HomeMy WebLinkAboutPR 640 HR - Performance Appraisal And Supervision For Administrative & Support Staff
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PROCEDURE PR.640.HR
TITLE: PERFORMANCE APPRAISAL AND SUPERVISION FOR
ADMINISTRATIVE & SUPPORT STAFF
Date issued: 02 June 2004
Last revised:
Authorization: Senior Staff: 01 June 2004
1.0 OBJECTIVE
The purpose of this procedure is to provide supervisors with a process for documenting
employee performance towards expected performance requirements to:
a) promote continuous personal and professional growth;
b) promote a basis for effective communication;
c) indicate employee strengths;
d) provide a cumulative and summative record of performance;
e) provide the basis for professional growth;
f) assess the competencies of staff;
g) promote movement throughout the system;
h) serve as a basis for promotion;
i) identify and document performance deemed unsatisfactory;
j) assist employees to correct and improve performance that does not meet the
expected or required standards;
k) provide supervisors with a process by which they can assist employees and
make decisions; and
l) maintain excellence in the working environment.
2.0 DEFINITIONS
In this procedure,
2.1 Supervision is an on-going developmental process directed toward improved
performance and job satisfaction. It is formative in nature. Its prime function is
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supervisory as compared with the administrative function of summative evaluation. Its
focus is on change or making a process or operation more effective as it progresses.
2.2 Supervisor refers to a Principal, a Manager, a Supervisor, a Superintendent, or other
appropriate position, as applicable, with immediate responsibility for the work
performance of other employees.
2.3 Evaluation occurs when an evaluator ‘sums up’ by commenting on some aspect or
aspects of an individual’s work as observed over a period of time based on multi-source
data. The chief function of evaluation is to indicate the evaluator’s overall perception of
an individual’s work or performance as clearly as possible. Thus, a summative report is
a formal acknowledgment of the quality of one’s work. Summative reports summa rize
changes and accomplishments in connection with the improvement of program and
instruction.
2.4 Professional growth is defined as an on-going process designed solely for the
development and improvement of an individual's performance. This process is
characterized by an emphasis on self -evaluation, goal-setting, accompanying
strategies, measures of success, constructive feedback and self -directed learning. All
these components require an atmosphere of mutual trust and respect.
2.5 Under Review is a process for documenting employees whose performance does not
meet expected performance requirements.
3.0 RESPONSIBILITY
3.1 Supervisors are responsible for the supervision and evaluation of staff in their
respective division, department or school, as applicable.
3.2 The Performance Appraisal will be completed by the employee’s supervisor during the
first year of appointment to the position or in which the incumbent is considered to be
“probationary” in the position.
3.3 The primary responsibility for the Under Review Process rests with the appropriate
supervisor. If the employee’s immediate supervisor is a member of the same
bargaining unit, or is represented by the same bargaining agent as the employee,
responsibility for the Under Review Process should be moved up to a supervisor who is
union exempt.
a) An immediate supervisor who is a member of the same bargaining unit or
represented by the same bargaining agent as the employee may participate in
the process by bringing to his/her supervisor’s attention areas of serious concern
in an employee’s performance. The immediate supervisor may also act as a
resource person to promote improvement and provide assistance to the
employee.
b) Throughout the under review process, the appropriate Superintendent must be
consulted and be kept fully informed. The appropriate Superintendent will inform
the Director and consult with the Superintendent of Human Resources, as
required.
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4.0 UNDERLYING PRINCIPLES
4.1 The Supervision for Professional Growth of Administrative and Support Staff is based
on the following guiding principles:
a) Supervision of staff means encouragement toward improvement of work
performance and achievement of organizational goals. It is the most important
single aspect of the supervisor’s role.
b) The performance appraisal process is based on the belief that employees are
motivated towards on-going improvement of work performance.
c) The performance appraisal process is an integral component of the staff
development process and based on high quality, self -directed learning.
d) Employees are encouraged to take the initiative and assume the responsibility of
their own professional growth.
e) The appraisal documents the impact of the employee’s contribution to the
educational environment.
f) Supervision and evaluation must be conducted in an atmosphere of profess ional
trust and respect.
g) The Supervision for Growth process is intended to be collaborative, ongoing and
consistent, with continuous involvement of the employee and evaluator.
5.0 THE EVALUATION PROCESS
Probationary/New Hire Evaluation Requirements
5.1 The Performance Appraisal will be completed during the first year of appointment to the
position or, during the period in which the incumbent is considered to be “probationary”
in the position.
5.2 Where a probationary employee is identified as experiencing difficulty, e fforts should be
made to ensure that an appropriate decision can be made with respect to the
employee’s status prior to the end of the employee’s probationary period, as defined in
the applicable collective agreement.
Evaluation Cycle
5.3 After the initial probationary period of employment, a performance appraisal is required
every three years of active employment.
5.4 As part of the evaluation process, every employee should prepare a professional growth
plan in consultation with their supervisor. This plan reflects the professional objective(s)
of the employee, as well as integrating the work environment’s objectives and those of
the system. The Professional Growth Plan is reviewed annually
Appraisals during Non-evaluation Years
5.5 When a supervisor has reason to believe that an employee’s performance has fallen
below acceptable standards established by the Board, the supervisor may, at his/her
discretion or in consultation with the appropriate Superintendent, initiate the Under
Review Process. Subject to when the last formal evaluation was conducted, the
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supervisor may wish to complete a performance appraisal prior to moving directly to
Under Review.
5.6 Additional performance appraisals may be conducted during a non-evaluation year,
using the same process used during an evaluation year, if the supervisor considers it
advisable to do so in light of circumstances relating to the employee’s performance.
5.7 If a formal evaluation has been completed within the previous six months which
identifies areas of concern and the employee appears unwilling or unable to effect the
required improvement, the supervisor will proceed directly to the Under Review
Process.
5.8 An employee may request an additional performance appraisal during a non -evaluation
year. The supervisor may refuse the request if, in the supervisor’s opinion, the
additional performance appraisal is unlikely to result in improvement in the employee’s
performance.
Process Following a Satisfactory Rating
5.9 Where an employee meets the performance requirements, the next appraisal will
normally be in three (3) school years.
5.10 To assist employees to become increasingly effective in their various roles, the
professional growth plan that was developed as part of the evaluation is reviewed
annually and modified, as required, each year. This plan reflects the professional
objective(s) of the employee, as well as integrating the work environment’s objectives
and those of the system.
Process Following an Unsatisfactory Rating
5.11 Where a performance appraisal indicates that an employee’s performance does not
meet requirements, the supervisor may, at his/her discretion, or in consultation with the
appropriate Superintendent, recommend that a repeat performance appraisal be
completed, or, initiate the Under Review Process. This decision should be made based
on consideration of various factors, including length of time in the position, nature and
extent of the deficient areas of performance and any other relevant factors.
5.12 If, following a repeat performance appraisal, the employee’s performanc e still does not
meet requirements, the supervisor will initiate the Under Review Process.
Under Review Process
5.13 A supervisor who has serious concerns regarding the performance of an employee
should discuss the issue with the employee at the earliest opportunity, to try to provide
assistance and address specific areas of concern.
5.14 Meetings with the employee and other parties (as appropriate) should be held prior to
and throughout the Under Review Process to monitor the employee’s progress
regularly.
5.15 The supervisor will prepare a written summary of every meeting, review it with the
employee and have the employee sign the supervisor’s copy of the summary as
acknowledgment that it has been read. The summaries should also make reference to
the stage reached in the Under Review Process.
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5.16 All written communication with the employee emanating from these procedures will be
marked CONFIDENTIAL, with the original going to the employee and a copy to the
appropriate Superintendent and the Superintendent responsible for Hum an Resources.
The employee should be asked to sign a copy acknowledging that the original has been
received.
5.17 Where the employee is a member of a bargaining unit, the employee’s right to have
assistance and representation from the appropriate Union should be adhered to at
every step in the process. The employee must be advised of this right at the outset of
the process and provided with a reasonable opportunity to contact and arrange Union
representation as required.
5.18 The timelines are intended as guidelines only and may be extended or abbreviated
subject to the particular circumstances, giving consideration to the nature of the specific
concerns, the employee’s experience and any mitigating factors that may be
contributing to the employee’s difficulties.
5.19 Probationary employees who are experiencing difficulty will be subject to the same
Under Review Process outlined in this procedure, subject to ensuring that an
appropriate decision is made with respect to the employee’s status prior to the end of
the employee’s probationary period* through the following amendments:
a) supervisors who have concerns about a probationary employee’s performance
should proceed directly to the Under Review Process;
b) timelines are to be shortened and the number of Letters of Con cern reduced.
*Note: The probationary period for new employees is determined by the appropriate
collective agreement, or in the case of union-exempt employees, by the terms and
conditions set out in the Handbook.
Under Review Process
5.20 When a decision has been made to begin the Under Review Process, a meeting will be
arranged with the supervisor, the employee and the appropriate Superintendent, or
designate, for the purpose of advising the employee of the decision to begin the process
and to discuss the identified performance concerns. The employee should be provided
with a copy of this procedure and provided with an opportunity to ask questions about it
and to respond to the concerns raised. The employee should also be advised prior to
the meeting that he/she has a right to be accompanied by a representative of the Union.
Note: Where the employee concerned reports directly to the Superintendent, the latter
may elect to have another Superintendent or representative of Human Resources
present at all meetings.
5.21 Following the meeting, the supervisor will prepare a written summary to be reviewed
with the employee, and signed as having been read by the employee. The summary
should include the areas of concern raised, the employee’s comments or reactions, and
the decision to place the employee in the Under Review Process. Copies of the
summary will be provided to the employee, the appropriate Superintendent and the
Superintendent of Human Resources (for inclusion in the personnel file).
5.22 The supervisor will write a Letter of Concern (I) (identified as such at the top of the
letter) to the employee which will include:
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a) specific identification of the areas of unsatisfactory performance;
b) specific description(s) of the improvement(s) expected in each area;
c) suggested resources and support services available to the employee to assist in
improving performance;
d) a reasonable time period (normally four (4) to six (6) weeks, depending on the
nature and seriousness of the concerns) for the employee to show sufficient
improvement; and
e) a statement of possible consequences for failing to improve.
Note: The supervisor will provide the employee with the original letter and ask the
employee (or a witness in the event that the employee refuses) to sign a copy
acknowledging receipt. Copies of the Letter of Concern (I) will be forwarded to the
appropriate Superintendent and the Superintendent of Human Resources (for inclusion
in the employee’s personnel file).
5.23 Based on the timelines established in the Letter of Concern (I), the supervisor wil l follow
up with the employee to determine whether sufficient improvement has taken place.
The supervisor may consult with other staff, as appropriate, including the immediate
supervisor and the appropriate Superintendent.
5.24 If, in the supervisor's opinion,
a) sufficient and sustained improvement has taken place, the supervisor will so
advise the staff member in writing. The letter should contain an appropriate
expression of satisfaction as well as an indication of the importance of
maintaining a fully satisfactory level of performance. Copies of this Letter of
Improvement will be distributed in like manner to the Letter of Concern.
b) some (but insufficient) improvement has taken place, the supervisor may wish to
provide the employee with additional time and support/assistance to continue to
show improvement. If sufficient improvement does result, the supervisor should
follow up in writing as provided in (a) above. If insufficient improvement results,
the supervisor should proceed to the next phase of the Under Review Process as
set out in c) below.
c) insufficient improvement has taken place, a meeting will be arranged with the
employee, a representative of the Union (at the discretion of the employee), the
supervisor and the appropriate Superintendent to advise th e employee of the
decision to issue another Letter of Concern (II). The meeting will also serve to
discuss specific ongoing concerns with the employee’s performance, the
absence of improvement, the need for immediate improvement, the possible
consequences of failing to improve and the supports/assistance that have been,
and will continue to be, provided.
5.25 Following the meeting outlined in (c) above, the supervisor will proceed to write another
Letter of Concern (II). In addition to those points set out in paragraph 5.22, Letter of
Concern (II) (which will be identified as such at the top of the letter) will include
reference to:
a) Letter of Concern (I);
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b) the steps that have been taken to date to assist/support the employee’s
improvement; and
c) the lack of sufficient improvement in the time provided.
5.26 Based on the timelines established in the Letter of Concern (II), the supervisor will
follow up with the employee to determine whether sufficient improvement has taken
place. The supervisor may consult with other staff, as appropriate, including the
immediate supervisor and the appropriate Superintendent.
5.27 If, in the supervisor's opinion,
a) sufficient and sustained improvement has taken place, the supervisor will so
advise the staff member in writing. The letter should contain an appropriate
expression of satisfaction as well as an indication of the importance of
maintaining a fully satisfactory level of performance. Copies of this Letter of
Improvement will be distributed in like manner to the Letter of Concern.
b) some (but insufficient) improvement has taken place, the supervisor may wish to
provide the employee with additional time and support/assistance to continue to
show improvement. If sufficient improvement does result, the supervisor should
follow up in writing as provided in (a) above. If insufficient improvement results,
the supervisor should proceed to the next phase of the Under Review Process as
set out in c) below.
c) insufficient improvement has taken place, a meeting will be arranged with the
employee, a representative of the Union (at the discretion of the employee), the
supervisor and the appropriate Superintendent to advise the employee of the
decision to issue another Letter of Concern (III). The meeting will also serve to
discuss specific ongoing concerns with the employee’s performance, the
absence of improvement, the need for immediate improvement, and the
consequences of failing to improve and the supports/assistance that have been,
and will continue to be, provided.
5.28 Following the meeting, the supervisor will prepare a written summary to be reviewed
with and signed by the employee acknowledging that the summary provides an
accurate reflection of what was discussed at the meeting. The summary will include the
areas of concern raised, the employee’s comm ents or reactions, and plans (including
timelines) for addressing the concerns. Copies of the summary must be provided to the
employee, the appropriate Superintendent and the Superintendent of Human
Resources (for inclusion in the personnel file).
5.29 Based on the timelines established (normally four (4) weeks) in the supervisor’s
summary, the supervisor will follow up with the employee to determine whether
sufficient improvement has taken place (see 5.26 above).
5.30 If there has been insufficient improvement in the employee’s performance, the
supervisor will consult with the appropriate Superintendent, the Superintendent of
Human Resources and other appropriate staff as required to determine the appropriate
course of action, which may include:
a) extending the timeline for required improvement;
b) issuing Letter of Concern (IV);
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c) recommending the withholding of salary increment in accordance with the
applicable collective agreement;
d) in the case of employees holding positions of responsibility, recommending
demotion from that position; or
e) recommending dismissal for cause (see .5.31 below).
5.31 A meeting will be arranged with the employee, a Union representative (unless the
employee expressly waives his/her right to have a representative present), the
appropriate Superintendent and the Superintendent of Human Resources to inform the
employee of the supervisor’s recommended course of action under .5.26 above. The
employee will be given the opportunity to comment and respond.
Following the meeting, the supervisor will confirm the recommendation in writing with
copies to the employee, the appropriate Superintendent and the Superintendent of
Human Resources (for inclusion in the employee’s personnel file).
Recommendation for Dismissal for Unsatisfactory Performance
5.32 Where the supervisor concludes that the employee, having received Letters of Concern,
and various opportunities for assistance, appears to be unwilling or unable to perform
assigned duties:
a) the supervisor, in consultation with the appropriate Superintendent and the
Superintendent responsible for human resources, will recommend that the
employee be dismissed for cause. This decision should be taken only after all
previous warnings and attempts to assist the employee have failed to produce
the required improvement;
b) the Superintendent responsible for Human Resources, or designate, will present
the recommendation to the Director of Education, or Board, as required,
including:
(i) notifying the staff member in writing of the proposed course of action and
setting out the reasons therefore; and
(ii) advising the employee that he/she has the right to make written
submissions which will be placed before the Director of Education or
Board, as applicable, for consideration as part of the deliberations on the
recommendation for dismissal.
c) the Superintendent responsible for Human Resources will advise the employee,
the supervisor and the appropriate Superintendent of the decision.
6.0 APPENDICES
OCDSB 715A: Supervision For Growth Performance Appraisal For Administrative and Support
Staff
OCDSB 715B: Professional Growth Plan, Supervision of Administrative and Support Staff
OCDSB 715C: Supervision for Growth Performance Appraisal for
Managers/Supervisors/Division Heads
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7.0 REFERENCE DOCUMENTS
Board Policy P.066.HR: Performance Appraisal and Supervision for Administrative and
Support Staff
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SUPERVISION FOR GROWTH PERFORMANCE APPRAISAL FOR
ADMINISTRATIVE AND SUPPORT STAFF
(Form A)
EMPLOYEE: EIN:
SCHOOL/DEPARTMENT:
POSITION TITLE: DATE:
EVALUATOR’S NAME:
REASON SUBMITTED:
( ) Probationary Employee ( ) Employee’s Request ( ) Principal’s/Manager’s Decision ( ) Cyclical Review
( ) This is to certify that a minimum of the two consecutive performance appraisals have been reviewed
The information on this form is collected under the authority of the Education Act and will only be used to record
personal and professional performance evaluation. Should you wish to review this information, please conta ct
Human Resources.
OVERVIEW OF THE ASSIGNMENT
Include a brief description of the assignment(s) since the previous performance appraisal.
GENERAL SUMMARY OF PERFORMANCE
Reference must be made to all criteria listed below.
( ) Meets OCDSB Administrative and Support Staff Performance Requirements
( ) Does Not Meet OCDSB Administrative and Support Staff Performance Requirements
( ) Next Performance Appraisal in 3 years
( ) Repeat Performance Appraisal
( ) Under Review (see Letter of Concern Procedure)
OCDSB 715A (04-06) Supervision for Growth Performance Appraisal for Administrative and Support Staff
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ORGANIZATIONAL AND MANAGEMENT SKILLS - Sample Indicators.
Plans and manages workload, adapts to changing assignments/dea dlines; Demonstrates ability to continuously
value and prioritize conflicting demands to meet important and not just urgent needs; Understands the role of
technology as it relates to the position and how it affects the management of their work.
( ) Meets the Requirements. ( ) Does Not Meet the Requirements
COMMUNICATION - Sample Indicators.
Communicates effectively orally and in writing to a variety of audiences in a timely and appropriate manner;
Demonstrates effective listening skills by using appropriate non-verbal cues and seeking clarification; Establishes a
network of contacts/processes/strategies to facilitate communication; Creates an environment that fosters open -
communication.
( ) Meets the Requirements. ( ) Does Not Meet the Requirements
INTERPERSONAL SKILLS - Sample Indicators.
Interacts positively with students, staff colleagues and the public with sensitivity, tact and discretion; Promotes
positively with students, staff, colleagues and the public; Demonstrates the application of forthrightness, honesty
and ethics in relationships and work; Demonstrates the ability to use conflict resolution skills with respect and
sensitivity.
( ) Meets the Requirements. ( ) Does Not Meet the Requirements
KNOWLEDGE AND PRACTICE - Sample Indicators.
Demonstrates the requisite knowledge and skills appropriate to the position; Demonstrates competence and
understands use of technological resources as required for the position; Knows, understands, references,
implements and follows Board Policies and Procedures relevant to their position; Contributes to a safe and secure
environment through adherence to established practice.
( ) Meets the Requirements. ( ) Does Not Meet the Requirements
CONTRIBUTION TO SYSTEM/DEPARTMENT/SCHOOL - Sample Indicators.
The employee represents in a positive manner system/department/school mandate; Participates in
system/department/school committees; Employee promotes the profession through participation in their professional
organization/federation; Shares ideas that may be beneficial to the work unit; Displays an active interest in
school/community relations as appropriate; Assumes a leadership role as appropriate.
OCDSB 715A (04-06) Supervision for Growth Performance Appraisal for Administrati ve and Support Staff
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____________________________________________________________________________________
PROFESSIONAL GROWTH - Sample Indicators.
Participates in opportunities for on-going professional growth; Employee demonstrates a commitment to life long
learning by participating in relevant individual professional growth and development (professional dialogue,
readings, workshops, etc); Integrates and applies new learning (concepts) into practice; Develops personal
professional growth plan on an annual basis; Participates in the delivery of information sessions/presentations
when appropriate.
Additional information for this record has been provided by ______________________________name and position
Employee’s Signature and Comments:
By signing this record the employee verifies having read it. It does not necessarily indicate that the employee agrees
entirely or in part with the contents of the record. The employee may add comments concerning the evaluation.
_____________________________ _____________________________
Employee’s Signature Date
Comments:
_____________________________ _____________________________
Evaluator’s Signature Date
Evaluator’s Supervisor Signature or Superintendent (if appropriate) and Comments:
_____________________________ _____________________________
Evaluator’s Supervisor Signature Date
Comments:
Distribution: Original signed by employee, evaluator and evaluator’s supervisor or superintendent (if a ppropriate).
A copy will be placed on the H.R. file with copies to employee and evaluator.
* Employees are responsible for maintaining a reference file of all their performance appraisals.
OCDSB 715A (04-06) Supervision for Growth Performance Appraisal for Administrative and Support Staff
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PROFESSIONAL GROWTH PLAN
Supervision of Administrative and Support Staff
(Form B)
Employee’s Name: EIN:
Location: Position Title:
Supervisor’s Name: Supervisor’s Signature:
Date: Employee’s Signature:
GROWTH OBJECTIVE #1:
(What do you want to learn?)
How are you going to learn it? Timelines
(Steps to achieve my objective)
Resources required:
What will the success or the results of your plan look like?
ANNUAL REVIEW COMMENTS
__________________________________ _____________________________
Supervisor’s Signature Employee’s Signature
Date of Review:
OCDSB 715B (04-06) Supervision for Growth Performance Appraisal for Administrative and Support Staff
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GROWTH OBJECTIVE #2:
(What do you want to learn?)
How are you going to learn it? Timelines
(Steps to achieve my objective)
Resources required:
What will the success or the results of your plan look like?
ANNUAL REVIEW COMMENTS
__________________________________ _____________________________
Supervisor’s Signature Employee’s Signature
Date of Review:
OCDSB 715B (04-06) Supervision for Growth Performance Appraisal for Administrative and Support Staff
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8.0 SUPERVISION FOR GROWTH
PERFORMANCE APPRAISAL FOR
MANAGERS/SUPERVISORS/DIVISION HEADS
(to be used in conjunction with Form 715A)
EMPLOYEE: EIN:
SCHOOL/DEPARTMENT:
POSITION TITLE: DATE:
EVALUATOR’S NAME:
REASON SUBMITTED:
OVERVIEW OF THE ASSIGNMENT
Include a brief description of the teaching assignment(s) since the previous performance appraisal.
SUPERVISION OF STAFF (Sample indicators)
Recognizes the importance of supervision of staff as a primary activity, Plans for the con ducts formal evaluation of
staff for purposes of individual growth and division/board improvement, works with staff to establish a culture of
reflective practice, identifies and mentors potential leaders.
Meets the Requirements Does Not Meet the Requirements
DIVISION/DEPARTMENT LEADERSHIP (Sample indicators)
Ensures that the goals of the department/division are aligned with the mission/vision of the board recognizes and
uses appropriate decision making processes, fosters a positive working environment.
Meets the Requirements Does Not Meet the Requirements
OCDSB 715C (04-06) Supervision for Growth Performance Appraisal for Managers/Supervisors/Division Heads