THE LIVE IT EVERY DAY Performance Planning And Evaluation A guide for employees, supervisors and managers 1 INTEGRITY We live Integrity by Telling the truth. Being consistent. Doing the right thing even when nobody is looking. 2 RESPECT We live Respect by Valuing the worth of others. Honoring diversity and differences. Practicing the Golden Rule. 3 PROFESSIONALISM We live Professionalism by Treating everyone equally. Embracing best and safe practices. Using data to help us make decisions and do our work. 4 CUSTOMER SERVICE We live Customer Service by Going the extra mile. Exceeding expectations. Being responsive, courteous and fair. Delivering quality, efficient and cost-effective services.
Performance Planning And Evaluation A guide for employees, supervisors and managers TABLE OF CONTENTS OVERVIEW OF PERFORMANCE MANAGEMENT...3 SECTION 1 PLANNING...3 Clarifying Job Responsibilities...3 Identifying Goals...3 Recording Objectives...4 Examples of Goals...4 Goal Setting Action Plan...5 SECTION 2 FEEDBACK AND COACHING...5 SECTION 3 REVIEW...6 Conducting the Annual Performance Evaluation...6 Determining Rating...7 Guidelines...7 SECTION 4 PROBATIONARY PERIOD...7 New Hire or Promotion...7 EVALUATION FORM INSTRUCTIONS...8 Setting the Groundwork...8 Evaluating Core 4 Values...8 Establishing Current Objectives...8 Evaluating Current Objectives...8 Completing the Performance Evaluation Online Form...9 Current Objectives Section...9 No Rating Option...9 Future Objectives of the Performance Evaluation Online Form...9 Performance Enhancement Opportunities... 10 What Can My Supervisor Do To Help Me Be Successful... 10 Supervisor s Follow-up Actions... 10 Form Resources... 10
OVERVIEW PERFORMANCE MANAGEMENT MODEL The purpose of performance management is to ensure that employees are clear about job expectations. Moreover, they should receive timely feedback and coaching to help them be successful in their current job and/or to prepare for future growth within the city of Aurora. Performance Management is an ongoing process of planning, communicating, feedback, coaching, and review. Step 3 Performance Review Evaluation Evaluate Results Assess Behavior PERFORMANCE PLANNING MANAGEMENT MODEL Step 2 Tracking, Feedback & Coaching for Success Improvement & Reinforcement Step 1 Discuss & Identify Performance Expectations Step 1-Planning Managers and employees work together to clarify job responsibilities, identify goals and priorities, and decide how often to meet to discuss progress. This is an opportune time to explore ways that employees can reinforce the city of Aurora s values in their daily work. Step 2-Tracking, Feedback and Coaching Feedback and coaching should occur regularly throughout the performance cycle and can be initiated by either the employee or manager. Employees can provide managers/supervisors with updates on how they are doing during regularly scheduled checkins and at the required midyear evaluation. Step 3-Performance Review Evaluation The annual performance evaluation is a summary of performance that has already been discussed in feedback and coaching sessions, regularly scheduled check-ins and progress reviews. Employees should be informed of performance discrepancies as they occur, so they are not surprised during the end-of-year evaluation. SECTION 1 PLANNING The manager and employee clarify job expectations at the beginning of the performance cycle. Clarifying Job Responsibilities Review essential functions, duties and responsibilities. Identify changes that may affect job responsibilities over the next 12 months. Review the job description or classification. Send recommended changes to HR immediately. Discuss how the employee s job contributes to department, program or project goals. Prioritize the essential functions and estimate the percentage of time to be spent on each. Identifying Goals Consider the following four types of goals to target specific areas of performance. See Page 4 for examples of each of the four goals. An employee should be able to see how his/her goals align with the department s mission and goals. Job function goals outline essential duties with standards for performance. Clarify standards for performance for essential functions e.g., cost, quality, quantity and timeliness. Project goals identify major projects to be completed or to meet a specified milestone. Prioritize projects. Use the optional Goal Setting Action Plan form if further detail is needed. Development goals identify knowledge, skills, or abilities to enhance performance in the current job and potential growth within the city of Aurora. Review the Core 4 Values to determine if there are specific behaviors or actions that would enhance performance. Review the recent performance evaluation to identify areas where development would enhance performance. Discuss interest in professional development to prepare for future growth within the city of Aurora. 3
Improvement goals identify specific areas to bring performance up to the Achieves and Exceeds standard level. Identify performance issues that must be addressed to bring performance up to the successful level. Refer to the most recent performance evaluation. Recording Objectives Objectives should be established while completing the annual evaluation and recorded in the Future Objectives Section of the performance evaluation form. The future objectives will become the current objectives for the new evaluation period and will need to be transferred to the new Performance Evaluation Form. The supervisor keeps the original form in his/her working file, saves an electronic copy and gives either a paper or electronic copy to the employee. The current objectives section represents the employee s performance plan, making it a useful tool to reference during regularly scheduled check-ins or formal progress reviews. Objectives may change during the cycle and these changes can be noted on the form, along with the reasons the changes were made. Examples Of Goals Job function goal Outlines essential duties with standards for performance > Reconcile Budget & Expense statements within a week of receipt from Finance Office. Remove snow and salt from walkways and building entrances at the start of each shift when snow conditions exist. Respond to employee inquiries, complaints and concerns immediately. Notify supervisor by the end of workday or sooner when issues cannot be resolved. Prioritize work assignments each day to ensure deadlines are met. Project goal Identifies major projects to be completed or to meet a specified milestone > Upgrade the help desk telephone system by (date) to achieve average client wait times of no more than two minutes. Develop an exit interview process that tracks and reports employee turnover by (date). Complete development, roll out and training on best practices for communicating with Latino audiences around sustainable living programs. Development goal Identifies knowledge, skills, or abilities to enhance performance in the current job or for growth within the city of Aurora > Take an online Excel class and create a spreadsheet by (date) to track the check out and return of audiovisual resources. Work with IT to research, test and evaluate a Learning Management System by (date). Take a PowerPoint class and revise the New Employee Orientation slides by (date). Volunteer within next 2 months to lead a discussion at staff meeting to develop public speaking skills. Improvement goal Identifies specific areas to bring performance up to the successful level > Check supply inventory bi-weekly and re-order as needed to avoid shortages (starting month/date). Arrive promptly at start of shift each day to eliminate tardiness. Compose correspondence that is grammatically correct and organized in a logical sequence with only the essential information. 4
Goal Setting Action Plan (Optional) Supervisors may request that employees complete a Goal Setting Action Plan to provide further details about the achievement of goals for the next performance cycle. The Goal Setting Action Plan can be used to provide more detail about project goals or to outline specific activities/actions to accomplish development goals. The form contains the following elements: Goal 1 The Title Link to program or department goal: Identify the program or department goal that this goal supports Goal: A brief description of the goal and end date Start Date End Date Major Activities: A list of major activities or tasks with start and end dates for each Start Date End Date Resource needs: A list of resources needed to complete goal-e.g. budget, equipment and staffing SECTION 2 FEEDBACK AND COACHING The true value of performance management lies in the quality of the discussions that employees have with their supervisors. Active listening skills should be practiced by both the supervisor and the employee because they are tools for excellent communication, feedback and coaching. Providing feedback and coaching is an important part of a supervisor s responsibilities and should occur as often as needed. Employees can ask for feedback and coaching from their supervisor at any time and are encouraged to do so. Because we all have busy schedules, some supervisors and employees meet weekly, while others find monthly check-ins valuable in maintaining regular communication. Through these informal meetings, managers are kept informed of how things are going, offer feedback and guidance, and support employees professional development. Both employees and supervisors are encouraged to take notes during their regularly scheduled check-in meetings to record what was discussed and remind them of agreed-upon actions. 5
SECTION 3 REVIEW Conducting The Annual Performance Evaluation The purpose of the annual performance evaluation is to summarize accomplishments, strengths and lessons learned after reviewing the past year s performance. To prepare for the meeting it is important to review documentation from coaching sessions, regularly scheduled check-ins, the mid-year progress review and any other documentation. The Core 4 Performance Planning and Evaluation Form used at the start of the performance cycle to record responsibilities and goals is the same form that should be utilized for the annual evaluation. If a mid-year progress review was completed, the employee and supervisor can add the year-end comments from the Progress Review/Introductory Period form. The following outlines all of the steps in the annual performance evaluation process. SUPERVISOR Review employee performance and any other performance data. Ask for input from stakeholders. Review progress toward meeting goals. Consider factors that may have affected goal attainment. Assign rating of achieves, exceeds and below as appropriate. Write a brief summary for all ratings. Write a brief overall summary for: Performance Assessment, Strengths & Accomplishments, and Performance Enhancement Opportunities. Indicate whether the employee is eligible for wage adjustment. Ask department director to review. Emphasize accomplishments and strengths. Identify areas in which performance expectations were or were not met. Allow employee to ask questions and offer comments. Listen actively. Ask how you can better support the employee. Ask employee to sign form. Ask employee to think about goals for the next performance cycle. Meet with employee to complete the Future Section of the Performance Planning and Evaluation Form for the next cycle. PREPARATION EMPLOYEE Employee Self Evaluation: Complete the Core 4 Performance Planning and Evaluation Form. Review your accomplishments and strengths and give supervisor a list of accomplishments. Think about areas that didn t go well and what you learned. Think about ways you demonstrated the city of Aurora s core values. Complete What can my supervisor do to help section? MEETING Ask questions for clarification. Listen actively. POST MEETING Provide examples of accomplishments and strengths not covered. Describe the type of support you need from your manager in the next performance cycle. Meet with supervisor to complete the Future Section of the Core 4 Performance Planning and Evaluation Form for the next cycle. Employee is responsible for acknowledging their review online using http://aurora/performance Evaluation. 6
Determining Rating It is the supervisor s responsibility to determine the rating of his/her employees at the time of the annual evaluation. There should be no surprises at evaluation time. Supervisors and employees are encouraged to have regular dialogue about performance and standards throughout the performance cycle. EXCEEDS ACHIEVES BELOW Performance was clearly superior, consistently exceeded the expectations and the requirements of the position. Performance achieved or exceeded the expectations and the requirements of the position. Meets and exceeds all performance standards determined by the organization. Exhibits leadership by demonstrating the values of the organization through exceptional performance, behaviors and actions. Performance consistently generated results above expectations and in the midst of complex changes. Consistently demonstrates the values of the organization through acceptable, appropriate and consistent behaviors and actions. Performance achieved or exceeded expectations showing strong, solid performance in most areas. Performance was below standard with regard to the expectations and the requirements of the position. Steps must be taken to improve overall performance. Did not consistently demonstrate the values of the organization through acceptable, appropriate behaviors and actions. Performance did not meet the minimum requirements and significant improvement is required. Guidelines Evaluate performance based on the entire review period. Don t allow most recent activities, either positive or negative, to be the sole basis for the rating. Consider information received from the employee s self evaluation. Listen actively and be objective. Do not give a lower rating to an employee who does not meet performance goals due to no fault of their own. Make a notation to show the reasons that kept the employee from meeting the goal(s). Goals may be eliminated if barriers and obstacles hinder the accomplishment of the goal/ objective. Provide examples of the employee s performance that support the rating given. If considering giving a rating of below and/or exceeds, discuss first with your manager and/or department director before talking with the employee. HR is available to assist in any aspect of the performance planning and evaluation process. SECTION 4 PROBATIONARY PERIOD New Hire Or Promotion The supervisor explains the city of Aurora s performance management process/timeline and reviews the Performance Planning & Evaluation Form with all new employees on their first day. The manager and employee complete the current objectives section of the form within the first 30 days of hire or promotion for the period covering probation (6 months). If you have concerns about an employee passing his/her probationary period, inform your manager/director and contact Human Resources immediately for guidance. 7
EVALUATION FORM INSTRUCTIONS The following instructions are intended to serve as a guide for supervisors in completing the evaluation process throughout the review period. Each step in the process should be followed on a consistent basis for all employees being evaluated. Setting The Ground Work Prior to the beginning of the review period (the period of time which the evaluation process covers), the supervisor must meet with the employee to discuss Core 4 criteria upon which the employee will be evaluated and the level of performance which will determine success. Evaluating Core 4 Values Review each of the Core 4 values and discuss the meaning of each including how it applies to the employee s job. Reviewers should make sure that all evaluations are based upon performance demonstrated throughout the review period - not on anticipated or assumed performance. Do not base evaluations on single incidents of achievement or failure, or most recent performance. Rely on documentation of performance whenever possible. Step 1 Step 2 Step 3 Read each Core 4 Value above carefully and review standards of performance as well as the Performance Levels on Page 7 of the guide. Check the box which appropriately reflects the level of performance achieved (Achieves, Below and Exceeds). Record the explanation for the level of performance achieved in the review. See Page 7 in the guide. Establishing Current Objectives Step 1 Work with the employee to establish up to four objectives to be accomplished during the review period. Choose objectives that can be defined and measured. Avoid establishing objectives that are vague, general and personality related. Focus on establishing objectives which are meaningful, achievable, and beneficial to both the organization and to the individual charged with the task of accomplishing the objectives. Establish deadlines and/or milestones to clarify when the objectives should be completed. Step 2 Listening and Communicating: Discuss with the employee the means for accomplishing these objectives, while staying mindful that some employees will prefer knowing the expectation and then figuring how to reach the objectives on their own. Step 3 Establish the next date (no more than 6 months later) when the supervisor and employee being evaluated will meet to assess the employee s progress in meeting acceptable performance levels and achieving performance objectives. Evaluating Current Objectives Step 1 Review each of the current objectives carefully and thoroughly. Focus attention on the quality of accomplishments and results produced. Give consideration not only to what was or was not achieved, but also to how and why an objective was or was not achieved. Evaluate each objective as a separate entity. Step 2 Step 3 Step 4 Review and determine the level of accomplishment attained for each objective. Check the box which appropriately reflects the level of accomplishment for each objective. Record the explanation for the level of accomplishment. 8
Completing the Performance Evaluation Online Form The instructions which follow are intended to assist supervisors in completing the online performance evaluation form for all employees regardless of level in the organization. Step 1: Click on http://aurora/performanceevaluation. The Performance Evaluation Form should open up with a list and a brief description of the Core 4 values (1=Integrity through 4=Customer Service). Step 2 Step 3 Select an employee from the Select a Direct Report drop down. Click on the Create a New Evaluation Option Step 4 Core 4 Values are displayed with levels of accomplishment options that include exceeds, achieves and below: Review criteria for Core 4 values and rate the employee s performance at the below, achieves, or exceeds level. It is also important that you write comments which support your rating. You may want to review standards on Page 7 of this guide. Step 5 Step 6 Step 7 Overall Rating. Review all ratings (Core and Current Objectives) and then give the employee an overall rating. In the overall performance assessment, be sure and comment on all ratings. The intent is to provide comments with supporting documentation for all rating given. If the employee rates below in one or more Core 4 Values, s/he cannot earn an overall rating of achieves or exceeds and must be placed on a performance improvement plan. However, It is possible for an employee to have an overall rating of achieves even if they earned a below in the objectives section of the Performance Evaluation Form. This will be determined by the circumstances around the objective and why the employee may not have been successful. Employees who receive an overall rating of below will not be eligible for a pay increase and should be immediately placed on a performance plan. If you need assistance, please work with the Human Resources Division s staff to help you craft a performance plan for the employee. Leadership: Review the criteria for leadership and rate the employee s performance at the below, achieves, or exceeds level of accomplishment. Provide the support and rationale for your rating in the box below the Leadership Category. Strengths and Accomplishments: List the strengths and accomplishments of the employee that you are evaluating. Current Objectives of the Performance Evaluation Online Form Select the Current Objectives drop down located at the top of the page next to the Core Option. Review and write each of the objectives (1-4) in the comment box below each objective. You may want to review Page 4 of this guide. Evaluator should rate the level of accomplishment for each of the objectives at the achieves, exceeds or below standard level. The evaluator should include comments to provide the rationale for the level of accomplishment rating. No Rating Option No Rating Option should be selected if the objective was not met for reasons outside of the employee s control or if was agreed upon by the supervisor and employee to postpone or drop the objective. Future Objectives of the Performance Evaluation Online Form Select the Future Objectives drop down option. This section will provide the evaluator with the opportunity to work with the employee in establishing objectives for the next review cycle. The evaluator, in partnership with the employee, may set up to four future objectives. Review Page 4 of this guide for more instructions on recording objectives. 9
Next Steps Option of the Performance Evaluation Online Form Select the Next Steps drop down on the online Performance Evaluation Form. The first section under this option is the Performance Enhancement Opportunities Section. This section allows the evaluator to record comments on ways the employee may improve his/her performance. Performance Enhancement Opportunities Section of the Performance Evaluation Form In this section the evaluator should identify and record the areas where improvement is needed. Moreover, there should be discussion about how to best address this improvement. The evaluator may consider training, coaching, mentoring and other related resources for development. Active listening is critical to encouraging engagement, interaction and communication. What Can My Supervisor Do To Help Me Be Successful Section of the Performance Evaluation Form This section is intended to encourage dialogue between the evaluator and the employee so that they will join efforts in working to ensure the success of the employee. It is intended to focus on a partnership where the evaluating manager helps to ensure that the employee is successful. Attachment Option of the Performance Evaluation Form This option will allow the evaluator to attach one.pdf file for additional documentation related to an employee s performance evaluation. This file must have been saved in.pdf format. Evaluator should select the Browse icon (located in the Attachment Section of the Performance Evaluation Form) and find the previously saved.pdf file so that it may be attached to the employee s Performance Evaluation Form. Supervisor s Follow-Up Actions 1. Supervisor and employee meet and summarize accomplishments, issues of concern and achievement plan for final review. 2. If applicable, supervisor and employee sign the form acknowledging that an end of trial service or introductory evaluation was conducted. 3. Supervisor must check appropriate box under the Applicable for Introductory Period or Trial Service Period Review only section. 4. The signature of the department director, or a designee, is required. 5. Supervisor sends original, signed evaluation to Human Resources, keeps a copy in his/her working file, and gives the employee a copy. Form Resources You can find the Performance Evaluation Forms @ http://aurora/performanceevaluation. 10
THE LIVE IT EVERY DAY City of Aurora PERFORMANCE EVALUATION APPRAISAL PERIOD FROM TO Name_ Employee ID# Department Classification Title OVERALL RATING EXCEEDS ACHIEVES BELOW 1 INTEGRITY Tells the truth Is consistent EXCEEDS ACHIEVES BELOW Does the right thing even when nobody is looking 2 RESPECT EXCEEDS ACHIEVES BELOW Values the worth of others Honors diversity and differences Practices the Golden Rule 3 PROFESSIONALISM EXCEEDS ACHIEVES BELOW Treats others equally Embraces best and safe practices Uses data to help make decisions and do their work 4 CUSTOMER SERVICE Goes the extra mile Exceeds customers expectations Is responsive, courteous and fair Delivers quality, efficient and cost effective services SAMPLE EXCEEDS ACHIEVES BELOW LEADERSHIP EXCEEDS ACHIEVES BELOW Lives and inspires the Core 4 values Is humble, authentic and courageous Enables, listens and encourages employees to exercise empowerment Is a player rather than a victim Aligns with and supports management decisions STRENGTHS & ACCOMPLISHMENTS OVERALL PERFORMANCE ASSESSMENT
THE LIVE IT EVERY DAY City of Aurora PERFORMANCE EVALUATION APPRAISAL PERIOD FROM TO CURRENT OBJECTIVES 1 EXCEEDS ACHIEVES BELOW NO RATING 2 EXCEEDS ACHIEVES BELOW NO RATING 3 EXCEEDS ACHIEVES BELOW NO RATING 4 EXCEEDS ACHIEVES BELOW NO RATING FUTURE OBJECTIVES OBJECTIVE 1 OBJECTIVE 2 OBJECTIVE 3 SAMPLE OBJECTIVE 4 PERFORMANCE ENHANCEMENT OPPORTUNITIES WHAT CAN MY SUPERVISOR DO TO HELP ME BE SUCCESSFUL? Employee Signature Date Supervisor Date Next Immediate Supervisor Date IF NEEDED, PLEASE ATTACH ADDITIONAL DOCUMENTATION.