6.1                   PERFORMANCE PLANNING AND EVALUATION (PE)

6.1.1                Overview of D19 CSB's Performance Planning and Evaluation System.

1. District 19 Community Services Board's performance planning and evaluation system has been established to develop and communicate performance expectations, evaluate performance, promote professional development, and to sustain a high level of performance.
2. The performance cycle is November 1 through October 31 of each year for non-probationary employees.
3. At the beginning of each performance cycle, Performance Plans should be developed or updated if needed, for employees in accordance with D19 CSB "Guidelines for Employee Performance Planning and Evaluation" (see Addendum "B").
4. Supervisors are required to conduct regular, informal discussions with employees regarding their day-to-day work performance and progress toward meeting performance expectations.
5. At the end of the performance cycle, employees should be evaluated on their performance (i.e., how well they have met the performance expectations established in the Performance Plan).

6.1.2                The Performance Plan.

1. Supervisors should present the Performance Plan to employees according to the following schedule:
   1. Employees entering new positions as a result of employment, re-employment, demotion, or promotion should have their plans presented no later than 30 days after entering their positions.
   2. All other employees should have their plans presented within 30 calendar days of receiving their PE for the preceding performance cycle.

2. Supervisors should develop the Performance Plans as follows:
   1. Identify Measurable Results Expected/ Performance Standards consistent with employee's position description and program goals for that evaluation period and ensure that the employee understands the achievement of these standards is expected and therefore will be rated as "meeting expectations" in the evaluation.
   2. Discuss Performance Plans with employees and provide each employee a copy of their completed Performance Plan (copies of Performance Plans should be reviewed by supervisor and employee).
   3. Discuss with employees performance activities that would represent a "generally above" or "constantly" above rating
3. Employees disagreeing with their Performance Plans must discuss their concerns with their supervisors.  If the disagreement is not resolved, employees may appeal to their reviewer.  Any such appeal must be in writing and delivered to the reviewer within 10 workdays of the employee's receipt of the Performance Plans.
   1. Reviewers may concur with the Performance Plans or require supervisors to make changes.
   2. Reviewers have final approval of the Performance Plans.
      
      NOTE:  As with all other human resources decisions, the Executive Director (or his/ her designee) may modify, at his/ her discretion, any decisions made by reviewers under this policy.

4. Any changes to Performance Plans during the performance cycle must be noted on the official Performance Evaluation form (ADMINPERS #10) and initialed by the supervisor, reviewer, and employee.  Adjustments made in Results Expected/ Performance Standards after the first three months of the performance cycle must not require a higher level of performance than indicated on the original PE Form.

5. Copies of completed performance plans are distributed as follows:
   1. Employee
   2. Supervisor
   3. Human Resources Director

6.1.3                Interim Evaluations

1.  Interim evaluations may be completed at any time prior to the annual performance evaluation.  Under normal circumstances this would generally be at about six months into the performance cycle.  Among the reasons which may support completing an interim evaluation are:
   1. to indicate employees' progress toward meeting performance expectations during the probationary period or the performance evaluation cycle;
   2. as documentation supporting disciplinary actions under the "Performance Planning and Evaluation" (Policy 6.1) and "Standards of Conduct" (Policy 7.2).
   3. obtaining an evaluation from a supervisor who departs during an employee's performance cycle.
2. Interim evaluations may not be placed in employees' human resources files except as documentation for written notices under the "Standards of Conduct" and "Performance Planning and Evaluation" policies.
3. Interim evaluations should be:
   1. discussed with employees,
   2. made available to employees, and
   3. maintained by the evaluating supervisors.

6.1.4                The Performance Evaluation.

1. Responsibilities
1. Performance Evaluation forms must be completed by evaluating supervisors.  Normally, these are the immediate supervisors of the employees evaluated.
2. Employees working for two or more supervisors should be evaluated by only one supervisor.  The non-evaluating supervisor(s) should provide input but should not sign the official evaluation form.
3. When management determines that an employee's immediate supervisor cannot conduct the performance evaluation (because of absence, position vacancy, or limited time as supervisor), the employee shall be evaluated by the reviewer or the next level of management.
4. When the case of limited time of supervision is cited by present supervisor and the previous supervisor is still an employee of the agency the previous supervisor will be asked to submit an evaluation that will be the reviewer's completed evaluation.

2. Completion of the PE Form
1. Forms must be completed by supervisors, examined by reviewers, and discussed with employees by October 31.
   1. Performance Evaluations may not be completed prior to October 1.
   2. A review of employee performance will occur at the three-month interval.  (See Section 6.1.3.)  At the 12-month interval, a formal (final) review will be completed to determine the employee's ability to perform the minimum standards required of the position.  (See Section 6.1.5.)
   3. Interim evaluations may be completed at any time as specified in Section 6.1.4.
2. All ratings and written remarks in the Evaluation Section of PE Forms must relate to established Performance Plans.
   1. Guidance for completing the Evaluation section is found in ADDENDUM "B", "Guidelines for Employee Performance Planning and Evaluation."
   2. Any rating of "Substantially Below Requirements," "Generally Below Requirements," or "Generally Above," "Consistently Above", must include a written description or explanation of the basis of the rating for each standard for which these ratings are given.
   3. Comments on the effect of Performance Factors and External Factors on overall performance also should be included on the PE Form.
3. Performance Evaluations must be submitted to the Disability/ Division Director before being presented to employees.
   1. The Disability/ Division Director may concur with the PE or require supervisors to make changes.
   2. The Disability/ Division Directors have final approval of the PE.
4. The Executive Director will complete the PE for the Division/ Disability Director and all other staff directly reporting to the Executive Director.
5. The Board of Directors' Human Resources Committee will prepare an annual PE for the Executive Director.  See Section 1.1.2.

NOTE: As with all other human resources decisions, the Executive Director (or his/ her designee) may modify, at his/ her discretion, any decisions made by reviewers under this policy.

3. The Evaluation Meeting
   1. Guidelines for conducting PE with employees are in ADDENDUM "B", "Guidelines for Employee Performance Planning and Evaluation".
   2. Employees disagreeing with their performance evaluations or re-evaluations may appeal their evaluations to their reviewers.
      1. Employees must submit written requests for appeals to their reviewers within 10 workdays of their evaluation meetings
      2. Reviewers should discuss appeals with supervisors and with employees and provide written responses to employees within five workdays of receiving the appeals.
      3. Reviewers may uphold the initial ratings, or modify them.
      4. Reviewers have final authority concerning the evaluation ratings.
      5. Employees shall receive a copy of the completed PE.

NOTE:  As with all other human resources decisions, the Executive Director (or his/ her designee) may modify, at his/ her discretion, any decisions made by reviewers under this policy.

6.1.5                Ratings of "Substantially Below Requirements."

1. Employees receiving an overall ratings of "Substantially Below Requirements" must be re-evaluated as follows:
   1. A Performance Plan outlining performance expectations for the next three months must be established by the supervisor within two weeks of the evaluation meeting.  This action should be taken even if the original evaluation is under appeal.  There shall be in the Development Plan, supervisory review dates to regularly assess the employee toward fulfilling the plan.
      1. The entire Performance Plan should be completed, including the "Developmental Plan."  If the Results Expected/ Performance Standards in the original Performance Plan are appropriate, this information should be transferred to a new PE Form.
      2. The supervisor should describe and discuss with the employee specific actions that must be taken to improve performance in order to meet the minimum expectations during the re-evaluation period.
      3. The reviewer, then the employee, must review and sign the new three-month plan.
      4. Copies of the Development Plan shall be distributed as follows:
         1. employee,
         2. supervisor; and
         3. Human Resources Director.
   2. These employees should be re-evaluated three months from the date they received their original evaluations.  The re-evaluation process will be terminated if these employees initiate and receive transfers to other positions before the end of the three month re-evaluation.
   3. If, upon re-evaluation, overall ratings continue to be  below "Fulfills Requirements" the following options may be considered during the next two months:
      1. Lateral transfer (i.e., same salary grade and salary step) to a more suitable position within D19 CSB; or
      2. Demotion to another position within D19 CSB (see "Demotion:  Voluntary, Disciplinary, Layoff", Section 4.1.3.).
   4. Should D19 CSB elect not to implement either of the foregoing options these employees shall be removed from D19 CSB service.  (See Section 6.1.6, paragraph 3.)
   5. The re-evaluation process does not preclude disciplinary actions based on poor performance using the "Standards of Conduct" and "Performance Evaluation" policies at any time when appropriate.

6.1.6                Retention of the Performance Evaluation Form.

1. Completed PE forms (original) must be retained in employee's human resources files.
2. Copies of Major Performance Standards (Pages 2 and 3 of the PE Form) should be given to employees at the beginning of the evaluation period.
3. Interim evaluations and documentation of work performance may be retained by supervisors in separate files.  Under no circumstances should this information be placed in employees' human resources files except to document a disciplinary action taken under the "Standards of Conduct" and "Performance Evaluation" policies.
4. "Performance Evaluation" forms, used for required re-evaluations, are official documents and shall be retained in employees' human resources files maintained by the Human Resources Office.
5. The employee shall receive a copy of the signed and completed PE form.          

6.1.7                Probationary Employees.

1. Position descriptions and performance plans should be discussed with probationary employees upon entrance into their positions during the first 10 days of employment as described in the 30-day employee review (See Policy 3.5, "Employment Probationary Period.").
2. Employees and supervisors are mutually responsible for quality assurance, efficiency, ethical conduct, and safety in relation to work performed.  The supervisor is responsible on an ongoing basis for:

• clarifying tasks during orientation, and throughout the learning stages of the position and on an on-going basis as assistance is requested by the employee
• motivating the employee toward improved performance
• fostering a positive and productive work relationship with the employee
• soliciting input from the employee on his/ her performance
• keeping the employee informed as to his/ her positive accomplishments, areas in need of improvement, and expected standards of performance and conduct.  These areas in need of improvement should be clearly documented, in writing, and initialed by the employee.

The employee is responsible on an ongoing basis for:

• seeking clarification and instructions related to tasks, priorities and accountabilities
• requesting supervision in areas of job difficulty
• carrying out duties and functions to the best of his/ her ability
• acting on the job in accordance with D19 CSB standards of conduct and performance

3. It is the policy of D19 CSB to require satisfactory completion of a 12-month probationary period as a prerequisite to regular full-time or part-time salaried employment.  Relief, hourly, or temporary employees are hired for temporary or seasonal needs and may be terminated at any time.
   1. A probationary period of 12 months is established for all new, full‑time and part‑time, salaried, employees.  The probationary period begins on the first day of employment.  Persons who are re-employed with D19 CSB shall complete a new 12-month probationary period, with the exception of regular employees who are recalled within 12 months from layoff who shall be credited with the probationary period or that part of it completed prior to the layoff.
   2. Probationary periods must be extended by the number of calendar days equal to any period exceeding 10 consecutive workdays during which the employee is on leave or leave without pay.
   3. Three-month Performance Review

      A review of employee performance will occur at the three-month interval of employment.  The results of the review will be discussed with the employee and recorded on the "Probationary Employee Performance Plan Form" (ADMINPERS #10-A).  If at this time the employee does not meet one or more performance standard(s) (i.e., is rated "deficient") or marginally meets one or more performance standard(s), the supervisor is to follow up the review with a written memorandum which summarizes needed areas of improvement.  (Also see Policy 3.5, "Employment Probationary Period.)  For the purpose of this section, "new employees" are defined as:  Employees new to the agency, and employees new to positions due to transfer, promotion and/ or reassignment.

   4. If during the probationary period, it is decided by the employee or the supervisor that the employee is not suited for the job, the employee should be terminated or allowed to resign.  In such cases, the records shall reflect "Unsatisfactory performance during the probationary period," or, at the employee's option, "resignation."
   5. Termination during the probationary period is not grievable.  However, any employee who claims that the termination was based on race, color, religion, national origin, political affiliation, sex, age, or disability may file a discrimination complaint with the State EEO Office.
   6. When an employee is terminated during the probationary period, they will receive compensation to the end of the pay period, which the action occurred.
4. The initial formal performance appraisal should take place during the 11th month of employment. At the conclusion of the probationary period, the employee should receive an appraisal with the Overall Evaluation (Part III) completed.  Secondly, the Results Expected/ Performance Standards should be stated for the next performance cycle (normally November 1 - October 31).  The process is described in detail in the "Guidelines for Employee Performance Planning and Evaluation" (ADDENDUM "B")
5. Timetable for conducting Annual Performance Appraisals for staff transitioning from Probationary Status:
• Probation ends on or before April 30th – Formal Evaluation done October of same calendar year
• Probation ends after April 30th next Formal Evaluation done October of the next calendar year
6. During subsequent months of employment the supervisor is to maintain regular contact with the employee to communicate informal evaluation of work being done.  A supervisor should keep accounts of employee performance, identifying areas of unsatisfactory work.  Supervisors are to regularly meet with subordinates to appraise performance and monitor work acceptability.

6.1.8                Responsibility.

Evaluating supervisors and reviewers with oversight from the Human Resources Director are responsible for conducting performance evaluations in accordance with this policy.

6.1.9              Coverage of Personnel.

This policy is applicable to all positions at D19 CSB including full-time, part-time and relief. This policy does not include temporary D19 CSB personnel, students or volunteers.

If staff are employed in multiple positions, i.e. full time and part time or PRN, a formal appraisal will be completed by each supervisor.

6.1.10              Authority.

This policy supersedes Policy 1.0, "Employee Appraisal" issued June 3, 1991.  District 19 Community Services Board reserves the right to revise, change, or eliminate this policy as necessary.

6.1.11              Interpretation.

The Executive Director, as chief Human Resources Officer, is responsible for official interpretation of this policy.  Questions regarding the application of this policy should be directed to the Human Resources Director.