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