Appraisaland Development

System Manual

for

Central Officeand

Campus-BasedNon-Teacher

Employees

Table of Contents

Overview of the Appraisal and Development System...... 1

Purpose...... 1

Objectives...... 1

The Appraisal Criteria and Process...... 1

Participants...... 1

Appraisers...... 2

Performance Criteria...... 2

The Appraisal Process...... 3

Goal Setting Conference...... 3

Optional Mid-Year Progress Conference...... 4

Summative Appraisal & End of Year Conference...... 4

Employee Self-Reflection...... 5

Professional Development...... 5

Ongoing Observation, Feedback, and Documentation...... 6

Appraisal Calendar...... 7

Appeals Process...... 8

Appendix...... 9

Professional Competencies...... 9

Performance Ratings

Individual Professional Development Plan

Prescriptive Plan for Assistance

CONTACTS

Overview of the Appraisal and Development System for Central Office and Campus-Based Non-Teacher Employees

Purpose

It is the intent of the Houston Independent School District (HISD) to provide an appraisal and development system that will enablecentral office managers and school leaders to focus on the core competencies, behaviors, and practices that are necessaryfor their employees to optimize individual and department performance and meet the strategic goals of the district. The Appraisal and Development System for Central Office and Campus-Based Non-Teacher Employeesis used to provide ongoing feedback and development for non-instructional employees and to inform the continuous improvement efforts of central departments and campuses.

Objectives

The Appraisal and Development System for Central Office and Campus-Based Non-Teacher Employees ensures that everyone is working towards achieving the same goals and provides a systematic and consistent way to measure individual performance.

We will know when we’ve been successful in our efforts when all employees:

  • Know the district’s goals and how their department, campus, and/or team goals align;
  • Understand their role in improving students’ academic achievement and progress;
  • Use data to continuously improve the performance and results of their department, campus, and/or team;
  • Understand the expectations for performance and receive feedback and support for ongoing improvement;
  • Recognize the importance of providing outstanding customer service;
  • Strive to maximize district resources by continually focusing on department,campus, and/or team efficiency.

The Appraisal Criteria and Process

Participants

  • The ePerformance appraisal instrument in the PeopleSoft application will be used to document the job performance of HISD central office employees and campus-based non-teacher employees who work more than 20 hours a week.This includes full and part-time employees, tutors, hourly, and contract/non-contract, exempt/non-exempt, orprofessional/non-professional employees whose job code is other than classroom teacher, principal, dean, or assistant principal. Reference DN(LOCAL).
  • Employees will be appraised by a department head, manager/supervisor,principalor designated administrative team memberas an individual contributor or as a manager.

Appraisers

  • Each employee shall be evaluated by one appraiser for the appraisal year. The department heador campus principal determines who manages or appraises an employee and can change this relationship at any time as necessary.
  • Campus principals will assign appraisers for campus-based non-teacher employees in the Assign Appraisers screen within the PeopleSoft ePerformance application (under Manager Self-Service).
  • Central office employees will be appraised by their manager or direct supervisor.
  • In order to keep the list of active employees as current as possible department heads and principals are responsible for following the established process for communicating staffing changes to their budget analyst and Human Resources (HR) Business Partner and ensuring that PeopleSoft is updated accordingly.

Performance Criteria

  • Through a process of defining department and campus improvement plans for the year, each department/campus will then select one to threegoals to include in the individual employee appraisal.
  • Department heads/principals are responsible for the development of department/campus performance goals that align with HISD’s goals.
  • Annualdepartment/campus performance goals should be developed through a collaborative process that engages the leadership teams of a department or campus.
  • In addition to department/campus goals, the appraisal system evaluates individual employee performance based on the behaviors and practices of a set of six core professionalcompetencies that have been approved by the district for all employees. (See detailed descriptions of the Professional Competencies in the Appendix.)
  • Core professional competencies for employees who are managers are:Customer Focus, Judgment and Decision Making, Leadership, Planning/Organization, People and Team Development and Interpersonal Effectiveness.
  • Core professional competencies for employees who are individual contributors are:Customer Focus, Judgment and Decision Making,Planning/Organization, People and Team Development, Interpersonal Effectiveness and Technical/Functional Expertise.
  • Appraisersmay add individualperformance goals, as appropriate.
  • The performance of employees with the same job code or position should be evaluated against the same individual performance goals. In cases where employees have the same job code, but additional or unique job responsibilities,the individual goals may differ.

The Appraisal Process

  • Training on the appraisal criteria and process shall occur at the beginning of each appraisal year prior to or during the Goal Setting Conference. The collection of evidence regarding an employee’s performance begins 15 working days after annual appraisal training provided by the appraiser. The appraisal training PowerPoint presentation is available on the HR Employee Appraisal Systems Website.
  • The appraisal process is anchored around two required conferences, with ongoing observations of performance and feedback provided to employees throughout the year. Appraisers are required to meet with their assigned employees at least twice during an appraisal year for goal setting and end of year conferences. Conducting a progress conference at mid-year is an optional but recommended best practice. During the conferences and throughout the performance period, appraisers and employees discuss the employee’s performance to date, any progress towards achieving performance goals, and professional development activities.
  • In addition to the two required conferences, additional conferences may be requested by the appraiser or employee at any time.
  • Within 10 working days of the date of the requested conference, the appraiser shall provide a conference summary memorandum to the employee that documents the discussion. Conference summary memorandums are kept in the employee’s departmental (appraisal) file. The employee has the right to a copy.
  • Appraisers shall complete a summative appraisal that evaluates the overall performance during the appraisal year of each employee that they manage or are assigned to appraise. The summative appraisal is discussed with the employee at the end of year conference.

Goal Setting Conference

  • The underlying intent of this conference is to create empowered employees who have clarity on responsibilities and deliverables, work product, or performance outcomes so that there is an increase in the quality of their work and job satisfaction.
  • At this conference, it is the appraiser’s responsibility to clarify goals and to set performance expectations for the employee(s).

Goals need to be SMART:

Specific

Measurable

Attainable

Relevant

Time-bound (with milestones)

  • All goal-setting conferences must be completed by the deadline set in the board- approved appraisal calendar.

Optional Mid-YearProgress Conference

  • This conference is optional but recommended as best practice. It provides another opportunity for appraisers and employees to formally assess progress, discuss feedback, and adjust as appropriate. At this conference, the appraiser will lead a discussion around the employee’s job performance from the beginning of the appraisal period to the date of the progressconference, focusing on any concerns, acknowledging successes, and making adjustments to theIPDP, as necessary.
  • Progress conference dates vary due to the length of the employee’s duty schedule. Refer to the Appraisal Calendar section in this document for the appropriate progress conference timelines.

Summative Appraisal &End of Year Conference

  • Each employee will receive an annual summative appraisal and conference.
  • Employees will be evaluated against specific performance goals (at the department/campus and individual levels) and professional competencies.The ratings captured in the annual appraisal reflect the appraiser’s evaluation of the employee’s performance throughout the appraisal year.
  • Performance ratings are based on cumulative evidence that has been shared with the employee since the beginning of the appraisal year.The four levels of performance used to rate an employee’s overall performance on an annual basis are: Highly Effective, Effective, Developing and Ineffective. (See Performance Ratings in the Appendix for more information.)
  • End of year conference dates vary due to the length of the employee’s duty schedule. Refer to the Appraisal Calendarsection in this document for the appropriate end of year conference timelines.

Employee Self-Reflection

  • Employees should reflect on their own performance prior to any performance conference with their appraiser.
  • Employees should provide evidence that supports their performance to their appraiser before theend of year conference.

Professional Development

Individual Professional Development Plan (IPDP)

  • Each employee will create an Individual Professional Development Plan (IPDP) and submit it to the appraiser by the goal setting conference deadline each appraisal year.
  • Employees hired within one week prior to or after the deadline set by the calendar will create anIPDP within 15 working days from the start date and participate in a goal setting conference within 25 working days from the start date (or return date from a protected leave).
  • Employees and appraisers may discuss and adjust the IPDP during the goal setting conference or any time during the appraisal year when adjustments are necessary.
  • The IPDP shall align professional development opportunities to perceived areas of growth as they relate to the employee’s performance goal expectations or job position and function.

Example: If a department goal is to satisfactorily train five departments on the new expense reimbursement process by spring, then a development activity on the IPDP might be learning the new online technology platform to develop training for the reimbursement process.

Prescriptive Plan for Assistance (PPA)

  • An appraiser shall create a Prescriptive Plan for Assistance (PPA) for any employee whose job performance becomes a concern or whose summative ratings at the end of year indicate a need for improvement.
  • The appraiser shall create a prescriptive plan for assistance, using a specific formto outline the focus areas for development, specific development activities and action steps, and expected changes in behavior or performance outcomes, and hold a conference with the employee.
  • PPAs may be developed at any time during the appraisal period; however, an employee must be allowed sufficient time to remediate performance and/or behavior.

Ongoing Observation, Feedback and Documentation

  • Appraiser ratings should be based on observable or measurable performance, either through employee interactions with customers, team members, and internal partners or documentation of employee’s work. Appraisers are required to collect sufficient documentation to support appraisal ratings, such as:
  • Memorandums that document an employee’s performance or memorialize conferences, directives or failure to follow directives, etc.
  • Performance feedback formscompleted by the appraiser based on periodic check-ins/1x1s, etc…with the employee
  • Documentation of employee’s work, such as weekly or bi-weekly status reports, project team documents, project deliverables, or other work product
  • Feedback from team members, customers, and internal partners that has been shared and discussed with the employee
  • The appraiser may use third party evidence to inform the appraisal ratings. District policy,DN(LOCAL), must be followed regarding third party evidence. All documentation is confidential.Evidence that will inform the appraisal ratings shall be shared in writing with the employee within 10 working days of receipt or knowledge of the occurrence.
  • Employees may submit documentation for appraiser consideration at any time during the year and prior to the end-of-year conference.
  • Appraisers shall establish and maintain an appraisal file for each employee he or she appraises. An employee may ask for and receive a copy of his/her file. All appraisal files and documentation within are confidential.

Appraisal Calendar

Beginning of the Year September-November

  • Define department and individual performance goals (department heads/managers/principals)
  • Complete professional development plan (employees)
  • Assign appraisers in PeopleSoft (principals)
  • Review appraisal training/updates with employees (department heads/managers/principals)
  • Conduct Goal Setting Conference (appraisers and employees)

Goal Setting Conferences Duty Schedule / Goal Setting Conference Completion Date
9 month / October 4, 2013
10-10.5 month / October 18, 2013
11-11.5 month / November 15, 2013
12 month / November 22, 2013

Middle of the YearDecember-March

  • Conduct Progress Conference (optional, but recommended) (appraisers and employees)

Duty Schedule / Progress Conference Completion Date
9 month / December 13, 2013
10-10.5 month / January 17, 2014
11-11.5 month / February 7, 2014
12 month / March 28, 2014

End of YearApril-August

  • Conduct End of Year Conference (appraisers and employees)

Duty Schedule / Date Annual Appraisal
Submitted to Employee for Review / End-of-Year Conference
Completion Date
9 month / April 23, 2014 / April 30, 2014
10 month / May 21, 2014 / May 29, 2014
10.5 month / June 6, 2014 / June 13, 2014
11 month* / June 18, 2014 / June 25, 2014
11.5 month / July 2, 2014 / July 10, 2014
12 month* / August 22, 2014 / August 29, 2014
*Alternate dates are needed for the following employees only: Duty Schedule / Date Annual Appraisal
Submitted to Employee for Review / End-of-Year Conference
Completion Date
11 month (Custodians) / July 19, 2014 / July 26, 2014
11 month classified (Police) / June 26, 2014 / July 3, 2014
11 month classified alternative (Police) / July 24, 2014 / July 31, 2014
11 month (TDS) / August 2, 2014 / August 9, 2014
12 month (Hourly) / August 9, 2014 / August 16, 2014

Appeals Process

  • Employees may submit a written response or rebuttal:
  • After receiving writtendocumentation that will be used to inform the appraisal ratings, and/or
  • After receiving the annual summative appraisal
  • Any written response or rebuttal must be submitted within 10 working days of receiving written documentation or the annual summative appraisal.
  • An employee may initiate the grievance, or appeals, process at any time during the appraisal year when he or she disagrees with the appraisal content or process.Reference DGBA(LOCAL)
  • It is the employee’s responsibility to initiate the process at all levels by completing and submitting the original Dispute Resolution form to the appropriate supervisor, adhering to the procedures and timelines as outlined in DGBA(LOCAL).

Note: The Dispute Resolution form is located on the Human Resources website under Forms& Documents (in the left-side Navigation area).

Example:

  • Level One: Central Office employees submit the form to the immediate supervisor. Campus-based employees who are appraised by a campus administrator submit the form to the principal; those who are assigned to a campus, but appraised by the department supervisor, submit the form to that supervisor.
  • Level Two: All employees submit the original dispute resolution form to the Employee Relations division of the Office of Human Capital Accountability in the Human Resources Department.
  • Level Three: All employees submit the original dispute resolution form to the Board.

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Appendix

Professional Competencies

HISD Core Professional Competencies / Managers / Individual Contributors
Customer Focus / •Identifies andmeets the expectations and requirements of customers and internal partners. Seeks feedback to adjust as appropriate.
•Serves customers in a culturally sensitive, courteous, timely and professional manner.
•Develops strong, long-term customer/internal partner relationships. / •Identifies and meets the expectations and requirements of customers and internal partners. Seeks feedback to adjust as appropriate.
•Serves customers in a culturally sensitive, courteous, timely and professional manner.
•Develops strong, long-term customer/internal partner relationships.
Judgment & Decision Making / •Defines problem, conducts analysis, and develops appropriate strategy/solutions. Develops creative solutions to problems as appropriate.
•.Understands, evaluates and makes timely decisions. Exhibits the highest standards of professional conduct and ethical principles in decision-making.
•Incorporates organizational change effectiveness into decision-making.
•Involves staff and others, as appropriate, in decision-making process. / •Defines problem, conducts analysis, and develops appropriate strategy/solutions. Develops creative solutions to problems as appropriate.
•Understands, evaluates and makes timely decisions. Exhibits the highest standards of professional conduct and ethical principles in decision-making.
•Incorporates the impact of organizational change and understands the importance of stakeholder engagement in decision-making.
Leadership / •Leads change while incorporating multiple perspectives from diverse stakeholders. Can maneuver through complex political situations effectively.
•Demonstrates sensitivity to how people and organizations function. Relates well to all kinds of people inside and outside the organization.
•Defines and articulates vision and direction for the team. Anticipates problems and plans his/her approach accordingly. / N/A
Planning/ Organization / •Enthusiastically supports the district's, department's, and team's beliefs, mission, and vision. Determines organizational goals and objectives, both short and long term, that align to the goals of the district.
•Plans and executes department's work, which includes establishing effective processes, workflow and integration with other organizations.Complies with established control systems, policies, and procedures. Continuously seeks to improve work processes.
•Determines estimates and meets budget requirements, such as timely payments to vendors, in support of the strategic priorities of the district. / •Enthusiastically supports the district's, department's, and team's beliefs, mission, and vision. Understands organizational goals and objectives and aligns work accordingly. Prioritizes; focuses on the things that are important.
•Defines work effort; organizes people, information, and resources to get things done in a timely fashion.
Assists in planning and executing department’s work, which includes establishing effective processes, workflow and integration with other organizations. Complies with established control systems, policies, and procedures. Continuously seeks to improve work processes.
People and Team Development / •Defines and communicates performance expectations to team and others. Maintains a two- way dialogue with employees that promotes coaching and feedback.
• Addresses performance issues in a timely manner. Doesn't allow problems to fester by productively resolving conflicts.
•Actively engages in succession planning. Provides challenging "stretch" assignments and encourages employees to accept developmental moves. Identifies individuals with leadership potential and fosters their development.
•Builds effective teams to manage operations successfully. Creates opportunities for collaboration. Influences and motivates teams to do and be their best. Celebrate teams' accomplishments. / •Understands and delivers to expectations. Partners with the right people to move work forward quickly. Uses teambuilding and collaboration to creatively solve problems where appropriate.
•Demonstrates respect for others. Celebrates own and others' accomplishments. Inspires or motivates others to do and be their best.
•Identifies and communicates specific training and development needs required to meet objectives.
Interpersonal Effectiveness / •Communicates effectively in written and oral presentation.
• Builds relationships with team members and across the organization. Is widely trusted; seen as direct and truthful by peers and others. Contributes to a positive, fun work environment.
•Holds self and others accountable for high standards and accepts responsibility for mistakes. Is proactive in establishing personal goals and takes effective actions to achieve them. Provides peers/work teams constructive and appropriate feedback. Seeks 360 feedback and continuously improves.
•Seeks to understand diverse opinions. Addresses conflict situations with understanding and win/win outcomes. Can change tactics midstream when something isn't working.
/ •Communicates effectively in written and oral presentation.
•Builds relationships with team members and across the organization. Is widely trusted; seen as direct and truthful by peers and others. Contributes to a positive, fun work environment.
•Holds self and others accountable for high standards and accepts responsibility for mistakes. Is proactive in establishing personal goals and takes effective actions to achieve them. Provides peers/work teams constructive and appropriate feedback. Seeks 360 feedback and continuously improves.
•Seeks to understand diverse opinions. Addresses conflict situations with understanding and win/win outcomes. Can change tactics midstream when something isn't working.
Technical / Functional Expertise / N/A / •Completes the day-to-day functions and properly executes the technical aspects of the job.
•Obtains the appropriate training and certifications to complete work responsibilities.
•Delivers high-quality, measureable, and timely results.

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