PERFORMANCE EVALUATION GUIDE PERFORMANCE EVALUATION AND DEVELOPMENT PROGRAM Department of Human Resources Governors State University University

Park, Illinois INTRODUCTION Governors State University, in keeping with its efforts to establish an environment in which the dignity and worth of all members of the university is enhanced, is committed to the effective and efficient pursuit of quality service through staff development and evaluation. The university needs employees who will aim to: 1. Provide a high quality teaching and learning environment which is safe, comfortable, and fit for its purpose. 2. Provide a high quality education through programs that enable employees and students to acquire knowledge, experience, and understanding, and which gives access to further higher education, training, personal development, and growth. 3. Provide exemplary service to students, the community, and to each department. To this end, the university requires team work of its staff. The individuals who work at Governors State University are essential to the success of this mission, and the institution depends on all of us to achieve its expectations. Thus, the university has established a formal evaluation system as a yardstick in determining the quantity, quality, and manner of performance necessary to obtain its goals. PURPOSE The purpose of the formal performance evaluation is to: Ensure communication between the supervisor and employee. Some supervisors are more successful than others in communicating informally during the course of the year through conversation on the job, over coffee, or by on-the-spot examination of a particular project. The formal process forces contact between the supervisor and the employee, and allows each to report his or her impressions and observations. Review and determine how well an employee is performing in terms of the assigned tasks. Every job should be analyzed based on what criteria is important for the job. For example, it would not be prudent to encourage an employee to become more aggressive "just because good employees are aggressive" without first assessing whether the employee is already too aggressive, too passive, or is suitable for the position. Similarly, everyone does not need to become "more considerate of and sensitive to subordinate needs and feelings." Some employees may already be too sensitive and considerate.

Bring out strengths and weaknesses of the employee in behavioral terms and clearly designate areas where improvement is required. The major purpose for evaluating the employee's basic strengths and shortcomings is to facilitate the individual's development.

LEGAL REASONS FOR THE PERFORMANCE EVALUATIONS Over the last few decades, various laws have been passed that require employers to provide equal opportunity employment. Among these laws are the Equal Pay Act of 1963; Title VII, Civil Rights Act of 1964; the Age Discrimination in Employment Act of 1967, as amended in 1978 and 1986; and the Vocational Rehabilitation Act of 1973 and 1974. Some major areas that courts consider in resolving disputes and issuing interpretations of the laws are: Disparate treatment. The results of a decision based on the employer's actions. Inconsistencies in the selection, termination, layoff, and transfer of employees.

Decisions have been overturned by courts when performance evaluations do not support the actions of the supervisors. For example: The Supreme Court ruled, in the case of Fort Worth Bank and Trust vs. Watson, that a violation of Title VII of the Civil Rights Act occurred when an employer's subjective criteria resulted in disproportionately fewer protected employees receiving promotions. Furthermore, when employers are taken to court, formal performance evaluations help to properly document justification for termination decisions. The courts have supported employers in using performance evaluations in cases where: The employers provided written instructions and training for supervisors. The system was designed on job-related results and/or behavior. The duties were analyzed to be specifically germane to the job. The employee knew in advance what was expected.

Therefore, the performance evaluation process is required by the university and is administered through the Department of Human Resources. Human Resources has designed this guide with the above factors in mind to limit the university's liability to employees on employment decisions, to discuss the performance evaluation process, and to provide the civil service and professional staff with realistic, measurable, and clearly understood performance standards. EVALUATION TIMETABLE Each supervisor should complete in writing a performance evaluation form for permanent and probationary staff and temporary lecturers for the period of July 1 through June 30. Probationary employees must be evaluated every three months during the probationary period, annual thereafter; status employees must be evaluated annually. The completed annual performance evaluation form is due in Human Resources July 15. Formerly, evaluations were conducted on an annual calendar year basis. Beginning in 1998, the evaluation process is being changed to coincide with the university's fiscal year of July 1 through June 30. To bridge the two evaluation time periods, the upcoming evaluation period will cover January 1, 1997 through June 30, 1998. 2

CONFIDENTIALITY Every employee is entitled to privacy and respect during the evaluation process; therefore, confidentiality is essential. We request that you be sensitive to the employee's need and handle all documents with great care. The actual interview, typing of documents, and the transferring of these documents to Human Resources should be held in confidence. After the performance process is completed and forms signed, the original copy should be sent to Human Resources for the employee's personnel file. Two additional copies of the evaluation should be made: A copy of the evaluation should be given to the employee, and the supervisor should keep a copy of the evaluation in a confidential file in the unit. If the supervisor is unable to maintain confidentiality, the unit or department head should designate a secure place. THE EVALUATION PROCESS Overview: Each supervisor should strive to evaluate his/her staff promptly and ensure that the employees are aware of how their performance is regarded, with a view toward improvement. Performance evaluations and salary reviews are not identical. The performance evaluation is precisely that; it is a management tool to assess the employee's fit for the job. Behavioral traits are just as important to the success of the job as technical skills. The supervisor should consider such areas as the employee's approach to problem solving and decision making, the employee's emotional maturity, attitudes and motivation, interpersonal skills, adaptability to the job and the employee's environment, creativity, initiative, dependability, and reliability. Special Note to Academic Departments: The supervisors should use the process outlined in phases 1-4, pages 4-9, except as follows: For employees who assist faculty members, but who report to an academic staff member, the supervisor should coordinate, distribute, and collect performance evaluation information from the faculty members. Each faculty member should be given the appropriate performance evaluation form. For probationary employees, form 10-1, Probationary Employee Performance Evaluation, should be completed. For status employees, Section I of form 10-2, The Annual Employee Performance Evaluation, should be completed. The supervisors should collect the evaluation forms from the faculty members. When the supervisor rates the employee, the supervisor should consider the information received from the faculty members. The supervisors should keep the information received from the faculty. It is not required to be sent to Human Resources. Phase 1. The Initial Meeting for Upcoming Year For new hires, the initial meeting should be conducted within two weeks of the employee's appointment, and for status employees, the initial meeting should be conducted within 30 days of July 1 (giving the supervisor a 60-day window for this process). It may be more convenient to include this portion of the process at the end of the evaluation interview that covers the previous year's performance. At this meeting the supervisor should define standards of performance for the upcoming year, discuss future changes that are expected in the job description, and discuss goals and objectives.

Job Descriptions, Responsibilities, and Goals and Objectives Getting off on the right track is the key to the success of this process. Employees are more inclined to participate in team efforts if they are made to feel that their efforts are appreciated and understand why their duties are important to the overall success of the department and the university. Both the supervisor and the employee should have input in preparing and clarifying responsibilities on the job description. Supervisors who give employees the option of developing or reviewing the specifications enhance communication. For professional employees who are given special projects during the course of the year, the job descriptions may not be as useful. In these cases, objectives should be mutually set and should include: Standards for Rating Timetable for Completion of the Project

Specifying Priorities The major areas of employees' responsibilities should be defined and prioritized because some elements of their responsibilities may not be as critical as others. Those jobs that need to be accomplished more quickly than others should be identified and communicated. Elements that may be considered when setting priorities are: Those tasks that have a greater importance to the university or other departments. Those tasks that take longer to perform and must be completed at a precise time. Those tasks that must be completed first.

Standards of Performance It is the supervisor's responsibility to maintain accepted standards of job performance and personal conduct by ensuring that employees know what is expected of them and promptly calling attention to unsatisfactory performance. Performance standards should be attainable and should allow the employee the opportunity to move toward a higher level of performance. When setting standards, indicators that may be used to differentiate the various levels of job performance are the degree to which the employee: * Accepts, adapts, and adjusts to new or changing ideas, technology, situations, and/or conditions. * Complies with university regulations, state and federal laws. * Is motivated to innovate, develop, apply, and conceive new ideas, procedures, forms, and systems.

* Is accessible when needed to perform work assignments, is available and offers his or her services to others. * Is independent. * Performs quality work, in a timely manner. Phase 2. Interim Performance Feedback Periodic meetings during the year, on an informal basis, should be conducted to discuss the employee's progress. Providing interim feedback during the year is crucial. Although the university performance evaluation process is not tied to wage or salary adjustment, it is a primary source of information for employees who are doing well and for those who need improvement. Employees are not always insightful about where improvement is needed, and it is the responsibility of supervisors to inform their employees in a timely manner in order to avoid surprises at the year-end evaluation. Furthermore, these meetings are necessary because duties and responsibilities may change during the year. In this case, the supervisor and employee will have the opportunity to modify the development planning document accordingly. This phase of the process is as important as the formal evaluation because it helps to track the growth and development of the employee. Phase 3. The Pre-Interview Evaluation There are four checkpoints for the pre-interview evaluation: (1) distribute self-evaluation form, (2) determine peer/subordinate reviewers if applicable, (3) set due date for self-evaluation, and (4) set the formal date for performance evaluation. Self-Evaluation The purpose of the self-evaluation phase of the process is to assess the employee's performance based on performance expectations and to determine if there are any significant discrepancies in how the supervisor and employee view the employee's performance. Should there be any overall major issues and concerns, the employee and supervisor should reach a mutual understanding of the steps to be used to resolve these issues and concerns during the evaluation period. Steps to be used: The supervisor should give the employee the same evaluation form that he or she uses to assess performance. The employee should then assign a rating to each appropriate element under the section designed for the employee's classification and may include any documentation and additional comments on performance. Both supervisor and employee should complete and share his or her information with the other in a timely fashion so that each will have sufficient time to review it before the formal review. The self-evaluation form should not be sent to Human Resources.

Optional Peer/Subordinate Performance Review The purpose of the peer/subordinate performance review is to provide employees with useful insight into how they are viewed by those they manage and by those with whom they work. When using the optional peer/subordinate review process, no more than four should be requested from others, and the majority of the reviews should be completed by those the employee supervises. We recommend you use this process for administrative/professional and exempt civil service staff who supervise at least four employees. The employees and the supervisors should separately compile a list of two to four employees they would like to have participate in the review process. Together, the employees and the supervisors will compare lists and jointly decide to whom the forms should be sent. The supervisors should distribute the forms and manage the process of getting the forms returned. Signature is optional for the response. When the review forms are returned to the supervisor, the supervisor may either summarize the information or attach the actual review form to the employee's evaluation and submit them to the Department of Human Resources. Phase 4. The Formal Performance Evaluation Good evaluations require the following: * Knowledge of the employee's background, experience, and training. * Clear understanding of the person's job responsibilities. * Appreciation for the situational factors affecting the person's performance. * Observation of performance on a variety of tasks. * Observation of performance in a range of situations. * Frequent discussions with the person to understand attitudes, motivation, interest, and aspirations. The Evaluation Interview An Overview: Productive performance requires motivation, education, and development. Employees need feedback or their progress becomes stagnant. The performance evaluation interview is an important vehicle to discuss the areas above and for the supervisor and employee to offer feedback that will impact their working relationship. Most supervisors talk to their employees generally about specific duties, and this form of communication is important; however, supervisors cannot assume that employees are aware of the supervisors' level of expectations unless a formal interview is conducted and the form is completed. Employees who are evaluated deserve to be as prepared as the supervisor. Asking an employee into the supervisor's office at the last minute to meet for a performance evaluation is not only

unfair but is disrespectful. The supervisor should give the employee time to prepare and complete the self-evaluation. On the day of the formal evaluation, the supervisor should set the scene for the interview and make sure that all the required documents are available. The supervisor will find that his/her sessions are more productive. The following are some helpful hints: Arrange to have all calls and visitors diverted. Make sure you have scheduled enough time for the meeting. Clear your desk of any extraneous papers or files that will get in the way of your working on the desk with forms and evaluation documents. Have the temperature level in office comfortable; neither too cold nor too warm. Have a pitcher of water and cups handy, if possible. Put away anything you tend to fidget with, such as rubber bands and paper clips. Have all necessary paper work and forms ready: A copy of the employee's job description; performance objectives, performance standards; a journal or records of incidents, citations, concerns, and peer/subordinate performance reviews; and finally, the agreed upon written development plan.

THE PERFORMANCE EVALUATION FORMS Probationary Form (for Probationary Employees) Supervisors should use the Probationary Employee Performance Evaluation Form #10-1 and complete it in the following intervals in conjunction with the employee's current job description. The signed, completed form should be sent to Human Resources within two weeks of the close of the evaluation intervals: During the 6-month probationary period, supervisors should meet with their employees within two weeks of the hire, at the third and fifth months. Supervisors should follow the process outlined in phases 1-4, pages 4-9, under the evaluation process of this manual to discuss the role, scope, and expectations for the position. During the 12-month probationary period, in addition to following the process outlined in phases 1-4, pages 4-9, supervisors should meet with their employees within two weeks of hire, at the third, sixth, ninth, and eleventh-months to discuss the employee's progress. Annual Employee Performance Evaluation Form (For Status Employees, Research Associates, and Special Project Managers) Supervisors should use the Annual Employee Performance Evaluation Form #10-2. The annual performance period is from July 1 through June 30. The completed performance evaluation form is due in Human Resources by July 15. The Annual Performance Evaluation form will be distributed to supervisors 30 days before the evaluation period begins for supervisors to have sufficient time to initiate a pre-interview evaluation meeting (see phase 3, pages 7-8, under the evaluation process section for more details).

The following is a detailed explanation of each section of the Annual Performance Evaluation form: Section I. Performance Factors for Non-Exempt and Exempt Employees The supervisor is required to evaluate the employee on the seven performance and behavior factors that are listed. The categories were designed to include factors that will enhance the university's efforts to provide quality service effectively and efficiently to our students, the community, and other areas of the university. Refer to the definitions of ratings in the glossary and place the appropriate initial in the box that reflects the nearest performance level. If a factor is not relevant to the position, or if the factor cannot be rated because of lack of information, "N/A" should be written in the rating box. The comment section under each factor is designed for use to describe in detail why the employee failed to meet expectations; reasons or extenuating circumstances why goals and objectives were not met; or meritorious remarks specific to this factor. Refer to the glossary of terms in the Performance Evaluation Guide to aid in writing your comments. Section II. Performance Factors for Exempt Employees and Supervisors The supervisor is required to evaluate the employee on all relevant factors. Refer to the definitions of ratings in the glossary, and place the appropriate initial in the box that reflects the nearest performance level. If a factor is not relevant to the position, or if the factor cannot be rated because of lack of information, "N/A" should be written in the rating box or across the entire section. The comment section under each factor is designed for use to describe in detail why the employee failed to meet expectations; reasons or extenuating circumstances why goals and objectives were not met; or meritorious remarks specific to this factor. Refer to the glossary of terms in the Performance Evaluation Guide to aid in writing your comments. Section III. Discretionary Factor In cases where the supervisor wants to rate employees on a factor that has not been described in sections I or II of the Annual Employee Performance Evaluation, the supervisor may create one discretionary factor to tailor the process. The supervisor should state the name of the factor and describe the elements on the form. If a discretionary factor is designed, all employees in the unit must be notified of the components of the factor in advance of the evaluation cycle. Section IV. Strengths, Development/Training During the Current Evaluation Period This section of the evaluation form is designed to rate and provide an analysis of the employee's strengths and shortcomings. Far too often supervisors evaluate more on the basis of their personal feelings than on an objective analysis of strengths and shortcomings. Everyone is biased to some degree; some simply like certain people more than others for reasons having little to do

with competence. To be objective, supervisors must recognize their biases and actively work at not allowing them to influence their evaluations. There are two common evaluation errors that occur: The Halo Effect and Leniency. First, the "halo effect" is when the evaluator allows the evaluation of one aspect of a person's ability or make-up to distort the evaluation of other abilities and characteristics, and this overly influences the entire evaluation. This happens when, for example, the supervisor fails to see that the employee is terribly disorganized and gets little done even though the employee exhibits a high degree of intelligence and motivation. Leniency implies that sometimes supervisors tend to see their employees' strengths more readily and more clearly than their shortcomings, placing more emphasis on their strengths than their shortcomings in the overall assessment. It is a difficult task when individuals are placed in a position of having to judge another. Most people naturally want to get along with other people, be helpful, and be thought well of by others. Certainly, no one wants to hurt people by criticizing them. For these reasons and others, many, if not most, people tend to evaluate their staff more favorably and more leniently than they should. The tendency to be lenient is particularly strong when the supervisor knows that his or her evaluation is going to affect the employee's career and when the supervisor must communicate this to him or her. Supervisors need to be aware of this tendency and try to render a fair and just evaluation. In cases where either overall performance or a specific performance area has been rated less than "meets expectations," the Performance Improvement Plan form must be completed and sent to Human Resources. Your comments should include what behavior, performance, situations, or conditions must be changed; what is to be done by the employee, what is to be done by the supervisor, and the date when the development will be finished. The supervisor is required to hold periodic meetings over the following 90 days to discuss the progress of the employee and submit to Human Resources a follow-up evaluation. If the employee does not meet expectations during the 90-day period, the supervisor should contact the director of Human Resources for the appropriate action. Performance improvement plans do not apply to probationary employees and are not a replacement for the disciplinary process. Section V. Development Planning Supervisors can seldom improve performance by developing employees who are improperly placed in positions. Supervisors who consistently plan for growth in careers and help to move people along are themselves successful managers. Planning for human resource development is rewarding. Development plans should be constructive, corrective, and concisive. Examples are: Job rotation, e.g., where position has flexibility, move the employee into another position for three months for special training and growth.

Off-the-job techniques, e.g., have employees meet with other people who are concerned with similar or somewhat different problems. Different organizations may provide employees with new perspectives on old problems. Skills upgrades, e.g., acquiring technical, communication, and problem solving techniques; recommending courses and degrees.

The plan should include who is to do what, when, and where. If the development is mandatory the areas should be clearly stated and rated on the evaluation form. For those development areas that are optional to the employee, rating is not required. Section VI. The Overall Performance Evaluation Rating The overall performance evaluation rating is not an average of the various performance factors but is an assessment based on the most important elements of the position and how the employee met the standards of those elements. The supervisor should look at each category and analyze which has priority or more importance than the other and judge how the employee rates in comparison to new, mid-, or long-service employees. When considering this rating, please refer to the definitions in the glossary or on the front of the evaluation form. Section VII. The Employee's Comments and Signature The employee has the right to comment on the evaluation verbally or in writing on the evaluation form. The employee does not have to agree with the evaluation in order to sign and must be told that affixing his/her signature will not indicate an employee's agreement; but only attest to the fact that the evaluation has been discussed with the employee. The employee must be allowed to attach to the form any information outlining disagreement. This information will become part of the official evaluation material and will be placed in the employee's personnel file in the Department of Human Resources. Section VIII. The Supervisor's Comments and Signature, and the Unit Head's Signature We encourage the supervisor to let the second level supervisor review the evaluation before the evaluation interview to afford the second level supervisor an opportunity of commenting and observing consistency of ratings among his/her employees. The evaluation should not be altered after the evaluation interview. Should additional information be obtained after the evaluation interview, the immediate supervisor must conduct a second evaluation interview with the employee. If the employee is dissatisfied with the overall evaluation rating and wishes to register a complaint with the second-level supervisor, the employee has the right to meet with his/her supervisor's supervisor. The second-level supervisor must meet with the employee within 5 days of the date of the evaluation to assess the problem areas and try to resolve any dissatisfaction or complaint. Should the employee seek further resolution, he/she has the right to appeal to the director of Human Resources for resolution. At this point, the employee must file a written complaint within five days of the date he/she has received a decision from the second-level supervisor. The purpose of this procedure is to resolve unusual problem areas that will hinder the growth and development of the employee and not to reach total agreement or satisfaction on each evaluation factor.

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SUMMARY OF THE EVALUATION CYCLE The first-level supervisor is responsible for the coordination of the evaluation process. The annual performance cycle is from July 1 through June 30. 1. For new hires, an initial meeting should be conducted with the employee within two weeks of the employee's appointment, and for status employees, the initial meeting at the beginning of the evaluation cycle should be conducted within 30 days of July 1 (giving the supervisor a 60-day window for this process). The supervisor should discuss job performance expectations, and goals and objectives for the upcoming year, and design a development plan. Rather than schedule an independent meeting, supervisors have the option to discuss these elements with status employees at the end of the previous year's formal evaluation session. 2. Supervisors should track the employee's accomplishments against the supervisor's expectations throughout the evaluation period. 3. The Annual Performance Evaluation form will be distributed to department heads by June 1 of each year. The completed performance evaluation form is due in Human Resources by July 15. Immediately upon receipt of the evaluation packets, the department heads should distribute these packets to their supervisors. The probationary form will be distributed at the appropriate intervals according to the date of hire. 4. For the annual review, the supervisor is required to have a pre-interview evaluation to distribute the self-evaluation form, determine peer/subordinate reviewers if applicable, set due date for self-evaluation, and set the formal date for performance evaluation. a.) The immediate supervisor is required to complete an evaluation on all employees under his/her supervision, although a secondary supervisor may provide input. The supervisor is required to give the employee a self evaluation form to complete on him/herself. The self-evaluation is an internal tool to stimulate discussion and should not be forwarded to Human Resources. b.) If the optional peer/subordinate performance review process is used, the supervisor should work with the employee in compiling no more than four peers/subordinates to fill out the review form. This process should not be used for non-exempt civil service staff but should be used for exempt civil service and administrative/professional staff who supervise employees. c.) The supervisor is required to schedule a formal appraisal interview with the employee to discuss the results of the evaluation. 5. The supervisor must rate employees on the appropriate performance factors based on the employee's classification. In cases where the supervisor needs a factor that has not been described on the annual evaluation form, the supervisor may create one discretionary factor. List the name of the factor, the individual elements, and rate all employees in the unit on the evaluation form. All employees must be notified in advance.

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6. Both supervisor and employee must sign the evaluation. The employee, before signing the form, may make written comments in the place provided on the form (more pages may be added if needed). The employee may submit written comments concerning the evaluation within five working days of the appraisal interview to the Department of Human Resources and to the unit head. 7. The employee must be given a copy of the evaluation after appropriate signatures have been obtained. The unit head should retain a copy, and the original of the signed evaluation must be sent to the Department of Human Resources for inclusion in the employee's personnel file. If the employee feels the evaluation is unjust, he/she has the right to discuss the evaluation with his/her supervisor's supervisor or a Human Resources officer in the appropriate order. If you need help regarding the process, please contact Jennifer Blaeser in the Department of Human Resources at extension 5306; should you require a copy of an employee's current job description, contact Gwendolyn Glenn on extension 5302. GLOSSARY OF TERMS

Appeal Process
Is a mechanism that permits the employee an opportunity to express an oral or written dissatisfaction or complaint about his or her overall evaluation rating. (See Section VIII.)

Administrative/Professional
Is a contractual salaried employee who meets the Fair Labor Standard's Act exemption test for such areas as paid salary, responsibilities, and hours of work; may perform difficult and complex duties in his or her work area; and may supervise employees or perform work in a staff capacity. An administrative/professional employee normally is not hired to work for a probationary period.

Behavioral Characteristics
The following list of behavioral characteristics is designed to be helpful to supervisors in analyzing and evaluating strengths and deficiencies of employees and can be used when writing comments about the individual's abilities and behavior. The list is not intended to be exclusive and/or to be used rigidly or mechanically. Rather, it is intended to stimulate thinking and to help make an evaluation more thorough, analytical, and objective. It is also intended to be a first step toward achieving consistency in language and definition of words and phrases when evaluating employees. We recommend supervisors use it. Adaptable - Accepts and adjusts to new or changing ideas, technology, situations, and/or conditions. Handles unexpected or crisis situations appropriately and functions effectively under stress. Aggressive - Presents views in a forceful and assertive manner. Does not back down when opposed. Takes charge.

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Ambitious - Strongly desires advancement to position of increased authority and prestige. Analytical - Thinks logically, isolates the fundamental parts of a complex problem. Communicates well - Speaks clearly, articulately, and concisely. Is readily understood by others. Competitive - Strongly desires to be first and to win. Conceptual - Thinks in abstract and theoretical terms. Confident - Approach to new, unfamiliar, and difficult situations reveals self-assurance and realistic confidence. Courage of convictions - Stands up for beliefs and principles. Creative - Thinks originally and imaginatively, conceives new ideas and approaches. Credible - Readily gains the trust and confidence of others. Critical thinker - Probes beneath the surface. Does not accept things at face value. Decisive - Makes decisions quickly, applies sufficient data as a basis for the decision. Delegates effectively - Assigns work in accordance with subordinate's capabilities and his/her need to grow and learn. Not reluctant to "let loose of the reins." Deliberate - Thoughtful and thorough in making decisions. Carefully considers alternative. Demands excellence - Communicates and enforces high performance standards, strict and exacting in judging performance. Detail oriented - Pays careful attention to details. Develops people - Actively works at enhancing the competence of subordinates. Stimulates growth and development. Diligent - Applies steady, earnest effort to perform task. Energetic - Works vigorously and actively. Does not tire or fatigue easily. Engaging - Stimulating, elicits positive reactions from others. Enthusiastic - Communicates positive attitudes in an emotionally expressive and vibrant manner. Approaches problems optimistically. Follows through - Carries activities through to conclusion, ensures that projects are completed. 13

Friendly - Shows a personal interest in others. Has a pleasing personality. Gives feedback - Freely and generously communicates recognition for accomplishments and criticism for deficient performance. Gives guidance and direction - Lets subordinates know what is expected of them. Suggests appropriate courses of action. Good judgment - Discerns and chooses the correct course of action. Effectively blends intelligence, knowledge, and the understanding of people. Has drive - Pursues objectives with a high degree of energy and persistence. Has perspective - Views things in their relative importance, appreciates the broad picture. Honest - Behaves sincerely and candidly. Avoids deception and artificialities. Initiative - Moves into new areas without being prodded. Starts a series of events independently. Intellectually curious - Wants to know "why." Shows a thirst for and a keen interest in acquiring knowledge. Learns quickly - Readily grasps new ideas and concepts. Listens well - Pays close attention when others are speaking actively, tries to understand what's being said. Mature - Does not allow feelings to distort reasoning. Controls the expression of strong feelings. Does not rationalize failures. Motivates subordinates - Enhances subordinates' motivation to perform and achieve results. Objective - Reaches conclusion on the basis of facts as opposed to personal feelings and prejudices. Open and straightforward - Freely states what's on his/her mind. Expresses views without creating defensiveness. Open-minded - Willingly considers new ideas and an approach not tied to tradition or convention. Outgoing - Sociable, extroverted, enjoys and seeks out contact with people. Patient - Maintains composure in the face of delays and barriers. Perseveres - Pursues objectives in spite of obstacles and discouraging events.

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Persuasive - Sells ideas effectively. Overcomes objections. Plans and organizes - Lays out tasks in a logical and orderly sequence. Establishes and follows through on priorities. Poised - Maintains composure in embarrassing or upsetting situations. Politically astute - is shrewd in discerning sources of power and ways of dealing with them. Practical - Emphasizes action over abstraction. Thinks realistically, rejects the impractical. Responsible - Reliable and trustworthy, willing to be held accountable. Responsive - Reacts promptly to suggestions and requests. Resourceful - Improvises, devises ways to solve difficult problems. Results oriented - Is intent upon achieving practical results. Concentrates attention on making things happen. Risk taker - Acts without assurance of success. Able and willing to risk failure. Selects competent people - Recognizes and appreciates strength and competence. Actively seeks out competent people. Self-disciplined - Carries out difficult, unpleasant, and unrewarding tasks without procrastination. Self-reliant - Acts without undue guidance and assistance from others. Sensitive - Shows appreciation for and understanding of others. Sets a fast pace - Works quickly, places a premium on speed of action. Shows a strong sense of urgency. Shows consideration and sensitivity - Responsiveness to the needs and feelings of subordinates. Shows foresight - Anticipates the future consequences of actions. Sophisticated - Presents an impressive and dignified appearance and demeanor. Tactful - Rarely offends people. Expresses views without creating defensiveness. Terminates incompetent people - Able and willing to fire people when necessary. Terminates people for incompetence, not because of feelings.

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Tolerates ambiguity - Copes effectively with complex, vague, and disordered situations. Tough-minded - Unsentimental, able to make decisions detrimental to a few but helpful to most. Versatile - Applies a wide range of aptitudes, skills, and abilities. Works hard - Expends extra effort "above and beyond the call of duty." Makes personal sacrifices for the sake of the job.

Complaint
Is a written or spoken dissatisfaction of the process in total or part and brought to the attention of the supervisor, or in the case of a unionized employee, the union representative, and/or the Director of Human Resources. (See Section VIII.)

Coordination
Includes some decision-making: establishing broad objectives, recommending and/or initiating changes in the unit, approving decisions of various matters in terms of the approver's interpretation of broad objectives, approving decisions on specific matters to avoid conflict with other decisions.

Discretionary Factor
A factor that may be designed by the supervisor when the factors in Sections I and/or II of the Performance Evaluation Form do not describe a relevant job component in his/her unit. Every employee in the unit must be evaluated on this factor.

Dissatisfaction
Is defined as anything that disturbs an employee, whether or not such unrest is expressed in writing.

Employee
A person employed at Governors State University directly engaged in the performance of work under the provision of the civil service system and/or the Board of Trustees Rules and Regulations to include a part-time or a full-time person who is working toward a status civil service classification or a person who is in an administrative/professional position.

Exempt Employees
Governors State University uses this term to describe those employees who normally fall into three major categories: Executive, administrative/professional, and supervisory employees. The Fair Labor Standard's Act exempts these employees from the minimum hourly pay, overtime pay over 40 hours, and compensatory time. Supervisors of status exempt civil service or administrative/professional employees, who fall into this category, must use Sections I and II of 16

the Performance Evaluation Form. (For non-status civil service exempt employees, supervisors should use the probationary form during the probationary period).

Non-Exempt Employees
This term shall mean employees who are in positions that do not meet the Fair Labor Standard's Act exemption tests and are paid for overtime in excess of 40 hours per week or allowed compensatory time. Supervisors of status non-exempt employees, who fall into this category, must use Section I of the Performance Evaluation Form. (For non-status, non-exempt employees, supervisor should use the probationary form during the probationary period).

Peer/Subordinate Performance Review

An optional process designed to encourage feedback and provide useful insight to the supervisor into how the employee is perceived by other individuals with whom he/she works or interfaces.

Performance Evaluation Cycle

For six-month probationary employees, the cycle is the third and fifth months, annual thereafter beginning July 1 and ending June 30 of each year; for twelve-month probationary employees, the cycle is the third, sixth, ninth, and eleventh months, annual thereafter beginning July 1 and ending June 30 of each year. For status employees or employees who are not hired on probation, the performance evaluation cycle is July 1 and ending June 30 or any proportionate number of months during this period.

Probationary Employees
Employees who are required to complete an initial period of employment before becoming status employees for close observation and evaluation, and to determine whether they demonstrate the ability and qualifications necessary to furnish satisfactory service to the university.

Rating Scale (in Rating Order)

Superior - The person is so successful in many important areas of the job or at a particular job criterion that the performance is outstanding in comparison with the usual standard. The employee has exhibited the best results using traits such as adaptability, creativity, or initiative in areas that are otherwise unexpected. Generally Exceeds Expectations - Performance at this level is one of the better performances in the unit, given the common standards and unit results; clearly, better than average in many important areas of the job or at a particular job criterion. Meets Expectations - Performance is considered good and is at or above the minimum standards. This level of performance is what you would require in a particular job criterion or in important areas of the job from most experienced, competent employees.

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Needs Improvement - Performance is somewhat below the minimum-level standard on this job dimension or does not meet expectations in some important areas of the job. However, there appears to be potential to improve the rating within a reasonable time frame. Unsatisfactory - Performance on this job criterion or in many areas of the job is well below standard, and there may be serious question as to whether the person can improve to meet minimum standard. Not Applicable - Performance factor is irrelevant to the position, or the factor cannot be rated because of insufficient information.

Self-Evaluation
A process designed to stimulate discussion between the employee and the supervisor. The employee rates him/herself on the same form that the supervisor uses and is reviewed at the formal performance evaluation session.

Status Employees
Employees who either have completed their probationary period or are in continuous positions of which the university has the intention of continuing on a regular employment basis. These positions may be on a full-time or a percentage of a full-time basis.

Supervisor
Is an employee who plans, organizes, reviews, and/or assigns work to a subordinate in an area, unit, department, or division of the university and has the responsibility of recommending such personnel actions as an employee's hire, termination, and development and training; is responsible for the coordination of the performance evaluation process for the employees under his/her supervision.

Temporary Employees
For the purpose of this process, extra help employees will be excluded; but the process will cover other employees who are hired to work for a specific period of time and may work part-time, full-time, or on an "as needed" basis to include Research Associates, Special Projects Managers, and University Lecturers. With the exception of the University Lecturers, supervisors should use the Annual Employee Performance Evaluation form, sections I and II to rate these employees. Individuals who supervise University Lecturers may develop their own evaluation criteria in consultation with the Director of Human Resources. Robert A. Gordon, Business Leadership in the Large Corporation, The Brookings Institution, Washington, D. C., 1945, p.53.

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