DEKALB TECHNICAL COLLEGE
APRIL 2006
TABLE OF CONTENTS
REVIEWING THE JOB RESPONSIBILITIES
END-OF-YEAR PERFORMANCE EVALUATION
DOCUMENTING THE PERFORMANCE EVALUATION
COMPLETING THE PERFORMANCE EVALUATION FORM
Purpose
The DeKalb Technical College Staff Evaluation Process is a systematic,
integrated approach that aims to:
Key Success Factor
Supervisors and managers must be held accountable for the effective implementation of this process within their work groups and encourage active employee involvement.
Key Components
The Staff Evaluation Process calls for supervisors and employees to share accountability for job performance. Employees and their managers and supervisors are expected to work together year-round to make every day's work count in an ongoing process that measures actual performance against expectations and rewards on-the-job achievement. This year-round interactive process is a continuous cycle of planning, coaching, evaluating, documenting, and improvement planning.
This section provides an overview of the key components of an evaluation and suggested time frames for completion of each step. Listed below is a brief explanation of each of the key components: Planning, Coaching, Evaluating, Documentation, and Improvement Planning.
Planning
The supervisor and employee discuss the employee’s performance plan and clearly define job responsibilities and performance expectations.
Coaching
The supervisor tracks and documents employee performance and gives regular feedback and encouragement. The supervisor assists the employee in solving any performance problems that may arise during the year. At least once during the year, the supervisor must give the employee formal feedback.
Evaluating
The supervisor and the employee review the supervisor's assessment of the employee's performance as measured against expectations. Each employee receives an overall rating during this phase to determine eligibility for the state’s annual pay increase (if the Governor and General Assembly approve a pay increase for state personnel.)
Documenting
The supervisor maintains a work productivity file or a performance diary on each employee. At the end of the rating period, information that has been collected throughout the year is used to develop a summary of the employee’s performance. This information is summarized on the performance evaluation form. The evaluation document is key to other business processes in the organization.
Improvement Planning
The supervisor and the employee collaborate on setting specific performance expectations in improvement plans for the next cycle that will help improve or enhance the employee's effectiveness at work. The improvement plan may set specific training objectives or change the scope of the employee's job.
Suggested Time Line
Listed below is a broad time line for completing various tasks associated with the Staff Evaluation Process.
Date |
Action |
May |
Supervisor assesses employee capabilities, and prepares improvement plan with employee. Reviewing Manager evaluates plan and makes necessary adjustments. Staff Evaluation Form is signed. The original is sent to personnel and a copy is given to the employee. The supervisor also keeps a copy. A new performance plan is prepared for the next rating period. |
June to May
|
Ongoing coaching occurs. Supervisor observes performance, provides feedback, and documents performance. |
November to January |
Supervisor conducts an interim review. Performance is discussed with the employee and improvements plans are reviewed and updated. |
April to June |
Supervisor prepares the formal performance evaluation which is then assessed by the Reviewing Manager. Staff Evaluation is completed and discussed with employee. |
Many factors play a part in successful work performance but planning, in combination with good supervisor-employee communication, is probably the key to success for the employee and the supervisor. DTC’s Staff Evaluation Process begins with conducting an employee review of each employee's job responsibilities. The result may indicate revisions to the job description. Specific Job Responsibilities may be added to the evaluation form.
In an employee-supervisor performance planning meeting, the supervisor describes the work to be performed by the incumbent of a particular position. Ideally, the supervisor should refer to the official state job description in order to bring as much consistency as possible to the responsibilities assigned to various employees in the same job title. Typically, the supervisor makes the initial determination of which responsibilities the employee should perform, defines the expectations for each responsibility, and discusses that with the employee. Specific Job Responsibilities are listed on the evaluation form under Section IV, number 2.
The Staff Evaluation Process calls for supervisors to meet with each of their employees to plan performance for the upcoming period within 45 days of hire, then annually at the beginning of each new performance year. Supervisors should allow sufficient time to work with the employee to establish a mutually understood performance plan.
A supervisor can combine the performance evaluation for the past year with a discussion of the plan for the coming year. With this method, the meeting should be structured to first provide feedback on past performance, and then follow with a discussion of the employee's performance plan for the coming year.
Even though employees may share a common job description, the supervisor should point out any differences in the employee’s assigned responsibilities or expectations. If the employee is not performing the responsibilities as outlined in the job description or is performing important responsibilities that are not shown on the job description, it is possible that another job description might be more appropriate. This may require that the original job description be revised or a new job description be created. The Human Resources Office is available to provide guidance for the supervisor in these cases. Performance planning should be conducted at the appropriate time, and should accurately reflect the work that the employee is actually performing, even if this appears to be different from the responsibilities outlined in the official job description.
Conducting a performance planning meeting is necessary when a person is newly hired into a position at the college. However, another performance planning meeting is also required whenever an employee is promoted or changes from one position to another. Even if the employee changes from one position to another in the same job/class and work unit without any major changes in responsibilities, a new planning meeting should be held to reflect the change in employment status and location.
When an employee is being promoted or transferred to a new position, the supervisor should make every effort to complete a performance evaluation on the employee before he or she leaves. The evaluation should be based on the employee's work during the portion of time in the position.
Section II of the form is used to document the planning phase of the process. The current job description is reviewed and a determination made as to whether it should be revised. Check the appropriate box in section II related to the job description review. If a revision is needed, attach a recommended revision and submit to the Human Resources Office for processing. Following the planning meeting, the employee and supervisor will sign the form acknowledging the meeting was held and responsibilities for the rating period have been discussed. The form is typically held by the manager and used to evaluate the employee’s performance at the end of the rating period.
Performance management is not just a once-a-year evaluation and planning session but a year-round process in which the supervisor observes and documents performance and provides feedback and coaching to the employee.
Supervisors should document performance throughout the performance period. Methods of documentation include:
The method used to record the supervisor’s observation is up to the supervisor as long as the appropriate confidentiality is observed. Whenever the supervisor observes a noteworthy incident of employee performance (good or bad), the supervisor should share his or her observation with the employee at the time. Observations can be shared with the employee either verbally or in writing.
The Interim Progress Review is one of the most important evaluation activities that occur during the performance year. Although frequent informal feedback and communication between supervisor and employee is certainly desirable, it is also suggested that the supervisor hold one formal session about midway through the performance period with each employee. In the review, the manager or supervisor should let the employee know how his or her performance is measuring up to the expectations that were mutually set in the planning meeting.
There are two main purposes for holding an interim progress meeting with the employee. The discussion:
Naturally, the supervisor should be sure to highlight any instances or areas of outstanding or deficient performance. Some other topics and activities that may be appropriate for the discussion include:
By the end of the discussion, both supervisor and employee should have determined a course of action for ensuring improvement in any problem area.
Providing feedback to an employee is an important skill. Whether it is positive feedback designed to commend the employee for doing particularly well or corrective feedback designed to improve performance, it should be specific, individualized, and delivered by the supervisor in person. Below are the two communication models for feedback.
Positive Feedback Model
1. Describe the behavior or result.
2. Describe why the behavior or result is important.
3. Pause to allow the employee to realize what is being said.
4. Encourage continued good performance.
5. Document the discussion.
Corrective Feedback Model
1. Describe what the employee is doing or not doing that is unacceptable.
2. Describe the effects of the behavior or result.
3. Ask for the employee’s input, then listen, and probe.
4. Describe and restate the expectation.
5. Ask the employee for a solution to the problem and for commitment.
6. Be sure to follow up to determine if the solution worked.
7. Document the discussion.
Performance evaluation provides for formal written and verbal communication between supervisors and employees concerning two items of importance:
The performance management cycle begins May 1 and ends April 30. An evaluation must be completed and the required signatures obtained. Typically, October 1 is the effective date of any state salary increase.
Section IV of the Staff Evaluation Form is a record of the performance of the employee for the performance period. The employee is rated on professional and businesslike behavior as well as job responsibilities. Specific statements describing the behavior are displayed under seven or less categories . There may be some specific job-related performance measures added by some departments, but the core behaviors always include the following categories:
The statements or evaluative criteria under each of these headings can be measured using the following scale:
Criteria not applicable: The statement does not apply to the employee’s job responsibilities.
Satisfactory: Employee has consistently performed at the expected level for the job.
Needs Improvement: Minor improvements were identified and discussed with the employee during the rating period. In order for the employee to be at the fully excepted level, continued improvement will be needed.
Unsatisfactory: Employee is not performing at the expected level.
In Section III, the supervisor provides an overall rating that accurately represents the manager’s assessment of the employee’s performance during the rating period. The supervisor should consider the performance of the employee with regard to his/her job responsibilities and behaviors and assign an overall rating. The supervisor should not mathematically average the various ratings, but look at overall performance for the year in the major categories.
The Reviewing Manager must review and sign the evaluation form before the evaluation meeting can be conducted with the employee. The Reviewing Manager reviews the performance evaluation to ensure that it complies with agency policies as well as uses the time to determine if there are any supervisory coaching needs that should be done with the manager. The Reviewing Manager may be the supervisor's immediate supervisor or any other manager designated by the agency or organizational unit to review the performance plan.
For the evaluation meeting with the employee, the supervisor should:
If an employee receives an overall rating of Unsatisfactory on his or her performance evaluation at the end of the performance period–and is therefore not eligible for consideration of the performance-based salary increase–and the employee believes the summary rating to be "arbitrary, capricious, or not reflective of the employee's overall performance, the employee may, in writing within five (5) work days of receipt of the evaluation, request a review by the designated departmental official." It is important to note that a review process only applies to overall ratings of Unsatisfactory–not for one responsibility rating.
The Vice President of College Relations will be the designated Reviewing Official for the agency:
The decision of the designated reviewing official regarding overall ratings will be final and are not grievable or subject to appeal.
When an employee has been supervised by more than one supervisor during a performance period (because of a promotion, change in supervisor, or transfer), ideally each supervisor or manager should complete an evaluation for the time he or she directed the employee's work. The annual evaluation performed to determine eligibility for a performance-based increase should then be a composite of all the evaluations. If the evaluations are not consistent with one another, the designated Reviewing Manager may have to be called upon to resolve any issues related to determining an appropriate overall rating for the period. Supervisors should always try to complete an evaluation on an employee who is transferring to another division or agency or to another work unit within the agency. The responsibility for ensuring that the employee receives an evaluation is with the supervisor on record as of May 1st of current rating year.
At any time during the year, if the supervisor sees an opportunity to develop the strengths or improve the employee’s abilities in any way, an improvement plan can be written. An improvement plan must be created and implemented for any employee who is deficient in job performance.
An employee’s particular talents and strengths are also productive areas for development. If an employee displays strong knowledge, skill, or ability in an area that is useful to the college, the development of that talent will prove advantageous to both the college and the employee. Whatever the situation, the employee and the supervisor should agree upon the desired results and the requirements, create an action plan, and implement the plan on a realistic timetable. The approach or method of development, such as on-the-job training, classroom training, delegation, or mentoring, should be specifically selected by the supervisor and approved, if necessary, by the Reviewing Manager.
SECTION I
The first section of the form records identifying information for the employee. This information can be obtained from business payroll and budget information or from the Human Resources Office.
The rating period is July 1 through June 30.
SECTION II
Section II of the form is used to document the planning phase of the process. The current job description is reviewed and a determination made as to whether it should be revised. Check the appropriate box in Section II related to the job description review. If a revision is needed, attach a recommended revision and submit to the Human Resources Office for processing. Following the planning meeting, the employee and supervisor will sign the form acknowledging the meeting was held and responsibilities for the rating period have been discussed
The form is typically held by the manager and used to evaluate the employee’s performance at the end of the rating period.
SECTION III
In Section III, the supervisor provides an overall rating that accurately represents the manager’s assessment of the employee’s performance during the rating period. The supervisor should consider the performance of the employee with regard to his/her job responsibilities and behaviors and assign an overall rating. The supervisor should not mathematically average the various ratings, but look at overall performance for the year in the major categories.
The Reviewing Manager must review and sign the evaluation form before the evaluation meeting can be conducted with the employee. The Reviewing Manager reviews the performance evaluation to ensure that it complies with agency policies as well as uses the time to determine if there are any supervisory coaching needs that should be done with the manager.
SECTION IV
Core statements have been provided. The supervisor can enter specific information related to the position being evaluated in the section for Job Responsibilities. This information can generally be found on the job description for the position. If the supervisor is satisfied that the employee’s job responsibilities can be adequately measured by the form without adding job responsibilities, he/she does not have to complete this area of section IV.
SECTION V
Employee strengths and opportunities for improvements are listed. At any time during the year, if the supervisor sees an opportunity to develop the strengths or improve the employee’s abilities in any way, an improvement plan should be written. An improvement plan must be created and implemented for any employee who is deficient in job performance.
SECTION VI
Any additional comments by the supervisor go in this section.
SECTION VII
Comments by the employee go in this section.