PERFORMANCE MANAGEMENT

PERFORMANCE MANAGEMENT

\c\tc\outlines\perfmgt-hbk rev. 12/12/2002

TABLE OF CONTENTS

SECTION TOPIC PAGE NO.

WHAT IS PERFORMANCE MANAGEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

AN OVERVIEW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

The Performance Management Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . 3Work Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7Evaluating Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

HOW TO ESTABLISH WORK PLANS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

How to Establish Work Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10Reviewing Job Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11Identifying Key Areas of Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . 12Describing Performance Standards/Objectives . . . . . . . . . . . . . . . . . . . 13Sample - Key Areas of Responsibility and Performance Objectives . . . 15Determining Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

HOW TO COACH TO ASSURE POSITIVE RESULTS . . . . . . . . . . . . . . . . . . . . . . . 18

How to Coach to Assure Positive Results . . . . . . . . . . . . . . . . . . . . . . . 19The Coaching Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

HOW TO WRITE THE PERFORMANCE EVALUATION . . . . . . . . . . . . . . . . . . . . . . 22

How to Write the Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . 23Periodic Work Plan Updates and Performance Reviews . . . . . . . . . . . 24Sample - Periodic Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25The Annual Evaluation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26Samples - Supervisor’s Summary of Performance . . . . . . . . . . . . . . . . 28

THE FORMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

Work Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30Work Plan Update and Performance Review . . . . . . . . . . . . . . . . . . . . 31Work Plan Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

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WHAT IS PERFORMANCE MANAGEMENT AND WHY DO WE NEED IT?

Performance management is a communication system between the supervisor and theemployee. Its purpose is to motivate employees to work at their highest capacity byhelping them see how their daily efforts help to achieve the overall mission and goals ofthe organization.

An effective performance management system provides for a dialogue between theemployee and the supervisor concerning where the employee’s efforts need to be directedover the course of the evaluation cycle. It includes jointly established job standards andobjectives, periodic review of progress toward achieving those results, and planning for theemployee’s development; and it provides a basis for rewarding employees according totheir achievements. It also provides for a dialogue about what needs to be done, how wellit should be done, how well it is being done, and how it can improve. It includesdocumentation of this dialogue on a performance evaluation form.

Another important purpose of a performance management system is its relationship to thediscipline process. A performance management system seeks to correct marginal orunsatisfactory performance before it is necessary to take punitive disciplinary action; and,if discipline should prove necessary, the record of actions taken to improve performancewill provide documentation to support these personnel actions.

The City of Santa Rosa’s Performance Management System sets out uniform proceduresfor managers and supervisors to use to achieve the following objectives:

Ú Assure quality performanceÚ Encourage consistent feedback and discussion between employees and

their supervisors about performance expectationsÚ Identify employees’ training needsÚ Improve job satisfaction, productivity and moraleÚ Provide documentation to support personnel actionsÚ Eliminate surprises at performance evaluation time

This document will provide an overview of the performance management cycle and a briefdescription of each of the components. It will also describe theories and procedures forimplementing each of the components of the cycle.

AN OVERVIEW OF PERFORMANCE MANAGEMENT

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THE PERFORMANCE MANAGEMENT CYCLE

The performance management cycle consists of three major components: work planning,coaching, and evaluating performance. Each has separate functions but is dependent onthe others for providing quality communication.

Work Planning - is the beginning of the process of assuring that:

T the supervisor communicates to the employee the larger organization’s goalsand key initiatives for the upcoming year, as reflected in the City Councilgoals and the City’s strategic planning process.

T the supervisor communicates to the employee how the department’sactivities will support those goals and initiatives.

T the employee is made aware of how his or her efforts for the year will beexpected to support those goals and key initiatives.

T the current job description is an accurate reflection of the scope of theemployee’s responsibilities and the duties the employee is currentlyperforming.

T the employee and supervisor have discussed their mutual and separateinterests related to the employee’s development.

Coaching - is the process of consulting with the employee on progress towardperformance objectives. It involves discussing the status of current projects and anychanges in priorities, providing recognition, and developing improvement plans whennecessary.

Evaluating - means providing written documentation of performance.

On the next five pages are brief descriptions of each of these components.

Work Planning

CoachingEvaluatingPerformance

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WORK PLANNING

This part of the process takes a lot of time initially, but will save time in problem solvinglater.

There are three parts to Planning:

! Communicating organization and department goals and key initiatives! Reviewing job responsibilities! Setting expectations

COMMUNICATING GOALS & KEY INITIATIVES

To help employees channel their efforts toward achieving organizational objectives, it iscritical that supervisors communicate as much information as possible about how theiremployees’ daily activities and special assignments link to the goals and objectives of thelarger organization, particularly the City Council goals, the organization’s strategic plan,and the department’s stated mission. Communicating this sense of where we as anorganization are headed can help focus employee efforts on what is most important to thesection, the division, the department, the City, the Council, and ultimately the public weserve. This is especially true in times when competing priorities require employees tomake choices about where to direct the bulk of their attention.

This information is generally communicated through the City Manager’s weekly e-mails andin Grapevine articles, and is available upon request from the City Manager’s office or theHuman Resources Department.

REVIEWING JOB RESPONSIBILITIES

At the beginning of each performance period (the time between evaluation due dates), thesupervisor and employee should review the job description for the employee’s position andcompare it to the current scope of the employee’s responsibilities and duties. If there hasbeen a significant change, it may be time to contact Human Resources and ask them toreview the classification.

SETTING EXPECTATIONS

Setting expectations has five components:

" reviewing the existing key areas of responsibility and identifying any new ones" describing the performance objectives for each key area" establishing employee development goals and expectations" determining the level of independence with which the employee is expected to

carry out assigned responsibilities" determining what evidence will demonstrate achievement of performance

objectivesKey Areas of Responsibility

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As part of the discussion of job responsibilities, the supervisor and employee needto identify those areas which are key to successful performance and important totrack and measure over the next evaluation cycle. These may be broad areas ofresponsibility that repeat every cycle or specific projects that will not repeat. KeyAreas of Responsibility provide the links between the employee’s daily efforts andthe organization’s mission and goals, as communicated through the City Councilgoals and the City and Department strategic planning processes.

By identifying and naming these “key areas”, the supervisor is communicatingwhere the employee’s focus needs to be directed in the coming evaluation cycle.These are the responsibilities against which the employee’s performance will bemeasured and evaluated throughout the evaluation period. The idea is not to reflecteverything that is in an employee’s job description, but to highlight those areas thatneed to be given particular attention in the upcoming evaluation cycle.

Performance Objectives

For each broad key area of responsibility, the supervisor and employee need todevelop specific performance objectives that describe what outcomes are expectedover the course of the next period’s evaluation cycle.

These may be quality oriented:

< Respond to routine requests for information within 24 hours.

< Ensure that recruitment and testing activities meet both the needs of client

departments and legal, regulatory and professional standards.

They may be quantity oriented:

< Televise an average of 2000 feet of sewer line per day.

< Complete the annual reinspection process for a minimum of 25% of your

client households per quarter.

They may be product or outcome oriented:

< Complete a desk manual for the Collections function by September 30th of

next year.

< Develop a customer service survey for your division by June 30th.

Whichever form the performance objectives take - measures of quality, quantity, oroutcome - the expected results should be clear to anyone reading them.

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Employee Development Goals and Expectations

Employees at every level in the City are expected to develop continually in theirability to perform their current jobs well, including staying up-to-date with changesin their chosen fields. Employees who wish to advance to higher levels in theorganization need to take a step further, seeking input from others on the actionsthey should be taking to prepare themselves for advancement, including coursework and training they can take on their own time.

A supervisor’s responsibility is to identify, encourage, respond to, and support thedevelopment needs of their staff. This includes providing clear, specific and honestfeedback to employees concerning areas where further development is necessaryeither to achieve expected performance standards or to enhance their careerdevelopment goals. It also includes keeping their own skills current and stayingabreast of and communicating to employees any changes in technology and/or bestpractices in their field(s).

Level of Independence

The supervisor and employee need to clarify between them the level of authority theemployee has to carry out the performance objectives the two of them haveidentified. This discussion focuses on such things as the types of information thesupervisor will need as the employee works to achieve the performance objectives,how often the employee needs to check in before, during and/or after completionof an assignment, and what form any reporting on progress will take. There isn’t aseparate section of a form to record this discussion, but it may help to shape thelanguage used in the performance objectives.

Evidence

A question for the supervisor and employee to answer as they develop theemployee’s work plan is, “How will we determine whether or not this objective hasbeen met?” Evidence is that piece of information the supervisor will use todetermine if the performance objective has been achieved. It may be that there isa final product that demonstrates achievement of the objective; another way todetermine whether or not the objective has been met is for the supervisor to checkin with the employee’s customers, particularly when the performance objectiverelates to a level of service the employee is expected to provide. Again, there isn’ta separate section of a form to record this discussion, but it will assist in thedevelopment of measurable performance objectives.

We recommend that you amend this work plan any time a significant change occursin job responsibilities or assignments. It is intended to be a fluid document.

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COACHING

During the performance period the supervisor is responsible for keeping the employeeinformed on progress in meeting performance objectives. This process has two parts:

! Supporting Positive Results! Coaching to Improve Performance

SUPPORTING POSITIVE RESULTS

When an employee is performing at the standard or above, the best motivational tool asupervisor has is recognition of performance. Employees want to know that their effortsare seen, understood, and appreciated. Providing clear, specific, timely, and positivefeedback in recognition of excellent performance boosts morale and encourages continuedeffort.

COACHING TO IMPROVE PERFORMANCE

When an employee's performance is not up to the standard, the supervisor mustcommunicate the problem in a direct, specific and non-punishing way. The supervisor, indiscussion with the employee, determines why the problem is occurring and, with theemployee, establishes a plan of corrective action. This plan should be monitored regularlyduring the performance period and progress acknowledged in the yearly evaluation.

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EVALUATING PERFORMANCE

There are different evaluation cycles for different classifications in the City. The HumanResources Department maintains a record of these cycles. For employees who havepassed probation, the cycle for most classifications is at least one evaluation annually;managers are evaluated semi-annually.

Evaluating employee performance is the continuing process of knowing what youremployees are doing and how well they are doing it. It is not something that occurs oncea year when the evaluation forms must be completed. Rather, the annual performanceevaluation is only one of the steps in the evaluation process. It is the “putting on paper”in summary form of all your observations and knowledge gained during the past yearregarding employee work performance.

At the end of the performance period the supervisor and employee meet to discussperformance. There should be no surprises at this meeting because performance hasbeen discussed and any issues addressed over the entire evaluation period.

The employee lists his/her progress toward objectives in the work plan and anyachievements related to employee development, then submits it to the supervisor prior tomeeting with the supervisor. The supervisor reviews the employee’s progress andachievements and writes a draft summary of performance as a basis for the discussion.If the supervisor is aware of significant accomplishments not mentioned by the employee,she or he should include those as well. The evaluation should describe behaviors thatassisted or hindered the achievement of the results.

If the employee elects not to submit a list of progress toward objectives or achievementsrelated to employee development, the supervisor provides his or her own list based onwhat he or she has noted for this employee over the course of the evaluation period.

The evaluation should describe in behavioral terms what the employee did to achieve ornot achieve performance objectives and development goals. Objectivity and fairness arecritical. The evaluation should be based on observations and knowledge, not uponunsubstantiated or undocumented charges or rumors. In addition, no evaluation shouldbe based on derogatory materials in the supervisor’s file unless the employee haspreviously been given prior notice of it and an opportunity to review and comment on it,and the employee’s comments should be attached to the materials.

The supervisor and employee should discuss the employee’s performance before the finalevaluation is prepared. This assures that the supervisor has considered all the facts whilemaintaining the responsibility to determine the final product.

The discussion should allow for the employee to add to or rebut the supervisor's finalevaluation.

HOW TO ESTABLISH

WORK PLANS

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HOW TO ESTABLISH WORK PLANS

This section will cover:

L Reviewing job responsibilities

L Identifying Key Areas of Responsibility

L Describing Performance Objectives

L Determining what evidence will demonstrate achievement of performanceobjectives

L Determining the level of independence with which the employee is expectedto carry out assigned responsibilities

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REVIEWING JOB RESPONSIBILITIES

During the planning stage of the performance management cycle, the supervisor andemployee should review job responsibilities formally. This can be accomplished quicklyand easily by asking the employee to review his/her job description and indicate anythingthat (s)he is doing that is not on the document as well as duties that are on the documentthat are not being performed.

When you review the response to this request, you will determine whether thediscrepancies the employee points out need to be addressed. Generally you will find thatthe employee is doing what you expect and that those duties fall within the scope of theduties listed on the job description.

If the employee lists discrepancies that do not fit the job description, discuss these todetermine:

T Why these duties are being performedT Whether or not they should be performedT If performance of these duties creates a significant difference in the job

description that should be called to the attention of the Human ResourcesDepartment

During the performance cycle there may be other times when it is necessary to review jobresponsibilities. New tasks will emerge that will be assigned or assumed by the employee.Periodic discussions about performance will surface these responsibilities. This should bea cue to you to assess if they are appropriate to this job.

Once the review is complete, you and the employee need to determine thoseresponsibilities which are key to the operation for the current evaluation cycle and setperformance objectives.

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IDENTIFYING KEY AREAS OF RESPONSIBILITY

Each job has many responsibilities, most of which are important to getting the job done.However, it may not be important to closely monitor the performance of each of these.Therefore, you will need to select those responsibilities that are key to supporting theorganization’s mission and goals in the current evaluation cycle and that you wish tomonitor and measure.

To determine these key areas, questions to answer include:

“What do we need to work on this year, as a department and as individuals?”

“What are our priorities?”

“How can we link our efforts to the Council’s goals and the City’s strategic planningefforts?”

“What role does the work of this employee play in achieving these priorities andlarger goals?”

“What training and development does this employee need, and what specialprojects does this employee need to accomplish, that might slip away if not givenspecial focus?”

“What are the critical elements of this employee’s job that merit special attentionand focus this cycle (or every cycle)?”

It is important to include the key department activities you want to be sure to accomplish,with a focus on the employee’s role in that effort.

There is one Key Area of Responsibility shared by every employee in the organization:“Adhere to the Organizational Values and Model the Basic Principles”. A Key Area ofResponsibility for every management supervisor is “Staff Development”.

Once the Key Areas of Responsibility have been identified, Performance Objectives foreach Key Area are developed.

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DESCRIBING PERFORMANCE OBJECTIVES

PERFORMANCE OBJECTIVES

Performance objectives describe the conditions that must be met for satisfactoryperformance of a Key Area of Responsibility. They enable the employee to differentiatebetween acceptable and unacceptable results or convey a standard related to theexpected manner of performance.

A performance objective may describe:

# the manner in which the duty must be performed, or# the result or final product of the performance

Manner of performance becomes a standard when:

# the employee has no control over the result of the performance but themanner in which the duty is performed can affect the final result.

# the employee's personal behavior has an effect on performance and themanager believes the employee should improve in this area.

Examples:

6 A firefighter has no control over the length of time it takes to suppress a firebut has responsibility for using methods appropriate for the circumstances.

6 An attorney has no control over whether or not the jury accepts and agreeswith their arguments in support of a case. What the attorney does control ispreparation of cases for trial according to standard trial preparationprocedures and techniques.

Standards that describe manner of performance may be expressed in terms of proceduresor behaviors.

procedures = reference existing procedures, policies, or spelled outprocesses in the standard

behavior = how a person will behave in certain circumstances

Standards that describe results should be expressed in terms of quality, quantity,timeliness, and any existing resource restrictions.

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quality = accuracy, appearance, effectiveness

quantity = how much within what period of time

timeliness = by when

resource restrictions = how much can be spent, what staff or materials can be used

Use specific terms that can be measured. Avoid ambiguous terms such as "appropriately"and "accurately", and instead describe what appropriate and accurate results would looklike.

Establishing Performance Objectives Related to the Organizational Values and Basic Principles

Adhering to the Organizational Values and Modeling the Basic Principlesis a Key Area of Responsibility for City employees at every level of theorganization. Performance Objectives for this Key Area of Responsibilitymay highlight one or more of the values and/or principles that theemployee’s efforts will particularly reflect during the coming cycle.

Examples of some Key Areas of Responsibility and Performance Objectives are given onthe next page.

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SAMPLES: KEY AREAS OF RESPONSIBILITY & PERFORMANCE OBJECTIVES

JOB TITLE: Senior Administrative Assistant

Key Area of ResponsibilityMaintain technical skills and follow office procedures


! Remain current in knowledge of applicable computer functions and office equipment! Prepare correspondence using proper punctuation, spelling, and grammar within deadlines! Maintain files, logs, manuals, schedules, and calendars that are well organized and easy to

access

Key Area of ResponsibilityCommunication

Performance Objectives! Maintain security and confidentiality of information! Respond to questions from the public with accurate information and/or referral to appropriate

staff

JOB TITLE: Administrative Analyst

Key Area of ResponsibilityPrepare Capital Projects Budget

Standards/Objectives! Gather information on needs from staff. Negotiate expenditures with staff, develop

justifications, determine legality of expenditures from funding source! Develop revenue budget that maximizes the use of grant funds and meets funding source

requirements! Meet budget deadlines

JOB TITLE: Parks Crew Supervisor

Key Area of ResponsibilityRespond to Citizen Complaints

Standards/Objectives! Follow-up on c itizen com plaints within 24 hours! Communicate status of resolution to complainant the same day! Assure repairs are completed according to established priorities

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DETERMINING EVIDENCE THAT WILL DEMONSTRATEACHIEVEMENT OF PERFORMANCE OBJECTIVES

To determine if an employee has met the established performance objectives, there needsto be some “evidence” of performance. During the work planning process, you and theemployee should discuss what evidence will be used to support that the objective has beenachieved. The employee is a great source for determining how performance can best bemeasured.

The most common forms of evidence are:

# direct observation and observations of others# the result of the performance such as a planted median strip# documents such as reports, financial records, logs, etc.# comments received from others which the supervisor has substantiated

Observation

G It can be to the supervisor's advantage to periodically spot check byobservation. For example, sitting in on a meeting chaired by the employeeis one way of observing performance first hand. But direct observation is notalways possible.

G Observations of others who work closely with the employee should beconsidered. Request feedback from the employee's internal customers andsuppliers. Ask for specific data, not judgements. The forms section of thismanual has a model that may be used to solicit and record this feedback.

Result

The most common way to measure an employee's performance is by reviewing the result.If the standard describes a specific result that is to be achieved, the supervisor andemployee should identify how the supervisor will be able to access the result.

Documents

Some examples of documents to access would be:

G financial records to determine if they are accurate

G reports to determine if deadlines were met

Comments from Others

This is the most difficult source of evidence. Occasionally a supervisor will get negative

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comments about an employee. These should be substantiated before they are consideredas proof of performance. One way to substantiate is to discuss the information with theemployee and ask for his/her understanding of the situation. The supervisor will need toassess the facts before determining if the information will be useful as evidence ofperformance.

Comments can be useful if certain cautions are followed. When someone volunteersinformation about the performance of an employee, the supervisor should ask forbehaviorally specific examples. For example, rather than accepting the comment, "Jay dida very good job on that project," ask, "What specifically did Jay do that you considerexceptional?"

HOW TO COACH TO ASSURE POSITIVE RESULTS

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HOW TO COACH TO ASSURE POSITIVE RESULTS

In this section you will be:

Ú Introduced to the purpose of coaching

Ú Informed on how to support the results of your employee's performance

Ú Provided with coaching methods to improve poor performance

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THE COACHING PROCESS

During the performance period the supervisor is responsible for keeping the employeeinformed on progress in meeting performance objectives. This process has two parts:

! Supporting positive results

! Coaching to improve performance

Supporting Positive Results

When an employee is performing to the standard or above, the best motivational tool asupervisor has is recognition. The key actions in this process are:

T Giving immediate reinforcement when possible

i.e.: give prompt verbal praise, send a brief note or memo, let the personreport their results to others in the organization, give the person achoice assignment, give recognition in front of peers, etc.

T Describing specifically what you have observed

T Expressing sincere personal appreciation and interest

T Encouraging your employee to continue to use the skill

Do not succumb to the “80/20" rule - giving 80% of your attention to the marginal performerand only 20% to those who are performing well. Look for opportunities to catch peopledoing well and find a way to acknowledge them for it!

Coaching to Improve Performance

When an employee's performance is not up to standard, the supervisor must communicatethe problem promptly. The following procedure should bring the necessary correctiveaction:

T Communicate the problem in a way that is:

direct -- the purpose of the conversation is clearspecific -- describe behaviors observed and standards expectednon-punishing -- tone and non-verbal posture convey a neutral message

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T Diagnose whether the problem is the result of an ability block or a motivationblock.

Ability blocks should be dealt with by discussing and selecting a solutionfrom alternatives.

Motivation blocks need to be addressed by communicating the naturalconsequences of the problem to the task, others, the supervisor. If this fails,it may be necessary to communicate what consequences will be imposed ifperformance does not improve.

T Develop an action plan that specifies who will do what and by when. Thesupervisor must be sure to follow up on the implementation and results of theaction plan.

No performance management system will work if the expected performance is not clearlystated and monitored. The monitoring process must be supportive of achieving improvedresults. The message to the employee should be, "We value you as an employee andwant to help you improve."

WORK PLAN REVIEW

The work plan is the basis for the coaching process and is used in creating a dialogue forrecognizing or improving performance.

The supervisor and employee need to meet periodically to discuss progress, changes,concerns, etc., and modify the work plan as needed.

HOW TO WRITE THE PERFORMANCE EVALUATION

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HOW TO WRITE THE PERFORMANCE EVALUATION

In this section you will be introduced to:

Ú Periodic work plan updates and performance reviews

Ú The annual evaluation process

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PERIODIC WORK PLAN UPDATES AND PERFORMANCE REVIEWS

A six-month performance review is a requirement for management classifications.

The purpose of this type of review is to ensure:

4 That the work plan is up-to-date and on target

4 That performance is progressing satisfactorily

The supervisor and employee meet for the review and discuss the two objectives. Sinceissues that were an exception to satisfactory performance would have been discussedduring the coaching process, there should be no surprises in the formal document.

The only documentation that is required for the six-month review is performance that isexemplary and deserving of recognition, or performance that needs improvement.

An example of a six-month review for a manager is on the next page.

This same format is used for non-management classifications in those circumstances whenit is not necessary to do a full evaluation, e.g., during the probationary period, at the endof probation, when there is a change in supervisor or assignment, during a specialevaluation cycle, or when other circumstances warrant it.

The Work Plan Update and Performance Review form is intended to be used to recordexceptions to the work plan and document for the personnel file the work plan status.

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CITY OF SANTA ROSAWORK PLAN UPDATE AND PERFORMANCE REVIEW

(SAMPLE)

NAME: LISETTE JOHNSON DEPT: UTILITIES

CLASS: WATER CONSTRUCTION SUPERINTENDENT

EVALUATION PERIOD: FROM January 1, 2002 TO December 31, 2002

SIX-MONTH REVIEW DATE: July 1, 2002

The purpose of this review is:

~ Month of Probation

~ End of Probation

T Six-Month Review

~ Change of Supervisor/Assignment

~ Special Evaluation

~ Other - Explain:

1. The work plan for the above period has been reviewed and is proceeding according to planwith the following exceptions. (Note changes to key areas of responsibility orstandards/objectives and attach to work plan.)

No changes have occurred in the work plan.

2. Performance related to the work plan for this period is satisfactory with the followingexceptions. (Note performance which is exemplary or needing improvement.)

Re: Work plan item 1a: The weekly reports for April 25th, May 16th and June 20th indicate thatsome of the Crew Supervisors have not kept to the priorities we identified. You will need tohold problem solving meetings to ensure those priorities are kept.

Re: Work plan item 3b: By checking the Public Works projects, you caught a date change thatcould have cost us delays on our projects. Your prompt attention to correcting this date wasan example of excellent performance.

_____________________________________ _____________________________________Employee Signature Date Supervisor Signature Date

(Your signature acknowledges that youhave read the evaluation, not that youagree with it). ________________________________________f\ms\07 Department Head Signature Date

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THE ANNUAL EVALUATION PROCESS

At the end of the performance period three things occur:

T The employee records achievements related to the work plan,

T The supervisor and employee meet to discuss a draft evaluation ofperformance during this period, and

T The supervisor writes the final evaluation considering information gained inthe performance meeting.

At the end of the performance period the supervisor and employee meet to discussperformance. There should be no surprises at this meeting because you will havediscussed any performance issues with the employee as they have come up over theentire period.

This meeting should be designed to help the employee feel positive about the job, bemotivated to develop, and be helpful in promoting improvement or sustaining adequate orsuperior performance. The following process will help you in achieving these objectives:

Prior to the Meeting

3 Advise the employee of the purpose of the meeting and set the time at leastone week in advance.

3 Ask the employee to review the work plan and any updates or formalreviews.

3 Ask the employee to write a summary of his/her progress toward achievingthe performance objectives and employee development goals and submitthem to you.

3 Gather the evidence needed for each of the Key Areas being evaluated.

3 Review the information submitted by the employee and prepare a draft of theevaluation using specific behavioral descriptions and relating them to the KeyAreas of Responsibility and performance objectives.

3 Write the draft in the form of a message to the employee, not to the file. Inthe document, address the employee directly, using terms such as, "Youconsistently meet deadlines and communicate project status to stakeholdersas agreed," or, "Your training project did not meet the performance

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objectives related to deadlines and communication of project status tostakeholders.”

3 All specific comments should reference the performance objectives.

During the Meeting

3 Meet in a private location and plan to be uninterrupted.

3 Discuss the employee's progress toward achieving performance objectivesand employee development goals and your draft evaluation.

3 Be open to changing your draft based on any new facts presented to you bythe employee. Keep in mind that the evaluation is not negotiated but simplydiscussed; therefore, the final product is yours. However, if you approachthe task with an open mind, you may find you will want to make someadjustments to your documentation.

3 If there are major discrepancies between your perception of the performanceand the employee's perception, encourage him/her to write comments toattach to the report.

3 Conclude the evaluation meeting with a decision on when you will discussthe Key Areas of Responsibility, Performance Objectives, and EmployeeDevelopment interests for the next cycle.

Examples of comments appropriate to a Supervisor’s Summary of Performance are on thenext page.

Confidentiality of the evaluation is essential. You should ensure that this confidentiality ismaintained through the preparation and mailing of the evaluation document. Once youhave signed the evaluation, obtained the employee’s comments (if any) and signature, yourequest the department head’s signature. Additional signatures in the reporting chain ofcommand may be required based on your own department’s procedures. Once thedocument is complete with all required signatures, forward the original to the HumanResources Department, keep a copy for your department files, and send a copy to theemployee.

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SAMPLES: SUPERVISOR’S SUMMARY OF PERFORMANCE

C. Supervisor’s Summary of Performance (Supervisor writes evaluation basedon work plan and progress toward objectives, and summarizes employee’sstrengths and areas needing improvement.)

I agree with your list of achievements and appreciate your working on projects and initiating ideas thatexceed the expectations of your work plan. You have met the expectations of the majority of yourwork plan.

However, while you have made some improvements, you need to continue to focus your attention onmaintaining good relationships with your peers. I continue to hear complaints about insensitiveremarks you have made to others in a humorous way. I gave you concrete examples in thecounseling memo of November 1, 1995. This issue will again be on your work plan for next year sothat you can continue to focus your attention on improvement in this area and demonstrate the abilityto sustain that improvement.

C. Supervisor’s Summary of Performance (Supervisor writes evaluation basedon work plan and progress toward objectives, and summarizes employee’sstrengths and areas needing improvement.)

You consistently include staff in developing data for decision making. Your staff indicates that theyfeel you trust their abilities and consistently use the Basic Principles in your interactions with them.Your recognition of the need to assess our customer service assures we will be able to continue toadapt to the changing circumstances of the community we serve.

You are especially adept at focusing on the issue or behavior rather than the person. Yourrelationships with coworkers and employees have been effective. Since you have high expectationsof your employees regarding meeting deadlines, I would like to see you lead by example in this area.As we have discussed, you have m issed important deadlines on three of your projects this year.

You weekly crew meetings have been very successful in generating operational input from crews.

Overall, your performance is very good. You adhere to work plan performance objectives with fewdeviations. The missed deadlines are of concern primarily because you did not keep me informed.Deadlines can often be renegotiated, so you w ill need to work on improving communication in thisarea.

THE FORMS

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CITY OF SANTA ROSAWORK PLAN

NAME: DEPARTMENT:

TITLE:

WORK PLAN PERIOD: FROM TO

Current Year’s Work Plan. (To be prepared at the beginning of the employee’s evaluation cycle. List as many or as few key areasand performance objectives as necessary.*)

l. Key Area of Responsibility

Adhere to the Organizational Values and Model the Basic Principles


2. Key Area of Responsibility


3. Key Area of Responsibility


Employee Development (Used to record em ployee’s personal career development goals and supervisor’s expectations for areasthat need to be developed and efforts that need to be undertaken for employee to stay current in field.)

Signatures:

Print Name: ________________________________ Print Name: ________________________________

___________________________________________ ___________________________________________Employee Signature Date Supervisor Signature Date

__________________________________________Department Head Signature Date

* The M anager’s Work Plan must include Staff Developm ent as a key area of responsibility

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CITY OF SANTA ROSAWORK PLAN UPDATE AND PERFORMANCE REVIEW

NAME: DEPT:

CLASS:

EVALUATION PERIOD: FROM TO

SIX-MONTH REVIEW DATE:

The purpose of this review is:

~ Month of Probation

~ End of Probation

~ Six-Month Review

~ Change of Supervisor/Assignment

~ Special Evaluation

~ Other - Explain:

1. The work plan for the above period has been reviewed and is proceeding according to planwith the following exceptions. (Note changes to key areas of responsibility orstandards/objectives and attach to work plan.)

2. Performance related to the work plan for this period is satisfactory with the followingexceptions. (Note performance which is exemplary or needing improvement.)

_____________________________________ _____________________________________Employee Signature Date Supervisor Signature Date

(Your signature acknowledges that youhave read the evaluation, not that youagree with it). ________________________________________f\ms\07 Department Head Signature Date

WORK PLAN FEEDBACK

To:______________________________________________

From:____________________________________________

Date:

I am developing an evaluation on the work plan for . I would appreciate your

com ments in regard to the performance objectives stated below. Remembering to “focus on the situation, issue, or behavior, not

on the person,” when giving these comments, please provide specific behavioral examples whenever possible. Thank you for your

help. Please mark return envelope "Confidentia l" .

Performance Objective Your Experience of Performance Related to the Objective

1. Adhere to the Organizational Values and Model the

Basic Principles

2.

3.

4.

5.

6.

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CITY OF SANTA ROSAPERFORMANCE EVALUATION

NAME: DEPARTMENT:

TITLE:

EVALUATION PERIOD: FROM TO

A. Current Year’s Work Plan

Key Areas of Responsibility

1. Adhere to the Organizational Values and Model the Basic Principles2.3.4.

B. Employee’s Progress Toward Objectives (Employee summarizes activities performed toward accomplishment of

performance objectives.)

C. Supervisor’s Summary of Performance (Supervisor writes evaluation based on work plan and progress towardobjectives, and summ arizes employee’s strengths and areas needing im provem ent.)

D. Employee Development (Supervisor and employee confer and record employee’s progress toward achieving employee

development plan.)

E. Employee Comments

Signatures

Print Name: ________________________________ Print Name: ___________________________________

___________________________________________ ______________________________________________Employee Signature Date Supervisor Signature Date(Your signature acknowledges that youhave read the evaluation, not that youagree with it.)

___________________________________________Department Head Signature Date

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PERFORMANCE MANAGEMENT

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