MASSACHUSETTS DEPARTMENT OF CORRECTION EMPLOYEE PERFORMANCE EVALUATION 103 DOC 222 TABLE OF CONTENTS DEFINITIONS GENERAL POLICY...

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1 MASSACHUSETTS DEPARTMENT OF CORRECTION EMPLOYEE PERFORMANCE EVALUATION 103 DOC 222 TABLE OF CONTENTS DEFINITIONS GENERAL POLICY FREQUENCY RECORDS MAINTENANCE APPEALS RESPONSIBILITIES OF EVALUATORS RESPONSIBILITIES OF REVIEWING AUTHORITY RESPONSIBILITIES OF CONTACT PERSON...8 Attachment A EMPLOYEE PERFORMANCE REVIEW FORM-CORRECTION OFFICER...10 Attachment B EMPLOYEE PERFORMANCE REVIEW FORM...13 Attachment C EPRS REMEDIAL DEVELOPMENT PLAN...15 Attachment D STATEMENT OF EMPLOYEE RIGHTS BU 8 AND

2 MASSACHUSETTS DEPARTMENT OF CORRECTION DIVISION: ADMINISTRATION TITLE: EMPLOYEE PERFORMANCE EVALUATION NUMBER: 103 DOC 222 PURPOSE: To establsh Department of Correcton ("Department") polcy concernng employee performance evaluatons. REFERENCES: M.G.L., Chapter 124, 1 (c) and (q). APPLICABILITY: Staff PUBLIC ACCESS: Yes LOCATION: Department's Central Polcy Fle. Deputy Commssoner of the Admnstratve Servce s Dvson Polcy Fle. Each Insttuton's Polcy Fle. Department's Personnel Polcy Manual. Each Inmate Lbrary. RESPONSIBLE STAFF FOR IMPLEMENTATION AND MONITORING OF POLICY: - Deputy Commssoner of the Admnstratve Servces Dvson - Assstant Deputy Commssoners. - Superntendents and Dvson Heads. EFFECTIVE DATE: 12/15/2012 CANCELLATION: 103 DOC cancels all prevous Department polcy statements, bulletns, drectves, orders, notces, rules or regulatons regardng employee performance evaluatons, whch are nconsstent wth ths polcy. SEVERABILITY CLAUSE: If any part of 103 DOC s, for any reason, held, to be n excess of the authorty of the Commssoner, such decson shall not affect any other part of ths polcy. January

3 DEFINITIONS 1. Achevement and Competency Enhancement System (ACES): Management tool used to evaluate and provde professonal development to Executve Branch managers. 2. Barganng Unt Employee: An employee of the Commonwealth n a job ttle n a statewde barganng unt, as certfed by the Massachusetts Labor Relatons Commsson, who s covered by an applcable collectve barganng agreement. 3. Busness Day: Monday through Frday, excludng holdays. 4. Collectve Barganng Agreement: The contract, whch apples to an employee s barganng unt. 5. Department of Correcton: A Commonwealth agency, under the auspces of the Executve Offce of Publc Safety and Securty, that s charged wth the detenton of those commtted to the custody and control of the Commonwealth. 6. Dvson of Human Resources (DHR): The Department of Correcton s Dvson of Human Resources. 7. Employee Performance Revew System (EPRS): Tool desgned to ad n the communcaton between employees and ther supervsors. Consstng of three stages, the EPRS helps defne employee dutes and the crtera for whch job performance shall be evaluated. 8. Human Resources Dvson (HRD): The Commonwealth s Human Resources Dvson, whch s a state agency fallng under the Executve Offce of Admnstraton and Fnance, responsble for the oversght of human resources and cvl servce admnstraton for the Executve Branch. 9. Management Employee: An employee so desgnated n accordance wth the provsons of M.G.L., chapter 150E who (a) partcpates to a substantal degree n formulatng or determnng polcy, or (b) asssts to a substantal degree n preparaton for the conduct of collectve barganng, or (c) has substantal responsblty, not ntally n effect, n the admnstraton of collectve barganng agreements or n Personnel Admnstraton, and (d) s not ncluded n a barganng unt. 10. Polcy: A defnte course of acton adopted or pursued by the Department that gudes and determnes present and future decsons; statement(s) of gudng prncples drectng actvtes toward the attanment of objectves and overall January

4 goals of the Department GENERAL POLICY FREQUENCY 1. Performance evaluatons shall be completed on all Department employees at the ntervals specfed n utlzng one of the followng methods: a. The Employee Performance Revew Form- Correcton Offcer (Attachment A): All employees n the ttle of Correcton Offcer I. b. The Employee Performance Revew Form (Attachment B): All other barganng unt and confdental employees. c. The Achevement and Competency Enhancement System: All management employees. 2. The July, 2000 Supervsor s Gude to Employee Performance Revew System (EPRS) shall be utlzed n conductng performance evaluatons on barganng unt and confdental employees, and the ACES Onlne System and E-Learnng modules shall be utlzed n conductng performance evaluatons on management employees. 3. The performance dmensons utlzed n completng evaluatons shall be as objectve and job-related as practcable. 4. Evaluatons shall be made by the employee s mmedate supervsor and revewed by the next level supervsor. 1. Annual: All employees shall be evaluated annually. Addtonally, pursuant to Artcle 24A, Secton 2.K of the current unt 8 and 10 collectve barganng agreement, a copy of the Statement of Employee Rghts (Attachment D) shall be gven annually to each employee covered by ths agreement at the tme of hs/her fnal performance revew. 2. Probatonary: There shall be one evaluaton performed durng the probatonary perod of a new January

5 RECORDS MAINTENANCE APPEALS or promoted barganng unt employee, whch shall be completed by the md-pont of the probatonary perod. NOTE: No more than two (2) evaluatons shall be completed on a confdental or barganng unt employee n a one-year perod. 1. One (1) copy of the completed evaluaton shall be gven to the employee evaluated and the orgnal shall be fled n the employee's personnel fle. 2. Evaluatons are confdental and access to them shall only be granted n accordance wth of 103 DOC 204, Personnel Records. 3. The Assstant Deputy Commssoner, Admnstraton s responsble for the proper flng and safeguardng of performance evaluatons n the Department s Dvson of Human Resources (DHR). 1. A barganng unt 1, 2, 3, 4A, 6, 8 or 10 employee who receves an annual revew summary ratng of below on hs/her performance evaluaton may fle an appeal through hs/her unon wth the Human Resources Dvson (HRD) of the Executve Offce for Admnstraton and Fnance wthn fourteen (14) days. 2. A barganng unt 7 or 9 employee who receves an annual revew summary ratng of below may fle an appeal wth HRD wthn twenty-one (21) days. 3. A barganng unt 4 employee who receves an annual revew summary ratng of below may fle a grevance through step II of hs/her contractual grevance procedure upon an allegaton that the ratng s clearly erroneous. 4. A management employee may appeal the denal of hs/her mert ncrement or the summary performance ratng receved on hs/her step ncrease form pursuant to the appeal process prescrbed n the Management Compensaton Revew User s Gude. 5. A confdental employee may appeal the denal of a January

6 step rase resultng from a performance evaluaton by flng a grevance under the procedures prescrbed n the Rules and Regulatons Governng Classfcaton and Pay Plan of the Commonwealth, (Salary Admnstraton Rules for Managers, Confdental and Unclassfed Employees). 6. M.G.L., Chapter 31, 6 (c) provdes an appeal procedure for permanent cvl servce employees who have completed ther probatonary perod. However, the appeal procedures n (1), (2) and (3) are not avalable to any barganng unt employee who chooses to appeal hs/her evaluaton ratng under the provsons of 6 (c) RESPONSIBILITIES OF EVALUATORS The evaluator shall: 1. Pror to each evaluaton perod dscuss wth each employee the performance dmensons and the forms and procedures to be used n evaluatng the employee's performance. In addton, nform such employee that such evaluaton may be utlzed n future personnel determnatons. 2. At least once durng the evaluaton perod, at or near the md-pont of the employee s evaluaton perod, meet wth the employee to revew the employee's progress, and n the case of a barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee, allow the employee two (2) busness days to revew the evaluaton pror to sgnng t. In addton, f the md-term revew of a barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee results n a ratng of below, jontly formulate a remedal development plan (Attachment C) wth the employee. 3. In the case of a barganng unt 1, 3, 4A or 6 employee nearng a below ratng, counsel sad employee as soon as possble n advance of hs/her fnal stage of the evaluaton as to the specfc areas that must be mproved and what the employee must do to attan a meets ratng. In the case of a barganng unt 2, 7, 8, 9 or 10 employee nearng a below ratng, counsel sad employee at least three (3) months n advance of hs/her fnal stage of the evaluaton as to the specfc areas that must be mproved and what the employee must January

7 do to attan a meets ratng ( meets or exceeds ratng - barganng unt 7 employee). 4. At or near the end of the evaluaton perod, meet wth the employee and do the followng: a. Inform the employee of the results of the evaluaton; b. Have the employee sgn the evaluaton ndcatng whether he/she agrees or dsagrees wth ts contents; c. Submt the evaluaton to the revewng authorty for revew and n the case of a barganng unt or confdental employee a determnaton of the fnal ratng the employee receves; d. In the case of a barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee, allow the employee two (2) busness days to revew the evaluaton pror to sgnng t. 5. In the case of a barganng unt 2, 7, 8, 9 or 10 employee recevng an annual revew summary ratng of below, develop a remedal plan and reevaluate the employee thrty (30) days after completon of the employee s fnal evaluaton. The employee shall be re-evaluated each thrty (30) day perod untl a meets ratng s receved or sx months pass, whchever s frst. NOTE: Durng the process of re-evaluaton, a barganng unt 2, 7, 8, 9 or 10 employee who contnues to receve a below ratng, shall be able to make a one-tme appeal of the reevaluaton. Ths appeal must be fled wthn ten (10) days of the last re-evaluaton wth HRD. However, such appeal may not be fled f the employee has already fled an appeal at the tme of the fnal below revew n accordance wth (2). 6. Submt, the results of the revew/re-evaluaton of a barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee evaluaton completed n accordance wth (6) to the revewng authorty for revew and fnal determnaton of the ratng. January

8 RESPONSIBILITIES OF THE REVIEWING AUTHORITY The revewng authorty shall (but s not lmted to): 1. Identfy supervsory personnel who shall perform evaluatons; 2. Notfy evaluators that evaluatons are due on ther staff; 3. Ensure that all evaluatons are submtted on tme; 4. Revew evaluatons and n the case of barganng unt and confdental employees make a fnal determnaton as to the ratngs each employee receves. Employees shall then sgn the evaluatons ndcatng whether they agree or dsagree wth the contents thereof; NOTE: A barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee shall be allowed two (2) busness days to revew an evaluaton pror to sgnng t; 5. Provde each employee wth a copy of hs/her completed evaluaton; 6. Upon an employee's request, meet wth hm/her to dscuss the evaluaton. The evaluator shall be notfed that the revewng authorty s meetng wth the employee evaluated and sad evaluator may be requred to attend; 7. Upon recept of a rebuttal from an employee concernng an evaluaton, attach t to the fle copy of the evaluaton; 8. Revew the results of the revew/re-evaluaton of a barganng unt 1, 2, 3, 4A, 6, 7, 8, 9 or 10 employee evaluaton and make a determnaton of the fnal ratng; 9. Desgnate a contact person to act as a lason wth the DHR RESPONSIBILITIES OF CONTACT PERSON The contact person shall: 1. Act as nformaton lason wth the DHR; January

9 2. Keep an accurate lstng of pendng evaluatons wthn the nsttuton or dvson. January

10 Attachment A MASSACHUSETTS DEPARTMENT OF CORRECTION EMPLOYEE PERFORMANCE REVIEW FORM - CORRECTION OFFICER EMPLOYEE: TITLE (GRADE): FACILITY/UNIT: PRESENT ASSIGNMENT: PERIOD OF EVALUATION: LENGTH OF PRESENT ASSIGNMENT: OCCASION FOR THIS EVALUATION: Probatonary Annual Termnaton Specal COMMENDATION DURING THIS PERIOD: DISCIPLINARY ACTION DURING THIS PERIOD: HOURS OF TRAINING DURING THIS PERIOD: SICK TIME USED DURING THIS PERIOD: DAYS OFF THE PAYROLL THIS PERIOD: UNUSED SICK TIME: INSTRUCTIONS: Evaluate employee only n areas relatve to ther dutes or assgnments durng the evaluaton perod. Some employees may be evaluated on most categores whle others, dependng on dutes or assgnments, may be evaluated n fewer categores. The employee shall not be evaluated on the nature of ther assgnment, but rather on the performance of ther desgnated assgnments and dutes. CODE: M=Meets E=Exceeds B=Below N/O=Not Observed N/A=Not Applcable DUTIES: PROGRESS REVIEW ANNUAL REVIEW Wrtes ncdent/dscplnary reports when requred by DOC and nsttutonal polcy wthn establshed tme gudelnes. M E B N/O N/A M E B N/O N/A Is alert to nmate volatons of rules and regulatons and takes approprate dscplnary acton. Wrtten reports are detaled, factual, well organzed and concse. Reports regardng nmate behavor are upheld upon supervsory revew. Follows establshed procedures for conductng searches of nmates, packages, and vstors. Takes necessary and approprate acton to avert volent nmate behavor, sucde attempts, escapes or other crses. Controls nmate movement as requred by nsttutonal polcy. Conducts complete and thorough room searches. Leaves room n same condton as t was found. In screenng packages and vstors, consstently allows only approprate tems to enter the nsttuton. Revews all daly actvty reports as drected by post orders and/or nsttutonal polcy. Consstently makes daly log entres as drected by nsttutonal polcy wthout havng to be remnded. Prepares nmate evaluaton reports (work reports, housng reports, etc.) These reports are tmely thorough and objectve as requred by nsttutonal or DOC polcy. Uses approprate call sgns and/or follows establshed procedures for operaton of two-way rado communcatons, telephone, swtchboard or base staton. Is qualfed n the use of frearms and exercses all approprate safety measures n the handlng and storng of such weapons. Makes all rounds/head counts/securty checks per nsttutonal procedures and always makes approprate log entres. Is alert to breaches of securty, safety, and fre hazards, and takes approprate correctve acton and notfes approprate staff. Conducts thorough strp searches and/or frsk searches of nmates. Mantans strct key control and adheres to all nsttutonal and DOC polcy requrements. Does not leave keys unattended and unsecured. Durng the operaton of securty grlles, doors, traps, etc., he/she mantans proper controls and ensures that nsttutonal securty procedures are consstently appled. Revews post orders and polces, and consstently performs all dutes and responsbltes contaned theren. Follows both the sprt and the letter of wrtten and oral orders. Wears hs/her unform consstently wth polcy. January

11 Is rarely, f ever, late or abusve of sck tme. If mannng an observaton post, walkng patrol, or transportng nmates, makes all telephone or rado check-ns as prescrbed by nsttutonal polcy. Other dutes The employee and supervsor should consult ther EPRS Gude for a full explanaton of the purpose and the process of employee performance revew. Detaled nstructons for completng ths form are presented n the EPRS Supervsor s Gude. A. PERFORMANCE PLANNING: Employee and supervsor meet to plan the work for the year Dscuss contrbutng role of employee n unt Dscuss and fnalze the dutes and crtera Prmary Job Dutes and Performance Crtera: On the reverse sde lst the employee's prmary job dutes from the most current poston descrpton and the performance crtera whch wll be used to evaluate the employee's performance of these dutes durng the performance perod. Copes of the reverse may be used f more space s needed. SIGNATURE: EMPLOYEE/DATE SUPERVISOR/DATE REVIEWER/DATE COMMENTS ATTACHED YES NO YES NO YES NO B. PROGRESS REVIEW: Employee and supervsor meet to help the employee meet crtera Dscuss progress for each duty Assgn advsory ratng for each duty Assgn advsory ratng for each duty PROGRESS REVIEW SUMMARY RATING: MEETS EXCEEDS BELOW SUPERVISOR'S COMMENTS: SIGNATURE: EMPLOYEE/DATE SUPERVISOR/DATE REVIEWER/DATE COMMENTS ATTACHED YES NO YES NO YES NO C ANNUAL REVIEW: Employee and supervsor meet to evaluate job performance Dscuss job performance over whole year Rate overall performance for entre year Rate performance for entre year for each duty Formulate a Development Plan at the opton of the employee PLAN ATTACHED: YES NO ANNUAL REVIEW SUMMARY RATING: MEETS EXCEEDS BELOW Supervsor's Comments (explan ratngs of exceeded or below expectatons, unantcpated contrbutons, areas of mprovement and unusual attendance patterns): SUPERVISOR: EMPLOYEE: I AGREE DISAGREE WITH THIS EVALUATION EMPLOYEE COMMENTS: SIGNATURE/DATE EMPLOYEE: SIGNATURE/DATE REVIEWER'S DETERMINATION: On the bass of my revew I have determned that the employee's ratng s: MEETS EXCEEDS BELOW January

12 REVIEWER'S COMMENTS: REVIEWER: SIGNATURE/DATE EMPLOYEE: I AGREE DISAGREE WITH THE REVIEWER'S DETERMINATION. EMPLOYEE'S FINAL COMMENTS: EMPLOYEE: SIGNATURE/DATE January

13 Attachment B The Commonwealth of Massachusetts EMPLOYEE PERFORMANCE REVIEW FORM Name: Agency: Job Ttle: Supervsor: Evaluaton Year: Locaton/Unt: Functonal Ttle: Revewer: The employee and supervsor should consult ther EPRS Gude for a full explanaton of the purpose and the process of employee performance revew. Detaled nstructons for completng ths form are presented n the EPRS Supervsor's Gude. A. Performance Plannng: Employee and supervsor meet to plan the work for the year Dscuss contrbutng role of employee n unt Dscuss and fnalze the dutes and crtera Prmary Job Dutes and Performance Crtera: On the reverse sde lst the employee's prmary job dutes from the most current Form 30 and the performance crtera whch wll be used to evaluate the employee's performance of these dutes durng the performance perod. Copes of the reverse may be used f more space s needed. Sgnatures: Employee/Date Supervsor/Date Revewer/Date Comments attached: Yes No Yes No Yes No B. Progress Revew: Employee and supervsor meet to help the employee meet crtera Dscuss progress for each duty Assgn advsory ratng for each duty Assgn advsory ratng for overall performance Progress Revew Summary Ratng: Exceeds/Excels Meets Below* *Create Remedal Development Plan Supervsor's Comments: Sgnatures: Employee/Date Supervsor/Date Revewer/Date Comments attached: Yes No Yes No Yes No C. Annual Revew: Employee and supervsor meet to evaluate job performance Dscuss job performance over whole year Rate performance for entre year for each duty Rate overall performance for entre year Formulate a Development Plan at the opton of the employee - Plan attached: yes no Annual Revew Summary Ratng: Exceeds/Excels Meets Below* *Create Remedal Development Plan Supervsor's comments (explan below ratngs, unantcpated contrbutons, areas of mprovement and unusual attendance patterns:) Employee: I agree dsagree wth ths evaluaton. Employee's Comments: Supervsor: Sgnature/Date Employee: Sgnature/Date Revewer's Determnaton: On the bass of my revew I have determned that the employee's ratng s: Exceeds/Excels Meets Below Revewer's Comments: Employee: I agree dsagree wth the revewer's determnaton. Employee's fnal comments: Revewer: Sgnature/Date Employee: Sgnature/date Attendance: Number of days sck leave used Number of days off the payroll Number of days tardy Prmary Job Dutes/Performance Crtera January

14 Page of Duty : Performance Crtera: (Performance s successful f:) ACTUAL PERFORMANCE: Progress Revew Exceeds/Excels Meets Below Annual Revew Exceeds/Excels Meets Below Progress Revew Comments: Annual Revew Comments: Duty : Performance Crtera: (Performance s successful f:) ACTUAL PERFORMANCE: Progress Revew Exceeds/Excels Meets Below Annual Revew Exceeds/Excels Meets Below Progress Revew Comments: Annual Revew Comments: Duty : Performance Crtera: (Performance s successful f:) ACTUAL PERFORMANCE: Progress Revew Exceeds/Excels Meets Below Annual Revew Exceeds/Excels Meets Below Progress Revew Comments: Annual Revew Comments: Duty : Performance Crtera: (Performance s successful f:) ACTUAL PERFORMANCE: Progress Revew Exceeds/Excels Meets Below Annual Revew Exceeds/Excels Meets Below Progress Revew Comments: Annual Revew Comments: January

15 Attachment C EMPLOYEE PERFORMANCE REVIEW SYSTEM REMEDIAL DEVELOPMENT PLAN Employee Name: Agency: Supervsor: Locaton: Poston: Evaluaton Year: FY Date of Plan: Plan Effectve as of: Part I Remedal Acton Plan The above named employee has receved a ratng of Below at Stage B Stage C. In order to attan a Meets / ratng at the next performance revew meetng, the employee must: (Lst specfc actons that the employee must take n order to attan a Meets ratng. Lst the crtera that wll measure the progress of each specfc acton.) Acton: Crtera: Acton: Crtera: Acton: Crtera: Acton: Crtera: The success of ths plan wll be revewed every thrty (30) days, untl a ratng of Meets s acheved. The date of the next revew has been scheduled for: / / (no more than 30 days from the Date of Plan). Employee Sgnature/Date Supervsor Sgnature/Date Revewer Sgnature/Date Part II (Completed up to 30 days after the RDP was mplemented) Evaluaton of the Remedal Development Plan Employee dd dd not receve a ratng of Meets. The Remedal Development Plan was successful. The Employee needs to contnue wth the Remedal Development Plan untl the tme of the next revew (no later than 30 days). Employee Sgnature/Date Supervsor Sgnature/Date Revewer Sgnature/Date January

16 Attachment D PERFORMANCE EVALUATION STATEMENT OF EMPLOYEE RIGHTS BARGAINING UNITS 8 AND 10 To know clearly what hs/her job dutes are and what hs/her supervsor expects from hm/her. To be evaluated by hs/her supervsor n a far and constructve manner To be apprsed when performance s determned to be below expectatons and to be gven the opportunty to remedy the defcent performance. To have the opportunty to respond to hs/her evaluaton and, when approprate, seek remedal revew. EMPLOYER RESPONSIBILITIES To admnster the performance evaluaton process n a far and mpartal manner. To meet wth the employee to determne EPRS duty statements for that evaluaton year. To meet wth the employee for a md-year revew to dscuss the job dutes and crtera used to evaluate job performance for the remander of the fscal year. To wrte a Remedal Development Plan for employees recevng below ratngs at Stage B or C of the EPRS process. January