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					Performance Evaluation

                       State of Tennessee
                 Department of Human Resources

                                                           Printable Version



This PDF Version of the Performance Evaluation Workshop
                is an ADAAA resource only.
     It does not provide course completion capability.




                         Tennessee Department of Human Resources
                              Strategic Learning Solutions Division
                                      505 Deaderick Street
                                James K. Polk Building, 1st Floor
                                      Nashville, TN 37243
                        http://www.tn.gov/dohr/learning/learning.html
                           “Integrating Knowledge & Performance”




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Table of Contents
Module 1: Performance Evaluation Is Important ..................................................................... 7
   Introduction............................................................................................................................................... 7
   What You Will Learn in This Module ......................................................................................................... 7
   The Performance Evaluation Purpose ....................................................................................................... 7
   More about the Purpose ........................................................................................................................... 7
   Using the Performance Evaluation Program ............................................................................................ 8
   Fairness in Performance Evaluation .......................................................................................................... 8
   Performance Evaluation and Fairness ...................................................................................................... 9
   More Aspects of Fairness .......................................................................................................................... 9
   When Problems Occur ............................................................................................................................... 9
   Subjective Versus Objective....................................................................................................................... 9
   A Subjective Evaluation ............................................................................................................................. 9
   An Objective Evaluation .......................................................................................................................... 10
   Check Your Understanding ...................................................................................................................... 10
   Answers to Check Your Understanding ................................................................................................... 10
   What You Have Learned.......................................................................................................................... 11
Module 2: Performance Evaluation Rules, Systems, and Forms ............................................. 12
   Introduction............................................................................................................................................. 12
   What You Will Learn in This Module ....................................................................................................... 12
   The Rules, Systems, and Forms ............................................................................................................... 12
   The Performance Evaluation Program .................................................................................................... 12
   The Performance Evaluation Process ...................................................................................................... 13
   Additional Rules ...................................................................................................................................... 14
   The Performance Evaluation Cycle.......................................................................................................... 14
   Five Steps in the Cycle ............................................................................................................................. 14
   The Performance Evaluation System ...................................................................................................... 15
   Forms Used in Steps 1 and 2 ................................................................................................................... 15
   Rating Forms Used in Step 3 ................................................................................................................... 16
   Examining Types of Rating Forms ........................................................................................................... 16
   Selecting the Appropriate Rating Forms ................................................................................................. 16
   What You Have Learned.......................................................................................................................... 17
Module 3: Performance Evaluation Cycles ............................................................................. 18
   Performance Evaluation: Who, What, and When? ................................................................................. 18
   Players in the Performance Evaluation Cycle .......................................................................................... 18
   The Performance Evaluation Cycle: When? ............................................................................................ 18
   The Probationary Evaluation Cycle ......................................................................................................... 19
   Trina's Next Six-Month Evaluation .......................................................................................................... 20
   Flex Positions ........................................................................................................................................... 20
   More about Flex Employees .................................................................................................................... 20
   Monica's Dilemma .................................................................................................................................. 21
   Scheduling the Evaluation Cycle.............................................................................................................. 21
   Scheduling Probationary Evaluation Cycles ............................................................................................ 21
   What You Have Learned.......................................................................................................................... 22




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Module 4: Developing a Job Performance Plan ...................................................................... 23
   Success .................................................................................................................................................... 23
   Job Performance Planning ...................................................................................................................... 23
   What You Will learn ................................................................................................................................ 23
   The Job Performance Planning Process................................................................................................... 24
   Monica's View ......................................................................................................................................... 24
   The First Step: Talking With Your Employees .......................................................................................... 24
   Getting Started........................................................................................................................................ 25
   It Is to Your Benefit .................................................................................................................................. 25
   The Second Step: Assembling Your Lists.................................................................................................. 25
   Functions and Tasks Versus Responsibilities and Expectations .............................................................. 26
   Job Catalogs ............................................................................................................................................ 26
   Identifying Unique Functions and Tasks.................................................................................................. 26
   Assembling the Lists ................................................................................................................................ 27
   An Example of Pete's Job Functions and Associated Tasks ..................................................................... 27
   Turning Job Functions into Job Responsibilities ...................................................................................... 27
   Subjective Versus Objective..................................................................................................................... 28
   The Five Points of a Good Behavioral-Based Statement ......................................................................... 28
   Rewording Tasks to Behavioral-Based Statements................................................................................. 28
   The Characteristics of Exceptional Performance Statements ................................................................. 29
   Creating Exceptional Performance Statements ...................................................................................... 29
   Reviewing Performance Expectation Statements ................................................................................... 30
   Reflecting on Your Review ....................................................................................................................... 30
   Pete's Job Responsibility and Related Performance Expectation Statements ........................................ 31
   Capturing Your Planning Information ..................................................................................................... 31
   The Third and Fourth Steps in the Process .............................................................................................. 32
   A Good Review Meeting .......................................................................................................................... 32
   The Fifth Step: Enter Information on the Appropriate Forms ................................................................. 32
   Elements of an Evaluation Form ............................................................................................................. 32
   Performance Planning and the Evaluation Form .................................................................................... 33
   Filling Out an Evaluation Form ................................................................................................................ 34
   Pete's Forms ............................................................................................................................................ 34
   Using the Forms ...................................................................................................................................... 34
   System 2A Rating Forms ......................................................................................................................... 34
   The Sixth Step: Tie the Process Together ................................................................................................ 35
   Moving Ahead ......................................................................................................................................... 35
   What You Have Learned.......................................................................................................................... 35
Module 5: Principles of Giving Feedback ............................................................................... 36
   Introduction............................................................................................................................................. 36
   What You Will Learn in This Module ....................................................................................................... 36
   Considering the Issue of Feedback .......................................................................................................... 36
   Defining Feedback ................................................................................................................................... 37
   Illustrating the Importance of Feedback ................................................................................................. 37
   Criticism Versus Feedback ....................................................................................................................... 37
   Examples of Criticism and Feedback ....................................................................................................... 38
   Giving Feedback ...................................................................................................................................... 38
   Giving Feedback: Six Steps ...................................................................................................................... 39
   Step 1: Explain the Purpose of the Meeting ............................................................................................ 40
   Step 2: Describe the Observed Behavior ................................................................................................. 40
   Step 3: Express Feelings and Emphasize Impact ..................................................................................... 41
   Step 4: Ask for Input ................................................................................................................................ 41


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   Steps 5 and 6: Action Plan and Further Review ...................................................................................... 41
   Giving Feedback ...................................................................................................................................... 42
   Debrief ..................................................................................................................................................... 42
   What You Have Learned.......................................................................................................................... 42
Module 6: Completing an Interim Review.............................................................................. 43
   What You Will Learn in this Module........................................................................................................ 43
   Stepping Back .......................................................................................................................................... 43
   Interim Reviews ....................................................................................................................................... 43
   It Is to Your Advantage ............................................................................................................................ 44
   The Phases of the Review Process ........................................................................................................... 44
   Phase 1: Preparing for the Review .......................................................................................................... 44
   Deciding When to Review ....................................................................................................................... 44
   Getting Started........................................................................................................................................ 45
   Monica's View ......................................................................................................................................... 45
   Reflecting on Present Performance ......................................................................................................... 45
   Monica's View ......................................................................................................................................... 46
   Phase 2: Performing the Review ............................................................................................................. 46
   The Rating Scale ...................................................................................................................................... 46
   The Meeting ............................................................................................................................................ 47
   Monica's View ......................................................................................................................................... 47
   Next Steps and Consequences ................................................................................................................. 47
   Monica's Views........................................................................................................................................ 47
   Monica's View of Performance Problem 1 .............................................................................................. 47
   Monica's View of Performance Problem 2 .............................................................................................. 48
   Meeting Review ...................................................................................................................................... 48
   Talking with Your Employees .................................................................................................................. 48
   Respecting and Acknowledging Your Employees .................................................................................... 48
   Monica: Respecting and Acknowledging ................................................................................................ 49
   Encouraging and Praising Your Employees ............................................................................................. 49
   Monica: Encouraging and Praising ......................................................................................................... 49
   Listening to and Empathizing with Your Employees ............................................................................... 49
   Monica: Listening and Empathizing ........................................................................................................ 50
   Involving and Supporting Your Employees .............................................................................................. 51
   Monica: Involving .................................................................................................................................... 51
   Supporting Your Employees .................................................................................................................... 51
   Monica: Supporting ................................................................................................................................. 52
   Using the Key Behaviors When Talking with Your Employees ................................................................ 52
   Phase 3: Documenting the Review .......................................................................................................... 52
   The Importance of Accurately Documenting the Review ........................................................................ 53
   Capturing Review Information ................................................................................................................ 53
   Describing Your Employee's Present Performance Information ............................................................. 53
   Describing Your Employee's Future Performance Information ............................................................... 53
   A Good Review ........................................................................................................................................ 53
   Signing the Forms.................................................................................................................................... 54
   What You Have Learned.......................................................................................................................... 54
Module 7: Coaching During the Evaluation Cycle ................................................................... 55
   Introduction............................................................................................................................................. 55
   What You Will Learn in This Module ....................................................................................................... 55
   Defining Coaching ................................................................................................................................... 55
   Understanding Coaching ......................................................................................................................... 56
   The Benefits of Coaching ......................................................................................................................... 56


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   Illustrating the Benefits of Coaching ....................................................................................................... 56
   The Coaching Process .............................................................................................................................. 57
   Six Steps in the Coaching Process............................................................................................................ 57
   Identify the Coaching Opportunity .......................................................................................................... 57
   Initiate a Coaching Discussion................................................................................................................. 58
   Example of a Coaching Discussion .......................................................................................................... 58
   Express Empathy and Offer Coaching Suggestions ................................................................................. 59
   Support Exceptional Performance........................................................................................................... 59
   Model Exceptional Performance ............................................................................................................. 59
   Motivate and Measure the Results ......................................................................................................... 60
   Applying the Six Steps ............................................................................................................................. 60
   Debrief ..................................................................................................................................................... 61
   What You Have Learned.......................................................................................................................... 61
Module 8: Completing the Formal Evaluation ........................................................................ 62
   Formal Evaluations.................................................................................................................................. 62
   What You Will Learn in This Module ....................................................................................................... 62
   The Formal Evaluation Process ............................................................................................................... 62
   Step 1: Evaluate Your Employee's Performance ..................................................................................... 63
   Reviewing Performance Plans ................................................................................................................. 63
   Review Your Employee's Interim Reviews ............................................................................................... 63
   Reflecting on Performance ...................................................................................................................... 64
   Monica's View ......................................................................................................................................... 64
   Rating Performance ................................................................................................................................ 64
   A Rating of 1 ............................................................................................................................................ 64
   A Rating of 2 ............................................................................................................................................ 65
   A Rating of 3 ............................................................................................................................................ 65
   A Rating of 4 ............................................................................................................................................ 65
   A Rating of 5 ............................................................................................................................................ 65
   The Two Critical Decision Points in the Rating Scale ............................................................................... 66
   Monica's View ......................................................................................................................................... 66
   Step 2: Document Your Employee's Performance ................................................................................... 66
   The “Does Not Apply” or N/A Option ...................................................................................................... 67
   Performance Documentation .................................................................................................................. 67
   Documenting Pete’s Performance .......................................................................................................... 68
   The Overall Rating Scale ......................................................................................................................... 69
   Deciding the Overall Rating .................................................................................................................... 70
   Importance Levels ................................................................................................................................... 70
   Monica's View ......................................................................................................................................... 70
   Capturing Evaluation Information .......................................................................................................... 71
   Your Explanation ..................................................................................................................................... 72
   Monica's Explanation .............................................................................................................................. 72
   A Good Review ........................................................................................................................................ 72
   Step 3: Talking with Your Employees ...................................................................................................... 72
   Monica Being Honest and Complete with Her Explanation .................................................................... 73
   Monica Asking for Reactions and Listening ............................................................................................ 73
   Monica Concentrating on Performance .................................................................................................. 73
   Monica Explaining What to Do for Higher Ratings ................................................................................. 74
   Monica Setting Specific Goals ................................................................................................................. 74
   Monica Being Supportive ........................................................................................................................ 74
   Using the Guidelines with Your Employees ............................................................................................. 75
   Steps 4 and 5: Sign-offs ........................................................................................................................... 75
   What You Have Learned.......................................................................................................................... 76

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Module 9: Other Performance Management and Evaluation Considerations ........................ 77
   Introduction............................................................................................................................................. 77
   What You Will Learn in This Module ....................................................................................................... 77
   Evaluating Added Responsibilities .......................................................................................................... 77
   Evaluating Added Responsibilities Scenario ............................................................................................ 78
   Evaluation and Supervisory Changes ...................................................................................................... 78
   Job Performance Planning Scenario 1 ..................................................................................................... 79
   Job Performance Planning Scenario 2 ..................................................................................................... 79
   Role of the Reviewer ............................................................................................................................... 79
   Working with the Reviewer ..................................................................................................................... 80
   The Importance of Reviewer Endorsement ............................................................................................. 80
   Changing the Performance Evaluation ................................................................................................... 80
   The Grievance Policy ............................................................................................................................... 81
   What You Have Learned.......................................................................................................................... 81
Glossary................................................................................................................................. 82
Resources .............................................................................................................................. 84
   Learning Aids ........................................................................................................................................... 84
   Additional Resources ............................................................................................................................... 84




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Module 1: Performance Evaluation Is Important

Introduction
As a supervisor or manager, do you know how the Tennessee Department of Human Resources’ Performance
Evaluation Program helps you do your job more effectively? The answer to this question is quite simply that
without a performance evaluation program there would not be an evaluation cycle* that provides you with an
objective and effective method for planning, reviewing, and evaluating the on-the-job performance and
achievements of the personnel you supervise.
As a supervisor, you already discuss responsibilities and assignments with your employees. The performance
evaluation program provides structure to document and better facilitate communication between you and your
employees.
* The evaluation cycle is a period of time encompassing the five components of performance evaluation: job
performance planning, interim reviews, the formal evaluation, continuous evaluation oversight by the reviewer,
and sign-off by the appointing authority.




What You Will Learn in This Module
In this module, you will explore the state's performance evaluation program by:
          Identify the purpose of the program
          Identify the manager/supervisor behaviors that reduce the effectiveness of the performance evaluation
          Recognize the key components for fairness of the program
          Distinguishing between subjective and objective statements

One thing is certain. The more you understand about the performance evaluation program, the easier it will be for
you to carry out your evaluation responsibilities effectively. You will also be able to clearly explain the process to
your employees. Now, let us get started.




The Performance Evaluation Purpose
To begin, learn what some experienced agency managers and supervisors have to say about the performance
evaluation program.
          One TDOT supervisor says that he thinks of the performance evaluation program as a road map because it
          helps him keep track of where each employee is in the performance evaluation cycle.
          A General Services agency manager says that using the performance evaluation program provides her
          with the guidance she needs to provide her employees with fair and objective evaluations of their job
          performances.
          A Department of Correction supervisor says that he finds the performance evaluation program an
          efficient way to help him create job performance plans for the people on his team.


More about the Purpose
The performance evaluation program has an administrative and a developmental purpose.
          The performance evaluation program serves an administrative purpose by:
                  providing a formal record of employee performance
                  supporting personnel and other administrative actions that affect the employee
                  awarding performance bonus points toward job competition.




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          The performance evaluation program serves a developmental purpose by:
                   enhancing employee performance through the identification and communication of relevant job
                   responsibilities and performance expectations
                   facilitating appropriate performance feedback, coaching, and individual training and
                   development
                   maximizing the achievement of organizational goals and objectives by incorporating supportive
                   individual and group performance goals.




Using the Performance Evaluation Program
Matthew is a Human Services agency manager and Monica is a supervisor in the Tennessee Department of
Transportation. Both are attending a statewide managerial conference. During one of the breaks, Matthew and
Monica had an opportunity to talk about how they effectively use the performance evaluation program to help
realize both administrative and developmental goals within their work groups. Here is what they had to say:
Monica           "I use the evaluation system to provide a formal record of my employees' performances."
Matthew          "I do, too. Having the documentation can be useful when it comes time to make an administrative
                 decision."
Monica           "You're right about that; but in addition, I've found the system to be a great way to identify and
                 communicate to an employee what she does well and what needs improvement."
Matthew          "Yes. I also think that it helps me identify the areas where an employee needs to develop
                 additional skills through training or coaching."




Fairness in Performance Evaluation
As a supervisor or manager within state government, it is critical that you are knowledgeable about the fairness
aspects of performance evaluation.
A valid system of documented, objective job performance evaluations helps to ensure fairness when used to make
employment decisions about an employee.
To help ensure the fairness of a performance evaluation program, the following elements are required:
          Job performance standards are clearly defined in advance and available to supervisors and employees.
          Supervisors should provide open discussion, feedback, and coaching to assist employees with improving
          their performances.
          A process check for evaluators is established, which includes a review by the next higher level of
          management.
          Documentation is critical, particularly if an employee’s job performance is poor.
          There is a provision for an employee to appeal an evaluation.
          There are written guidelines and training for evaluators to help ensure that they are measuring objective
          job behavior.
          Personnel and administrative decisions are consistent with performance evaluations.




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Performance Evaluation and Fairness
Research has shown that the following questions may be asked to determine the validity of a performance
evaluation program:
          At the beginning of the performance evaluation cycle, did the rater/supervisor* state what is expected of
          the employee in the form of job standards based on assigned responsibilities?
          Did the rater evaluate and discuss the employee's performance during the performance evaluation cycle?


* The rater, or evaluator, is the person assessing the employee's performance. Usually, the rater is the employee's
direct supervisor or manager.




More Aspects of Fairness
In addition to the two factors you have already learned, these other factors may also be considered:
          Are written job performance ratings supported by specific examples of on-the-job performance?
          If the rater/supervisor was unable to directly observe an employee's performance, were surveys or
          documentation from other sources incorporated in the performance evaluation?
          Did the rater/supervisor clearly evaluate the results, not the effort or personal characteristics of the
          employee?




When Problems Occur
Most problems related to performance evaluation occur when managers or supervisors:
          don't follow established policy, guidelines, or training to promote fair and accurate evaluations,
          rate overall performance on one good or one poor performance rather than the whole evaluation period,
          give a good evaluation rating and then try to terminate an employee because of an unaddressed history
          of poor performance,
          don't inform employees of potential consequences if poor performance doesn't improve,
          use subjective rather than objective performance measurements.




Subjective Versus Objective
Let us take a few moments now to clarify the difference between subjective and objective performance
evaluations. It is important that you are aware of this distinction.
          A subjective performance evaluation is one in which the employee's job performance assessment is
          modified or affected by the personal views, experience, or background of the supervisor.
          An objective performance evaluation is one in which the employee's job performance assessment is based
          on measurable performance, behaviors, and results.




A Subjective Evaluation
As an example of a subjective evaluation, consider the following scenario.
A supervisor evaluated an employee's job performance by writing the following comment: This employee prepares
necessary documentation for the agency but has a bad attitude when asked to do so.
The supervisor rated the employee as giving only a fair job performance in the area of preparing necessary
documentation for her agency.


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Since "attitude" means the mental disposition of a person and cannot be measured, the supervisor's evaluation of
this employee was subjective because it was based on the supervisor's opinion of what constitutes a "bad
attitude."




An Objective Evaluation
For an illustration of an objective evaluation, now look at this scenario.
A supervisor evaluated an employee's job performance by writing the following comment: This employee prepares
necessary documentation for the agency promptly and correctly.
The supervisor based this employee's performance evaluation for this job responsibility on the measureable
behavior of preparing documentation promptly. The evaluation was also based on measureable results: the
employee prepares documentation correctly.
Remember: A performance evaluation must be based on measureable behaviors and results to make it objective.




Check Your Understanding
Take a moment to find out whether you can differentiate between subjective and objective performance
evaluation statements. To complete this task, you will need a pen or pencil and a piece of paper. Number your
paper from 1 to 5.
The statements below are numbered 1 to 5. Read the statements. Then next to the corresponding number on
your paper, write an "S" if you think the statement is subjective, or write an "O" if you think the statement is
objective.
     1.   This employee consistently answers public inquiries about our agency's services clearly and correctly.
     2.   This employee seems not to want to be promoted.
     3.   This employee has consistently arrived late for work, averaging 10 to 15 minutes late, two to three days
          each week during the last month.
     4.   This employee has a terrible personality.
     5.   This employee maintains accurate daily leave and time records for each employee in the department.




Answers to Check Your Understanding
Once again, remember that the performance evaluation must rate the employee based on measureable behaviors
and results, not on the subjective perceptions and opinions of the supervisor.

                       Statement                                              Objective or Subjective?
This employee answers public inquiries about our             This is an objective statement because it states the
agency's services clearly and correctly.                     measureable behavior of the employee.
This employee seems not to want to be promoted.              This is a subjective statement because it does not state
                                                             measureable behavior. It states a perception of the
                                                             supervisor that the employee "seems to not want to be
                                                             promoted."
This employee has consistently arrived late for work,        This is an objective statement because it states
averaging 10 to 15 minutes late, two to three days each      measureable behavior of the employee.
week during the last month.
This employee has a terrible personality.                    This is a subjective statement because it does not state
                                                             measureable behavior. It states an opinion that the
                                                             supervisor has about the employee's personality.
This employee maintains accurate daily leave and time        This is an objective statement because it states a
records for each employee in the department.                 measureable behavior of the employee.


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What You Have Learned
In this module, you have learned that performance evaluation is a matter that should never be taken lightly. When
performance evaluations are carried out in an objective manner, the following State of Tennessee goals are
achieved:
          employee performance and job satisfaction is maximized by encouraging and reinforcing communication
          between supervisors and employees.
          an objective basis for personnel decisions is provided.
The performance evaluations you prepare for your employees must always be prepared according to the state's
laws, guidelines, and policies. When supervisors and managers adhere to these laws, guidelines, and policies, not
only are the previously mentioned goals achieved, but also implementation problems are avoided.




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Module 2: Performance Evaluation Rules, Systems, and Forms

Introduction
Nate is a new supervisor in the Department of Labor and Workforce Development. He is scheduled to conduct an
interim review for a flexibly staffed 2A employee. At the moment, he is rifling through various file folders to try to
recall which types of forms to use. He cannot remember which forms to use and what procedures to follow.
As a supervisor who conducts performance evaluations, have you ever had an experience like Nate? Are the
details of the performance evaluation program unclear to you?
This module will help you understand the performance evaluation rules and the correct forms to use so that you
can provide accurate, timely evaluations of employee job performance in compliance with state requirements.




What You Will Learn in This Module
In Module 2, you will learn about three aspects of this program:
          the rules
          the systems
          the forms




The Rules, Systems, and Forms
To learn what some experienced agency managers and supervisors have to say about the rules, systems, and forms
of the performance evaluation program:
          A Commerce and Insurance manager says that the rules of the performance evaluation program provide
          clear guidelines to follow when planning, conducting, documenting, and using performance evaluations.
          A supervisor from Labor and Workforce Development says that System 2A of the performance evaluation
          program is designed to meet the performance planning and evaluation needs of the various departments.
          A supervisor from the Department of Mental Health says that the performance evaluation forms are
          documents that help her structure job performance planning and performance evaluation sessions. They
          also provide documentation that helps when making personnel decisions.




The Performance Evaluation Program
As a supervisor or manager with the State of Tennessee, it is critical that you understand and follow the rules of
the performance evaluation program in order to develop employees.
The performance evaluation program includes rules pertaining to:
          the evaluation cycle
          who must be evaluated
          the evaluation forms
          the evaluation process
          personnel decisions
          records
          training
          appeal.




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The rules of the performance evaluation program must be followed by supervisors or managers who are rating or
reviewing employee performance evaluations. The first three rules pertain to evaluation cycles, employees who
must be evaluated, and evaluation forms.
The first three rules of the performance evaluation program are:


     Evaluation       Evaluation cycles are determined by the Commissioner of the Department of Human
     periods          Resources. Formal written evaluations of the performance of major job duties for all
     1120-5-.02       employees, except for specified exceptions, will be provided to the department on dates
                      and forms prescribed by the Commissioner.
     Employees to     The performance of all employees in the state service will be evaluated in a manner
     be Evaluated     subject to this rule, except for:
     1120-5-.03                seasonal employees
                               part-time employees
                               limited-term employees
                               temporary employees
                               employees of the Governor's Office
                               Deputy Commissioners, Assistant Commissioners, and employees in equivalent
                               positions
                               emergency employees
                               temporary provisional employees
                               interim employees
                               Executive Service employees
     Evaluation       Evaluation forms prescribed by the Commissioner must be used to record employee
     Forms            evaluations.
     1120-5-.04




The Performance Evaluation Process
As a supervisor or manager, you are responsible for carrying out the performance evaluation process in a manner
prescribed by the Commissioner. At every step in the evaluation cycle, the reviewer* examines the evaluation of the
employee, confirming that the evaluation process has been properly completed and that the assessments have been
appropriately and logically described and reflected in the overall evaluation of the employee's job performance.
There are five steps in the job planning and performance evaluation process.
     1.   Initiate discussions with the employee to explain the performance evaluation process, major job duties
          for which performance will be assessed, and the performance necessary to achieve a high rating.
     2.   Conduct periodic job performance reviews to provide performance feedback, discuss means of enhancing
          performance, and if appropriate, discuss the consequences of mediocre or unsatisfactory performance.
     3.   Complete formal written assessments of the employee's performance, which provides the employee with
          an opportunity to agree or disagree and comment on the assessment.
     4.   Gain sign-off by completing these two tasks: have the reviewer approve the evaluation of the employee.
          The reviewer must confirm that the evaluation process has been properly completed and that the
          assessments have been appropriately and logically described and reflected in the overall evaluation of the
          employee's job performance.
     5.   Have the evaluation reviewed by the appointing authority. When the appointing authority signs the
          document, it becomes the official record of the employee's performance. This evaluation will be recorded
          and may be used in making personnel decisions.
*The reviewer is a person who checks that the performance evaluation process is being conducted properly. The
reviewer works with the supervisor (or rater) through all five steps of the performance evaluation cycle. The
reviewer is almost always the rater's immediate supervisor.
* An appointing authority is an officer having the power to make appointments and separations from positions in
the state service.


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Additional Rules
There are four more rules in the performance evaluation program. These rules pertain to using performance
evaluations in personnel decisions, record keeping, training, and appealing final performance evaluations.

Use in             In a manner prescribed by the Commissioner, when employee performance of major job duties,
Personnel          authority, and responsibilities is deemed to be a relevant factor in determining eligibility to
Decisions          compete in promotional examinations, satisfactory or unsatisfactory completion of a
1120-5-.06         probationary period, eligibility to receive merit pay or lump sum performance bonuses, or as a
                   factor in layoffs, demotions, suspensions or dismissals, the performance evaluation described in
                   this rule will be the evaluation serving as the basis for such decisions. Nothing in this rule chapter
                   should be construed to imply that performance of major job duties and responsibilities as
                   evaluated in the job performance planning and evaluation system is the only relevant factor that
                   may be used in making the decisions described in this rule subsection.
Records            The written evaluation of each employee will be returned by the Commissioner to the appointing
1120-5-.07         authority, who shall retain the original written evaluation in the permanent personnel file of
                   each employee. The Commissioner will retain a record of the employee's current performance
                   evaluation in the information system of the Department.
Training           Persons responsible for conducting and/or reviewing the performance evaluation of any
1120-5-.08         employee shall complete a training program specified by the Commissioner.
Appeal             Any regular or permanent state employee shall have the opportunity to grieve any final
1120-5-.09         performance evaluation when Department of Human Resources’ procedures have been violated
                   to the extent that the evaluation is unfair or inaccurate. Such grievance shall be filed in
                   accordance with the Rules but the final step will be limited to Step IV, the appointing authority.
                   Upon request, an additional review may be conducted by the Commissioner, whose decision
                   shall be final.
                   An employee does not have the opportunity to file a grievance simply because he disagrees with
                   the rating assigned in a performance evaluation.




The Performance Evaluation Cycle
Earlier in this module, you learned about the four steps in the job performance planning and evaluation process. It
is important to remember that a reviewer examines the evaluation of the employee at every step, confirming that
the evaluation process has been properly completed and that the assessments have been appropriately and
logically described and reflected in the overall evaluation of the employee's job performance.
You must be familiar with these steps as you learn about the evaluation systems and rating forms.
The five steps are to:
     1.   conduct the job performance planning discussion
     2.   conduct interim reviews
     3.   formally evaluate job performance
     4.   ensure reviewer’s sign-off
     5.   ensure appointing authority’s sign-off.




Five Steps in the Cycle
Learn more about the five steps in the performance evaluation cycle.
Step 1 is to prepare a job performance plan. The job plan should be discussed with the reviewer to obtain
agreement on major job responsibilities. During an initial discussion with the employee, you will clarify the
evaluation process, the major job duties and responsibilities for which the employee's performance will be
assessed, and a description of the performance necessary to achieve a high rating. After the job planning
discussion, the reviewer acknowledges or signs off on the job plan document.



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Step 2 is to conduct interim reviews. As a supervisor or manager, you will conduct periodic reviews of job
performance during a performance evaluation cycle to provide feedback, to discuss means of enhancing
performance, and if appropriate, to discuss consequences of marginal or unsatisfactory performance.
Step 3 is to formally evaluate job performance. This is the formal performance evaluation. During this step, you
rate your employee's job performance for the entire evaluation cycle, which occurred in the period between the
initial job performance plan discussion and the present formal evaluation.
Step 4 is to make sure that the reviewer approves the formal evaluation of the employee. The reviewer confirms
the evaluation process has been properly completed and that the assessments have been appropriately and
logically described and reflected in the overall evaluation of the employee's job performance.
Step 5 is the appointing authority or designee reviews and acknowledges or signs the formal evaluation document.
When the appointing authority or designee signs this document, it becomes the official record of the employee's
performance. This evaluation will be recorded and may be used in making personnel decisions.




The Performance Evaluation System
Next, take a look at the performance evaluation system established by the Tennessee Department of Human Resources.
System 2A
System 2A is an evaluation system that uses job responsibilities from job catalogs or developed by the rater to
produce a job plan--the first step in the process. Formal evaluation ratings for each responsibility and the overall
rating are based on written supporting documentation.

System
                Duties and Responsibilities                     Performance Planning and Rating Forms
Type
System 2A       During the job performance, planning step,      Different forms are used for all five steps in the
                supervisors and managers must add the           performance evaluation cycle. There are also
                duties and responsibilities from a catalog or   separate forms for employees in positions
                from those developed by the rater.              classified as flex and probation (initial and
                                                                subsequent) in the 2A system.




Forms Used in Steps 1 and 2
Specific documents are used to record major job responsibilities, dates of interim discussions and the formal
evaluation in Edison. The Interim Review is completed outside of Edison using the OmniForm (which must be
signed) but you will record the discussion in Edison.
For System 2A paper version documents, a Job Performance Planning Form and a System 2A Evaluation Form are
used for job performance planning. An Interim Work Review Form and a System 2A Evaluation Form are used for
the interim work review. All forms must be signed and dated to be valid.
          The System 2A Evaluation Form is a multi-page document with blank spaces for filling in an employee's
          major job performance responsibilities.
          On the Job Performance Planning Form, space is provided for documenting the major responsibilities and
          behaviors or work outcomes of exceptional performance.
          On the Interim Work Review Form, space is provided for documenting performance areas of major job
          responsibilities and the results of the interim review.




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Rating Forms Used in Step 3
There are three types of rating forms used in the performance evaluation cycle.
          System 2A Evaluation Form
          Probationary Report Form
          Flex Staffing Evaluation/Probationary Form




Examining Types of Rating Forms
The three types of rating forms have different features and functions. These forms can be accessed via Edison
through Manager Self Service or you may find the paper version of the Performance Evaluation forms on the
Internet when your employees do not have ready access to a computer.
          The System 2A Evaluation Form is a document with four sections including fields to record an employee’s
          major job performance responsibilities, an overall summary, employee comments and the manager’s
          comments.
          The Probationary Report Form contains one or more fields on which you list the major responsibilities
          (you may copy and paste an entire document from Word into one field, or you may add a new field to
          capture each major job responsibility.
          The Flex Staffing Evaluation/Probationary Form is a multipage booklet with blank spaces for filling in the
          employee's major job responsibilities. It is used only for 2A job classifications that are designated as flex.
          The Specialized Rating Forms has a similar format as the 2A Evaluation Form. However, it is used only for
          job classifications which are designated as flex.
The State of Tennessee’s Department of Human Resources link to the forms:
http://tn.gov/dohr/employees/performance/perform.html.
If you are using the paper version of the evaluation documents, you will find the following forms available:
          The System 2A Evaluation Form is a document with four sections including fields to record an employee’s
          major job performance responsibilities, an overall summary, employee comments and the manager’s
          comments.
          The Probationary Report Form contains one or more fields on which you list the major responsibilities
          (you may copy and paste an entire document from Word into one field, or you may add a new field to
          capture each major job responsibility.
          The Flex Staffing Evaluation/Probationary Form has a similar format as the 2A Evaluation Form.
          However, it is used only for job classifications, which are designated as flex.
Each of these forms require appropriate signatures on the forms prior to recording the rating and evaluation date
into Edison by the agency’s Human Resources Office.




Selecting the Appropriate Rating Forms
It is important to use the appropriate rating form when completing performance evaluations. The information
below will help you select the appropriate rating form for use in performance evaluations.

System 2A Rating Form         The System 2A Rating Form is used for annual evaluations of employees classified as
                              2A.
Probationary Report           The Probationary Report Form is used for employees classified as 2A who are on
Forms                         initial or subsequent probation.

Flex Staffing                 The Flex Staffing Evaluation/Probationary Form is used only for 2A job classifications
Evaluation/Probationary       that are designated as flex.
Form



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What You Have Learned
Remember Nate from the beginning of the module? He was unclear about which rating form to use. He was
preparing to conduct an interim review for a flexibly staffed 2A employee. At that point, you may have been as
perplexed as Nate about which forms to select. Do you now know which forms he should use? Reflect on this
question. The answer appears below.
In this module, you not only learned which rating forms to use when conducting performance evaluations, you also
learned about the rules to follow when conducting performance evaluations.
Your knowledge about the performance evaluation rules, systems, and forms will help you provide accurate, timely
evaluations of employee performance, in compliance with state requirements.


Answer: Nate should use the Interim Work Review Form and document the discussion in Edison. If Nate or his
employee does not have ready access to a computer, he could use two forms. He would use the Flex Staffing
Evaluation/Probationary Form paper version, to record the interim review and the Interim Work Review Form to
document feedback and conduct the interim review.




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Module 3: Performance Evaluation Cycles

Performance Evaluation: Who, What, and When?
                               Previously you learned that the performance evaluation cycle is a period
                               encompassing five steps: job performance planning, two interims, a formal
                               evaluation, sign-off, and review by the appointing authority. You also learned the
                               important forms that accompany the evaluation cycle. These forms are the
                               documentation that will become part of each employee’s official personnel file.
                               That explains what the performance evaluation system is. But you also need to
                               know who the participants in the system are and when the performance evaluation
                               takes place.
                               In this module, you are going to learn how the Performance Evaluation Program is
                               used for the three different types of career service status employees: probationary,
                               flex, and regular or non-probationary).




Players in the Performance Evaluation Cycle
Who are the players in the performance evaluation cycle?
They are:
          the employee
          the supervisor (rater)
          the reviewer
Let us define the roles of these three players up front. For performance evaluation purposes, the employee is the
person being evaluated.
For purposes of performance evaluation, the supervisor is the person responsible for evaluating a particular
employee. Sometimes, the supervisor is called the rater, or evaluator.
The reviewer (usually the supervisor's manager) is a person who checks that the performance evaluation process is
being conducted properly and that it is fair and accurate as well. The reviewer works with the supervisor through
all five steps of the performance evaluation cycle.




The Performance Evaluation Cycle: When?
Now let us talk about when the performance evaluation cycle occurs.
The standard evaluation cycle for all non-probationary employees is March 1st through the last day of February
each year. However, for probationary and flex employees, the cycle begins in the month that an employee
receives his job classification and ends on the date designated by the system for that classification.
If a probationary employee starts in a specific job classification in April and is on probation for six months, he may
actually go through two complete evaluation cycles during his first year in that job classification.
The first evaluation cycle will occur during his six-month probationary period. The second evaluation cycle will
begin immediately after completion of the probationary evaluation cycle. For the employee in question, the first
cycle will begin in April and end September 30. The second cycle will begin October 1 and end February 28 if he
remains in his current job classification.




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Flex or Probationary                     Job Performance Plan                      Annual Evaluation
End Date (Range)                         Start Date         End Date               Start Date               End Date
03/01-03/31                              04/01                04/30                04/01                    02/28
04/01-04/30                              05/01                05/31                05/01                    02/28
05/01-05/31                              06/01                06/30                06/01                    02/28
06/01-06/30                              07/01                07/31                07/01                    02/28
07/01-07/31                              08/01                08/31                08/01                    02/28
08/01-08/31                              09/01                09/30                09/01                    02/28
09/01-09/30                              10/01                10/31                10/01                    02/28
10/01-10/31                              11/01                11/30                11/01                    02/28
11/01-11/30                              12/01                12/31                12/01                    02/28


Additional note: When determining the employee’s evaluation cycle following the probationary cycle, it is
important to keep in mind that an evaluation cycle cannot be less than 90 days. This 90 day period allows the
minimum amount of time required to complete the mandatory procedural steps in the evaluation process (Job
Performance Planning, Discussion, Interim Review, Formal Evaluation).
So, employees that complete a probationary evaluation cycle in December and need to transition to the standard
evaluation cycle (March to February ) would begin their next evaluation cycle in January but not be due in the
upcoming February since there is not a minimum of 90 days. The employee’s cycle end date would actually be the
next February making this evaluation cycle 14 months. This will move the employee to the standard evaluation
cycle and still provide a fair amount of time to understand the supervisors expectations, perform to them and be
observed, receive feedback, perform to the feedback and be observed, and receive a formal evaluation.




The Probationary Evaluation Cycle
To help clarify the evaluation cycles for an employee on probation, let us use Trina as an example. Trina was hired
by the Department of Children's Services as a Case Manager 3 on the first of April. Trina's job classification
requires that she serve a six-month probationary period. If she completes her probationary period successfully,
she will then earn career status as a Children's Services Case Manager 3.
During the six-month probationary period, Trina will actually experience a full evaluation cycle consisting of
creating a job plan, two interim reviews, and a formal evaluation. Since Trina was hired in April, her probationary
period will extend six months after her hire date. Therefore, by September 30, Trina's supervisor will have
completed a full evaluation cycle for Trina.
It is important to note that an appointment to a state agency may occur on any workday of the month. For
probationary employees, the due date for the end of the first evaluation cycle is exactly six months after the start
date.
Why is the proper completion of the full evaluation cycle during probation, including all the required
documentation that will become part of Trina's official personnel file, so critical?
You see, by September 30, Trina will achieve status as a regular career service employee. That is not a problem if
Trina has performed her job responsibilities successfully.
However, it is a problem if Trina's work has been of poor quality. The probationary period is the appropriate time
to determine the employee's capability in the classification and take the appropriate administrative action prior to
the due date. If no action is taken by the due date, the employee will achieve career status.
If there is no documentation to the contrary or the evaluation cycle is incomplete, then the assumption is that
Trina's work is satisfactory. If her work continues to be poor, it will be more difficult for Trina's supervisor to take
administrative action, such as demoting Trina or terminating her. She will have career status, which gives her
property right to a position in her classification.




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Trina's Next Six-Month Evaluation
Now that Trina has successfully completed her six-month probationary period, she and her supervisor must
accomplish another evaluation cycle and move to the standard evaluation cycle which dates from March 1st to the
last day of February. Therefore, in the period from October 1 to March 31, Trina and her supervisor will create a
job performance plan, conduct two interim interviews, and do a formal evaluation.
At the end of this second evaluation cycle, Trina will then move to a 12-month performance evaluation cycle and
will continue that for however long she stays in the Children's Services Case Manager 3 job classification.
If Trina moves to a different job classification, she will then repeat the six-month probationary evaluation cycle and the
next evaluation cycle with as few as three months to move back to a standard 12-month performance evaluation cycle.




Flex Positions
As you have previously learned, some agencies hire employees into flex positions. In fact, maybe you manage
some of these employees. And just maybe, the whole flex evaluation process might be a bit confusing. So first, let
us review the definition of a flex position.
A flex position is a position in a working level classification, which may be filled either with an employee qualified
to perform the job at the working level or an employee qualified to perform the job at the trainee level. If the
position is filled at the trainee level, the flex period is required since it is expected that the employee must serve a
longer training period than the probationary period that Trina, the Children's Services case manager, fulfilled.
Here is how the flex period works.
Normally, the flex period is a 12-month training period. During that time, the employee in a flex position goes
through a performance evaluation cycle of 12 months. If the employee completes the 12-month cycle successfully,
he flexes to the working level classification.
If you manage a flex employee in the System 2A, you will use a Flex Staffing Evaluation/Probationary Form to
complete and document the employee's job performance.




More about Flex Employees
Howard is a manager for one of the departments within the Wildlife Resources Agency. He has hired Ryan as a
Wildlife Biologist 1. Ryan will need to serve a training period of one year. At the end of that year, Ryan will flex to
the job classification of Wildlife Biologist 2, if he successfully completes the training period.
During the 12-month training period, Howard will conduct a performance evaluation cycle to rate Ryan's job
performance. This evaluation cycle will consist of creating a job performance plan with Ryan, holding two interim
reviews during the year, and ending the training period with a formal evaluation. All of these events will be
documented in Edison on Ryan's Flex Staffing Evaluation/Probationary Form (this process may also be completed
using the paper version of the forms when a computer is not readily available to your employees).
Do you see the importance of the evaluation cycle to both Howard and Ryan? Remember that at the end of the 12
months, Ryan moves to the job classification of Wildlife Biologist 2 unless he has not successfully completed his
training. If Howard does not conduct and document the evaluation cycle correctly and take appropriate
administrative actions, Ryan will automatically achieve career status even if his performance was poor. However,
he will not move into the next higher job classification until the transaction is initiated.




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Monica's Dilemma
Rosemary is an employee who holds the job classification of Administrative Services Assistant 2. Last year,
Rosemary was a flex employee. She completed her year of training successfully and moved into her current job
classification.
After starting to create a job performance plan for Rosemary, Monica realized that she was uncertain whether she
had started the performance evaluation cycle correctly. She decided to talk with Matthew, the Human Services
manager she met at the performance evaluation workshop:
Monica is starting the evaluation cycle for someone who is a flex employee last year, and she can’t remember
what she’s supposed to do this year.
Matthew states that if a flex employee successfully completes her training she becomes a regular career service
employee. She will begin a new evaluation cycle with a due date at the end of February unless there is less than 90
days to that date. If there is less than 90 days until the end of February, the due date will role to the next
February. In either case, she will need to complete the performance plan, two interim reviews, and a formal
evaluation at the end.




Scheduling the Evaluation Cycle
As a supervisor or manager, one of your challenges is scheduling the performance evaluation cycle for each of your
employees.
Bernard started in his current job classification five years ago in September. Because Bernard has career status in
his present classification, he is on a 12-month performance evaluation cycle beginning March 1 and ending
February 28. Corrine begins Bernard's performance evaluation cycle in March by creating his job performance plan
with him. She knows that the formal evaluation at the end of the cycle will occur the following February. Corrine
will schedule two interim reviews with Bernard to discuss his progress toward meeting the goals in his job
performance plan. She schedules these interim reviews one-third and two-thirds of the way through the
12-month cycle--or a review every four months. Bernard's interim reviews will be held in June and October.
Keeping track of due dates for regular (non-probationary/flex) employees is easy in our system. The evaluation
cycle begins March 1 and extends through February of the next year. Each of the procedural steps must be
completed during this timeframe.




Scheduling Probationary Evaluation Cycles
Corrine also supervises Jane, a new employee who is currently serving her six-month probationary period. Corrine
must schedule Jane's performance evaluation cycles differently than the way she scheduled Bernard's.
First, Corrine has to remember that Jane will have two evaluation cycles in her first year. Jane started her job in
March, so that month marks the beginning of the first cycle. Corrine and Jane will create Jane's job performance
plan in March. The formal evaluation for the first cycle will occur in August. Between March and August 31,
Corrine will schedule two interim reviews with Jane, one every two months.
After Jane's first performance evaluation cycle is complete, a new cycle will begin. This second cycle must also be
completed in six months. Corrine and Jane will create a new job performance plan in September. The formal
evaluation for the second cycle will occur in February. Between September and February 28, Corrine will schedule
two interim reviews with Jane--again one every two months.




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What You Have Learned
In this module, you have learned about the performance evaluation cycle and how it varies depending on the job
status of the employee.
The most vigorous performance evaluations are conducted for employees who are serving a six-month
probationary period. Two evaluation cycles must be completed in the first 6 months the employee is on the job
and another cycle begins to move the employee to the standard evaluation March 1 to February 28 cycle.
Flex employees and regular employees who have career status are evaluated on a 12-month performance
evaluation cycle.
Now that you have learned how the performance evaluation cycle is applied to employees who have different job
status, it is time to explore each of the steps in the evaluation cycle. In the next module, you will learn how to
develop job performance plans for your employees.




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Module 4: Developing a Job Performance Plan

Success
Monica, a supervisor in the Tennessee Department of Transportation, was pleased after meeting with Pete, one of
her employees. Pete had just finished his job performance plan evaluation for the prior year. He was right on
target with his performance goals as a Transportation Planner 2. Monica believed that one of the keys to Pete's
success was the plan they had created together the year before.
Now it is time to develop his plan for the upcoming year. She feels that if his new plan is as well thought-out as the
previous one, he will be just as successful going forward.




Job Performance Planning
As a manager or supervisor, you have probably been involved in job performance planning, both for yourself and
your subordinates. Discussing job performance plans with your employee is required under the rules of the
Department of Human Resources and is pivotal to the effective operation of the various agencies and divisions
within the state government. On a more individual basis, a job plan helps an employee’s career path and career
development goals.
Your challenge is to help your employees with the process of establishing effective and meaningful job
performance plans. After all, when employees excel at performing the responsibilities in the plan, it is a win-win
for everyone--the employee, your agency, and the state.




What You Will learn
In module 2, you learned about the performance evaluation cycle. You also learned about the forms used in job
performance planning for state employees.
In this module, you will learn how to develop job performance plans, as well as the related guidelines and rules.
Specifically, you will learn about:
          the process for developing job performance plans
          identifying job functions and associated tasks
          defining job responsibilities and performance expectations
          using a catalog of job responsibilities
          writing behavioral-based job performance statements
          rating forms and how to use them
Once you have completed this module, you will have a good understanding of how to develop a job performance plan.




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The Job Performance Planning Process
The job performance planning process is aimed at developing a job performance plan in collaboration with your
employee. The process is composed of six steps and can be easily remembered by using the TARGET acronym:

T      Talk with your employee and discuss the job performance planning process. Remember, this is a
       collaborative process.
A      Assemble lists of job responsibilities and performance expectations for the given position. If the
       responsibilities are not clear, create lists of job functions and associated tasks. Do this independently of
       each other.
R      Review your lists together and arrive at a final list that you both agree on. Translate any job functions and
       tasks into job responsibilities and associated performance expectations.

G      Generate a rank-order list of the job responsibilities and performance expectations that you both agree
       upon.
E      Enter the responsibilities, associated codes, and characteristics of exceptional performance on a Job
       Performance Plan in Edison. If using the paper version outside of Edison, complete the form and fill in the
       first page of the appropriate evaluation rating form for the employee to document the discussion’s
       occurrence.
T      Tie the process together by reviewing and acknowledging in Edison, the Job Performance Planning form or
       if using the paper version of these documents outside of Edison, by signing the printed forms and obtaining
       a reviewer's signature prior to employee and supervisor signatures.




Monica's View
Monica believes she has a good sense of how to develop performance plans with her employees. Here is how she
views the process:
Monica stated that she started by discussing the planning process with Pete using the TARGET idea. Then they
independently developed their lists of job responsibilities and performance expectations. They then had a meeting
where they discussed the actual tasks and came up with a ranked list of responsibilities and characteristics of
exceptional performance. After filling out the Job Performance Planning form in Edison, she asked her manager to
review it and when she received approval, they then formally reviewed and acknowledged it. Pete felt that his
plan last year was a target that he reached. And, Monica knew that she could support him with the successful
execution of his plan. Monica is looking forward to the same experience this year. Did you know that if your
employees do not have access to a computer to complete and review the document on-line, you can use the paper
version? That way, your employee can review and sign the Job Performance Planning form and the first page of
the evaluation form to document the job planning discussion.




The First Step: Talking With Your Employees
The first step in the process is to talk with your employees and discuss the job performance planning process.
These meetings are very important; they set the tone for the process and demonstrate how you will work
together. The intention of this process is to jointly develop the list of responsibilities that the employee is to carry
out. It is important that your employee have a sense of ownership of his or her own responsibilities and goals. In
the end, though, if you and the employee disagree about the responsibilities to be included on the job plan, you do
have the final say in what is listed. Remember that the job plan should reflect only those responsibilities that are
carried out by the employee.
Even if there are minimal changes, you and the employee should create a new job plan every evaluation cycle, and
discuss it along with the process and how the performance will be evaluated. This may be a short discussion, but it
is important for you to conduct it.




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This meeting is also an ideal time to demonstrate your involvement as a supervisor or manager. You can use this
time to share your insights about the process and support your employees in reaching their goals. Your level of
participation and support will have a ripple effect within your team.




Getting Started
Monica knew that her first meeting with Pete was important for getting the planning process off to a good start.
As you follow along, notice how well Monica does in setting the stage with Pete.
Monica            "You did a great job last year in meeting your job plan, Pete. Now it is time to develop a new one.
                  Are you ready?”
Pete              "Well, I don't remember just what we did. Actually this makes me a little nervous."
Monica            "No problem. You did fine last year, and we will work together to ensure that you hit your goals
                  again. Remember, I see this as a joint responsibility."
Pete              "Yeah, that's right. That helps."
Monica            "Do you remember the first step in the process?"
Pete              "Yes. I remember the TARGET idea, and the first step is to talk about the process. I guess that's
                  what we're doing right now."
Monica            "Very good. After this meeting, we will independently develop our lists of tasks or responsibilities.
                  Then we will meet again and create a common list. I want to make sure you have a sense of
                  ownership of your plan. I have some ideas for task sources that I'll give you when we're done."
Pete              "Sounds good to me. I already feel relieved."




It Is to Your Benefit
Monica did a good job starting the process with Pete. She set him at ease, reminded him that they were in the
process together, and let him know that he also had ownership of the results. Monica wants to make sure that the
process is a success because it will benefit her as well.
Remember, as a supervisor you are evaluated on this process, as defined by job responsibility code 0020
(Conducting the Employee Job Performance Planning and Evaluation Program). This is a key part of your job. Your
active participation and support will help you, as well as your employees.




The Second Step: Assembling Your Lists
The second step in the process is to independently assemble your lists of job responsibilities and performance
expectations for the given position. You may already have appropriate lists if you have prior experience with
supervising employees in the given position. But if the responsibilities are not clear, you will need to start by
creating lists of job functions and associated tasks. Potential resources for developing your lists include:
          relevant job catalogs and prior job plans of a similar nature
          job descriptions or classification specifications
          job task inventories which might be available for this or related classifications
          organizational charts, organizational or program goals, objectives, or priorities
          copies of any relevant federal grant terms, conditions, or program certification standards
          input from subject matter experts (SMEs), supervisors, program manager, other staff or resource people
          having knowledge of the related program
          input from experienced employees.
This list is also available as a learning aid in the Resources section of this module.


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Functions and Tasks Versus Responsibilities and Expectations
A commonly misunderstood point is the difference between job functions and tasks and job responsibilities and
performance expectations. Usually, you will identify functions and related tasks for a given position to start the
planning process. Then you will translate them into responsibilities and expectations for job planning
documentation.
Job responsibilities and related performance expectations are captured in the job plan. Your goal with this process
is to develop a list of job responsibilities and performance expectations written at the exceptional level that you
and your employee agree upon.


Job Functions and Job Responsibilities                       Tasks and Performance Expectations
For the purpose of performance planning, job                 For each job function, you have related tasks.
functions and job responsibilities are viewed as the         Performance expectations are reworded task
same thing. In your given position, you perform              statements that describe how you are to carry out
specific functions and for your job plan, those are your     what you do exceptionally well. They are your tasks,
job responsibilities.                                        with the addition of the behavioral criteria that
                                                             indicate successful performance.




Job Catalogs
Job catalogs have been developed for several job classifications by the State of Tennessee to help you define job
responsibilities and performance expectations for a wide range of functions. In the catalog, the job functions and
related tasks are already translated into responsibilities and performance expectations. Here is an example of one
entry that contains the responsibility, the performance expectations, and the related codes for use on the
evaluation forms. You will find the catalog to be a useful tool in developing lists of responsibilities and
expectations for your team.


Job Responsibility – 0005.                               Communication Skills (Writing)

                                      0005A. Writing style is always clear and understandable.
  Performance                                Ideas are presented in a coherent and logical sequence
  Expectations                        0005B. Written information is always complete, concise, and to the point
                                      0005C. Correct spelling, punctuation, and proper grammar are always used
                                      0005D. Proper form, layout, and spacing are observed in all written materials




Identifying Unique Functions and Tasks
It is not uncommon to find that you are working with a classification for which no catalog has been developed. If
so, then your lists must be developed using available resources.
If major job functions have already been developed through a task analysis or other means, review the list of tasks
associated with each job function. Try to consolidate tasks where possible and delete trivial or noncritical tasks.
You may also need to add critical tasks that may not have been captured during task analysis. Remember, the task
statements you list should be those that are critical in distinguishing among various levels of employee
performance. If there is no task analysis, here are four steps that can help you to get started.
     1.   Start by listing essential outputs--products, services, and other work outcomes.
    2.    Next, start with the most important output and identify the first thing that happens to get you started at
          producing this output (the initiating task).
    3.    List the next thing that happens, and continue the list of tasks until all the tasks have been listed.
    4.    Group the tasks into major functional areas.



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Once you have identified unique functions and tasks, you are ready to turn them into job responsibilities and
performance expectations.




Assembling the Lists
Monica and Pete worked in parallel to develop their lists of job functions and responsibility statements. The
conversation below illustrates how Monica and Pete approached the process of creating their lists of job functions
and responsibility statements.
Monica            "I started my list by reviewing a plan that I had followed when I was a planner. Things had
                  changed a lot since that time, so I had to draw on additional resources. I used the Catalog of
                  Major Job Responsibilities to get some ideas, and then I drew on my experience working with
                  other project managers. I also e-mailed my friend Matthew, in Human Services, to see if he had
                  access to any sample plans. He sent me a few job responsibility statements and functions that fit
                  perfectly for my needs. In the end, I had a list of about 15 responsibility statements; that was a
                  great place to start."
Pete              "I started by looking at the Catalog of Major Job Responsibilities that Monica had given me. That
                  was helpful. I also talked with Lisa, a friend I met while taking a class on project management.
                  She also works for the state. She sent me some of her job functions and that was a real key to
                  creating my list. I knew some of the general tasks involved, and areas I wanted to develop in, but
                  it was her ideas that really rounded out my list."




An Example of Pete's Job Functions and Associated Tasks
Here is an example of one of the job functions and associated tasks that Pete wrote based on his conversation with
his friend, Lisa.
Function
          Management of Projects and Programs
Tasks
          establishes project schedules
          monitors projects
          takes action when schedules cannot be met
          monitors expenditures




Turning Job Functions into Job Responsibilities
Remember, performance plans are based on job responsibilities and performance expectations, so Pete's next step
is to turn the functional area and associated tasks into responsibilities and performance expectations. Here is the
idea:
          Major functional areas become the job responsibilities. Remember; use only the essential job functions
          and tasks.
          Task statements are edited and reworded to become behavioral-based performance expectation
          statements. They should include qualifying terms that describe how the tasks are carried out
          exceptionally well.
Again, you can use one of the catalogs as a guide for composing your own statements




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Subjective Versus Objective
It is important to remember that your reworded performance statements need to focus on the job-specific
behaviors. You will want to develop statements that are objective, not subjective. Take a few moments now to
review what you learned in module 1 about the difference between subjective and objective evaluations.

Subjective                                                  Objective
A subjective performance evaluation is one in which the     An objective performance evaluation is one in which
employee's job performance assessment is modified or        the employee's job performance assessment is based
affected by the personal views, experience, or              on observable behaviors and results.
background of the supervisor.




The Five Points of a Good Behavioral-Based Statement
The key to rewording the tasks into objective performance statements is to focus on the job-specific behaviors
needed for the task. This starts by capturing the behavioral aspects of the task. The five points that describe a
good behavioral-based statement are that it:
         describes either the directly measurable behavior or the measurable outcome of the behavior
          refers to the behavior, not the assumed cause of the behavior
          does not refer to the employee's personality or attitude
          is detailed and concise, providing needed and relevant information
          is precise enough to not allow misinterpretation by different readers




Rewording Tasks to Behavioral-Based Statements
Knowing how to correctly reword tasks into good behavioral-based statements is a skill that you will develop over
time. Here are some examples to show you both good and poor rewording results.
Betty works in the office of one of the field administrators. One of her functions is monitoring and ordering office
supplies and equipment. The related tasks are to:
     1.   check office supplies
     2.   keep records
     3.   initiate supply orders.

The table below shows examples of good and poor rewording of these tasks into behavioral-based statements.
Note the subjective descriptors in the poor examples.

                  Good Statements                                               Poor Statements
checks status weekly of all commonly stocked office         enthusiastically checks status of all commonly supplies
supplies                                                    stocked office supplies
keeps weekly records as to what is needed, what has         meticulously keeps records as to what is needed, what
been ordered, and what has been delivered                   has been ordered, and what has been delivered
initiates supply orders weekly to avoid shortages           uncomplainingly initiates supply orders promptly to
                                                            avoid shortages


As you could see, the good examples added the measureable outcomes. The poor examples also included an
attitude, which is subjective in nature. Here are some additional examples of rewording tasks into good and poor
behavioral-based statements.




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Tom is a Human Services Program Specialist whose tasks are related to the function of case management. The
related tasks are to:
          seek supervisor involvement
          maintain control of cases
          interpret policy.
The table below shows examples of good and poor rewording of these tasks into behavioral-based statements.
Again, note the subjective descriptors shown in bold in the poor examples.

          Good Statements                                             Poor Statements
daily updates supervisor on critical issues                   willingly seeks supervisor involvement on critical
                                                             issues
submits a weekly report of cases and the number of
agency visits made                                           maintains control of cases and makes the required
                                                             number of agency visits with an open attitude
takes action within 24 hours on complaints and
referrals according to current policy                        non-judgmentally takes action on complaints and
                                                             referrals according to current policy




The Characteristics of Exceptional Performance Statements
Now you have learned what it takes to make a good behavioral-based performance statement. The next part is to
add standards to the statements that allow you to distinguish among different levels of employee performance,
such as exceptional, satisfactory, and unsatisfactory. That is where the exceptional performance level criteria
come in. They provide the means for making distinctions among the different levels of performance for each job
responsibility. Without an "exceptional" level, it would be hard to assign performance levels on the evaluation
forms.
Try to imagine the best performance that you would expect from an employee for the given task. If you include
words such as "always" and "never," make sure to discuss them with your employee. These terms should not
necessarily be taken literally, as they imply absolutes. Denying an employee an exceptional rating based on one
error may very likely be unrealistic, as well as unfair. You will need to use your judgment to ensure that
performance expectations are realistically interpreted.




Creating Exceptional Performance Statements
The best performance plans make use of exceptional performance statements. They help to ensure the objectivity
of the plan.
The table below shows examples of behavioral-based statements with additional exceptional performance criteria.
The excellent performance criteria for the statements are displayed in bold in the examples.

          Office Staff Statements                                    Case Management Statements
weekly checks status of all commonly stocked office         consistently seeks supervisor involvement on critical
supplies                                                    issues
keeps complete and accurate weekly records as to            effectively maintains control of cases and makes the
what is needed, what has been ordered, and what has         required number of agency visits according to current
been delivered                                              policy
initiates supply orders within 24 hours of receiving        takes prompt, effective action within 24 hours on
work unit requests to avoid shortages                       complaints and referrals according to current policy




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Reviewing Performance Expectation Statements
Here are some examples of well-written and poorly written performance expectation statements. Take a few
minutes to review them and decide which ones you think are good and which are poor.
responds courteously and openly to others when they      projects are monitored weekly to confirm that they
seek help                                                are carried out as designed, are technically sound, and
                                                         are progressing on schedule
consistently involves appropriate staff in the           always fair, consistent, and cheerful when dealing with
development of a realistic and workable plan when a      employee problems
change in work procedures and/or flow is needed
checks the work of others weekly to ensure that          continually seeks out ways to involve staff and
necessary deadlines are met                              demands their commitment to departmental goals
is well prepared for administrative hearings and court   presents ideas in a coherent and logical sequence,
appearances and always testifies accurately, ardently,   with an open attitude and an expectation of receiving
and objectively                                          feedback of both a positive and negative nature




Reflecting on Your Review
How did you do? Were you able to identify the poorly written statements? The good statements have been
grayed out below to help you distinguish between the two types. The poorly written statements include
personality or attitude assumptions and may also allow for misinterpretation. The words that make the
statements poorly written are shown in bold.

responds courteously and openly to others when they      projects are monitored weekly to confirm that they
seek help                                                are carried out as designed, are technically sound, and
                                                         are progressing on schedule
consistently involves appropriate staff in the           always fair, consistent, and cheerful when dealing
development of a realistic and workable plan when a      with employee problems
change in work procedures and/or flow is needed
checks the work of others to ensure that necessary       continually seeks out ways to involve staff and
deadlines are met                                        demands their commitment to departmental goals
is well prepared for administrative hearings and court   presents ideas in a coherent and logical sequence,
appearances and always testifies accurately, ardently,   with an open attitude and an expectation of receiving
and objectively                                          feedback of both a positive and negative nature


Writing good behavioral-based performance expectation statements is one of the foundations of creating effective
performance plans. The poor statements have been grayed out below to help you distinguish between the two
types.

responds courteously and openly to others when they      projects are monitored weekly to confirm that they
seek help                                                are carried out as designed, are technically sound, and
                                                         are progressing on schedule
consistently involves appropriate staff in the           always fair, consistent, and cheerful when dealing
development of a realistic and workable plan when a      with employee problems
change in work procedures and/or flow is needed
regularly checks the work of others to ensure that       continually seeks out ways to involve staff and
necessary deadlines are met                              requires their commitment to departmental goals

is well prepared for administrative hearings and court   presents ideas in a coherent and logical sequence,
appearances and always testifies accurately, ardently,   with an open attitude and an expectation of receiving
and objectively                                          feedback of both a positive and negative nature




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Pete's Job Responsibility and Related Performance Expectation Statements
Here are the related performance expectation statements that Pete developed for his job responsibility of the
Management of Projects and Programs. Note that they meet the criteria for good performance expectation
statements by meeting the five points of a good behavioral-based statement and including exceptional
performance level criteria.


                          Tasks                                 Reworded Performance Expectation Statements
establishes project schedules                                Realistic project schedules are established and
                                                             communicated to all affected staff.
monitors projects                                            Projects are routinely monitored to confirm that they
                                                             are carried out as designed, are technically sound, and
                                                             are progressing on schedule.
takes action when schedules cannot be met                    Where schedules cannot be met, persons affected by
                                                             the project are promptly alerted, and a sound means
                                                             of expediting completion of the project devised.

monitors expenditures                                        Project expenditures are always within budget and in
                                                             accordance with sound fiscal procedures.




Capturing Your Planning Information
The Job Performance Planning Form is found in Edison under Managers Self Services (MSS—in Edison, supervisors
are called managers. Edison does not distinguish between supervisors and managers). You will find the blank
forms created for each of your employees in the Current Documents page under Performance Management. It is
your responsibility to complete the form. If a computer is not readily available to you or your staff, you may also
use the Omni Form tool to capture the responsibilities and related behaviors or work outcomes for your employee.
It has multiple pages with two columns on each page. The left column is for listing the major job responsibilities in
rank order and the right column is for listing the related characteristics of exceptional performance. In either case,
you may also use Microsoft Word or another application of your choice to develop the job plan information then
transfer the information to this form. You can access this form through Edison/MSS of the paper version on the
State of Tennessee Web site by using the link below.
http://tn.gov/dohr/employees/performance/perform.html
It is important that you correctly enter the job planning information on the form, including the associated codes
for the responsibilities. Here are the guidelines for assigning job responsibility codes.
          If you use a code from a catalog and do not modify it, simply use the four-digit code.
          If you use a code from a catalog and modify the responsibility statement or behaviors significantly, then
          replace the last two digits of the code with 99.
          If you create a new responsibility and associated behaviors, then enter 9999 as the code.
          It is not uncommon to take predefined responsibilities from a catalog and refine them for your use. If you
          have a number of modified codes such as 0099 or responsibility codes such as 9999 on your plan, that is
          OK.
To review part of Pete's plan developed by Monica, you can open and print the learning aid titled Pete's Partially
Completed Plan. This document is available in the Resources section of the course.


* Omni Form files are downloadable digital forms. These forms can be printed and distributed, or they can be sent
via e-mail so that recipients can fill them out on their computers. They are used to capture planning information
for use in the Job Performance Planning and Evaluation System.




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The Third and Fourth Steps in the Process
Once you and your employee have created your lists it's time for the third and fourth steps in the process, which
are to review your lists together and generate a rank-order list that you both agree upon.
Together, your goal is to identify about eight to 10 major job responsibilities with associated performance
expectations that can be used as the basis for the plan. The rating forms allow for the input of up to 14
responsibilities, but experience has shown that listing too many responsibilities can lead to a lack of focus on the
employee's part. Trying to achieve excellent performance on too many responsibilities can also lead to reduced
levels of performance and higher levels of frustration. Remember, it is important to rank the list based on the level
of importance of the job responsibilities.
Completing these two steps calls for the highest levels of collaboration. This is often a time of in-depth discussion
between you and your employee. It is important for you to guide the process and hear what your employee has to
say. Though the final decision is yours, both of you will need to live with and support the end result.




A Good Review Meeting
Monica and Pete spent a couple of hours reviewing their lists together and generating a rank-order list that they
both agreed upon. Read what they had to say about how they approached the process.
Monica            "As a manager, I find this to be the most challenging part of the planning process, and also the
                  most rewarding. It is challenging because my employees and I have to come to a point of
                  common agreement on job responsibilities. This is my opportunity to explain how I see
                  exceptional performance for each part of the job. I have to hold my ground on important points,
                  while getting them to buy-in and support the list. It is rewarding because I like to help others in
                  achieving their goals and this is where it starts. I always learn something new about my
                  employees during this process."
Pete              "Our meeting went better than I thought it might. I was concerned that Monica would nix some
                  of my ideas. Instead, I found that she really listened to me and looked for ways to see that the
                  ideas would benefit the job and the state. We agreed to incorporate some of them in my plan
                  and decided to focus on project management activities, which was great. I think Monica has a
                  talent for walking that line between supporting what the position calls for and supporting me
                  with my personal views of the job."




The Fifth Step: Enter Information on the Appropriate Forms
The fifth step in the process is to enter the agreed-upon list on a Job Performance Planning document in Edison or,
if using the paper version, on the Job Performance Planning from and the appropriate rating form. The rating
forms are designed to capture the major responsibilities and their associated codes.
The Probationary Report Form in Edison contains one or more fields on which you list the major responsibilities
(you may copy and paste an entire document from Word into one field, or you may add new fields to capture each
major job responsibility).




Elements of an Evaluation Form
To understand the layout of the captured data, you need to understand the two methods of documenting the
evaluation process.
          In Edison, you will document the employee’s major job responsibilities and a more detailed description
          (characteristics of exceptional performance) in the provided fields. As previously stated, you may add
          new text fields for each major job responsibility or you may create the entire job performance plan with




Print Version                                                                     Performance Evaluation Page 32 of 84
          all of the major job responsibilities and characteristics of exceptional performance into one data field by
          indicating that it is a job performance plan and the period for the plan.
          If you are not using Edison, but instead are using the 2A Evaluation Form in the paper version in Omni
          Form, the documentation looks a bit different. You can familiarize yourself with these major elements
          which are listed below:
          •     Page 1
                    employee information block
                    job responsibility summary tables
                    job performance planning discussion signature block
                    interim review signature block
                    overall evaluation and recommendation rating, and date of evaluation block
          •     Page 2
                    instructions
          •     Pages 3-7
                    job responsibility descriptor blocks
         •      Page 8
                    overall evaluation signature and comment blocks
Take a few minutes now to look at the System 2A form and identify the major elements. You can access this form
through the State of Tennessee Web site by using the link below.
http://tn.gov/dohr/employees/performance/perform.html




Performance Planning and the Evaluation Form
A subset of the elements is used when entering job performance planning information at the start of the process.
The key elements used in Edison are the:
       titles of the major job responsibilities
       description including the 4 digit job responsibility code and the characteristics of exceptional performance
The subsets on the paper-version are the:
       employee information block
       job responsibility summary tables
       job responsibility descriptor blocks
       job performance planning discussion signature block.

Monica had the task of filling out the form for Pete. Here is what she thinks about the evaluation form:
Monica found Edison easy to use for job performance planning. She only had to identify the title of the major job
responsibility and describe it with a job responsibility code and the characteristics of exceptional performance.
When she used the paper version of the forms, she found there were a number of input fields and blocks on the
evaluation form. The first time she saw it, she was a little confused. After using it a few times, she found it easier
to use. For this part of the process, you just need the essentials, which are: recording the employee’s information,
recording each job responsibility code and responsibility name in the major job responsibility descriptor blocks
beginning on page 3, and recording signatures. Additional information is added later during the actual evaluations.




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Filling Out an Evaluation Form
How did you do in identifying the elements of the form? It is important to know about the elements before you
actually use a form for planning purposes.
The three steps for entering the key information in the 2A form are straightforward.
     1.   Verify the employee information in Edison.
     2.   Fill out the job responsibility summary tables.
     3.   Record each job responsibility code and responsibility name in the job responsibility descriptor blocks.
The process of entering the information should be easy, as you have already done the hard work by preparing the
separate list of responsibilities.




Pete's Forms
Monica and Pete spent time working on his job performance plan. To give you a better sense of how to complete
the two forms, first review the documents titled Pete's Partially Completed Plan and Pete’s Partially Completed
Plan in Edison. Then review the documents titled Pete's Partially Completed Job Performance Rating Form and
Pete’s Partially Completed Job Performance Rating Form in Edison that Monica began to work on. All of these
documents are available in the Resources section of the course and can be downloaded and printed for your
review.




Using the Forms
Monica did a good job of starting Pete's plan. She put the job responsibilities in the correct order and captured the
job responsibility codes. It is important that you correctly fill out a rating form to ensure the success of the
performance evaluation process.
Here is how Monica saw the process: "I've filled out a number of rating forms, and each time seems slightly
different. The bottom line, though, is that I need to accurately fill out the form with the responsibilities that have
been agreed upon. I have had a few questions before, but I have always been able to figure them out. Overall, the
forms are an excellent tool for capturing job performance responsibilities and tracking employee performance."




System 2A Rating Forms
You previously learned that System 2A is an evaluation system that uses job responsibilities from job catalogs or
those developed by the supervisor to produce a job plan. Formal evaluation ratings for each responsibility and the
overall rating are based on written supporting documentation. There are three System 2A evaluation forms.
          System 2A Evaluation Form
          Flex Staffing Evaluation/Probationary Form
          Probationary Report Form
You can access these forms through the State of Tennessee Web site by using the link below.
http://tn.gov/dohr/employees/performance/perform.html




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The Sixth Step: Tie the Process Together
The sixth and final step in the process of developing a job performance plan is to tie it all together. After printing
out the evaluation form, you should have the reviewer look over the form to get his or her input and approval
prior to meeting with the employee. This will ensure that any issues that the reviewer has are identified at the
beginning of the evaluation cycle.
In System 2A, the reviewer must sign off on the separate Job Performance Plan document after you have met with
the employee. The review above is a preliminary review to ensure that you are in alignment prior to moving
forward officially.
Finally, you will review the job plan with your employee. If you have corrections to make, this is the time to do it--
before you acknowledge it. Once the two of you agree, you acknowledge the Job Performance Plan in Edison (if
using the paper version, you would sign the Job Performance Plan and the 2A Form). At this point, it is ready for
the official approval by the Reviewer. Now the two of you are ready to implement the plan.




Moving Ahead
Monica and Pete met for about an hour to complete the process of developing Pete's job performance plan. Read
below to learn more about their viewpoints.
Monica             "We were both quite pleased at our review meeting. We did not make any changes to the plan
                   and primarily spent the time talking about next steps and how to best move forward. I feel
                   confident that I can support Pete with the successful execution of his job plan. Frankly, I'm
                   looking forward to helping him reach his goals."
Pete               "Personally, I feel like this will be a great year. My job plan is a stretch for me, but that is what I
                   wanted. My responsibilities and Monica's expectations are very clear. I know that Monica will
                   give me some excellent coaching and support along the way, which is great. I always dreaded
                   performance evaluation but one day when I move into a managerial role, I will know how to
                   conduct the process and help my employees be more productive."




What You Have Learned
In this module, you have learned how to develop job performance plans using state-approved forms and
guidelines. Specifically, you learned about:
          the process for developing job performance plans
          identifying job functions and associated tasks
          defining job responsibilities and performance expectations
          using a catalog of job responsibilities
          writing behavioral-based job performance statements.
You now have a good understanding of how to develop a job performance plan that is right on target. In the next
module, you will learn how to give your employees constructive feedback as they implement their plan.




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Module 5: Principles of Giving Feedback

Introduction
A supervisor in a Tennessee government agency delivered feedback to an underperforming employee. When the
supervisor delivered the feedback, she told the employee that he was simply making too many mistakes. She
added that he was just not performing.
The employee felt under attack and reacted defensively. He made his case for his performance, adding that he did
not believe he made too many mistakes. He asked for examples, but the supervisor could not provide any.
The supervisory left the meeting frustrated and dissatisfied with the outcome. What went wrong?
The supervisor’s intention was to deliver feedback to boost the employee’s performance. Although the
supervisor’s intent was correct. Her approach was flawed. She criticized the employee rather than giving
feedback. Criticism destroys morale and motivation, whereas feedback builds morale and boosts motivation.




What You Will Learn in This Module
Have you ever found yourself in a situation like the supervisor in the previous scenario--one in which your attempt
to deliver feedback was less than successful?
This module will help you deliver feedback in such a way that you get the results you hope to achieve.
In module 5, you will learn about the principles of giving feedback. Specifically you will learn:
          the importance of feedback
          to distinguish between criticism and feedback
          to apply the process for giving feedback to reinforce behavior or to change behavior




Considering the Issue of Feedback
Lack of feedback is one of the most common reasons for performance problems at work. It has been estimated
that nearly 50 percent of the performance-related work problems occur because of a lack of feedback. If workers
believe they are meeting or exceeding performance expectations, they are generally not motivated to change their
behavior.
To illustrate this point, consider the following example. Perhaps you have seen electronic speed monitors that
display your speed in neighborhood traffic zones. If you are driving too fast, what is the effect of seeing your
speed flashing on the monitor? The flashing speed prompts you to slow down. The speed monitor provides
immediate, specific performance information that prompts a behavior change. Without this information, you may
not realize that you are not complying with the posted speed limit, and you will continue to speed.
Similarly, feedback at work gives employees specific information for continuing or adjusting their behavior so that
they can meet performance expectations.




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Defining Feedback
What is feedback?
It is communication about employee behavior that seeks to eliminate, alter, or reinforce the behavior and build a
positive relationship. Constructive feedback is information specific, issue focused, and based on observations.
Feedback is important because it:
          improves communication
          helps employees do their work more effectively
          contributes to a more positive and productive culture
          aligns employee responsibilities to organizational goals




Illustrating the Importance of Feedback
Feedback is a vital part of being a successful supervisor or manager. To learn what some experienced agency
managers and supervisors have said about the importance of feedback see below:
          A supervisor from the Tennessee Wildlife Resources Agency says that when she delivers feedback to her
          employees, it improves communication. By communicating effectively, it opens a channel of
          communication that allows for more effective collaboration.
          A manager for the Tennessee Department of General Services says that when he delivers feedback to his
          employees, it helps them do their work more effectively. When he provides specific and accurate
          information in a way, his employees can improve or adjust their performance to meet expectations.
          A supervisor from TRICOR says that knowing how to give feedback allows her to interact more positively
          with her employees, thereby creating a more positive, productive, and dynamic culture in which everyone
          benefits.
          A supervisor from the Department of Transportation says that giving feedback to employees enable s him
          to coach employees so that their responsibilities align with organizational goals.




Criticism Versus Feedback
What is the difference between criticism and feedback?
In order to answer this question, reflect on a time when you received feedback from someone at work that
damaged your morale and squelched your motivation.
Next, think about a time when you received feedback from someone at work that motivated you to make a change
in your behavior that resulted in improved performance. It may have prompted you to reflect on your behavior
and further your professional growth.
Why did the first case result in a negative outcome and the second case a positive outcome?
It is most likely because in the first case, you received criticism, and in the second case, you received constructive
feedback. Criticism, in this context, is finding fault with an employee's character, attitude, or approach. On the
other hand, recall that constructive feedback is communication about employee behavior that seeks to eliminate,
alter or reinforce the behavior and build a positive relationship.




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To compare and contrast the characteristics of criticism and constructive feedback, review the table below.


            Criticism                                        Feedback
            vague                                            specific
            accusatory                                       nonjudgmental
            focuses on attitude or personality               focuses on behavior or performance
            is unclear about the desired behavior change     is clear about the desired behavior




Examples of Criticism and Feedback
Here are three examples of criticism and feedback. As you read the examples, notice how criticism is vague,
accusatory, and judgmental. It also focuses on the employee's attitude or personality. Imagine what effect it
would have on the recipient of the feedback.
Conversely, feedback is specific and nonjudgmental. It focuses on the behavior or performance rather than on the
character of the person. It is also clear what behavior needs to be modified.


Example 1
Criticism
         Lately, you have seemed to be unmotivated. You need to get your act together.
Feedback
       I have noticed that you have missed two out of the last three deadlines. This is presenting a problem for
       our customers.

Example 2
Criticism
         You are not a committed team player.
Feedback
       When you are late to meetings, people do not perceive you as a committed employee.

Example 3
Criticism
         When writing this training manual, you did not think it through. This is lazy work.
Feedback
       When I read this training manual, I noticed that several of the key steps were missing. With steps
       omitted, the manual does not correctly outline the procedures.




Giving Feedback
Now that you have a better understanding of the difference between criticism and feedback, it is important to
learn about the steps for giving feedback.
Managers and supervisors face a challenge when it comes to giving feedback. They must simultaneously build
positive relationships with their employees while giving the necessary performance feedback for their employees
to meet performance expectations.
Applying the six steps for giving feedback will help you build positive relationships with your employees and
provide essential performance feedback.



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The six steps are as follows:
     1.   Explain the purpose of the meeting.
     2.   Describe the observed behavior.
     3.   Express concern if the feedback is about a problem with the employee's performance and emphasize its
          impact. Remember, if you are reinforcing positive behavior, there is no need to proceed with steps 4-6.
     4.   Ask for input from the employee to correct the problem.
     5.   Create an action plan for correcting the problem.
     6.   Set a time for further review.




Giving Feedback: Six Steps
Learn more about the six steps in giving feedback by reviewing these steps in the table below.

           Step 1     Step 1 is to explain the purpose of the meeting. Set the tone and identify
                      the topic or issue that the feedback will be about.
           Step 2     Step 2 is to describe the problem, issue, or positive behavior. State your
                      comments in an objective, fair, respectful manner. Outline what you know
                      about the situation by giving examples or data to support your claim.
           Step 3     Step 3 is address the problem or continue the positive behavior. Express
                      concern if the feedback is about a problem with the employee's
                      performance. Give positive reinforcement about a behavior that you want
                      to see continued.
           Step 4     Step 4 is to ask for input from the employee to correct the problem.


           Step 5     Step 5 is to create an action plan that the employee must carry out to
                      address the problem. The outcome of this process is a commitment and a
                      plan to change. The plan should include agreement of the stated problem
                      and a detailed action plan with milestones for progress reviews.
           Step 6     Step 6 is to set up a time for further review by scheduling a time to follow up
                      on the problem or positive behaviors.

Take a look at an example of the implementation of the six steps in giving feedback. In this example, a manager in
the Economic and Community Development's Energy Division is meeting with a supervisor to discuss a problem
with his approach to management. The supervisor is responsible for overseeing Tennessee Energy Education
Network (TEEN) that promotes energy education in grades K-12 statewide. To learn how the manager carries out
each step, review the steps in the table below.




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           Step 1    "I appreciate you taking time out of your busy schedule to meet with me. I
                     want to spend some time discussing how to improve the way you delegate
                     to employees."
           Step 2    "I'm concerned because you have a tendency to micromanage TEEN's
                     programs. For example, you wanted to develop the energy educational
                     materials for in-services and classroom presentations; tasks you had little
                     time for. Days before these events workshops were scheduled to take place,
                     the materials were not ready. Staff members had to scramble at the last
                     minute to create the materials."
           Step 3    "This approach causes workflow problems, and leads to potential program
                     delays. It is a problem for TEEN staff members, who have to pull everything
                     together at the last minute. It is also an issue for you; you end up working
                     overtime on a regular basis."
           Step 4    "How might we tackle this problem so that you feel comfortable delegating
                     responsibilities to staff members? Let's explore possible solutions to this
                     problem."
           Step 5    "We've agreed that you will hand over a number of program management
                     tasks to TEEN staff members, and meet with them once a week to get status
                     reports. That way, you stay informed, but relinquish program
                     responsibilities. You will meet with me once a week to discuss your progress
                     on delegating to employees."
                     "We will schedule a meeting for four weeks from today to assess your
           Step 6
                     progress."




Step 1: Explain the Purpose of the Meeting
Take a closer look at the steps for giving feedback. In step 1, clearly explain the purpose of the meeting.
As you start the meeting, it is important to adopt a tone that is positive, not one that is threatening or challenging.
Do not use the feedback session to reprimand or humiliate an employee. Such a tone will put the employee on the
defensive and make it difficult for him to hear your message.
It is also important to avoid being too friendly and informal with your employee because the purpose of your
meeting is to change or reinforce behavior.
An example of a statement explaining the purpose of the meeting is, "I want to spend time exploring ways to
improve your meeting facilitation skills."




Step 2: Describe the Observed Behavior
Step 2 is to describe the behavior that you want to reinforce or change. Provide specific details about the
employee's performance. Make sure you focus on the employee's behavior or performance, not on his
personality. Employees can change their behavior; however, they are unlikely to be able to change their
personality traits.
If there is a problem, it is important that you research the problem or issue before your meeting so that you have
data to support your claim. Allegations and rumors alone are not grounds for such a meeting. Conduct research
until you have verified the facts. The more objective data, the better. That way, you avoid subjective or evaluative
feedback that the employee can take issue with. Provide examples to illustrate your point.
An example of a statement describing behavior you want to change is, "I have noticed that you are consistently
late to our team meetings.” An example of a statement that reinforces positive behavior is, "I have noticed that
you always deliver clear, concise, and engaging presentations."


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Step 3: Express Feelings and Emphasize Impact
Step 3 is to express concern if the feedback is about a problem with the employee's performance. If the intent of
the feedback is to reinforce positive behavior, express gratitude to the employee.
If the feedback is about a problem with the employee's performance, describe how you feel about the situation.
Adopt a tone of concern, rather than anger, frustration, or disappointment. The content of the message may get
lost if the tone is too negative.
Then, describe how this issue affects others, the department, or the organization. Illustrate the consequences of
the employee's actions. She may not have realized the effect of her actions.
An example of a statement expressing concern and emphasizing impact is, "I'm concerned about your lack of
attention to detail in processing orders. Your oversights have generated client complaints."




Step 4: Ask for Input
Step 4 is to ask for input from the employee for behavior-changing strategies. Involve the employee in a dialogue
about the issue or problem. Focus on problem solving to generate solutions to the problem or specific ways the
employee plans on continuing the positive behavior.
It is best to generate collaborative solutions. You will get more buy-in from the employee if you involve him in the
process of brainstorming possible solutions to the problem. If the employee does not have ideas for addressing
the issue, you should outline one or more strategies that can turn into an action plan.
An example of a statement asking for input is, "I'd like to hear your suggestions for dealing with your lateness to meetings."




Steps 5 and 6: Action Plan and Further Review
Step 5 is to create an action plan. Using the ideas generated during step 4, devise a plan outlining specific
improvements that must take place during the specified period of time. The outcome of this process is an action plan.
An example of a statement that proposes an action plan during step 5 is, "So, we've agreed that you will document
your phone calls with clients, and generate a weekly report that is due to me on Friday afternoons."
Step 6 is the final step during which you should set a time for further review. You should schedule a time to follow
up on the problem. It is important to set a specific date or determine a time frame for further review. If your
approach is too open-ended, you may not prioritize this task. Also, do not set the date too far in advance. For
example, do not wait until the employee's next performance review to assess progress if the review is too far in
the future.
An example of a statement that establishes a time for further review is, "To wrap up, let's set a date to review your
progress on decreasing the number of errors in your reports."




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Giving Feedback
Matthew is a Human Services agency manager who is meeting with Rebecca, one of his employees, to deliver
feedback.
As you follow along, identify how well Matthew does in giving feedback to Rebecca. Make a note of where
Matthew could have improved his technique for giving feedback. To help you remember the steps, print out and
review the learning aid titled Giving Feedback. This document is available in the Resources section of the course.
Matthew           "Thanks for meeting with me on such short notice. I appreciate your flexibility. The reason I
                  called this meeting is because I am concerned about your work ethic."
Rebecca           "My work ethic? What do you mean?"
Matthew           "You seem apathetic and your work output has been careless lately. I am concerned because it is
                  affecting the morale of our team."
Rebecca           "I'm not clear about what the problem is. I thought I was doing a good job."
Matthew           "There is definite room for improvement. How might you propose improving your attitude?"
Rebecca           "Well, because I don't perceive a problem, I'm not sure how to propose a solution."
Matthew           "Begin by being more of a self-starter. Try to be more client focused and detail oriented when
                  performing the administrative aspects of your job. How about meeting in three weeks to discuss
                  your progress?"




Debrief
How did Matthew do in delivering feedback to Rebecca?
He correctly performed step 1 by explaining the purpose of the meeting. The problem with Matthew's feedback
session was in not performing step 2 correctly. He failed to describe the observed behavior in a manner that
Rebecca could grasp. He offered criticism rather than feedback. His failure to correctly perform step 2 affected
the rest of his feedback session.
He performed step 3 correctly when he expressed his concern about Rebecca's impact on team morale. His
approach to step 4 was correct when he asked Rebecca for help in correcting the problem.
In step 5, he offered suggestions for improvement, but because he did not successfully define the problem, the
suggestions were vague. In step 6, he did correctly propose a follow-up meeting time.




What You Have Learned
In this module, you have learned that feedback is communication about employee behavior that seeks to
eliminate, alter, or reinforce behavior and build positive relationships with employees.
You learned that feedback is important because it:
          improves communication
          helps employees do their work more effectively
          contributes to a more positive and productive culture
          aligns employee objectives to organizational goals
You also learned to distinguish between criticism and feedback; criticism tears down employees while feedback
helps to improve performance, and maintain positive behaviors demonstrated by the employee.
Finally, you learned to apply the six steps in giving feedback. Applying these steps will help you build positive
relationships with employees while giving them the performance feedback they need to meet your organization's
performance expectations.


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Module 6: Completing an Interim Review

What You Will Learn in this Module
In module 4, you learned about the process for developing job performance plans. That’s the first step in the job
performance evaluation process. The second step, as identified in module 2, pertains to the reviews. Here is what
the second step states:
          As a supervisor or manager, you will conduct periodic reviews of job performance during a performance
          evaluation cycle to provide feedback, to discuss means of enhancing performance, and if appropriate, to
          discuss consequences of marginal or unsatisfactory performance.
In this module, you will learn how to perform and interim review using the Department of Human Resources’ rules,
policies, and tools. Specifically, you will learn about the:
          three phases of an interim review: preparing, performing, and documenting
          scale for rating the performance of a responsibility
          key behaviors to follow when talking with employees during an interim review
          process for completing an Interim Review Form online
Once you have completed this module, you will be able to conduct interim reviews of your employees.




Stepping Back
Think back to the last time you worked on a project. Maybe it was a project at work, or one at home, such as a
home improvement project. Did you take some time along the way to step back and take a look at your progress?
Probably you did. Most people do take time to step back when they are working on projects because they usually
have a goal in mind and want to have a sense of how they are doing.
The same idea applies to the job performance plans of your employees. You need to step back along the way and
review how well the plan is going--and so does your employee.




Interim Reviews
Interim reviews are the meetings you have with individual employees to discuss current job performance relative
to the job plan. The major objectives of an interim review are to:
          give praise and reinforcement for good performance
          give constructive feedback and guidance on responsibilities that the employee needs to improve
          consider ways to overcome any work problems that may have developed
You probably have daily or weekly discussions with your employees, but these are relatively informal and not
necessarily targeted at job performance. The interim reviews provide an opportunity for structured support and
are a key part of the performance evaluation program.
Your challenge is to help your employees with the process of meeting job performance plan goals and enhancing
job performance. After all, achieving the goals of the plan helps everyone--the employee, the state, and you.




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It Is to Your Advantage
As a supervisor, you are evaluated on this process as defined by job responsibility code 0020 (Conducting the
Employee Job Performance Planning and Evaluation Program) and the following performance statement.
                  0020C. Interim work reviews clearly show that the employee's present level
                  of performance was discussed, and that constructive feedback and guidance
                  on how to improve work performance was given.
This is an important part of your job. Your active participation and support will help you, as well as the employee.




The Phases of the Review Process
The interim review process has three phases; these phases are dependent on each other. Review the phases in
the process listed below.
Preparing        Before you begin the review, you will need to be well prepared. The steps in this phase will help
                 you to choose what you want to discuss and start the review process rolling.
Performing       Performing the review is the phase in which you and your employee really take a good look at
                 current performance. You talk about how the plan is progressing, discuss and uncover problems
                 or issues, and decide what to do next.
Documenting      Capturing the results of your conversation with the employee is the final phase of performing an
                 interim review. The main purpose of this phase is to fill out the Interim Review Form outside of
                 Edison (but document and acknowledge the discussion inside Edison) so that all pertinent
                 information is captured for use in the final evaluation.



Phase 1: Preparing for the Review
Good preparation is the springboard for a successful review. Your preparation helps you and your employee with
the process. Below are the three steps to follow in this phase:
     1.   Review the performance plan and decide which job responsibilities you want to discuss. Note that you
          will be discussing each responsibility prior to the final evaluation.
     2.   Schedule an interim review meeting with the employee and tell him which responsibilities you want to
          discuss.
     3.   Use the characteristics of exceptional performance to reflect on the employee's performance for each of
          the chosen job responsibilities. Pay particular attention to job responsibilities where you are unsure of
          the employee's level of performance.
The better the job of preparing for the review, the more you will be able to help your employees reach their goals.



Deciding When to Review
Phase 1 starts with the decision to do an interim review with an employee. Think again about the project you
identified at the start of the module. How often did you step back and take a look at your progress? It probably
depended on the project and where you were in the process. Most likely, you did a regular review, even if you did
not plan it on a calendar.
The goal of the state's performance evaluation process is to have two interim reviews before the final evaluation.
That means that the interval for checking on employee performance is about every four months. While two
interim reviews is the minimum, you may conduct as many beyond the two required as you feel are appropriate.
Remember that employees should have had sufficient opportunities to perform the responsibilities being
reviewed, and you should have had many opportunities to observe their work before the review.


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You will need to keep track of your employee reviews to help ensure that you support them in meeting their goals,
You will need to keep track of your employee reviews to help ensure that you support them in meeting their goals,
and the goals of your group or department.



Getting Started
Once you have decided it is time for an interim review, you complete the first two steps. These steps are to:
          review the performance plan and decide which job responsibilities you want to discuss
          schedule an interim review meeting with the employee and indicate the responsibilities you want to
          discuss. Also, ask the employee if she has additional responsibilities she wants to focus on.
The best way to choose responsibilities for review is to identify three different types: those that the employee
performs well; those that need improvement; and those where you have little or no knowledge about current
performance. You do not have to cover all the responsibilities on the plan in this one review. It may be best to
cover just the ones that you believe are the most important to discuss. However, you must discuss each job
responsibility at least once during the evaluation cycle.
Once you are ready, schedule the review meeting.



Monica's View
Monica, a manager in the Department of Transportation, is planning an interim review with Pete, one of her
transportation planners. Read below to learn how Monica started the process.
"I started by looking at Pete's job performance plan. He has eight major responsibilities listed. Three of those are
really crucial to what we are trying to accomplish, so those are the ones that I wanted to cover in this first review.
I called Pete and we set up a time for the review. He felt that it was a good time for this discussion and wanted to
add one responsibility to the list. It made sense to me, so we came to an agreement."



Reflecting on Present Performance
After scheduling the meeting, you are ready for the third step in this phase, which is to use the characteristics of
exceptional performance and reflect on the employee's performance for each of the chosen job responsibilities.
Again, pay particular attention to job responsibilities where you are unsure of the employee's level of
performance.
You have a number of sources of input to use when thinking about an employee's performance. Your sources may
include:
          observation of day-to-day performance
          work outcomes
          critical incidents
          feedback from the public or clients
          logs, reports, and other indirect information sources.
Review the performance expectations for the responsibilities, and then think about the employee's performance.
You will want to take notes about your thoughts, either on paper or in an electronic document, so that you are
prepared for the review meeting. Preparing your notes prior to the meeting will give you a document to share
with the reviewer prior to the interim review. It will also allow you to document the interim review more easily by
updating your discussion notes.




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Monica's View
Monica spent some time reflecting on Pete's performance. Read below to learn more about her approach.
 "I took a look at Pete's job plan and then reviewed notes I had taken about his performance over the past few
months since we finalized his job plan. I also looked at his project plans and reports. I got a pretty good sense of
how Pete was doing after my review. I made notes in a Word document containing responsibility codes,
responsibilities, and ratings of his performance as if I had to rate these responsibilities today and explain the
ratings to Pete. I felt ready for the meeting."



Phase 2: Performing the Review
Once you are well prepared, it is time for phase 2: performing the review. Actually carrying out the review is the
most important phase of the process. Here, you are working with your employee to evaluate how things are
going, identify problems, and decide what to do next. There are three steps in this phase.
Meet with the employee and discuss the performance on the chosen responsibilities.
Discuss ways of improving performance for each job responsibility to be covered and, if needed, set up goals for
improving performance. Describe what the employee must achieve in terms of specific behaviors or outcomes to
perform at the next level of performance, and indicate how improving performance may affect the formal
evaluation rating.
Discuss the implications of not improving any poor performance ratings before the formal evaluation and how the
lack of improvement may impact a final rating.
Using the key behaviors for talking with your employees is an essential part of successfully completing this phase.
These communication behaviors are very important and are used in all three steps. You will learn about these
behaviors later in this module.



The Rating Scale
During your meeting with your employees, you will discuss their performance--including your current evaluation of
how well they are doing. This is where the scale for rating performance of a responsibility comes into play. State
employees are rated using the same scale. The ratings are based on your comparison of the employee's actual
performance relative to the exceptional performance expectations associated with a responsibility. Each of the
rate levels is explained in the table below.
Rating                Definition
1. Not Acceptable    Defined standards for exceptional performance are almost never met; immediate changes
                     are necessary. If the evaluation were based solely on performance of this responsibility,
                     termination would be necessary. Performance is not acceptable.
2. Marginal          Defined standards for exceptional performance are occasionally met; some changes should
                     be made. If the evaluation were based solely on performance of this responsibility,
                     improvement would be necessary to justify consideration for a merit salary increase or
                     promotion. Performance is marginal.
3. Good              Defined standards for exceptional performance are often met; some changes can be made
                     to achieve a higher rating. If the evaluation were based solely on performance of this
                     responsibility, consideration for available merit salary increase or promotion would be
                     justified. Performance is good.
4. Superior          Defined standards for exceptional performance are almost always met; a few changes can
                     be made to achieve a higher rating. If the evaluation were based solely on performance of
                     this responsibility, a recommendation for available merit salary increase or promotion would
                     be justified. Performance is superior.
5. Exceptional       Defined standards for exceptional performance are clearly and consistently met. If the
                     evaluation were based solely on performance of this responsibility, a strong
                     recommendation for available merit salary increase or promotion would be justified.
                     Performance is exceptional.


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The Meeting
Now you are ready for the first step in this phase: meeting with your employee. Evaluate the employee's
performance to date in this cycle for each responsibility and discuss your assessment. Remember to tell the
employee that your evaluation ratings are unofficial at this point and are used for guidance and feedback. Also,
make sure to listen carefully to her views as she may provide additional information that influences your
evaluation.
Do not be afraid to discuss differences concerning the quality of the employee's performance. It is actually
important to discuss these kinds of disagreements because they usually contain valuable information for you and
your employee. Simply agreeing with the employee will eventually undermine what both of you are trying to
achieve. The root cause of the disagreement may actually be a problem that you were not aware of, or some
misunderstanding about expectations. Without understanding the cause, the two of you have no way of creating a
solution.



Monica's View
Monica met with Pete to discuss his performance. Monica's view of what happened during her meeting with Pete
is explained below.
"Pete and I met for about an hour to discuss his responsibilities. Some of our discussions were difficult, but we
were able to reach common ground. I felt that Pete was performing most of his responsibilities at a rating of 3 or
higher. There was just one, Management of Projects and Programs, which I felt was at a rating of 2. Pete
disagreed at first, but when I showed him some of the progress reports and comments from project personnel, he
saw what I meant. He also commented that he wanted to improve on his performance, which was a good
viewpoint."



Next Steps and Consequences
During the discussion of each responsibility, you will bring into play the last two steps in this phase.
First of all, you'll want to discuss ways of improving performance for each job responsibility and describe what the
employee needs to do to achieve the next highest rating. You may want to set specific goals for improved
performance, including appropriate time frames. Make sure to indicate how improving performance will affect the
formal evaluation rating. You will also need to discuss the consequences of not improving any poor performance
before the formal evaluation, and how poor performance may impact a final rating.
You also need to discuss the consequences of not improving any poor performance before the formal evaluation,
and how poor performance may impact a final rating. The employee needs to see all the possible consequences
before choosing her own path of action and level of commitment.



Monica's Views
During her meeting with Pete, Monica discussed how he could improve his performance with his responsibility
area of Management of Projects and Programs. She also discussed the related consequences. Monica's views
about Pete's performance problems are explained below.



Monica's View of Performance Problem 1
"Pete had some problems making sure that his projects were routinely monitored to confirm that they were being
carried out as designed and were progressing on schedule. In this case, he did not consistently monitor all his
projects, which led to schedule slippage. He decided to set up a new review process with automatic reminders for
himself. I thought this was a good idea and told him so. I also told him this was essential to raise his rating for this
responsibility. If he didn't address these issues, I told him that it would be hard to achieve a rating of 3."


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Monica's View of Performance Problem 2
"Pete also had difficulties when schedules were not met. He failed to promptly alert persons affected by the
slippage and often did not develop a sound means of expediting completion of the project. Pete decided to
develop a Web-based project management site for each project, with notification areas and automatic e-mailing of
alerts. It would also incorporate a group discussion area for brainstorming solutions to expedite the project. This
was another great idea and I let him know. Again, I told him this was essential to raise his rating for this
responsibility or it would affect his final evaluation results. He said he understood and was looking forward to
making the changes. We ended on a very optimistic note.”



Meeting Review
Monica did an excellent job of completing phase 2 of the review with Pete. She met with him and discussed his
performance on the chosen responsibilities. Together, they discussed ways of improving Pete's performance for
each job responsibility and set up goals for improved performance. She indicated how improving performance
could affect the formal evaluation rating and also discussed the implications of not improving poor performance
ratings. Overall, both Monica and Pete were pleased with the outcome.



Talking with Your Employees
How do you feel about giving performance reviews? Is it difficult for you? Does it make you feel uncomfortable?
If so, you are not alone. Performance reviews can be emotionally difficult for both you and your employees.
Feelings can range from a sense of hesitation and inadequacy to feelings of success and partnership in achieving
goals. Remember, you are both human. Most people want to do well and succeed at their goals. Your job as a
supervisor is to help them with the process.
There is a set of key behaviors that you can follow in this phase that will help you when talking with your
employees. These key behaviors are:
          respecting and acknowledging your employees
          encouraging and praising your employees
          listening to and empathizing with your employees
          involving and supporting your employees with their success.




Respecting and Acknowledging Your Employees
The first behavior to follow when talking with your employees involves respecting and acknowledging them.
Respecting and acknowledging your employees lays the foundation for a productive working relationship. It sets a
positive context for how you and your employees will interact. Disrespect may lead to apathy and resentment on
your employee's part, and a sense of distance, as they will not feel valued. It is up to you, as a supervisor or
manager, to establish a respectful relationship.


Respecting your employees means:
          treating your employees as valued members of the organization
          not saying anything to demean your employee's abilities, competencies, or integrity as individuals
Acknowledging your employees means:
          telling employees you know they want to do a good job and pointing out their strengths




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Monica: Respecting and Acknowledging
Monica is meeting with Pete for his interim review. As you follow along, identify how well Monica does with
respecting and acknowledging Pete.
Monica             "Before we get into the heart of the review, I want you to know how much I value your
                   contributions to our department."
Pete               "Well, thanks, but it seems like I didn't do too good a job with monitoring my projects."
Monica             "I believe that you really wanted to do a good job, Pete, just as you actually did with your other
                   responsibilities. I think it's a matter of the systems, not you or your capabilities."
Pete               "I can see that to a degree, but nonetheless, I'm responsible for the project communications."
Monica             "That's right, you are. In addition, as far as I can tell, you are stepping up and being responsible.
                   You're very creative, which is one of the reasons I wanted you in this position."
Pete               "That's good to hear. I lose sight of my own capabilities sometimes."



Encouraging and Praising Your Employees
By respecting and acknowledging Pete, Monica set a positive tone for the remainder of the review. The second
behavior to follow when talking with your employees involves encouraging and praising them.
Everyone needs to feel competent and valued. Helping employees feel good about themselves tends to make
them more motivated, productive, and cooperative. They are also more committed to working with you to solve
problems.
Encouraging your employee’s means:
          expressing confidence in both their abilities and your belief that they can achieve their goals
Praising your employees means:
          acknowledging their good ideas and complimenting them for satisfactory or above-average performance
It is important to remember a simple rule as you encourage and praise your employees: be specific and sincere.
Providing details about what a person is doing right and being honest with your compliments is very important.
Insincerity is easy to spot and actually undermines what you are trying to do.



Monica: Encouraging and Praising
Monica applied the first behavior and started the meeting on a solid footing. As you follow along, identify how
well Monica does with encouraging and praising Pete.
Monica             "I know you're concerned about the project communication issue, but I also know how capable
                   you are. I believe that by applying your creative thinking to this problem, you will find a solution.
                   Based on your past performance, I'm certain you can succeed."
Pete               "Do you have an example of what you mean?"
Monica             "Sure. Your idea of setting up a new review process with automatic reminders is a good example
                   of your creativity. You have a knack for applying new technologies to our processes."
Pete               "Thanks. I have a better idea of what you're talking about now."
Monica             "That's right. Keep up the good work."



Listening to and Empathizing with Your Employees
Monica did a good job with the second behavior. Pete was not sure about being on track with his job performance
plan, but she was. The third behavior to follow when talking with your employees is listening to them and
empathizing with them.




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Have you ever talked with someone who you knew just wasn't listening to you? How did you feel? If you are like
most people, you may have felt as if the other person did not care about the conversation--or you--and that it was
not worth the time trying to continue.
Listening and empathizing is the opposite of that kind of conversation. A conversation based on listening and
empathy is one in which both parties feel heard and understood.
Effectively listening involves:
          paying focused attention to your employee as he speaks, not letting your mind wander or being
          preoccupied with what you want to say
          mirroring back to your employee what he has said, in your words, to make it clear to him that you heard him.
Empathy is defined as "identification with and understanding of another's situation, feelings, and motives.” Here,
you go beyond the words being said. Effectively empathizing involves two elements:
          Your statement of the feeling that is being expressed
          Your restatement of the content of what the person said to convey the feeling.
It is important to let employees know you have heard and understood the content of what they have said and the
related feelings.




Monica: Listening and Empathizing
During his interim review meeting with Monica, Pete brought up a point. As you follow along, identify how well
Monica does in listening and empathizing.
Pete               "You know, it really bothers me that you just accept those e-mails from the project teams as
                   matter of fact, without communicating with me."
Monica             "So, accepting e-mails from project team members, without discussing them with you, bothers
                   you?"
Pete               “That's right."
Monica             "I can see that you're angry about this. Our lack of communication regarding the e-mails has
                   really upset you. I don't blame you."
Pete               "Good. I am glad you see my point. I really need you to update me on things like that so I don't
                   feel blindsided."
Monica             "I apologize. I thought you were copied on a number of the e-mails, so I believed you knew what
                   was happening. I'll make sure to follow-up with you in the future."
Pete               "Oh. I will have to double-check on that. Thanks. I really appreciate your openness in hearing
                   what I have to say."
Monica             "No problem, Pete. That's how I want it to be."




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Involving and Supporting Your Employees
Monica's application of the third behavior helped to clear up an important issue, as well as establish more trust
with Pete. The fourth behavior to follow when talking with your employees is involving and supporting them with
their success.
It is important that your employees are involved in the process of solving issues. The benefits are twofold, as
involving your employees builds their self-esteem and invites participation and commitment on their part.
The keys to involving your employees are to:
          ask for their help
          encourage their involvement.
Asking can be as straightforward as a direct question. It can also be asking open-ended questions that invite
participation. Either way, asking will generate better solutions, and employee involvement will generate better
results.



Monica: Involving
Monica feels that involving her employees is one of her strong suits. As you follow along in her conversation with
Pete, look for the ways that she applies this behavior.
Monica             "Well, Pete, let's look at that third characteristic, which involves promptly alerting affected
                   personnel. Any ideas on what to do to improve your performance."
Pete               "Gee. I don't know off hand."
Monica             "You're very creative. Look at your idea for the first problem. The automatic review reminders
                   were a good idea. Anything like that for this case?"
Pete               "Maybe I could use the Internet in some way. My friend Lisa is doing some project management
                   using the Web."
Monica             "That's a good idea. Our field vehicles have wireless Internet access for e-mail and Internet-
                   based calling. Maybe they could be used somehow."
Pete               "Right. I could set up a Web-based project management site for each project, with notification
                   areas and automatic e-mailing of alerts. That would handle the outgoing communication issue.
                   This will take some time on my part, and we'll probably have some internal costs for hosting the
                   site."
Monica             "I think it would be worth the development and hosting costs. I'm in support of the idea."




Supporting Your Employees
Did you see how Monica both asked for Pete's help and encouraged his involvement? The result was increased
self-esteem for Pete and a clear demonstration of his commitment.
The second part of the fourth behavior is supporting your employees. A key part of this is supporting them
without removing their responsibility. Your job is not to do their job, but to help them succeed.
Have you ever watched a child learning how to ride a bicycle with training wheels? The training wheels provide
the needed support. Similarly, your support can provide:
          guidance in the form of suggestions or ideas
          balance by making sure that the employee's tasks are not overwhelming or trivial
          resources to support the successful completion of targeted responsibilities.
Getting the support and resources is a two-way street. The employee should also identify support and resource
needs and ask for them. You should be supportive, but remember that in the end, your employee must assume
responsibility for his own performance.


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Monica: Supporting
Monica has proven her ability to provide guidance in the form of suggestions or ideas. As you follow along in her
conversation with Pete, look for the ways in which she supports him.
Monica            "On another note, do you think you'll have enough time to do the project Web sites, as well as
                  perform the rest of your responsibilities? I don't want things to get out of balance."
Pete              "That's a good point. I have done some Web development before, but you're right about my
                  plate being pretty full."
Monica            "I have an idea. Ted is a friend of mine in the Information Services group. He is a Web site
                  Developer 2. I bet he would have some ideas, as well as possible resources, to help us."
Pete              "That's a great idea! Let me have his contact information and I'll get things rolling."
Monica            "That's just what I had in mind."




Using the Key Behaviors When Talking with Your Employees
Monica did a good job with Pete and the last behavior. She involved him and provided support. As a result, he
jumped at being responsible for the outcome.
As you can see, interim reviews are very important to the overall evaluation process. Remember to use the key
behaviors when you talk with your employees by:
          respecting and acknowledging your employees
          encouraging and praising your employees
          listening to and empathizing with your employees
          involving and supporting your employees with their success.
These key behaviors have been summarized in the learning aid “Key Behaviors for Interim review Meetings
Learning Aid.”
It would be helpful to review this document, which is available in the Resources section, before your interim
review meetings. Applying these behaviors will help you to have successful review meetings that meet your needs
and the needs of your employees.



Phase 3: Documenting the Review
Capturing the results of the review on an Interim Review Form is the final phase of the process. The form should
be filled out after the discussion with the employee so that all pertinent information will have been covered for
final documentation. You may have drafted an Interim Review Form prior to the review discussion to organize
your thoughts and share with the reviewer.
There are six steps for you to follow when documenting a review. The steps can be divided into two groups:
present performance information and future performance information.
The steps related to describing present performance are to:
     1.   rate the employee's present performance on each responsibility.
     2.   describe why performance is at the given level by using work behaviors or work outcomes as support.
The steps related to describing future performance are to:
    1.    describe what the employee must do to be performing at the next level using work behaviors or work
          outcomes as support.
    2.    outline ways the employee can improve job performance to be performing at the next level.
    3.    set specific time goals for improved performance.


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     4.   state the impact of the current performance level with respect to the overall rating.



The Importance of Accurately Documenting the Review
Good documentation of your interim reviews is especially important for completing the formal evaluation at the
end of the evaluation cycle. If you have done a good job with your documentation, it will be relatively easy to
reach fair and accurate performance ratings.
This is especially important if the employee's performance is deficient and a suspension, demotion, or termination
may be necessary.



Capturing Review Information
The Interim Work Review form is an Omni Form tool that you use to capture the interim review results for your
employee. You can access this form through the State of Tennessee Web site by using the following link:
http://tn.gov/dohr/employees/performance/perform.html
The form contains two columns. The column on the left is for the job responsibility and code. The column on the
right is for the information that you are capturing related to the given responsibility.



Describing Your Employee's Present Performance Information
You begin filling out your employee's Interim Review Form by describing present performance. Start by rating the
employee's present performance for each responsibility. List the responsibility in the left column and then
describe your rating in the right column. Follow your rating with an accurate description of why performance is at
the given level. Make sure to use work behaviors or work outcomes as support for your rating.
Monica has filled out part of Pete's Interim Review Form with present performance information for his first
responsibility. You can review the form Monica has partially filled out by accessing the document titled Pete's
Interim Review Form--Present Information. This document is available in the Resources section of the course.



Describing Your Employee's Future Performance Information
Once you have the present performance for a responsibility captured, you continue by describing the future,
desired performance. Start by listing what the employee must do to be performing at the next level by using work
behaviors or work outcomes as support. Then, document the ways that you and your employee have chosen to
improve job performance to be performing at the next level. This includes any specific time-based goals for
improved performance. Finally, document the impact of the current performance level with respect to the overall
rating.
Monica completed filling out Pete's form for his first responsibility by describing future performance information.
You can review the form Monica completed by accessing the document titled Pete's Interim Review Form--
Present and Future Information. This document is available in the Resources section of the course.



A Good Review
Monica accurately captured Pete's present and future performance information in the review form. Documenting
the review meeting, as Monica did, helps her to be prepared for the next review meeting with Pete. It will also
help her with Pete's final evaluation.
The learning aid Guidelines for Documenting an Interim Review can help you with the process. You may want to
review it before documenting interim reviews of your employees. You may access this learning aid through the
Resources section of the course.



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Signing the Forms
There is one final task in the process, and that is to sign the appropriate forms. Here is what you do.
     1.   Print, review, and sign the Interim Review Form.
     2.   If using the on-line Edison Evaluation system, create a new document (interim evaluation) to record the
          date and acknowledgement.
     3.   If using the paper version of the Evaluation forms (not in Edison), fill out and sign the appropriate interim
          review discussion block on the employee's evaluation form.
Once you have completed signatures, you are done with the review.




What You Have Learned
In this module, you learned how to perform an interim review using approved guidelines, policies, and tools.
Specifically, you learned about the:
          three phases of an interim review: preparing, performing, and documenting
          scale for rating performance of a responsibility
          key behaviors to follow when talking with employees during a review
          process for completing an Interim Review and documenting the discussion in either the on-line Edison
          system or the paper version of the form
You now have a good understanding of what it takes to do interim reviews with your employees. In the next
module, you will learn how to provide coaching during the evaluation cycle.




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Module 7: Coaching During the Evaluation Cycle

Introduction
Take a moment to think about the best coach you ever had. If you have never had a coach, think about a teacher
or a mentor who helped you succeed. What kind of language did the coach, teacher, or mentor use when you
faced an academic, athletic, or other type of challenge? Which selection below do you think best reflects the
language of an effective coach?
     1.   It is no big deal that you cannot achieve this. Do not feel bad about yourself.
     2.   It may seem difficult now, but with practice, I have confidence that you can do it.
     3.   What were you thinking when you took on this challenge? Here, let me do it for you.
     4.   This is not an area of strength for you. I would advise you to try something else.



What You Will Learn in This Module
An effective coach would have opted for choice 2: "It may seem difficult now, but with practice, I have confidence
that you can do it."
A coach would have acknowledged the difficulty and encouraged you to proceed, just as the faith your coach had
in you gave you the confidence boost you needed to succeed. Remembering your coach, teacher, or mentor will
help you become an effective coach.
In this module, you will learn how to coach employees. You will be able to comfortably facilitate the transfer of
knowledge and skills to your employees to enhance their individual performances.
You will also learn how to coach employees at any time during the evaluation cycle. Specifically you will learn to:
          identify the characteristics of effective coaching
          recognize the benefits of coaching in employee performance management
          apply the six steps in the coaching process.




Defining Coaching
What is coaching as it pertains to the professional environment?
Coaching is a method of helping employees develop their skills and knowledge so that they can improve their job
performances and reach their professional potential.
The characteristics of coaching are shown below.
Coaching:
          aims to improve employee performance and develop skills
          consists of one-to-one developmental discussions
          is delivered on the job
          is time-bound
          is used to address a wide range of issues
          focuses on both organizational and individual goals
          focuses on current and future performance and behavior
          emphasizes improving performance at work, rather than resolving personal problems.




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Understanding Coaching
Matthew, a Human Services agency manager, and Monica, a manager in the Department of Transportation, are
attending a State of Tennessee leadership development conference. Monica has some questions for Matthew
about coaching. Here is what they have to say:
Monica            "What do you think about managers and supervisors using coaching during the job performance
                  plan and the interim review phases?"
Matthew           "I think it's a good move on the part of the agencies. Coaching really enhances employee
                  productivity and performance. We used it extensively at my previous job."
Monica            "I've heard about coaching, but don't really understand what it is. I have always assumed that it
                  vaguely resembles athletic coaching. However, I do not imagine coaching in the workplace
                  involves whistles and locker rooms. What is coaching exactly?"
Matthew           "People use the term without really understanding what it is. Some envision a process like
                  counseling. Whereas counseling seeks to resolve underlying issues that are the cause of serious
                  personal problems, coaching is generally more concerned with improving future performance
                  and behavior within specific time frames. Coaching is an activity that consists of one-to-one
                  developmental discussions with employees. It provides employees with feedback so that they
                  can develop skills and improve their work performance."
Monica            "Wow. Coaching sounds like the secret to performance management. Moreover, I think it is
                  something that employees will embrace. I can't wait to get started."



The Benefits of Coaching
Coaching allows learning to take place without a rigid structure. It is a powerful tool to enhance business
performance through encouraging continuous improvement. There are many benefits to coaching in employee
performance management.
Coaching is beneficial because it:
          increases employee accountability
          contributes to increased productivity
          improves communication in the workplace
          enhances employee motivation.



Illustrating the Benefits of Coaching
Here is what some experienced agency managers and supervisors have to say about the benefits of coaching:
          A supervisor from the Department of Tourist Development says that when she coaches her employees,
          they become more self-directed, less dependent, and more accountable. Through coaching, her
          employees have an increased sense of personal accountability for the achievement of organizational
          results.
          A manager from the Department of Health says that coaching improves the productivity of his employees.
          They learn and practice new skills and competencies. When he provides ongoing feedback to support
          new behaviors, it results in better skilled, more productive employees.
          A supervisor from the Department of the Commission on Aging and Disability says that coaching her
          employees improves workplace communication in that it establishes communication channels for
          performance discussions.
          A supervisor from the Department of Economic and Community Development says that coaching enables
          him to motivate his employees to achieve peak performance. Coaching challenges employees to reach
          their full potential.




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The Coaching Process
Now that you have a better understanding of the benefits and characteristics of coaching for performance
management, examine the six steps in the coaching process.
Applying the six steps in the coaching process will help you communicate with, encourage, support, and motivate
employees so that they can achieve exceptional performance.
The six steps in the coaching process are to:
     1.   Identify the coaching opportunity
     2.   Initiate a coaching discussion
     3.   Express empathy and offer coaching suggestions
     4.   Support the employee’s exceptional performance
     5.   Model the behaviors that constitute exceptional performance
     6.   Encourage exceptional performance and then devise a plan to measure the results.



Six Steps in the Coaching Process
Learn more about the six steps in the coaching process from the table below:
          Step 1 is to identify the coaching opportunity. A coaching opportunity exists when there is a gap between
          the employee’s current level of competence or performance and that of exceptional performance in the
          position.
          Step 2 is to initiate a coaching discussion to identify the source of the issue or problem. During the
          coaching discussion, explore the issue or problem with the employee. This process enables you and the
          employee to understand the source of the problem
          Step 3 is to express empathy and offer coaching suggestions based on the problem or issue you identified
          in step 2.
          Step 4 is to support the employee’s exceptional performance by giving her the support she needs.
          Step 5 is to model the behaviors that constitute exceptional performance. An effective coaching
          technique is to show the employee being coached an example of the behaviors that constitute
          exceptional performance.
          Step 6 is to encourage the employee to achieve exceptional performance, and then measure the results.
          Methods of encouragement may include achievement recognition, work responsibility, and the
          performance evaluation.



Identify the Coaching Opportunity
Next, take a closer look at the steps in the coaching process. In step 1, identify the coaching opportunity. A
coaching opportunity exists when there is a gap between the employee's current level of competence and
performance and that of exceptional performance in the position. Discuss the coaching opportunity with the
employee by describing the desired level of performance in terms of behavior and results.
When implementing step 1, first mention the job responsibilities that you will be addressing by describing the
exceptional performance. Refer to the employee's job performance plan. Then, describe the current behavior or
behaviors.
For the purposes of these steps, Wyatt is an Economic and Community Development Supervisor, and his employee
Rose is an Economic Development Officer. An example of an opening statement for step 1 is, "One of the job
responsibilities from the job performance plan we'll be discussing pertains to the preparation of reports.
Exceptional performance is defined, as ‘reports requested by senior managers are prepared as needed and within
agreed-upon time schedules.’ Your weekly reports are always more than two days late. We need to explore ways
for you to consistently finish your reports on or before your scheduled deadlines."



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  Actual Performance                                     Exceptional Performance
  Reports requested by senior managers are               Reports requested by senior managers are prepared
  delivered two to three days late.                      as needed and within agreed-upon time schedules.




Initiate a Coaching Discussion
Step 2 is to initiate a coaching discussion to identify the source of the issue or problem. During the coaching
discussion, explore the issue or issues with the employee. Encourage the employee by asking her questions that
facilitate dialogue. Skillful questioning invites the employee to speak. This helps her to gain insights, solicit
suggestions, explore feelings, check understanding, and assess commitment to action. Do not problem solve
before you have explored the issue.
Open-ended questions are much better than closed questions for encouraging an open exchange. Open-ended
questions allow for a spontaneous, unstructured response. They encourage the employee to openly discuss the
problems she is having. These questions help you as the coach to assess the problem the employee is
experiencing.
Closed questions do not provide the same opportunity for self-expression, and they often elicit short,
uninformative answers. Closed questions frequently elicit a yes or no answer. They do not invite the person being
coached to explore the problem she is having.
An example of a closed question and an example of an open-ended question appear below. As you read the two
types of questions, imagine the type of response each would elicit.

Closed Question Example: Do you agree that your late reports are a problem?

Open-ended Question Example: Why do you think your reports are consistently late?




Example of a Coaching Discussion
Read the coaching discussion between Wyatt and Rose. Notice how Wyatt skillfully uses open-ended questions to
initiate a coaching discussion and identify the source of the problem with Rose's late reports.
Wyatt            "Why do you think your reports are late?"

Rose             "I'm not really sure."

Wyatt            "What do you think is preventing you from starting them?"

Rose             "Well, I have a tendency to procrastinate when it comes to writing."

Wyatt            "Why do you think that's the case?"
                 "I'm not sure. Perhaps because my standards are so high, I don't believe I can ever meet
Rose
                 them."
Wyatt
                 "I think we're onto something. Your perfectionism prevents you from starting the task
                 because you're afraid you might not achieve your unrealistically high standard."

Rose             "Bingo!"




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Express Empathy and Offer Coaching Suggestions
Step 3 is to express empathy and offer coaching suggestions based on the problems or issues you identified in step
2. When you respond with empathy, you demonstrate to the employee that you understand how she feels, and
encourage the employee to trust you. In the case of Wyatt and Rose, an example of expressing empathy is, "I
know how it feels to be too hard on oneself. I'm a recovering perfectionist myself."
Advice-giving in the form of directives can be intimidating and intrusive, and can detract from the tone of the
coaching session. Nevertheless, coaching suggestions framed appropriately can lead to improved performance.
Such an approach suggests possible solutions; it does not command the employee to commit to a specific course
of action.
To formulate a coaching suggestion, propose ideas in the form of a question or a suppositional statement. If you
pose questions, rather than jump in with instructions, employees will see you more as a coach than a boss.
Compare and contrast advice-giving with coaching suggestions in the table below.


  Advice-Giving                                            Coaching Suggestions
  You should stop being such a perfectionist. Then the    Would it work to remind yourself that no piece of
  task of completing the reports would not be so          writing is perfect, and then work on lowering your
  daunting.                                               standards? Could you tell yourself that good
                                                          enough is better than missing a deadline?




Support Exceptional Performance
Step 4 is to support the employee's exceptional performance by giving her the support she needs. Some problems
of underperformance are caused by factors beyond an employee's control. By demonstrating a willingness to
intervene in such problems and provide support, you show an interest in contributing to your employee's success.
Although you want to offer help and support, avoid taking over the task or responsibility.
Such support may include:
          on-the-job training
          mentoring
          shadowing
          courses or workshops
          learning resources
          removal of organizational obstacles
          administrative support.
In the case of Rose, Wyatt might suggest an online course, a seminar, or written materials on overcoming
perfectionism or procrastination. He might also recommend personal coaching on the issue of perfectionism and
procrastination.



Model Exceptional Performance
Step 5 is to allow for modeling of the behaviors that constitute exceptional performance. An effective coaching
technique is to show the employee being coached an example of what constitutes the desired behavior. If the
employee can observe exceptional performance, it allows her to hold a target behavior or work output in her mind
as she strives to improve her performance.
An example of modeling exceptional performance in the case of Wyatt and Rose is for Wyatt to show Rose an
example of a report written by an employee who meets his deadlines each week. He can show Rose that such a
report is not a masterpiece. Rather, it is sufficient, and meets senior management's requirements. Rose can begin
to emulate the approach of this employee and meet both the minimum standards and her deadlines.



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Motivate and Measure the Results
Step 6 is to motivate the employee and measure the results. It is important to complete the coaching process by
motivating the employee to change her behavior and performance. Motivators may include achievement,
recognition, increased work responsibility, and the performance evaluation.
In addition to motivating the employee, you should have a plan for measuring the results of performance
improvement, such as assessing the quality of work or new behavior in a follow-up meeting or an interim review.
Follow-up meetings can be scheduled in which employees report on the results achieved from incorporating the
coaching suggestions.
An example of motivating and measuring the results in the case of Wyatt and Rose is, "If you adopt an approach to
report writing that allows you to achieve exceptional quality and on-time delivery, your performance review will
reflect your performance. Let's evaluate your progress during your interim review."




Applying the Six Steps
Monica is a manager in the Department of Transportation who is meeting with Pete, a project manager in the
Department of Transportation. Monica is applying the six steps in the coaching process to help Pete improve his
performance.
As you follow along, identify how well Monica does in coaching Pete. You may access the learning aid titled The
Coaching Process to help you remember the steps. This learning aid is available in the Resources section of the
course.
Monica              "Thanks for taking the time to meet with me, Pete. I would like to spend some time on the
                    area of managing projects. Specifically, I would like to explore the job responsibility:
                    establishing realistic schedules for conducting projects. You tend to underestimate the time
                    it's going to take to complete a project."
Pete                "I know we've run into that a few times."

Monica              "What factors are at play when you incorrectly estimate project timelines?"
Pete                "I'm not sure. Perhaps my optimistic nature interferes. Actually, come to think of it, I am
                    probably trying to deliver what the client wants. I may speak too soon before I've explored
                    all the project inputs."
Monica              "That's understandable. I know what it is like to want to over promise and then under deliver
                    when clients are exerting pressure. What would you think about holding off on
                    commitments to the client until you've had a chance to consult the affected parties?"
Pete
                    "That sounds like a good plan, but I don't want to be seen as a roadblock by clients and
                    managers."
Monica              "Don't worry. You will not. Here is what I will do. In the next client meeting when schedules
                    are being discussed, I will take the lead. You can observe how I handle scheduling matters.
                    I'm a pro at client management and pushing back."
Pete
                    "I like that approach. I won't be in the hot seat right away, but I'm still concerned about
                    being seen as an obstacle when I do step in."
Monica              "No worries, Pete. Once you master this skill, I'll recommend that you take on more critical
                    projects."




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Debrief
How did Monica do in applying the six steps in the coaching process?
Monica correctly performed steps 1 and 2 by identifying the coaching opportunity and initiating a coaching
discussion. Through her discussion with Pete, she discovered that the source of Pete's scheduling problem was his
desire to please clients.
Monica performed step 3 correctly when she expressed empathy and offered coaching suggestions. The problem
with Monica's coaching session was that she did not support Pete's exceptional performance. She had an
opportunity to offer support to Pete when he expressed his concern about being perceived as a roadblock, but she
failed to do so. Had she offered to intervene and provide management support for Pete's decisions, Pete may
have felt more comfortable with the task of creating realistic project schedules.
Her approach to step 5 was correct when she proposed a plan to model client management behavior. In
performing step 6, she offered an incentive of more critical assignments to motivate Pete, but she failed to devise
a plan for measuring the results. Without such a plan, Monica will not know whether Pete is making progress on
the job responsibility in question.




What You Have Learned
In this module, you have learned that coaching is a method of helping employees develop their skills and
knowledge so that they can improve their job performance and reach their professional potential.
You learned that coaching is beneficial because it:
          increases employee accountability
          contributes to increased productivity
          improves communication in the workplace
          enhances employee motivation.
You also learned to apply the six steps in the coaching process. Applying these steps will help you communicate
with, encourage, support, and motivate employees so that they can achieve exceptional performance. By being a
skilled coach, you can help employees achieve their professional potential to the benefit of themselves and the
organization.




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Module 8: Completing the Formal Evaluation

Formal Evaluations
In prior modules, you have learned about the process for developing job performance plans and giving interim
reviews. Now is the time to consider what has occurred and bring the current cycle of the job performance
planning and evaluation process to a close. The final steps, pertain to the formal evaluation, which is an
employee's final evaluation at the end of the current evaluation cycle. Here is what the final evaluation step
states:
          During this step, you rate your employee's job performance for the entire evaluation cycle, which
          occurred in the period between the initial job performance plan discussion and the present formal
          evaluation.
Once the evaluation is complete, the employee acknowledges the evaluation document. The rater/supervisor
acknowledges the evaluation and notifies the reviewer of the need to review and acknowledge the evaluation.
Upon approval by the reviewer, the appointing authority or designee receives and acknowledges the formal
written evaluation, whereupon it becomes the official rating of the employee’s performance.



What You Will Learn in This Module
In this module, you will learn how to perform a formal evaluation using the approved guidelines, policies, and
tools. Specifically, you will learn:
          the five steps in the formal evaluation process
          how to correctly complete the evaluation document for a formal review
          the six guidelines to follow when discussing the formal evaluation with an employee
Once you have completed this module, you will have a good understanding of what it takes to do formal
evaluations with your employees.
Remember that as a supervisor or manager, you are evaluated on this process as defined by job responsibility code
0020--Conducting the Employee Job Performance Planning and Evaluation Program, which is mandatory for all
supervisors. Evaluating and supporting your employees is important to your success as well as the success of your
department or group.



The Formal Evaluation Process
You are responsible for managing the formal evaluation process. When the performance evaluation was created
and placed in your on-line work folder under the Performance Documents tab in Manager Self Service at the
beginning of the evaluation cycle, you should have scheduled the key events in the process. You would have
scheduled the job performance planning discussion, the interim reviews, and the formal evaluation using the due
date (the last day of February for regular, non-probationary employees on the standard evaluation cycle) on the
evaluation document as the ending reference point.
The formal evaluation should be conducted a couple of weeks prior to the due date. In addition, you may receive a
performance evaluation due listing report for one of your employees. This is simply a reminder that an evaluation
must be completed by the due date listed on the report. That is your signal to complete the formal evaluation
process.




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This process has five steps that are dependent on each other. These five steps and their explanations appear in
the table on the next page.

Evaluate             The first step is to evaluate the performance of your employee based on interim reviews and
                     recent performance.
Document             The second step is to document the ratings and performance of your employee on the
                     evaluation form.
Discuss              The third step is to discuss the evaluation with your employee.
Sign-off             The fourth step is to obtain sign-off on the evaluation form from the employee, you as the
                     rater/supervisor and the reviewer.
Sign-off             The fifth step is to obtain sign-off on the evaluation form from the appointing authority.




Step 1: Evaluate Your Employee's Performance
The first step in the formal evaluation process is to evaluate your employee's performance.
The tasks associated with this step are to:
     1.    review the employee's job performance plan
     2.    review the employee's interim reviews
     3.    reflect on the employee's performance over the entire cycle
     4.    rate the employee's performance for each job responsibility listed in the plan.
This is the most important step in the evaluation process because it will define the direction you take with your
employee going into the next cycle of the job performance planning and evaluation program. Your decisions here
can have a significant impact on you, your team, and the employee that you are evaluating.



Reviewing Performance Plans
The first task is to review the employee's job performance plan to remind you of her overall responsibilities. Once
you have the responsibilities and expectations in mind, you will be ready for the next task.
Monica, a manager in the Department of Transportation, is getting ready for her formal evaluation of Pete, one of
her transportation planners. Here is how Monica began the process:
           "I started by reviewing Pete's performance plan. He has eight major responsibilities with associated
           performance expectations. Three of those were very important to what we were trying to accomplish
           over the past year. All in all, the plan was well thought-out and an excellent challenge for Pete."



Review Your Employee's Interim Reviews
The second task is to have another look at the employee's interim review forms. You should have done a
minimum of two interim reviews during this evaluation cycle. The information on these forms is very important
because it paints a picture of how your employee has performed over the entire evaluation cycle. You may want
to make notes of any performance trends that you observe. You may also want to note where your employee
exceeded, or failed to reach, the identified performance expectations.
Monica spent some time looking over Pete's interim review forms. Here is what she had to say about using interim
reviews to help her create Pete's formal evaluation.
           "I had two interim reviews with Pete and spent time looking over each one. I compared his reviews and
           looked for patterns indicating performance trends. I made a few notes as I went to ensure that I had a
           good sense of how well he was hitting the goals of the plan."




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Reflecting on Performance
The third task is to use the characteristics of exceptional performance identified in the Job Performance Plan and
reflect on the employee's performance over the entire cycle. You have a number of sources of input to use when
thinking about his performance since the last interim review.
Your sources include:
          observation of day-to-day performance
          work outcomes
          critical incidents
          feedback from the public or clients
          logs, reports, and other indirect information sources.
Review the performance expectations for the responsibilities, and then think about the employee's performance
overall. You will want to take notes about your thoughts, either on paper or in an electronic document, so that
you are prepared for the rest of your evaluation.



Monica's View
Monica spent some time reflecting on Pete's performance. Here is what she had to say about her approach:
          "I took a look at Pete's plan and then reviewed notes I had taken about his performance over the past few
          months. I also looked at current project reports. I had a good sense of how Pete was doing after I
          thought about it. I made notes about my views, including thoughts on his performance patterns over the
          year."



Rating Performance
Once your review is complete, you are ready to start the fourth task--rating your employee's performance. The
usefulness of this performance evaluation program will depend upon the accuracy of the ratings you give. It
should not be difficult to assign an accurate rating if you have observed your employee's performance and
provided feedback during the interim review meetings.
In module 6, you learned about the rating scale used by the state for performance evaluation. The ratings are
based on your view of how well an employee meets the exceptional performance expectations associated with a
responsibility. Make sure to rate each responsibility separately. The idea here is to get a good sense of
performance for each responsibility, not for the overall job performance.
Over the next few pages, you will take a closer look at each of the ratings to help clarify the differences among
them and how they are used for a formal evaluation.



A Rating of 1
A rating of 1 is used to describe performance of a responsibility that is not acceptable. This rating implies that the
standards for exceptional performance are almost never met. It should be used when:
the employee's performance of the responsibility is sufficiently weak so that the employee's work must be
frequently checked to make certain it is properly done
          the employee's inadequate performance limits the ability of the work unit to achieve its goals
          the supervisor or another employee must "cover" for the inadequate performance of the responsibility
          the employee's performance causes an excessive number of complaints from people the employee serves
          there are similar reasons that can be described by the rater.
A supervisor should be working closely with the employee’s reviewer and the agency Employee Relations officer
when an employee receives an overall rating of 1 or a rating of 1 on any job responsibility. Usually a rating of 1



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implies that appropriate disciplinary action is taking place. Note that a rating of 1 from one or more responsibilities
does not necessarily mean that the supervisor is recommending suspension, demotion, or separation.
There are some very important points to remember regarding ratings of a 1 on both the responsibility level and
the overall rating level:
          If an employee receives a 1, or not acceptable on any job responsibility, that employee should not be
          rated above a 2 or marginal, on the overall rating.
          If an employee who is not on probation receives a 1, or a not acceptable as an overall rating, then he/she
          will be notified that an adverse administrative decision is possible.
Make sure to keep these points in mind as you assign rating values for your employees.



A Rating of 2
A rating of 2 is used to describe performance of a responsibility that is marginal. This rating implies that the
standards for exceptional performance might occasionally be met, but this seldom occurs.
It describes a level of performance that clearly needs improvement, but is not bad enough that the employee
would necessarily be terminated, even if all responsibilities were performed in this manner. If you imagined a job
in which this responsibility was the sole activity, you would not be able to recommend the employee for a
promotion or higher salary based on the current performance.



A Rating of 3
A rating of 3 is used to describe performance of a responsibility that is good. This rating implies that the standards
for exceptional performance are often met. There are no major deficiencies in the employee's performance of the
responsibility, and based solely on this performance the employee would be considered for promotion or a merit
salary increase. While there is no immediate need to improve performance, improvement is desirable and would
make a better contribution to the objectives of the work unit.



A Rating of 4
A rating of 4 is used to describe performance of a responsibility that is superior. This rating implies that the
standards for exceptional performance are almost all met, or that they are met, or that they are met almost all of
the time. If the employee were considered for a promotion to a job that involved solely this responsibility, the
employee would clearly be recommended for the promotion. There are relatively few ways in which the
employee’s performance of this responsibility could be improved upon.




A Rating of 5
A rating of 5 is used to describe performance of a responsibility that is clearly exceptional. This rating implies that
the standards for exceptional performance are clearly and consistently met. It would be extremely difficult to
describe ways in which the employee's performance of the responsibility could be improved. If the employee
were considered for a promotion to a job that involved solely this responsibility, you would argue strongly for her
promotion--it would be difficult imagining anyone doing a better job.




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The Two Critical Decision Points in the Rating Scale
There are two critical decision points on the scale that are particularly significant. The first point distinguishes
between not acceptable and marginal performance. The second point distinguishes between superior and
exceptional performance. Below are decision points for more information.
First Point         The decision between a rating of 1 or 2 is based on the question of whether you are willing to
                    tolerate the employee’s present level of performance. If so, then the rating is 2. If the
                    performance is so bad that without immediate improvement the employee should be either
                    terminated or demoted, the rating is 1.


Second Point        The are two important factors to keep in mind when deciding to give a rating of 4 instead of 5.
                    First, although the performance must be exceptional, it must also be realistic. If no one could
                    perform the responsibility the way you have defined it, you are being unrealistic.

                    The second factor is that the described behaviors must be under the control of the employee. If
                    the equipment needed for a job is not performing properly, then neither could the employee.
                    And if an outcome is dependent on someone else’s performance, but that person is not doing his
                    part, then the outcome won’t be reached.

                    If both of these factors are met, and it would be difficult imagining anyone doing a better job,
                    then, you can justify a 5 rating.



Monica's View
Monica spent some time deciding on the rating for each responsibility on Pete's performance plan. Here is what
she had to say about her approach:
          “After reflecting on Pete's performance, I rated each one of his responsibilities. I looked at them
          independently, as though the whole job were to perform that one responsibility. I used my yellow legal
          pad and made notes of the ratings, as well as specific behaviors that supported each rating. After that, I
          felt that I was ready to document his performance."




Step 2: Document Your Employee's Performance
The second step in the formal evaluation process is to document your employee's performance on the evaluation
form. You have three tasks in this step:
     1.   Document performance and rating information in Edison on the evaluation form for each responsibility
          by:
                •   providing specific examples to support the rating
                •   assigning a rating based on the 1 to 5 scale or designating that the responsibility “does not apply”
                •   transferring the responsibility codes and ratings to the first page of the form
     2.   Rate the employee's overall job performance.
     3.   Provide your explanation of how you reached your overall rating decision in the comments section
          (comments in this section are required of the supervisor).




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If you are using the paper version of the PE documents (when your employee does not have readily available
access to Edison), you will follow a similar process, except you will not complete the documents in Edison. You will
still be responsible for completing the next three steps:
     1.   Document performance and rating information in Edison on the evaluation form for each responsibility
          by:
                •   assigning a rating based on the 1 to 5 scale or designating that the responsibility is “N/A” or
                    “does not apply”
                •   providing specific examples to support the rating
                •   transferring the responsibility codes and ratings to the first page of the form.
     2.   Rate the employee’s overall job performance.
     3.   Provide your explanation of how you reached your overall rating decision in the supervisor’s comments
          box on the last page of the form.



The “Does Not Apply” or N/A Option
The evaluation form in Edison includes a “does not apply” option that can be used in cases where a rating cannot
be given. There is a “N/A” (not applicable) block on the paper version. There are two primary situations during
which you will want to use the “does not apply” option or the “N/A” block.
The first situation is when the employee has not had the opportunity to carry out a job responsibility due to an
unusual circumstance beyond the employee’s control. Since the employee has not performed the responsibility, a
rating cannot be given and you should use the “does not apply” option. The responsibility should be recorded on
the form as usual to ensure that a record is kept for classification purposes.
The second situation is when a major job responsibility has been added to the job plan during the evaluation cycle.
Employees must be given a minimum of three months, or 90 days, to perform the new responsibility before a
formal evaluation. If there is not adequate time, the responsibility should be marked “does not apply” and
evaluated in the next cycle.



Performance Documentation
Documentation of the ratings is so important that your reviewer must return the evaluation to you if the
documentation is incomplete or unacceptable. There are some simple guidelines for you to follow as you
document performance. Review each guideline below for additional information.
Be complete.                 All of the necessary ratings, behavioral examples, comments, and signatures with dates
                             must be completed correctly.
Use explicit statements. Explicit behavioral statements must be used, rather than generalized statements such as
                         “doing a great job.”
Be consistent.               Ratings and example behaviors must match. A high rating cannot be given if example
                             behaviors show low performance.




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Documenting Pete’s Performance
Monica has started the process of entering her performance evaluation information on Pete's form. Review the
information below on the updated pages.




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The Overall Rating Scale
After entering the rating information for all of the responsibilities, you will need to decide on an overall rating of
the employee's job performance. This is the culminating point of the evaluation.
The overall rating is also given on a five-point scale and takes into account the performance of all responsibilities.
The overall rating scale is described in more detail in the table below.


1. Not Acceptable     Overall job performance is not acceptable. The performance of one or more responsibilities
                      is not acceptable. The employee is not eligible to appear on a civil service promotional
                      register.

2. Marginal           Overall job performance is marginal. Performance of one or more responsibilities is
                      marginal or not acceptable. Improvement is necessary to justify consideration for an
                      available merit salary increase or recommendation for promotion in the same line of work.
                      Grant no promotion points.

3. Good               Overall job performance is good. All responsibilities are carried out adequately, and some
                      may be superior or exceptional. Performance justifies consideration for an available merit
                      salary increase. Grant one promotion bonus point.

4. Superior           Overall job performance is superior. Performance justifies recommendation for an available
                      merit salary increase. Grant two promotion bonus points.

5. Exceptional        Overall job performance is exceptional. Performance clearly justifies a strong
                      recommendation for an available merit salary increase. Grant three promotion bonus
                      points.




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Deciding the Overall Rating
The overall rating is very important. Decisions such as promotions, merit salary increases, and even terminations
may be based, at least to some extent, on your rating. Simply averaging the ratings for the responsibilities is not
enough. This decision deserves very careful thought and consideration, and must be based on documented
behaviors, not guesswork.
There are two factors to consider when determining the overall rating for your employee. The first is how well the
employee carried out each responsibility. The second is the relative importance of each responsibility to the job as
a whole. Some responsibilities may be so important that their performance should be given more weight than
others in the overall evaluation.



Importance Levels
A helpful way of doing this evaluation is to create a simple table showing the responsibilities, the associated
ratings, and the importance of each responsibility relative to the other responsibilities. The following is a simple
scale for signifying the relative importance of the responsibilities:
          MI - most important
          II - intermediate importance
          LI - least important
By considering all of the responsibilities, with associated ratings and levels of importance, you will get a good sense
of how to ascertain the overall rating for the employee.
You will also want to note that identifying importance levels is something that should be done at the job planning
stage. At this point, you are making sure that the priority ranking is still accurate prior to the rating. The table
below is an example of how ratings and importance levels have been identified for a set of responsibilities.


Job Responsibility                                                               Rating              Importance
Interview job applicants to determine their qualifications for different         2                   MI
positions.

Stay in contact with other employment offices to tell them of positions that     2                   MI
are not being filled or applicants that cannot be placed.
Talk to employers who have vacancies to determine the qualifications             3                   II
needed of job applicants.
Try to place applicants in different job openings that they qualify for,         4                   LI
thereby benefiting both the applicant and the employer.

Administer employment tests.                                                     5                   LI




Monica's View
Monica spent some time reflecting on Pete's performance. Here is what Monica had to say about the approach
she used:
"I looked at each of Pete's responsibilities and how he had performed, behaviorally, over the past year. I then
rated each one using the scale. After that, I listed the importance levels for the responsibilities. I then took some
time to consider everything and decided to give Pete an overall rating of 4. His performance, particularly in
applying his inventiveness, went past just doing a good job."




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Capturing Evaluation Information
Monica finished the process of transferring her performance evaluation information onto Pete's form in Edison,
including marking his overall evaluation and recommendation. Review the updated first page of the form below.




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Your Explanation
The last task in documenting the formal evaluation is to explain how you reached your decision. You will record
this in the Manager’s Comments section of the annual evaluation form in Edison (if using the annual-paper version
outside of Edison, you will complete the Supervisor’s Comments section on the last page). This explanation may be
the single most important part of the evaluation form.
You should provide facts and considerations concerning the employee's job and job performance that led you to
the overall rating. If you cannot do a good job explaining how you came to the rating, then you probably need to
think about it some more. Your explanation will be one of the first parts that is reviewed when making significant
administrative decisions, such as raises or terminations or other types of personnel decisions. Make sure that you
put careful thought into what you write and that it backs up your decision.



Monica's Explanation
Monica finished the process of filling out Pete's form by entering her explanation in the Manager’s Comments
section on the Edison annual-evaluation form. Review the section below to see what she wrote in Manager’s
Comments:
          "I feel that Pete's performance has been superior this year. Specifically, he has made significant progress
          in performance on his first responsibility--Management of Projects and Programs. Now, he consistently
          ensures that his projects are routinely monitored to ensure they are being carried out as designed, and he
          is consistently communicating schedules and schedule slippages. By applying his ingenuity and hard work,
          he has achieved a rating of 4 on four of his most important responsibilities. I look forward to continued
          excellent contributions from Pete."



A Good Review
Monica accurately captured Pete's formal evaluation information on the form. Documenting the evaluation, as
Monica did, helped her prepare for her meeting with Pete.
The learning aid Guidelines for Documenting a Formal Evaluation can help you with the process. You may want to
review it before documenting formal evaluations for your employees. You may find these guidelines in the
resources section of the course.



Step 3: Talking with Your Employees
The third step in the formal evaluation process is to discuss the evaluation with your employee. Remember, you
should provide the evaluation to the reviewer for an unofficial review prior to discussing it with the employee.
There are six guidelines you can follow to help you when you are talking with your employees:
          Be honest and complete in explaining each of your ratings to the employee. Remember, desirable
          performance should also be reviewed and reinforced.
          Ask the employee for reactions to the ratings, and listen carefully to any comments, additions, or
          objections the employee may have to the ratings.
          Concentrate on performance, not personality characteristics. Tell the employee what the consequences
          of her performance may be.
          Be specific in explaining what the employee must do to achieve a higher rating during the next
          evaluation cycle. Make suggestions on how the employee can improve her performance.
          Set specific goals and dates for improving areas of weak job performance.
          Be supportive. Let the employee know you want to help her improve her performance and that you
          believe in her ability to improve.
It is important that you follow all the guidelines when discussing the formal evaluation with your employees.
Follow along on the next few pages as Monica demonstrates these guidelines with Pete.




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Monica Being Honest and Complete with Her Explanation
Monica is meeting with Pete for his formal evaluation. As you follow along, identify how well Monica does in being
honest and complete in explaining his ratings.
Monica           "Now, let's move on to your second responsibility--designing projects, programs, or procedures.
                 I've rated your performance as a 3, which is good."
Pete             "Oh, I thought I did really well on that one."
Monica           "Here, look at my comment. You did propose new projects, which is what this responsibility is
                 about. Five, though, weren't totally thought-out and weren't defensible to other experts in the
                 field."
Pete             "I guess I'll have to think things out more in the future."



Monica Asking for Reactions and Listening
Could you see Monica's honesty, as well as thoroughness in explaining her point? She did a good job with the first
guideline. Monica knows that getting feedback from her employees is also very important. As you follow along,
identify how well Monica does with asking Pete for his reactions and listen carefully to what he says.
Monica            "Did my explanation of how I rated your second responsibility make sense?"
Pete             "Mostly, though I did excel at the other areas. I thought a 4 would have been in order."
Monica           "Can you tell me more?"
Pete             "As I see it, your point related to only one of the five behaviors for this responsibility. I think I did
                 really well with the others."
Monica           "You did. However, the first one is the most critical and had a higher weight for me. It all starts
                 with how well you design the projects."
Pete              "Oh. OK."



Monica Concentrating on Performance
By asking for Pete's reactions, Monica was able to better understand Pete's viewpoint and concerns. As you follow
along, see how well Monica does in concentrating on performance, not personality characteristics.
Monica           "By the way, I can sense your disappointment with the rating. It has nothing to do with your
                 creativity or enthusiasm though."
Pete             "Oh?"
Monica           "It's a matter of how you do relative to the outstanding performance characteristics. If you want
                 a higher rating, you will need to get closer to those characteristics. That's all."
Pete             "You know, I do forget that sometimes. I guess I make it more personal than it is."




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Monica Explaining What to Do for Higher Ratings
Monica did a good job in defusing Pete's concern and pointing him back to performance characteristics. Making
sure that her employees know specifically what they must do to deserve a higher rating is important to Monica. As
you follow along in her conversation with Pete, look for the ways that she applies this guideline.


Monica             "Let's stay with that responsibility for a minute. Five of your 10 designs were right on target,
                   and five were not. To get a higher rating in this responsibility you would need to hit that
                   target for at least 75 percent of your designs."
Pete               "That is great input, Monica. I forgot that we had talked about that during one of our
                   interim reviews."

Monica             "Yes. The closer you are to the exceptional performance expectations, the closer you are to
                   exceptional ratings."



Monica Setting Specific Goals
Monica has proven her ability to provide guidance in the form of suggestions. As you follow along in her
conversation with Pete, look for the ways in which she applies the guideline of setting specific goals with dates.
Pete              "Well, that's a responsibility that I'll have to improve upon."
Monica            "I suggest we set some specific goals and dates to ensure that you achieve what you want."
Pete              "Right. Any suggestions?"
Monica            "Off the top of my head, I'd suggest that you make sure to get feedback on your project
                  proposals from experts in the field before you give them to me for review. I think a good goal
                  would be to have them reviewed one week before you give them to me."
Pete              "That's an excellent idea. I was waiting until after your review, but this makes a lot more sense."



Monica Being Supportive
Along with setting goals, Monica knows that positive support produces positive results. As you follow along in her
conversation, look for the ways in which she shows her support for Pete.
Monica            "You know, Pete, your project ideas are really good. You are one of the most creative planners
                  that I have worked with."
Pete              "Thanks. I sometimes wonder, with all the problems at the beginning of the year and the points
                  you're making."
Monica            "I think it's time to set some of your concerns aside and look at this from a bigger perspective.
                  After all, your overall performance rating is a 4. That is superior! I think you're missing the forest
                  for the trees."
Pete              "Wow. That is a good point! I think I do that too often. Thanks for the support."




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Using the Guidelines with Your Employees
Monica did a good job in her formal evaluation with Pete. She was able to successfully interact with and support
him during the formal evaluation meeting by following the guidelines.
The learning aid discussing the Evaluation with Your Employees summarizes this information. It would be helpful
to review this document before your formal evaluation meetings. It is available in the Resources section of this
course. Applying these guidelines will help you to have successful meetings that meet both your needs and the
needs of your employees.



Steps 4 and 5: Sign-offs
The fourth step is to obtain sign-off on the form from your employee and the reviewer. This should come next:
The fifth step is to obtain sign-off from the appointing authority. Here is what you need to do:
     1.   Print the evaluation form for your discussion.
     2.   Submit the document to the employee in Edison for acknowledgement.
     3.   Conduct a formal evaluation discussion with the employee.
     4.   Have your employee add any relevant comments in the comments section of the evaluation document in
          Edison. If for some reason the employee will not acknowledge the document, you would use the override
          function and note why in your comments. Always discuss the employees’ refusal with the reviewer prior
          to using the override function.
     5.   After the employee acknowledges the evaluation document in Edison you will acknowledge and enter the
          date of the discussion as the rater/supervisor in the fields provided in Edison.
     6.   Submit the completed evaluation document to the designated reviewer for review and acknowledgement
          in Edison by acknowledging and dating the appropriate fields.
     7.   The reviewer will acknowledge and enter the date into the evaluation document. The reviewer will then
          submit the evaluation document to the appointing authority in Edison for review and approval by
          acknowledging and dating the document.
Once these steps are complete, the rating becomes official, your documentation goes to the historical documents
folder in Edison (upon the supervisor checking the completion option) and you go on with a new cycle in the
performance planning and evaluation process.
In the event that your employee does not have ready access to a computer, you may use the paper version of the
Performance Evaluation documents. This processing occurs outside of the Edison system until after the completed
evaluation form is signed by the appointing authority. Here is what you need to do with the paper version:
     1.   Print out the evaluation form for your discussion.
     2.   During your discussion with your employee, have him mark the agrees, partially agrees, or disagrees block
          for each responsibility and the overall rating.
     3.   Have your employee add any relevant comments on the last page, and sign and date the evaluation. If for
          some reason the employee will not sign the booklet, you should note why in your comments.
     4.   As the rater/supervisor, you will sign and date the last page of the evaluation form along with your class
          title on the lines provided.
     5.   Give the completed evaluation form to the designated reviewer for review and approval by signing and
          dating the last page.
     6.   The evaluation form is routed to the appointing authority for review and approval by signing and dating
          the last page.




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What You Have Learned
In this module, you learned how to perform a formal evaluation using approved guidelines, policies, and tools.
Specifically, you learned:
          the five steps in the formal evaluation process
          how to complete the formal evaluation form in Edison
          the six guidelines to follow when discussing your evaluation with an employee.
You now have a good understanding of what it takes to do formal evaluations with your employees.




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Module 9: Other Performance Management and Evaluation
Considerations

Introduction
Josie is an employee of the Tennessee Department of Transportation. Yesterday, Josie’s supervisor asked her to
develop a users manual for entering data into an agency database. He explained to Josie that the manual would
be used by a lot of people in the department and told her that he thought she was the right person to take on this
important responsibility. Josie’s supervisor gave her some documentation to help her get started on the project
and reiterated how much he was depending on her.
Last night, Josie remembered that her performance evaluation was due in the next few weeks. Now Josie is
worried about how this additional responsibility will be handled in her performance evaluation.



What You Will Learn in This Module
Josie’s supervisor should understand how to include the additional responsibilities in the performance evaluation
cycle so that she will not have cause for concern.
This module will focus on responding to special considerations in performance management and evaluation –
considerations such as assigning new job responsibilities, prior to the end of a performance evaluation cycle.
In module 9, you will learn to:
          select the correct actions to take in response to special situations in performance management
          and evaluation
          identify the consequences of omitting reviewer endorsement throughout the performance
          evaluation cycle
          relate the main points about grievance procedures.



Evaluating Added Responsibilities
Let’s take a look at some of the special considerations in performance management and evaluation by exploring
how to handle new employee responsibilities assigned during the performance evaluation cycle.
As Josie’s supervisor knows, an employee who is assigned a new responsibility before the end of an evaluation
cycle should have the additional responsibility included in the employee’s existing job performance plan if it is of
sufficient importance to be evaluated. The employee will not be evaluated on this new responsibility unless there
has been sufficient time for the supervisor or rater to observe how well the employee performs the new task. The
supervisor or rater also needs to make clear the expectations for the new responsibility.
The period that constitutes sufficient time is left to the supervisor’s discretion. However, the minimum
requirement is three months for the employee to perform the responsibility, to be observed and to receive
feedback from the supervisor, and then perform to that feedback standard. If the new responsibility is added to
the job plan with an insufficient amount of time before the formal evaluation is due, the new responsibility should
be marked not applicable, or N/A, and evaluated during the next cycle. Any additional responsibilities added to
the job performance plan will require the re-creation of the job performance plan in Edison (since the completed
job plan is in the rater/supervisor’s historical documents folder), and acknowledgement by the employee, the
supervisor, and the reviewer.




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Evaluating Added Responsibilities Scenario
Natalie is an Employment Counselor 2 with the Department of labor and Workforce Development. Her supervisor
has added a new responsibility to her job description--conducting employment and job search workshops. Her
supervisor clearly communicated the expectations for her new responsibility. Natalie was assigned this new job
responsibility a month before her formal performance evaluation was scheduled.

Her supervisor will evaluate her on the job responsibilities included in her job performance plan, but not on
conducting employment and job search workshops. There has not been a sufficient amount of time--a minimum
of three months--for her to perform this responsibility and for her supervisor to observe Natalie conducting the
workshops.

This new responsibility will be added to her job performance plan, but her supervisor will mark that responsibility
not applicable. He will evaluate that responsibility during the next performance evaluation cycle.



Evaluation and Supervisory Changes
The second special consideration pertains to supervisory changes during the performance evaluation cycle. If a
supervisor is leaving within 90 days of an employee’s performance evaluation due date, the departing supervisor
should finish the cycle and conduct a formal evaluation. It is considered unfair for the new supervisor to do the
formal evaluation when she may have different expectations of the employee and less than an optimal amount of
time to conduct all of the procedural steps of the performance evaluation. The new supervisor should then start a
new performance evaluation cycle at the beginning of her tenure.
In an unusual circumstance during which the supervisor is transitioning and does not complete a formal evaluation,
the reviewer may step in and conduct the formal evaluation if the evaluation is due within 90 days. In this case,
however, the reviewer must have had appropriate involvement throughout the evaluation cycle. This process will
allow the employee to receive a valid formal evaluation on time even though his former supervisor did not
complete the evaluation.
Since the performance evaluation system requires that performance evaluations be entered within 90 days of the
due date, what happens if a supervisor is leaving and the employee’s evaluation date is more than 90 days away?
Review the information below for the answer:
          If a supervisor is leaving and the employee’s evaluation date is more than 90 days away, the supervisor
          should prepare and conduct a formal evaluation even though this will not be the employee’s official
          performance evaluation rating for the evaluation cycle. This evaluation will serve as documentation and
          allow the new supervisor to know how the former supervisor would evaluate the employee’s
          performance at the time of his departure.
          Note: This evaluation will occur outside of Edison using the paper forms. It should not be considered part
          of nor stored in the employee’s official personnel file.
If the supervisor is leaving shortly after a new evaluation cycle has started, the new supervisor should begin the
cycle over by conducting a new job performance planning session with the employee. That way, the employee will
be evaluated based on the new supervisor’s expectations, not according to the old plan. While the employee’s
responsibilities may remain the same, the discussion will provide an opportunity for the new supervisor to explain
his performance expectations. So, if a new supervisor starts three months into an employee’s annual performance
evaluation cycle, a new job performance plan is drawn up and the employee’s performance evaluation cycle would
only be nine months long.




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Job Performance Planning Scenario 1
You are a supervisor and you will be leaving your current position due to a job change. You have an employee
whose performance evaluation is due within the next month. What should you do?
Remember, the time frame is 90 days, or three months. If you (as a supervisor) are leaving within 90 days of an
employee’s performance evaluation due date, you (the departing supervisor) should conduct the formal
evaluation. Then the employee is evaluated based on your expectations (as his/her supervisor) and not those of
the new supervisor.



Job Performance Planning Scenario 2
Mary is the new supervisor who has succeeded you. She has started her position two months after a new
evaluation cycle has started for her employee. What should she do?
As a new supervisor, Mary should begin the cycle over by creating a new job performance plan with her employee.
It may sound like more work, but it really isn’t. Mary, as the new supervisor, can use the existing job plan if there
have not been any changes in responsibilities and quickly create a new job plan in Edison.
If Mary as the new supervisor uses the existing job plan, she should discuss it with the employee to clarify
performance expectations. By creating a new job performance plan, Mary and the employee acknowledge and
date the form to show that the discussion occurred.
Remember, the employee’s due date does not change. So the employee’s performance evaluation cycle would
only be 10 months long.



Role of the Reviewer
The next special consideration to learn about is the reviewer’s role in the performance evaluation cycle. Your
agency is likely to designate either your immediate supervisor or your supervisor’s manager as a reviewer. The
reviewer ensures that the supervisor or rater follows the correct procedures and remains consistent throughout
the process. This helps the supervisors or rater reach accurate and fair rating of performance.
The reviewer serves two purposes:
          The reviewer assists you when problems or questions arise concerning the evaluation program.
          The reviewer ensures that the critical steps are carried out appropriately and in accordance with legal
          requirements.
Select each step in the performance evaluation cycle to learn about what the reviewer looks for in each step.
Job Performance Plan      The reviewer will focus on two aspects of the job performance plan. She will confirm that
                          all appropriate job responsibilities are included in the plan. She will also examine the
                          performance expectations or characteristics of exceptional performance to confirm that
                          they are clearly identified. The reviewer may compare the job performance plan to that
                          of other employees to make sure that any differences in responsibilities are appropriate.
Interim Reviews           The reviewer may wish to discuss the interim reviews with you prior to your interim
                          review discussions with your employees, especially when there are performance
                          deficiencies or corrective action is required.
Formal Evaluation         The reviewer will examine each of the ratings of individual job responsibilities to verify
                          that the explanation of the rating is specific and thorough. The reviewer will also review
                          your overall rating to confirm that it is adequately explained, given both the ratings of the
                          individual responsibilities and the relative importance of each.




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Working with the Reviewer
It is recommended that the rater/supervisor get the reviewer’s endorsement throughout the performance
evaluation cycle.
After getting the initial endorsement from the reviewer prior to the discussion with the employee, the reviewer
must sign a paper version of the job plan after the employee and supervisor have both signed it. In the first step,
job performance planning, the formal approval occurs outside of Edison. However, the reviewer will provide an
initial endorsement prior to the supervisor conducting the formal evaluation discussion with the employee and
then acknowledges the evaluation in Edison. If using the paper version of the forms, the reviewer must sign the
appropriate area of the job performance planning document and the formal evaluation (again providing an
unsigned endorsement prior to discussions at both steps).
The reviewer signs when she is satisfied that the steps in the evaluation process are being carefully followed.
During the job performance planning process, the reviewer ensures that the rater/supervisor clearly defines
exceptional performance, or a rating of 5, for the employee. This definition must remain consistent throughout
the process. The rater/supervisor cannot change the definition at the time of the formal performance evaluation.
The interim review discussion should be documented for use in the formal evaluation. There is no signature
required from the reviewer during this step.
The formal performance evaluation must be well documented with rating and rationale. The rater/supervisor
must also be able to articulate what the employee needs to do to improve her rating if the rating is less than a 5, or
exceptional. The reviewer must return the performance evaluation to the supervisor it the documentation is
incomplete. Once the reviewer confirms that the performance evaluation is complete, she acknowledges it in
Edison, or signs the paper version. All required authorizations must be present.



The Importance of Reviewer Endorsement
Why is it important for a supervisor to get endorsement from the reviewer throughout the performance evaluation
cycle? Because there are a number of possible consequences if the supervisor does not.
It is problematic when a rater/supervisor goes all the way through a performance evaluation cycle with an
employee, and then the reviewer disagrees with the evaluation after the employee is told he is receiving a 4 or 5
rating. The rater/supervisor may appear unprofessional and uninformed. It may also undermine the
rater/supervisor’s credibility with the employee.
It is important for the rater/supervisor and the reviewer to be in agreement throughout the performance
evaluation cycle because it affects the rater/supervisor’s own performance evaluation. If the rater/supervisor fails
to gain the reviewer’s endorsement throughout the performance evaluation cycle, it is evidenced that the
rater/supervisor is not following the required processes and procedures.



Changing the Performance Evaluation
What if the reviewer wants to make a change to the performance evaluation? First, this is less likely to occur if the
rater/supervisor and reviewer have been communicating throughout the evaluation cycle. Second, if the reviewer
wants to make a change, it is best if this occurs prior to the rater/supervisor having discussed the evaluation with
the employee.
If a reviewer wants to make a change, he can approach this in several different ways. The reviewer can have an
open discussion with the rater/supervisor, explaining his rationale for changing the rating and then giving the
rater/supervisor the discretion to make the final decision. Other options include the reviewer directing the
rater/supervisor to make the desired change or moving the rater/supervisor from the evaluation process and the
reviewer conducting the evaluation himself.
These two options are drastic and, if pursued, the reviewer should take into consideration that he may be usurping
the authority of the rater/supervisor. Clearly, having the reviewer’s endorsement throughout the entire
performance evaluation process can result in a more positive outcome.



Print Version                                                                     Performance Evaluation Page 80 of 84
The Grievance Policy
Finally, an additional special consideration that you must be aware of is the state’s grievance polices. In module 2,
you learned about the rules pertaining to job performance planning and evaluation. You also learned that any
regular or permanent state employee has the opportunity to grieve any final performance evaluation when the
Department of Human Resources’ procedures have been violated to the extent that the evaluation is unfair or
inaccurate. Grievances regarding the Performance Evaluation process can only proceed to a level 4.
A grievance must be filed in accordance with the grievance rules. Regular and permanent employees will be given
every opportunity to resolve bona fide complaints or grievances through established procedures. Employees using
these procedures will be entitled to the processing of their complaints or grievances without fear, interference,
discrimination, or reprisal.
To learn the rules for filing a grievance you can go to the Department of Human Resources website at
http://www.tn.gov/dohr/employees/employee.html and click on Rules of the Department of Personnel (Human
Resources).



What You Have Learned
Understanding the special considerations in performance management and evaluation will enable you to select the
correct course of action in many performance management situations. Working closely with the reviewer
throughout the performance evaluation cycle will ensure that you adhere to the proper procedures and agree on
performance expectations and ratings.
In this module, you learned:
          the correct actions to take in response to given situations in performance management and evaluation
          the consequences of omitting reviewer endorsement throughout the performance evaluation cycle
          some main points about grievance procedures.
Your familiarity with these policies, procedures, and special considerations will enhance your supervisory role.




Print Version                                                                     Performance Evaluation Page 81 of 84
Glossary

Appointing authority
       An appointing authority is an officer having the power to make appointments to and separations from
       positions in the state service.
Career status
         Career status is a designation given to an employee who has successfully completed a probationary period
         for a specific position. The position becomes the property of the employee and cannot be taken away
         from the employee without due process.
Evaluation cycle
         The evaluation cycle is a time period encompassing the five components of performance evaluation: job
         performance planning, interim reviews, the formal evaluation, sign-off by the appointing authority, and
         continuous evaluation oversight by the reviewer.
Flex position
         A flex position is a position in a working level classification that may be filled with either an employee
         qualified to perform the job at the working level or an employee qualified to perform the job at the
         trainee level. If the position is filled with an employee at the trainee level, the flex period is required
         because it is expected that the employee must serve a longer training period than a six-month
         probationary period.
Flexibly staffed position
          A flexibly staffed position is a position in a working level classification that may be filled with either an
          employee qualified to perform the job at the working level or an employee qualified to perform the job at
          the trainee level. Lower-level flex employees are those who require a significant period of training before
          they move into a regular position. The flex period usually lasts one year.
Flex Staffing Evaluation/Probationary Form
         The Flex Staffing Evaluation/Probationary Form is used only for 2A job classifications that are designated
         as flex.
Grievance
        A grievance is an unresolved written complaint concerning a condition, action, or omission that adversely
        affects an employee's condition of employment within the discretion, jurisdiction, or control of the
        appointing authority or the Commission.
Interim Review Form
         The Interim Review Form is an Omni Form tool used by supervisors (raters) to capture the interim review
         results for an employee.
Objective performance evaluation
        An objective performance evaluation is one in which the employee's job performance assessment is based
        on observable performance behaviors and results.
Omni Form
       Omni Form files are downloadable digital forms. These forms can be printed and distributed, or they can
       be sent via e-mail so that recipients can fill them out on their computers. They are used to capture
       planning information for use in the Job Performance Planning and Evaluation System.
Probationary employees
        Probationary employees are those who are in the process of completing their probationary period prior to
        gaining career status in their classifications. Initial probation is the first probationary period served in a
        department or agency in a continuous period of employment pursuant to becoming a career employee in
        that agency. Subsequent probation is a period of probation served under the same appointing authority
        after having career status in that agency.




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Probationary Report Form
        The Probationary Report Form is used for employees classified as 2A who are on initial or subsequent
        probation.
Rater
          The rater is the person evaluating an employee's job performance. Usually, the rater is the employee's
          direct supervisor or manager.
Regular employees
        Regular employees are those employees who hold a civil service position of a permanent nature after
        they have satisfactorily completed an initial probationary period in an agency.
Reviewer
       The reviewer is a person responsible for checking that the performance evaluation process is being
       conducted properly. The reviewer is involved with the supervisor at all three steps of the performance
       evaluation cycle.
Specialized Rating Forms
         Specialized Rating Forms have been developed for specific job classifications. They should be used for
         their job classification only. Just performance planning, interim reviews, and the formal evaluation are
         conducted using this form.
Subjective performance evaluation
         A subjective performance evaluation is one in which the employee's job performance assessment is
         modified or affected by the person views, experience, or background of the supervisor.
Supervisor
        The supervisor is the person responsible for evaluating a particular employee.
System 2A Rating Form
        The System 2A Rating Form is used for annual evaluations for employees classified as 2A.




Print Version                                                                    Performance Evaluation Page 83 of 84
Resources

 This page displays the learning aids that are available to you, listed by module name, as well as other helpful
resources. The learning aids may be accessed individually from the course and printed out.

Learning Aids
Module 4: Developing a Job Performance Plan
          A list of resources to help you develop a list of job responsibilities and performance expectations
          http://www.tn.gov/dohr/employees/performance/pdf/General%20Job%20Performance%20Areas%20&%
          20Clerical.pdf
          Partially Completed Performance Plan for Pete
          A Partially Completed Job Performance Rating Form for Pete

Module 5: Principles of Giving Feedback
          Six Steps for Giving Feedback

Module 6: Completing an Interim Review
          Key Behaviors for Interim Review Meetings Learning Aid
          Pete's Interim Review Form--Present Information
          Pete's Interim Review Form--Present and Future Information
          Guidelines for Documenting an Interim Review Learning Aid

Module 7: Coaching During the Evaluation Cycle
          The Six Steps of the Coaching Process

Module 8: Completing the Formal Evaluation
          Pete's Evaluation Form
          Pete's Evaluation Form--first page
          Guidelines for Documenting a Formal Evaluation Learning Aid
          Discussing the Evaluation with Your Employees Learning Aid

Module 9: Using Specialized Forms for Performance Evaluation
          Visual of the Sections of a Specialized Form
          Abbey's Performance Evaluation
          Ethan's Performance Evaluation


Additional Resources
Job Performance Planning and Evaluation Forms are available at
http://www.tn.gov/dohr/employees/employee.html




Print Version                                                                      Performance Evaluation Page 84 of 84
      A CATALOG OF MAJOR JOB RESPONSIBILITIES

                          FOR USE IN THE
JOB PERFORMANCE PLANNING AND EVALUATION PROGRAM




                             IMPORTANT
         There are important instructions and descriptions of the
       "mechanics" of the program that do not appear in this catalog.
          If you are a supervisor who is responsible for formally
        evaluating the job performance of one or more employees,
                 it is essential that you first complete the
                         on-line training course titled
                          "Performance Evaluation".
                               GENERAL JOB PERFORMANCE AREAS
0001.   Attendance and Punctuality
0002.   Cooperating with Co-workers
0003.   Use of Working Time
0004.   Following Directions
0005.   Communication Skills (Writing)
0006.   Communication Skills (Oral)
0007.   Work-related Personal Appearance
0001.    Attendance and Punctuality
0001A.   Always arrives at work station and is ready to begin work on or before the scheduled time even during bad weather
         conditions (except for illnesses or other circumstances beyond the control of the employee).
0001B.   The employee always notifies the work unit as quickly as possible when ill, and clearly explains the illness.
0001C.   Employee never leaves work prior to the scheduled quitting time without permission from the supervisor.
0001D.   Employee always returns from meals and breaks at the scheduled time.
0001E.   If the employee is going to be late to work, he or she notifies the work unit as soon as possible.
0001F.   Annual leave and other special absences are scheduled well in advance and are never taken without prior permission
         from the supervisor.



0002.    Cooperating with Co-workers
0002A.   Volunteers to help other staff members who have larger or more pressing workloads to complete.
0002B.   Willingly and efficiently covers the work for others during breaks, lunchtime, or other absences.
0002C.   Responds courteously to others when they seek help.
0002D.   Works harmoniously with other staff on group assignments. Provides useful input and shares responsibility for group
         decisions. Other members' ideas and criticisms are accepted and applied in a constructive manner.
0002E.   Offers helpful suggestions for improving work operations.
0002F.   Creates and maintains constructive interpersonal relationships that promote task accomplishment. Communicates in a
         positive manner with all staff members and other fellow employees.
0002G.   Always volunteers all pertinent work-related information to other staff members.
0002H.   Helps in welcoming and putting new employees at ease and in training them to become productive employees.
         Answers questions patiently and volunteers useful information.
0002I.   Confidential materials and information are never disclosed or made accessible to unauthorized personnel.



0003.    Use of Working Time
0003A.   Sets priorities on the work to be done so that the more urgent and important tasks are given immediate attention.
0003B.   Schedules work so that both idle periods and rush periods are avoided.
0003C.   Sets challenging personal goals for each major task to be done, and works to meet or exceed each goal.
0003D.   Work is accomplished in such a manner that new and/or additional assignments can be routinely taken on.
0003E.   Always finishes assignments on or before scheduled deadline.
0003F.   Starts new assignments without delay.



0004.    Following Directions
0004A.   Asks questions which clarify all ambiguities in instructions before starting the task.
0004B.   Directions are always carried out as instructed.
0004C.   Directions never need to be repeated once procedures have been explained or established.
0005.      Communication Skills (Writing)
0005A.     Writing style is always clear and understandable. Ideas are presented in a coherent and logical sequence.
0005B.     Written information is always complete, concise, and to the point.
0005C.     Correct spelling, punctuation. and proper grammar is always used.
0005D.     Proper form, layout, and spacing is observed in all written materials.



0006.      Communication Skills (Oral)
0006A.     Diction and pronunciation of words are exceptionally clear.
0006B.     Appropriate language is used on all occasions.
0006C.      Listens attentively. Does not need to have information repeated. Demonstrates exceptional retention of facts and
           information from previous conversations.
0006D.     Ideas are presented in a coherent and logical sequence.
0006E.     Watches the listener(s) to see if what he or she is saying is understood, and repeats information or asks for a response
           if the listener(s) appear confused or uncertain.



0007.    Work-Related Personal Appearance
0007A.   Clothing worn is always appropriate for the work that is to be done and in accordance with all dress codes.
0007B.   General dress. hygiene, and grooming are never exaggerated or disorderly to such a degree as to be disruptive to the
         work unit.
                                  FOR SUPERVISORS AND REVIEWERS (Not Optional)
0020.    Conducting the Employee Job Performance Planning and Evaluation Program (Mandatory for all Supervisors)
0021.    Reviewing Job Performance Plans and Evaluation Forms (Mandatory for all Reviewers)



0020.    Conducting the Employee Job Performance Planning and Evaluation Program
0020A.   Forms are completed and processed by due dates.
0020B.   Characteristics of exceptional performance for each major job responsibility clearly and specifically describe exceptional
         performance, and are observable behaviors and outcomes which an employee can realistically perform.
0020C.   Interim work reviews clearly show that the employee's present level of performance was discussed, and that constructive
         feedback and guidance on how to improve work performance was given.
0020D.   Supervisor immediately informs Reviewer of any disagreements or performance problems that could lead to low ratings
         or adverse administrative decisions. Notifications always occur before supervisor recommends any administrative action.
0020E.   Both the overall and individual job responsibility ratings are clearly supported by specific descriptions of work behaviors
         or outcomes and their affect upon the work unit.



0021.    Reviewing Job Performance Plans and Evaluation Forms
0021A.   Reviewer insures that supervisors under his/her review thoroughly understand the performance evaluation system and
         their role in carrying it out prior to the supervisor's first discussion with employees.
0021B.   Reviewer does not sign Job Performance Plans until he or she checks that all appropriate responsibilities are included on
         each Job Plan, that Plans for employees with identical or similar jobs are consistent and do not have significant
         differences, and that behavior and work outcome characteristics are correctly written and describe exceptional
         performance.
0021C.   Reviewer does not sign Formal Evaluation Forms until they are thoroughly reviewed to assure inclusion of specific written
         examples of employee work behavior, work outcomes, or effects upon the work unit to support each rating.
0021D.   All revisions, comments, or questions are clearly communicated to supervisors without delay.
0021E.   Reviewer immediately has the rater rewrite the rating justifications when the ratings are not clearly supported by the
         documentation.
                                 FOR SUPERVISORS AND MANAGERS (Optional)
0030.   Designing Projects, Programs. or Procedures
0031.   Management Projects and Programs
0032.   Preparation of Reports
0033.   Contribution to Departmental Objectives
0034.   Preparation of Program Objectives and Budgets
0035.   Use of Personnel and Materials Resources
0036.   Orientation and Training of Employees
0037.   Planning and Organizing Work
0038.   Employee Relations
0039.   Community Relations
0040.   Leadership
0030.    Designing Projects Programs or Procedures
0030A.   New projects, programs, or procedures and techniques are regularly proposed and evaluated for the purpose of
         enhancing the effectiveness and efficiency of departmental services.
0030B.   Proposed and assigned projects, programs, or procedures are "state-of-the-art" and are fully defensible to other experts
         in the field.
0030C.   To the extent feasible, projects intended to gather information are logically planned and designed to obtain all
         information necessary for the intended purpose, permitting clear and unambiguous inferences and conclusions.
0030D.   The design of operational programs are both technically sound and operationally feasible. Obstacles to operational
         effectiveness are identified, and means of monitoring program effectiveness and overcoming deficiencies are included in
         the design.
0030E.   Procedures necessary for the execution of projects and programs, including those necessary for interaction with other
         divisions or agencies, are identified, devised, and established.



0031.    Management of Projects and Programs
0031A.   Realistic schedules for conduct of projects are established and communicated to all employees who are involved with or
         affected by the project.
0031B.   Projects are routinely monitored to confirm that they are carried out as designed, are technically sound, and are
         progressing on schedule.
0031C.   Where schedules cannot be met, persons affected by the project are promptly alerted, and a sound means of expediting
         completion of the project devised.
0031D.   Project and program schedules, procedures, and schedules are communicated clearly to affected staff.



0032.    Preparation of Reports
0032A.   Reports requested by senior managers are prepared as needed and within agreed-upon time schedules.
0032B.   Information provided in reports is thoroughly reviewed to insure accuracy.
0032C.   Limitations of conclusions or inferences are clearly noted.
0032D.   Recommendations or conclusions are logically developed and supported or explained, and alternatives noted when
         possible.
0032E.   Written reports are clear and concise, appropriate for the intended audience, and contain all relevant information.



0033.    Contribution to Departmental Objectives
0033A.   Departmental policy and program objectives are clearly understood and communicated accurately and constructively to
         others.
0033B.   Participation in meetings with other managers is always active and positive; suggestions for enhancing the operations of
         the Department are regularly proposed.
0033C.   Maintains effective working relationships with others by responding promptly and constructively to inquiries or requests
         of other managers, resolving conflicts immediately, and collaborating fully with others to meet departmental objectives.
0033D.   Maintains constructive working relationships with personnel of other agencies by responding promptly to inquiries and
         requests and seeking their advice and opinions on existing or needed programs.
0033E.   Communicates clearly and in a well-organized manner in meetings and presentations to other managers and personnel.
0034.    Preparation of Program Objectives and Budgets
0034A.   Program objectives are clearly and logically linked to budget proposals.
0034B.   Costs and expenditures are estimated realistically using past data, estimates obtained from vendors and other sources,
         and anticipating all costs associated with a program.
0034C.   Action plans and schedules are prepared for all program objectives and reviewed with staff members and other managers
         affected by the program.



0035.    Use of Personnel and Material Resources
0035A.   Work assignments are planned and organized to permit efficient use of staff time.
0035B.   Schedules and time use of staff members are monitored and appropriate action taken to insure efficiency.
0035C.   Expenditures are monitored for consistency with budget projections; significant discrepancies are identified and reviewed
         immediately with senior managers.
0035D.   Meetings with staff are conducted at least once each quarter to identify and act on ways of enhancing efficiency through
         review of procedures, utilization of material and human resources, and management methods.



0036.    Orientation and Training of Employees
0036A.   Oversees the establishment of and/or maintains a thorough and complete orientation program for new employees that
         minimizes the amount of time required for them to be fully productive.
0036B.   New employees are provided immediate orientation to the job.
0036C.   The technical competencies of employees are regularly monitored.
0036D.   Training needs are identified and plans developed and proposed to overcome performance deficiencies due to lack of
         technical competencies and to enhance technical competence.
0036E.   Staff meetings are conducted at least once each quarter to review technical issues confronting staff members, clarify and
         resolve technical problems, and enhance the competencies of staff members.



0037.    Planning and Organizing Work
0037A.   Annually assesses the strengths and weaknesses of the office, and with the involvement of appropriate staff, sets and
         carries out realistic goals and objectives.
0037B.   Establishes an action plan to achieve each goal or objective.
0037C.   Shares the goals and objectives and action plan with all staff.
0037D.   Always involves appropriate staff in the development of a realistic and workable plan when a change in work procedures
         and/or flow is needed.
0037E.   Plans with individual employees the use of annual leave in such a way as to insure sufficient staff to handle all workloads.
0037F.   Organizes and coordinates work units to maximize efficiency of work flow in the office.
0037G.   Continually looks for new ways to improve office operation.
0037H.   Always keeps staff informed of all laws, procedures, or programs pertinent to operations, and quickly institutes
         appropriate changes of procedures. forms, etc., mandated by higher authority.
0038.    Employee Relations
0038A.   Always insures that Civil Service rules are strictly adhered to in selecting and recommending applicants for employment
         or promotion.
0038B.   Always communicates clearly and effectively using words and styles of presentation which are appropriate for the
         situation.
0038C.   Attempts to prevent grievances for fostering an atmosphere where potential problems are brought forth and resolved.
0038D.   Always handles grievances fairly, promptly, and according to the proper procedures, even when he/she is personally
         involved in the complaint.
0038E.   Recognizes when conflicts between employees have become harmful to their job performance and, if at all possible,
         helps to resolve these conflicts in a way that is acceptable to all parties.
0038F.   Always fair and consistent when dealing with employee problems.
0038G.   Always considers all critical factors when determining the need for disciplinary action and imposes necessary discipline in
         an equitable manner.



0039.    Community Relations
0039A.   Establishes cooperative and effective working relationships with public agencies, and always projects a positive public
         image.
0039B.   Always supports and clearly explains departmental policy and philosophy to community leaders, court and law
         enforcement officials, concerned citizens, and person registering complaints.
0039C.   Correspondence from concerned public, community groups, public officials, clients, media, employers, and others is
         always quickly, thoroughly, and accurately responded to according to guidelines.
0039D.   Maintains a good working relationship with the local news media and if appropriate, always provides them with
         appropriate news releases and items of local interest, and utilizes public service announcements.
0039E.   Complaints of public officials. media, employers, clients, concerned citizens, and community organizations are always
         quickly reviewed and properly processed. and if appropriate, responses are made to the complaining parties.
0040.    Leadership
0040A.   Always presents program policy and procedures in a positive and supportive manner.
0040B.   Always treats employees and others with dignity and respect.
0040C.   Always promotes team building.
0040D.   Demonstrates an understanding of his/her role as it relates to the organizational structure through interaction with
         superiors and subordinates and requires the same behaviors of supervisees.
0040E.   Continually seeks out ways to involve staff and seeks their commitment to departmental goals.
                                    GENERAL CLERICAL, SECRETARIAL, CLERICAL DATA
                              PROCESSING, CLERICAL ACCOUNTING, OFFICE WORKERS
                                                Major Job Responsibilities
1001.   Typing Drafts of Letters, Memos, Reports, or Manuscripts
1002.   Typing and Proofreading Final Copies of Letters, Memos, Reports, or Manuscripts
1003.   Typing Forms
1004.   Using Text-editing Equipment
1005.   Taking and Transcribing Dictation and Notes from Meetings
1006.   Collecting and Dispensing Incoming and Outgoing Materials, Information, and Mail
1007.   Filing and File Retrieval
1008.   Answering Telephone and Placing Phone Calls
1009.   Receiving and Routing Visitors
1010.   Scheduling Appointments for Office Employees
1011.   Monitoring and Ordering Office Supplies or Equipment
1012.   Keeping Leave and Time Reports
1013.   Compiling and Preparing Reports, Analyses, and Correspondence
1014.   Filling Out and Processing Forms/Coding Information onto Appropriate Forms
1015.   Performing Clerical-Accounting Functions
1016.   Performing Data-Entry Operations
1017.   Using Office Equipment
1018.   Proofreading
1019.   Supervising, Scheduling Assignments, and/or Checking Work of Other Employees (Lead Clerical Worker)
1020.   Pre-Audits and Audits of 201s
1021.   Payroll Audit
1022.   Attendance and Leave Audits
1023.   SEIS Maintenance
1024.   Collecting and Dispensing Incoming and Outgoing Materials and Information
1025.   Performing Mathematical Calculations and Recording Data
1026.   Assembling Materials for Distribution
1001.    Typing Drafts of Letters, Memos, Reports, or Manuscripts
1001A.   Drafts are keyed quickly.
1001B.   Drafts are keyed according to instructions.
1001C.   Edits written copy for legibility, grammar, and punctuation errors before material is typed.



1002.    Typing and Proofreading Final Copies of Letters, Memos, Reports or Manuscripts
1002A.   Completed typing does not contain typographical errors, transpositional errors, or omissions.
1002B.   Clean corrections are made on all copies.
1002C.   Proper layout and spacing is observed.
1002D.   Completed typing never contains misspelled words.
1002E.   Proper form (i.e., salutation, closing, etc.) is used.
1002F.   Edits written copy for legibility, grammar, and punctuation errors and asks writer to correct errors before material is
         typed.
1002G.   Typed material is always turned in before deadlines.



1003.    Typing Forms
1003A.   Completed typing does not contain typographical errors, transpositional errors, or omissions.
1003B.   Clean corrections are made on all copies.
1003C.   Forms are always completed before deadlines.



1004.    Using Text-Editing Equipment
1004A.   Efficiently uses all the function keys resulting in maximum use of the equipment.
1004B.   Correctly uses standardized procedures so that stored information can be retrieved and modified as needed.
1004C.   Proper procedures for retention of magnetic media are always followed.
1004D.   All corrections are quickly and completely made, and corrected material, along with original, is returned to the author for
         his or her use in checking corrected material.
1004E.   Completed materials do not contain errors.



1005.    Taking and Transcribing Dictation and Notes from Meetings
1005A.   Notes from meetings are always accurate and complete.
1005B.   Meetings are never delayed due to employee's speed in recording notes.
1005C.   Transcribed notes contain correct spelling, punctuation, and grammar.
1005D.   Notes are transcribed immediately after meetings.
1006.    Collecting & Dispensing Incoming and Outgoing Materials, Information, & Mail
1006A.   Dates, sorts, distributes, and prioritizes mail for distribution to the proper persons quickly.
1006B.   Outgoing correspondence is checked to see that necessary materials are attached and that the address is complete and
         correct.
1006C.   Reference correspondence is attached to incoming mail.
1006D.   A directory of names and addresses is always kept current and in an easily retrievable place.
1006E.   Re-addresses mail erroneously delivered.



1007.    Filing and File Retrieval
1007A.   Material is always filed in correct file.
1007B.   Files are kept current and outdated material is eliminated from files.
1007C.   Files are labeled and cataloged so that materials can be easily retrieved by office personnel.
1007D.   Completes filing and file retrieval quickly.
1007E.   Wrong files or irrelevant materials are never retrieved or given to person requesting materials.
1007F.   Only allows authorized persons access to the files.



1008.    Answering Telephone and Placing Phone Calls
1008A.   Answers in a friendly, courteous manner.
1008B.   Answers phone within three rings.
1008C.   Messages and phone calls are accurately and quickly related to staff members.
1008D.   Callers are transferred to appropriate persons.
1008E.   Correctly uses all telephone features.
1008F.   Handles irate callers without losing temper.
1008G.   Returns to calls on hold promptly.
1008H.   Provides clear, accurate information.
1008I.   Handles multiple calls without confusion or becoming flustered.



1009.    Receiving and Routing Visitors
1009A.   Treats visitors in a positive, pleasant manner.
1009B.   Clear and accurate information is provided to visitors.
1009C.   Irate visitors are handled smoothly and without loss of temper.
1009D.   Gives accurate directions to department, agency, and employee locations.
1010.    Scheduling Appointments for Office Employees
1010A.   Dates and times of meetings are never set up in conflict with previously made appointments.
1010B.   All attending parties are informed as soon as possible that a conference has been scheduled, the time and place of the
         conference, the topic, and if they are expected to have an active role in the conference.
1010C.   Always reminds employee of appointments.



1011.    Monitoring and Ordering Office Supplies or Equipment
1011A.   Supplies are checked on a regular schedule.
1011B.   Keeps complete and accurate records as to what is needed, what has been ordered and what has been delivered.
1011C.   Anticipates needs of work unit and orders supplies promptly to avoid shortages.
1011D.   Reports office supply needs to appropriate persons for reordering.
1011E.   Obtains proper authorization before ordering supplies and equipment.
1011F.   Keeps a current, accurate list of equipment issued to each employee, work area, and location.



1012.    Keeping Leave and Time Reports
1012A.   Maintains accurate daily record for each employee.
1012B.   Accurately accounts for annual and sick leave, vacations, overtime, etc.
1012C.   Obtains proper approval and signatures from supervisors of employees.
1012D.   Promptly posts leave taken.
1012E.   Cooperates with Human Resources Officer who keeps records of division or department.



1013.    Compiling and Preparing Reports, Analyses, and Correspondence
1013A.   Materials are logically organized.
1013B.   All relevant data or material needed for preparation of reports are retrieved from printouts, publications, files, or reports.
1013C.   Deadlines for reports are always met.
1013D.   Graphs, charts, and maps are prepared with proper format according to instructions.
1013E.   Reports always contain correct grammar and punctuation.
1013F.   Reports are clearly written and readable, and are at an appropriate level of understanding for the intended reader(s).
1013G.   Copies of all important materials are made and filed before the original is mailed or distributed.
1014.    Filling Out and Processing Forms/Coding Information onto Appropriate Forms
1014A.   Writes or codes all information correctly, completely, and accurately.
1014B.   Writes or codes information legibly.
1014C.   Forms and documents are always thoroughly checked for missing information and corrections are made without delays.
1014D.   Forms are processed quickly.
1014E.   Forms are always correctly distributed.
1014F.   Keeps accurate records of forms being processed.



1015.    Performing Clerical Accounting Functions
1015A.   All written information is recorded or posted legibly, neatly, and in proper format, and is completed according to
         schedules.
1015B.   Sums and totals are always accurate.
1015C.   Makes prompt corrections when errors are discovered.
1015D.   Ledgers always balance.
1015E.   Verifies statistical or monetary information with appropriate personnel and agencies within appropriate time frames.
1015F.   Records are easily accessible for audit purposes.
1015G.   Operates adding machines, calculators, or bookkeeping machines in an accurate and timesaving manner.



1016.    Performing Data Entry Operations
1016A.   Prebatched data is always keyed without errors.
1016B.   Keyed data is always checked for accuracy as instructed. Necessary corrections are immediately made.
1016C.   Number of keystrokes per hour and per month always substantially exceeds required minimums.
1016D.   Number of hours spent on terminals per day, per week, etc., always substantially exceeds required minimums.
1016E.   Accurate, complete, and up-to-date logs are developed and maintained for relevant data materials.



1017.    Using Office Equipment
1017A.   Office equipment (PCs, terminals, copiers, calculators, etc.) is always operated and maintained according to operator's
         manual.
1017B.   Willingly shares available office equipment with other staff for maximum work output.
1017C.   Responsible staff or repair personnel are promptly notified when office machinery breaks down.
1017D.   Food or drink is never improperly placed around office equipment.
1017E.   Schedules use of office equipment for "slack" times to avoid conflicts with other users.
1018.    Proofreading
1018A.   All spelling, punctuation, and grammatical errors are identified and corrected.
1018B.   All errors of form, layout, and spacing are identified and corrected.
1018C.   All typographical errors, transpositional errors, and omissions are identified and corrected.



1019.    Supervising Scheduling Assignments, and/or Checking Work of Other Employees (Lead Clerical
         Worker)
1019A.   Always explains or demonstrates an efficient way of doing a task, rather than criticizing an employee for poor
         performance.
1019B.   Regularly checks the work of others to insure that necessary deadlines are met.
1019C.   Designates work in the most efficient and productive manner.
1019D.   Maintains a positive and organized work atmosphere.
1019E.   Uses individual differences, needs, and abilities of staff to accomplish work in the most efficient way.
1019F.   Acknowledges and praises effective job performance.
1019G.   Poor job performance is immediately addressed in a considerate manner, reasons for the poor job performance are
         identified and corrective action is taken.



1020.    Pre-Audits and Audits of Transactional Documents/Screens
1020A.   All assigned transactions are reviewed for correctness and all necessary corrections or procedures (i.e., send back forms)
         are made within established time frames.
1020B.   After all incorrect or missing information is identified, the agency is immediately called and correct information is
         obtained.
1020C.   Voluntarily assists others who appear unable to "empty their box" within designated time frame.
1020D.   Applicants for noncompetitive classes are appropriately evaluated with only unusual applications being sent to supervisor
         for resolution.



1021.    Payroll Audit
1021A.   Audit is always completed on first day, or by the first day. All necessary problems requiring agency action are identified
         and the appropriate persons are notified.
1021B.   Number of rejects within the control of the employee (i.e., department submits payroll late) is zero.
1021C.   Voluntarily assists others who cannot meet first day requirement.
1021D.   Audits late payroll actions for corrections before transmitting to Systems if received before 3 p.m.
1021E.   Follows through on second day by calling agencies early so late payroll actions are in by 3 p.m. that day.
1021F.   Final run contains no errors as demonstrated by no complaints being received from agencies or employees concerning
         incorrect or no pay.
1021G.   Identifies system problems so that they can be corrected before the next pay period.

1022.    Attendance and Leave Audits
1022A.   C-7s are never submitted after the first audit for corrections from rejections from the first day.
1022B.   All corrections are made by the first C-7 submitted.
1022C.   Monitors overtime and comp time expenditures of agencies and expeditiously notifies them when they are approaching
         their limits, thus keeping overspending to a minimum.
1022D.   Identifies system problems so that they can be corrected before the next pay period.



1023.    Edison/SEIS Maintenance
1023A.   All information needed to correct a reject is obtained before the reject is resubmitted.
1023B.   Rejects which have been corrected are never rejected a second time.
1023C.   Works independently to find needed information to make corrections. Rarely goes to supervisor for this type of
         information and once obtained, never has to ask for that information again.
1023D.   Identifies system problems and immediately informs necessary personnel of the problem.



1024.    Collecting and Dispensing Incoming and Outgoing Materials and Information
1024A.   Sorts, distributes, and prioritizes material for distribution to proper persons or agencies quickly.
1024B.   Correct materials are always sent in time to insure that the agency receives the materials by date needed.
1024C.   Address on materials is always complete and correct.
1024D.   All necessary correspondence is attached to outgoing materials.
1024E.   A directory of names and addresses is always kept current and in an easily retrievable place.
1024F.   Re-addresses mail erroneously delivered.



1025.    Performing Mathematical Calculations and Recording Data
1025A.   Correctly performs calculations according to instructions.
1025B.   Calculations are checked and prompt corrections are made when errors are discovered.
1025C.   Results obtained from calculations are recorded according to instructions, and are neat and legible.
1025D.   Operates calculators correctly and efficiently.



1026.    Assembling Materials for Distribution
1026A.   All necessary material and correspondence is included in packets to be distributed.
1026B.   Instructions concerning the number of packets to assemble and date needed are always followed.
1026C.   Address on material is always complete and correct.

				
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