Supervision and EvaluationWhen Employees Need Improvement or Are

Not Meeting Standards

Fresno Unified Is a Performance-Based Organization

Namita S. Brown, PartnerFagen Friedman & Fulfrost

Module 2 Purpose

Build leadership competency and confidence in supervision and evaluation processes

Outline steps for writing meaningful and relevant evaluation documents

Understand and be responsible for ensuring effective and timely evaluations

Ensure effective engagement in rose conversations with employees

2

FUSD Evaluation Goals

Recognize outstanding employees Enhance and improve performance through direct, clear,

honest, immediate, frequent, and evidence based communication

Align professional growth to strengths and areas of improvement

Provide an avenue for informal and formal communication that builds relationships

Promote overall school improvement and progression towards District and site performance goals and targets

3

FUSD is a Performance-Based Organization

Board Policies drive expectations for performance management

Leadership Standards, California Standards for the Teacher Profession, and Classified job descriptions are the foundation for supervision of employees

Evaluations are a critical factor in all personnel decisions Evaluations are based upon results as they relate to

standards, student growth, and the FUSD data dashboard

Promotion and retention decisions are based upon evaluation data

4

Board Policies

Professional LearningCommunity of learners Fulfill its educational mission

AccountabilityShared leadership Flows in multiple directions

5

Skillful Leaders in FUSD

6

Getting Grounded

How do employees who are underperforming clearly know what is expected?

Can employees effectively communicate strengths and areas of improvement and steps being taken to improve?

What is the decision making and communication process in determining who is assigned to evaluate and support employee’s who are struggling?

What types of support are provided to employees who are underperforming and how is the impact monitored?

7

Preparing Career Ready Graduates

Our employees are the key to achieving our

goals

8

The Majority

Although the vast majority of District employees are competent, hard working,

caring professionals, occasionally performance

deficiencies and misconduct arise

9

Legal Framework

10

Evaluation Education Codes

It is the intent of the Legislature that governing boards establish a uniform system of evaluation and assessment of the performance of all certificated personnel (Education Code 44660 et. seq.)

11

Classified Evaluation & Discipline Authority

Classified Evaluation and discipline process are governed by the Collective Bargaining Agreements, and/or Board Policy (BP/AR 4215 and 4218)

12

Certificated Education Codes

44660 Governing boards establish a uniform system of evaluation and

assessment of the performance of all certificated personnel

44663, 44664 Evaluation timelines Written evaluation must be presented no later than 30 days before

the last school day Before the last school day, a meeting shall be held between the

teacher and the evaluator to discuss the evaluation Evaluation shall include recommendations, if necessary, regarding

areas in need of improvement in the employee’s performance

13

Certificated Education Codes

44662 The governing board of each school district shall evaluate and assess

certificated employee performance as it reasonably relates to:

– The progress of pupils toward the standard established pursuant to subdivision (a) and, if applicable, the state adopted academic content standards as measured by state adopted criterion referenced assessments

– The instructional techniques and strategies used by the employee

– The evaluation and assessment of certificated employee performance pursuant to this section shall not include the use of publishers’ norms established by standardized tests.

44932, 44938 Teacher dismissal

– Unsatisfactory Performance: 90-Day Notice

– Unprofessional Conduct: 45-Day Notice

14

Management Education Codes

District specific timelines Education Code § 44951 reassignment Mid-year reassignment

15

Management Education Codes

Non-instructional certificated employees where responsibility cannot be evaluated like instructional employees shall be evaluated as their performance reasonably relates to those responsibilities (Education Code § 44662c)

Certificated employees in positions requiring administrative or supervisory credentials must be notified by March 15th of their possible release and reassignment (Education Code § 44951)

Except…

Administrators on multiple-year contracts (Superintendents, Deputy Superintendents, Associate Superintendents, Assistant Superintendents) or senior management in classified service must be given written notice they will not be returned at least 45 days before the expiration of their term of employment (Education Code § 35031)

16

17

High stakes decision

Reliability is important

Awarding Tenure/Permanent Positions

EvaluationsGrievable or Not Grievable?

Evaluation processes and timelines

Yes

Evaluation content No

18

EvaluationsThe Responsibility of the Leader

Leadership Standard 1: Skillful Supervision and Evaluation

The leader will demonstrate the knowledge, skills, and abilities to skillfully supervise and evaluate staff performance and support performance improvements throughout the organization.

19

Performance Drives Employment/Retention in FUSD

Due Process Fair Data-driven Align all Claims, Evidence and Impact Ineffective categories for Management,

Classified and Certificated

20

Ensure Reliable Results

Supervision:

To provide feedback that informs practice and facilitates professional

growth

Evaluation:

To provide an evaluation of overall performance that determines

employment status (promotion and retention)

Reliability:

Results reflect consistent aspect of employees practice

Validity:

Observations are related to work outcomes; targets, student

achievement data

21

Inform and Empower

Clarify the area that requires improvement Support and monitor impact Clarify expectations Set performance goals and targets Reflect

Suggestion: No surprises; clear direction is essential

22

Supervising and Evaluating Employee Who Needs Improvement

How does supervision and evaluation adjust when an employee is identified as

underperforming?

23

Identifying Patterns and Root Causes

What are the patterns and root causes of the poor performance?

What are the steps of communicating and engaging the employee with goal setting and the collection and analysis of data?

24

ConversationsGreen, Rose or Red

Green Conversations--for the effective/performing employee

Rose Conversations--for the employee who is struggling

Red Conversations--for the employee who is ineffective

25

ConversationsGreen Zone

Green Conversations--effective/performing employee– Collegial and teacher directed– Emphasis on data

26

ConversationsRose Zone

Rose conversations should contain feedback that includes:

suggestions for improvement, with agreed upon timelines for completion and a system to monitor targets

include reflective questions so the supervisor can gauge whether or not the employee knows what they are working on and why

feedback that includes suggestions for improvement an emphasis on targets, goals, and multiple sources of data explicit recommendations for action with accountability for

follow up

27

The Yellow and Red Zones

– Employee performance needs improvement

Red Zones– Employee is not meeting

standards/unsatisfactory in their performance

28

Yellow Zones

ConversationsRed Zone

Red Conversations (Tier I and II)-for the employee who is ineffective

Both Tier I and II

• Supervisor directed

• Provides advanced notice of not meeting standards in certain areas

• Includes increased data collection and conferences

• Includes requirements rather than recommendations

• Emphasis on targets, goals, and multiple sources of dataTier II

• Requirements spelled out with timelines and responsibilities

• Employee has limited choice regarding implementation

• Emphasis on targets, goals, and multiple sources of data

29

Rose and Red Conversations Add the Following

Include all the points on previous slide and add the additional points to rose and red conversations:

Define the problem as a gap between the performance needed to meet standards and the current performance

Offer specific, appropriate guidance and recommendations Establish a time frame for making the changes and for follow

up assessments or feedback Require substantive evidence, collected in multiple samplings,

that the problem has been solved and the practice and/or actions have changed

30

Key Components of Green, Rose and Red Conversations

Shared goal Mutual respect Positive intent Present data; be factual, not emotional Standards and competency based Established impact Ask questions – seek to understand

31

Reflection Activity

Think of a current employee who has performance issues:– What behaviors or actions are concerning?– What have you done?– What are your next steps?– If you have not taken action, why?– What is missing?– Can you confidently state the employee is aware of your

concerns?– If so, how can you be sure?– If no, why?

32

Preparing for the Pre-Conference with the Employee

Identify the evidence supported by data that makes visible the employee’s gaps in performance– Shared responsibility for gathering and analyzing data from a

variety of sources, with the struggling employee they may not know which data to gather and/or how to analyze these data to identify their gaps

– The supervisor clearly communicates, and the communication regarding performance is accurately documented

The evaluator is responsible for providing time, space, and reflective questioning that guides the employee to reflect on performance gaps

33

34

Pre- and Post- Conferences

Employees should generate their own questions, engage in dialogue, and make sense of all data in order to set and

monitor performance goals and targets

This may be a challenge for the struggling/underperforming employee

It is the critical role of skillful supervisor to engage in reflective conversations that make data,

targets, and goals understandable for the struggling/underperforming employee

ConferencesHow They Change with the Ineffective Employee

Pre-Conference Discussions: What pattern of behaviors or actions did the employee

exhibit that negatively impacted the achievement of these performance goals and targets?

What data was used to determine the targets and goals?

What did the employee do if/when the goal/target was previously not met?

What targets and goals need to be met for the employee to move to a meets standards/satisfactory rating?

35

Post-Conference Discussions: Link gaps in performance to professional learning, goal

setting, and targets Use evidence/data to guide conversations Collaboratively analyze the evidence and its impact on

student learning environment and peers, morale, etc. Jointly debrief next steps and actions required to move

to a satisfactory or meets standards rating Identify, monitor, and direct, if necessary, improvement

actions aligned to District and site performance goals and targets

ConferencesHow They Change for Not Meeting or Needs

Improvement Employee

36

Needs Improvement

Rose conversations should contain feedback that includes suggestions for improvement, with agreed upon timelines for completion and a system to monitor performance goals and targets

Conversations should include reflective questions so the supervisor can gauge whether or not the employee knows what they are working on and why

Support will primarily be provided by the supervisor

37

ObservationsCheck for Understanding

Prior to observation: Clearly communicate the purpose of observations Identify the multiple sources of data to be collected, by

whom, and when and how often prior to the observations

Calibrate with the employee what data sources will be collected and discussed

Checking for employee understanding is critical to ensure they understand your performance concerns

38

ObservationsCheck for Understanding

During the observation: Collect evidence during observations Collect literal notes that contain data points that will

translate into evidence Literal notes should include what the employee is saying

and doing; use quotes Literal notes should include what other stakeholders

interacting with the employee are saying and doing; use quotes

39

ObservationsCheck for Understanding

Following the observation: Communicate with the employee early, often, and in multiple

modes; focus on results Discuss relevant work product(s) that demonstrate employees skills

and knowledge (data, analysis of data, work product) Identify success indicators utilizing standards and competencies Calibrate your ratings with the employee, tied to standards and

competencies; acknowledge how the employee is performing Assess and monitor for patterns and actions that align to

performance targets/expectations Checking for employee understanding is critical to ensure they know

their expected next steps

40

Evidence Collection

Multiple sources of data are needed For the classified employee, what data

sources can you collect that are representative of their performance?

For the management employee? For the certificated employee?

41

Effective Follow-Up Improves Performance

Underminers to effective follow-up: Imprecise problem definition and vague language

no clear statement of what problem needs to be addressed and insufficient guidance about what specific actions need to be taken

No clear link to the competency or performance standardthe gap between the performance required and the present performance indicated by the data is not clearly delineated or there is no logical connection between the recommendations and the competency or performance standard that has been identified as a problem

Exclusive focus or low/no impact, easy-to-implement, compliance-level activitiesrecommendations contain no demand for significant changes in behavior and practice that would create improved performance

42

Practicing Effective Follow Up

Your recommendation should:Be based on a clear performance gap tied to a performance standard or competencyHave a reasonable timeline that separates the learning period from the evaluationIdentify necessary colleague and resource supportsInclude development as well as compliance follow-upRequire employee responsibility for collecting data and assessing their own progressBuild in accountability for employee and supervisor to assess progress

43

More Effective Feedback

Be descriptive:Instead of, “This lesson plan is poorly written,” offer specific examples for improvement.Follow up in writing when in the yellow and/or red zones

Be specific:Consider the needs of both the employee and the supervisorProvide direction with behavior and actions the employee can implement and act upon

Be clear:Check for understanding and monitor implementation

44

DNMS-Specific Steps Must Be Taken

45

Writing Skillful Evaluations for Yellow or Red Employees

Collect evidence from multiple sources (data) over time for each of the CSTPs

Align data to job description, standards, and/or competencies Once the evidence (data) is collected, use the CSTP

continuum, the leadership standards, or the competencies in the job description to draft a claim aligned to the evidence (data)

Draft the impact statement that aligned to C, E, I and J The attached link provides sample evaluations for your

review:– www.evaluationsampledocuments.inserthere

46

Balanced Analysis

Skillful Leaders in FUSD implement the following in their written feedback to all employees

The Claim, Evidence, Impact and Rating/Judgments– Claim tied to standards and/or competencies– Evidence based on data and aligned to the claim that

makes visible to the employee both strengths and areas of improvement

– Impact aligned to Claim and Evidence and tied to impact on student learning and/or the learning environment

– Judgment aligned to the Claim/Evidence/Impact

47

JudgmentThe Rating on the Evaluation

Judgment and Evidence– The J (rating) should be aligned to the Claim,

Evidence and Impact– The Evidence should support the Impact– The Evidence should identify the patterns

Claim and Impact– The Claim should be tied to Impact on students – for

the employee who is ineffective, multiple claims may be required to illustrate the pattern

– The Claim should be supported by the data-based Evidence

48

Effective Follow-Up Improves Performance

49

Practical Pointers

Practicing Effective Follow Up Clearly communicate problem/definition/specific actions needed to

be taken Clearly link performance gap to standard or competency Provide reasonable timeline that separates learning from evaluation Identify and implement colleague/support Require employee to self assess Focus on the significant changes in behavior and practice Align the evidence/data to the judgment and specific actions for

improvement Integrate employee-supervisor collaborative assessments

50

The Evaluation Process in Relation to Dismissal

Goal is to help employees succeed Patience is critical Alignment of ratings, evidence, and

support is essential Employees deserve honest, encouraging

and productive evaluations

51

Classified Dismissal

Employee is identified as Unsatisfactory or otherwise triggers “cause” as defined by AR 4218

Move forward with dismissal charges Informal Skelly hearing held to allow employee to

address the charges Employee may request a hearing Administrative Law Judge (ALJ) presides over a hearing

and makes a recommendation for or request for dismissal

Board of Education makes final decision

52

Certificated Dismissal

Unsatisfactory Performance 90-Day Notice to Correct, as per

Education Code § 44938 (b) Provide employee a summary of

performance over time (up to four years) and directives to correct

Monitor weekly during the 90-day timeline

If employee does not improve, district may proceed with dismissal

Unprofessional Conduct 45-Day Notice to Correct, as per

Education Code § 44938 (a) Provide employee a summary of

conduct over time (up to four years) and provide directives to correct

Monitor weekly during the 45-day timeline

If employee does not correct behavior district may proceed with dismissal

53

Management Reassignment

Employee is identified as Unsatisfactory or has incidents of unprofessional conduct

Create a work plan, with targets and data measurements identified to analyze success– Supervisor and employee continually review– By March 15, supervisor makes decision to release

for upcoming year and reassign back to the classroom or keep employee in administrative position

54

FUSD Evaluation Goals

Recognize the performance of outstanding employees Enhance and improve performance through

communication that is direct, clear, honest, immediate, frequent, and evidence based

Align professional growth to employee strengths and areas of improvement

Provide an avenue for informal and formal communication that builds relationships

Promote overall school improvement and progression toward District and site performance goals and targets

55

56

HR.Online is created through a partnership between the

Fresno Unified School District's HR Department, the Fresno County Office of Education andFagen Friedman & Fulfrost LLP, leaders in

education law

Preparing Career Ready Graduates

340281