2018 Supervisor s Guide to Performance Evaluation

Transcription

1 2018 Supervisor s Guide to Performance Evaluation h t t p s : / / p e d i. n n g o v. c o m Page 1

2 Table of Contents Introduction 3 The Objectives of the Performance Evaluation 3 Core Values 3 Core Competencies 4 The Performance Evaluation Process 4 When Performance Evaluations Are Conducted 5 The Performance Evaluation Steps 6 Performance Evaluation Appeal Process 13 Helpful Tools How to Write SMART Goals 14 Preventing Rating Bias 16 Questions for the Employee Meeting 17 h t t p s : / / p e d i. n n g o v. c o m Page 2

3 Introduction Employee performance management supports the City s philosophy of improving organizational performance. It is based on the City s organizational values and links job performance standards to strategic goals of the department and organization. Performance management is intended to create a climate in which employees are valued, motivated and recognized for their contributions to their department and City and given the opportunity to further develop professionally. Core Values This City has identified core values associated with successful job performance: Commitment Excellence We are dedicated to delivery of the highest quality of services to our community by supporting a well-trained, motivated, innovative, and diverse City workforce. Responsive to Public Service We are proud to be public servants, to work in the public interest, and to serve the greater good. We are responsible for the prudent, efficient, and productive use of resources entrusted to us by the citizens of Newport News. Leading by Example We communicate these values and attitudes throughout the organization and model these behaviors ourselves. Ethical Culture We ascribe to the highest standard of integrity, fairness, equity, and honesty in all of our actions. Caring Customer Service We treat all customers in a fair, respectful, compassionate, and responsive manner and strive for each public interaction to result in a positive experience. Responsive Decision-Making We make timely decisions based on data analysis and sound judgment, with sensitivity to the needs and values of our community. We recognize the value of consensus building and, as appropriate, the need for independent decision-making. Maximizing Employee Potential We foster an atmosphere of trust, respect, and collaboration among employees. We strive to provide the resources, learning opportunities, and recognition for effective performance and continual improvement. h t t p s : / / p e d i. n n g o v. c o m Page 3

4 Collaboration Communication We communicate actively and effectively upwards, downwards, and across the organization Teamwork For Newport News to attain its full potential, we must, as a matter of habit, work collaboratively in sharing resources, information, and ideas. We actively solicit participation in decision-making at and across all levels of the organization. Core Competencies The City of Newport News is an organization where each employee is challenged to accept responsibility for moving the organization forward. To accomplish this objective a performance evaluation tool has been developed to assess individual employee performance or core competencies. These competencies have been identified as leadership, management, technical and team skills. The Annual Performance Evaluation Process The City of Newport News performance evaluation system has been designed to recognize employee achievements, provide valuable feedback, to encourage professional development and demonstrate progress toward accomplishing identified goals. Performance Evaluations Should: 1. Enhance the trust relationship between the employee and their supervisor by establishing and encouraging an open and clear dialogue that creates mutual understanding of performance expectations, standards and direction on how to best reach them by: a. Maintaining and improving job satisfaction and morale, through interaction and collaboration regarding professional employee development. b. Providing an opportunity for each employee to discuss job concerns and career goals with their management team. c. Holding managers accountable for fair assessments and demonstrating consistent application of standards of conduct and evaluations. 2. Develop mutually beneficial goals that align with those of the division, department and City by: a. Identifying and establishing the employee s individual goals and communicating how they contribute to the goals of the division, department and City. h t t p s : / / p e d i. n n g o v. c o m Page 4

5 b. Developing a personalized plan that includes mentoring and training for each employee to reach their goals. c. Measuring how well goals and objectives are communicated as well as accomplished. d. Regularly reassessing established goals throughout the year and plans for meeting them, for relevance. e. Recognizing and rewarding successes where improvements have been made in performance and skills, experience and education gained. f. Providing growth and advancement options for the employee. 3. Identify areas needing improvement and how improvement can be accomplished by: a. Identifying specific and measurable areas that need improvement b. Identifying what knowledge, skills and abilities are needed to facilitate improvement c. Determining where communication needs to be improved and how to do so When Performance Evaluations Are Conducted a. Annual Review Each employee will be evaluated annually with the evaluation period ending April 30, although semi-annual evaluations are recommended. b. Probationary Review During the employment probationary period, each employee is formally evaluated quarterly to provide counseling and to determine the employee s adjustment to the position. (Employees in positions with probationary periods that exceed 12 months shall be formally evaluated every three months until the completion of the probation). c. Counseling-When an employee s performance does not meet standards, or performance declines, the supervisor should perform an evaluation. d. Transfer/Reassignment-When an employee is transferred to another supervisor or the employee s assigned supervisor leaves the position, the current supervisor should complete a formal evaluation prior to the transfer if one has not been completed within the preceding six months. e. Transitional/Unofficial-Special performance evaluations may be requested for an employee any time it is deemed necessary. Note: All completed evaluations shall be submitted to Human Resources for placement in the employee s personnel record. h t t p s : / / p e d i. n n g o v. c o m Page 5

6 Performance Evaluation Steps Annual performance evaluations are an opportunity to evaluate past performance and set a course for the future. It is important to communicate to employees what is expected of them in performing their job. How expectations are communicated is very important. An environment that encourages open and honest communication is the best way to improve the quality of the work being done. Annual performance reviews are conducted for all employees during the month of May, with submittal of completed evaluations to Human Resources by June 1, 2017.( see Section 900 Performance Management). The minimum period on which an appraisal may be based is 30 calendar days. The following are the recommended steps when conducting a performance evaluation. Step 1: Pre-Evaluation Preparation Regularly maintain and update files on all assigned employees. Maintain a working file for each employee where exceptional (positive and negative) behaviors and performance are documented. Document based on facts, not hearsay or emotions. Review the documentation and counseling records over the previous year and highlight important points. Assemble all facts pertinent to the evaluation. Review the employee s job description. If the job description is not accurate, request a review by Human Resources Review the prior year s established goals and whether the employee succeeded in meeting the goals. If not met, determine if there were extenuating circumstances which led to the goal not being met. Seek input from any others, as appropriate, who may have worked in a lead capacity or on a team with the employee Step 2: Preparing the Evaluation a. Log onto the Performance Evaluation website to access the PEDI form at Use your active directory username and password to log in. b. S e l e c t t b h t t p s : / / p e d i. n n g o v. c o m Page 6

7 . Select the employee you are evaluating from the available drop down menu, make sure active is selected. Test Employee 1 Test Employee 2 Test Employee 3 c. After selecting the appropriate employee, select New Evaluation to generate a blank evaluation Test Employee 1 Information fields will be auto populated upon selecting Create new evaluation under the Employee tab. Employee Name, Supervisor and Employee ID are not editable fields. h t t p s : / / p e d i. n n g o v. c o m Page 7

8 The Rating Period for the 2018 Annual Evaluation is 5/01/17-4/30/18. Select the appropriate rating year from the available drop down menu. Step 3: Evaluating/Rating the Employee Select the appropriate rating and enter comments in the space provided for each element of the evaluation. (See Also Rating Errors) Definitions of the ratings can be found by clicking the? h t t p s : / / p e d i. n n g o v. c o m Page 8

9 Rating Definitions Unacceptable - Performance which fails to meet established performance standards in one (1) or more critical elements of the position description Needs Improvement - Performance which sometimes performs at an acceptable level but is not consistent to meet established performance standards of the position description. Meets - Performance which fully succeeds in meeting all of the performance standards of the position description Exceeds - Performance which substantially surpasses most performance standards of the position description Outstanding - Performance which consistently exceeds all performance standards of the position description. Standards After completing the Ratings for each section of the evaluation answer the following questions as they relate to Attendance, Safety and Discipline standards under the Rating tab. Attendance Standard: Employees are expected to maintain consistent and timely attendance as it relates to scheduled regular and overtime work hours. Answer appropriately as it relates to the employees attendance. Safety Standard: Safety in the workplace is everyone s responsibility. However the degree to which an employee utilizes safety as a required knowledge, skill or ability varies by position. h t t p s : / / p e d i. n n g o v. c o m Page 9

10 The following outlines how to rate an employee using the safety standard: 1. Is safety a required Knowledge, Skill or Ability of the employee s position? a. If Yes : Appropriately answer the Safety standard question under the rating tab. The employee s demonstrated performance as it relates to safety should also be reflected in the appropriate attributes throughout the evaluation b. If No : Only answer the Safety standard question under the rating tab. Discipline Standard: If the employee received disciplinary points during the evaluation period yes should be reflected for the Disciplinary Action Standard. The discipline received should also be referenced in the rating and the comments of the applicable performance element in the evaluation. Rating Summary: After rating each individual performance attribute an overall rating for each group of core competencies will be displayed. An Overall rating for the employee will also be displayed. For any employee that receives an overall rating that is less than a Meets, action should be taken in accordance with the City s Standards of Conduct policy. h t t p s : / / p e d i. n n g o v. c o m Page 10

11 Step 4: After Completing the Evaluation Prior to the employee meeting supervisors will review completed employee evaluations with department management. Department Directors will then review overall Department Performance Evaluations with their assigned Assistant City Manager. Step 5: Conduct the Performance Evaluation Meeting Inform the employee at least one week in advance of the performance meeting. Ensure that you set aside sufficient time for the meeting. Select a location for the meeting which is private. Inform the employee that any material that they believe is relevant to the evaluation process will be considered and that they may bring it with them at the time of their meeting. Be prepared to answer the employee s questions. Develop a draft action plan for performance that can be modified based upon discussion with the employee. Consider utilizing time after the employee is evaluated to have an open discussion about supervisory skills and what can be done to support positive change. This is a time where the employee and supervisor can discuss methods on how to improve their relationship. Start the meeting by helping the employee feel at ease. During discussions, confine comments to performance based issues, and be specific. Listen and ask questions. Do not argue with the employee. Do not use sarcasm or make negative remarks which can be construed as personal. Have an open discussion with the employee. Consider asking the employee to evaluate themselves in terms of total performance. Ask the employee what he or she sees as strengths and weaknesses. Share observations with the employee of other areas in which he or she demonstrates strengths or challenges that need improvement. Identify problem areas. Show documentation if the employee contests the evaluation. There should be no surprises for the employee. If the problem is ongoing, stress the need for improvement and consequences of failure to improve. Ask the employee why the problems or challenges exist. Don t speak during this time; use active listening to get the employee to open up. Probe to see if the problem is related to lack of training, motivation, personality conflict, misunderstanding about the expectations, responsibilities or procedures. Once the source of the problem has been identified, get input from the employee regarding how it can be solved. Recognize improvements where they have been made and discuss lack of progress, where evident. h t t p s : / / p e d i. n n g o v. c o m Page 11

12 With the employee, set and agree on new goals for the next review period. Establish indicators of good performance with the employee. Make sure both supervisor and employee have the same understanding of the goals and the measures established. (See Goal Setting Section) Document the meeting through the performance evaluation form and make changes to the draft document based upon the discussion with the employee. Include the goals and the timetable agreed upon for improvement in areas where needed. Use specific and precise words related to the performance in the written evaluation. Once the evaluation is completed, this is an opportunity for the supervisor to obtain feedback about their management style. Ask questions of the employee to find out what they think and where they would like to see improvements. This is a time for open communication between supervisor and employee to explore how skills can be enhanced. If the employee is in agreement with the completed evaluation, the employee will forward the evaluation to their supervisor indicating it has been discussed with them. They may state any comments as it relates to their evaluation, within five (5) working days of the employee meeting. Step 6: Post-Meeting Follow up The evaluation is reviewed and forwarded electronically by each successive level of departmental supervision and management as designated by the department. Supervisors should meet periodically throughout the year with the employee to review progress. Review all of the evaluations performed to ensure that rater errors have not occurred. This is likely seen in cases where all employees are rated high, low, or average. Be aware of rater errors and work to overcome them. (See Section on Rater Errors) Provide any additional training or other resources to the employee to help improve performance. h t t p s : / / p e d i. n n g o v. c o m Page 12

13 Performance Evaluation Appeal Process If an employee disagrees with the evaluation, the employee may request a review through each successive level of departmental supervision and management designated by the department. If these reviews do not resolve the employee s concerns, the employee or the department head may request an administrative review by Human Resources. The request for this review must be initiated within 30 days of the initial date the supervisor reviewed the evaluation with the employee. Human Resources will determine if appropriate policies, procedures and guidelines have been followed, but will not change any evaluation rating. This review is an administrative procedure and has no connection with any other City or departmental appeals or grievance procedures. Supervisors should be able inform employees of their right to an administrative appeal upon the employee s request. The employee initiates the appeal process by selecting the Appeal button on the electronic PEDI document before forwarding the evaluation back to their supervisor (within five working days). If the employee does not select the Appeal button on the electronic document they may still request an appeal within 30 days of receiving their evaluation by submitting a written appeal request to their immediate supervisor. Upon being notified of the appeal the rating supervisor should meet with the employee as soon as possible to discuss the concerns or any discrepancies the employee questions. h t t p s : / / p e d i. n n g o v. c o m Page 13

14 How to Write SMART Goals Goal statements should be brief and to the point. One or two sentences are usually enough. Collectively, goals should provide enough detail to guide operating decisions, yet be flexible enough to generate creativity and innovation. Write SMART goals: Specific. Anyone who reads the goal should be able to understand what is to be accomplished. Ask yourself, If someone else had to take over this goal, would that person be able to achieve the same general end results I have in mind? If so, then the goal is probably specific enough. Employees should easily understand the goal. Measurable. The measure must be related to an outcome, not input or process. Some goals are easier to measure than others are, but all goals must be measurable in some way. Quantitative measures include physical deliverables, measurable services, money and volume. Qualitative measures include quality and satisfaction. See more examples below for a specific measure associated with each goal. Attainable. Goals should be challenging yet attainable within the performance evaluation period. Relevant. Goals should be aligned with the Department s and City s vision and mission as well as the essential functions of the position. Time-specific. Since results must be measured at some point in time, it s important to include a date for expected completion. A time frame should be reasonable, yet aggressive, and be within the performance period. If a long-term goal is used, include a project milestone measure with a date that is within the performance period. How to Make Goals Measurable Measures are objective or observable outcomes that indicate if the goal has been accomplished. There are four types of measures: 1. Quantity how much/many of the goals are produced or performed. Counting is perceived by everyone to be more objective, and, therefore, should be used wherever possible. Remember to count results, not input or processes. Example: Training Specialist to conduct 20 workshops per evaluation period. Example: Reduce the number of work related injuries by 10% by the end of the evaluation period. 2. Quality how well the goal is produced or performed. Quality can t be counted, but it can be judged. For example, the training curriculum can t be counted, but it can be judged using established criteria. The criteria become much less subjective when they are discussed with everyone involved in advance. Example: Submit vouchers within one week with at least 98% accuracy. h t t p s : / / p e d i. n n g o v. c o m Page 14

15 3. Cost at what expense the goal is produced or performed. May be measured as overall cost, or cost per unit. Example: Manage construction contracts to minimize cost overruns to no more than 2% over contract amounts. 4. Timeliness when is the goal to be produced or performed? Example: Complete all personnel actions prior to payroll deadline. Example: Fire Department Reduce the response time to emergencies by 5%. h t t p s : / / p e d i. n n g o v. c o m Page 15

16 Preventing Rating Errors Supervisors can sometimes fall victim to rating errors. In order to avoid making subjective judgments or other rating mistakes, keep in mind these potential barriers to fair and honest performance evaluations. Halo Effect Horn Effect Comparisons Rating Error Central Tendency Strictness or Leniency Dramatic Events Latest Behavior Past Performance Status Effect Same As Me Different From Me Inflating Rating to Grant a Larger Pay Increase Correct Approach Focusing on an area of employee strength or achievement while ignoring shortcomings. Focusing on one area of an employee s weakness, while ignoring other achievements. Comparing one employee to another, instead of rating each employee individually against the stated performance expectations. Rating all employees as Meets to avoid unpleasantness with employees. If you don t tell employees how they can improve, chances are they won t. Being overly demanding or overly forgiving of employee performance, rather than comparing actual performance to performance expectations. Basing the rating on a single dramatic or recent event rather than on trends and patterns over the entire performance period. Rating is influenced by the most recent behavior, failing to recognize the most common behaviors. Relying on historical performance rather than performance during the performance period. Overrating employees in higher-level jobs or jobs held in higher esteem and underrating employees in lower level jobs or jobs held in lower esteem. Giving a rating higher than deserved because the person has qualities similar to the rater. Giving a lower rating than deserved because the person has dissimilar qualities than the rater. Manipulating ratings to produce the desired performance pay, rather than objectively evaluating actual employee performance during the period. h t t p s : / / p e d i. n n g o v. c o m Page 16

17 Questions to Help Facilitate the Employee Meeting 1. Over the past 6 to 12 months, what do you think your most outstanding accomplishment was and why? 2. Which of your duties did you improve the most at over this evaluation period? 3. Were there any significant problems or obstacles that you overcame? Explain 4. Over the past 6 to 12 months, what duties could you have performed better? What affected your performance? 5. If you did not achieve your goals, what obstacles did you encounter that did not allow you to achieve those goals? 6. In what areas could you have used more training or experience? 7. What could I have done as your supervisor to have helped you be more effective? 8. What suggestions or ideas do you have for the department that would help you do your job more effectively? 9. Do you have skills that you are not using, are being underutilized, or that you would like to use more? If so, what are they and how can we assist you in being able to utilize those more? 10. Are there any skills that you do not have now that you would like to develop? 11. What are your long-range plans (3 years)? How can I as your supervisor assist you in achieving your goals? h t t p s : / / p e d i. n n g o v. c o m Page 17