Evaluating Employee Performance

1. Evaluating Employee Performance

2. Purpose of Evaluations • Communicate • Clarify job responsibilities • Provide performance feedback • Encourage employee growth • Coach, counsel or mentor • Formulate resourcing decisions

3. Types of Evaluations • Annual Appraisal-Employee Excellence Program (EEP) • Change in Position/Evaluator • Special Appraisal-Performance Improvement Plan (PIP) to correct performance deficiencies • Can be given at any time during the appraisal period. • PIP’s do not pertain to probationary employees • Probationary Review • Coaching • Retention

4. Evaluation Schedule • Evaluation Type: • Annual • Probation (2 month) Civil Service • Probation (5 month) Civil Service • Probation (8 month) Civil Service • Probation (11 moth) Civil Service • Change of Evaluator/Position • Special Evaluation • Probation (2 month) APS/PS • Probation (5 month) APS/PS • Probation (8 month) APS/PS • Probation (11 moth) APS/PS • Classification: • Exempt Civil Service • Non-Exempt Civil Service • Administrative/Professional Staff • Professional Staff

5. Employee Excellence Program (EEP) • Phase I: Performance Planning • Phase II: Performance Tracking and Interim Feedback • Phase III: Performance Appraisal Phase I (Formal) Performance Planning Phase III (Formal) Performance Appraisal Phase II (Formal or Informal) Performance Tracking & Interim Feedback

6. Employee Evaluation Program Process Phase I – Performance and development planning • Discuss General Performance Factors of the EEP form. • Review PDQ for accuracy. • Review goals and objectives. • Establish performance standards and goals. • Clarify expectations for future performance. • Establish Professional Development plan. • Establish PIP (if applicable). • Use the Employee Excellence Program Performance Evaluation Worksheet Phase I and III Performance Counseling to document the above as required.

7. Employee Evaluation Program Process Phase II – Performance tracking and interim/continuous feedback • Make needed adjustments in responsibilities, expectations, and job priorities for accuracy. • Coach/mentor and provide feedback. • Document feedback sessions (as necessary). • Provide recognition and guidance. • Review and discuss performance. • If applicable, revise PDQ from Phase I. • Use the Employee Excellence Program Performance Evaluation Worksheet Phase I & II, Performance Counseling to document the above as required. • Use as many EEP Performance Evaluation Worksheets for Phase I, II, Performance Counseling, as necessary.

9. Employee Evaluation Program Process Phase III – Annual Performance Appraisal • Prepare for appraisal discussion. • Conduct the appraisal discussion. • Include next year planning for Phase I. • Goals/objectives/measurable performance standards . • Future development opportunities. • Review PDQ for accuracy and make revisions as necessary. • Use the completed EEP Performance Evaluation Worksheets during Phase I, II, Performance Counseling to complete Phase III.

10. Phase III-I Performance Counseling • Phase I - Discuss these areas of future performance • Review PDQ for accuracy. • Review goals and objectives. • Establish performance standards. • Discuss Professional Development plan. • Use EEP Performance Evaluation Worksheet Phase I and II Performance Counseling, for Phase I • Phase III - Review these areas of performance • How well duties were performed. • Use: Phase I & II Performance Evaluation Worksheets. • Key contributions and strengths. • Areas that need improvement. • EEP Optional Employee Comments – Phase III form.

11. Phase I – Performance & Development Planning Section I-Primary Responsibilities/Objectives • Defines objectives & priorities from PDQ. • Establishes measurable performance standards. • Prevent disagreements or disputes over performance ratings. • Assists in professional development plans & PIPs. • Document using the Employee Excellence Program Performance Evaluation Worksheet Phase I and II Performance Counseling. • Use as many EEP Performance Evaluation Worksheets for Phase I and II Performance Counseling, as necessary.

12. Phase I: Measurable Performance Standards • SMART goals or objectives • Specific-what needs to be accomplished. • Measurable-how you know it is accomplished either in terms of quality or quantity. • Attainable-it can be accomplished during time frame. • Realistic or Relevant-it supports goals of department or University and is appropriate for the individual. • Time bound-addresses when an objective should be completed. • Understood by supervisor and employee

13. Phase I: Measurable Performance Standards Objective: Better job with Preview SIUE Day. • Specific • Measurable • Attainable • Relevant • Time bound

14. Phase I: Measurable Performance Standards Objective: Increase participation in the 2014 Preview SIUE Day by 20%. • Specific • Measurable • Attainable • Relevant • Time bound

15. Phase II: Performance Tracking & Interim Feedback • Regular and specific feedback on performance. • Discuss performance and attainment of objectives. • Make adjustments in responsibilities, priorities, goals, objectives, and performance standards. • May result in changes to the responsibilities or priorities set in Phase I • Supervisor and employee should initial and date revisions in Phase I to document change. • Use as many EEP Performance Evaluation Worksheets for Phase I and II Performance Counseling, as necessary. • May result in changes to PDQ. • Supervisor should revise PDQ and have employee sign. • Prevents surprises at Phase III. • Identifies performance deficiencies that may warrant a special evaluation (PIP).

16. Phase III: Preparing for the Appraisal Phase III: Complete Section II (All Employees including Managers and Supervisors; Section III for Managers and Supervisors only) EEP Form • Discuss various job components and their associated performance. • Review employees past performance. • Consider the entire job and overall performance for the appraisal time. • Review EEP Evaluation Worksheets for Phase I and Phase II Performance Counseling. • Talk to others if shared resource. • Emphasize job duties (positive/negative outcomes). • Be prepared with specifics to support ratings. • Review development plans. • Review EEP Optional Employee Comments – Phase III form (If provided)

18. Phase III: Ratings to Differentiate Performance • Indicators that may be used to differentiate the various levels of performance: • Quality of work • Quantity of work • Timeliness of work • Comprehensiveness of results • Independence • Attainment of concurrent objectives • Documentation/examples that supports rating

19. Prepare for the Appraisal Interview Phase III • Pick a location and arrange the meeting with the employee. • Plan adequate time. • Prepare to explain ratings to help distinguish performance. • Prepare for conclusion of appraisal meeting. • Prepare a final copy for review and signature. • Draft Phase I at the same time for the next evaluation period.

20. Presenting the Evaluation • Discuss how the employee performed his/her responsibilities. • When discussing positive and negative outcomes, do not confuse poor performance with a disciplinary issue. For example: • Missing Deadlines vs. Excessive Absenteeism. • Quality of work submitted vs. confidential documents in a recycle bin in an open area. • Identify contributions and strengths. • Identify performance areas that need improvement.

21. Presenting the Evaluation • Focus on employee development, responsibilities, and performance objectives. • Motivate the employee to grow and increase performance by providing assignments/tasks that will challenge and enhance their current skill sets and professional development. • Agree on development plan(s) for areas that need improvement. • Establish future expectations i.e., any major areas of responsibilities for the next performance period.

22. EEP Forms • Which form do I use? • All Professional Staff and Administrative Professional Staff • All Civil Service Employees • Probationary Professional Staff, Administrative Professional Staff, and Civil Service Employees use • SAME FORM! • EEP Performance Evaluation Form at a glance

27. RATINGS Exceeds Standards of Performance - performance consistently exceeds expected levels. A high level of proficiency is shown in most aspects of performance. Meets Standards of Performance - performance is consistently at expected levels. Meets job requirements, e.g., punctuality, dependability, efficiency. Meets Standards with Recommended Improvements - some performance deficiencies exist. A performance improvement plan (PIP) may be needed to achieve the required improvements. Does Not Meet Standards of Performance - performance is consistently below acceptable levels. Performance improvement plan (PIP) is to be established and immediate improvement is required.

28. What Do I Submit To Human Resources? • Annually • Performance Appraisal signed and dated by employee, supervisor, and the Department Administrator • Updated PDQ signed and dated by employee, supervisor, Dean, Director, and Vice Chancellor or Delegate • A Performance Improvement Plan identified during Phase III, submitted with completed EEP Performance Evaluation Form • All Performance Improvement Plans are coordinated/written in conjunction with the Office of Human Resources

29. Special Appraisal: Performance Improvement Plan (PIP) • Required when any one rating of: Does Not Meet Standards of Performance. • When performance is not satisfactory any time during the review period after coaching by supervisor (Phase II). • When insufficient progress is made any time during the review period after coaching by supervisor (Phase II). • A Special Performance Evaluation/Rating can be rendered any time during the performance year. • All Performance Improvement Plans are coordinated/written in conjunction with the Office of Human Resources

30. Performance Improvement Plan (PIP) • Contact Human Resources to review issues, Phase II performance feedback, and other performance related documentation. • Explore need for additional coaching or performance feedback. • Discuss involvement of others. • Outline areas for improvement and timeline: • Given in increments of 60 days. • Not to exceed a total of 120 days. • Office of Human Resources will be contacted/assist in drafting and approving PIP document.

32. Appraisal Do’s and Don’ts 1 Suggestions for supervisors and managers

33. Appraisal Do’s and Don’ts 1 Suggestions for supervisors and managers

34. Appraisal Do’s and Don’ts 1 Suggestions for supervisors and managers

35. Appraisal Do’s and Don’ts 1 Suggestions for supervisors and managers

36. Scenarios and Examples

37. Employee Issue: Scenario #1 You’ve received several complaints that your office phone is never answered and goes to voice mail even during normal business hours. It is the responsibility of the Office Support Assistant to answer all calls and route to the appropriate staff member. You’ve also noticed your monthly telephone billing statement reflects several long distance calls using the code assigned to the Office Support Assistant. What performance areas need improvement?

38. Answer: Scenario #1 • Identify the behavior that needs to be corrected/Phase II Performance Feedback: • Meet with the employee. • Review duties and responsibilities. • Review departmental procedures regarding telephone etiquette. • Advise of consequences if behavior is not corrected. • Document as Phase II performance counseling/feedback. • If this type of behavior continues, it may warrant a PIP to correct performance deficiency.

39. Employee Issue: Scenario #2 You inherit a long term employee of 10 years who has always received excellent ratings. They have recently used their P-card inappropriately charging questionable items to the department. As a supervisor, how would you rate this on the annual review?

40. Answer: Scenario #2 You would not rate this on the annual review, because this is a disciplinary, not a performance issue. Because this issue could lead to discipline, contact Human Resources for guidance before you counsel the employee.

41. Employee Issue: Scenario #3 You are the new chair of a department where an employee has worked for almost five years. You have noticed that the employee’s desk is generally disorganized, the employee’s work contains errors and spends too much time involved in casual conversation. Subsequent to reviewing her informal office personnel file, you noticed that this employee hasn’t been evaluated since completion of the probationary period. How would you address this issue?

42. Answer: Scenario #3 To address these performance issues, you would refer to the Phase I Performance & Development Planning and do the following with the employee: • Discuss General Performance Factors of the EEP form • Review the PDQ for accuracy • Review goals and objectives • Establish performance standards and goals • Clarify expectations for future performance • Establish Professional Development Plan to address performance discrepancies that you have observed that can be addressed with training initiatives

43. Employee Issue: Scenario #4 You have an employee that was placed on a 60-day PIP. You have met and documented their progress towards improvement. Although they improved in two of three areas where they were deficient, they still received a rating of Does Not Meet Standards of Performance in Quality of Work, specifically “is accurate and thorough”. What do you do?

44. Answer: Scenario #4 • Initiate a Special Evaluation - PIP for an additional 60 day period in order to correct the remaining deficiency. • Review and seek Human Resources approval of the additional PIP.

45. Employee Issue: Scenario #5 You have an employee that received their annual evaluation and received a Does Not Meet Standards of Performance in Section II-General Performance Factors, Job Knowledge. The employee also received a Does Not Meet Standards of Performance in Communication Skills and Interpersonal Relationships, Teamwork You have Phase II performance feedback documentation that supports the ratings. What are the next steps?

46. Answer Scenario #5 • Contact Human Resources for guidance on establishing a PIP. • Ensure you have all documentation supporting your ratings. • Implement PIP. • Closely monitor and meet weekly to evaluate progress.

47. Employee Issue: Scenario #6 Mary has served as the Coordinator of Training in your department for five years and is in the 5th month on the annual evaluation period. She has missed all but one departmental staff meeting, she has not managed her staff in accordance with Phase I expectations, and her quarterly training report was full of errors. Identify the problems in this scenario and course of action to be taken.

48. Answer: Scenario #6 • Address the following as Phase II performance feedback. • Missed all but one departmental staff meeting. • Not managed her staff in accordance with Phase I expectations. • Quarterly training report was full of errors. • Document conversation and provide copy to employee. • If still unsatisfactory, contact Human Resources for PIP guidance.

49. Employee Performance Issue: Scenario #7 Your Department Chair has recently delegated several projects to you which must be completed by the end of the fiscal year. You are in a position to delegate some of the work to your staff who are professional staff employees governed by a collective bargaining agreement. What do you do? Would you do something different if the employee was not represented by a collective bargaining agreement?

50. Answer: Scenario #7 • Conduct a Phase II performance feedback session with the employees who will assume the additional work because you are changing/adding the initial Section I-Primary. Responsibilities/Objectives; Responsibility and priority on the EEP evaluation form. • Establish and document new priorities. • Meet, discuss, and provide employee with new Phase II changes. • No difference between bargaining unit and non-bargaining unit employees.