:: Performance Evaluation Guide

SHAWNEE STATE UNIVERSITY

RESOURCE GUIDEPERFORMANCE EVALUATION PROCESS

ADMINISTRATORSAND

ADMINISTRATIVE/TECHNICAL SUPPORT STAFF (ATSS)

Annual and periodic performance evaluations are required for administrators and administrative/technical support staff (ATSS) at Shawnee State University (ref. Board of Trustee policy 4.61). This resource guide is provided to assist employees and supervisors in the administration of this policy and to encourage and foster open communication and collaborative interactions within the working environment.

Performance Resource Guide 1 2001Administrators and ATSS

GUIDING PRINCIPLES

Shawnee State University believes that performance evaluations, when done systematically, can serve to enhance the performance of the operation and, ultimately, enable the University to achieve its overall mission. Toward that end, the guiding principles that are relied upon in the exercise of this process include:

The employee and the supervisor are expected to work together to establish goals and objectives that are specifically adapted to the role of the employee being evaluated.

The employee's input is essential to identify steps for continuous performance development and improvement.

The ramifications for receiving varying performance levels are clearly indicated (employees and supervisors know how the evaluation is to be used).

The evaluation process provides for reconsideration of the evaluation results.

The evaluation builds on strengths and provides feedback that defines future performance expectations.

The employee must understand how his/her performance relates to the mission and goals of the University, as well as the functional mission goals and the goals and objectives of the employees unit. It is the supervisor's responsibility to ensure that these are articulated at the unit level.


Administrative Staff

SECTION I. INSTRUCTIONS This section of the resource guide applies to the evaluation of administrators and provides instructions on:

Conducting probationary performance evaluations,

Conducting annual and periodic performance evaluations for administrators on continuing and continuing temporary contract status,

Setting objectives for the coming appraisal period, and

Developing and monitoring performance improvement plans.

A. PROBATIONARY STATUS

Step 1 – Within 30 days of hire, the supervisor meets with the new employee to set objectives.

These goals may be for the 6-month probationary period or, if longer than 6 months, the remainder of the annual evaluation period (normal appraisal period is April 1 – March 31).

Step 2 – Within the second month or early in the third month of employment, the supervisor meets with the probationary employee to review progress.

If the performance meets basic expectations, this will be documented, the employee advised and the probationary status continued.

If the performance does not meet basic expectations, the supervisor must so advise the employee and indicate the areas of deficiency. The supervisor and employee should identify actions designed to correct the performance deficiencies and schedule more frequent progress reviews.

Step 3 – Within the fifth or early in the sixth month of employment, the supervisor meets with the employee to conduct a six-month probationary evaluation using the performance evaluation form.

If performance meets basic expectations, the employee will be granted continuous contract (or continuous temporary contract) status upon completion of the six-month probation.

If performance does not meet basic expectations, the supervisor may recommend:

o Extension of the probationary period up to an additional 90 days, oro Termination – 14 calendar days notice will be provided to the

employee. If the employee wishes to contest the unsatisfactory evaluation, he/she

may, within 5 working days of receipt of the evaluation results, write a rebuttal statement and submit to the supervisor.


A recommendation to terminate may be made by the supervisor at any time after the third month of probationary status. In such case, the Human Resource Director should be fully engaged in the process. Necessary approvals, essential documentation and notification requirements as required by policy must be followed.

B. CONTINUOUS AND CONTINUOUS TEMPORARY CONTRACT STATUS

Items needed:o 1 – 2 hours o Copy of University’s strategic plan and missiono Copy of employee’s job descriptiono Copy of previous year’s performance evaluationo List of potential objectives submitted by employee

STEP 1: PREPARATION

SUPERVISOR: During the first part of April, schedule a meeting to discuss the prior year’s

performance and the creation of new and/or ongoing objectives for the coming year. Make certain that the employee has a copy of the current evaluation form (containing objectives established the prior year) and a blank performance evaluation form.

EMPLOYEE: Using the administrative performance evaluation form jointly created the

previous April (objectives/goals), complete the employee section (additional page(s) can be added to form) AND,

Using a blank administrative performance evaluation form, create proposed objectives for the coming year.

o The objectives should be written in measurable terms with clearly defined outcomes and a specified timetable for completion.

o Identify the resources that can reasonably be expected within the available budget needed to accomplish each objective.

o Limit objectives to a reasonable number concentrating upon significant projects and responsibilities that address strategic plan goals, University mission, division, and department goals.

Submit both the current year’s administrative performance evaluation plan with completed employee section AND the draft objectives to the supervisor a few days before the scheduled evaluation meeting.

SUPERVISOR: Prepare for the performance evaluation:

o Review the employee input as submitted. o For each objective, complete the supervisor’s comments and check

the appropriate box to indicate the overall evaluation.


o Complete the work behaviors section of the form. Have specific examples to illustrate ratings in this area considering the employee’s job description.

o Complete the supervisor section of the evaluation form (may attach a separate sheet).

Prepare for the setting of new objectives:o Review each draft objective presented by the employee.o Assess the feasibility of the timetable and resources needed to

determine if the proposed objectives have a reasonable expectation of completion based upon the available and future budget and staffing level projections.

o Assess whether the draft objectives fall within the parameters of the broader University goals as identified in the strategic plan and University mission statement. If not, have some options in mind for discussion with the employee.

o Include objectives stipulated by higher management or that needs to be added based upon division or department goals – consider the overall workload and whether expectations are reasonable.

STEP 2: CONDUCT MEETING – ANNUAL EVALUATION/NEW OBJECTIVES

SUPERVISOR AND EMPLOYEE At the annual evaluation meeting, ensure adequate time is allocated

and sufficient privacy exists. The format of the meeting is discretionary but should include these

items:o Detailed discussion of the previous year’s performance results

and completion of the evaluation form. The supervisor should complete any remaining portions of the form and sign it. The employee should sign the evaluation form to indicate its review (signature does not imply agreement).

o SUBMIT THE COMPLETED EVALUATION FORM TO THE NEXT LEVEL OF MANAGEMENT FOR REVIEW THEN FORWARD TO HUMAN RESOURCES FOR THE EMPLOYEE’S PERSONNEL FILE.

o Development of new objectives for the coming year. The supervisor should cover each objective proposed by the employee encouraging direct interaction to generate a jointly acceptable list of objectives. Each objective should be clearly stated, measurable, with an adequate timetable for completion. It is acceptable to carry over objectives, or parts of objectives, from one year to the next.

o RETAIN THE NEWLY CREATED OBJECTIVES AS A WORKING DOCUMENT AND PLANNING TOOL DURING THE APPRAISAL PERIOD – FORM IS NOT FORWARDED TO HUMAN RESOURCES AT THIS TIME.

STEP 3: PERIODIC AND MIDYEAR REVIEW OF PROGRESS


The supervisor and employee should discuss the objectives on a routine basis throughout the year.

A more formal review of the objectives should be held midyear in order to modify, add or delete objectives as needed.

Any change to the original objectives should be noted directly on the performance evaluation form and another copy given to the employee.

STEP 4: RECONSIDERATION

When an employee signs the performance evaluation form and checks “yes” to the statement, “I request that this evaluation be reconsidered,” the reconsideration process begins.

Within 10 working days from the evaluation meeting, the employee must submit a written rebuttal statement attached to a copy of the evaluation form.

This statement should include a detailed description (attach other documents if applicable) of the specific area(s) of disagreement and the reasons for the disagreement.

Upon receipt of the written statement, the supervisor will reconsider the evaluation results in light of the rebuttal. The supervisor will respond in writing within 10 working days of receipt of the rebuttal statement advising the employee whether the original evaluation results will stand or modification to the evaluation will be made.

If the supervisor’s response is not acceptable, the employee may request an appeal following the established administrative concern resolution policy.

Should an employee’s performance evaluation be modified as a result of this process, the original evaluation form will be replaced with the revised form as part of the employee’s personnel file.

C. PERFORMANCE IMPROVEMENT PLAN

The supervisor may determine at any time that an employee on continuing or continuing temporary contract status is demonstrating unsatisfactory performance. Upon this determination, the supervisor must notify the next level of management and engage the Human Resources Director to provide assistance.

Documentation of poor performance should be in writing and specifically refer to the objectives and work behaviors identified for the current appraisal period.

The employee’s status will change to probationary while functioning under a performance improvement plan.

Step 1 – Develop Performance Improvement Plano The supervisor will schedule a meeting with the employee to

discuss the noted deficiencies.Performance Resource Guide 6 2001Administrators and ATSS

o The supervisor will check “yes” on the performance evaluation form that a performance improvement plan is needed.

o The employee and supervisor jointly develop a plan to correct performance deficiencies and a timeline for progress reviews.

o The employee is advised of the potential consequences of not performing at an acceptable level on a sustained basis.

o The performance improvement plan will be established for not less than 6 months during which time the employee is considered “probationary.”

o The performance improvement plan is to be signed by the employee and the supervisor. A copy is provided to the employee and the Human Resources Director.

Step 2 – Review of Performance Improvement Plano At regularly scheduled meetings, the supervisor will review the

employee’s progress.o Upon successful completion of the performance improvement

plan, the employee will return to continuous status and the normal evaluation process re-engaged.

o If the employee fails to meet the expectations outlined by the performance improvement plan (i.e. meets basic expectations), the supervisor may:

Recommend an extension of a specified period of time (no longer than an additional 90 days); or,

Recommend, with vice president and president approval, termination in accordance with university policy and notification requirements.

o Performance improvement plan reports will be combined with the performance evaluation form and forwarded to the human resources department for filing.


Administrative/Technical Support Staff(ATSS)

SECTION II. INSTRUCTIONS

This section of the resource guide outlines specific instructions on:

Conducting probationary status reviews,

Conducting performance reviews for regular ATSS, and

Developing a performance improvement plan for regular ATSS.

A. PROBATIONARY STATUS

Step 1 - Within 30 days of completion of the first half of the probationary period (four months), supervisor meets with the new employee to review performance. If acceptable, probationary status continues. If performance does not meet basic expectations, the supervisor may continue the probation or recommend probationary removal.

Step 2 - The second evaluation is to be completed within 30 days after completion of the first, unless the employee is given probationary removal. There is no appeal for a probationary removal.

B. PERFORMANCE REVIEW

Items needed:o 1 - 2 hours o Copy of employee’s job descriptiono Performance evaluation form

STEP 1: PREPARATION

SUPERVISOR: During the first part of April, provide employee with blank performance

review form and request input. Schedule meeting to review.

EMPLOYEE: Appraisal period April 1 – March 31. Using the Administrative/Technical Support Staff (ATSS) performance review

form, complete employee comments section. Submit input to the supervisor a few days before the scheduled meeting.


SUPERVISOR: Review the employee input as submitted.

o For each rating category, complete the supervisor’s comments and check the appropriate rating.

o Have specific examples to illustrate ratings keeping in mind the employee’s job description.

o Complete the supervisor comments section of the performance review form (may attach a separate sheet).

STEP 2: CONDUCT ANNUAL EVALUATION

SUPERVISOR AND EMPLOYEE Supervisor and employee meet privately for completion of the

performance review. The format of the meeting is discretionary but should include these

items:o Detailed discussion of the previous year’s performance results

and completion of the form. The supervisor should complete any remaining portions of the form and sign it to indicate its review (signature does not imply agreement with the evaluation).

o SUBMIT THE COMPLETED REVIEW FORM TO THE NEXT LEVEL OF MANAGEMENT THEN FORWARD TO HUMAN RESOURCES FOR THE EMPLOYEE’S PERSONNEL FILE.

STEP 3: PERIODIC AND MIDYEAR REVIEW OF PROGRESS

o The supervisor arranges periodic meetings throughout the year to review performance related issues.

o A midyear meeting to discuss performance and review the job description, etc. is recommended.

o Any change to initial expectations should be noted directly on the performance review form and a copy given to the employee.

STEP 4: RECONSIDERATION

The employee may attach a written rebuttal statement to the evaluation within 10 working days of the performance review.

o This statement should include a detailed description (attach other documents if applicable) of the specific area(s) of disagreement and the reasons for the disagreement.

o Upon receipt of the written statement, the supervisor will reconsider the evaluation results in light of the rebuttal. The supervisor will respond in writing within 10 working days of receipt of the rebuttal statement advising the employee whether the original evaluation results will stand or whether the performance review will be modified.

o If the supervisor’s response is not acceptable, the employee may request an appeal following the established administrative concern resolution policy.


C: PERFORMANCE IMPROVEMENT PLAN

The supervisor may determine at any time that an employee is demonstrating unsatisfactory performance.

Documentation of poor performance must be written with direct reference to the objectives and work behaviors identified for the current appraisal period.

Meetings should be scheduled to review the employee’s progress. The dates of these meetings and summary of discussions should be recorded by the supervisor and shared with the employee.

The Human Resources Director should be engaged for assistance at the earliest time.

Step 1 – Develop Performance Improvement Plano Upon determination that an employee’s performance does not

meet basic expectations, the supervisor should review with the next level of management.

o The supervisor will schedule a meeting with the employee to discuss the noted deficiencies.

o The supervisor will check “yes” on the performance evaluation form that a performance improvement plan is needed.

o The employee and supervisor will jointly develop a plan to correct performance deficiencies and a timeline for progress reviews.

o The employee is advised of the potential consequences of not performing at an acceptable level on a sustained basis.

o The performance improvement plan will be established for not less than four (4) months. The employee’s status during this period is considered “probationary.”

o The performance improvement plan will be signed and a copy provided to the employee and the Human Resources Director.

Step 2 – Review of Performance Improvement Plano Progress will be reviewed at regularly scheduled meetings.

Upon successful completion of the performance improvement plan, the employee will return to regular status.

If unsuccessful, the supervisor may recommend termination according to university policy.

o Performance improvement plan reports will be combined with the performance review and submitted to the human resources department for filing.


SECTION III. EFFECTIVE OBJECTIVES

Effective performance objectives focus upon outcomes not activities. Objectives should be written in crisp and concise statements, contain an action verb, a statement of results (how will the outcome be measured), and a timetable (target for completion) with consideration given to the standard against which measurement will be based (e.g. quality, quantity, cost and time etc).

The employee responsible for completion of the objectives should understand what is expected and how the outcomes will be measured. Objectives should be written with the employee’s job responsibilities in mind and limited in number to ensure they can be accomplished (5 – 7 is a workable target). The outcomes should be challenging but attainable.

Each objective should: Support the University’s strategic plan, values and mission Serve to significantly increase the department’s effectiveness and

success Be achievable but prove to be a significant challenge and stretch Not conflict with or inappropriately overlap objectives set by others Be capable of being measured on an ongoing and ultimate basis

Sample Objectives:

1. Create and implement a communication plan to increase the number of favorable mentions within the targeted media by 90% from 2XXX.

2. Increase the number of minority students in the teacher preparation program by 10 for AYXX.

3. Implement a drug and alcohol abuse program in collaboration with local community agencies and present to 90% of employees by June 30, 2XXX.

4. Develop two instructional modules that will cover techniques proven to significantly reduce typical mistakes students make when completing assessment testing in English and math; for AYXX realize improved overall test scores due to the reduction of such mistakes.


SECTION IV. Q’S AND A’S

Question: Who completes performance evaluations? When?

Answer: The supervisor initiates the performance evaluation each year in April. Newly hired employees receive a probationary evaluation early in the third and sixth month of employment. If a supervisor believes it necessary, a performance evaluation can be initiated at other times during the appraisal period. In some cases there may be multiple raters (e.g., employee works under the direction of two or more supervisors or when a rater is new to supervision).

Question: How is the evaluation accomplished?Answer: Working jointly, the employee and supervisor identify position responsibilities plus specific attainable objectives to create performance expectations for the coming evaluation cycle. Each time the supervisor and employee finish an evaluation cycle, they discuss and agree upon objectives for the next evaluation cycle. Significant changes in duties and responsibilities should be incorporated into this process.

Question: Can objectives be revised, added, or deleted during the evaluation period?Answer: Yes, revisions, additions, and/or deletions can be made at any time during the appraisal period. Because circumstances change, it is advisable to meet formally at the midpoint interval. At this meeting, the employee and supervisor should determine what factors might prevent the accomplishment of the initial objectives. Notations regarding revisions/changes should be made directly on the evaluation form.

Question: Can identical objectives be written for more than one employee?Answer: Yes, examples might be a team project or a particular objective a supervisor wishes to assign to all employees. The supervisor should note this fact on the performance evaluation form.

Question: When the evaluation form is completely finished, what is the next step?Answer: After the evaluation form is completed, the employee and supervisor discuss the results in a face-to-face meeting. The required signature indicates that the document was reviewed and does not denote agreement with the evaluation results. The signed evaluation form is forwarded to the next managerial level for review and from there to Human Resources where it is maintained in the employee’s personnel file.

Question: If an employee believes he/she has not been evaluated fairly, what steps may he/she take? Answer: At the time the employee (on continuous or continuous contract status) signs the evaluation form, he/she should check “yes” to the statement, “I request that this evaluation be reconsidered.” No later than 10 working days from the evaluation meeting, submit a written rebuttal statement that specifically addresses the area(s) of disagreement, attach a copy of the evaluation form and forward to the supervisor.

Question: How do we (employee and supervisor) prepare for the next performance evaluation cycle?Answer: The employee and supervisor begin to discuss ideas for the upcoming year as soon as the performance evaluation is complete. Goals and objectives for the next performance evaluation period or year should be agreed upon. Question: Why are performance evaluations necessary?

Answer: Performance evaluations serve many critical purposes. They: Act as an avenue for improved communications between supervisor and employee. Act as a means to recognize good/superior performance or to identify performance in need of

improvement. Act as a method of determining employees training needs. Act as a mechanism to help the institution move forward in a consistent direction, following as closely

as possible, the University's strategic planning guidelines and mission statement.


SECTION V. Glossary of Terms

Appraisal period – the designated time period the evaluation covers (e.g. probationary is from date of hire through 6 months; annual evaluation is from April 1 – March 31, periodic is for a specified time period).

Basic Expectations - the standard established by individual objectives that are clearly defined, measurable, and with outcomes expected for a stated time table; substantially meeting basic expectations is considered acceptable overall performance.

Continuous contract status – the employment status of an administrator who has successfully completed the probationary period and whose position is funded by institutional funds (reference policy 4.51, administrative appointments).

Continuous temporary contract status – the employment status of an administrator who has successfully completed the probationary period and whose position is funded in whole or in part by restricted/grant/auxiliary funds (externally funded). Employment as continuous temporary contract status is for a set term established by the funding source and ends upon elimination of such funds (reference policy 4.51, administrative appointments).

Employee - the administrator or administrative/technical support staff (ATSS) being evaluated.

Evaluation – the entire process of assessment of an employee’s job performance.

Exceed - achieving performance outcomes beyond the basic expectations as established by objectives; significantly and substantially surpassing the stated measurable indicators of performance.

Meet - to perform in a manner consistent and equal to the expectations jointly established as written objectives by the supervisor and the employee.

Objective - stated accomplishment that focuses upon outcome not activity, that is clearly defined, measurable and with a defined time table for completion.

Probationary status – Administrators – the employment status from the date of hire through six months of employment. The probation must be successfully completed based upon assessment of the supervisor. ATSS – the employment status from the date of hire through four months of employment. This time period is used to assess the capability of the employee to satisfactorily meet the expectations of the position.

Reconsideration - written request to have performance re-evaluated; must adhere to the established time requirements and be supported through documentation.

Resources needed - materials, supplies, equipment, staff, budget levels, and/or approval authority needed for reasonable expectation of accomplishment of objective/goal.

Strategic Plan - Plan developed and approved through formal process reflecting the Board of Trustee adopted University Strategic Plan.

Supervisor - the immediate direct administrator with the authority to conduct performance evaluations.

Timetable - the stated beginning and ending period during which the objective/goal is to be accomplished; may be shortened/extended through the joint evaluation process.


Statement of Non-DiscriminationShawnee State University does not discriminate in admission, access, or treatment in programs and activities or employment policies or practices on the basis of race, creed, sex, color, national or ethnic origin, religion, marital status, age, sexual orientation, Vietnam-era or qualified disabled veteran status, or qualified handicap. Accordingly, Shawnee State University complies with Title VI (34 C.F.R. Part 100) and Title VII of the Civil Rights Act of 1964 and 1991, Title IX of the Education Amendments of 1972, Age Discrimination in Employment Act of 1967, amended 1978 and 1986, the Equal Pay Act of 1963, Section 504 of the Rehabilitation Act of 1973 (34 C.F.R. Part 104), the Americans with Disabilities Act, and other appropriate state and federal statutes, regulations, and/or guidelines as they exist and may be amended from time to time. Inquiries regarding compliance with this non-discrimination statement may be directed to the Affirmative Action/EEO Coordinator, located in the Human Resources Department, Commons Building, Shawnee State University, Portsmouth OH 45662-4344, telephone (740) 355-2420. External inquiries can be made to: Director, Ohio Civil Rights Commission, 22- Parsons Ave., Columbus, OH 43266, Director for Civil Rights, U.S. Department of Education, Region V, 401 S. State St., Chicago, IL 60605, or Assistant Secretary for Civil Rights, U.S. Department of Education, Washington, D.C. 20202.


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:: Performance Evaluation Guide