PERFORMANCE

MANAGEMENT

\c\tc\outlines\perfmgt-hbk
rev. 12/12/2002
 TABLE OF CONTENTS
SECTION TOPIC PAGE NO.

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

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

The Performance Management Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Work Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Evaluating Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

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

How to Establish Work Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

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

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

How to Coach to Assure Positive Results . . . . . . . . . . . . . . . . . . . . . . . 19

The Coaching Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

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

How to Write the Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . 23

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

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

Work Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Work Plan Update and Performance Review . . . . . . . . . . . . . . . . . . . . 31
Work Plan Feedback . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Performance Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
 WHAT IS PERFORMANCE MANAG EMENT AND WHY DO WE NEED IT?

Performance management is a communication system between the supervisor and the

employee. Its purpose is to motivate employees to work at their highest capacity by
helping them see how their daily efforts help to achieve the overall mission and goals of
the organization.

An effective performance management system provides for a dialogue between the

employee and the supervisor concerning where the employee’s efforts need to be directed
over the course of the evaluation cycle. It includes jointly established job standards and
objectives, periodic review of progress toward achieving those results, and planning for the
employee’s development; and it provides a basis for rewarding employees according to
their achievements. It also provides for a dialogue about what needs to be done, how well
it should be done, how well it is being done, and how it can improve. It includes
documentation of this dialogue on a performance evaluation form.

Another important purpose of a performance management system is its relationship to the

discipline process. A performance management system seeks to correct marginal or
unsatisfactory performance before it is necessary to take punitive disciplinary action; and,
if discipline should prove necessary, the record of actions taken to improve performance
will provide documentation to support these personnel actions.

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

Ú Assure quality performance

Ú Encourage consistent feedback and discussion between employees and
their supervisors about performance expectations
Ú Identify employees’ training needs
Ú Improve job satisfaction, productivity and morale
Ú Provide documentation to support personnel actions
Ú Eliminate surprises at performance evaluation time

This document will provide an overview of the performance management cycle and a brief
description of each of the components. It will also describe theories and procedures for
implementing each of the components of the cycle.

-1-
AN OVERVIEW OF PERFORMANCE MANAGEMENT
 THE PERFORMANCE MANAGEMENT CYCLE

Work Planning

Evaluating
Performance Coaching

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

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

T the supervisor communicates to the employee the larger organization’s goals

and key initiatives for the upcoming year, as reflected in the City Council
goals and the City’s strategic planning process.
T the supervisor communicates to the employee how the department’s
activities will support those goals and initiatives.
T the employee is made aware of how his or her efforts for the year will be
expected to support those goals and key initiatives.
T the current job description is an accurate reflection of the scope of the
employee’s responsibilities and the duties the employee is currently
performing.
T the employee and supervisor have discussed their mutual and separate
interests related to the employee’s development.

Coaching - is the process of consulting with the employee on progress toward

performance objectives. It involves discussing the status of current projects and any
changes in priorities, providing recognition, and developing improvement plans when
necessary.

Evaluating - means providing written documentation of performance.

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

-3-
 WORK PLANNING
This part of the process takes a lot of time initially, but will save time in problem solving
later.

There are three parts to Planning:

! Communicating organization and department goals and key initiatives

! Reviewing job responsibilities
! Setting expectations

COMMUNICATING GOALS & KEY INITIATIVES

To help employees channel their efforts toward achieving organizational objectives, it is

critical that supervisors communicate as much information as possible about how their
employees’ daily activities and special assignments link to the goals and objectives of the
larger organization, particularly the City Council goals, the organization’s strategic plan,
and the department’s stated mission. Communicating this sense of where we as an
organization are headed can help focus employee efforts on what is most important to the
section, the division, the department, the City, the Council, and ultimately the public we
serve. This is especially true in times when competing priorities require employees to
make choices about where to direct the bulk of their attention.

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

REVIEWING JOB RESPONSIBILITIES

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

SETTING EXPECTATIONS

Setting expectations has five components:

" reviewing the existing key areas of responsibility and identifying any new ones
" describing the performance objectives for each key area
" establishing employee development goals and expectations
" determining the level of independence with which the employee is expected to
carry out assigned responsibilities
" determining what evidence will demonstrate achievement of performance
objectives
Key Areas of Responsibility

-4-
 As part of the discussion of job responsibilities, the supervisor and employee need
to identify those areas which are key to successful performance and important to
track and measure over the next evaluation cycle. These may be broad areas of
responsibility that repeat every cycle or specific projects that will not repeat. Key
Areas of Responsibility provide the links between the employee’s daily efforts and
the organization’s mission and goals, as communicated through the City Council
goals and the City and Department strategic planning processes.

By identifying and naming these “key areas”, the supervisor is communicating

where the employee’s focus needs to be directed in the coming evaluation cycle.
These are the responsibilities against which the employee’s performance will be
measured and evaluated throughout the evaluation period. The idea is not to reflect
everything that is in an employee’s job description, but to highlight those areas that
need to be given particular attention in the upcoming evaluation cycle.

Performance Objectives

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

These may be quality oriented:

< Respond to routine requests for information within 24 hours.

< Ensure that recruitment and testing activities meet both the needs of client
departments and legal, regulatory and professional standards.

They may be quantity oriented:

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

< Complete the annual reinspection process for a minimum of 25% of your
client households per quarter.

They may be product or outcome oriented:

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

< Develop a customer service survey for your division by June 30th.
Whichever form the performance objectives take - measures of quality, quantity, or
outcome - the expected results should be clear to anyone reading them.

-5-
Employee Development Goals and Expectations

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

A supervisor’s responsibility is to identify, encourage, respond to, and support the

development needs of their staff. This includes providing clear, specific and honest
feedback to employees concerning areas where further development is necessary
either to achieve expected performance standards or to enhance their career
development goals. It also includes keeping their own skills current and staying
abreast of and communicating to employees any changes in technology and/or best
practices in their field(s).

Level of Independence

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

Evidence

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

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

-6-
 COACHING

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

! Supporting Positive Results

! Coaching to Improve Performance

SUPPORTING POSITIVE RESULTS

When an employee is performing at the standard or above, the best motivational tool a
supervisor has is recognition of performance. Employees want to know that their efforts
are seen, understood, and appreciated. Providing clear, specific, timely, and positive
feedback in recognition of excellent performance boosts morale and encourages continued
effort.

COACHING TO IMPROVE PERFORMANCE

When an employee's performance is not up to the standard, the supervisor must

communicate the problem in a direct, specific and non-punishing way. The supervisor, in
discussion with the employee, determines why the problem is occurring and, with the
employee, establishes a plan of corrective action. This plan should be monitored regularly
during the performance period and progress acknowledged in the yearly evaluation.

-7-
 EVALUATING PERFORMANCE

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

Evaluating employee performance is the continuing process of knowing what your

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

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

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

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

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

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

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

-8-
HOW TO ESTABLISH
WORK PLANS
 HOW TO ESTABLISH WORK PLANS

This section will cover:

L Reviewing job responsibilities

L Identifying Key Areas of Responsibility

L Describing Performance Objectives

L Determining what evidence will demonstrate achievement of performance

objectives

L Determining the level of independence with which the employee is expected

to carry out assigned responsibilities

-10-
 REVIEWING JOB RESPONSIBILITIES

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

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

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

T Why these duties are being performed

T Whether or not they should be performed
T If performance of these duties creates a significant difference in the job
description that should be called to the attention of the Human Resources
Department

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

Once the review is complete, you and the employee need to determine those
responsibilities which are key to the operation for the current evaluation cycle and set
performance objectives.

-11-
 IDENTIFYING KEY AREAS OF RESPONSIBILITY

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

To determine these key areas, questions to answer include:

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

“What are our priorities?”

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

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

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

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

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

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

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

-12-
 DESCRIBING PERFORMANCE OBJECTIVES

PERFORMANCE OBJECTIVES

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

A performance objective may describe:

# the manner in which the duty must be performed, or

# the result or final product of the performance

Manner of performance becomes a standard when:

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

# the employee's personal behavior has an effect on performance and the

manager believes the employee should improve in this area.

Examples:

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

6 An attorney has no control over whether or not the jury accepts and agrees
with their arguments in support of a case. What the attorney does control is
preparation of cases for trial according to standard trial preparation
procedures and techniques.

Standards that describe manner of performance may be expressed in terms of procedures

or behaviors.

procedures = reference existing procedures, policies, or spelled out

processes in the standard

behavior = how a person will behave in certain circumstances

Standards that describe results should be expressed in terms of quality, quantity,

timeliness, and any existing resource restrictions.

-13-
 quality = accuracy, appearance, effectiveness

quantity = how much within what period of time

timeliness = by when

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

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

Establishing Performance Objectives Related to

the Organizational Values and Basic Principles

Adhering to the Organizational Values and Modeling the Basic Principles

is a Key Area of Responsibility for City employees at every level of the
organization. Performance Objectives for this Key Area of Responsibility
may highlight one or more of the values and/or principles that the
employee’s efforts will particularly reflect during the coming cycle.

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

-14-
 SAMPLES: KEY AREAS OF RESPONSIBILITY & PERFORMANCE OBJECTIVES

JOB TITLE: Senior Administrative Assistant

Key Area o f Respo nsibility

Maintain technical skills and follow office procedures

Performance Objectives
! Remain current in knowledge of applicable computer functions and office equipment
! Prepare correspondence using proper punctuation, spelling, and grammar within deadlines
! Maintain files, logs, m anuals, s chedules, a nd calendars that are w ell orga nized an d ea sy to
access

Key Area o f Respo nsibility

Comm unication

Performance Objectives
! Maintain security and confidentiality of information
! Respond to questio ns from the public with accu rate info rmation a nd/o r referral to app ropriate
staff

JOB TITLE: Adm inistrative Analyst

Key Area o f Respo nsibility

Prepare Capital Projects Budget

Standards/Objectives
! Gather information on needs from staff. Negotiate expenditures with staff, develop
justifications, determine legality of expenditures from funding source
! Develop revenue budget that maximizes the use of grant funds and meets funding source
requ irem ents
! Meet budget deadlines

JOB TITLE: Parks Crew Supervisor

Key Area o f Respo nsibility

Re spo nd to Citizen Comp laints

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

-15-
 DETERMINING EVIDENCE THAT WILL DEMONSTRATE
ACHIEVEMENT OF PERFORMANCE OBJECTIVES

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

The most common forms of evidence are:

# direct observation and observations of others

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

Observation

G It can be to the supervisor's advantage to periodically spot check by

observation. For example, sitting in on a meeting chaired by the employee
is one way of observing performance first hand. But direct observation is not
always possible.

G Observations of others who work closely with the employee should be

considered. Request feedback from the employee's internal customers and
suppliers. Ask for specific data, not judgements. The forms section of this
manual has a model that may be used to solicit and record this feedback.

Result

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

Documents

Some examples of documents to access would be:

G financial records to determine if they are accurate

G reports to determine if deadlines were met

Comments from Others

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

-16-
comments about an employee. These should be substantiated before they are considered
as proof of performance. One way to substantiate is to discuss the information with the
employee and ask for his/her understanding of the situation. The supervisor will need to
assess the facts before determining if the information will be useful as evidence of
performance.

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

-17-
 HOW TO COACH
TO ASSURE POSITIVE RESULTS
 HOW TO COACH TO ASSURE POSITIVE RESULTS

In this section you will be:

Ú Introduced to the purpose of coaching

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

Ú Provided with coaching methods to improve poor performance

-19-
 THE COACHING PROCESS

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

! Supporting positive results

! Coaching to improve performance

Supporting Positive Results

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

T Giving immediate reinforcement when possible

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

T Describing specifically what you have observed

T Expressing sincere personal appreciation and interest

T Encouraging your employee to continue to use the skill

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

Coaching to Improve Performance

When an employee's performance is not up to standard, the supervisor must communicate

the problem promptly. The following procedure should bring the necessary corrective
action:

T Communicate the problem in a way that is:

direct -- the purpose of the conversation is clear

specific -- describe behaviors observed and standards expected
non-punishing -- tone and non-verbal posture convey a neutral message

-20-
 T Diagnose whether the problem is the result of an ability block or a motivation
block.

Ability blocks should be dealt with by discussing and selecting a solution

from alternatives.

Motivation blocks need to be addressed by communicating the natural

consequences of the problem to the task, others, the supervisor. If this fails,
it may be necessary to communicate what consequences will be imposed if
performance does not improve.

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

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

WORK PLAN REVIEW

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

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

-21-
HOW TO WRITE THE PERFORMANCE EVALUATION
 HOW TO WRITE THE PERFORMANCE EVALUATION

In this section you will be introduced to:

Ú Periodic work plan updates and performance reviews

Ú The annual evaluation process

-23-
 PERIODIC WORK PLAN UPDATES AND PERFORMANCE REVIEWS

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

The purpose of this type of review is to ensure:

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

4 That performance is progressing satisfactorily

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

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

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

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

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

-24-
 CITY OF SANTA ROSA
WORK PLAN UPDATE AND PERFORMANCE REVIEW
(SAMPLE)

NAME: LISETTE JOHNSON DEPT: UTILITIES

CLASS: WATER CONSTRUCTION SUPERINTENDENT
EVALUATION PERIOD: FROM January 1, 2002 TO December 31, 2002
SIX-MONTH REVIEW DATE: July 1, 2002
The purpose of this review is:
~ Month of Probation
~ End of Probation
T Six-Month Review
~ Change of Supervisor/Assignment
~ Special Evaluation
~ Other - Explain:

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

No changes have occurred in the work plan.

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

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

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

_____________________________________ _____________________________________
Employee Signature Date Supervisor Signature Date

(Your signature acknowledges that you

have read the evaluation, not that you
agree with it). ________________________________________
f\ms\07 Department Head Signature Date

-25-
 THE ANNUAL EVALUATION PROCESS

At the end of the performance period three things occur:

T The employee records achievements related to the work plan,

T The supervisor and employee meet to discuss a draft evaluation of

performance during this period, and

T The supervisor writes the final evaluation considering information gained in

the performance meeting.

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

This meeting should be designed to help the employee feel positive about the job, be
motivated to develop, and be helpful in promoting improvement or sustaining adequate or
superior performance.

The following process will help you in achieving these objectives:

Prior to the Meeting

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

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

3 Ask the employee to write a summary of his/her progress toward achieving

the performance objectives and employee development goals and submit
them to you.

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

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

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

-26-
 objectives related to deadlines and communication of project status to
stakeholders.”

3 All specific comments should reference the performance objectives.

During the Meeting

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

3 Discuss the employee's progress toward achieving performance objectives

and employee development goals and your draft evaluation.

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

3 If there are major discrepancies between your perception of the performance

and the employee's perception, encourage him/her to write comments to
attach to the report.

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

Examples of comments appropriate to a Supervisor’s Summary of Performance are on the

next page.

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

-27-
 SAMPLES: SUPERVISOR’S SUMMARY OF PERFORMANCE

C. Supervisor’s Summary of Performance (Supervisor writes evaluation based

on work plan and progress toward objectives, and summarizes employee’s
strengths and areas needing improvement.)

I agree with your list of achievements and appreciate your working on projects and initiating ideas that
exceed the expe ctation s of your w ork plan. You have met the expectations of the majority of your
work plan.

How ever, wh ile you have made some improvements, you need to continue to focus your attention on
maintaining good relationships with your pee rs. I continue to hear complaints about insensitive
remarks you have made to others in a humorous wa y. I gave you concrete examples in the
counseling memo of November 1, 1995. This issue will again be on your work plan for next year so
that you can continue to focus your attention on improvement in this area and demonstrate the ability
to sustain th at imp rovem ent.

C. Supervisor’s Summary of Performance (Supervisor writes evaluation based

on work plan and progress toward objectives, and summarizes employee’s
strengths and areas needing improvement.)

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

You are e spe cially ad ept at focusing on the issue o r beh avior rathe r than the person. Y our
relationships with coworkers and employees have been effective. Since you have high expectations
of your em ployees reg arding m eeting deadlines, I w ould like to see you lead by example in this area.
As w e have d iscussed , you have m issed important dead lines on three o f your projects this year.

You week ly crew m eeting s have b een very suc ces sful in ge nera ting op erational input from crew s.

Overall, your performance is very good. You adhere to work plan performance objectives with few
deviations. The m issed dead lines are of concern prim arily because you did not keep me informed.
Deadlines can often be renegotiated, so yo u w ill need to w ork on im proving communication in this
area.

-28-
THE FORMS
 CITY OF SANTA ROSA
WORK PLAN

NAME: DEPARTMENT:

TITLE:

WORK PLAN PERIOD: FROM TO

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

l. Key Area of Responsibility

Adhere to the Organizational Values and Model the Basic Principles
Performance Objectives

2. Key Area of Responsibility

Performance Objectives

3. Key Area of Responsibility

Performance Objectives

Employee Development (Used to record em ployee’s personal career development goals and supervisor’s expectations for areas
that need to be developed an d effo rts that need to be und ertaken fo r em ploy ee to stay current in field.)

Signatures:
Print Name: ________________________________ Print Name: ________________________________

___________________________________________ ___________________________________________
Employee Signature Date Supervisor Signature Date

__________________________________________
Department H ead Signature Date

* The M anager’s Work Plan mu st include Staff D evelopm ent as a key area o f responsibility

-30-
 CITY OF SANTA ROSA
WORK PLAN UPDATE AND PERFORMANCE REVIEW

NAME: DEPT:
CLASS:
EVALUATION PERIOD: FROM TO
SIX-MONTH REVIEW DATE:
The purpose of this review is:
~ Month of Probation
~ End of Probation
~ Six-Month Review
~ Change of Supervisor/Assignment
~ Special Evaluation
~ Other - Explain:

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

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

_____________________________________ _____________________________________
Employee Signature Date Supervisor Signature Date

(Your signature acknowledges that you

have read the evaluation, not that you
agree with it). ________________________________________
f\ms\07 Department Head Signature Date

-31-
 WORK PLAN FEEDBACK

To: ______________________________________________ Date:

Fr om: ____________________________________________

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

com me nts in regard to the perform ance objectives stated below. Remembering to “focus on the situation, issue, or behavior, not
on the person,” when giving these comments, please provide specific behavioral examples whenever possible. Thank you for your
help. Ple ase ma rk retu rn en velo pe " Co nfid en tial" .

Performance Objective Your Experience of Perform ance Related to the Objective

1. Adhere to the Organizational Values and Model the

Basic Principles

2.

3.

4.

5.

6.

c\mch\ wpfeedbk
 CITY OF SANTA ROSA
PERFORMANCE EVALUATION

NAME: DEPARTMENT:

TITLE:

EVALUATION PERIOD: FROM TO

A. Current Year’s Work Plan

Key Areas of Responsibility
1. Adhere to the Organizational Values and Model the Basic Principles
2.
3.
4.
B. Employee’s Progress Toward Objectives (Employee summarizes activities performed toward accomplishment of
perform ance objectives.)

C. Supervisor’s Summary of Performance (Supervisor writes evaluation based on work plan and prog ress toward
objectives, and su mm arizes e mp loyee’s stren gths and areas needing im provem ent.)

D. Employee Development (Supervisor and employee confer and record employee’s progress toward achieving employee
dev elopme nt plan.)

E. Employee Comments

Signatures
Print Name: ________________________________ Print Name: ___________________________________

___________________________________________ ______________________________________________
Employee Signature Date Supervisor Signature Date
(Your signature acknowledges that you
have read the evaluation, not that you
agree with it.)

___________________________________________
Department H ead Signature Date
G:\pers\pp\g\perfmgt-hbk.pdf

-33-