SOP_NUMBER: 104.61
TITLE: Performance Management
REFERENCE_CODE: IVO16-0001
DIVISION: Administration & Finance (Human Resources)
TOPIC_AREA: 104 Policy-HR Appearance/Conduct/Evaluations
EFFECTIVE_DATE: 2021-04-20
WORD_COUNT: 2570
POWERDMS_URL: https://public.powerdms.com/GADOC/documents/105305
URL: https://gps.press/sop-data/104.61/

SUMMARY:
This policy establishes the Georgia Department of Corrections' electronic Performance Management Program (ePerformance), which guides how supervisors and employees collaborate on performance expectations, goal-setting, and evaluation. The policy applies to all GDC employees and outlines the process for establishing performance plans within 45 days of a new position, conducting mid-year and end-of-year reviews, and provides employees with a formal review process if they disagree with assigned responsibilities or performance ratings.

KEY_TOPICS: Performance management, ePerformance, performance evaluation, performance plan, supervisor evaluation, employee goals, mid-year review, performance rating, job responsibilities, performance expectations, employee development, evaluation process, PeopleSoft

ATTACHMENTS:
  1. Performance Management - Notice to Employee
     URL: https://gps.press/sop-data/104.61-att-1/
  2. Request for Review of Performance Plan or Performance Evaluation
     URL: https://gps.press/sop-data/104.61-att-2/
  3. Reviewing Official Response Form
     URL: https://gps.press/sop-data/104.61-att-3/

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|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 1 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



**I.** **Introduction and Summary:**

The Georgia Department of Corrections (GDC) will administer an electronic
Performance Management Program (ePerformance) that provides supervisors and
employees with the opportunity to do the following: discuss performance expectations,
identify and correct areas for improvement, encourage and recognize strengths, and
discuss positive, purposeful approaches for meeting goals. The performance
management process is a cooperative effort between employees and supervisors.
However, individual goals, competencies, or responsibilities included in the
performance document and the final determination of performance evaluation ratings
will be at the discretion of the Appointing Authority (AA).

**II.** **Authority:**

A. O.C.G. A.: § 45-20-21;

B. State Personnel Board Rules: 478-1-.12 and 478-1-.14;

C. GDC Board Rule: 125-2-1-.08;

D. ACA Standards: 2-CO-1C-01, 2-CO-1C-08, 2-CO-1C-13, 2-CO-1C-21, 1-CTA
1C-01, 1-CTA-1C-08, 5-ACI-1C-17 (ref. 4-4064), and 4-ACRS-7B-06; and

E. GLECP Standards: 1.19 and 4.7.

**III.** **Definitions:**

A. **Appointing Authority**    - Individual specifically designated by the Commissioner

to make decisions that directly affect the status of persons employed by the agency.

B. **Mid-Year Review**    - Is a review of an employee’s progress from July 1 [st] through

December 31 [st] of the Performance Period. One mid-year review must be completed
for each employee during each performance period.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
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|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 2 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



**C.** **Performance Period** - Timeframe established based on the State’s fiscal year

beginning July 1 [st] and ending June 30 [th] of the following calendar year

D. **Performance Plan** - Specifies the responsibilities and expectations which an



employee is expected to meet in order to be considered to have satisfactorily
performed the duties of the position.

E. **Overall Rating**    - Refers to the summary rating for Statewide Core, Individual

Goals, and Job Responsibilities or the summary rating for Terms and Conditions
of Employment.

F. **Reviewing Officials**    - Agency representatives designated by the Department to

consider employees’ requests for review of assigned responsibilities or
expectations or on overall “Did Not Meet” performance rating. Such official(s)
will not be the first or second level supervisor of any employee requesting review.

**IV.** **Statement of Policy and Applicable Procedures:**

ePerformance is accessed through PeopleSoft, Employee Self-Service, and
Performance Management. Once the performance plan is available on ePerformance,
the employee can view, comment, and make changes to the plan. If the employee does
not have access to a computer, the employee can sit with their supervisor at the
supervisor’s computer and make changes together. The employee can also work from
a printed/hard copy of the performance document.


A. Establishing Performance Plans:


1. Within 45 days of being placed in a new position, a supervisor must present

the employee with a Performance Management Plan. The plan must specify
the responsibilities and expectations for which the employee is expected to
meet in order to be considered to have satisfactorily performed during the
rating period.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
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|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 3 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



2. If a performance plan is not provided in a timely manner, the affected employee

may file a complaint with their local Human Resources (HR) Department, who
will initiate necessary measures to assure that the employee is provided a
performance plan.

3. At the beginning of each performance period thereafter, the employee and the

employee’s supervisor must meet to discuss and establish the performance plan
to be followed for the subsequent performance period.

4. Supervisors should seek input from incumbents of the positions when

performance standards or expectations are established or modified.

5. A performance plan may be modified at any time during a performance rating

period as changes occur. A performance plan must be modified when new or
substantially different responsibilities or expectations are assigned to a
position.
6. When an employee’s performance plan is changed or modified, the employee

should be notified within fifteen (15) calendar days of the modifications.
**(GLECP Std. 1.19a)**

B. Performance Plan Process:


1. If the supervisor and the employee have disagreements about the performance

plan, the employee and the supervisor should try to resolve the concerns
through discussion during the performance planning meeting, or if necessary,
in follow-up meetings.

2. If the supervisor and the employee cannot reach agreement on their own, both

parties should meet with the supervisor’s manager to try to resolve the
disagreement.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 4 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



3. If steps one (1) and two (2) of this process are unsuccessful, a formal review

process is available to the employee through the designated departmental
reviewing official.

4. The identity of the applicable designated departmental reviewing official must

be provided to each employee after presentation of a performance plan.

5. Any employee who believes the responsibilities or expectations specified on

the employee’s performance plan to be arbitrary, capricious, or non-job related
may request a review by the designated departmental reviewing official.
Attachment 2, Request for Review of Performance Plan or Performance
Evaluation must be postmarked or received by the designated departmental
reviewing official within **five (5) workdays** of the receipt of the performance
plan.

6. The designated departmental reviewing official shall not be the employee’s

first or second level supervisor.

7. The designated departmental reviewing official must, within **fifteen (15)**

**workdays** of receipt, review each request and supporting documentation, and
may, at the discretion of the designated department reviewing official, meet
with the employee and/or supervisor to secure additional information.

8. After considering a request for review of the assignment of responsibilities or

expectations, the designated departmental reviewing official must either
uphold the assignment or direct the responsible supervisor to revise the
assignment or expectations.

9. After making a final determination, the designated departmental reviewing

official must notify the employee requesting review via Attachment 3,
Reviewing Official Response Form, of the decision. The designated
departmental reviewing official must forward all paperwork to the employee’s
local HR office.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 5 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



10. The local HR office shall place the originals of all paperwork in the employee’s

local HR file and send a copy of all paperwork to Corrections Human Resource
Management (CHRM) for placement in the employee’s official HR file.

11. The decision of the designated department reviewing official will be **final** and

will not be grievable or appealable to the State Personnel Board.

C. Rating Scale **:** Evaluating supervisors are to utilize the five (5) point rating scale to

rate employee’s performance on Statewide Core Competencies, Goals and/or
Responsibilities according to the Department of Administrative Services/Human
Resources Administration (DOAS/HRA). A rating, reflective of the overall level
of performance, must be assigned using the following scale:

|Exceptional Performer|5|
|---|---|
|Successful Performer –<br>Plus|4|
|Successful Performer|3|
|Successful Performer –<br>Minus|2|
|Unsatisfactory Performer|1|
|Not Rated|N/A|



D. Performance Coaching:

1. The performance management program requires that supervisors monitor their
employees’ performance and provide coaching throughout the performance
period.


2. At least once during the performance period, supervisors are to conduct an

interim review of each of their employee’s performance. Interim reviews need
not be as formal as annual performance evaluations but have the option of


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 6 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



including detailed assessments and ratings. At a minimum, interim review
must offer sufficient feedback to employees to reinforce successful
performance and redirect less than successful performance.

3. A separate file must be kept for each employee because employee’s must have

access to their personal productivity file upon request. No employee is allowed
to see another employee’s file.

4. A supervisor can keep performance notes for each employee in ePerformance.

The employee does not have access to the manger’s performance notes.
Likewise, an employee can keep performance notes throughout the year to
document his or her accomplishments and activities. The supervisor does not
have access to the employee’s performance notes. **(GLECP Std 1.9b)**

E. Mid-Year Reviews:


1. Supervisors must meet with each subordinate employee to discuss the

employee’s performance at least once during each performance period. As part
of the review and coaching process, supervisors should discuss the employee’s
goals, responsibilities and standards, and give feedback on whether the
employee is performing satisfactorily to ensure that the goals of the
Department are met.

2. When an employee has been supervised by more than one supervisor during

the performance period (resulting from promotion/demotion, change in
supervisor, or transfer), all supervisors, ideally, should provide oral and/or
written feedback to the supervisor who is conducting the mid-year review.

3. If maintained, supervisors are responsible for presenting the collection of

performance diary entries and other performance documentation for
subordinate employees, upon request from superiors or from designated
departmental performance review officials, when issues of responsibilities and
expectations arise.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 7 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



F. Annual Performance Evaluation **:**


1. Each employee in the Department will receive one annual review evaluation at

the end of the performance period. When an employee experiences a
promotion, demotion, or job change during the performance period (prior to
June 30th), the employee must be evaluated from the most current and
applicable Performance Plan detailing the current job assignment. **(GLECP**
**Std. 4.7** )

2. When an employee has been under the supervision of more than one supervisor

during the performance period (resulting from a promotion, demotion, change
in supervision, or transfer), all supervisors, ideally, should provide feedback to
the supervisor who is conducting the annual review.

3. The evaluation must be presented to and discussed with the employee. The

employee must be provided the opportunity for written comments or rebuttal
to the evaluation in the space provided on the form.

4. The annual review requires the acknowledgement of the employee, supervisor,

and reviewing manager. If the employee refuses to acknowledge the completed
annual review, the supervisor shall annotate in the managers’ comment section
“Employee Refused to Acknowledge.” Acknowledgement indicates the ratings
of his/her performance and any other work behaviors contained in this annual
review have been discussed with the employee.

5.  Supervisors must complete annual reviews for employees on Leave Without

Pay and Military Leave Without Pay. The supervisor may acknowledge (override) the process due to the employee absence. Documentation of reason should
be noted in the Overall Summary section of the plan. These annual reviews,
once approved by managers, will be reviewed with the employee, upon their
return to work.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 8 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



6. If an employee receives an overall rating of “1 Unsatisfactory Performer,” this

employee is **ineligible** for a performance-based salary increase. The supervisor
must have sufficient documentation in the subordinate employee’s
management file supporting the overall recommendation of “1 Unsatisfactory
Performer.”

7. Similarly, if an employee receives an overall rating of “5 Exceptional

Performer,” the supervisor must have sufficient documentation in the
subordinate employee’s management file supporting the overall
recommendation of “5 Exceptional Performer.”

8. If an employee receives an overall summary rating of “1 Unsatisfactory

Performer” or “2 Successful Performer-Minus” (for unsatisfactory
performance only) the identity of the designated departmental reviewing
official must be provided, upon presentation of the summary rating using
Attachment 1, Notice to Employee Form. The employee may, in writing,
within **five (5) workdays** of receipt of the evaluation, request a review by the
designated Department official by utilizing Attachment 2, Request for Review
of Performance Plan or Performance Evaluation Form.

G. Performance Evaluation Review Process:


1. Only employees receiving an overall rating of “1 Unsatisfactory Performer” or

“2 Successful Performer-Minus,” will be eligible to request a review.

2. The designated reviewing official shall not be the employee’s first or second

level supervisor.

3. The designated reviewing official must, within **fifteen (15) workdays** of

receipt, review each request and supporting documentation, and may, in the
discretion of the designated departmental reviewing official, meet with the
employee and/or supervisor to secure additional information.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 9 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|



4. After considering a request for review of an overall rating, the designated

departmental reviewing official will uphold the rating or direct the responsible
supervisor to revise the rating.

5. After making a final determination, the designated departmental reviewing

official, must notify the employee of the decision by using Attachment 3,
Reviewing Official Response Form. The designated departmental reviewing
official then must submit all original paperwork to the employee's local HR
Department.

6. If the designated departmental reviewing official recommends a change to an

overall rating, the evaluating supervisor will be notified to adjust the change.

7. The decision of the designated departmental reviewing official will be final

and is not grievable or appealable to the State Personnel Board.

H. Individual Development Plan:


1. Developmental Plans may be used to inspire motivated employees to develop

further through training, skills development, or job enlargement.
Developmental Plans may also be used to structure work and set extra work
goals for employees needing improvements in performance.

2. An employee may be given a Developmental Plan when necessary at any point

in the designated performance period.

3. A Developmental Plan is mandatory at the start of the new performance year

when an employee has received an overall rating of "1 Unsatisfactory
Performer” for the preceding performance period. **(GLECP Std. 1.19c)**

I. Senior Executive Pay Plan: Employees designated by the Commissioner as being

on the Senior Executive Pay Plan will not have their performance managed under
this SOP.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Performance Management|**Policy Name:**Performance Management|**Policy Name:**Performance Management|
|**Policy Number:** 104.61|**Effective Date:** 4/20/2021|**Page Number:** 10 of 10|
|**Authority:** <br>Commissioner|**Originating Division:** <br>Administration & Finance<br>Division (Human Resources)|**Access Listing:**<br>Level I: All Access<br>|


**V.** **Attachments:**







Attachment 1: Notice to Employee
Attachment 2: Request for Review of Performance Plan or Performance Evaluation
Attachment 3: Reviewing Official Response Form

**VI.** **Record Retention of Forms Relevant to this Policy:**

Upon completion, Attachments 1, 2, and 3 shall be retained permanently (with the
ANNUAL REVIEW) in the employees local and official personnel file.