TOWN OF GREENWICH PERFORMANCE EVALUATION MANUAL. (2003 Edition)

Transcription

1 TOWN OF GREENWICH PERFORMANCE EVALUATION MANUAL (2003 Edition)

2 TOWN OF GREENWICH PERFORMANCE EVALUATION PROGRAM INTRODUCTION On July 1, 1998 the Town of Greenwich implemented a Performance Evaluation Program which requires all Departments to provide performance evaluations for their employees. These evaluations include employees who are: newly hired - to receive a 3 month & a 6 month Probationary Evaluation. transferred &/or promoted - to receive a 3 month & a 6 month Trial Evaluation (in accordance with contractual agreements) permanent status - to receive an Annual Evaluation. Prior to the start of this Program, the current job description for each employee to be evaluated should be downloaded from the T drive of the Town s Local Area Network. From the T drive, select Human Resources Information and from this grouping select the folder for job descriptions. All job descriptions are listed alphabetically, grouped in folders by union. In preparation for the Evaluation process, performance criteria have been developed for each position within the Town corresponding with the general functions and types of responsibilities of the job. Jobs were then grouped in accordance with performance criteria and three evaluation levels were established from these groups in order to determine which Performance Evaluation Form should be used for a given position. During the employees initial probationary or trial period, and during the performance evaluation process the Department Head must establish and communicate clear and measurable departmental goals and employee expectations. These should be clearly reinforced with the employee each year during the evaluation process, letting each employee know: What is expected of them How they are meeting those expectations What are their strengths What are their weaknesses How they may improve their job skills and overall performance When they have done a good job The benefits of utilizing a Performance Evaluation are many, but the six primary payoffs are The reinforcement will bring out the best in your people The review signals you care The process will help develop you as a leader The process and evaluation tool protects you and your organization legally You will identify the under and over performers

3 The process sets the direction for improving performance and for the next review ANNUAL PERFORMANCE EVALUATION FORMS There are three (3) separate Annual Performance Evaluation Forms: Level 1 Annual Performance Evaluation; generally applies to all non-supervisory GMEA and Teamster positions Level 2 Annual Performance Evaluation; generally applies to all professional and technical LIUNA employees Level 3 Annual Performance Evaluation; generally applies to all Department Heads, Deputies and exempt Senior Managers, Senior level professionals, Assistant Town Attorneys and all Divisional Directors. In order to determine which evaluation form to use for a specific employee, look on their job description to determine their Level Classification, or contact Human Resources. HR has established yearly time frames for annual evaluations and will remind departments when forms are due to be completed. This ongoing process is designed to grown and change as needs dictate, however, the constant objective is for each employee to participate in a peformance evaluation annually. HOW TO USE THIS MANUAL For your convenience, this Manual has been divided into five (5) sections: Section 1 Section 2 Section 3 Section 4 Section 5 Annual Performance Evaluation Process for Level 1 Evaluations Annual Performance Evaluation Process for Level 2 Evaluations Annual Performance Evaluation Process for Level 3 Evaluations General Trial/Probationary Performance Evaluation Instructions Sample Trial/Probationary Performance Evaluation Forms (3 separate) Each Annual Performance Evaluation section is designed to stand on its own and contains complete directions, a sample form and evaluation checklist. The section outlining the Trial/Probationary Performance Evaluation process is fully explanatory and includes information culled from the training programs that were initially provided to all evaluators. These sections are set up by evaluation level, with complete instructions and a sample form for each level. It is designed to allow a supervisor to review only that level that pertains to the evaluation which s/he is about to complete. It is the responsibility of Department Heads to monitor their Department s Performance Evaluation Program. Please review this Manual, or the pertinent section required, in its entirety prior to your completing any evaluation forms.

4 SECTION 1 ANNUAL PERFORMANCE EVALUATION PROCESS LEVEL ONE EVALUATIONS DIRECTIONS FOR COMPLETING LEVEL 1 PERFORMANCE EVALUATION FORMS

5 Please read these level 21directions in their entirety prior to your completing any of Level 2 evaluation forms. Annual Performance Evaluation forms will be used for permanent status employees. In the event that an employee was transferred or promoted DO NOT use these forms; instead use the Trial/Probationary Evaluation Forms outlined in Sections 3 and 4 of this Manual. STEP 1 Educating The Employee About the Process 1. Meet with the employee in a private office to let them know that their Annual Performance Evaluation is due. 2. Review with the employee the Town s Performance Policy, the components of the program, and the value of a Performance Evaluation Program. Goals of a Performance Program Supports the objectives & goals of the Town by linking the employee s work with the overall mission of the Town. Analyzes the objectives & goals of the organization & the department Provides an opportunity to review the employee s job description to ensure it is accurate and up to date Analyzes the employee s skills & assignments Clearly communicates performance goals & expectations Recognizes & acknowledges good performance Recognizes areas which are in need of improvement Provides for a specific individual Performance Improvement Plan 3. Have a copy of the employee s job description in front of you to review point by point, discussing its content with the employee and how that translates into your expectations and goals for this individual. Determine if it is complete and accurate as is, or if corrections need to be made. Next explain the purpose and value of the program and outline how the program works. 4. Provide the employee with a blank copy of the Annual Performance Evaluation form. Briefly review each of the performance evaluation criteria categories, being sure to highlight and explain the areas within each category that are considered most important to the employee s position. Explain to the employee that you will need their input in completing the evaluation. 1-1 Explain that there is a three-part process to completing a Performance Evaluation: a. The Employee s Self Review

6 Ask her/him to take the form with them and complete it, noting achievements as well as areas of concern and adding comments and goals. Emphasize that no matter how good a person is at their job, there is always room for growth and improvement. Note: Some employees would prefer not to conduct the self-appraisal. If this happens, it is prudent to remind the employee that although there is no obligation to perform a self-evaluation, the process works best when all phases are completed. b. The Supervisor s Appraisal Explain that you will complete a draft of the review also, listing explanations, goals and improvement plans, if appropriate. c. A Performance Appraisal Meeting A meeting will be scheduled at which time you and the employee will meet in a private office to review the employee s and supervisor s input. The goal of this meeting is to generate a discussion, which will focus on strengths, weaknesses, future goals and areas in need of improvement. 5. At this time, schedule a meeting with the employee to complete the Performance Evaluation process. It is a good idea to schedule a meeting within 72 hours, and ask the employee to bring his/her completed form at that time. Suggestions - Do not conduct a performance evaluation on a Friday, the day before a Holiday, or just after reprimanding an employee Take all steps necessary to ensure that information regarding an employee and his/her performance is discussed and maintained in a confidential manner. 1-2 STEP 2 Preparing Yourself for the Process

7 1. Before completing an annual evaluation form, you will need to collect all appropriate documentation regarding the employee over the course of the past 12 months. (e.g. attendance sheets, accomplishments, any disciplinary actions, etc.) 2. Now think back over the past 12 months in relation to the employee s job performance and make an outline on a piece of paper consisting of topics such as: a. Job responsibilities b. Attendance c. Accomplishments d. Areas in which s/he stood out from the rest e. Problem areas f. Education & training participation internally and externally g. Any disciplinary action taken in regard to this employee h. Their interpersonal relations within the department, with other departments, and with the public i. How to improve lists Review documentation related to an employee; gathering documentation collected over the course of the year regarding the employee. (e.g. attendance sheets, accomplishments, disciplinary actions, etc.) Consider other topics such as: a. Job responsibilities and what is expected of him/her b. How s/he is meeting those expectations c. Attendance d. Accomplishments e. The employee s strengths, weaknesses and any problem areas f. Education & training participation internally and externally g. What skills need improving and how this can be accomplished h. How to improve overall job performance 1-3 i. Note when s/he has done a good job j. Note any disciplinary action taken in regard to this employee

8 k. Their interpersonal relations within the department, with other departments and with the public l. How to improve lists PLEASE NOTE: The more specific you are in this process, the easier it will be to actually complete the evaluation form. Employee accomplishments during the evaluation period are measured against the objectives or goals established at the time of hire, during the year, or at the time of the employee s last evaluation. 3. Successfully completed, a performance evaluation should provide an employee with: What is expected of them How they are meeting those expectations What are their strengths What are their weaknesses How they may improve their job skills and overall performance When they have done a good job 4. It is common when completing a performance evaluation to get caught up in trait rating biases, therefore it is helpful to be aware of the most common biases: SAMPLE TRAIT RATING BIASES Recency Similarity Horns/halo Effect Initial Impression Leniency Giving too much weight to recent events (positive or negative) Rating people with similar values & interests to yourself higher Being overly influenced by a single trait Ignoring or distorting subsequent information Grading everyone higher than deserved 1-4 Contrasting Central Tendency Evaluating an employee relative to the last person graded Placing everyone in the middle of the scale

9 Attribution Tendency to see poor performance more within the control of the individual, and to see superior performance as more influenced by external factors DREADING VS. DOING Other factors that inhibit good performance evaluations must also be overcome SUPERVISORS CONCERNS: We dread them, so we either do them poorly or not at all We fear that our employees dread them We fear that they will backfire We dislike the heavy responsibility We lack confidence, and usually can t choose the method or form We fear the legal consequences EMPLOYEES CONCERNS: They often dread them for emotional reasons They fear they will be over-praised They fear they will be criticized or over-criticized They feel they are unimportant They dislike them for practical reasons 1-5 STEP 3 COMPLETING THE ANNUAL PERFORMANCE EVALUATION FORM General Directions

10 1. All permanent status employees need to be evaluated annually, and are subject to an Annual Performance Evaluation to be completed in accordance with the time frames established for the employee s evaluation level. In the event that an employee was transferred or promoted, s/he will serve a three or six month trial period (in accordance with contractual agreements), and will receive two (2) Trial Performance Evaluations; one after 3 months, and a final evaluation no later than the last day of the month of their three (3) month or six (6) month trial period. If the employee successfully completes their trial period, they will receive annual evaluations as outlined above. 2. It is the responsibility of the Department Head to monitor their Department s Performance Program. 3. Please type or print in INK; and complete ALL sections. Performance Criteria Section 1. Please complete the Information Section at the top of the evaluation form: a. Employee s name b. Date of hire c. Employee s job title as listed on their current job description d. Department in which the employee currently works e. Your name as the evaluator f. Date the evalution is being completed g. The period of time (generally one year) which is covered by the evaluation 2. Performance Criteria Rating for each Category Each performance criteria category focuses on a specific job area. You may wish to concentrate on certain areas and not rate areas that do not apply, sharing this information with the employee during the evaluation. Considering all areas in each category that apply to the position, determine an appropriate rating as outlined below. 3. Each area is to be rated based upon the following information: Commendable All position requirements were met or exceeded. Work performed is above the established 1-6 standards and results generally exceed expectations. Assistance above and beyond was provided to others. This rating is for above average performance in this area. Satisfactory:

11 All position requirements were met and work objectives were accomplished within the established standards. Any minor areas where performance should have been better were overshadowed by other areas of superior accomplishment, and overall the work meets expectations. There were no critical areas where work was less than acceptable. Needs Improvement: Performance in this area does not meet expectations or is unacceptable. Job requirements are not being met consistently andimportant objectives have not always been accomplished even with supervision and guidance. Improvement Plan (discussed later in this section) must be implemented immediately to ensure that performance improves to the satisfactory level and performance should be evaluated again within 3 months to ensure the progress is actually being made. Overall Performance Rating As a goal the overall rating should reflect your general evaluation of the employee. Using the same Performance Definitions from page 5 of the evaluation form, review each category and decide how the definitions apply to the employee overall. The definition should reflect the actual abilities/performance of the employee. If it does not do so, or if your overall impression differs significantly from the rated areas, then you will need to re-examine the ratings given in each area. Performance Improvement Plan PLEASE NOTE: Explanation: e.g. Look at each section of the evaluation form; for each performance category where the needs improvement box is checked, you will need to provide an explanation and improvement plan as outlined below. Growth and Development Three months ago the department implemented a computer system with a goal of having all employees computer literate within six months. The Town is providing computerclasses during work time. Mr. Smith has not taken any initiative to become familiar with the computer or to sign up for any classes. Improvement Plan: e.g. Mr. Smith has demonstrated a lack of motivation in learning the computer skills necessary to meet the minimum requirements of his job responsibilities. He needs to be proficient enough in Word for Windows to be able to type daily office correspondence with no errors 1-7 in the final products. The time frame to meet this goal is 30 days from this date. Mr. Smith needs to sign up for a computer class this week. If an employee receives 3 or more needs improvement ratings, that employee shall receive detailed counseling and focused retraining in those particular areas. Additionally, over the next three- month period,

12 the supervisor will work with the employee, in order to help him/her bring their performance up to acceptable organizational standards. AN IMPROVEMENT PLAN FOCUSES ON: Strengths Weaknesses Goals Objectives Specific Performance Desired Gaps in Knowledge and Skills Specific Plan to Improve Gaps in Knowledge and Skills Time Frame to be Completed The Supervisor s Overall Comments Section 1. Use this space to provide a summary statement regarding the employee s overall performance. 2. Write any additional comments which you would like to convey, bearing positive reinforcement in mind. The Employee s Comments Section 1. Leave this section blank until you meet with the employee to discuss their performance evaluation. 2. Following your discussion of the completed evaluation, encourage the employee to express his/her opinion regarding their evaluation, the process, or any other comments related to their job performance. Signatures Following your meeting with the employee you will need to: 1. Ask the employee to sign the evaluation stating that s/he meet with you and together you both reviewed its content. Remind them that their signature does not mean that they necessarily agree with your ratings. 2. As the supervisor you will sign the evaluation Provide your Department Head with the completed evaluation for her/his signature. Provide the employee with a copy of their completed evaluation. Make sure you review your draft evaluation with your supervisor prior to meeting with the employee.

13 4. It is the responsibility of the Department Head to see that Human Resources receives the original completed and signed evaluation for the employee s permanent personnel file. 1-9 STEP 4 THE FACE-TO-FACE MEETING WITH THE EMPLOYEE Perhaps the most delicate, yet potentially most productive element of the performance review program is the performance review meeting. If done properly and with sufficient preparation, the meeting should serve as a positive experience for both the supervisor and the employee. Since the goals, accountabilities, assignments and

14 measurable objectives have been outlined prior to the beginning of the review period, the structure of the interview should be fairly clear - how well did the employee perform in relation to the goals set for his/her job? This process, based upon factual criteria, should lead to an open and candid exchange of information. Sufficient time and emphasis should be allotted for discussing the employee s methods of work and any other factors related to position responsibilities. The purpose of the interview is to review performance, not to discuss salary or the performance of other employees. Finally, goals, responsibilities and measurable objectives for the forthcoming year should be set. In addition to a discussion of the employee s performance in the current position, the review meeting should include a career development discussion wherein the supervisor will explore with the employee his/her career aspirations. This discussion should include counseling on promotional possibilities and an explanation of the training and experience requirements necessary for advancement. Remember to review your completed portion of the Performance Evaluation with your supervisor prior to discussing it with the employee. The Performance Evaluation form you complete at this time is the official one. FIVE MAJOR OBJECTIVES 1. Reach agreement on the employee s level of performance over the past 12 months 2. Identify strengths 3. Identify areas which are in need of improvement 4. If appropriate, agree on a performance improvement plan 5. Agree on what is expected (e.g. job duties, standard of performance, etc.) for the next 12 months KEY POINTS Allow up to 1 hour of uninterrupted time to meet with the employee Prepare yourself mentally Remind the employee to bring their self-appraisal form to the meeting, if completed Do not just give the employee the completed Performance Evaluation to read. Review your completed Performance Evaluation with the employee, point by point GROUND RULES The supervisor bears a great responsibility to the employee. His/her relationship with the employee and attitude toward development has an important effect on the employee s future. Some of the ground rules essential to a successful performance review meeting are:

15 The performance review meeting should be conducted within 3-5 days of completing the evaluation form Prepare detailed notes, anticipate questions and problem areas and have examples to back up statements. Review the individual s position responsibilities and decide what is to be accomplished during the discussion. Select a place, which offers complete privacy and is free from interruptions. If possible, schedule the interview with no limit of time. Do not accept telephone calls. Notify the employee in advance of the meeting in order to allow him/; her time to prepare for the interview Never undertake the review immediately after reprimanding or disciplining an employee Be realistic about human nature in approaching and conducting the interview Use an interview approach applicable to the individual and the nature of the evaluation. An unsatisfactory or mediocre evaluation rating may require bluntness and firmness. An introverted type of employee will require more patience and careful approach than the extrovert. Accentuate the positive and develop the relationship. Success is built on encouragement and developing strength rather than emphasizing weakness. Be direct in discussions, keeping the discussion performance oriented. Do not allow yourself to be placed in a defensive or argumentative position; do not discuss the performance of other employees. Allow the employee ample opportunity to talk and ask questions Be objective and truthful Try not to give advice unless asked SUGGESTIONS 1. Establish and maintain rapport, putting the employee at ease. Start and end the interview on a positive note. Be natural and do not manifest pessimism. 2. Initially, focus on the employee s strengths and how these contribute to his/her effectiveness. Be sincere. The employee will then be more receptive and open-minded regarding the negative aspects Review the performance criteria categories one by one with the employee a. Ask the employee for input b. Listen c. Record the employee s input in the designated area on your draft copy of the Performance Evaluation 4. Share your rating and rationale; begin a dialogue

16 a. Be descriptive and not evaluative. Provide specific examples using descriptive behavior. b. Don t be afraid to change your rating based on the information, which the employee shares. (e.g. the employee reminds you of special projects or training s/he has completed) 5. It is important to note if there is a large discrepancy between your rating and that of the employee. This would indicate that there is a lack of understanding and clarity about the employee s job responsibilities, expectations, and the criteria used for evaluating performance. If this is the case then a separate plan needs to be developed in order to rectify the situation and so noted on the evaluation. 6. Avoid confrontation or an argument 7. Focus on job performance, and not personality 8. Use past performance to focus on the future. 9. Emphasize strengths and accomplishments, as well as areas needing improvement 10. Avoid being distracted, stay on focus 11. Discuss the employee s overall performance rating, and if appropriate the specifics of the agreed upon performance improvement plan 12. As the supervisor you should provide counseling and an improvement plan for any employee who has received a needs improvement in any one area. If an employee receives a needs improvement rating in three or more categories, that employee will need to receive detailed counseling and focused retraining in those particular areas. Over the next three-month period, you will need to work with the employee, in order to help him/her bring their performance up to acceptable organizational standards. 13. Ask if the employee has any questions 14. Terminate the meeting when complete or otherwise advisable (e.g. loss of rapport, lack of progress etc.) If the meeting ends before accomplishing your objectives, agree on a time when the meeting will be resumed Always conclude on a positive note 16. Ask the employee to write any comments, sign and date the form. Inform her/him that once the Department Head has signed the Performance Evaluation, s/he will be provided with a copy and the original will be sent to Human Resources to be placed in their permanent personnel file. 17. If completed, ask the employee to give you their completed Self-Appraisal for your files 18. As the supervisor you will sign the form in the appropriate section

17 19. Deliver the completed and signed Performance Evaluation to your supervisor, keeping a copy for your files. Immediately after the discussion, the supervisor should make notes of the important points, such as differences of opinion, additional facts or circumstances brought up during the discussion and plans for improvement. It is helpful to use the Performance Evaluation Checklist provided. Finally, you have any questions concerning the Performance Evaluation form or the evaluation process please feel free to contact Human Resources for assistance SECTION 2 ANNUAL

18 PERFORMANCE EVALUATION PROCESS LEVEL TWO EVALUATIONS DIRECTIONS FOR COMPLETING LEVEL 2 PERFORMANCE EVALUATION FORMS Please read these level 2 directions in their entirety prior to your completing any of Level 2 evaluation forms. Annual Performance Evaluation forms will be used for permanent status employees. In the event that an employee was transferred or promoted DO NOT use these forms; instead use the Trial/Probationary Evaluation Forms outlined in Sections 3 and 4 of this Manual.

19 STEP 1 Educating The Employee About the Process 1. Meet with the employee in a private office to let them know that their Annual Performance Evaluation is due. 2. Review with the employee the Town s Performance Policy, the components of the program, and the value of a Performance Evaluation Program. Goals of a Performance Program: Supports the objectives & goals of the Town by linking the employee s work with the overall mission of the Town. Analyzes the objectives & goals of the organization & the department Provides an opportunity to review the employee s job description to ensure it is accurate and up to date Analyzes the employee s skills & assignments Clearly communicates performance goals & expectations Recognizes & acknowledges good performance Recognizes areas which are in need of improvement Provides for a specific individual Performance Improvement Plan 3. Have a copy of the employee s job description in front of you to review point by point, discussing its content with the employee and how that translates into your expectations and goals for this individual. Determine if it is complete and accurate as is, or if corrections need to be made. Next explain the purpose and value of the program and outline how the program works. 4. Provide the employee with a blank copy of the Annual Performance Evaluation form. Briefly review each of the performance evaluation criteria categories, being sure to highlight and explain the areas within each category that are considered most important to the employee s position. Explain to the employee that you will need their input in completing the evaluation. Explain that there is a three-part process to completing a Performance Evaluation: a. The Employee s Self Review Ask her/him to take the form with them and complete it, noting achievements as well as areas of concern and adding comments and goals. Emphasize that no matter how good a person is at their job, there is always room for growth and improvement.

20 Note: Some employees would prefer not to conduct the self-appraisal. If this happens, it is prudent to remind the employee that although there is no obligation to perform a self-evaluation, the process works best when all phases are completed. b. The Supervisor s Appraisal Explain that you will complete a draft of the review also, listing explanations, goals and improvement plans, if appropriate. c. A Performance Appraisal Meeting A meeting will be scheduled at which time you and the employee will meet in a private office to review the employee s and supervisor s input. The goal of this meeting is to generate a discussion, which will focus on strengths, weaknesses, future goals and areas in need of improvement. 5. At this time, schedule a meeting with the employee to complete the Performance Evaluation process. It is a good idea to schedule a meeting within 72 hours, and ask the employee to bring his/her completed form at that time. Suggestions - Do not conduct a performance evaluation on a Friday, the day before a Holiday, or just after reprimanding an employee. Take all steps necessary to ensure that information regarding an employee and his/her performance is discussed and maintained in a confidential manner. STEP 2 Preparing Yourself for the Process 1. Before completing an annual evaluation form, you will need to collect all appropriate documentation regarding the employee over the course of the past 12 months. (e.g. accomplishments, reports, significant memos, departmental or personal disciplinary actions, etc.) 2. Now think back over the past year in relation to the employee s job performance and the work of the department/division, special projects taken on, etc., and make an outline on a piece of paper consisting of topics such as: a. Leadership and vision

21 b. Initiative and accomplishments throughout the year c. Professional development and use of resources and expertise d. Financial management e. Response to problems f. Staff performance, motivation and staff development g. Areas of technical or managerial weakness h. Interpersonal relations within the department, with other departments, and with the public i. Overall impression of the department, division and/or work product j. Goals for continued improvement 3. Review documentation related to an employee. Consider additional topics such as: a. Expectations, goals and job responsibilities b. How s/he is meeting those expectations and goals c. Leadership by example (including attendance, work ethic, credibility, etc.) d. Accomplishments e. The employee s strengths, weaknesses and any problem areas f. Education & training participation, internally and externally g. Overall work results, either individual or departmental h. Improvement of overall job performance and/or skill development i. List areas of excellence and/or tasks done well j. Note any counseling or disciplinary action taken in regard to this employee and the employee s subsequent performance response PLEASE NOTE: The more specific you are in this process, the easier it will be to actually complete the evaluation form. Employee accomplishments during the evaluation period are measured against the objectives or goals established at the time of hire, during the year, or at the time of the employee s last performance evaluation. 4. Successfully completed, a performance evaluation should provide an employee with: What is expected of them How they are meeting those expectations

22 What are their strengths What are their weaknesses How they may improve their job skills and overall performance When they have done a good job 5. It is common when completing a performance evaluation to get caught up in trait rating biases, therefore it is important to be aware of common biases: SAMPLE TRAIT RATING BIASES Recency Similarity Horns/halo Effect Initial Impression Leniency Contrasting Central Tendency Attribution Giving too much weight to recent events (positive or negative) Rating people with similar values & interests to yourself higher Being overly influenced by a single trait Ignoring or distorting subsequent information Grading everyone higher than deserved Evaluating an employee relative to the last person graded Placing everyone in the middle of the scale Tendency to see poor performance more within the control of the individual, and to see superior performance as more influenced by external factors DREADING VS. DOING Other factors that inhibit good performance evaluations must also be overcome: SUPERVISORS CONCERNS: We dread them, so we either do them poorly or not at all (Supervisors Concerns, cont d) We fear that our employees dread them We fear that they will backfire We dislike the heavy responsibility We lack confidence and usually can t choose the method or form We fear the legal consequences

23 EMPLOYEES CONCERNS: They often dread them for emotional reasons They fear they will be over praised They fear they will be criticized or over criticized They feel they are unimportant They dislike them for practical reasons STEP 3 Completing the Annual Performance Evaluation Form General Directions 1. All permanent employees need to be evaluated annually, and are subject to an Annual Performance Evaluation to be completed in accordance with the time frames established for the employee s evaluation level. In the event that an employee was transferred or promoted, they will serve a six-month trial period (formerly called probationary period) and are subject to a three (3) month, and six (6) month evaluation. If the employee successfully completes their trial period, they will receive annual evaluations as outlined above.

24 2. It is the responsibility of the Department Head to monitor their Department s Performance Evaluation Program. 3. Please type or print in INK; and complete ALL sections. 4. During your initial meeting with the employee, you should have reviewed with the employee their job description, expectations, and goals. Performance Criteria Section 1. Please complete the Information Section at the top of the evaluation form: a. Employee s name b. Date of hire c. Employee s position title as listed on their current job description d. Department in which the employee currently works e. Date evaluation is being completed 2. Performance Criteria Rating for each Category Each performance criteria category focuses on a specific job skill. You may wish to concentrate on certain areas and not rate areas that do not apply, sharing this information with the employee during the evaluation. Considering all areas in each category that apply to the position, determine an appropriate rating between 1 and 5, as outlined below. 3. Each area is to be rated on a performance scale of 1 through 5 (or increments thereof), based upon the following: 5 Always 4 Often 3 Sometimes 2 Rarely 1 Never 0 N/A The number that most clearly corresponds to the employee s performance should be entered. All ratings of either 1 or 2 require a performance improvement plan, unless not essential to the position. The Overall Rating Once you have completed all performance criteria categories, add up the total points and divide by the number of areas rated, in order to obtain the average score, which is the overall rating. Write this score in the space provided for the overall rating on page 5 of the evaluation form. For example, if you have rated an employee as follows: e.g. Job Knowledge _4.5_ Quality and Quantity of Work _4.5_ Operational Skills _4.5_ Communication and Interpersonal Skills _4.9_ Judgment _4.5_

25 Leadership Skills _4.5_ Supervisory Skills _4.5_ Professional Development _3.5_ Planning and Development _4.8_ Cost Control _0 _ Total Number of Points _40.20_ Then the overall rating is determined by dividing by the 9 categories: OVERALL RATING: _4.46_ As a goal the overall rating should reflect your general evaluation of the employee. Once you have calculated this number, please refer to the Overall Performance Rating Definitions on page 6 of the evaluation form and below. The definition should reflect the actual abilities/performance of the employee. If it does not do so, then you will need to re-examine the ratings given in each area. Overall Performance Rating Definitions Ratings from = Always Performance generally exceeds expectations. Obstacles to the achievement of objectives were overcome while at the same time good working relationships with subordinates; peers and superiors were developed or enhanced. All position requirements were met and all objectives were achieved above the standards established. This rating is for above average performance overall. Ratings from = Often Position requirements are routinely met and planned objectives accomplished within the established standards. Areas where performance should have been better are minor or were overshadowed by other superior accomplishments. There were no critical areas where accomplishments were less than planned. Ratings from = Sometimes Performance in one or more critical area(s) does not meet expectations. Not all planned objectives were accomplished within the established standards, and some position responsibilities were not completely met. Development activities must be implemented immediately to ensure that performance improves to the often level (see Performance Improvement Plan) Ratings from = Rarely Performance is often unacceptable. Position requirements are not being met and important objectives have not been accomplished even with close supervision and guidance. Improvement Plan must be implemented immediately and criteria reviewed again within 3 months. (For probationary employees, employee must achieve the often performance level by meeting specific measurable goals within the probationary period or termination of employment will result.)

26 Objectives for Growth in this Area: Please use this area to outline goals for the upcoming year to either continue with always performance or to develop a skill to a higher level. The Performance Improvement Plan Look at the ratings listed in each performance criteria-rating section. If the employee received any ratings of never ( ) or rarely ( ) you will need to provide an improvement plan. Improvement Plan: e.g. Mr. Smith has demonstrated difficulty in producing quality work within established time frames. He will need to delegate minor work to subordinates and learn to take control of his time. Mr. Smith needs to take a course in time management within the next 2 months. Supervisors should provide counseling as well as an improvement plan to any employee who has received a rarely rating or never rating in any one area. If an employee receives 3 or more scores of rarely or never rating, that employee shall receive detailed counseling and focused retraining in those particular areas. Additionally, over the next three- month period, the supervisor will work with the employee, in order to help him/her bring their performance up to acceptable organizational standards. AN IMPROVEMENT PLAN FOCUSES ON: Strengths as well as weaknesses Goals and objectives Specific Performance Desired Gaps in Knowledge and Skills Time Frame to be Completed The Supervisor s Overall Comments Section 1. Use this space to provide a summary statement regarding the employee s overall performance. 2. Write any additional comments which you would like to convey, bearing positive reinforcement in mind. The Employee s Comments Section

27 1. Leave this section blank until you meet with the employee to discuss their performance evaluation. 2. Following your discussion of the completed evaluation, encourage the employee to express his/her opinion regarding their evaluation, the process, or any other comments related to their job performance. Signatures Following your meeting with the employee you will need to: 1. Ask the employee to sign the evaluation stating that s/he met with you and together you both reviewed its content. Remind them that their signature does not mean that they necessarily agree with your ratings. 2. As the supervisor/appointing authority you will sign the evaluation. 3. Where appropriate, provide your Department Head with the completed evaluation for her/his signature. ** Prior to meeting with the employee, the draft evaluation should be reviewed with your supervisor if you are not the appointing authority ** 4. It is the responsibility of the Department Head or Appointing Authority to see that Human Resources receives the original completed and signed evaluation for the employee s permanent personnel file. STEP 4 THE FACE-TO-FACE MEETING WITH THE EMPLOYEE Perhaps the most delicate, yet potentially most productive element of the performance review program is the performance review meeting. If done properly and with sufficient preparation, the meeting should serve as a positive experience for both the supervisor and the employee. Since the goals, accountabilities, assignments and measurable objectives have been outlined prior to the beginning of the review period, the structure of the interview should be fairly clear how well did the employee perform in relation to the goals set for his/her job. This process, based upon factual criteria, should lead to an open and candid exchange of information. Sufficient time and emphasis should be allotted for discussing the employee s methods of work and any other factors related to position responsibilities. The purpose of the interview is to review performance, not to discuss salary or the performance of other employees. Finally, goals, responsibilities and measurable objectives for the forthcoming year should be set. In addition to a discussion of the employee s performance in the current position, the review meeting may include a career development discussion wherein the supervisor will explore with the employee his/her career aspirations. This discussion would include counseling on promotional possibilities and an explanation of the training and experience requirements necessary for advancement.

28 ** Remember to review your completed portion of the Performance Evaluation with your supervisor prior to discussing it with the employee if you are not the employee s appointing authority. The Performance Evaluation Form you complete is the official one. ** FIVE MAJOR OBJECTIVES 1. Reach agreement on the employee s level of performance over the past 12 months 2. Identify strengths 3. Identify areas, which are in need of improvement 4. Where appropriate and necessary, agree on a performance improvement plan 5. Agree on goals and objectives for the next 12 months (e.g. new challenges, programs, skill development, maintaining growth, etc.) KEY POINTS Allow up to 1 hour of uninterrupted time to meet with the employee Prepare yourself mentally Remind the employee to bring his/her self-appraisal form to the meeting, if completed Do not just give the employee the completed Performance Evaluation to read. Review your completed Performance Evaluation draft with the employee, point by point. GROUND RULES The supervisor bears a great responsibility to the employee. His/her relationship with the employee and attitude toward development has an important effect on the employee s future. Some of the ground rules essential to a successful performance review meeting are: The performance review meeting should be conducted within 3-5 days of completing the evaluation form Prepare detailed notes, anticipate questions and problem areas and have examples to back up statements. Review the individual s position responsibilities and decide what is to be accomplished during the discussion. Select a place, which offers complete privacy and is free from interruptions. If possible, schedule the interview with no limit of time. Do not accept telephone calls. Notify the employee in advance of the meeting in order to allow him/; her time to prepare for the interview Never undertake the review immediately after reprimanding or disciplining an employee

29 Be realistic about human nature in approaching and conducting the interview Use an interview approach applicable to the individual and the nature of the evaluation. An unsatisfactory or mediocre evaluation rating may require bluntness and firmness. An introverted type of employee will require more patience and careful approach than the extrovert. Accentuate the positive and develop the relationship. Success is built on encouragement and developing strength rather than emphasizing weakness. Be direct in discussions, keeping the discussion performance oriented. Do not allow yourself to be placed in a defensive or argumentative position; do not discuss the performance of other employees. Allow the employee ample opportunity to talk and ask questions Be objective and truthful Try not to give advice unless asked SUGGESTIONS 1. Establish and maintain rapport, putting the employee at ease. Start and end the interview on a positive note. Be natural and do not manifest pessimism. 2. Initially, focus on the employee s strengths and how these contribute to his/her effectiveness. Be sincere. The employee will then be more receptive and open-minded regarding the negative aspects. 3. Review the performance criteria categories one by one with the employee a. Ask the employee for input b. Listen c. Record the employee s input in the designated area on your draft copy of the Performance Evaluation 4. Share your rating and rationale; begin a dialogue a. Be descriptive and not evaluative. Provide specific examples using descriptive behavior. b. Don t be afraid to change your rating based on the information, which the employee shares. (e.g. the employee reminds you of special projects or training s/he has completed) 5. It is important to note if there is a large discrepancy between your rating and that of the employee. This would indicate that there is a lack of understanding and clarity about the employee s job responsibilities, expectations, and the criteria used for evaluating performance. If this is the case then a separate plan needs to be developed in order to rectify the situation and so noted on the evaluation.

30 6. Avoid confrontation or an argument 7. Focus on job performance, and not personality 8. Use past performance to focus on the future. 9. Emphasize strengths and accomplishments, as well as areas needing improvement 10. Avoid being distracted, stay on focus 11. Discuss the employee s overall performance rating, and if appropriate the specifics of the agreed upon performance improvement plan 12. As the supervisor you should provide counseling and an improvement plan for any employee who has received a never rating ( ) or rarely rating ( ) in any one area. If an employee receives scores of never or rarely in three or more categories, that employee will need to receive detailed counseling and focused retraining in those particular areas. Over the next three-month period, you will need to work with the employee, in order to help him/her bring their performance up to acceptable organizational standards. 13. Ask if the employee has any questions 14. Terminate the meeting when complete or otherwise advisable (e.g. loss of rapport, lack of progress etc.) If the meeting ends before accomplishing your objectives, agree on a time when the meeting will be resumed. 15. Always conclude on a positive note 16. Ask the employee to write any comments, sign and date the form. Inform her/him that once the Department Head has signed the Performance Evaluation, s/he will be provided with a copy and the original will be sent to Human Resources to be placed in their permanent personnel file. 17. Ask the employee to give you their completed Self-Appraisal for your files 18. As the supervisor you will sign the form in the appropriate section 19. Deliver the completed and signed Performance Evaluation to your supervisor or, if you are the appointing authority, copy for your files and send the original to Human Resources. Finally, if you have any questions concerning the Performance Evaluation form or the appraisal process please feel free to contact Human Resources for assistance.

31 SECTION 3 ANNUAL PERFORMANCE EVALUATION PROCESS LEVEL THREE EVALUATIONS

32 DIRECTIONS FOR COMPLETING LEVEL 3 PERFORMANCE EVALUATION FORMS Please read these Level 3 directions in their entirety prior to completing any Level 3 evaluation forms. Annual Performance Evaluation forms will be used for permanent status employees. In the event that an employee was transferred or promoted DO NOT use these forms; instead use the Trial/Probationary Evaluation Forms outlined in Sections 3 and 4 of this Manual. STEP 1 Educating the Employee About the Process 1. Meet with the employee in a private office to let them know that their Annual Performance Evaluation is due. 2. Review with the employee the Town s Performance Policy, the components of the program, and the value of a Performance Evaluation Program. Goals of a Performance Program:

33 Supports the objectives & goals of the Town by linking the employee s work with the overall mission of the Town. Analyzes the objectives & goals of the organization & the department Provides an opportunity to review the employee s job description to ensure it is accurate and up to date Analyzes the employee s skills & assignments Clearly communicates performance goals & expectations Recognizes & acknowledges good performance Recognizes areas which are in need of improvement Provides for a specific individual Performance Improvement Plan 3. Have a copy of the employee s job description in front of you to review point by point, discussing its content with the employee and how that translates into your expectations and goals for this individual. Determine if it is complete and accurate as is, or if corrections need to be made. Next explain the purpose and value of the program and outline how the program works Provide the employee with a blank copy of the Annual Performance Evaluation form. Briefly review each of the performance evaluation criteria categories, being sure to highlight and explain the areas within each category that are considered most important to the employee s position. Explain to the employee that you will need their input in completing the evaluation. Explain that there is a three part process to completing a Performance Evaluation: a. The Employee s Self Review Ask her/him to take the form with them and complete it, noting achievements as well as areas of concern and adding comments and goals. Emphasize that no matter how good a person is at their job, there is always room for growth and improvement. Note: Some employees would prefer not to conduct the self-appraisal. If this happens, it is prudent to remind the employee that although there is no obligation to perform a self-evaluation, the process works best when all phases are completed. b. The Supervisor s Appraisal Explain that you will complete a draft of the review also, listing explanations, goals and improvement plans, if appropriate. c. The Performance Appraisal Meeting