DEPARTMENT OF JUVENILE JUSTICE PERFORMANCE MANAGEMENT SUPERVISOR OR RATER S GUIDE

Transcription

1 DEPARTMENT OF JUVENILE JUSTICE PERFORMANCE MANAGEMENT SUPERVISOR OR RATER S GUIDE DECEMBER 2013

2 TABLE OF CONTENTS Topic Page Number Supervisor or Rater s Guide (Scope & Purpose)... 4 Definitions... 4 Statutory/Rule Provisions Policy PROCEDURES... 7 Transition to One Standard Evaluation Period... 7 Agency-wide SMART Cascaded Performance Expectations... 7 Job Specific SMART Performance Expectations..7-9 The Performance Evaluation Process Second-Level Review.14 Close-out Evaluations.14 Corrective Action Plans (Performance Improvement Plans) Hard Copy vs. Electronic Copy.15 Invalid Evaluations..15 Manager s Notepad.15 Employee Quarterly Performance Reviews Calculation of Rating...16 Performance Management Reports REFERENCE AND AIDS Employee Quarterly Performance Review Form Performance Planning & Evaluation Form Components of a Good Performance Evaluation Review Session Managing Unsatisfactory Performance Tips for Providing Counseling to Improve Performance Sample Corrective Action Plan (Performance Improvement Plan) 29 Bureau of Personnel Page 2 December 2013

3 Frequently Asked Questions (FAQs) Rule 60L-35, F.A.C. (Performance Evaluation System) Glossary of Terms SMART Expectation Worksheet Point Rating Rubric Worksheet...51 Bureau of Personnel Page 3 December 2013

4 Performance Management Supervisor or Rater s Guide I. SCOPE AND PURPOSE Effective July 1, 2013, a performance evaluation module was implemented in the People First human resource information system. Effective July 1, 2014, the annual performance evaluation period for all agencies using the new module will be aligned. This guideline clarifies and documents how DJJ will approach performance management under the new performance evaluation module (July 1, 2013) and throughout the transitional period that precedes the alignment of all agency evaluation periods (July 1, 2014). II. DEFINITIONS For the purposes of this document, the definitions applicable to all terms and acronyms are those found in Rule 60L-35, F.A.C., and the attached glossary. A. Statutory Provisions Career Service Section , F.S.: Public employee performance evaluation system. A public employee performance evaluation system shall be established as a basis for evaluating and improving the performance of the state s workforce to inform employees of strong and weak points in the employee s performance, to identify training needs, and to award lump-sum bonuses in accordance with section (2), Florida Statutes. (1) Upon original appointment, promotion, demotion or reassignment, a job description of the position assigned must be made available to the career service employee. The job description may be made available in an electronic format. (2) Each employee must have a performance evaluation at least annually and the employee must receive an oral and written assessment of his or her performance evaluation. The performance evaluation may include a plan of action for improvement of the employee s performance based on the work expectations or performance standards applicable to the position as determined by the agency head. (3) The department may adopt rules to administer the public employee performance evaluation system, which establish procedures for performance evaluation, review periods and forms. Senior Management Service Section (1)(b), F.S.: (1) In order to implement the purposes of this part, the Department of Management Services, after approval by the Administration Commission, shall adopt and amend rules providing for: (b) A performance appraisal system that shall take into consideration individual and organizational efficiency, productivity and effectiveness. Bureau of Personnel Page 4 December 2013

5 Selected Exempt Service Section (1)(b), F.S.: (1) The department shall adopt and administer uniform personnel rules, records and reports relating to employees and positions in the Selected Exempt Service, as well as any other rules and procedures relating to personnel administration that are necessary to carry out the purposes of this part. (b) The department shall develop a uniform performance appraisal system for employees and positions in the Selected Exempt Service covered by a collective bargaining agreement. Each employing agency shall develop a performance appraisal system for all other employees and positions in the Selected Exempt System. The agency system shall take into consideration individual and organizational efficiency, productivity and effectiveness. B. Rule Provisions Rule 60L-35, F.A.C., Performance Evaluation System: The provisions of this rule shall be applied to this guideline. III. POLICY A. One Standard Evaluation Period of July 1 June 30 In order to consistently and effectively assess employee performance and collect performance data, as well as maximize efficiencies through the People First automated tool, the State Personnel System has adopted a statewide designated evaluation date of June 30. Consequently, the evaluation period covered by each annual performance plan is July 1 through June 30. B. Performance Expectations Agency cascaded performance expectations and job-specific performance expectations should describe the minimum necessary to achieve satisfactory performance of an essential duty or responsibility or satisfactory demonstration of an attribute or value deemed necessary for the accomplishment of an agency mission. C. Probationary Evaluations Career Service employees who are appointed with probationary status and are required to serve at least a one-year (but no more than 18-month) probationary period shall be placed in the probationary performance plan that begins on the first day of the calendar month in which they are placed in probationary status. Prior to the end of the probationary period, the rater shall complete an evaluation on these employees. NOTE: There is no mechanism to notify supervisors through of the probationary evaluation due date. The Bureau of Personnel will provide a probationary evaluation report to all managers and supervisors for proper verification regarding due dates of probationary evaluations to ensure probationary evaluations are completed on or before the end of the probationary period.) Bureau of Personnel Page 5 December 2013

6 D. Close-out Evaluations Close-out evaluations shall be conducted upon an employee receiving a promotion, demotion, reassignment, original appointment, or significantly different duties and responsibilities. Close-out evaluations shall also be conducted when an employee leaves DJJ. Close-out evaluations are required when an employee is leaving due to separation, change in supervisor, facility or program area. E. Invalid Evaluations There may be times, in instances of a grievance, agency policy decision, or other action when a determination is made, that a completed evaluation and rating are not valid. When evaluations are considered to be invalid, another evaluation shall be completed. F. Second-Level Review The second-level review is conducted by the rater s supervisor (i.e., second-level manager). In accordance with the rule, this reviewer does not have the ability to change the rating. Instead, it is the second-level manager s responsibility to ensure that evaluations are consistently conducted in accordance with agency policy and state rules and guidelines. G. Corrective Action Plans (Off-line only) Any time an employee is not meeting performance expectations during the evaluation period or when it is necessary to give an employee one or more final individual ratings below Meets Expectation, the employee may be placed on a corrective action plan, formerly known as a performance improvement plan (PIP). If this occurs, please notify the Bureau of Personnel and ensure a copy of the Corrective Action Plan is placed in the employee s official personnel file. H. Hard Copy vs. Electronic Copy The official record shall be considered to be the completed evaluation housed in the People First system. Employees, HR staff and managers will have the ability to print a copy of expectations and evaluations at any time. I. Manager s Notepad This feature in People First may be used by raters to keep track of an employee s progress throughout the evaluation period and may be used to record employee performance and any coaching or counseling activities. Raters may refer to information in the Manager s Notepad at the end of the rating period when determining the appropriate rating for employee performance. This field is not required and will not be included on the employee s final evaluation form. Comments saved to this field are subject to public records requests. J. Employee Quarterly Performance Review Form Optional The Employee Quarterly Performance Reviews are still optional in conducting performance reviews for employees on at least a quarterly basis. These forms must be provided to the Bureau of Personnel at the end of each performance evaluation period. Bureau of Personnel Page 6 December 2013

7 K. Overall Rating The average of each individual expectation rating that shall be carried out no more than two decimal places, with no rounding. The People First system will automatically perform the mathematical calculation based on scores entered for individual expectations ratings. Ratings of N None given will not be calculated in the overall rating. L. Agency Heads Agency heads who do not report to anyone or to anyone other than the Governor, Cabinet or other type of board or committee shall not be required to have a performance plan or evaluation completed. However, these employees shall be recognized in the People First system as raters or reviewers and shall be required to perform such duties, as required by the rule. IV. PROCEDURE A. Transition to One Standard Evaluation Period 1. All agencies went live in the system on July 1, 2013, and will close out with a rating on December 31, All agencies will implement SMART (Specific, Measurable, Achievable, Relevant, Timebound) expectations on January 1, 2014, with an ending evaluation date of June 30, a) The rater will enter job-specific SMART expectations into the People First system for each employee. All agency-wide cascaded SMART expectations will be prepopulated in the system. b) It is required that all employees have SMART expectations effective January 1, 2014, including those employees in probationary status. Therefore, if the expectations change, it shall be necessary for the rater to rate the probationary employee on December 31, This rating will not remove the employee from probationary status. If sufficient time has not passed to assess performance, a rating of N None given may be given. 3. All agencies will open a new evaluation period July 1, 2014, with an ending date of June 30, 2015, and expectations will be based on the SMART methodology. B. Agency-wide SMART Cascaded Performance Expectations The Department has two (2) agency-wide SMART cascaded performance expectations for the evaluation period January 1, 2014 to June 30, These expectations will be pre-populated in the People First system. C. Job Specific SMART Performance Expectations Supervisors should establish job specific SMART performance expectations at the beginning of the evaluation period. Expectations must be created using the SMART methodology to increase the likelihood that the expectation is clear, measurable and can be accomplished. Some program areas may elect to have statewide job specific expectations for certain positions. The following chart reflects additional information regarding SMART expectations. Bureau of Personnel Page 7 December 2013

8 S Specific The outcomes to be delivered are clearly defined. M Measurable The outcomes can be objectively measured and assessed. A Achievable The employee has the time and resources to accomplish the expectation. R Relevant The work and results clearly align with the goal of the team, the department or division, and the agency as a whole. T Time-bound A delivery date or schedule is clearly specified. A performance expectation shall be written to indicate the acceptable level of performance that would constitute a meets expectation rating. A 5-point rating rubric is used to identify the level and explanation of performance. The performance expectations/rating rubric must be entered into the People First system (Performance & Talent Management module). A 5-point rating rubric must: Allow a degree of flexibility to ensure that defined expectations are reasonable and leave room for mitigating circumstances. Define specifically the outcome expected (created in partnership between supervisor and employee) the final product desired for each SMART expectation. Always are defined at Level 3 the success level first! Require that the action verb used be written in the past tense because you re agreeing on what has to be successfully accomplished by the end of the rating cycle. Make the evaluation process more objective and less subjective. Note: If a supervisory position is vacant or the incumbent is out on extended leave, the next level up (in most cases the reviewer) must set expectations/rating rubric for employees reporting to that position. To ensure that performance expectations are developed properly and that they help determine whether or not an essential duty or responsibility has been satisfactorily performed or an attribute has been satisfactorily demonstrated, the following points should be kept in mind: An expectation should be stated specifically. The statement should enable the employee to know what they have to do to meet it and should enable the supervisor or rater to measure it against the employee's actual performance. The expectation should clearly state what is being measured, when it will be measured and how it will be measured. The actual performance should be something that can be observed. An expectation should be practical to measure. The most commonly used measures of performance are quality, quantity, timeliness, and cost-effectiveness. The statement should identify tasks that can be assessed and that can distinguish different levels of performance. o Quality describes how well or how thoroughly the work is performed; refers to accuracy, appearance, usefulness or effectiveness. It may be expressed in terms of an error rate, such as a number or percentage of errors allowable per unit, or as general results to be achieved if numerical rates are not feasible. Bureau of Personnel Page 8 December 2013

9 For measurements involving quality, consider usefulness, responsiveness, error rate, and feedback from users or customers. o Quantity specifies how much work must be completed within a specific period of time. For measurements involving quantity, use numbers or percentages only if tracking systems are used. o Timeliness specifies how quickly work must be produced; answers questions such as when, how soon, or within what period. In instances where definite quantity standards cannot be set, it may be possible to set time limits. Also, when work tends to fluctuate or there are seasonal trends in workload, a time per unit requirement may be a more practical means of measurement. For measurements involving timeliness, consider the best performance indicator and what is easiest to track. o Cost-effectiveness is used when performance can be assessed in terms of the amount of money saved, earned, collected or expended in the accomplishment of the work being performed. An expectation should be meaningful. It should assess how well essential duties and responsibilities are being performed or whether attributes valued by the agency are being demonstrated. The expectation should not be based on an individual s traits or person-to-person comparisons. Quantitative criteria should only be used if relevant to the job. In other words, do not measure numbers just for numbers sake. An expectation should be realistic. There should be a reasonable probability that any qualified and competent employee can meet the expectation, based on historical precedents or logical sources for comparison. It should be possible to accomplish while still presenting a reasonable challenge to the employee. An expectation should be similar for employees who are performing similar jobs. Although differences in work requirements may result in some variations, particular care should be taken to ensure that employees who are performing identical jobs are treated uniformly and that differences in expectations reflect real differences in jobs. Note: Additional information (Developing Performance Expectations Job Aid, sample performance expectations ), may be accessed as follows: Developing Performance Expectations Job Aid -+Developing+Expectations+final.pdf Sample Performance Expectations Expectation+Samples.pdf Bureau of Personnel Page 9 December 2013

10 D. The Performance Evaluation Process 1. Performance Planning Period When an employee is appointed into a new job (not later than 30 calendar days after appointment), or when they are beginning a new review period, the supervisor or rater will receive a People First generated alert to set performance expectations (SMART) for the employee. The employee s performance expectations must be based on their position description and discussed with the employee prior to the employee acknowledging receipt of the expectations through the People First system. 2. Performance Evaluation Periods Probationary Period Only those employees hired into a probationary period after July 1, 2013, will be completed in the People First system. All other probationary evaluations shall be completed off-line (on paper). On January 1, 2014, all employees are required to have SMART expectations. Therefore, all employees, including probationary employees, shall receive a closeout evaluation for their expectations received prior to the transition to SMART expectations for their performance from April 1, 2013 December 31, If the period of time is not sufficient to assess performance, a rating of N None given may be assigned. A new performance plan with SMART expectations shall be established for the rating period of January 1 June 30, As stated above, if the probationary employee was hired prior to July 1, 2013, this performance plan will not be completed in the People First system. If a probationary employee completes his or her probationary period prior to June 30, 2014, a probationary evaluation shall be completed offline and the employee will be systematically placed into the current evaluation period (January 1 June 30, 2014) for the remainder of the period. All employees, including probationary employees, shall receive a rating for the January 1 June 30, 2014 evaluation period. Those employees with more than 61 days remaining in their probationary period will be systematically placed in a special July 1 December 31, 2014 evaluation period, created only for probationary employees, until they meet the end of their probationary period. At this time, a probationary evaluation shall be completed and the employee will be systematically placed in the current evaluation period, July 1, 2014 June 30, Note: If a probationary period ends within 60 calendar days of an evaluation period, the overall ratings for the probationary evaluation shall become the employee s overall rating for the evaluation period. The supervisor should enter verbiage in the comments section for each expectation as follows, In accordance with Rule 60L (4), F.A.C., the rating for this expectation is carrying forward for this evaluation period. Bureau of Personnel Page 10 December 2013

11 Extending the Probationary Period (Off-line only) If the supervisor or rater is unable to assess a probationary employee s performance at the end of the probationary period, the probationary period may be extended in 60-day increments. At minimum, supervisors must check with the second-level supervisor prior to extending an employee s probationary period. Some program areas may require approval at a higher level than the second-level supervisor, please contact administration in your program area. The topic portion of the Performance Planning and Evaluation Form shall be completed, and mark the box which reflects Extension of Probationary Period and indicate the Extended Evaluation Period in the designated section on the form. The individual s expectations on the Performance Planning and Evaluation form shall be completed with a rating of N unable to determine. The Overall Performance Rating shall be captured as N unable to determine and the supervisor or rater shall use the comment field in this section to indicate the probationary period is being extended; why the probationary period is being extended and the dates of the extension. If the supervisor or rater is able to rate the employee with a less than satisfactory (below 3.00) rating, the employee s probationary period may be extended to provide the employee additional time to improve performance. The Overall Performance Rating will be captured as (i.e., 2.89) and the supervisor or rater shall use the comment field in this section to indicate the probationary period is being extended; why the probationary period is being extended and the dates of the extension. In these instances, the employee shall be placed on a Corrective Action Plan (Performance Improvement Plan). Please refer to pages for additional information regarding CAPs. At the end of the extended probationary period, if the supervisor or rater can assess the performance of the employee, a Probationary to Permanent evaluation shall be completed. If the employee receives an overall rating of Satisfactory or above, the employee will attain permanent status. If the employee receives an overall rating below Satisfactory, disciplinary action shall be taken in accordance with the Department s procedures. Probationary period extensions may be granted for reasons such as: Additional time to allow an employee the opportunity to achieve satisfactory performance. Additional time to allow a supervisor or rater to observe the performance of an employee who has been away from the workplace on an extended approved leave of absence. Probationary periods shall not be extended for: Absences attributed to military leave or the federal Family Medical Leave Act (FMLA). These absences shall count toward completion of the required period; or, Training or other activities that was not required or available prior to the beginning of the probationary period. Bureau of Personnel Page 11 December 2013

12 It should be noted; however, that if the probationary period is extended, it must be indicated on the Performance Planning and Evaluation Form, which must be completed on or before the end of the original probationary period. The supervisor or rater would assign a rating of N unable to determine to each performance expectation and document that the leave of absence was the reason. Failure to evaluate a probationary employee on or before the end of the probationary period or documented extension will result in the employee successfully completing the probationary period, with an overall Satisfactory rating. Probationary Evaluations Tracking Mechanism The Bureau of Personnel will track probationary evaluations on a monthly basis. The tracking method use will be: Impromptu Reports Current Month Probationary Expiration The report will be sent to all managers and supervisors for proper verification regarding due dates of probationary evaluations. Probationary Performance Evaluations/People First Managers should enter probationary performance evaluation information into the People First system. What Do I need to Do? What steps do I follow to enter evaluation data for an employee? 1. Click on My Direct Reports under the Management Tab. 2. Select an employee for whom you wish to enter data. 3. Click GO next to the Performance Appraisal option. 4. Click on the NEW button in the overview section. Bureau of Personnel Page 12 December 2013

13 5. Enter Evaluation Date (Example: 04/01/12). 6. Complete the Evaluation Type (Annual) in the details section. 7. Complete Due Date fields (one year from the evaluation date Example: 04/01/13) 8. Enter rating score 9. To record a rating of Not Applicable, NA, use a zero. 10. Click SAVE. 11. Click on the MENU button to return to the Management Home Page What Happens after the Completion of the Probationary Evaluation/Status Change PAR? The process will work as follows: New Performance and Talent Management Module Setting Performance Expectations: 1. Once the probationary evaluation and the Status Change PAR are completed, the People First system will send an alert to you to set performance expectations for the rating period ending (i.e., December 31, 2013), for the employee recently rated. 2. Log onto your People First account. 3. At the top of the page, choose Performance and Talent Management. 4. Under My Tasks you should see a notice to set performance expectations for your employee. Click set performance expectations The name of the employee will appear. Click on the employee for which you would like to set performance expectations. The performance expectation form will appear with the agency prepopulated performance expectations. You must add the same job specific performance expectations used to rate the employee during the probationary period. 5. Send the performance expectations to the employee for acknowledgement. 6. The employee must acknowledge receipt of the performance expectations. Bureau of Personnel Page 13 December 2013

14 Note: For additional information (Performance Evaluation Training Videos and User Guides) regarding the People First Performance & Talent Management module, please access at: E. Second-Level Review The second-level review is conducted by the rater s supervisor after the rater has assessed employee performance. In accordance with the rule, the second-level reviewer cannot change the rating. This review is done to ensure the rater is complying with the requirements of the rule and agency policy. The review is conducted prior to the employee receiving the evaluation and the second-level reviewer may make comments on the employee s overall rating and performance. If the rater or second-level reviewer position becomes vacant, or either is on extended leave, the next level manger will be assigned as the rater. (For additional information, please refer to pages 35-26, questions #37-#39). F. Close-out Evaluations 1. Promotion, Demotion, Reassignment or Original Appointment A close-out evaluation shall be conducted in these instances. The rater shall assess employee performance and give a rating for each individual expectation. Once the evaluation is completed, the employee shall receive new expectations and be placed in the current evaluation period for the remainder of the period. If at any time a rater feels there has not been enough time to assess employee performance, a rating of an N None given may be given 2. Lateral Lateral action appointments entail moving to positions with duties and responsibilities that are substantially the same. A close-out evaluation shall be completed for lateral appointments. 3. Significant Change in Duties Any time there are significant changes to the duties and responsibilities of a position that require new expectations to be established, the rater shall close out the current employee evaluation, giving each expectation a rating, and then create new expectations and communicate such expectations to the employee. 4. Change in Agency Any time an employee leaves DJJ and goes to another agency, the rater shall assess performance and complete an evaluation on the departing employee prior to completing the PAR (separating the employee) and prior to the last day worked. The employee will systematically be placed in the current evaluation plan at the new agency and the new rater shall create new expectations for the remainder of the evaluation period. 5. Administrative Close-out When the rater misses the 60-day deadline to complete the evaluation process, the People First system will automatically close out the evaluation in accordance with the rule. 6. Change in Supervisor A close-out evaluation shall be completed when there is a change in supervisor. G. Corrective Action Plans/Performance Improvement Plans (Off-line only) 1. At any time an employee is not performing in accordance with his or her performance expectations, an employee may be placed on a Corrective Action Plan in 60 day Bureau of Personnel Page 14 December 2013

15 increments to improve performance. These plans shall be completed outside of the People First system. a) Corrective Action Plans shall identify the areas in which the employee is not performing and the necessary actions to be taken to improve performance. b) Corrective Action Plans shall be for a specific duration, to be established in 60 day increments to improve to satisfactory performance. b) All Corrective Action Plans must be submitted to the BOP. 2. Once the employee has completed the time period established by the Corrective Action Plan and is successfully performing, the employee will continue on in the evaluation year until the end of the established evaluation period. a) If the employee s performance does not improve by the end of the Corrective Action Plan, the employee may continue the Corrective Action Plan for an additional days or be removed from the position. If the employee fails to satisfactorily complete the Corrective Action Plan, the supervisor should request disciplinary action in accordance with DJJ policy. Note: A sample Corrective Action or Performance Improvement Plan is located on Page 29. H. Hard Copy vs. Electronic Copy The official record shall be considered to be the completed evaluation housed in the People First system. Employees, HR staff and managers will have the ability to print a copy of expectations and evaluations at any time. I. Invalid Evaluations If it is found that an evaluation rating was not done in accordance with the rule and/or agency policy (e.g., the employee never got written notice he was performing poorly; the rater did not follow the procedures, etc.) and a determination is made that a completed evaluation should be marked invalid, a copy of the evaluation shall be printed, sealed in an envelope, marked invalid and placed in the hard copy in the official personnel file. Then a designated member from the BOP shall call the People First Service Center and the employee will be put back into the evaluation phase. At this time, the rater will then be required to re-evaluate the employee correctly and the corrected evaluation will become the most current, official evaluation on record. The electronic audit log will capture the activity in the People First system so the history will be reflected in the electronic record. J. Manager s Notepad This feature is intended to be a tool that raters may use to keep track of employee performance throughout the rating period. It can serve as a place to document employee performance so that the rater may use the information when preparing the final evaluation. This feature is only visible to the rater and when the evaluation becomes final the notes are not shared with the employee. Any notes captured throughout the evaluation period are subject to a public records request and may be obtained by viewing the audit log. Therefore, this feature should only be used to capture activities as they directly relate to assessing performance. Bureau of Personnel Page 15 December 2013

16 K. Employee Quarterly Performance Reviews Optional The Employee Quarterly Performance Review Form (refer to pages 19-19) is still optional in conducting performance reviews for employees performance on at least a quarterly basis. Raters or supervisors may use this form to address performance expectations and objectives and to provide feedback (i.e., comments, guidance and direction) to employees in meeting the performance expectations. L. Calculation of Rating Ratings of a 5 through 1 or N shall be given for individual performance expectations in accordance with Rule 60L-35, F.A.C. The average of each scored expectation will be automatically calculated by the People First system and will be carried out to the second decimal place. M. Performance Management Reports Performance management reports may be generated with the Performance & Talent Management module within People First. For instructions regarding processing performance management reports, may be accessed at: nagement+reports+instructional+guide.pdf Bureau of Personnel Page 16 December 2013

17 References and Aids DJJ Employee Quarterly Performance Review Form Optional Performance Planning & Evaluation Form Components of a Good Performance Evaluation Review Session Managing Unsatisfactory Performance Tips for Providing Counseling to Improve Performance Sample Corrective Action Plan (Performance Improvement Plan) Frequently Asked Questions (FAQs) Rule 60L-35, F.A.C. Glossary of Terms SMART Expectation Worksheet 5-Point Rating Rubric Worksheet For additional information contact: Department of Juvenile Justice Bureau of Personnel 2737 Centerview Drive Tallahassee, Florida Sylvia Baker at (850) Bureau of Personnel Page 17 December 2013

18 FLORIDA DEPARTMENT OF JUVENILE JUSTICE Rick Scott, Governor Wansley Walters, Secretary EMPLOYEE QUARTERLY PERFORMANCE REVIEW Employee Name: PF ID: Program Area: Job Title: Position #: Date of Review: Performance Review Period From: to This Performance Review form is intended as a tool for supervisor or rater to address employee performance expectations and objectives and to provide comment, guidance and direction to employees in meeting those expectations. Supervisors or raters should conduct performance reviews with each employee at least quarterly. This form is not intended as, and does not take the place of, the yearly performance evaluation required by state statute, administrative rule and agency policy. Key Performance Expectations: Performance Achievements: Areas Targeted for Improvement: Supervisor or Rater s Directions to Employee: Bureau of Personnel Page 18 December 2013

19 Employee Response: Please sign below and provide a copy to the employee. Return the original copy to the Bureau of Personnel with the employee s annual performance evaluation. Employee Signature (does not necessarily signify agreement) Supervisor or Rater s Signature Date Date Date of Next Performance Review: Bureau of Personnel Page 19 December 2013

20 Employee Name: DEPARTMENT OF JUVENILE JUSTICE PERFORMANCE EVALUATION SYSTEM PERFORMANCE PLANNING & EVALUATION FORM People First ID Number: Division: Bureau: Section: Class Title: Position Number: Location: Performance Evaluation Period Covered From: To: Evaluation type (check one) Extension of Probationary Period Probationary to Permanent Interim Annual Special Extended Evaluation From: To: Period: PERFORMANCE PLANNING The planning portion of this form is intended to be used by the supervisor or rater to identify, review, and discuss specific performance expectations on which the employee shall be evaluated and for which the employee is responsible for achieving during the evaluation period. The supervisor or rater shall also review the overall and individual rating scales with the employee during the performance planning session. The expectations developed during performance planning are not intended to account for all assignments and work expectations, only those identified as critical or a higher priority. Performance Expectations Performance Expectations are statements that describe satisfactory performance of essential duties or responsibilities listed in the position description or satisfactory demonstration of attributes or values that the agency deems necessary for the accomplishment of its core missions. The following scale shall be used to rate each individual performance expectation. INDIVIDUAL PERFORMANCE EXPECTATIONS RATING SCALE 5 EXCEPTIONAL: Employee consistently exceeds the performance expectation of the position. Examples include, but are not limited to: The employee requires little or no supervision from management in accomplishing his/her tasks and seeks opportunities to enhance the organization. The employee possesses highly advanced job knowledge. The employee is relied upon to solve complex problems and applies creativity and innovative approaches in formulating solutions. 4 ABOVE EXPECTATION: Employee consistently meets and often exceeds the performance expectation of the position. Examples include, but are not limited to: The employee requires minimal supervision from management in accomplishing his/her tasks. The employee possesses a thorough knowledge of the job, and often solves or assists in solving complex problems. 3 MEETS EXPECTATION: Employee consistently meets and may occasionally exceed the performance expectation of the position. Examples include, but are not limited to: The employee requires moderate supervision from management in accomplishing his/her tasks. The employee possesses sufficient knowledge and/or initiative to execute his/her duties and responsibilities. 2 BELOW EXPECTATION: Employee exhibits inconsistent job performance, but has the capacity to improve to meet the performance expectation of the position. Examples include, but are not limited to: At times the employee requires close supervision where he/she should be operating on his/her own. The employee sometimes lacks the initiative, and/or job knowledge to execute his/her duties and responsibilities. 1 UNACCEPTABLE: Employee consistently fails to meet the designated performance expectation. Examples include, but are not limited to: The employee requires close supervision and his/her work requires continual correction. The employee s job knowledge is insufficient to meet daily requirements. N NONE GIVEN: No longer applicable or unable to determine. PERFORMANCE EXPECTATIONS/EVALUATION EXPECTATIONS/5-POINT RATING RUBRIC Customer Service EVALUATION RATING COMMENTS REQUIRED FOR RATINGS 5, 4, 2 or 1 In Interactions with all customers, including youth, parents, stakeholders, co-workers, and/or members of the public, employee responds to information requests or issues in a timely, courteous, honest, professional, and respectful manner and demonstrates a willingness to assist others N Bureau of Personnel Page 20 December 2013

21 . 5 Responded (timely more than 95% of time) with 0 complaints. 4 Responded (timely 90-95% of time) with 0 complaints. 3 Responded (timely 80-89% of time) with 0 complaints. 2 - Responded (timely 70-79% of time) or has 1 customer complaint. 1 Responded (timely less than 70% of time) or 2 or more customer complaints. Dependability N Completes assignments in a thorough, accurate, and timely manner. Adapts well to changes in work environment, work schedules, and work content and load. 5 The employee had no incidents or complaints during the rating period. 4 The employee had 1-2 incidents or complaints during the rating period. 3 The employee had 3-4 incidents or complaints during the rating period. 2 The employee had 5-6 incidents or complaints during the rating period. 1 The employee had 7 or more incidents or complaints during the rating period N N N N N N N Bureau of Personnel Page 21 December 2013

22 N N OVERALL RATING SCALE NUMERIC RANGE OVERALL RATING Outstanding Commendable Satisfactory Needs Improvement 2.49 and below Unsatisfactory OVERALL RATING Adding the score from each performance expectation and dividing the sum by the number of expectations assessed will provide the employee s annual performance rating. Note: Expectations assessed as N should not be calculated as an expectation scored. Calculate as follows: Total of all scores divided by number of expectations scored = (Employee Performance Rating By The Supervisor or rater) OVERALL RATING: Bureau of Personnel Page 22 December 2013

23 PERFORMANCE EVALUATION FORM PERFORMANCE EVALUATION PERIOD COVERED: From To EMPLOYEE S PERFORMANCE RATING BY THE SUPERVISOR OR RATER This is to acknowledge that my supervisor or rater and I have reviewed and discussed the evaluation and rating for the evaluation period covered by this form. Employee s Signature: Date: Employee s Comments (optional) Supervisor or rater s Name (Print) Supervisor or rater s Signature: Date: Supervisor or rater's Comments (optional): Reviewer s Name (Print) Reviewer s Signature: Date: Reviewer s Comments (optional): Bureau of Personnel Page 23 December 2013

24 PERFORMANCE PLANNING FORM Note to Supervisor or rater: Use this form at the beginning of the review period to discuss the performance expectations with the employee for this position. Please provide the employee with a copy of the performance expectations, which are listed in the Performance Planning & Evaluation Form. The employee will be rated on these expectations during the next evaluation period. Ensure the completion of the Performance Planning Form and provide a copy to the employee. Retain the original Performance Planning Form and attach it to the Performance Evaluation Form at the end of the evaluation period. PERFORMANCE PLANNING PERIOD COVERED: From To This is to acknowledge that my supervisor or rater and I have reviewed and discussed: The individual performance expectations by which I shall be evaluated during the evaluation period identified above. The rating scale to be used to rate each individual performance expectation during the evaluations period identified above. The Overall Rating scale, the average of each individually rated performance expectation that shall determine the final overall performance rating. Employee s Name (Print) Employee s Signature: Date: Supervisor or rater s Name (Print) Supervisor or rater s Signature: Date: Bureau of Personnel Page 24 December 2013

25 COMPONENTS OF A GOOD PERFORMANCE EVALUATION REVIEW SESSION How well a supervisor or rater is able to plan for and review the performance of the people who report to him or her will have an important and direct effect on how well employees perform their jobs and how satisfied they are working for the supervisor or rater, and the organization. The review session itself can be the single most significant part of the evaluation process. There are three reasons why the review session is so important. First, the employee will remember the session and what was said because it is a prime indicator of the supervisor or rater s attitude, perceptions and assumptions about the employee. The employee s reaction to the information shared by the supervisor or rater will leave a lasting impression as to how the supervisor or rater will view the employee in the future. Second, the employee will use the information from the review session to make assumptions as to how the supervisor or rater values or devalues work. If little positive feedback is given, the employee may presume that quality work is not valued. If poor work is overlooked, the employee likewise may presume quality work is not valued. If, on the other hand, there is little or no feedback, the employee is left wondering as to whether their work was good, bad, valued or not valued, necessary or may assume their work is acceptable when it is not. Third, because the supervisor or rater represents the entire organization to the employee, employees often presume that the supervisor or rater s attitude and behavior is representative of all managers. Supervisors or raters must be able to communicate effectively if the system is to work. Employees too, must communicate. Active listening, coupled with a positive attitude will go a long way in making the performance evaluation review session a success. RESPONSIBILITIES OF THE SUPERVISOR OR RATER It is the supervisor or rater s responsibility to make sure that all of the employees who report to him or her know exactly what is expected of them, the basis on which their job performance will be reviewed and that they will receive regular and constructive feedback and coaching from the supervisor or rater as necessary throughout the review period. It is also the supervisor or rater s responsibility to prepare a formal, written performance evaluation of each employee s performance at least annually and to meet with each employee in order to discuss the performance evaluation with them. If this evaluation is completed correctly, the contents discussed in the evaluation review session should consist largely of information previously discussed with the employee. There should be few, if any, surprises for the employee when the annual review session is conducted. Bureau of Personnel Page 25 December 2013

26 MANAGING UNSATISFCTORY PERFORMANCE The Performance Evaluation System is a method for reviewing, planning and evaluating employee job expectations and performance. The system enables employees to receive feedback concerning performance of assigned duties and responsibilities. It informs them of their strengths and areas of needed improvement in job performance, helps to identify current and future training needs, and provides documentation for awarding discretionary merit increases, and lump sum bonuses in accordance with Section (2), Florida Statutes. At any time, if an employee is not meeting expectations, the supervisor or rater shall inform the employee in writing of deficiencies and identify corrective action to be taken, prior to the end of the evaluation period, in order to facilitate the employee s progress toward meeting performance expectations. This document was created to assist supervisors or raters in addressing problem performance. Define the Problem What specifically is the employee doing wrong? Do: Have first-hand knowledge Observe performance for yourself Know the specific areas of weakness Know how extensive the problem is Remain calm Don t: Talk in generalities Pick isolated incidents Rely on hearsay Allow yourself to become emotional. Determine the Cause Once you have defined the problem, ask yourself the following questions: 1. Does the employee know performance is unsatisfactory? 2. Does the employee know what is supposed to be done and when? 3. Are there obstacles preventing the employee from performing? 4. Does the employee know how to do the task? 5. Could the employee perform the task if he or she wanted to? If the answer is Yes to each question, then the supervisor or rater is responsible for redirecting the employee s behavior through coaching and taking appropriate action if the behavior does not improve. If the answer is No to any of the questions, then the supervisor or rater should provide the employee with feedback to identify the problems; develop a written work plan to identify what needs to change; remove any obstacles preventing the employee from performing; and provide any necessary training. Once this has taken place, the supervisor or rater should see improvement in performance. If no improvement occurs, then the supervisor or rater should take appropriate action. There is not a requirement to place an employee on a work plan prior to taking disciplinary action. Bureau of Personnel Page 26 December 2013

27 TIPS FOR PROVIDING COUNSELING TO IMPROVE PERFORMANCE Once a performance problem has been identified and the cause as been determined, it then becomes time to develop an effective performance plan to bring the employee s performance back into productivity. The following are tips to assist supervisors or raters in this process: Ideas for keeping performance evaluations up to date and free from legal challenges. 1. Make sure the deficiencies actually exist and they are not perceived deficiencies. 2. Be on the lookout for performance standards that are unclear, subjective, or not communicated to everyone. Ensure standards can be observed and that there are job-related measurements and not assessed on personal traits or individual feelings. 3. Avoid misunderstandings over what must occur. Does Below Expectation or Needs Improvement automatically lead to termination? Does it place time limits for needed improvements? Solidify the guidance to improve performance by providing a step-by-step approach for necessary improvements. Timing is important evaluations that refer to Outstanding work performance or documentation that recognizes the Exceptional or Commendable performance followed closely by a severe drop in performance should be checked immediately. Some supervisors or raters tend to use evaluations as a management tool, and not as a source of information to assist employees. Supervisors or raters tend to bring their own values to the process. Here are some of the reasons (not necessarily valid ones) that supervisors or raters may have for inflating the evaluation: 1. To boost the spirits of an employee who has been distracted by a personal problem 2. To avoid confrontations with difficult employees 3. To get difficult employees promoted out of the section 4. To hide personnel problems from higher level managers 5. To ensure that all employees remain eligible to receive legislative pay adjustments It is important that employees understand that a value of 3 means the employee is consistently meeting (and sometimes exceeding) the expectation in question. Additionally, an overall rating in the Satisfactory range is the norm and does not equate to being just a C rather than a B or A student. Here are some of the reasons (once again not necessarily valid ones) supervisors or raters may have for reducing the evaluation: 1. To subdue a troublesome employee 2. To induce fear as a motivation to improve performance Bureau of Personnel Page 27 December 2013