HomeMy WebLinkAboutPerformance Management - SOPIdaho
Department of
Correction
Standard
Operating
Procedure
Title:
Performance Management
Page:
1 of 7
Control Number:
222.07.01.001
Version:
2.0
Adopted:
1-26-2009
Sharla Means, Human Resource Manager , approved this document on
02/19/2015.
Open to the public: Yes
SCOPE
This standard operating procedure applies to all IDOC employees.
Revision Summary
Revision date (02/19/2015) version 2.0 :
Moved permanent file management and retention to Employee Personnel Records SOP
Updated section 8, Employee Personnel Working File
Corrected/updated formatting throughout
TABLE OF CONTENTS
1. Training ............................................................................................................................. 3
2. Setting Expectations and Defining Employee Responsibilities ....................................... 3
3. Providing Employee Support ........................................................................................... 4
4. Providing Continuous Feedback and Coaching to Employees ....................................... 4
5. Performance Feedback Worksheet ................................................................................. 4
6. Employee Performance Reviews..................................................................................... 5
7. Performance Improvement Plans .................................................................................... 6
8. Performance and Career Development Plans ................................................................. 6
9. Employee Personnel Working Files ................................................................................. 7
Control Number:
222.07.01.001
Version:
2.0
Title:
Performance Management
Page Number:
2 of 7
Idaho Department of Correction
BOARD OF CORRECTION IDAPA RULE NUMBER
None
POLICY CONTROL NUMBER
Performance Management 222.
PURPOSE
The purpose of this standard operating procedure (SOP) is to establish guidelines , rules,
and expectations for supervisors in managing employee performance. Managing employee
performance includes the ongoing process of setting expectations, providing feedback,
coaching, evaluating, and documenting performance, corrective and disciplinary actions,
and any commendations received while employed with the Idaho Department of Correction
(IDOC).
RESPONSIBILITY
Manager of Human Resource (HR )
The Manager of HR is responsible for:
Developing the IDOC’s performance management system and ensuring compliance
with all state statutes, rules, and policies governing performance management
activities;
Training managers and supervisors in the IDOC’s performance management system;
Providing information to all employees regarding the performance management
system ; and
Maintaining completed employee performance reviews and performance -related
documents in the employee’s employee personnel permanent file.
Managers
Managers are responsible for:
Ensuring each of their supervisors are trained in the IDOC’s performance
management system;
Ensuring each of their supervisors comply with the performance management
process, applying effective techniques, and evaluating employees in a timely
manner;
Reviewing each Employee Performance Review prior to delivery and concurring with
the final rating; and
Holding supervisors accountable for accurate and timely performance feedback,
annual employee performance reviews, and other aspects of performance
management as outlined in this SOP.
Control Number:
222.07.01.001
Version:
2.0
Title:
Performance Management
Page Number:
3 of 7
Idaho Department of Correction
Supervisors
Supervisors are responsible for:
Establishing employee job expectations and defining responsibilities;
Providing support and opportunities for training and employee development;
Keeping employee performance on target through feedback and coaching;
Maintaining a schedule of when employee performance reviews need to be
conducted for each of their employees;
Documenting employee performance on an on-going basis throughout the year and
evaluating the performance of each of their employees in a timely manner;
Discussing the results of employee performance reviews with each of their
employees on a timely basis as a means of providing feedback and guidance on past
performance and future expectations; and
Providing a signed copy of the Employee Performance Review to the employee.
GENERAL REQUIREMENTS
Performance management is an on-going process of workforce engagement. It includes
setting and supporting performance expectations, defining responsibilities, keeping
employee performance on target through coaching and feedback, estab lishing goals for
development and potential career growth, reinforcing and redirecting workplace behaviors,
and evaluating performance. When applied effectively, performance management
strengthens the relationship between supervisors and employees as well as increases the
overall effectiveness of the IDOC. Although equally valuable to both supervisors and
employees, the primary responsibility for effective performance management falls on those
in a supervisory role.
1. Training
Each IDOC supervisor must receive performance management training before conducting
an employee’s Employee Performance Review. Training will also be mandatory for
supervisors when there are changes or updates to State statutes, rules, and policies
governing performance management. Refresher training will be made available as needed.
HR will be responsible for the performance management training.
2. Setting Expectations and Defining Employee Responsibilities
An employee must know what is expected of him and the purpose of his position. To
accomplish this, the supervisor will meet with the employee at the time the employee is
assigned to him and communicate clear expectations, define employee job responsibilities,
and work with the employee to establish goals and objectives.
The supervis or will also periodically review the established goals and objectives with the
employee and modify or create new ones as needed.
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222.07.01.001
Version:
2.0
Title:
Performance Management
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Idaho Department of Correction
3. Providing Employee Support
Supervisors will provide training, resources, equipment, encouragement, and developmental
opportunities so employees can meet goals and objectives and achieve performance
standards.
4. Providing Continuous Feedback and Coaching to Employees
Performance management requires an ongoing commitment to effective communication.
Constructive, continuous feedback and coaching are key components toward effective
communication. Feedback and coaching are vital to the overall success of the employee.
Continuous Feedback often stems from a specific issue or behavior and is used to
reinforce good performance or redirect poor performance.
Coaching is a tool used to develop employees, enhance employee growth and
performance, and promote individual responsibility and accountability.
Whether providing continuous feedback or coaching it is imperative that the commun ication
be:
Timely (as soon after the event as possible),
Authentic (a sincere attempt to help but not control the employee), and
Documented
Documentation regarding an employee’s performance can come in many forms such as
notes on observed performance or behavior, written copies of the employee’s work, emails,
performance feedback worksheets and any corrective and/or disciplinary action documents.
5. Performance Feedback Worksheet
Performance feedbacks worksheets are less formal reviews that are conducted more
frequently than employee performance reviews . Performance feedbacks are intended to
ensure regular contact between an employee and supervisor regarding the employee’s
performance and development. Performance feedback shall be recorded on the applicable
Performance Feedback Worksheet. Performance feedback worksheets cover the same
performance standards as performance reviews, but do not require additional management
review above the rating supervisor and doesn’t provide an overall rating.
Performance feedbacks shall be conducted on each classified employee:
Quarterly during entrance, promotional, or voluntary probation. (Note: The
Employee Performance Review will stand in place of the fourth (4th ) quarter or
final Performance Feedback Worksheet .);
Semi-annually upon certification to permanent status in the current job class. (Note:
The Employee Performance Review will stand in place of the second (2nd) or
final Performance Feedback Worksheet .);
Any time a supervisor feels it necessary to document performance; and
Upon terminating employment with the IDOC. Note: When employment is
terminated, a Performance Feedback Worksheet must be completed, but an
Employee Performance Review will not be necessary.
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222.07.01.001
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Title:
Performance Management
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Idaho Department of Correction
If the employee’s last Employee Performance Review was less than 90 days prior to being
transferred or assigned to another division, promoted, or demoted, the supervisor shall
complete a Performance Feedback Worksheet in lieu of en Employee Performance Review.
The supervisor shall provide a signed copy of the employee’s Performance Feedback
Worksheet to the employee and maintain a copy for the employee’s employee working file.
6. Employee Performance Reviews
Employee performance reviews are formal reviews detailing an employee’s performance
and development. Employee performance reviews cover a variety of performance
standards, including both narrative and numerical rating sections.
Employee performance reviews shall be conducted on each classified employee:
At the completion of entrance, promotional, or voluntary probation;
Annually upon certification to permanent status;
For an outgoing transfer, to another supervisor, promotion or demotion if their last
performance review was more than 90 days prior to their transfer;
Any time a supervisor feels it necessary to document performance.
Narrative Ratings
Each Employee Performance Review shall include, a narrative summarizing the
employee’s performance and an overall narrative for the period of time covered in the
review cycle. The narrative will provide detailed information outlining the employee’s
strengths in meeting expectations as well as areas needing improvement. The language
used in the narrative must support the level of performance rating.
Level of Performance Ratings
In addition to a narrative rating, each employee shall be given one (1) of the following
performance ratings in each section of the Employee Performance Review:
EX — Exemplary performance
SS—Solid sustained performance
APS—Achieves performance standards
DNA—Does not achieve performance standards
Each level of performance rating will receive a point total, which will determine an overall
performance rating for the review period.
Reviewing and Signing
Employee performance reviews require a second level review as well as a review by a
manager, warden, or district manager. When the second level reviewer happens to be a
manager, warden, or district manager their signature is sufficient.
The rater signs the review prior to presenting it to the employee. The emp loyee will be
the last person to sign the Employee Performance Review .
Supervisors are expected to discuss the Employee Performance Review with the
employee, and the employee is expected to sign the review. The employee’s signature
does not indicate that the employee agrees with the Employee Performance Review,
only that the employee received the review on the date indicated.
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Idaho Department of Correction
If an employee refuses to sign the Employee Performance Review, the supervisor must
obtain a witness to the employee’s refusal to sign the review, note on the review that the
employee refused to sign the review, and secure the witness’ signature.
If the employee is unavailable to sign the Employee Performance Review (e.g., the
employee is no longer employed with the IDOC, is not imm ediately available, etc.), the
supervisor shall mail a copy of the review to the employee for signature. Alternatively,
and if applicable, the supervisor may obtain the employee’s signature upon the
employee’s return to work.
Once all parties have signed the Employee Performance Review, the supervisor shall
provide a signed copy of the review to the employee and maintain a copy for the
employee’s employee working file.
The original Employee Performance Review shall be forwarded to HR for filing in the
employee’s employee personnel permanent file (see section 9).
The Employee Response
An employee shall be given an opportunity to respond to the Employee Performance
Review in writing, either on the review its elf or on a separate attachment to the review.
If the employee disputes any part of the Employee Performance Review, the supervisor
shall ask the employee to sign the review (see the subsection above titled Reviewing
and Signing) and indicate in the employee comments section that he intends to provide
a written response. The employee must submit the written response to the supervisor
within seven (7) days of signing the Employee Performance Review.
7. Performance Improvement Plans
Should an employee receive a level of performance rating of “DNA” in any section of the
Employee Performance Review or as an overall rating, the employee’s supervisor must
prepare for the employee a Performance Improvement Plan (PIP) to address the non-
performance issue.
The PIP must include:
A detailed description of the non-performance issue,
An explanation as to why the performance was unacceptable,
A plan of action and timeframes for bringing the employee’s performance up to an
acceptable level,
Information regarding how the matter will be considered resolved should the
employee’s performance improve, and
The potential consequences should the employee’s performance not improve.
8. Performance and Career Development Plans
Supervisors are encouraged to create a Performance Development Plan and/or a Career
Development Plan for an employee at any time during the review cycle.
A Performance Development Plan is intended for employees who are already performing at
an acceptable level of performance but wish to improve.
Control Number:
222.07.01.001
Version:
2.0
Title:
Performance Management
Page Number:
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Idaho Department of Correction
A Career Development Plan is used in cases where an employee wishes to move up within
a given career path or chain of command but currently lacks the skills or experience
necessary for such advancement.
Both plans describe what areas an employee needs to work on in order to advance to the
next level. The supervisor will outline an action plan and resources that will likely help an
employee achieve his goals.
9. Employee Personnel Working Files
Supervisors will maintain a separate employee working file for each employee, which will be
used to document the employee’s performance. Employee working files shall be kept
confidential and stored in a secure location at the assigned facility. This information is used
to prepare the current performance evaluation. When an employee moves to a new facility,
the employee’s employee working file shall be sent immediately to the new work location.
When an employee’s employment is terminated then the working file is sent to HR for
inclusion with the permanent file. See Employee Personnel Records , 225.07.01.001.
– End of Document –