Employee Performance Evaluation System by liaoqinmei

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									Employee Performance
Evaluation System

Supervisor Handbook




Personnel Cabinet
February 2011
Equal Employment Opportunity Statement

The Commonwealth of Kentucky does not discriminate on the basis
of race, color, religion, sex, national origin, sexual orientation or
gender identity, ancestry, age, disability, or veteran status.
Reasonable accommodations are provided upon request.




Personnel Cabinet
Division of Employee Management
Performance Management Program
State Office Building
501 High Street
Frankfort, Kentucky 40601
http://personnel.ky.gov/persadmin/hradministrators/hradmin.htm
Stan.Riley@ky.gov or DawnL.Redmon@ky.gov
502-564-6811           502-564-7386
Table of Contents

Introduction…………………………………………………..……………1

Section I:       General Information
  How the System Was Developed…………………………………….2
  Why Do Performance Evaluations?.................................................3
  System Objectives ........................................................................ 3
  Benefits of the Evaluation System ................................................ 4
  Basic Phases of Performance Management ................................. 4

Section II:    Kentucky Revised Statutes and Administrative
               Regulations
   KRS 18A.110, Sections1(i) and 7(j) .............................................. 5
   KRS 18A.095, Section 15 ............................................................. 5
   101 KAR 2:180 ............................................................................. 6

Section III:    Overview of the Evaluation Process
  Eligible Employees ..................................................................... 12
  Employee Leave As Relates To Performance Ratings…………..12
  General Provisions of the System ............................................... 13
  Required Meetings in the Evaluation Process ............................. 14
  Step-By-Step Activities Calendar ................................................ 17
  How To Complete the Performance Evaluation Form ................. 21
  Performance Planning - Job Duties/Expectations ....................... 29
  SMART Performance Expectations ............................................ 31
  Sample Performance Expectations ............................................. 31
  Sample Performance Expectations (Attendance & Punctuality) .. 32
  Sample Position Description (Pd) ............................................... 33
  Sample Employee Evaluation Form ............................................ 34
  Reconsideration Process/Personnel Board Appeal ..................... 38
  Reconsideration Process Flowchart ............................................ 39
  Reconsideration Process Employee Example............................. 40
Section IV:        Tips and Tools for the Evaluator
  Questions Most Employees Want Answered .............................. 41
  How to Conduct A Performance Evaluation Session .................. 41
  ABC’s Of Conducting Effective Performance Evaluations ........... 42
  Effective Counseling Tips ........................................................... 43
  Tips to Effective Planning, Coaching and Evaluating .................. 43
  Employee Notification / Input Form ............................................. 46
  Performance Appraisal Checklist for Supervisors ....................... 47
  Interim Review Meeting Tips ....................................................... 49
  Sample Corrective Action Plan ................................................... 51
  Sample Performance Incident Log .............................................. 52
  Common Rating Errors and Solutions ......................................... 53
  Quiz – Identifying Rating Errors .................................................. 55


Section V:
  Awarding Leave Earned From Performance Evaluation…………56
  Questions and Answers ……………………………………………..56

Appendix
  Agency Liaison Responsibilities……………..……………………...60
  Glossary………………………………………......…………………...61
Introduction
This handbook contains information intended to educate state government
evaluators (supervisors) about the employee performance evaluation system.
The current system within Kentucky State Government is a performance
management process that includes planning, coaching, feedback,
documentation, and performance evaluation. This process, when correctly
followed, is a valuable resource for evaluators to set job performance priorities,
direct performance towards measurable goals and expectations and reward
employees for performance above expectations. The system strongly
emphasizes performance planning and improved communication about job
expectations at the start of the performance year. It also requires coaching and
feedback by the evaluator at two required meetings during the performance year.
The meetings are documented on the evaluation form and comments about
performance are included. Next line supervisors review performance planning
and annual evaluations of all employees under the evaluator (first-line
supervisor) to ensure the process is completed in a fair and equitable manner.
Employees can appeal evaluations on which they disagree.

Evaluators must constantly monitor their efforts in using the performance
evaluation system. In this way, the system may serve the purposes for which it
was designed. Additionally, employees must be given the opportunity to
understand the evaluation system and to become involved in the overall process.
They must be allowed to correct performance deficiencies before they become a
part of the permanent record. Evaluators must share with employees their
feedback regarding employee performance and evidence concerning
performance problems. Feedback and coaching must take place at interim
reviews, throughout the performance year and whenever a problem is identified,
not just during the annual evaluation. Employees tend to resent the evaluator’s
failure to provide coaching and feedback prior to the annual evaluation. They see
such practices as unfair. As a result, every evaluator must plan for performance
and provide ongoing coaching and feedback throughout the performance year.

Training on the state employee performance evaluation system has been
designed to enhance understanding of the system, to emphasize the importance
of using it as a management tool and to assist evaluators in developing the
proper skills to use the system effectively.

The Performance Management Program is charged with administering the
statewide employee performance evaluation system. We are located in the
Personnel Cabinet’s Division of Employee Management Branch. Please become
familiar with the contents of this handbook and keep it readily accessible. You
may use it to answer questions and for assistance in completing performance
evaluations. If you need additional assistance, you may contact your
agency/cabinet employee performance evaluation system liaison or the
Performance Management Program.


Personnel Cabinet                       1                                   2/10/11
Section 1 General Information

How the System Was Developed
In February of 1997, the Personnel Cabinet and the Personnel Pilot Project
Steering Committee worked together to determine the best employee
performance evaluation practices for Kentucky State Government. The goal was
to make recommendations to be considered in preparing legislation regarding a
new evaluation system during the 1998 General Assembly. A performance
review committee was established consisting of representatives from state
agencies. The committee was charged with studying pilot evaluation systems,
evaluation systems from other states and employee input. Collectively, the
committee represented over 250 years of personnel experience. The study
consisted of 56 committee meeting hours and an undetermined number of hours
of independent study by each committee member. Performance evaluation pilot
projects from five cabinets were closely reviewed and discussed with agency
pilot project coordinators. Additionally, eleven state systems were included in the
study. Twenty percent of all active full-time and part-time employees were
surveyed. Thirty-eight percent of the employees surveyed responded. The results
of the survey reinforced the need to improve the evaluation system and identified
areas needing improvement. As an overall result of the committee’s study,
recommendations were developed and employee evaluation legislation was
proposed during the 1998 General Assembly. Unfortunately, the legislation did
not pass in the session.

During the 2000 General Assembly, the Personnel Cabinet, realizing the
pressing need to improve the state’s evaluation system, again proposed
legislation to repeal the old system and establish a new one that in statute
maintained basic provisions and the flexibility to make needed improvements
through administrative regulation. The proposed legislation included most of the
recommendations made by the Performance Review Committee of 1997.

The General Assembly in the 2000 session enacted into law the current
employee evaluation system. The Personnel Cabinet, utilizing input from state
government agencies, formulated related administrative regulations to cover the
details of the system. Today the Employee Performance Evaluation System,
being an act of the 2000 Kentucky General Assembly, is more than a personnel
policy your agency may choose to use; it is the law. You may read the law as
enacted under KRS 18A.110 Sections 1 (i) and 7(j) and 101 KAR 2:180 Section II
of this handbook.




Personnel Cabinet                        2                                  2/10/11
Why Do Performance Evaluations?
      Performance evaluation is a universally recognized management tool.

      Performance evaluation improves communication with employees by
       involving them in the evaluation process.

      Performance evaluation provides a written record to support personnel
       decisions such as salary advancements, promotions and demotions.

      Performance evaluation provides a way to help achieve agency missions,
       goals and objectives.

      Performance evaluation helps employees know clearly what their job
       duties are and is expected from them.

      Performance evaluations let managers and supervisors see how
       productive their employees are in carrying out their job duties, and it is the
       law. (See KRS 18A.110 Sections 1(i) and 7(j). Also see 101 KAR 2:180.)

System Objectives
      Fairness and acceptability to employees.

      Improved communication between evaluator (supervisor) and employee
       about job requirements, performance expectations and training needs.

      Mandatory coaching and feedback prior to the evaluation to inform the
       employee of work strengths and areas needing improvement.

      Consistent and uniform evaluation of individual employee performance
       based on job related factors.

      Improved productivity, enhanced quality, continuous improvement and
       employee development.

      Tangible rewards to employees who perform above job expectations.

      Required employee orientation to the evaluation system.

      Required evaluator (supervisor) training on the proper use of the
       evaluation system.

      To provide a permanent record of performance in the employee’s file that
       must be considered in determining salary advancements, promotions,
       demotions and disciplinary actions.




Personnel Cabinet                         3                                    2/10/11
Benefits of the Evaluation System
For the supervisor, this system will accomplish the following:
    focus on the objectives of the unit

      define employee performance expectations

      counsel and advise the employee

      make objective personnel decisions

The system will help employees:
    understand the priorities and expectations of the supervisor

      participate in their own career advancement

      understand their work strengths and weaknesses

The system will benefit the Commonwealth through the following:
    development of more highly motivated employees

      stimulation of enhanced productivity and service to the public

      maintenance of a more equitable personnel system

Basic Phases to Performance Management
Planning
      Planning for performance that is necessary to achieve the organization’s
      mission and goals involves two-way communication relating to job duties
      and performance expectations.
Ongoing Management
      Providing feedback during the performance review period helps
      employees in meeting or exceeding job duties and expectations set
      during the planning stage. This is the link between planning and the
      performance evaluation.
       Documentation of performance progress and results is an important
       responsibility for an evaluator. Interim reviews must include work related
       comments regarding each performance category in which the employee is
       evaluated. Additional documentation may also be attached to the
       evaluation.
Performance Evaluation
      Assessing an employee’s performance based upon their progress towards
      meeting or exceeding job duties and expectations. This assessment
      usually results in a rating.


Personnel Cabinet                        4                                   2/10/11
Section 2 Kentucky Revised Statutes and
Administrative Regulations
KRS 18A.110 Personnel Secretary - Regulatory Authority
Section 1(i) The secretary shall promulgate comprehensive administrative
regulations for the classified service governing employee evaluations.

Section (7)(j) The administrative regulations shall provide for a uniform system of
annual employee evaluation for classified employees, with status, that shall be
considered in determining eligibility for discretionary salary advancements,
promotions, and disciplinary actions. The administrative regulations shall:

1. Require the secretary to determine the appropriate number of job categories
   to be evaluated and a method for rating each category;
2. Provide for periodic informal reviews during the evaluation period which shall
   be documented on the evaluation form and pertinent comments by either the
   employee or supervisor may be included;
3. Establish a procedure for internal dispute resolution with respect to the final
   evaluation rating;
4. Permit a classified employee, with status, who receives either of the two (2)
   lowest possible evaluation ratings to appeal to the Personnel Board for review
   after exhausting the internal dispute resolution procedure. The final
   evaluation shall not include supervisor comments on ratings other than the
   lowest two (2) ratings;
5. Require that an employee who receives the highest possible rating shall
   receive the equivalent of two (2) workdays, not to exceed sixteen (15) hours,
   credited to his or her annual leave balance. An employee who receives the
   second highest possible rating shall receive the equivalent of one (1)
   workday, not to exceed eight (8) hours, credited to his or her annual leave
   balance; and
6. Require that an employee who receives the lowest possible evaluation rating
   shall either be demoted to a position commensurate with the employee’s skills
   and abilities or be terminated; and


KRS 18A.095 Rights of Executive Branch Employees
Section (15) An evaluation may be appealed to the board if an employee has
complied with the review procedure established in KRS 18A.110 Section (7)(j).




Personnel Cabinet                        5                                   2/10/11
101 KAR 2:180 Employee Performance Evaluation System
NECESSITY, FUNCTION and CONFORMITY: KRS 18A.110(1)(i) and (7)(j)
requires the Secretary of the Personnel Cabinet to promulgate comprehensive
administrative regulations for classified service employees to establish a uniform
system of annual employee evaluations for classified employees. This
administrative regulation establishes the uniform employee performance
evaluation system.

Section 1. General Provisions
                   (1)    (a) Except as provided in paragraph (b) of this
                          subsection, the annual performance period shall be
                          one (1) calendar year beginning on January 1.
                          (b) For calendar year 2001, the annual performance
                          period shall be the effective date of this administrative
                          regulation until the end of the calendar year.
                   (2)    Performance evaluations shall be completed no later
                          than thirty (30) calendar days after the end of the
                          annual performance period.
                   (3)    All agencies shall use the Annual Employee
                          Performance Evaluation Form.
                   (4)    (a) Except as provided in paragraph (b) or (c) of this
                          subsection, the first line supervisor of an employee at
                          the time the evaluation is due shall be the evaluator.
                          (b) If the first line supervisor has not supervised the
                          employee for ninety (90) calendar days during the
                          performance year, the next line supervisor who meets
                          the ninety (90) day requirement shall be the evaluator.
                          (c) If an employee changes jobs and reports to a
                          different supervisor after October 1 of the
                          performance year, the annual evaluation shall be
                          completed by the former supervisor prior to the job
                          change.
                   (5)    The first line supervisor (evaluator) shall establish a
                          performance plan for each eligible employee no later
                          than thirty (30) calendar days after the start of the
                          performance period.
                   (6)    The evaluator shall meet with the employee when
                          completing the performance plan to discuss job duties
                          and expectations.
                   (7)    Performance evaluations shall be in writing. The
                          evaluator shall:
                          (a) Present and explain all documentation relevant to
                          an employee’s performance evaluation;
                          (b) Discuss both the positive and negative aspects of
                          performance with the employee at the annual
                          evaluation;


Personnel Cabinet                        6                                  2/10/11
                           (c) Elicit the employee’s opinions and concerns; and
                           (d) Discuss measures to improve or enhance
                           performance with the employee.
                    (8)    The Governmental Services Center or agency
                           personnel shall provide training on the performance
                           evaluation system.
                           (a) The appointing authority shall require that
                           supervisor evaluation training is completed prior to
                           performance evaluation of employees.
                           (b) The Personnel Cabinet shall monitor and validate
                           compliance with training requirements.
                    (9)    Employees shall complete orientation to the
                           performance evaluation system no           later than
                           thirty (30) calendar days after completion of initial
                           probation.
                    (10)   Except as authorized by the appointing authority, an
                           evaluator shall complete required performance
                           planning, interim reviews and annual evaluations for
                           each eligible employee. If the appointing authority
                           approves the exception, written justification for the
                           decision shall be placed in the employee’s personnel
                           file.

Section 2. Employee Eligibility
                  Performance evaluations shall be completed for all full-time
                  classified employees with status at the beginning of the
                  performance year who have remained in continuous merit
                  status throughout the performance year.


Section 3. Performance Planning
                   (1) The performance plan shall specify job responsibilities
                         and expectations in the following categories:
                         (a) Job tasks.
                                1. The job tasks category shall identify specific
                                   duties and expectations of the position held
                                   by the employee.
                                2. The employee’s job duties shall be
                                   consistent with the position description.
                                3. Duties and expectations shall be in writing.
                                4. The evaluator shall assign points to
                                   identified duties and expectations, weighted
                                   by importance.
                         (b) Adaptability/initiative.
                                1. The adaptability/initiative category shall
                                   identify job requirements of the agency.



Personnel Cabinet                       7                                  2/10/11
                                   2. The evaluator shall place each requirement
                                      under this category in writing and assign
                                      points weighted by importance.
                          (c) Communication/teamwork.
                                   1. The communication/teamwork category shall
                                      identify requirements of the agency.
                                   2. The evaluator shall place each requirement
                                      under this category in writing and assign
                                      points weighted by importance.
                          (d) Self-management.
                                   1. The self-management category shall identify
                                      requirements of the agency relating to
                                      workplace standards that shall include:
                                           a. Attendance;
                                           b. Punctuality;
                                           c. Career development;
                                           d. Responsibility; and
                                           e. Dependability.
                                   2. The evaluator shall place each requirement
                                      under this category in writing and assign
                                      points weighted by importance.
                                   3. Performance goals and objectives shall
                                      relate to the agency’s mission.
                                   4. The evaluator shall develop the performance
                                      plan after consultation with the employee.
                                          a. The employee and evaluator shall
                                              certify in writing in the performance
                                              planning section of the evaluation
                                              form that the employee has met with
                                              the evaluator and is aware of the
                                              performance plan at the start of the
                                              evaluation period.
                                          b. The next line supervisor shall certify
                                              that he has reviewed the duties and
                                              expectations of the employee and
                                              finds them to be reasonable and
                                              equitable considering duties of other
                                              employees in the same classification.
                    (2)   Total points assigned for all four (4) categories shall
                          equal 100 total points. The evaluator shall distribute
                          points among the four (4) categories as follows:
                          (a) The job tasks category shall have a minimum of
                              fifty (50) points designated; and
                          (b) The other three (3) categories shall have a
                              minimum of five (5) points designated to each
                              category.



Personnel Cabinet                      8                                    2/10/11
                    (3)   Points assigned to each job duty within each category
                          shall be multiplied by the numerical rating one (1) to
                          five (5) determined by the evaluator to complete the
                          final point total for each category.
                    (4)   Total points in all four (4) categories shall be added to
                          obtain a final performance evaluation score.

Section 4. Performance Coaching and Feedback
                   (1)   Modification of the performance plan may occur
                         during the performance evaluation period if the
                         changes are consistent with the duties reflected on an
                         employee’s position description.
                         (a) The employee shall be given written notice of
                             changes to the performance plan.
                         (b) Changes to the performance plan shall be
                             indicated on the evaluation form or on a
                             supplemental sheet attached to the form.
                         (c) Changes to the performance plan shall be initialed
                             and dated by the evaluator and the employee
                             when changes become effective.
                   (2)   Two (2) interim reviews shall be required during a
                         performance year.
                         (a) The evaluator shall document the interim reviews.
                                         1. Interim reviews shall not contain a
                                            rating.
                                         2. The interim meeting section of the
                                            evaluation form shall contain
                                            comments by the evaluator.
                         (b) The employee and evaluator shall sign the
                             performance evaluation form to certify that the
                             interim reviews occurred.
                         (c) Except as requested by the appointing authority
                             and authorized by the Secretary of Personnel, the
                             evaluator shall schedule interim reviews during the
                             months of April and August of each performance
                             year.
                         (d) Interim reviews shall document performance to
                             justify the annual performance rating.

Section 5. Performance Evaluations and Ratings
                   (1)   The evaluator and the employee shall meet no later
                         than thirty (30) calendar days after the performance
                         period ends to discuss the performance ratings.
                   (2)   Eligible employees shall be evaluated in the four (4)
                         categories described in Section 3 of this
                         administrative regulation.



Personnel Cabinet                      9                                    2/10/11
                    (3)   All job duties identified within the categories shall be
                          rated on a scale of one (1) to five (5), with five (5)
                          representing superior performance.
                   (4)    The final performance evaluation shall consist of a
                          defined numerical rating. Point values for the overall
                          performance rating are:
                          (a)     Outstanding: 450 to 500 points;
                          (b)     Highly effective: 350 to 449 points;
                          (c)     Good: 250 to 349 points;
                          (d)     Needs Improvement: 150 to 249 points;
                          (e)     Unacceptable: less than 150 points.
                   (5)    Unresolved disagreements on ratings or any aspect of
                          the performance evaluation shall be reviewed through
                          the reconsideration process established in Section 7
                          of this administrative regulation.
                   (6)    Signatures of the evaluator, employee and next line
                          supervisor shall be required on the final evaluation.
                          (a)     The next line supervisor shall sign the
                                  evaluation after it is completed, signed and
                                  dated by the evaluator and the employee.
                          (b)     For the purpose of evaluating or managing the
                                  performance of the evaluator, the next line
                                  supervisor’s signature shall certify that he is
                                  aware of the evaluation and has reviewed it.
                          (c)     Exceptions to this requirement may be
                                  requested by the appointing authority and shall
                                  be subject to the approval of the Secretary of
                                  Personnel.
Section 6. Performance Incentives
Employee annual leave shall be awarded as a performance incentive at the
following rates:
                   (1)    Two (2) workdays, not to exceed sixteen (16) hours,
                          for an "Outstanding" rating.
                   (2)    One (1) workday, not to exceed eight (8) hours, for a
                          "Highly Effective" rating.

Section 7. Reconsideration and Appeal Process
                   (1)    Within five (5) working days of a performance
                          evaluation, an employee may request initial
                          reconsideration of the performance evaluation by the
                          evaluator.
                   (2)    Within five (5) working days of the receipt of the
                          request for reconsideration, the evaluator shall
                          respond to the request in writing.




Personnel Cabinet                       10                                 2/10/11
                    (3)   If the employee refuses to sign the form in the
                          employee response section, the evaluation shall not
                          be eligible for reconsideration.
                    (4)   Within five (5) working days after the initial
                          reconsideration by the evaluator, an employee may
                          submit a written request for reconsideration of the
                          evaluation by the next line supervisor. If neither the
                          evaluator nor the next line supervisor respond to the
                          request for reconsideration in the designated time
                          period, the employee may submit a written request to
                          the appointing authority for compliance with this
                          administrative regulation.
                    (5)   The next line supervisor shall:
                          (a)     Obtain written statements from both the
                                  employee and the evaluator; or
                          (b)     Meet individually with the employee and the
                                  evaluator.
                    (6)   The next line supervisor shall inform both the
                          employee and evaluator in writing of the decision no
                          later than fifteen (15) working days after receipt of the
                          employee’s request.
                    (7)   Within sixty (60) days after an employee has received
                          the written decision from the next line supervisor, the
                          employee who has complied with this administrative
                          regulation may appeal a final evaluation which has an
                          overall rating in either of the two (2) lowest overall
                          ratings to the Personnel Board.



Section 8. Evaluation-Based Agency Action
If an employee receives an overall rating of unacceptable, the agency shall:
                    (1)   Demote the employee to a position commensurate
                          with the employee's skills and abilities; or
                    (2)   Terminate the employee.

Section 9. Incorporation By Reference
                    (1)    The Annual Employee Performance Evaluation Form,
                           01/01/01, is incorporated by reference.
                    (2)    This material may be inspected, copied or obtained,
                           subject to applicable copyright law, at the Personnel
                           Cabinet, 200 Fair Oaks Lane, 5th Floor, Frankfort,
                           Kentucky 40601, Monday through Friday, 8 a.m. to
                           4:30 p.m. (27 Ky.R. 1383; Am. 1767; eff. 1-15-2001.)




Personnel Cabinet                      11                                   2/10/11
Section 3 Overview of the Evaluation Process

Eligible Employees
Performance Evaluations shall be completed for all full time classified employees
who:
      a)    held status as of January 1 of the performance year, and

       b)     have remained in continuous merit status throughout the
              performance year.

NOTE: Ineligible employees do not have the right of appeal and are not eligible
for performance rewards. Therefore, employees who do not meet the eligibility
requirements as stated above shall not be evaluated using this system.

Employee Leave As Relates To Performance Ratings
The following recommendations are offered to provide direction on how
performance ratings and expectations relate to employee leave.

      If an eligible employee is on leave at evaluation time, he/she shall be
       evaluated upon return to work.

      An employee must not be held accountable for certain performance
       expectations while on the following types of leave: FMLA (extended sick
       and/or maternity), sick, military, voting or jury leave. The employee should
       be evaluated on work performed based on standards established while
       he/she was in a work status. Performance expectations should be
       adjusted so as not to include job expectations while on these types of
       leave.

      Employees on annual or compensatory leave may be held accountable for
       meeting performance expectations, and such leave may be denied by the
       supervisor if performance is below par.

NOTE: Giving an employee a low performance score due to not meeting
performance expectations as a result of excessive absence and/or
tardiness is not appropriate unless the supervisor can document
discussions about poor performance due to absence or tardiness.




Personnel Cabinet                       12                                   2/10/11
General Provisions of the Employee Performance Evaluation
System
1.     Employee orientation to the evaluation system must be completed within
       thirty (30) calendar days after completion of initial probation.
       Documentation that employee received an evaluation handbook shall
       serve as proof of orientation to the system.

2.     Supervisor training on the evaluation system shall be completed by all
       supervisors prior to completing the annual evaluation on eligible
       employees.

3.     The EVALUATOR shall develop a performance plan for each eligible
       employee within thirty (30) calendar days after the start of the
       performance period.
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to develop a performance plan.

4.     The EVALUATOR of each employee is usually the first line supervisor. For
       a supervisor to qualify as the EVALUATOR at the time of the evaluation,
       he/she must have supervised the employee for a minimum of ninety (90)
       calendar days during the performance year. If the first line supervisor does
       not qualify, the next line supervisor who meets the ninety (90) day
       requirement becomes the employee’s evaluator.

5.     There are situations in which the normal evaluation procedures might be
       altered due to special circumstances. These circumstances are as follows:

          If an evaluator has supervised an employee for at least ninety (90)
           days within the evaluation year but then ceases to be the employee’s
           supervisor before the annual evaluation occurs, he/she must forward
           the evaluation form and all documentation to the employee’s new or
           next line supervisor.

          In cases where the employee transfers to a new job, his/her evaluator
           shall forward the evaluation form, including interim meeting
           documentation, to the employee’s personnel file. This is necessary in
           order for the new evaluator to evaluate the employee on his/her
           performance for the entire performance year.

          If an employee changes jobs and reports to a different supervisor after
           October 1 of the performance year, the annual evaluation shall be
           completed by the former supervisor prior to the job change and
           forwarded to the employee’s personnel file.




Personnel Cabinet                       13                                  2/10/11
6.     Interim reviews between the evaluator and employee are required every
       four months during the performance year for all eligible employees. The
       Personnel Cabinet will grant agency exceptions on a case-by-case basis.
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to conduct an interim review.

7.     All interim reviews shall be documented on the evaluation form and
       relevant comments shall be included. Reviews shall be certified by
       employee and evaluator signatures on the official evaluation form.

8.     An evaluation must be completed within thirty (30) days after the end of
       the annual performance period.

9.     Employee evaluations shall be considered in determining eligibility for
       discretionary salary advancements, promotions and disciplinary actions.
       See KRS 18A.110, Section 1, Subsection 1(i) and 7(j).

10.    An employee, who receives the lowest possible evaluation rating
       (Unacceptable), shall either be demoted to a position commensurate with
       the employee’s skills and abilities or be terminated. See KRS 18A.110,
       Section 1, Subsection 1(i) and 7(j).



Required Meetings in the Evaluation Process
Performance Planning Meeting
      The evaluator first completes the personal data on the evaluation form.

       The evaluator shall conduct a performance planning meeting no later than
       thirty (30) days after the start of the performance period (January 1).
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to develop a performance plan.

       The evaluator completes the performance plan in Section I of the
       evaluation form. This plan shall consist of job duties, expectations and
       assigned points in each performance category. The evaluator determines
       the job duties for the position in all categories and reviews them with the
       employee. Job duties shall be included in the Performance Planning
       section of the evaluation form. The evaluator should seek employee input
       when determining the job duties. The position description (PD) is not a
       substitution for this requirement; however, job duties shall be consistent
       with the PD.

       The evaluator shall determine and discuss with the employee the
       distribution and assignment of 100 total points between the job duties. The



Personnel Cabinet                       14                                  2/10/11
       points assigned are intended to weigh the importance of each job duty and
       shall be included in the Performance Planning section of the form. A total
       of 100 points shall be distributed between the four categories provided
       that:

       A minimum of fifty (50) points be assigned to the Job Tasks category.

       A minimum of five (5) points be assigned to each of the other three (3)
       categories.

       The next line supervisor should resolve any disagreements between
       parties relating to the job duties, expectations and/or assigned points.

       The evaluator and employee review the expectations identified for a
       “Good” job developed by the evaluator for each job duty in which the
       employee will be evaluated. Expectations shall be included in the
       Performance Planning section of the evaluation form. The evaluator
       should seek employee input when developing expectations; however, the
       final decision shall be made by the evaluator and/or next line supervisor.

       The next line supervisor reviews the job duties, expectations, and
       assigned points determined by the evaluator. The purpose of this review is
       to determine that job duties and expectations are reasonable and
       equitable considering duties of other employees in the same classification
       and consistent with the mission and goals of the department, division and
       section.

       Modifications to the performance plan may be made at any time during the
       evaluation period provided changes are included on the evaluation form,
       are consistent with the PD, and are initialed and dated in RED ink by both
       evaluator and employee.

       The evaluator, next line supervisor and employee sign and date the
       appropriate spaces in the Performance Planning section at the start of the
       performance period. All signatures shall be in RED ink unless signed
       electronically.

Interim Review Meetings
       Interim reviews between the evaluator and employee are required every
       four months during the performance year for all eligible employees.
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to conduct an interim review.

       The evaluator meets with the employee to discuss work progress to date.
       All categories of performance should be reviewed and discussed whether
       good, above or below expectations. Pertinent comments by the evaluator



Personnel Cabinet                        15                                  2/10/11
       shall be included in the interim meeting documentation section of the form
       regarding all four performance categories. (Employee comments may be
       attached.) In areas needing improvement, the evaluator should make
       suggestions for improvement and/or develop an employee improvement
       plan. (See Sample Corrective Action Plan on page 51.)

       The evaluator and employee sign and date the appropriate spaces in the
       Interim Meeting Documentation section of the evaluation form. All
       signatures shall be in RED ink unless signed electronically.

       Documentation of interim reviews shall be used to help determine and
       support final ratings at the annual evaluation.

       The first interim review meeting shall take place in APRIL, and the second
       interim review meeting shall take place in AUGUST of the performance
       year. In cases where completing an interim review conflicts with an
       agency/unit’s peak workload season, the agency may choose to conduct a
       review during a month other than April or August. The Personnel Cabinet
       will grant agency exceptions on a case by case basis.

Annual Performance Evaluation Meeting
     The evaluator determines and indicates the employee’s rating of
     performance for the full year within each performance category in Section
     I of the evaluation form. The evaluator shall review the two (2) interim
     reviews as supportive documentation to help determine the ratings for the
     performance year.

       NOTE: The evaluation form does not provide a space for comments
       to be made regarding an employee’s work performance for the
       months of September-December; however, pertinent comments may
       be attached to the evaluation form regarding the employee’s work
       performance for this period of time. If comments are attached they
       should be signed and dated in RED ink by both employee and
       evaluator.

       The evaluator assigns a rating of 1-5, with 5 representing superior
       performance, to each job duty within each performance category. The
       evaluator multiplies the rating by the points assigned to each job duty to
       determine total points for each job duty. Total points for each job duty
       shall be added to determine total points in each category and included in
       the appropriate space in Section I, and also in Section III, Subsection A.

       Total points for each category shall be added to obtain a final performance
       score and included in the appropriate space in Section III, Subsection A.
       The evaluator shall determine the overall performance rating based on the




Personnel Cabinet                       16                                  2/10/11
       final performance score and indicate such rating by checking the
       appropriate box in Section III, Subsection B.

       The evaluator is required to provide comments in Section III, Subsection
       C, only if the employee receives a less than “Good” overall rating. No
       comments are to be provided if the employee receives an overall rating of
       “Good” or above.

       The evaluator discusses the evaluation with the employee.

       The employee completes the employee response in Section III,
       Subsection D. If necessary, the employee and evaluator follow
       reconsideration procedures as detailed in 101 KAR 2:180.

       The evaluator and employee must sign and date the evaluation form in
       Section III, Subsection D, after it is completed. The next line supervisor
       shall review and sign the evaluation after completed and signed by the
       evaluator and employee. The next line supervisor’s signature certifies that
       he/she is aware of the evaluation and has reviewed it to assist in
       evaluating and managing the performance of the evaluator. All signatures
       must be in RED ink unless signed electronically.

       The evaluator completes the personnel data on a new performance
       evaluation form and reviews job duties, expectations and point values with
       the employee, making necessary revisions for the next annual evaluation
       period.

       The evaluator, next line supervisor and employee sign and date the
       appropriate spaces in the Performance Planning section at the start of the
       annual performance period. All signatures shall be in RED ink unless
       signed electronically.



Step-By-Step Employee Performance Evaluation Activities
Calendar
January – Performance Planning
    Year-end evaluation completed for the previous performance period
     (January 1 – December 31). NOTE: Must be signed in RED by the
     employee, first-line supervisor and next-line supervisor.
    After the annual performance evaluation is completed, the original
     evaluation forms must be turned in to the agency evaluation liaison by
     January 31.




Personnel Cabinet                       17                                 2/10/11
      Employee and supervisor develop the Performance Plan for the present
       performance period (January 1 – December 31). NOTE: Must be signed
       in RED by the employee and the first-line supervisor.
      A plan for improving performance may be developed to assist the
       employee in areas which need improvement.
      Next-line supervisor reviews and signs off in RED on the Performance
       Plan.
      The Performance Plan is completed no later than thirty (30) calendar days
       after the start of the performance period (January 30).
      The agency evaluation liaison must enter all monitoring information for the
       Performance Plan and the Annual Performance Evaluation into the online
       monitoring system.
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to develop a performance plan.

   SPECIAL NOTE REGARDING TRANSFERS:
    If an eligible employee transfers within the agency or to another agency,
     all performance evaluation documentation must be forwarded to the
     appropriate personnel staff in the new agency.
    The new supervisor must develop a new performance plan for the
     employee and keep both the old and the new evaluation documentation in
     their files until the annual evaluation.




Personnel Cabinet                       18                                  2/10/11
April – First Interim Review
   First Interim Review conducted with the employee by April 30. NOTE:
       The Interim meeting must be documented on the Interim Meeting
       documentation section of the form. Pertinent comments by the evaluator
       shall be included in the interim meeting documentation section of the form
       regarding all four performance categories. The form must be signed in
       RED and dated by both the employee and the first-line supervisor. NOTE:
       An agency may request exception to this time frame to the Secretary of
       Personnel to conduct these reviews at a different time.
   A plan for improving performance may be developed to assist the
       employee in areas which need improvement.
   The employee may attach comments to the Interim Review.
   The agency evaluation liaison must enter all monitoring information for the
       First Interim Review meeting into the online monitoring system.
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to conduct an interim review.

   SPECIAL NOTE REGARDING TRANSFERS:
    If an eligible employee transfers within the agency or to another agency on
     April 1st of the performance period, the new agency/supervisor must
     complete the First Interim Review on the employee.
    If an eligible employee transfers within the agency or to another agency on
     April 16th of the performance period, the agency/supervisor from which
     the employee is transferring must complete the First Interim Review
     PRIOR to the employee’s transfer. NOTE: If no interim review
     documentation exists when the new agency reviews the transferred
     employee’s performance evaluation file, the new agency/supervisor will
     only be responsible for developing the new performance plan. The new
     supervisor (evaluator) will note on the interim review documentation that
     no interim review was completed by the previous agency.

August – Second Interim Review
   Second Interim Review conducted with the employee by August 31.
     NOTE: The interim meeting must be documented on the Interim Meeting
     documentation section of the form. Pertinent comments by the evaluator
     shall be included in the interim meeting documentation section of the form
     regarding all four performance categories. The form must be signed in
     RED and dated by both the employee and the first-line supervisor. NOTE:
     An agency may request exception to this time frame to the Secretary of
     Personnel to conduct these reviews at a different time.
   A plan for improving performance may be developed to assist the
     employee in areas which need improvement.
   The employee may attach comments to the Interim Review.
   The agency evaluation liaison must enter all monitoring information for the
     Second Interim Review meeting into the online monitoring system.




Personnel Cabinet                      19                                 2/10/11
       NOTE: An evaluator is not required to supervise an employee ninety
       (90) days in order to conduct an interim review.

   SPECIAL NOTE REGARDING TRANSFERS:
    If an eligible employee transfers within the agency or to another agency on
     August 1st of the performance period, the new agency/supervisor must
     complete the Second Interim Review on the employee.
    If an eligible employee transfers within the agency or to another agency on
     August 16th of the performance period, the agency/supervisor from which
     the employee is transferring must complete the Second Interim Review
     PRIOR to the employee’s transfer. NOTE: If no interim review
     documentation exists when the new agency reviews the transferred
     employee’s performance evaluation file, the new agency/supervisor will
     only be responsible for developing the new performance plan. The new
     supervisor (evaluator) will note on the interim review documentation that
     no interim review was completed by the previous agency

October – Transfers
   Any eligible employee who changes jobs and reports to a different
     supervisor on or after October 2nd of the performance period must have
     their evaluation completed by the former supervisor PRIOR to the transfer.
     This is required as the supervisor (evaluator) must have supervised the
     employee for a minimum of ninety (90) days during the performance
     period to be eligible to complete the employee’s annual performance
     evaluation. This evaluation will serve as the final evaluation.
   All employee performance evaluation documentation must be forwarded to
     the appropriate personnel staff in the new agency and given to the agency
     evaluation liaison, who will enter the annual evaluation documentation into
     the online monitoring system when monitoring agency compliance to the
     annual performance evaluation.

January – Annual Performance Evaluation
   Year-end evaluation completed for the previous performance period
     (January 1 – December 31). NOTE: Must be signed in RED by the
     employee, first-line supervisor and next-line supervisor.
   After the annual performance evaluation is completed, the original
     evaluation forms must be turned in to the agency evaluation liaison by
     January 31.
   Employee and supervisor develop the Performance Plan for the present
     performance period (January 1 – December 31). NOTE: Must be signed
     in RED by the employee and the first-line supervisor.
   A plan for improving performance may be developed to assist the
     employee in areas which need improvement.
   Next-line supervisor reviews and signs off in RED on the Performance
     Plan.
   The Performance Plan is completed no later than thirty (30) calendar days
     after the start of the performance period (January 30).


Personnel Cabinet                      20                                2/10/11
      The agency evaluation liaison must enter all monitoring information for the
       Performance Plan and the Annual Performance Evaluation into the online
       monitoring system.
      The evaluation form does not provide a space for comments to be made
       regarding an employee’s work performance for the months of September-
       December; however, pertinent comments may be attached to the
       evaluation form regarding the employee’s work performance for this period
       of time. If comments are attached they should be signed and dated in
       RED ink by both employee and evaluator.


How to Complete the Performance Evaluation Form
(Refer to pages 34-37 to view a sample completed evaluation form.)
The hard copy evaluation form is two pages front and back, which the evaluator
shall use in completing the employee’s performance evaluation. All signatures
must be in RED ink unless signed electronically. (At this time state government
does not utilize electronic signatures in regards to the Employee Performance
Evaluation System.)
When using the e-form or word versions of the form which complete the
calculations it will be necessary, after completion of the Performance Plan
meeting, to print out pages one and two of the evaluation form to obtain required
signatures of the employee, evaluator and next line supervisor. The evaluator
shall retain these pages until the time of the Annual Performance Evaluation. The
third page will need to be printed out after the completion of each Interim Review
meeting to obtain required signatures of the evaluator and employee. These
versions of the evaluation form require that all calculations on page 2 be
transferred to the original evaluation form which contains the employee’s
and supervisor’s signatures/dates. All ratings and math calculations for each
duty/responsibility must be placed in Section I of the evaluation form. The rating
calculations on page 1 of the Performance Plan and the continuation page can
be printed and submitted as the original as there are no original signatures
required on this page.
Stage I – January – Performance Plan Meeting
Step 1 - At the beginning of the performance planning stage, list all Employee
Data on page 1 of the evaluation form.


Employee Data (on the form)
(Retrieve the basic information to answer 1-7 from the employee’s P-1.)
    Employee Name: Use the name as listed in the official personnel files.
    Social Security Number.
    Classification: Use the official work title as assigned by the Personnel
     Cabinet. Abbreviate if necessary.


Personnel Cabinet                       21                                  2/10/11
    Title Code: Use the official four digit title code as assigned by the
     Personnel Cabinet.
    Cabinet/Department/Division: Indicate the appropriate names. If General
     Government, indicate as such and the name of the department or division.
    Branch/Section/Unit: Indicate the appropriate names.
    Position Number: Use the 16-digit number assigned to the employee’s
     position as designated by the Uniform Personnel and Payroll System
     (UPPS).
    Review Period: Indicate the year the performance period starts and ends
     for the employee. (Since all employees are evaluated for the same review
     period, the months are already indicated on the form.)
    Evaluator: Indicate the name of the first line supervisor completing the
     evaluation.
    Next Line Supervisor: Indicate the name of the next line supervisor who
     will be signing off on the performance plan and the annual evaluation
     meetings.
    Interim Meeting Schedule: 1st Interim Meeting – Indicate date of first
     interim meeting after it is completed. 2nd Interim Meeting – Indicate date of
     second interim meeting after it is completed.
       (We recommend that these dates be placed on page one of the evaluation
       form after the interim review meetings are completed; however, if you wish
       to schedule the dates prior to having the meetings, you may place the
       scheduled dates in the area at the time of the Performance Plan meeting.
       If the meeting dates change, please correct dates on page one of the
       evaluation form at the time of the interim review meetings.)
Step 2 - Mission Statement (on the form)
Evaluator may wish to indicate the mission of the agency on page 1 of the form.
Step 3 - Performance Planning
The Performance Plan shall consist of job duties, expectations and assigned
points within each performance category.
    The job duties and expectations on the evaluation form shall be completed
     at the beginning of the evaluation period (by January 30 of the
     performance period).
    Each duty and expectation shall be completed in sufficient detail to convey
     to the employee the specific performance requirements of his/her job.
    When describing the employee’s job duties and expectations, the
     employee’s position description (PD) shall be used as a guide.
    The resulting job duties and expectations shall be used for evaluation
     purposes only.



Personnel Cabinet                       22                                   2/10/11
   On The Form
   List the job duties of the employee on pages 1 and 2 (Performance Planning
   Section) of the evaluation form.
    In the JOB TASKS category, start with the main job duty of the employee
     and end with the least. This information can be determined by reviewing
     the Position Description already formulated. The duties may be copied
     directly from the PD unless the duties are too generic. In that case, more
     specific duties must be included. Agencies may develop standardized
     descriptions of job duties and expectations for all employees within the
     same classification who are responsible for similar job duties/expectations.
     Please ask your agency evaluation liaison if any such standards have
     been determined within your agency that may be applicable for your
     employees. Please refer to
     http://personnel.ky.gov/info/empeval/liaison.htm for a list of agency
     evaluation liaisons).
    The evaluator and/or appointing authority of your agency may determine
     the job requirements for both the ADAPTABILITY / INITIATIVE and
     COMMUNICATION / TEAMWORK categories. (See page 35.)
    Under the category of SELF-MANAGEMENT, the areas for which the
     employee is to be evaluated have already been determined and listed on
     the form. (See pages 35.)
List the expectations determined for carrying out the job duties on pages 1 and 2
(Performance Planning Section) of the evaluation form.
    The evaluator determines what the expected results of each duty shall be
     in order for the employee to do a “Good” job and list these results under
     the Expectations area of the evaluation form. The evaluator should write
     SMART expectations. (Refer to the definition of SMART expectations on
     page 31.)
    If the employee supervises others, the evaluator shall indicate the
     expectation of following the proper evaluation procedures in the area
     indicated on the bottom portion of the first page of the evaluation form.
The evaluator shall determine and distribute a total of 100 points among the job
duties in all four categories on pages 1 and 2 (Performance Planning Section) of
the evaluation form.
    The evaluator has the flexibility to distribute these points among the four
     categories provided that:
           1. A minimum of fifty (50) points be assigned to the Job Tasks
              category.
           2. A minimum of five (5) points be assigned to each of the other three
              (3) categories.




Personnel Cabinet                       23                                  2/10/11
       NOTE: The duties may be copied directly from the PD if they are
       specific enough; however, even though you may use the
       percentages included in the PD as a guide to determine assigned
       points, the numbers will change as the total points for all four
       categories must equal 100.
If necessary, the performance plan may be revised at any point during the
performance period provided that changes are:
    Included on the evaluation form.
    Consistent with the PD.
    Initialed and dated (in RED) by both the evaluator and employee.
If the evaluator and employee disagree regarding the contents of the
performance plan, the next line supervisor shall resolve the dispute.
The evaluator, next line supervisor and the employee shall sign and date the
form in the spaces indicated on page 2 (Performance Planning Section) of the
evaluation form.
    Signatures of the evaluator and employee certify they have met and
     discussed the duties and expectations of the job for the performance
     period.
    If the employee refuses to sign page 2 (Performance Planning Section) of
     the evaluation form, the evaluator will certify in the area appropriated for
     the employee’s signature that the employee refused to sign the form. The
     evaluator signs and dates the evaluation form.
    The next line supervisor shall sign and date this section of the form to
     certify that he/she has reviewed the job duties and expectations and find
     them to be reasonable, equitable and consistent with the mission and
     goals of the department, division and section.
    These signatures must be in RED ink unless signed electronically.
If using the online or Word version of the evaluation form, print out pages 1 and 2
(making sure the employee’s name and social security number are on top of the
page) of the form at the start of the performance period to obtain the required
signatures of the employee, evaluator and next line supervisor. All evaluators
should have a separate file for each employee. These pages of the form should
be kept in the employee’s file until the end of the evaluation period. A copy of
pages 1 and 2 including the performance plan meeting documentation shall be
given to the employee.




Personnel Cabinet                       24                                  2/10/11
Stage 2 – April – First Interim Review
Stage 3 – August – Second Interim Review
The evaluator shall be required to perform two (2) interim reviews on an
employee during a performance period.
    All interim reviews shall be scheduled during the months of April (1 st
     Interim Review) and August (2nd Interim Review) of each performance
     year.
    Exceptions to this policy may be requested in writing by the agency and
     shall be subject to the approval of the Secretary of Personnel.
    The interim reviews shall be used to document performance that supports
     the annual performance rating.
    All categories shall be reviewed and discussed. Supervisor (evaluator)
     should make comments for each performance category.
    All comments by the evaluator regarding the employee’s work
     performance shall be documented in this area. (Employee comments may
     be attached.)
    A plan for improving performance may be developed at any time during
     the performance period for performance that is below expectations. (See
     Sample Corrective Action Plan on page 51) NOTE: This is not a legal
     requirement of the evaluation system. This is only used as a
     supervisory management tool.
Step 1.
All comments by the evaluator regarding employee’s work performance shall be
documented on page 3 (Interim Review Section) of the evaluation form.
(Employee comments may be attached.)
    All comments concerning the employee’s performance shall be listed for
     all performance categories.
    Evaluators may develop a plan for improvement if the employee’s work
     performance is as such that the evaluator feels a written improvement
     plan is necessary.
Step 2.
Place the dates the Interim Reviews occurred on page 1 (Employee Data –
Performance Planning Section) in the spaces indicated.
Step 3.
The evaluator and employee shall sign and date page 3 (Interim Meeting
Section) of the evaluation form certifying the review meetings occurred.
    These signatures must be in RED ink unless signed electronically.
    If the employee refuses to sign page 3 (Interim Meeting Section) of the
     evaluation form, the evaluator will certify in the area designed for the


Personnel Cabinet                      25                                  2/10/11
       employee’s signature that the employee refused to sign the form. The
       evaluator signs and dates the evaluation form.
If using the online or Word version of the evaluation form, print page 3 (making
sure the employee’s name and social security number are on top of the page) of
the form after both the First and Second Interim Review meetings to obtain the
required signatures of the evaluator and employee. Or, the evaluator may wish to
print page 3 at the time of the First Interim Review meeting and complete by
hand. The supervisor will then complete the Second Interim Review meeting
documentation by hand on the bottom portion of page 3 at the completion of that
meeting. This will allow all documentation and signatures to be on one page. All
evaluators should have a separate file for each employee. These pages of the
form should be kept in the employee’s file until the end of the evaluation period.
A copy of the Interim Review documentation shall be given to the employee.
Even though the evaluation form does not allow for comments to be made
regarding employee’s work performance for the months of September-
December, comments may be attached to the evaluation form regarding the
employee’s work performance for this period of time. If comments are attached
they should be signed and dated in red ink by both employee and evaluator.
STAGE IV – JANUARY of the Following Performance Period – ANNUAL
PERFORMANCE EVALUATION
On The Form
Step 1.
The evaluator shall indicate in pages 1 and 2 (Performance Planning Section) of
the evaluation form the appropriate numerical rating (1 – 5) determined for each
job duty in each category.
    The evaluator must review documentation from both Interim Review
     meetings to determine final ratings.
    The evaluator shall indicate the determined rating, in this section, by
     placing an X under the appropriate numerical rating (1 – 5) determined for
     each job duty in each category.
    The evaluator shall multiply the points assigned to each job duty by the
     numerical rating to obtain the total points for each job duty.
    Place total points across from each duty/expectation.
Step 2.
The total points for each job duty shall be added to obtain total points for each
category.
    Place total points of all job duties at the bottom of each category on pages
     1 and 2 (Performance Planning Section) of the evaluation form.




Personnel Cabinet                        26                                   2/10/11
Steps 3 through 9 will be completed on Page 4 (Performance Evaluation Section)
of the evaluation form. Place the employee’s name and social security number
on the top of page.
Step 3.
Place total performance score for each category in Section III, Subsection A.
    Add total score for all categories and document total performance score in
     Section III, Subsection A.
Step 4.
Check the appropriate box in Section III, Subsection B (Overall Performance
Evaluation) to indicate the overall performance rating determined by the total
performance score.
Step 5. (Subsection C. Comments)
The evaluator shall only provide comments if the employee receives a less than
“Good” overall rating.
    No comments are to be provided in this section of the evaluation form if
     the employee receives an overall rating of “Good” or above. (Any
     comments documented under these conditions must be removed from the
     evaluation form.)
Step 6. (Subsection D. Employee Response)
If the employee agrees with the evaluation, he/she shall check the appropriate
box and may provide comments in this section.
If the employee disagrees but accepts the evaluation, he/she shall check the
appropriate box and shall note in this section the reason(s) for disagreement.
If the employee disagrees with any aspect of the evaluation and request
reconsideration, he/she shall check in the appropriate box and state the
disagreement in this section. The employee has five (5) working days from the
date of the evaluation to request reconsideration. (Additional sheets may be
attached if necessary.)
Step 7.
The employee shall sign and date the evaluation form on page 4 in Section III,
Subsection D. The signature must be in Red ink unless signed electronically.
    The employee’s signature does not indicate agreement with the
     evaluation. However, if the employee fails to indicate their response to the
     annual evaluation and signs the form, it will be assumed that they agreed
     with the overall annual evaluation received.
    The response choices provided allow the employee to note he/she has
     reviewed the evaluation and either “Agrees,” “Disagrees but Accepts” or
     “Disagrees and Request Reconsideration.”




Personnel Cabinet                       27                                  2/10/11
    If the employee refuses to sign, the evaluation will not be eligible for
     reconsideration.
    All signatures must be in RED ink unless signed electronically.
Signatures of both the evaluator and the next line supervisor shall be required on
the final evaluation in Section III, Subsection D of the form.
    After the evaluator and employee have signed and dated the form, the
     next line supervisor shall sign and date the form certifying that he/she is
     aware of the evaluation and has reviewed it to assist in evaluating and
     managing the performance of the evaluator.
    Exception to this requirement may be requested by the appointing
     authority and shall be subject to the approval of the Secretary of
     Personnel.
    All signatures must be in RED ink unless signed electronically.
Note: Once the final evaluation has been signed by both the employee and
the evaluator, the next line supervisor cannot change the rating unless the
employee requests reconsideration of the next line supervisor.
Step 8. (Subsection E. Reconsideration)
If the employee disagrees with any part of the evaluation:
    He/she shall check the appropriate box, in subsection D “Employee
     Response,” to request initial reconsideration by the evaluator within five
     (5) working days from receiving the evaluation.
    After initial reconsideration, the evaluator shall check the appropriate box
     under “Results of Initial Reconsideration” in this section, to indicate “No
     Change on Evaluation” or “Change on Evaluation.” The evaluator must
     respond to the initial reconsideration within five (5) working days from
     receiving the request from the employee.
    If a change is made on the evaluation, the changes shall be whited out
     and initialed and dated by both the evaluator and employee.
    The evaluator and employee shall sign the form in this section indicating
     that initial reconsideration has been completed.
    These signatures must be in RED ink unless signed electronically.
Step 9.
If the employee disagrees with the initial reconsideration:
    He/she may request further reconsideration by the next line supervisor by
     checking the appropriate box in this subsection of the form. The employee
     must request reconsideration from the next line supervisor within five (5)
     working days from receiving the initial reconsideration.
    After further reconsideration, the next line supervisor shall indicate in the
     appropriate box, under “Results of Final Reconsideration” in this


Personnel Cabinet                        28                                  2/10/11
        subsection of the form, “No change on Evaluation” or “Change on
        Evaluation.”
      The next line supervisor shall sign the evaluation form in the designated
       area in this subsection and provide both the evaluator and the employee
       with a written response describing the results of the final reconsideration
       within fifteen (15) workdays after receipt of the employee’s request.
      If a change is made on the evaluation, the changes shall be whited out
       and initialed and dated by both the evaluator and employee.
      These signatures must be in RED ink unless signed electronically.
Step 10. (Subsection F. Results of Reconsideration)
If an employee has received a less than “Good” overall rating and has exhausted
the internal appeal (reconsideration) process, an employee may appeal in writing
to the Personnel Board within sixty (60) days of final reconsideration.
      Employees may request an appeal form from the Personnel Board.
Filing the Performance Evaluation Form
Once the annual performance evaluation is completed:
      The evaluator will provide the employee with a copy of the completed
       evaluation form and appropriate documentation.
      The evaluator will retain a copy of the completed evaluation form and
       documentation.
      The evaluation form will then be submitted to the agency’s central
       personnel office and filed in the employee’s personnel file.
Performance Planning Job Duties/Expectations
The annual performance evaluation of each employee shall be based on his/her
job performance within four (4) performance categories. Performance shall be
measured in the following categories:
        1.     Job Tasks
        2.     Adaptability/Initiative
        3.     Communication/Teamwork
        4.     Self-Management
The evaluator shall develop the performance plan for each category with input
from the employee.


1.      Job Tasks
        (a)    The Job Tasks category shall identify specific duties and
               expectations of that position. The employee’s position description
               (PD) shall be reviewed to help determine job duties.



Personnel Cabinet                        29                                   2/10/11
       (b)    Both job duties and expectations shall be written by the employing
              agency and/or evaluator. Each job duty/expectation under this
              category shall be assigned points as weighted to importance by the
              evaluator. This category shall have a minimum of fifty (50) points
              designated.
       (c)    Supervision shall be listed under the Job Tasks category on all
              supervisors’ performance evaluations and shall include
              expectations for following performance evaluation procedures.
An agency that utilizes employees within the same job classification and are
responsible for similar job duties/expectations within the same district, facility
and/or office may wish to develop a standardized description of both job duties
and expectations for all employees within the class. Position descriptions of all
employees within the same classification should be reviewed to determine if a
standardized job description would be most appropriate. This will assist the
agency in developing job duties and expectations that are reasonable, equitable
and consistent with the mission and goals of the department, division and
section.
Note: Agencies may choose to develop standardized requirements for the
remaining three categories.
2.     Adaptability/Initiative
       (a)    The Adaptability/Initiative category shall identify requirements of the
              employing agency. This category may include, but is not limited to,
              the following: showing initiative, ability to work under pressure,
              willingness to try new ways and suggest better ways to do
              business.
       (b)    Each requirement/expectation under this category shall be written
              and assigned points weighted as to importance by the evaluator. A
              minimum of five (5) points shall be designated to this category.
3.     Communication/Teamwork
       (a)    The Communication/Teamwork category shall identify requirements
              of the employing agency. This category may include, but is not
              limited to, the following: expresses ideas clearly, follows
              instructions or asks for clarification, shows respect and is
              courteous, shows concern for customers, cooperates with co-
              workers, as a team member works well with group and helps get
              the job done.
       (b)    Each requirement/expectation under this category shall be written
              and assigned points weighted as to importance by evaluator. A
              minimum of five (5) points shall be designated to this category.
4.     Self Management
       (a)    The Self Management category shall identify requirements of the
              employing agency. This category relates to workplace standards


Personnel Cabinet                        30                                   2/10/11
               that shall include attendance, punctuality, career development,
               responsibility and dependability.
       (b)     Each requirement/expectation under this category shall be written
               and assigned points weighted as to importance by the evaluator. A
               minimum of five (5) points shall be designated to this category.
SMART Performance Expectations
Specific
Details of the expectations are spelled out so everyone knows exactly what is to
be achieved or accomplished.
Measurable
Indicates how you know if the expectation has been achieved (e.g., quality,
quantity, cost, time, what will be different if achieved, conditions that will exist if
achieved).
Action-Oriented
Expectations begin with a verb/action word that describes what the employee will
do to produce the results.
Realistic
Challenging but achievable, so as to motivate the employee.
Time and Resource Limited
The amount of time and resources are specific or limited (e.g., deadlines, when
something is to be done, cost limits, and size of staff).
Sample Performance Expectations
The following expectations are provided as an example of how some agencies
have chosen to develop performance expectations beyond the three (3) or
“Meets” rating level.
Exceeds Expectations
Adaptability/Initiative:
   Shows initiative: Meets expectations listed for “ADEQUATELY MEETS,” plus employee
       is willing to initiate positive change to improve the development of workflow.
   Works under pressure: Meets expectations listed for “ADEQUATELY MEETS,” plus
      employee can handle numerous projects concurrently with minimal supervision.
Communication/Teamwork:
   Employee Conduct: Meets expectations listed for “ADEQUATELY MEETS,” plus
     exceeds deadlines established by supervisor.
   Communications: Meets expectations listed for “ADEQUATELY MEETS,” plus
      establishes priorities consistent with agency goals and work objectives.
Self Management:
    Attendance: Meets expectations listed for “ADEQUATELY MEETS,” plus is flexible to
        accommodate agency requirements.
   Punctuality: Meets expectations listed for “ADEQUATELY MEETS,” plus no more than
      four tardies in the evaluation period.




Personnel Cabinet                           31                                       2/10/11
    Dependability/Responsibility: Meets expectations listed for “ADEQUATELY MEETS,”
       plus seeks, accepts additional assignments.
    Career Development: Meets expectations listed for “ADEQUATELY MEETS,” plus shows
       initiative to learn other tasks within division.
Greatly Exceeds Expectations
Adaptability/Initiative:
   Shows initiative: Meets expectations listed for “EXCEEDS,” plus exhibits a high level of
       independent initiative and frequently originates ideas.
    Works under pressure: Meets expectations listed for “EXCEEDS,” plus employee can
       handle numerous complex projects at a time consistently producing excellent work
       results.
Communication/Teamwork:
   Employee Conduct: Meets expectations listed for “EXCEEDS,” plus exemplifies agency
     ideal for employee conduct.
    Communications: Meets expectations listed for “EXCEEDS,” plus exemplifies agency
       ideal for coordinating work efforts.
Self Management:
    Attendance: Meets expectations listed for “EXCEEDS,” plus coordinates attendance with
        other employees in exemplary manner.
    Punctuality: Meets expectations listed for “ADEQUATELY MEETS,” plus no more than
       two tardies in the evaluating period.
    Dependability/Responsibility: Meets expectations listed for “EXCEEDS,” plus routinely
       exceeds deadlines and seeks higher level of responsibilities.
    Career Development: Meets expectations listed for “EXCEEDS,” plus is proficient in all
       aspects of position.

Sample Performance Expectations (Attendance and Punctuality)
The following expectations are provided as an example of how some agencies
have chosen to develop standardized performance expectations beyond the
three (3) or “Meets” rating level in the areas of Attendance and Punctuality.
Attendance
Fails to meet expectations:
Does not comply with leave regulations and agency policies. A pattern of non-compliance with
regulations and agency policies has been established. Absences may include leave without pay.
Barely meets expectations:
Significant improvement needed in the area of leave time usage and/or obtaining approval for
leave. Occasional episodes of leave without pay or unauthorized leave are cited.
Adequately meets expectations:
Complies with regulations and agency policies. Prior approvals are obtained.
Exceeds Expectations:
Meets expectations for “ADEQUATELY MEETS” and is flexible to accommodate agency/
customer needs.
Greatly Exceeds Expectations:
Meets expectations for “EXCEEDS” and coordinates time off with other employees in an
exemplary manner.




Personnel Cabinet                              32                                        2/10/11
Punctuality
Fails to meet expectations:
Arrives late, leaves early or extends lunch/break periods without authorization or notification. A
pattern of non-compliance with regulations and agency policies has been established.
Barely meets expectations:
Significant improvement needed in the areas of arrival, departure and/or break periods. Arrives
late, leaves early or extends lunch/break periods without authorization or notification on an
occasional basis.
Adequately meets expectations:
Complies with regulations and agency policies. Adheres to agreed upon work hours, breaks and
lunch periods.
Exceeds Expectations:
Meets expectations for “ADEQUATELY MEETS” and displays flexibility with work hours, breaks
and lunch periods in order to accommodate agency/customer needs.
Greatly Exceeds Expectations:
Meets expectations for “EXCEEDS” and responds to agency/customer needs prior to established
deadlines.

Position Description - Worksheet
NOTE: This is NOT an official Personnel Cabinet Position Description form. It is ONLY a media
to provide the position description information to the agency contact with access to the official
Personnel Cabinet’s Position Description form in CICS.

   Cabinet        Department         Division        Branch          Section           Unit            Employee
 ____52____      ____770____       ____19____      ____00____      ____00____       ____00____       ____008____

 1.             Nature of the request:  Establishment  Reclassification  Reallocation  Other
                _____________
 2.              Full-time  Part-time  Interim
 3.             Current Title Code and Title ___9613 Administrative Specialist III_
 4.             Proposed Title Code and Title
                ________________________________________________________________
 5.             If filled, name of incumbent _____N/A_________________________
 6.             Statement of Duties: Briefly state the main function of the job. Do not write more than two
                statements.
                 Under direct supervision, learns to manage agency software, hardware, equipment
                 upgrade and installation and definition of user profiles
 7.             List up to seven (7) primary tasks and duties performed by the position. Begin with the most
                important duty. Be specific as to the duties and responsibilities of the position.
                                                                             Average % of Time

 a.             Supervising two employees                                       _____55.____%
 b.             Inventory control                                               ____20._____%
 c.             Scheduling maintenance                                          ____10._____%
 d.             Ordering supplies                                               ____10._____%
 e.             Drafting letters                                                _____5._____%
                                                                                __ 100._____%




Personnel Cabinet                                33                                          2/10/11
KENTUCKY STATE GOVERNMENT                                                                                                                            01/01/10
PERSONNEL CABINET
                            ANNUAL EMPLOYEE PERFORMANCE EVALUATION
NAME: Jayne Dawson                                            SOCIAL SECURITY #:     000-10-0000
CLASSIFICATION: Administrative Control Specialist                      TITLE CODE: 9613
CABINET/DEPARTMENT/DIVISION:     Tourism/Parks/Purchasing
BRANCH/SECTION/UNIT: Liberty State Park/Administrative Control/Property
POSITION NUMBER: 52-770-19-00-00-00-001            REVIEW PERIOD:    FROM     01-01-        TO 12-31-
EVALUATOR: Susan Sharp                            NEXT LINE SUPERVISOR: Ricky Brown
                                             st                                                        nd
INTERIM MEETING SCHEDULE: 1 Interim Meeting                             04-20-                        2     Interim Meeting         08-15-
MISSION STATEMENT (optional):                     To provide the leadership and services needed for effective, efficient, and innovative human resources
                                                  management of the highest quality for KY State Government, employees, and citizens of the
                                                  Commonwealth.
                                                           I. PERFORMANCE PLANNING
INSTRUCTIONS: List job duties under each category and identify the expectations for a “Good” job. Distribute 100 points between the four
(4) categories. AT END OF YEAR, rate each duty, multiply by points assigned, place sum in last column, and total each category. Record
these category totals in Section III A, on the back page of the evaluation form. FORMULA: Points x Rating = Total. EXAMPLE: 10 points x
3 = 30.
                                                                                                           5) Greatly exceeds expectations.
                                                                                                              (4) Exceeds expectations.           Performance
                                                                                              (3) Adequately meets expectations.                   Appraisal
                                                                                              (2) Barely meets expectations.                         Levels
                                                                                         (1) Fails to meet expectations.
                     DUTIES
Job Tasks (Minimum 50 points)                              PTS   EXPECTATIONS                                              1   2    3   4     5      TOTAL
Please refer to the Position Description (PD) to
help determine the job tasks to be rated.
Orders and approves and /or denies supplies                30    Contacts managers to discuss and document the                      X                  90
required and requested for the division within                   required and requested supplies for each branch.
budget                                                           Supply order is created and placed to the
                                                                 appropriate vendor(s) by close of business(COB)
                                                                 on the 15th of each month.

Requests and schedules maintenance on required             10    Schedules maintenance checks required office                       X                  30
office equipment.                                                equipment to include: color copier, fax and front
                                                                 desk phones as recommended by equipment
                                                                 manual. Responds by COB within two (2) days to
                                                                 requests concerning maintenance problems.

Maintains   inventory   documentation   of        office   10    Conducts, documents and maintains annual                                     X        50
supplies.                                                        inventory count of required office supplies by COB
                                                                 December 15th. Contacts supervisor for office
                                                                 supply.


Drafts communications concerning ordering of                5    Creates email communications, letters etc. to                      X                  15
supplies and inventory as requested.                             vendors,   branch      managers     and  director
                                                                 concerning ordering of supplies and inventory by
                                                                 COB within three (3) days of request.

Acts as supervisor for two (2) employees.                   3    Develops training and continuously works to train                      X              12
                                                                 current and new employees.        Develops and
                                                                 establishes schedules in accordance with
                                                                 demands and procedures.        Approves and/or
                                                                 denies leave time requested and comp-time
                                                                 earned.

Performs duties relative to the Branch needs as             3    Completes requested duties within agreed upon
recognized and requested.                                        timeframes.                                                            X              12




Evaluator Must Be Evaluated On The Following:              10    Demonstrates fair and equitable treatment of all                       X              40
Proper and timely completion of all meetings                     employees within the performance evaluation process by
required in the evaluation process; fair and                     ensuring compliance with affirmative action/EEO goals &
                                                                 other state, federal & agency policies & procedures.
equitable treatment of all employees as relates to               Completes all required performance evaluation system
the evaluation of performance.                                   meetings and documentation as outlined in 101 KAR
                                                                 2:180.
                                                                                                                           Category Total              249
Personnel Cabinet                                          34                                                  2/10/11
NAME:         Jayne Dawson                                                                        SOCIAL SECURITY #:                        000-10-0000

                                                                                                                 5) Greatly exceeds expectations.
                                                                                                                    (4) Exceeds expectations.                       Performance
                                                                                                    (3) Adequately meets expectations.                               Appraisal
                                                                                                    (2) Barely meets expectations.                                     Levels
                                                                                               (1) Fails to meet expectations.
                          DUTIES
                                                                 PTS   EXPECTATIONS                                                     1     2         3   4   5      TOTAL
Adaptability/Initiative (Minimum 5 points)

Demonstrates workplace initiative                                 3    Recognizes, develops and recommends ideas for                                            X        15
                                                                       change to currently used processes in the
                                                                       organization.
                                                                       Demonstrates the ability to perform work tasks
                                                                       independently and seeks advice in unfamiliar
                                                                       situations.

Manages job related demands                                       3    Produces work that meets the expectation of the
                                                                       task assigned while managing unexpected                                                  X        15
                                                                       influences or changes in priorities as determined
                                                                       by the evaluator/cabinet/department/agency.
                                                                                                                                        Category Total                   30
Communication/Teamwork (Minimum 5 points)                                                                                               1     2         3   4   5      TOTAL
Workplace Behavior                                                8    Employee behavior is ethical, courteous,                                         X                24
                                                                       respectful and empathetic at all times to clients,
                                                                       coworkers/staff/other team members, evaluator
                                                                       and organizational leadership. Uses employee
                                                                       provided job resources for work related projects
                                                                       only.

Workplace Communication                                           3    Provides specialized guidance to employees,                                          X            12
                                                                       vendors, branch managers, etc. Meets at least
                                                                       twice a month with staff to discuss work
                                                                       assignments.     Keeps manager informed of
                                                                       progress or any concerns or issues.
                                                                                                                                        Category Total                   36
Self Management (Minimum 5 points)                                                                                                      1     2         3   4   5      TOTAL
                                                                  6    Leave time (sick, annual and comp-time) must be                                      X            24
   Attendance                                                          used in a manner that balances employee and
                                                                       organizational needs. Non-emergency leave must
                                                                       be approved in advance.

                                                                  2    Employee     arrives    to   and   leaves    the
   Punctuality                                                         workplace/station at the documented agreed upon                                          X        10
                                                                       times. Employee complies with the documented
                                                                       agreed upon time frames allowed for breaks and
                                                                       lunch.
   Dependability/Responsibility                                                                                                                                 X        10
                                                                  2    Employee complies with state and agency policies
                                                                       and procedures including those regarding safety,
                                                                       confidentiality, harassment, workplace violence
                                                                       and computer/internet use.
Career Development
     (Training requirements must be determined                    2    Completes three (3) hours of job related training as                         X                     6
      by the agency and/or evaluator.)                                 approved by the supervisor.


                                                                                                                                        Category Total                   50

PERFORMANCE PLANNING SIGNATURES. This is to acknowledge that in planning for my annual performance evaluation, my evaluator
and I have discussed my critical duties and expectations for this review period. Although I have had an opportunity to present other duties and
expectations, I understand that the final decision in this matter will be determined by my evaluator.

   (Signature Must Be In Red Ink Unless Electronically Signed)                            (Signature Must Be In Red Ink Unless Electronically Signed)
                EMPLOYEE SIGNATURE                                     DATE                           EVALUATOR SIGNATURE                                            DATE

 I have reviewed the duties and expectations of this employee and find them to be reasonable and equitable considering duties of other employees in the same
                                classification, and consistent with the mission and goals of the department, division and section.


                                                                                          (Signature Must Be In Red Ink Unless Electronically Signed)
                                                                                              NEXT LINE SUPERVISOR SIGNATURE                                         DATE

Personnel Cabinet                                                35                                                       2/10/11
NAME:         Jayne Dawson                                                                      SOCIAL SECURITY #:                      000-10-0000

                                                           II. INTERIM MEETING DOCUMENTATION
INSTRUCTIONS: All categories of performance should be reviewed and discussed, whether good or below expectations, and pertinent
comments by evaluator should be documented in the area below. (Employee comments may be attached.) A performance improvement plan
may be developed for categories which are below expectations.
_________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________
 st                                                                          st
1 Interim Meeting                                            Review Period: 1 four (4) months
Job Tasks:            Processed supply orders by the 15th of each month including letters to vendors.
                      Discussed with employee my concern in not contacting the vendor when the copier broke down. Because of this, staff had to use the copier
                      in another branch for over two weeks.
                      Completed inventory check on office equipment by April 1.
                      Developed listing of job duties/expectations and met with employee by the 15th of January.
                      Met with each employee to conduct First Interim Reviews on April 15t.
Adaptability/Initiative:
                       Has started developing a new system of logging all new and surpluses in inventory.
Communication/Teamwork:
                 Employee has demonstrated respectful and appropriate behavior with co-workers and vendors. Received letter from vendor praising the
                 great job done by employee of answering concerns of vendor.
                 Discussed with employee communication breakdown with copying machine vendor to the Branch Manager.
Self Management:
   Attendance:   Employee has given 24 hour notice of requested leave. On days when the employee cannot give prior notice, the
                 employee calls within 30 minutes of scheduled work arrival. Recently during the absence of another employee, she offered to flex her
                 schedule temporarily to meet the needs of the office.
   Punctuality:        Employee has reported to the workstation by the required scheduled work time. There have been no instances of tardiness.
   Dependability/Responsibility:
                   Employee is taking Microsoft training in order to prepare for the integration of the new payroll system within this division.
                   Reviewed all safety and confidentiality issues with employees at both Performance Plan and 1st Interim Review meetings. Employee
                   reminded staff of the computer internet agreement
   Career Development:
                  Has Has requested to attend additional training at the office of Governmental Services Center.

I have met with my evaluator to discuss my job performance to date.


   (Signature Must Be In Red Ink Unless Electronically Signed)                          (Signature Must Be In Red Ink Unless Electronically Signed)
          EMPLOYEE SIGNATURE                  DATE                   EVALUATOR SIGNATURE                 DATE
_________________________________________________________________________________________________________________
_________________________________________________________________________________________________________________
 nd                                                               nd
2 Interim Meeting                                 Review Period: 2 four (4) months
Job Tasks:            Processed supply orders by the 15th of each month including letters to vendors. Employee has maintained inventory log with
                      no reported corrections needed. Keeps accurate records of all new and surplused property.
                      Met with employees on August 20 to conduct Second Interim Review. Discussed with each employee performance of job
                      duties/expectations. Upon review of Interim Review documentation verified the employee gave sufficient written documentation of staffs
                      work progress, strengths and areas of concern. Employee even recommended additional training for a staff employee who was having
                      difficulty in understanding the new payroll system.
Adaptability/Initiative:
                       Worked an average of 100 additional hours over the required scheduled workshift to assist with the development of the new payroll system
                       for the division. At the same time, she has continued to meet expectations in performing her other job duties.
Communication/Teamwork:
                 Employee has continued to demonstrate respectful and appropriate behavior with co-workers and vendors.
                 Met with copying machine vendor and has established a more effective form of communicating maintenance problems. After calling
                 the vendor to request maintenance/repair of equipment, she will follow through with a written request via e-mail.
Self-Management:
   Attendance:   Employee continues to give a 24 hour notice of requested leave. On days when the employee cannot give prior notice, the
                 employee calls in within 30 minutes of scheduled work arrival.
   Punctuality:        Employee continues to report to work by the required scheduled time without an instance of tardiness.
   Dependability/Responsibility:
                   Because of this employee, we are performing ahead of schedule in regards to initiating the new payroll system. She has accepted greater
                   responsibilities and takes responsibility for the decisions she makes.
   Career Development:
                  Employee received three (20) hours of Microsoft training

I have met with my evaluator to discuss my job performance to date.


   (Signature Must Be In Red Ink Unless Electronically Signed)                          (Signature Must Be In Red Ink Unless Electronically Signed)
              EMPLOYEE SIGNATURE                                      DATE                        EVALUATOR SIGNATURE                                 DATE

Personnel Cabinet                                                36                                                     2/10/11
NAME:           Jayne Dawson                                                                       SOCIAL SECURITY #:                      000-10-0000

                                                                   III. PERFORMANCE EVALUATION
A.      CATEGORIES                                                     SCORE             B.     OVERALL PERFORMANCE EVALUATION.
               Job Tasks                                               249                             This employee’s work:
               Adaptability/Initiative                                 30                                  Outstanding (450 and above)
               Communication/Teamwork                                  36                                  Highly Effective (350 to 449)
               Self Management                                         50                                  Good (250 to 349)
                                                             TOTAL     365                                 Needs Improvement (150 to 249)
                                                                                                           Unacceptable (149 or less)

C.      COMMENTS. Evaluator is required to provide comments only if the employee received one of the two lowest ratings. Attach
        additional sheets as needed. No comments are to be provided if the employee received an overall rating of Good or above.

        _____________________________________________________________________________________________________________

        _____________________________________________________________________________________________________________

D.      EMPLOYEE RESPONSE.                                 Agree with performance evaluation.
                                                           Disagree with performance evaluation, but accept.
                                                           Disagree with performance evaluation and request reconsideration. Within 5 work days from date
                                                           signed below, the Initial Reconsideration shall be conducted by the evaluator.

        Employee’s Comments (Attach Additional Sheets As Needed):________________________________________________________

        _____________________________________________________________________________________________________________

        *************************************************************************************************************************


     (Signature Must Be In Red Ink Unless Electronically Signed)                           (Signature Must Be In Red Ink Unless Electronically Signed)
                EMPLOYEE SIGNATURE                                        DATE                       EVALUATOR SIGNATURE                                 DATE

        NOTE: Employee signature required to request reconsideration.

                       *************************************************************************************************************************
        I am aware of this evaluation and have reviewed it to assist me in evaluating and/or managing the performance of the evaluator.


                                                                                           (Signature Must Be In Red Ink Unless Electronically Signed)

                                                                                NEXT LINE SUPERVISOR SIGNATURE                     DATE
        _____________________________________________________________________________________________________________
E.      RECONSIDERATION. Initial reconsideration will be conducted within five (5) workdays from date signed above. Employee has five (5)
        workdays to make written request for further reconsideration from date Results of Initial Reconsideration is signed below.

        RESULTS OF INITIAL RECONSIDERATION.

                         No Change on Evaluation                                                 Disagree with Results of Initial Reconsideration
                         Change on Evaluation                                                    and request Reconsideration by Next Line Supervisor


     (Signature Must Be In Red Ink Unless Electronically Signed)                           (Signature Must Be In Red Ink Unless Electronically Signed)
               EVALUATOR SIGNATURE                                        DATE                        EMPLOYEE SIGNATURE                                 DATE

RESULTS OF FINAL RECONSIDERATION. Next Line Supervisor will provide a written response describing the results of the Final
Reconsideration within fifteen (15) workdays after receipt of employee request.

                                             No Change on Evaluation                                     Change on Evaluation


                                                                                           (Signature Must Be In Red Ink Unless Electronically Signed)
                                                                              NEXT LINE SUPERVISOR SIGNATURE                      DATE
        _____________________________________________________________________________________________________________
F.      RESULTS OF RECONSIDERATION. The results of Reconsideration are final and may not be appealed to the Personnel Board unless
        the employee receives one of the two lowest overall ratings and makes written appeal within sixty (60) days of Final Reconsideration.
        The written reconsideration decision must be attached to this Annual Employee Performance Evaluation Form and will become a part of
        the employee’s personnel file.



Personnel Cabinet                                                    37                                                    2/10/11
Reconsideration Process/Personnel Board Appeal
Employees may appeal any aspect of their evaluation through the internal
reconsideration process. Employees may appeal overall ratings of “Needs
Improvement” and/or “Unacceptable” to the Personnel Board. An employee must follow
all the steps in the internal reconsideration process outlined in this section before
appealing an evaluation to the Personnel Board. You may wish to refer to the flow chart
on the next page.
Within five (5) working days of a performance evaluation, an employee may request
initial reconsideration of the performance evaluation by the evaluator. The evaluator
shall respond in writing to the request for reconsideration within five (5) working days of
receiving the request. If the employee refuses to sign the form in the Employee
Response Section, the evaluation will not be eligible for reconsideration.
       NOTE: If an employee refuses to sign the evaluation, the evaluator
            must indicate in the Employee Response Section that the
            employee refused to sign. The evaluator shall initial and
            date this section.
Within five (5) working days after the initial reconsideration by the evaluator, an
employee may submit a written request for further reconsideration of the evaluation to
the next line supervisor. In the event that neither the evaluator nor the next line
supervisor responds to the request for reconsideration in the designated time period,
the employee may submit a written request to the appointing authority for compliance
with this regulation.
The next line supervisor shall either obtain statements from both the employee and the
evaluator or meet individually with the employee and the evaluator. The next line
supervisor shall inform both the employee and the evaluator in writing of the decision no
later than fifteen (15) working days after receipt of the employee’s request.
Within sixty (60) days after an employee has received the written decision from the next
line supervisor, the employee may appeal to the Personnel Board. The employee may
appeal to the Personnel Board only a final evaluation which has an overall rating in
either of the two (2) lowest overall ratings and only after all steps in the internal appeal
(reconsideration) process have been exhausted.
If an employee receives an overall rating of unacceptable, the agency shall:
       1)     Demote the employee to a position commensurate with his/her skills and
              abilities, or
       2)     Terminate the employee.




Personnel Cabinet                        38                                    2/10/11
Employee Evaluation Reconsideration Process


Level                         Action                 Time Frame For Request /        Required Means Of
                                                     Response                        Request / Response


Employee            Requests initial                 Within five (5) working days    Employee checks box
                    reconsideration of rating        of initial evaluation.          “Disagree with evaluation,
                    from Evaluator.                                                  request reconsideration.”
                                                                                      (Section III, Subsection D)

Evaluator           Responds to initial              Within five (5) working days    Evaluator agrees/disagrees,
                    reconsideration request.         of receipt of employee’s        in writing, with requested
                                                     request.                        changes on evaluation.
                                                                                     Evaluator checks
                                                                                     appropriate box. (Section
                                                                                     III, Subsection E).

If initial request for reconsideration is unresolved, process is as follows:


Employee            Requests reconsideration         Within five (5) working days    Employee checks box
                    of rating from Next Line         of initial reconsideration of   “Disagree with results of
                    Supervisor (Reviewer).           rating by Evaluator.            initial reconsideration and
                                                                                     request reconsideration by
                                                                                     Next Line Supervisor.”
                                                                                     (Section III, Subsection E)

Next Line           Next Line Supervisor             Within fifteen (15) days of     Formal written response by
Supervisor/         responds to both                 request by Employee.            Next Line Supervisor to
Reviewer            Employee and Evaluator.                                          both parties. The
                                                                                     Supervisor checks
                                                                                     appropriate box. (Section
                                                                                     III, Subsection E)


Reconsideration process ends with the next line supervisor.
If the employee has exhausted all steps in the internal appeal (reconsideration) process and has an
overall rating in either of the two (2) lowest overall ratings, the process is as follows:


Employee               Appeals to Personnel          Employee must file within       Use of Personnel Board
                              Board                  sixty (60) calendar days        Appeal Form.
                                                     after reconsideration by
                                                     Next Line Supervisor.




Personnel Cabinet                               39                                      2/10/11
Reconsideration Process Employee Example
Joe receives his annual evaluation from his first line supervisor. He disagrees with the
overall rating and wants to appeal the evaluation. In this case Joe must check the
appropriate box on the evaluation within five (5) days of the original evaluation.
---    The first line supervisor must meet with Joe within five (5) days of Joe’s request
       to discuss Joe’s concerns about his evaluation in hopes of reaching a mutual
       agreement.
---    If the first line supervisor and Joe reach an agreement during this meeting, the
       reconsideration ends and if necessary the evaluation is changed.
---    If no agreement is reached with the first line supervisor, Joe has five (5) days
       from the day of the reconsideration meeting with the first line supervisor to:
       1) Submit a written response which shall be attached to the evaluation; and/or
       2) Submit a written request for reconsideration to the next line supervisor.
---    The next line supervisor, upon receipt of the employee’s request for
       reconsideration, has no more than fifteen (15) working days to inform the
       employee and supervisor in writing of his/her decision.
---    When making a decision on the employee’s request for reconsideration, the next
       line supervisor must do the following:
       1) Obtain written statements from both employee and the first line supervisor;
          and/or
       2) Meet with the employee and the first line supervisor.
---    Within sixty (60) days after Joe receives the written decision from the next line
       supervisor, he may appeal to the Personnel Board his evaluation if he receives
       one of the two lowest possible ratings.




Personnel Cabinet                        40                                   2/10/11
Section 4 Tips and Tools for the Evaluator

Questions Most Employees Want Answered In Their Performance
Evaluation
      How am I doing?
      What can I do to improve?
      Do I have a chance to advance?
      What will be expected of me before the next review?
      How will my work be evaluated during that time?
      What kind of help or attention can I expect from the supervisor?
      What changes are likely in our department or organization in the months ahead,
       and how will they affect me?


How to Conduct a Performance Evaluation Session
The Role of the Evaluator
The annual performance evaluation session should represent management’s interest in
the employee. It must be tailored to each individual employee and held in a private
place. What you say and how you act must be determined by you, the evaluator.
Regardless of how you conduct the evaluation there are always things you want to say
to the employee and things you want the employee to tell you. The information you want
to share with the employee about their job performance must be well thought out in
advance. Therefore, it is important prior to the evaluation to refresh your memory of the
employee’s performance throughout the year by reviewing the interim meeting
documentation and other information relevant to the employee’s work. At the same time,
it is important that you hear what the employee thinks and feels. To do this, the
evaluation session must become a two-way exchange of information between you and
the employee. Such an exchange will require that you lead the employee to become
involved in the evaluation session. Following are some helpful tips to keep in mind each
time you conduct the annual evaluation.
 Be Yourself
Act as you ordinarily do. The employee may resent your acting differently for this
session. Use a style that is most like you.
 Be Relaxed
Assume a relaxed position; don’t sit on the edge of your chair. Make the employee
comfortable by being comfortable yourself.
 Speak Plainly and Simply
Don’t talk down to the employee. Don’t use language that is over the employee’s head.
Always try to speak in a way that makes the employee comfortable.



Personnel Cabinet                       41                                  2/10/11
 Be Open and Honest
Don’t be shy about what you want to tell the employee. Determine ahead of time what
you want to say, and say it. Most employees are more likely to speak openly and
honestly if you do.
   Take the Time You Need
Don’t rush the interview session or act like you are bored or impatient. Such behavior
may prompt the employee to not participate or bring the session to a quick close.
 Control Your Feelings
The evaluation interview session should never become an argument but should serve
as an exchange of ideas and information. If the interview session is to serve as a
positive communication experience, you cannot allow it to turn into an argument. When
an employee becomes angry or upset and verbally lashes out, you must not do the
same thing. A positive session will help to create mutual understanding and trust.


The ABC’s of Conducting Effective Performance Evaluations
       Avoid common errors.
       Be open and honest.
       Be relaxed.
       Be yourself.
       Control your feelings.
       Differentiate between effort and performance.
       Distinguish employees one from another.
       Do not wait until the annual performance evaluation to discuss performance
        problems.
       Provide due process and develop an action plan.
       Review employee’s complete work record.
       Review areas of performance.
       Seek input from others who utilize the employee’s services.
       Speak plainly and simply.
       Take the time you need.




Personnel Cabinet                       42                                  2/10/11
Effective Counseling Tips
Following are tips to help an evaluator prepare for and conduct effective employee
counseling sessions:
    Before counseling, make sure you can state clearly what constitutes acceptable
     performance.
    Whenever possible, conduct the counseling session in a private place.
    Arrange adequate time for your comments as well as comments from the
     employee.
    Clearly state performance expectations and seek confirmation that the employee
     understands those expectations.
    Focus on good performance FIRST.
    Next, focus on the poor performance, not on personalities or other distractions.
    Always maintain a constructive tone, along with a calm and professional
     demeanor.
    Seek cooperation not confrontation, by focusing on how the employee’s
     performance fits into the performance of the total organization.
    Remember that your goal is to improve the employee’s performance – not to win
     an argument with the employee.
    Try to end the session on a positive note by emphasizing that your mutual goal is
     improving the employee’s performance.


Tips to Effective Planning, Coaching and Evaluating
Planning (The Performance Plan)
DO
    Base duties and expectations on the employee’s Position Description.

      Make expectations SMART (Specific, Measurable, Action-Oriented, Realistic and
       Time- and Resource – Limited) so as to ease the coaching process and the
       process of evaluating the employee at the end of the year.
      For each duty, explain the level of achievement needed for a “Good” rating.
      Explain what tools you are going to use to document and measure performance.
      Explain how the employee can monitor his/her own performance,
      Treat employees fairly (e.g., similar performance thresholds for all employees in
       your agency within the same job class).
      Discuss how coaching and the interim reviews will work.
      Conduct the meeting in a comfortable environment.
      Make sure you allow adequate time.



Personnel Cabinet                       43                                  2/10/11
      Discuss how the employee’s duties and expectations relate to the success of the
       organization.
      Establish a relationship of trust and teamwork.
DON’T
   Allow interruptions.

      Set the expectations without employee input.
      Create expectations that are unrealistic.
      Have vastly different performance thresholds for employees in the same grade
       doing the same work.
      Leave the employee with only a vague idea of their duties and expectations and
       how their performance will be objectively measured.
      Make light of the employee or the performance management process. You will
       lose credibility.


Coaching (Interim Reviews)
DO
    Use coaching as a continuous, never-ending process.

      Use immediate feedback to recognize performance, whether good or bad.
      Base comments on objective observations and documentation, not subjective
       judgments and intuitive feelings.
      Ask open-ended questions like “what problems are you running into,” or “what
       barriers are you finding that I can help you with?”
      Use coaching for everyone, including your worst performers and your best.
      Listen carefully to the employee, including what you hear “between the lines.”
      When giving feedback to the employee, be specific in describing your
       observations.
      Maintain a positive relationship.
      Ask what you can do to better meet their needs.
      Show the employee the documentation you have upon which you are basing
       your observations.
      Revise expectations, if necessary.
DON’T
   Offer comments that are general or objective.

      Attack the employee by belittling him/her.
      Expect outstanding performance if your expectations aren’t clear.
      Avoid employees you don’t want to deal with.



Personnel Cabinet                          44                               2/10/11
      Intimidate or overwhelm the employee.


Evaluation (Annual Performance Evaluation)
DO
    Prepare for the meeting by reviewing documentation, job duties, etc.

      Evaluate the past, but also turn your attention to expectations for the future.
      Discuss development needs and future training or coaching that may be needed.
      Assign ratings based on objective criteria and documentation.
      Watch out for common rating errors (see pages 53-54).
      Stay positive about the employee, but don’t ignore substandard performance.
      Ask what the employee would like to see from you in the future that might be
       different than the past.
      Keep your objectivity.
      Show the employee your documentation to support your ratings.
      Talk WITH the employee, not AT him/her.
DON’T
   Use the evaluation meeting to reprimand or discipline an employee.

      Supervise the employee. By evaluation, the employee should already know how
       he/she is doing.
      Be more lenient or harder on one employee than on another.
      Feel that you are responsible for an employee’s ratings.
      Rush the meeting.
      Allow the meeting to be interrupted.




Personnel Cabinet                        45                                   2/10/11
Employee Performance Input Form
This is to confirm our meeting on _________________ to discuss your performance
and to create/review a plan for developing your skills within the organization.
Your input is essential to the success of our meeting and I value your ideas. Please
respond to the following questions in as much detail as possible. I will use this
information as I prepare for our scheduled meeting.
Please return this to me by _______________ so that I can incorporate your
perspectives into the required documentation.


What questions do you have about your duties and expectations?



What do you consider to be your most important accomplishments since our last
discussion of performance?



What were your greatest challenges since our last discussion of performance?



What challenges do you see in meeting your expectations during this rating period?



What can the organization or I do to help you improve your overall performance?



Please tell me about anything else that I need to consider in preparing for our meeting
to discuss your performance.



Attach or forward copies of any feedback from individuals you have assisted or to whom
you have provided services.




Personnel Cabinet                       46                                  2/10/11
Performance Appraisal Checklist for Supervisors
The following checklist is designed to guide the supervisor in preparing, conducting and
following through on employee performance evaluation discussions.
Personal Preparation
_____ I have reviewed the mutually understood performance plan with respect to job duties,
      assigned points, projects, goals, specific expectations, and any other pre-determined
      performance factors pertinent to this evaluation discussion.
_____ I have observed job performance measured against mutually understood expectations.
      In so doing, I have done my best to avoid such pitfalls as:
       _____ Bias/prejudice
       _____ The vagaries of memory
       _____ Over- attention to some aspects of the job at the expense of others
       _____ Being overly influenced by my own experience
       _____ Trait evaluation rather than performance management
       _____ I have reviewed the employee’s background including:
       _____ Skills
       _____ Work experience
       _____ Training
_____ I have determined the employee’s performance strengths and areas in need of
      improvement and in so doing have:
       _____ Accumulated specific, unbiased documentation that can be used to help
             communicate my position
       _____ Limited myself to those critical points that are the most important
       _____ Prepared a performance improvement plan which spells out specifically what the
             employee intends to do, the time table and the support I am prepared to give.
_____ I have identified areas for concentration in setting goals and expectations for the next
      performance period.
_____ I have given the employee advance notice of when the discussion will be held so that
      he/she can prepare.
_____ I have set aside an adequate block of uninterrupted time to permit a full and complete
      discussion.
Conducting the Evaluation Discussion
_____ I plan to begin the discussion by creating a sincere, but open and friendly atmosphere.
      This includes:
       _____ Reviewing the purpose of the discussion
       _____ Making it clear that it is a joint discussion for the purpose of reviewing
             performance to date, mutual problem-solving and goal setting
       _____ A plan for putting the employee at ease



Personnel Cabinet                           47                                      2/10/11
_____ In the body of the discussion I intend to keep our focus on job performance and related
      factors. This includes:
       _____ Talking job requirements – employee strengths, accomplishments, improvement
             needs – and evaluating results of performance against expectations set during
             planning meeting, interim reviews, and other discussions
       _____ Being prepared to cite observations I have made for each point I want to discuss
       _____ Encouraging the employee to evaluate his/her own performance
       _____ Using open, reflective and directive questions to promote thought, understanding
             and problem solving
_____ I will encourage the employee to outline his/her personal plans for self development
      before suggesting any ideas of my own. In the process, I will:
       _____ Try to get the employee to set personal growth and improvement targets for
             him/herself
       _____ Strive to reach agreement on performance improvement plans which spell out
             specifically what the employee intends to do, the time table and the support I am
             prepared to give
_____ I am fully prepared to discuss work assignments, projects and goals for the next
      appraisal period and have asked the employee to come prepared with his/her
      suggestions.
Closing the Discussions
_____ I will be prepared to make some notes during the discussion for the purpose of
      summarizing agreements and follow- up. In closing, I will:
       _____ Summarize what has been discussed
       _____ Show enthusiasm for the joint plans that have been made
       _____ Give the employee an opportunity to make additional suggestions
       _____ End on a positive, friendly, harmonious note
Post Appraisal Follow-Up
_____ As soon as the discussion is over, I will make a record of the plans made, points
      requiring follow-up, and the commitments I made with a copy for the employee.
_____ I will also evaluate how I handled the discussion. This evaluation will include:
       _____ What I did well
       _____ What I could have done better
       _____ What I learned about the employee and his/her job
       _____ What I learned about myself and my job




Personnel Cabinet                           48                                     2/10/11
Interim Review Meeting Tips
Interim review meetings are planned times (April and August) when coaching and
feedback between employee and supervisor take place. Employees need to hear from
their supervisor in regards to how they are doing on the job in all four performance
categories. An interim review meeting provides the supervisor an opportunity to
encourage and direct the employee.
Even though the evaluation form does not allow for comments to be made
regarding employee’s work performance for the months of September-December,
pertinent comments may be attached to the evaluation form regarding the
employee’s work performance for this period of time. If comments are attached
they should be signed and dated in RED ink by both employee and evaluator.
       NOTE: Coaching and feedback can occur at any time during the
       performance year.
Interim review meetings are:
      An opportunity for the supervisor and employee to make sure performance is on
       track with the required job duties and expectations.
      A chance to identify performance problems so they can be corrected as soon as
       possible.
      A time for the supervisor to praise the employee verbally or commend him/her in
       writing.
      A good time for the employee to point out accomplishments or problems that
       have been resolved and which otherwise might not have come to the
       supervisor’s attention.
       NOTE: A supervisor who knows about specific accomplishments and
       problems during the year will be better prepared to judge progress and
       evaluate performance at the end of the year. An employee who has
       participated in several coaching sessions should have no surprises at the
       year end evaluation.
Coaching allows for problems to be caught early and also provides the opportunity for
the supervisor to collect information that will be helpful when completing the year end
evaluation. Following are some ways of collecting information:
      Direct Observation - Observing the employee while he/she performs day-to-day
       work activities.
      Written Material - Any form of written material the employee creates, generates,
       or reviews, such as letters, reports or forms that are used as part of the job.
      Notes From Customers - Any notes a supervisor has kept that customers have
       written about the employee.
      Notes From The Employee - The employee should keep their supervisor
       informed of their progress and any problems they may be having on the job.



Personnel Cabinet                       49                                  2/10/11
       These notes may help a supervisor remember a specific situation where job
       performance was excellent or unacceptable.
      Supervisor’s Own Notes - If the supervisor notices an accomplishment or a
       problem, but doesn’t have time for a brief coaching session, the supervisor may
       write a note and put it in a file to refer to later. See Sample Performance Incident
       Log on page 52.
      Team Feedback - It is appropriate to include both team leader and peer feedback
       as one source of information to help a supervisor determine evaluation ratings.
       Of course, it is important that the employee be informed at the planning meeting
       that the supervisor will consider feedback from other team members.
       NOTE: Sometimes a supervisor may underestimate the importance of
       regularly talking to employees about their work. Employees need to know
       what they are doing right and of any areas in which they need to improve.
       They also need to know what they must do to improve their job
       performance.
Following are some things a supervisor might do during an Interim Review Meeting:
      Review the duties and expectations included in the employee’s performance plan
       and make any needed revisions.
      Share information that has been gathered regarding the employee’s
       performance. The gap between actual and expected performance should be
       discussed.
      Ask the employee what the supervisor can arrange in terms of training,
       equipment or assistance to help them improve their performance.
      A schedule for following up on the employee’s progress in the future may be
       decided.
      If the employee seems to be heading towards a rating of Unacceptable, the
       supervisor should develop an improvement plan to clearly identify the problems
       and actions necessary to improve within a certain time frame. See Sample
       Corrective Action Plan on page 51.
      Show support and express confidence in the employee’s ability to improve
       performance.
      Acknowledge improvements and accomplishments. Praise gradual
       improvements.




Personnel Cabinet                        50                                   2/10/11
                            Corrective Action Plan
                                              CONFIDENTIAL

Employee Name:                                            Title:
Supervisor Name:                                          Title:


A. Initial Meeting

1. What is the performance or conduct issue? (If applicable, include date of incident.)


2. What is the expected performance or conduct and why is it important to meet expectations?


3. What actions will the employee take to achieve the required improvement? (Specify target dates for
   completion.)


4. What resources or support, if any, will be provided to assist the employee in making the required
   improvement?


5. What are the consequences to the employee of failure to improve?


6. How will successful improvement be measured and when will the supervisor and employee meet
   again to follow up on progress?


Signatures below indicate this corrective action plan has been reviewed with the employee.
                                              Signature                             Date

        Employee:
       Supervisor:


B. Follow-Up

1. Has the performance issue been resolved?
      Yes                 No

2. Supervisor’s comments:


Signatures below indicate the follow-up discussion has been conducted.
                                              Signature                             Date

        Employee:
       Supervisor:



Used with permission from North Carolina Office of State Personnel.




Personnel Cabinet                              51                                          2/10/11
                    SAMPLE PERFORMANCE INCIDENT LOG
  The following is provided as an example of how to keep record of an employee’s work performance.



PERFORMANCE INCIDENT LOG                                                             (Confidential)

   Log for            ___________________________________________

   Evaluation period ___________________________________________

   Supervisor         ___________________________________________




   Date         Describe Job-Related             Action Taken by                   Comments
                      Incident                Employee or Supervisor




Personnel Cabinet                           52                                       2/10/11
Common Rating Errors and Solutions
The Contrast Error: The tendency for a rater to evaluate an employee relative to other employees
rather than on the extent to which the employee is fulfilling the job duties/expectations.
Solutions:                     Base your performance evaluation on specific, pre-determined job
                               duties and expectations.
                               Do not rate employees in any particular order (i.e. do not rate the
                               best or worst employee first).
                               Rate employees on the extent to which they fulfill the job duties
                               and expectations. Compare scores after, rather than before, an
                               evaluation.
                               Never use a normal or bell-shaped curve performing evaluations.
                               This forces ratings to meet an artificial distribution.
The First-Impression Error: The tendency of a rater to make an initial favorable or unfavorable
judgment about an employee that is not justified by the employee’s subsequent job performance
and/or behavior.
Solutions:                     Reserve all judgments about an employee until the end of the
                               performance evaluation period.
                               Be a note taker rather than an evaluator during the performance
                               period. Ideally, evaluators should record an employee’s behavior
                               that they observed which led to adequate or inadequate
                               performance on job assignments. The evaluator should always
                               inform the employee of inadequate performance and provide
                               suggestions for performance improvement prior to the annual
                               evaluation.
The “Similar-to-Me” Error: A tendency to judge more favorably employees who are similar
rather than dissimilar to the evaluator in attitudes and background even if the latter are not job-
related.
Solutions:                     Establish performance expectations on all job duties at the
                               beginning of the performance period.
                               Make certain that all expectations on which employees are
                               evaluated are job related.
                               Rate employees solely in relation to the job duties, not in terms of
                               how similar they are to one’s self.
The Leniency Error: Being “easy” on favored or problem employees or giving everyone a high
rating, regardless of actual performance, in an attempt to avoid conflict or to make yourself look
good.
Solutions:                     During the performance period, keep documentation on exactly
                               what you observe in the employee’s performance.
                               Compare what you record with the job duties and expectations
                               required.
                               Rate the employee’s performance of the job duties in relation to
                               the performance expectations established for the position.




Personnel Cabinet                            53                                      2/10/11
The Central Tendency Error: “Clumping” or clustering all employees in the middle
performance rating in an attempt to avoid extremes. Usually caused by a desire to not call
attention to yourself or by a misapplied sense of “democracy.”
Solutions:                    During the performance period, keep documentation on exactly
                              what you observe of the employee’s performance.
                              Compare what you record with the job duties and expectations
                              required.
                              Rate the employee’s performance of the job duties in relation to
                              the performance expectations established for the position. Be
                              sure expectations are SMART (Specific, Measurable, Action-
                              Oriented, Realistic and Time-and Resource-Limited).
The “Halo” Effect Error: Letting one favored trait or work factor influence all other areas of
performance, resulting in an unduly high overall performance rating.
Solutions:                    Rate the employee on performance that defines a given job duty
                              or expectation.
                              Recognize that different performance expectations are not always
                              related. An employee can perform one job duty well while
                              performing poorly in another.
The “Horns” Effect Error: The “dark side” of the “Halo” Effect which allows one disfavored trait
or work factor to overwhelm positive performance elements, resulting in an unfairly low overall
performance rating.
Solutions:                    Rate the employee on performance that defines a given job duty
                              or expectation.
                              Recognize that different performance expectations are not always
                              related. An employee can perform one job duty poorly while
                              performing well in another.
The Recency Error: Rating on the most recent performance rather than across the entire rating
period.
Solution:                     Review performance expectations for the entire performance
                              evaluation period, not the most recent event.
The Rank Order Error: Rating employees in rank order rather than on an individual basis.
Solution:                     Recognize employees perform at different levels. Build in
                              equitable performance expectations that are generic to those
                              employees within the same classification.




Personnel Cabinet                           54                                      2/10/11
Quiz: Identifying Rating Errors
Directions: Please read the following situations and identify the type of rating error they
illustrate.

Situation #1 Type of Rating Error _______
Jean did an excellent job for the first month in her new responsibilities. For the next five months,
her performance was no more than average. Essentially, she decided to coast on the job. The
supervisor gave a high rating on her performance.


Situation #2 Type of Rating Error _______
The supervisor wanted to rate the employee in a way that nothing the person did would surprise
him. Therefore, if the employee did extremely well, he could say, “See, I told you the employee
wasn’t bad.” If the employee did poorly, he could then say, “What did you expect? I told you
that individual wasn’t all that good.”


Situation #3 Type of Rating Error _______
Henry had just the right background, aptitude, knowledge and experience for his position.
However, when his middle class supervisor found out that Henry had 12 brothers and sisters,
his father drove a bus, and his mother was a maid, he gave Henry a low rating.


Situation #4 Type of Rating Error _______
Because of her above satisfactory performance evaluation rating, Jill had expectations of a raise
or at least some new challenging job assignments. Warren, on the other hand, could not seem
to please his supervisor. His performance rating was always “fully satisfactory” or “marginal.”


Situation #5 Type of Rating Error _______
The supervisor had just completed his performance evaluation assessment on Thomas, who
was one of his best employees in that work unit. He then began his evaluation assessment of
Thelma, who always completed her work assignments on time, but without the flair that was
characteristic of Thomas. He rated her low.


Situation #6 Type of Rating Error _______
Lillian was excellent with the many clients she had to assist on a daily basis at the clinic. She
was a good listener and was able to identify each client’s need and make the appropriate
referral with diplomacy and speed. However, she was always behind on her paperwork and
filing. In addition, she was negligent in maintaining timely follow-up on the client referrals, to
ensure that the problems had been resolved. Her supervisor rated her highly on her
performance.




Personnel Cabinet                            55                                       2/10/11
Section 5

Awarding Leave Earned From Performance Evaluation
Eligible employees who are on the payroll as of April 30 th and who have earned annual
leave as a result of performance evaluation, will be credited with the additional annual
leave by the Personnel Cabinet on April 30th.

Please refer to Personnel Memo 03-16 which states the following:

       Bonus annual leave will be awarded to employees who resign or retire from state
       government between January 1st and April 29th of the new performance year as
       follows:
       The employing agency will be responsible for crediting the employee’s leave
       award to his or her annual leave balance. Crediting of the employee’s leave
       award must occur at the time of the employee’s separation from state service.
       An employee will be paid upon resignation or retirement for his or her annual
       leave up to the maximum allowed by Personnel regulation 101 KAR 2:102,
       Section 1(2)(i). Any annual leave in excess of the maximum allowed will be
       converted to sick leave upon retirement.

Questions and Answers Related to the Employee Performance
Evaluation System
Q.     Why have an employee performance evaluation system?

A.     1)     To improve communication between employees and management.
       2)     To improve productivity and the quality of service to the public.
       3)     To clarify employees’ duties and responsibilities.
       4)     To identify training needs.

Q.     Who will be eligible through this system?

A.     1)     Performance Evaluations shall be completed for all full time classified
              employees with status at the beginning of the performance year who have
              remained in continuous merit status throughout the performance year.

Q.     Will eligible employees receive additional money as a result of this
       system?

A.     No money is tied to this evaluation system. Instead employees who receive
       either of the two (2) highest possible ratings in the system shall receive a reward



Personnel Cabinet                       56                                   2/10/11
       in the form of annual leave. Such leave shall be credited to the employee’s leave
       balance as follows:

       1)     An employee who receives a rating of “Outstanding” shall receive the
              equivalent of two (2) workdays, not to exceed sixteen (16) hours.
       2)     An employee who receives a rating of “Highly Effective” shall receive the
              equivalent of one (1) workday, not to exceed eight (8) hours.

Q.     Will employees on initial probation be evaluated through this system?

A.     No, employees on initial probation are not eligible to be evaluated through this
       system. Ineligible employees do not have the right of appeal and are not eligible
       for performance awards. Therefore, employees who do not meet the eligibility
       requirements shall not be evaluated using this system.

Q.     Will an employee’s performance evaluation be used in determining salary
       advancements, promotions and demotions?

A.     Yes, an employee’s performance evaluation will be one factor considered in
       determining eligibility for salary advancements, promotions and demotions.

Q.     Why is every employee being rated at the same time?

A.     1)     To give supervisors the opportunity to evaluate all employees within a
              reasonably short period of time and learn of any consistent needs or
              problems throughout his or her area of responsibility.
       2)     With all employees being evaluated at the same time the supervisor
              should evaluate all employees more fairly and consistently.

Q.     What role will the Personnel Cabinet have in regard to the evaluation
       system?

A.     1)     The Personnel Cabinet will monitors the operation of this program
              statewide.
       2)     It has overall responsibility for the systems administration.

Q.     Will non-merit employees be evaluated?

A.     No, non-merit employees are not eligible to be evaluated through this system.
       Ineligible employees do not have the right of appeal and are not eligible for
       performance awards. Therefore, employees who do not meet the eligibility
       requirements shall not be evaluated using this system.




Personnel Cabinet                        57                                   2/10/11
Q.     Can a supervisor who is on probation evaluate employees?

A.     Yes, if he/she has supervised the employee for at least 90 calendar days.

Q.     What happens to an employee who receives a rating of “Unacceptable?”

A.     He/she must be demoted to a position commensurate with his/her skills and
       abilities or terminated.

       Note: Disciplinary action may be taken at any time as provided for in 101 KAR
       1:345.

Q.     What happens when an employee refuses to sign his/her evaluation form
       after the evaluation?

A.     The employee will not be allowed to appeal any disagreement with the
       evaluation. In this case, the evaluator should document in the employee
       response section of the evaluation form that the employee refused to sign. This
       should be indicated in the space for the employee’s signature and then signed
       and dated by the evaluator. If possible a witness should be present.

Q.     May an employee request reconsideration on his/her evaluation based on a
       disagreement over a performance score in one category?

A.     Yes, an employee may request reconsideration as he/she may appeal any part of
       his/her evaluation through this internal appeal.

Q.     May an employee appeal to the Personnel Board his/her evaluation based
       on a disagreement over a performance score in one category?

A.     No, an employee may only appeal an evaluation to the Personnel Board when
       he/she receives either of the two lowest overall ratings. Such an appeal cannot
       be made to the board unless the employee first exhausts the internal
       reconsideration appeal.

Q.     During the reconsideration process, when the next line supervisor changes
       a rating in a particular job category, how is this indicated on the form?

A.     The next line supervisor should mark out the first score and/or rating given and
       indicate the new one in the appropriate space. The next line supervisor must
       place his/her initials over any changes on the form.

Q.     When the employee and evaluator agree on a rating and sign off on it, can
       any other line supervisor change a particular rating?

A.     No.



Personnel Cabinet                       58                                  2/10/11
Q.     If an employee who works in a field office requests reconsideration of
       his/her evaluation, does the agency give him/her work time to travel to
       Frankfort for the meeting with the evaluator?

A.     Yes, an employee who has requested reconsideration should not be charged
       leave time in the event he/she has to travel to another location outside the local
       area to meet with the evaluator.


NOTE: For more questions and answers regarding the employee performance
evaluation system or if you have other questions regarding the evaluation
process, refer to our web site at
http://personnel.ky.gov/persadmin/hradministrators/hradmin.htm or contact the
Performance Management Program Administrators at (502) 564-6811 or 7386.




Personnel Cabinet                        59                                  2/10/11
Appendix

Agency Liaison Responsibilities
Each agency in state government has an agency liaison for employee performance evaluation.
Agency liaison responsibilities are as follows:

I. To provide information to employees and supervisors relative to the employee performance
evaluation system. This will include the following:
       A. To distribute information to employees and supervisors as requested by the
          Personnel Cabinet.
       B. To remind all supervisors of the Performance Plan, First Interim Review meeting,
          Second Interim Review meeting and the Annual Evaluation prior to the date each
          should occur.
       C. To distribute necessary employee performance evaluation forms, handbooks,
          standardized agency expectations, and/or other agency management directives.

II. To coordinate all employee performance evaluation training within the agency. This will
involve the following:
        A. Identification of all staff person(s) who train or assist in training of supervisors in the
            agency.
        B. To attend required training on employee performance evaluation given by the
            Personnel Cabinet, Governmental Services Center. This training is also required for
            any persons who will assist in training.
        C. To maintain a current listing of supervisors in the agency which documents when
            they attended performance evaluation training and submit such information to the
            Personnel Cabinet.
        D. To monitor the supervisory staff changes and performance evaluation training
            conducted within the agency to insure the following:
                1. that all persons who supervise receive the required training.
                2. that all training be consistent with information explained in the Supervisor
                    Evaluation Handbook and the Employee Evaluation Handbook.

III. To monitor supervisor compliance to all meetings required in the employee performance
evaluation process.

IV. To counsel and advise supervisors as needed on problems relating to the evaluation of
employees.

V. To submit to the Personnel Cabinet the year-end rating information on all employees eligible
for annual performance evaluations.

VI. To maintain all employee evaluation documents in the agency’s central personnel file.

VII. To complete reports and assist in the auditing of evaluation documents as requested by the
Personnel Cabinet to be used in monitoring the performance evaluation system.




Personnel Cabinet                             60                                       2/10/11
Glossary
EVALUATOR           Generally, the first line supervisor who is responsible
                    for evaluating an employee.



JOB DUTIES          A description of the performance requirements/duties
                    of an employee. Such description must be consistent
                    with the employee’s position description (PD).



EXPECTATIONS        Specific performance requirements that must be
                    developed for each job duty which identify the
                    performance results necessary for a “Good” job.



PERFORMANCE         The four areas in which each employee is evaluated.
CATEGORIES          These include:

                          JOB TASKS
                          ADAPTABILITY/INITIATIVE
                          COMMUNICATION/TEAMWORK
                          SELF MANAGEMENT



OVERALL             The final rating given to the employee at the annual
PERFORMANCE         evaluation. This rating is determined by the total
EVALUATION          performance score.



RECONSIDERATION     The procedure outlined for an employee to appeal
                    within the agency any disagreement with his/her
                    evaluation.




Personnel Cabinet               61                                  2/10/11

								
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