Employee Performance Evaluation System.docx

Employee Performance Evaluation System.docx

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EmployeePerformanceEvaluationSystem

EmployeePerformanceEvaluationSystem

SupervisorHandbook

PersonnelCabinet

February2011

EqualEmploymentOpportunityStatement

TheCommonwealthofKentuckydoesnotdiscriminateonthebasisofrace,color,religion,sex,nationalorigin,sexualorientationorgenderidentity,ancestry,age,disability,orveteranstatus.Reasonableaccommodationsareprovideduponrequest.

PersonnelCabinet

DivisionofEmployeeManagement

PerformanceManagementProgram

StateOfficeBuilding

501HighStreet

Frankfort,Kentucky40601

http:

//personnel.ky.gov/persadmin/hradministrators/hradmin.htm

Stan.Riley@ky.govorDawnL.Redmon@ky.gov

502-564-6811502-564-7386

TableofContents

Introduction…………………………………………………..……………1

SectionI:

GeneralInformation

HowtheSystemWasDeveloped…………………………………….2

WhyDoPerformanceEvaluations?

.................................................3

SystemObjectives3

BenefitsoftheEvaluationSystem4

BasicPhasesofPerformanceManagement4

SectionII:

KentuckyRevisedStatutesandAdministrativeRegulations

KRS18A.110,Sections1（i）and7（j）5

KRS18A.095,Section155

101KAR2:

1806

SectionIII:

OverviewoftheEvaluationProcess

EligibleEmployees12

EmployeeLeaveAsRelatesToPerformanceRatings…………..12

GeneralProvisionsoftheSystem13

RequiredMeetingsintheEvaluationProcess14

Step-By-StepActivitiesCalendar17

HowToCompletethePerformanceEvaluationForm21

PerformancePlanning-JobDuties/Expectations29

SMARTPerformanceExpectations31

SamplePerformanceExpectations31

SamplePerformanceExpectations（Attendance&Punctuality）32

SamplePositionDescription（Pd）33

SampleEmployeeEvaluationForm34

ReconsiderationProcess/PersonnelBoardAppeal38

ReconsiderationProcessFlowchart39

ReconsiderationProcessEmployeeExample40

SectionIV:

TipsandToolsfortheEvaluator

QuestionsMostEmployeesWantAnswered41

HowtoConductAPerformanceEvaluationSession41

ABC’sOfConductingEffectivePerformanceEvaluations42

EffectiveCounselingTips43

TipstoEffectivePlanning,CoachingandEvaluating43

EmployeeNotification/InputForm46

PerformanceAppraisalChecklistforSupervisors47

InterimReviewMeetingTips49

SampleCorrectiveActionPlan51

SamplePerformanceIncidentLog52

CommonRatingErrorsandSolutions53

Quiz–IdentifyingRatingErrors55

SectionV:

AwardingLeaveEarnedFromPerformanceEvaluation…………56

QuestionsandAnswers……………………………………………..56

Appendix

AgencyLiaisonResponsibilities……………..……………………...60

Glossary………………………………………......…………………...61

Introduction

Thishandbookcontainsinformationintendedtoeducatestategovernmentevaluators（supervisors）abouttheemployeeperformanceevaluationsystem.ThecurrentsystemwithinKentuckyStateGovernmentisaperformancemanagementprocessthatincludesplanning,coaching,feedback,documentation,andperformanceevaluation.Thisprocess,whencorrectlyfollowed,isavaluableresourceforevaluatorstosetjobperformancepriorities,directperformancetowardsmeasurablegoalsandexpectationsandrewardemployeesforperformanceaboveexpectations.Thesystemstronglyemphasizesperformanceplanningandimprovedcommunicationaboutjobexpectationsatthestartoftheperformanceyear.Italsorequirescoachingandfeedbackbytheevaluatorattworequiredmeetingsduringtheperformanceyear.Themeetingsaredocumentedontheevaluationformandcommentsaboutperformanceareincluded.Nextlinesupervisorsreviewperformanceplanningandannualevaluationsofallemployeesundertheevaluator（first-linesupervisor）toensuretheprocessiscompletedinafairandequitablemanner.Employeescanappealevaluationsonwhichtheydisagree.

Evaluatorsmustconstantlymonitortheireffortsinusingtheperformanceevaluationsystem.Inthisway,thesystemmayservethepurposesforwhichitwasdesigned.Additionally,employeesmustbegiventheopportunitytounderstandtheevaluationsystemandtobecomeinvolvedintheoverallprocess.Theymustbeallowedtocorrectperformancedeficienciesbeforetheybecomeapartofthepermanentrecord.Evaluatorsmustsharewithemployeestheirfeedbackregardingemployeeperformanceandevidenceconcerningperformanceproblems.Feedbackandcoachingmusttakeplaceatinterimreviews,throughouttheperformanceyearandwheneveraproblemisidentified,notjustduringtheannualevaluation.Employeestendtoresenttheevaluator’sfailuretoprovidecoachingandfeedbackpriortotheannualevaluation.Theyseesuchpracticesasunfair.Asaresult,everyevaluatormustplanforperformanceandprovideongoingcoachingandfeedbackthroughouttheperformanceyear.

Trainingonthestateemployeeperformanceevaluationsystemhasbeendesignedtoenhanceunderstandingofthesystem,toemphasizetheimportanceofusingitasamanagementtoolandtoassistevaluatorsindevelopingtheproperskillstousethesystemeffectively.

ThePerformanceManagementProgramischargedwithadministeringthestatewideemployeeperformanceevaluationsystem.WearelocatedinthePersonnelCabinet’sDivisionofEmployeeManagementBranch.Pleasebecomefamiliarwiththecontentsofthishandbookandkeepitreadilyaccessible.Youmayuseittoanswerquestionsandforassistanceincompletingperformanceevaluations.Ifyouneedadditionalassistance,youmaycontactyouragency/cabinetemployeeperformanceevaluationsystemliaisonorthePerformanceManagementProgram.

Section1GeneralInformation

HowtheSystemWasDeveloped

InFebruaryof1997,thePersonnelCabinetandthePersonnelPilotProjectSteeringCommitteeworkedtogethertodeterminethebestemployeeperformanceevaluationpracticesforKentuckyStateGovernment.Thegoalwastomakerecommendationstobeconsideredinpreparinglegislationregardinganewevaluationsystemduringthe1998GeneralAssembly.Aperformancereviewcommitteewasestablishedconsistingofrepresentativesfromstateagencies.Thecommitteewaschargedwithstudyingpilotevaluationsystems,evaluationsystemsfromotherstatesandemployeeinput.Collectively,thecommitteerepresentedover250yearsofpersonnelexperience.Thestudyconsistedof56committeemeetinghoursandanundeterminednumberofhoursofindependentstudybyeachcommitteemember.Performanceevaluationpilotprojectsfromfivecabinetswerecloselyreviewedanddiscussedwithagencypilotprojectcoordinators.Additionally,elevenstatesystemswereincludedinthestudy.Twentypercentofallactivefull-timeandpart-timeemployeesweresurveyed.Thirty-eightpercentoftheemployeessurveyedresponded.Theresultsofthesurveyreinforcedtheneedtoimprovetheevaluationsystemandidentifiedareasneedingimprovement.Asanoverallresultofthecommittee’sstudy,recommendationsweredevelopedandemployeeevaluationlegislationwasproposedduringthe1998GeneralAssembly.Unfortunately,thelegislationdidnotpassinthesession.

Duringthe2000GeneralAssembly,thePersonnelCabinet,realizingthepressingneedtoimprovethestate’sevaluationsystem,againproposedlegislationtorepealtheoldsystemandestablishanewonethatinstatutemaintainedbasicprovisionsandtheflexibilitytomakeneededimprovementsthroughadministrativeregulation.TheproposedlegislationincludedmostoftherecommendationsmadebythePerformanceReviewCommitteeof1997.

TheGeneralAssemblyinthe2000sessionenactedintolawthecurrentemployeeevaluationsystem.ThePersonnelCabinet,utilizinginputfromstategovernmentagencies,formulatedrelatedadministrativeregulationstocoverthedetailsofthesystem.TodaytheEmployeePerformanceEvaluationSystem,beinganactofthe2000KentuckyGeneralAssembly,ismorethanapersonnelpolicyyouragencymaychoosetouse;itisthelaw.YoumayreadthelawasenactedunderKRS18A.110Sections1（i）and7（j）and101KAR2:

180SectionIIofthishandbook.

WhyDoPerformanceEvaluations?

∙Performanceevaluationisauniversallyrecognizedmanagementtool.

∙Performanceevaluationimprovescommunicationwithemployeesbyinvolvingthemintheevaluationprocess.

∙Performanceevaluationprovidesawrittenrecordtosupportpersonneldecisionssuchassalaryadvancements,promotionsanddemotions.

∙Performanceevaluationprovidesawaytohelpachieveagencymissions,goalsandobjectives.

∙Performanceevaluationhelpsemployeesknowclearlywhattheirjobdutiesareandisexpectedfromthem.

∙Performanceevaluationsletmanagersandsupervisorsseehowproductivetheiremployeesareincarryingouttheirjobduties,anditisthelaw.（SeeKRS18A.110Sections1（i）and7（j）.Alsosee101KAR2:

180.）

SystemObjectives

∙Fairnessandacceptabilitytoemployees.

∙Improvedcommunicationbetweenevaluator（supervisor）andemployeeaboutjobrequirements,performanceexpectationsandtrainingneeds.

∙Mandatorycoachingandfeedbackpriortotheevaluationtoinformtheemployeeofworkstrengthsandareasneedingimprovement.

∙Consistentanduniformevaluationofindividualemployeeperformancebasedonjobrelatedfactors.

∙Improvedproductivity,enhancedquality,continuousimprovementandemployeedevelopment.

∙Tangiblerewardstoemployeeswhoperformabovejobexpectations.

∙Requiredemployeeorientationtotheevaluationsystem.

∙Requiredevaluator（supervisor）trainingontheproperuseoftheevaluationsystem.

∙Toprovideapermanentrecordofperformanceintheemployee’sfilethatmustbeconsideredindeterminingsalaryadvancements,promotions,demotionsanddisciplinaryactions.

BenefitsoftheEvaluationSystem

Forthesupervisor,thissystemwillaccomplishthefollowing:

∙focusonth