confirming some basic data such as attendance, dates in the position, training taken, etc. An applicant may substitute a copy of a performance appraisal for a period of employment where the referee is not available, or refuses because of company policy, to provide a personal reference.

Ideally performance appraisals should only be used to augment information gathered through other sources such as reference checking and not act as the only source of information about past work performance. Performance appraisals alone may not be sufficient because the criteria set for the position and the criteria evaluated in the performance appraisal probably do not match.

Information in the performance appraisals should be consistent with information obtained through reference checking or other assessment methods. If a referee is saying negative things about an applicant but all documents are positive, further checking should be done with the supervisor to determine why the differences exist and whether the employee is aware of the concerns.

The disadvantages of using performance appraisals as the only method of assessing PWP include:

• The appraiser, not the assessment team, does ratings. The rating standards for the appraisal will likely be different than that the team would establish.

• There is no opportunity to provide job-related context to a referee. What may not have been satisfactory in one job environment might be an asset in another.

• Negative behaviour may not be documented.

Work Samples

Work samples may also be used to augment other methods of assessment where a key component of the job is experience producing a "product".  Applicants may be asked to provide samples of work such as written communication, articles, brochures, publications, architectural or technical drawings, or reports.

• the criteria for assessment,
• the degree of responsibility the applicant is required to have had for the product, and
• (where practical) a source who can confirm the applicant's involvement.

The assessment team should have a set of pre-determined criteria for assessing the work samples because it is unlikely that any two samples will be similar.

Reference Checks

Reference checking involves seeking factual evidence from third parties who have observed the applicant at work (paid or volunteer) and then rating that factual evidence against a pre-determined marking guide. Checking references is one of the most useful sources of information about an applicant's past performance. Generally reference checks are conducted one-on-one verbally either on the telephone or in person. Less often, however, questionnaires may be created by the assessment team and completed in writing by the referee.  

Resources and Tools

The Managers HR Toolkit, Past Work Performance, contains more detailed reference material to assist you in conducting effective reference checks. These include:

• A Guide to Assessing PWP Through Reference Checking

• Tips for Handling Difficult Circumstances

• A Checklist for Conducting Reference Checks

• A Notice for Advising Applicants of the Requirement to Check PWP

• Sample Reference Checking Guide

• Sample 5 Point Rating Scale for Reference Checking