Policy 4.9 - Performance Review and Evaluation

Policy 4.9 - Performance Review and Evaluation

BLACK HILLS STATE UNIVERSITY

Policy and Procedure Manual

SUBJECT: Performance Review and Evaluation

NUMBER: 4:9

Office/Contact: Human Resources

Source: SDBOR Policy 4.1.1; SDBOR Policy 4.3.1; SDBOR Policy 4.4.4

Purpose

This policy establishes the procedures for conducting annual performance evaluations for Civil Service Employees (CSA) and Non-Faculty Exempt (NFE) personnel, and annual Professional Staff Evaluations (PSE) of faculty.

Definitions 

1. Civil Service Employee (CSA): Category of employee that is provided for under SDCL 3-6A-13, which applies to all positions in the executive branch of state government. The duties of a CSA are defined in the classification system and are not exempted from the Civil Service Act of South Dakota (SDCL 3.4).
2. Self-Evaluation: An optional document submitted by employees to their supervisors prior to their performance review. This evaluation can be kept between supervisor and employee or can be submitted to HR with the final evaluation.
3. Status Employee: Civil Service Employee that has completed the 6-month probationary period and served more than 1,040 hours of employment.
4. Non-Faculty Exempt (NFE): Category of employee who is exempt from the Civil Service Act by virtue of their administrative and professional functions and whose primary responsibility is not academic.
5. Performance Evaluation: the document used to evaluate and record the performance of a CSA or NFE employee.
6. Probationary Employee: Civil Service employee that has served less than 1,040 hours of employment and has not completed the 6-month probationary period.

7. Professional Staff Evaluation (PSE): the document used to evaluate and record the performance of faculty.

Policy 

1. All employees, no matter what category, are expected to have an annual evaluation. Evaluations are a critical communication tool to help establish expectations and observe and document performance.
2. 1. CSA and NFE employee performance evaluations are due March 1st each year. There is a six-step process that begins December 15th and ends by March 1st. BHSU’s performance cycle for CSA and NFE employees runs from January 1st through December 31st.
   2. Faculty employee professional staff evaluations (PSE) are due October 15th or the first working day thereafter. BHSU’s performance cycle for faculty covers the previous academic year, which includes fall, spring, and summer.
   3. First year faculty professional staff evaluations are due January 15th or the first working day thereafter. BHSU’s performance cycle for first year faculty covers the previous fall term. First year faculty will then fall into the regular faculty cycle.
3. Performance management and coaching are key to a highly engaged and involved employee. Yearly performance review provides a means of two-way communication where employees and supervisors discuss mutual expectations, review performance, and plan future goals. A review year begins with clear objectives and expectations.
4. Unsatisfactory performance must be addressed promptly. Employees should not be surprised with unsatisfactory performance ratings or comments on an evaluation. It is likely that an existing disciplinary action is taking place such as a work improvement plan, letter of reprimand, verbal warning, written warning, etc. These situations are especially important to be documented.
5. Prior to the yearly evaluation, both the employee and the supervisor should review the position description to make sure the duties, responsibilities, and expectations of the position are current. These should be completed by October 1st of each year.

Procedures

1. Each year, supervisors need to track their employee(s) performance by documenting behavior, accomplishments, performance, and projects that will be used in the yearly evaluations. Documentation is the foundation of an evaluation. Specific and descriptive situations throughout the year will make the evaluation process go much smoother. Remember the basics of documentation: situation, action, outcome.
2. CSA and NFE employees must be evaluated through the PeopleAdmin/YourFuture system using the “Performance Management” module. These are to be conducted yearly and are due to the BHSU Human Resources office on or before March 1st. These yearly evaluations are to be completed on all regular NFE employees, including both part-time and full-time staff, and all status CSA employees who have completed the 1,040 hour probationary period. This evaluation system is designed to review performance objectives, job duties, and plan future goals. It also provides the supervisor with a formal method of evaluating employees' strengths and opportunities regarding their position descriptions, objectives, and general competencies.
   1. While employee self-evaluations are not mandatory, supervisors do have the authority to request them of their employees. When a self-evaluation is requested by a supervisor, it should be completed and submitted to the applicable supervisor prior to the supervisor completing their evaluation.
   2. Final evaluations will be completed by the supervisor and a sit-down, one-on-one meeting between the employee and supervisor should take place by March 1st. The submitted evaluation should include constructive feedback, documentation, accomplishments, appropriate comments, and examples to support the evaluation.
   3. NFE and CSA yearly timeline (dates subject to change by a few days depending on holiday schedule and day of the week the date lands)
      • Step 1 – Supervisor Creates Plan Due – December 15th
      • Step 2 – Employee Acknowledges Due – December 20th
      • Step 3 – Supervisor Evaluation Due – January 15th
      • Step 4 – Second Level Supervisor Approval Due – January 22nd
      • Step 5 – HR Review Due – January 28th
      • Step 6 – Supervisor and Employee Meet Due – February 15th
      • Step 7 – Employee Acknowledges Eval Due – March 1st
        1. Step 1 – Supervisor Creates Plan
           1. The supervisor will monitor the employee’s performance on a periodic basis and document performance throughout the year (January-December). In November, supervisors will be asked to create their employees plan. They will also review the position description (PD) that pulls into the system and ensure it is current and encompasses all the duties and expectations they have for that position. All PD’s should have been reviewed by October, supervisors just need to ensure the correct PD has been associated with each position. Supervisors will create the plan and send to the employee to acknowledge.
        2. Step 2 – Employee Acknowledges Plan
           1. Once the supervisor creates the plan, the employee will receive an email instructing the employee to acknowledge the plan. If the employee has no concerns or questions, they will “acknowledge” it to move it to the next step.
        3. Step 3 – Supervisor Evaluation
           1. Once the employee has acknowledged the form, the supervisor will receive an email letting them know that the evaluation can be completed. The supervisor will go through each objective and choose a rating (exceeds, meets, or does not meet expectations). Ratings should reflect the whole evaluation period, not just the last few weeks/months. Supervisors will need to write a comment under each rating to justify the rating assigned. The supervisor will be asked to rate their employees overall job duties. And finally, for each goal, the supervisor will provide feedback to their employee on their strengths related to the goal or areas of improvement. The last portion of the evaluation is the “overall rating” where the supervisor should select an overall rating and provide overall comment. Once the evaluation is completed, the supervisor will send it to Human Resources to review.
        4. Step 4 – Second Level Supervisor Approval
           1. After the supervisor completes the evaluation, it will be routed to the second level supervisor to review, provide comments, and either sign off to move it forward in the process, or return to the supervisor to modify.
        5. Step 5 – HR Reviews
           1. Human Resources will review each evaluation. If HR has any concerns, they will enter feedback in the “Comments” section and either return back to supervisor to update or approve the evaluation.
        6. Step 6 – Supervisor/Employee Meet
           1. Once HR has acknowledged the evaluation, the supervisor will receive an email letting them know they can meet with the employee to go over the evaluation. The supervisor will schedule a time with the employee for the face-to-face meeting to discuss the performance evaluation and future areas of development. Discussion should center on performance observed, essential job functions, and the establishment of performance goals. These goals should be recorded on the evaluation form. After the meeting, the supervisor will go into the Performance Management System and “Complete” the evaluation.
        7. Step 7 – Employee Acknowledges Evaluation
           1. Employees will be given the opportunity to write comments concerning the ratings and feedback before “acknowledging” the evaluation. Once the evaluation has been acknowledged, the evaluation will be stored in the system.
   4. The completed evaluations must be to Human Resources on or before March 1st, and prior to any salary adjustment recommendations.
3. Faculty members will receive a performance evaluation and review on an annual basis. These will be conducted by the faculty member’s immediate supervisor. All faculty will submit the professional staff evaluation form.
   1. Faculty members will be notified of current department standards and performance expectations no later than August 1st
   2. The evaluation form will include an assessment of faculty performance in the areas of teaching, research and scholarship, and service.
   3. Faculty members serving on tenure track appointments will propose their professional development plans in the areas of teaching, scholarship, and service. These plans will be submitted with the PSE form according to BHSU guidelines.
   4. Professional Staff Evaluation (PSE) yearly timeline
      1. Step 1
         1. Completed PSE forms will be submitted to the department chair by October 15 or the first working day thereafter.
         2. The department chair will provide written feedback to the faculty member for November 15.
            1. The faculty member will have until January 15 to provide any comments based on the supervisor’s comments.
            2. If the faculty member requests feedback from a peer group evaluation, this process must be completed by January 25.
         3. The signed PSE forms will be forwarded from the Chair to the College Dean by January 25.
         4. PSE forms will be reviewed and signed by the College Dean, and forwarded to the Provost by February 14.
            1. Any comments by the faculty member to the College Dean, Provost, and/or President must be submitted by March 1.
         5. The Provost will complete the review process no later than March 10.
   5. Professional Staff Evaluations (PSE) yearly timeline, first year faculty
      1. Step 1
         1. First year faculty members will submit their completed PSE forms to their department chair by January 15 or the first working day thereafter.
         2. The department chair will meet with the faculty member to discuss and provide written comments on or before February 15.
            1. Any comments by the faculty member to the College Dean, Provost, and/or President must be submitted by March 1.
         3. The Provost will compete the review process no later than March 10.

Responsible Administrator

The Director for Human Resources is responsible for annual and ad hoc review of this policy and its procedures. The University President is responsible for the approval of this policy. 

Source and Revision History

Adopted by President 2021.12.07; reviewed 2025.10.03