performance evaluation handbook

CITY OF BOZEMAN PERFORMANCE EVALUATION HANDBOOK

August, 2007

City of Bozeman Performance Evaluation HandbookAugust, 2007

Table of Contents

Pages PURPOSE: 3

POLICY: 3

EVALUATION PERIODS 3 - 4

PROCEDURE: 4 - 15

Step 1. Supervisor Preparation. 4Step 2. Identification. 4Step 3. Pre-Appraisal Interview. 5 - 7Step 4. Monitor Performance during the Evaluation Period. 8 -10Step 5. Complete the Evaluation Form. 10-12Step 6. Calculate Overall Performance Rating. 13Step 7. Upper Level Review. 13-14Step 8. The Appraisal Interview. 14Step 9: Signatures. 14Step 10: Records Maintenance. 14Step 11. Pay Adjustments. 14Step 12. Begin Again. 14

APPENDICES:

A – City of Bozeman Evaluation FormB – City of Bozeman Core ValuesC – Guidelines for Evaluation Employee Job Performance D – Six Steps to Problem Solving E – Personnel Maintenance Inventory Form F – Performance Interview Planning Checklist

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CITY OF BOZEMAN PERFORMANCE EVALUATION HANDBOOK

August, 2007

PURPOSE:

The City of Bozeman uses Performance Evaluation for a variety of purposes. These include

Performance feedback; Identification of Employee training and development interests and needs; Compensation decisions; and Transfer and promotion decisions;

In addition, it is City policy to release a copy of the personnel file (with the employee’s/former employee’s signed release) when a reference check is requested from a prospective employer. Finally, the results of Performance Evaluations would be considered during a reduction-in-force necessitated by a change in the financial situation of the City, reorganization of City functions, or both.

POLICY:

It is City policy that each employee should receive an annual performance evaluation. More frequent evaluations may be conducted anytime there are ongoing performance issues. The City’s performance evaluation system considers:

1. The performance of the employee in his/her most critical job functions, as documented in the employee’s Class Specification; and

2. The employee’s performance as it relates to the City’s Core Values, which are Leadership, Teamwork, Service, and Integrity.

EVALUATION PERIODS:

For Fiscal Year 2008 (July 1, 2007 through June 30, 2008), the Evaluation Period shall begin September 1, 2007 and end April 1, 2008. Thereafter, the Performance Evaluation schedule shall be as follows:

May 1 through April 30. Ongoing performance feedback and monitoring.

By no later than May 15… the Supervisor and Employee will have completed a review of the Class Specification, identified job functions to be evaluated, discussed the performance criteria against which performance will be measured, and signed the pre-appraisal agreement for the NEXT evaluation period.

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June 1: The Supervisor will have completed the Evaluation form and forwarded it to his/her next level supervisor for upper level review

June 15: Upper level review will have been completed and the Evaluation returned to the Supervisor. The Supervisor and Employee have met to discuss the Evaluation results, and the form has been signed/dated.

June 16: Completed evaluations have been sent to Human Resources where the Overall Performance Ratings are recorded, and the completed Evaluation forms are filed in the employee’s personnel file.

June 20: Human Resources sends each employee’s Overall Performance Rating to the City Manager. July 1: The City Manager has forwarded pay increase information to the Payroll Officer. July 15: The Payroll Officer:

1. Completes a Payroll Action Form (PAF) for each affected employee. 2. Forwards the PAF to appropriate supervisors, who obtain proper signatures and return the original form

to Payroll. July 31: Pay adjustments are included in employees’ July paychecks.

PROCEDURE:

The City of Bozeman Evaluation Form will be used to conduct employee Performance Evaluations. This form is included as Appendix A, and may be downloaded from the “HR Forms” link on the Personnel webpage of the City’s website (www.bozeman.net). In order to ensure consistent, fair, objective and useful evaluations, the following steps should be followed in performance evaluation.

Step 1. Supervisor Preparation.

1. The Supervisor reviews the current Class Specification to make sure it accurately reflects the major functions of the position. If changes need made to any Class Specification, contact Human Resources.

CLASS SPECIFICATIONS VS. JOB DESCRIPTIONS

A Class Specification defines the general character and scope of responsibilities of all positions in a job classification, but it is not intended to describe and does not necessarily list every duty for a given position in a classification. The focus in a Class Specification is on outcomes.

A Job Description is a specific description of the duties and responsibilities assigned to a particular position or job. The focus in a job description is on inputs.

2. The Supervisor reviews the employee’s prior Evaluations, as well as any corrective action measures taken during the past 3 years.

Step 2. Identification . Enter the employee’s name and job title, and the Evaluation Period.

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Step 3. Pre-Appraisal Interview. No later than 2 weeks into the evaluation period, the Supervisor and Employee meet for a “pre-appraisal interview”. The Pre-Appraisal Interview process is described below.

A. Discuss the Appraisal System – It is important that all employees understand the evaluation system. Therefore, the first step in the Pre-Appraisal interview is a discussion of this system including timelines, the possible ratings, and what the results are used for. It is also a time to address any other questions the employee may have regarding the evaluation system. This is especially important in the case of employees who are unfamiliar with the system. If questions come up during this part of the discussion, contact Human Resources.

B. Discuss Core Values - The City’s Core Values include Service, Integrity, Teamwork and Leadership. These Values were identified using a Citywide process during the Summer of 2005, and were adopted by the City Commission in August of 2005 (See Appendix B). The Supervisor and the employee should discuss how these Values reflect upon and impact the employee’s position and should agree on how the employee’s performance will be measured for each Core Value for the Appraisal Period. (Examples of performance indicators for each Value have been provided on the Evaluation form.) Having this discussion will insure that employees are knowledgeable about, and understand the expected performance for each Core Value. Where the employee and supervisor cannot agree on how the performance will be measured, the Supervisor will make the final decision.

C. Discuss Job Functions to be Evaluated . The next step in the Pre-Appraisal Interview involves discussing each of the job functions to be evaluated.

JOB FUNCTIONS

A “Job Function” is a major responsibility (outcome) of a given position. For example, overseeing a budget is a job function; what a person does to accomplish this function may include monitoring expenditures, maintaining related reports and records, compiling budget data, and reviewing purchase orders and expenditures for approval.

All positions contain more than one, and usually four to twelve, job functions. However, only the most critical 4 to 6 job functions will be evaluated.

Some job functions contribute more value to the organization than others. Pay special attention to these most critical functions as it could be that if they are not performed well, there could be an adverse impact on the whole organization. Discussing each job function will insure that Supervisor and the employee understand the importance of each function compared to the importance of the other functions, and to the position as a whole.

D. Discuss Performance Expectations - Each job function will have one or more standards by which performance can be evaluated. The Supervisor and the employee should identify and agree upon how the employee’s performance will be measured for each job function for the Appraisal Period. This insures that the employee is made aware of and understands the level of expected performance for each job function. Where the employee and supervisor cannot agree on how the performance will be measured, the Supervisor will make the final decision.

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Guidelines for EstablishingPerformance Expectations

Performance Expectations are the established standards by which performance will be evaluated. Performance Expectations will tell the Supervisor and the employee when and under what conditions the employee’s performance of a given job function ‘Meets Expectations’. The following is intended as a tool to help Supervisors decide how to evaluate their employee’s performance.

Normally, Supervisors should evaluate only critical aspects or features of performance, not all aspects. To find out what these critical aspects may be, ask yourself and/or your employee the following questions:

a. How do you know when this Function is being properly done?b. How do you know when this Function is NOT being properly done?c. What other possible measures do you have in mind for this Function?

Performance may be evaluated in terms of quality or quantity of a ‘product’, results achieved, behaviors qualified by conditions, or by consequences. Although the following discusses these separately, performance evaluation may combine several of these elements.

1. Quality or Quantity of a Product or Service

You may want to evaluate your employees’ performance by looking at the quality or quantity of a product or service. Evaluating quality may include such things as the percent of paperwork errors during a given time period, the number of lost files, etc. Evaluating quantity involves looking at actual output relative to planned output. It is important to remember that when “hard numbers” are used to evaluate performance, they must be used appropriately. Evaluating an employee’s work output based strictly on Quantity may lead to a decline in Quality. Further, evaluating “Production” may be unfair if the desired output is subject to factors outside the employee’s control.

2. Results/Outcomes

Performance may be evaluated based on expected results, such as ‘material in the files is easy to locate’, or ‘employee turnover has decreased’. The outcomes may be phrased in terms of the reactions of the customers. An example of a results-based outcome would be that the City Commission accepts staff’s recommendations. If results are to be used, however, it is important to insure that:

a. The expected results are entirely under the employee’s control. For example, an increase in the turnover rate may not be as a result of any action on the part of the HR Department.

b. The employee understands what you expect . It is the Supervisor’s performance that is lacking if the Supervisor assigns the employee a task, but doesn’t provide input into the expected results. (Employees can’t read minds!)

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3. Behaviors (Actions)

Performance may be evaluated based upon behaviors i.e., actions the employee should take. If behaviors are used, however, Supervisors must let the employee know the behavior that is expected. Again, employees can’t read minds!

4. Consequences

When you evaluate, you can, in some cases, consider the consequences of performing a given function. This can include what should (or should not) happen, such as interfering with the work of others, or requiring a lot of supervisory time. Supervisors should also consider positive consequences as in the case of experienced employees who help less-experienced employees. It is important to exercise care in evaluating consequences. For some positions, providing assistance to others implies “Exceeds Expectations”, rather than “Meets Expectations” performance.

IMPORTANT NOTE:PERFORMANCE/EXPECTATIONS OF EMPLOYEES

AT DIFFERENT LEVELS:In performance evaluation, it is important to consider the level of employee you are evaluating. To be considered at “Meets Expectations” performance, it may be reasonable to expect a Supervisor to prepare an operating budget, but an Administrative Assistant who prepares a budget may be performing at an “Exceeds Expectations” level. Likewise, new employees may not be expected to meet the same levels of performance as employees with longer tenure.

E. Discuss Sources of Performance Information - The Supervisor and the employee should identify the possible sources of information that will be used to evaluate the employee’s performance for each job function for the Evaluation Period. Sources include but are not limited to: supervisor observations, peer input, self-evaluation, and customer feedback. The Supervisor and Employee should also discuss how this information will be collected and used during the appraisal period, and in completing the Evaluation form.

F. Signatures - The employee and Supervisor should sign and date the Pre-Appraisal signature blanks on page 1 of the Evaluation form. The employee should receive a copy of the evaluation form, so s/he may refer to it during the Evaluation Period. The original form should be maintained in the Supervisor’s drop file.

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Step 4. Monitor Performance during the Evaluation Period.

The Evaluation Period is the time during which Supervisors observe the employee’s work so it can be formally evaluated later. During this time, Supervisors should keep a record of ongoing performance as well as critical incidents that occur for each of the employees supervised. Employees should be encouraged to do the same for their own performance.

During the Evaluation Period, Supervisors should also maintain ongoing communication regarding performance by meeting regularly with the employee to discuss projects, goals and deadlines, and by providing regular feedback regarding employee performance. Evaluation criteria agreed upon during the Pre-Appraisal Interview may need modification from time to time during this period. The reason for any changes, and the changes made, should be clearly documented and signed off on by both parties.

A. Documentation and Communication

1. The importance of documenting employee performance. Documenting performance is an essential part of any objective evaluation system. Maintaining records of employee performance not only provides supporting ‘evidence’ for ratings, but also provides a record of the supervisor’s efforts to help the employee improve performance and to meet his/her goals. A Supervisor who doesn’t document employee performance is breaching his/her supervisory responsibilities, and is creating liability if an employee appeals a performance evaluation.

2. Formal vs. Informal Documentation. There are two types of documentation that Supervisors use to record employee performance.

a. Formal Documentation . Formal documentation becomes a part of the official record, and is included in the employee’s personnel file when the action takes place, or at the end of the evaluation period, as appropriate. The employee has a right to see everything in a formal track record, at any time.

b. Informal Documentation - Informal documentation is a file kept during an evaluation period. It is intended as a temporary document to be used only as a memory jogger for dates, incidents, times, etc. The file does not become part of any official record, and the employee does not have the right to see it. After the evaluation is completed, informal documentation should be stored in a placed inaccessible to other staff members. In the unfortunate event of a lawsuit or grievance, the documentation can be useful should a Supervisor be called to testify.

3. Why Communicate? (See Appendix C, “Guidelines for Evaluating Employee Job Performance”, for a general review of effective communication). During the Evaluation Period, it is critical that Supervisors give ongoing feedback relative to work performance. Provided on a constant basis, this communication will define when there is a need to revise job functions, performance expectations, class specifications, or qualifications, and will reduce confusion resulting from unclear assignments and/or instructions. The feedback must be both positive and negative: holding back negative

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Evaluation criteria agreed upon during the Pre-Appraisal Interview may need modification from time to time. The reason for any changes, and the changes made, should be clearly documented and signed off on by both parties.

feedback for an annual evaluation discussion triggers negative reactions on the part of the employee, and these defensive discussions serve no purpose.

In addition to providing feedback regarding work performance, Supervisors must be available and willing to help their employees reach the required performance. In order to do so, Supervisors must:

Provide the data and/or feedback the employee needs to measure his/her own progress; Provide the resources (time, materials, training, etc.) the employee needs to reach the goals; Facilitate problem solving, when necessary. (See Appendix D, “Six Steps of Problem

Solving”)

Employees have a natural tendency to get a little paranoid if they think their Supervisor is ‘keeping book’ on them, but provide them no feedback. If the Supervisor’s documentation contains current, complete and objective facts relative to the employee’s performance, and if the Supervisor communicates with the employee on an ongoing basis, evaluations will become less painful. If Supervisors communicate properly, they will always understand any mitigating factors surrounding the employee’s work performance, and will be able to respond appropriately at that time. At the end of the appraisal period, the ratings the employee receives will not be a surprise, evaluation time will not be a ‘sweaty palm’ experience, and the evaluation itself will be a matter of formalizing what is already known to both parties!

B. Methods of Documenting Work Performance

The City is not prescribing how Supervisors document performance. However, Supervisors must document it! To complete a ‘basic’ evaluation, Supervisors need to document and evaluate only the core values and the 4 to 6 most critical job functions. However, Supervisors should also be aware of and document any distinguished or substandard performance relating to such items as the Employee Conduct provision of the Employee Handbook, accomplishment of special assignments, etc. What follows are two possible methods of maintaining informal employee performance records.

The Track Record - The track record is a means of recording, on a daily basis, the ‘critical incidents’ (both positive and negative) that occur during the Evaluation period. These critical incidents include anything that affected (either favorably or unfavorably) the employee’s ability to perform the activities included in his/her job function(s).

Personnel Maintenance Interview (PMI) - PMI’s are a method of planning and evaluating work accomplishments. The Supervisor and employee meet regularly (e.g., on a bi-weekly basis) and discuss current and future projects. Goals, task assignments and timetables are established and documented on the PMI form (see sample, Appendix E). Follow up on results (target date met, project completion, etc.) is performed and the outcomes recorded on the PMI.

These are just examples of methods of recording ongoing performance. Other suitable methods may be used as well. Regardless of the method used, the documentation should:

provide a clear memory of events which occur during the evaluation period;

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ensure that the supervisor has the information necessary to complete the evaluation form based on ‘facts’, not ‘memory’;

be used as a tool to indicate training needs and other barriers to meeting performance expectation; and

identify when additional functions have become an ordinary part of an employees’ job.

Step 5 . Complete the Evaluation Form. At the end of the Evaluation Period, the Supervisor reviews the employee’s previous evaluations, the current evaluation form, any disciplinary actions, the Class Specification, and all the informal and formal documentation of the employee’s performance collected during the Evaluation Period. With this information in hand, the Supervisor completes the Evaluation form. In completing this form, Supervisors are encouraged to:

1. Have the employee being evaluated complete a self-evaluation, and to consider this information when completing the Evaluation form. The employee should rate his/her performance based on the performance indicators which had been identified during the Pre-Appraisal Interview process. ALL ratings should be accompanied by a comment to further support the reason for the rating; and to

2. Use peers as a source of performance information, especially as it relates to the Core Values of Teamwork and Service. A “Peer” is defined as any other City employee (but not the immediate supervisor) who is familiar with the employee’s performance over a sufficiently long enough period of time so that they can fairly evaluate the employee’s performance. Peers may also be colleagues who work outside the City, but are familiar with the work of the employee over a sufficient period of time so that they can fairly evaluate the employee’s performance. Because of the need for consistency in this process, if a Supervisors uses peers for one person in the job classification, peers should be used for each employee in the job classification.

There are several common rating errors which Supervisors should guard against while completing this form. These are:

The Leniency Error Giving everyone high ratings regardless of actual performance, in an attempt to avoid conflict or to make the Supervisor look good.

The Central Tendency ErrorClumping or clustering all employees in the middle performance categories in an attempt to avoid extremes. This is usually caused by a Supervisor’s desire not to call attention to him/herself, or by a misapplied sense of "democracy."

The Recency Error This is a failure to take into account the entire evaluation period and, instead focusing on a recent performance episode positively or negatively.

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The Halo Effect ErrorLetting one favored trait or work factor influence all other areas of performance, resulting in an unduly high overall performance rating.

The Horns Effect ErrorAllowing one disfavored trait or work factor to overwhelm other, more positive performance elements, resulting in an unfairly low overall performance rating.

Contrast ErrorEvaluating employees in relation to one another. Evaluations should be based on how well the employee performed in relation to his/her duties, goals and stated performance expectations – actual performance compared to expected performance.

Past Performance ErrorRating on past performance rather than present performance.

Biased Rating ErrorAllowing personal feelings toward employee to influence rating.

High Potential ErrorConfusing potential with performance.

Similar to Me ErrorSimilar to me and therefore feeling of comfort and compatibility

Guilt by Association ErrorEvaluation influenced by employee's associations rather than performance.

Supervisors can avoid making these errors by

1. Referring to all the documentation available; and 2. Basing the evaluation results on information from the whole Appraisal Period; and3. Basing the ratings provided on the employee’s actual performance compared to the performance

expectations agreed during the Pre-Appraisal Interview.

In completing these evaluations, one of five possible ratings is permitted. The ratings and descriptions of performance are included on the next page. Comments should be included to justify each rating given. Comments must be included to justify a rating above or below ‘2’ (Meets Expectations) and a corrective action plan must be developed for any rating below a ‘2’ (Meets Expectations).

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POSSIBLE RATINGS/DESRIPTIONS OF PERFORMANCE

Rating Level Description of Performance4 Superior Exceeds expectations on a consistent basis. The individual is performing

this function at the highest level and can teach or counsel others. Describes those few employees whose contribution to work unit and City

far exceeds job requirements on a sustained basis. Accomplishments toward goals are exceptional even under challenging circumstances. Demonstrates exceptional personal skills. Maintains self-motivation and initiates actions without guidance or supervision.

Consistently performs work in an exceptional manner. Work is characterized by superior accomplishments. Exceeds expected results and seeks out opportunities to improve results on his/her own initiative.

Performance is consistently & significantly beyond established standards. Achieves performance objectives at a fully outstanding level and demonstrates exceptional skill levels.

Performance exceeds expectations by an exceptional degree .3 Exceeds

Expectations Performance is above satisfactory and expected level of performance. Contributions and work activities consistently exceed job requirements.

Accomplishments toward goals and demonstrated personal skills generally surpass job requirements.

Frequently performs work in an excellent manner and exceeds expected results.

Performance is consistently above adequate skill levels. Achieves performance objectives, often beyond expectations.

Performance exceeds what is routinely expected, but is not ‘Superior’.2 Meets

Expectations Satisfactory and expected performance. Job requirements are performed in a full and complete manner Consistently performs work in a satisfactory and acceptable manner and

achieves expected results. Performance consistently meets job requirements. Achieves performance

objectives stated. Performance meets what is routinely expected of an employee in this

position. Behavior is appropriate for the workplace and the position.

1 NeedsImprovement

Some improvement needed to fully achieve the expected level of performance.

Work activities do not consistently meet requirements due to specific weaknesses observed in one or more areas.

Employee’s work does not consistently meet expectations. Employee must improve performance to achieve expected results.

Performance is less than expected and needs improvement. Direction, supervision and learning are required if performance objectives are to be achieved.

Performance fails to meet what is routinely expected, but is not unsatisfactory all of the time

Behavior is not consistently appropriate for the workplace and the position.

0 Unsatisfactory Individual not meeting the expected level of performance. Consistently fails to meet job requirements. Unacceptable. Employee displays poor work performance; immediate remedial action is

needed. Performance is substantially weak. Performance objectives are not met.

Substantial improvement by the employee is required. Performance fails to meet what is routinely expected and is unsatisfactory

most or all of the time. Behavior is consistently inappropriate for the workplace and the position.

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Step 6. Calculate Overall Performance Rating. The Core Values and Job Functions performance ratings are considered equally in the calculation of the employee’s overall performance for the Evaluation period. The Overall Performance Score is calculated as follows:

1. Calculate Core Value Rating:

a. Number of points awarded: _________b. Divided by 16 points possible: _________c. Core Value Rating ________

2. Calculate Job Functions Rating:

a. Number of points awarded: _________b. Divided by points possible: ** _________ c. Job Function Rating ________

3. Subtotal: (1c + 2c) ________

4. Overall Performance Score: Multiply subtotal times two (x 2) ________

(** 4 to 6 functions possible times 4 points per function = 16 to 24 points possible)

The Overall Performance Score results in an Overall Performance Rating, as follows:

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Overall Performance Score Overall Performance Rating3.5 to 4 points Superior 2.5 to 3.49 points Exceeds Expectations1.5 to 2.49 points Meets Expectations.5 to 1.5 points Needs Improvement (attach corrective action plan)0 to .49 points Unsatisfactory (attach corrective action plan.

NOTES REGARDING OVERALL PERFORMANCE RATING:

Only those Employees whose overall performance is equal to or greater than “Meets Expectations” qualify for pay adjustments.

The Supervisors of those employees whose performance is less than “Meets Expectations” shall prepare a draft corrective action plan for Upper Level Review. (Contact Human Resources for assistance with preparing corrective action plans. ) Following Upper Level Review, the Supervisor must work with the employee to finalize the plan.

Step 7. Upper Level Review. The supervisor should review the completed evaluation and discuss any employee performance issues with his/her immediate supervisor before any discussions are held with the employee. As part of this review, the Reviewer(s) may:

1. Point out policy or compliance errors;2. Ensure consistency among ratings (the same ratings are awarded for similar performance by different

employees); 3. Discuss the appraisal, narrative and ratings with the Supervisor, and4. Attach comments to the evaluation itself.

Upper level review does not allow the Reviewer to:

1. Change the Supervisor’s ratings or written comments, or2. Attach any comments that will be kept secret from the employee or out of the personnel file.

Step 8. The Appraisal Interview. The employee and supervisor should meet to discuss the evaluation results. The Supervisor and the employee should review the reasons behind each of these ratings, and should determine future performance goals. (See Appendix F: Formal Performance Interview Checklist.)

Step 9: Signatures. The Supervisor and the employee must sign and date the completed Evaluation Form. The employee’s signature acknowledges receipt of, but not necessarily agreement with, the evaluation results, and the employee may attach comments to the evaluation is s/he chooses.

Step 10: Records Maintenance. The Supervisor sends the completed form to the Human Resources Director where it will be maintained in the employee’s personnel file. The Human Resources Director will also advise the City Manager of the Overall Performance Ratings awarded to each employee.

Step 11 . Pay Adjustments . For each employee eligible to receive pay adjustments:

1. The City Manager will advise the Payroll Officer, in writing, of the pay adjustment to be made; and 2. The Payroll Officer will prepare a Payroll Action Form (PAF) documenting the pay adjustments, and

will send it to the Supervisor for completion. Once signed, return these forms to the Payroll Office.

Step 12. Begin Again. Review the Class Specification and conduct the Pre-Appraisal Planning process for the next Evaluation period. (See pages 3 through 7.)

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APPENDIX A:

City of Bozeman Employee Evaluation Form

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CITY OF BOZEMANEMPLOYEE EVALUATION FORM

Employee Name: __________________________ Department: ______________________________

Job Title : ________________________________ Review Period: Fr: _________To____________

I. PRE-APPRAISAL AGREEMENT

We have discussed this evaluation tool, and the expected levels of performance for each core value and job function for the upcoming review period.

Supervisor’s Signature: Date: ____________

Employee’s Signature: Date: ____________

II. UPPER LEVEL REVIEW OF EVALUATION RESULTS

Conducted by: ___________________________________________________________ Date: ________________

Comments:

III. EVALUATION RESULTS

I have discussed the details of this evaluation with this employee. I have commended the individual for good performance and suggested improvements in areas of weaker performance.

EVALUATED BY: Date: ____________

ACKNOWLEDGMENT OF RECEIPT OF EVALUATION RESULTS

In signing this form, I understand that my signature does not reflect my concurrence/ disagreement with this evaluation, only that I have reviewed it, and have a copy.

Employee Comments Attached: Y N

_______________________________________________________________________________________________Employee Signature Date

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RATING NSTRUCTIONS:

1. Record a performance rating for each criteria. The rating provided must be consistent with the following descriptions:

Rating Level Description of Performance4 Superior Exceeds expectations on a consistent basis. The individual is performing this function at the

highest level and can teach or counsel others. Describes those few employees whose contribution to work unit and City far exceeds job

requirements on a sustained basis. Accomplishments toward goals are exceptional even under challenging circumstances. Demonstrates exceptional personal skills. Maintains self-motivation and initiates actions without guidance or supervision.

Consistently performs work in an exceptional manner. Work is characterized by superior accomplishments. Exceeds expected results and seeks out opportunities to improve results on his/her own initiative.

Performance is consistently & significantly beyond established standards. Achieves performance objectives at a fully outstanding level and demonstrates exceptional skill levels.

Performance exceeds expectations to an exceptional degree .3 Exceeds

Expectations Performance is above satisfactory and expected level of performance. Contributions and work activities consistently exceed job requirements. Accomplishments toward

goals and demonstrated personal skills generally surpass job requirements. Frequently performs work in an excellent manner and exceeds expected results. Performance is consistently above adequate skill levels. Achieves performance objectives, often

beyond expectations. Performance exceeds what is routinely expected, but is not ‘Superior’.

2 MeetsExpectations

Satisfactory and expected performance. Job requirements are performed in a full and complete manner Consistently performs work in a satisfactory and acceptable manner and achieves expected results. Performance consistently meets job requirements. Achieves performance objectives stated. Performance meets what is routinely expected of an employee in this position. Behavior is appropriate for the workplace and the position.

1 NeedsImprovement

Some improvement needed to fully achieve the expected level of performance. Work activities do not consistently meet requirements due to specific weaknesses observed in one

or more areas. Employee’s work does not consistently meet expectations. Employee must improve performance

to achieve expected results. Performance is less than expected and needs improvement. Direction, supervision and learning are

required if performance objectives are to be achieved. Performance fails to meet what is routinely expected, but is not unsatisfactory all of the time Behavior is not consistently appropriate for the workplace and the position.

0 Unsatisfactory Individual not meeting the expected level of performance. Consistently fails to meet job requirements. Unacceptable. Employee displays poor work performance; immediate remedial action is needed. Performance is substantially weak. Performance objectives are not met. Substantial improvement

by the employee is required. Performance fails to meet what is routinely expected and is unsatisfactory most or all of the time. Behavior is consistently inappropriate for the workplace and the position.

2. For each criteria, provide brief comments (including critical incidents during the performance period) which support the rating given. This is also where you should record comments which will help the employee >do better=.

3. A corrective action plan must be developed for any individual and/or overall rating of “Needs Improvement” or “Unsatisfactory”. This plan must be attached to the original evaluation form, and sent to Human Resources along with the Evaluation form.

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IV. City of Bozeman Core Values(Apply to every position.)

NOTE: The performance expectations are listed under each core value. Supporting comments are required for each principle that is rated as needs improvement or unsatisfactory.

INTEGRITY Rating: ______

(Be honest, hardworking, reliable, and accountable to the public)

Examples of Performance Expectations

a). Is trustworthy & honest;b). Respects confidences;c). Interacts in a sincere & genuine fashion with other people;d). Dependable to follow through & completes work assignments and commitments in a timely manner; e). Gives reliable information; the information received from this employee may be relied upon;f). Interacts with others in a way that gives them confidence in one=s intentions, and those of the City;g). Accepts responsibility for own behavior;h). The operations under this employee’s supervision are conducted within the generally accepted personal and

professional standards of behavior generally associated with employment, do not involve activities that adversely affect the confidence of fellow employees or the public, and do not involve violations of federal and/or state law;

i). Commits to a course of action to accomplish a long range goal or vision;j). Maintains the confidentiality of sensitive oral, paper based and electronic information and restricts the flow of such

information to those who have a legitimate need to know;k). Has the courage of his/her convictions and is candid with coworkers;l). Demonstrates ethical behavior as outlined in City policy;m). Adheres to professional ethical standards;

Comments: List supporting statements with the referenced letter. Example: Tom needs further development on i). To do this he needs to . . If the employee exceeds performance expectations or has superior performance, use this area to document supporting comments.

Goals: This section should include, but is not limited to, the documented plan(s) for performance improvement if the employee does not meet performance expectations. Be sure to include a date to re-evaluate performance of the principle in question.

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LEADERSHIP Rating: ______(Take initiative, lead by example and be open to innovative ideas)


a). Displays positive work attitude toward position and contributes to a positive work environment; b). Treats others with dignity;c). Displays loyalty, cooperation and enthusiasm in job;d). Accepts decisions of supervisors and adheres to City Policy;e). Accepts constructive criticism and takes appropriate action; f). Projects the professional image required by organization;g). Uses appropriate problem-solving tools to address challenges and to resolve conflicts;h). Is proactive in identifying and understanding issues, opportunities and arriving at creative solutions;i). Sensitive to local realities: economic, social, political or cultural; j). Shares the credit for good ideas, acknowledge the contributions, creativity, experience, knowledge, skills,

and abilities of others ;k). Maintains and enhances professional knowledge and/or job skills;l). Freely shares knowledge and information to assist in education and training team members and coworkers; m). Effectively manages emotions and frustrations, adjusts to change in a positive and supportive manner; n). Performs activities in a manner that ensures a safe environment for employees and the public; o). Disagrees tactfully by focusing on facts, avoids personal preference or self interest;p). Willing to independently make a decision and take action within the scope of responsibility and consistent

with the guidelines of the City’s core values;q). Supports an inclusive work environment by actively discouraging negative cultural, stereotypesr). Mentors others in the development of leadership skills; s). Motivates others to their achieve higher potential;



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SERVICE Rating: ______(Work unselfishly to our community and its citizens) - (Applies to internal & external customers)


a). Demonstrates a focus on customer service by treating those we serve as a top priority and by meeting or exceeding their expectations;

b). Contributes ideas/suggestions and participates in activities for improving processes and services to our customers;

c). Establishes effective working relationships; d). Employee is tactful and diplomatic;e). Responds appropriately and politely to customers, (e.g., accepting feedback, returning calls, email, and

being punctual for appointments);f). Shows sensitivity, appreciation and understanding of people;g). Demonstrates sustained efforts to achieve City and department objectives;h). Commits to a course of action to accomplish a long-range goal or vision;



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TEAMWORK Rating: ______(Respect others, welcome citizen involvement and work together to achieve the best results) Examples of Performance Expectations a). Contributes to discussions, actions, and projects, responds positively to requests for information,

suggestions, and assistance;b). Is flexible in response to others= ideas, beliefs, or points of view;c). Actively asks for and listens to diverse opinions and seeks understanding; (e.g, takes time to listen and

respond to questions; d). Clearly shares ideas and information with others; Solicits feedback from others; Listens to feedback;e). Strives to find solutions that are best for all concerned;f). Involves other departments/divisions in planning process, as appropriate;g). Adjusts to change in a positive and supportive manner;h). Keeps others informed of work-related progress and problems, as appropriate;i). Identifies opportunities for cooperation and service improvements across departments;j). Builds and sustains positive relationships and partnerships to advance City goals;k). Helps resolve disagreements and conflicts by identifying common ground exploring differences so as to

address/resolve difficult issues in a constructive manner; l). Is dependable to follow-through and completes work assignments and commitments in a timely manner;m). Makes recommendations for enhancing the City=s operations and services through collaboration;n). Is civil in his/her communications;o). Assists overloaded team members;p). Helps develop team cohesion and aligns individual efforts with the group;



Total Points, Section IV, Core Values: ____________________

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V. JOB FUNCTIONS

Job Function #1: Rating: ______

Examples of Performance Expectations (list during pre-appraisal interview)

Comments: List supporting statements with the referenced letter. If the employee exceeds performance expectations or has superior performance, use this area to document supporting comments.

Goals: This section should include, but is not limited to, the documented plan(s) for performance improvement if the employee does not meet performance expectations. Be sure to include a date to re-evaluate performance of the function in question.





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Goals: This section should include, but is not limited to, the documented plan(s) for performance improvement if the employee does not meet performance expectations. Be sure to include a date to re-evaluate performance of the function in question





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Total Points, Section V, Job Functions: ____________________

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Supervisor/manager summary comments:

Document overall performance assessment, details of any performance improvement plans, future performance goals, training and development goals, etc.

OVERALL PERFORMANCE RATING:

1. Calculate Core Value Rating:

a. Number of points awarded: _________b. Divided by 16 points possible: _________c. Core Value Rating ________

2. Calculate Job Functions Rating:

a. Number of points awarded: _________b. Divided by points possible: ** _________ c. Job Function Rating ________

3. Subtotal: (1c + 2c) ________

4. Overall Performance Score: Multiply subtotal times two (x 2) ________

** NOTE: 4 to 6 job functions x 4 = 16 to 24 points possible

The Overall Performance Score results in an Overall Performance Rating of (select one box):

Overall Performance Score Overall Performance Rating 3.5 to 4 points Superior 2.5 to 3.49 points Exceeds Expectations 1.5 to 2.49 points Meets Expectations .5 to 1.5 points Needs Improvement (attach corrective action plan) 0 to .49 points Unsatisfactory (attach corrective action plan.

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Input for this review was obtained from: List groups (i.e., coworkers) or individuals (i.e., name of assistant supervisor)

Employee’s comments:

The employee uses this section to document response to the evaluation, list goals for future training and development, or verify agreement with the performance improvement.

List mutually established goals for next year and plans for achievement. Consider professional, individual, and team goals and areas needing further development.

Goal 1:

TimelineAction Plan Measurable Outcome

Goal 2:


Goal 3:


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APPENDIX B:

City of Bozeman Core Values Adopted by Resolution 3832

August 8, 2005

IntegrityBe honest, hardworking, reliable and accountable to the public.

LeadershipTake initiative, lead by example, and be open to innovative ideas.

ServiceWork unselfishly for our community and its citizens.

TeamworkRespect others, welcome citizen involvement, and work

together to achieve the best results.

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APPENDIX C:

Guidelines for Evaluating Employee Job Performance

Since there is no substitute for managerial judgment, here are some suggestions that will help sharpen yours when evaluating employee job performance:

1. DON’T RELY ON GIMMICKS. The best evaluation system developed won’t relieve you of your responsibility for making decisions about an employee’s performance. The best way to judge it is to work with the employee day by day, to observe performance during moments of routine, during moments of stress, and in a variety of assignments.

2. DON’T SAVE UP YOUR CRITICISMS. A good leader gets fingertip control from a close knowledge of his/her people. If you tell employees when they have done well – and when they haven’t – and do it in a natural way when it happens, they won’t resent criticism. However, if you hoard your fault finding and lump it all together in a single grueling session held once or twice a year, you make it hard for yourself and for the worker.

3. BE SELF CRITICAL – Before you rate an employee for a sub-par job, ask yourself frankly, “Has my leadership contributed in any way to this deficiency?”. Such questions as “Did I expect too much?”, “Did the employee understand my instructions?”, “Is my criticism absolutely fair and not influenced by bias?”, if answered honestly, will give you objectivity. Objectivity enables you to discuss the employee’s problems in a constructive way. Your willingness to accept accountability for mistakes will make the employee more willing to shoulder his/her own responsibility. Only dictators can’t afford to confess they’re sometimes wrong.

4. MAKE SURE THE WORKER HAS THE SAME UNDERSTANDING OF THE JOB THAT YOU DO. Otherwise, you can’t judge an employee’s performance fairly. When you talk things over with the worker, let the person do some of the talking. You may find the worker never realized s/he was in any way accountable for certain parts of the work you claim the person is neglecting.

5. GET DOWN TO CASES. Be specific. Explain in clear-cut, one-two-three language where the employee is falling short and what must be done to correct the problems. Make sure the employee understands precisely what standards are expected to be met.

6. CRITIZE THE WORK, NOT THE EMPLOYEE. Try to avoid personalities when discussing an employee’s job performance. There are certain exceptions to this advice, for example, if the employee has an “attitude” that is affecting performance. But in general, confine your remarks to the job itself.

7. DON’T LAUGH IT OFF. Some managers make the mistake of trying to hide their criticism behind humor. While many a truth is spoken in jest, sarcasm and irony usually don’t work. An employee’s performance on the job is deadly serious – to both of you. The employee’s future is at stake and your job is to build a competent employee team.

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8. COMMENT ON IMPROVEMENTS. If an employee corrects a shortcoming, let the employee know you have noticed the improvement. That’s how you give encouragement. The employee then knows you don’t hold past mistakes against the person, and you are quick to revise opinions when they are no longer applicable.

9. DON’T BE A DEBATER. You are the final judge of an employee’s job performance. This doesn’t mean you should cut off all discussions. Let the employee give his/her point of view, and if it’s right, say so. But don’t let the discussion turn into an argument.

10. EMPHASIZE THE STRONG POINTS. It’s better for an employee to develop his/her own talents and skills than it is to spend the entire time trying to correct weaknesses. Point out a worker's deficiencies and help the worker try to minimize them, but keep things in balance. If you concentrate entirely on the negative, you will accomplish little in developing the positive.

11. DON’T TRY TO LEAVE THEM LAUGHING. The notion “Start with praise, follow it up with criticism, and break off the interview with another compliment” is all right in theory, but doesn’t always work. The final compliment may make the employee forget about the criticism. Besides, you are trying to develop mature, responsible employees. An adult is supposed to be able to take deserved criticism. When an employee requires criticism for poor performance, give it straight. When the employee merits praise, see that s/he gets it. But don’t always try to mix the two together. They may cancel each other out and you get nowhere.

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APPENDIX D

SIX STEPS TO PROBLEM SOLVING **

Inevitably, employees will encounter problems as they try to accomplish their goals/job functions. It is the Supervisor’s duty to help when such problems come up. The Supervisor will need “Active Listening” in such sessions to help keep responsibility with the employee for solving a problem. Encourage the employee to go through the “Six Steps of Problem Solving” process. You might even write these steps on a blackboard or chart pad.

Step I What is the problem?Step II What are the possible solutions?Step III: How do you evaluate these solutions?Step IV: Which solution seems best?Step V: Who needs to do what, by when?Step VI: How will you evaluate the outcome?

The Supervisor should also feel free to initiate a problem-solving session whenever s/he begins to see a problem with an employee’s performance. The attitude for problem-solving sessions should be “What can I do to help?”, not “You’re failing here – what’s wrong?”

** Gordon, Thomas. Leadership Effectiveness Training: The No-Lose Way to Release the Productive Potential of People. Wyden Books, 1977.

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APPENDIX E

Personnel Maintenance Interview Form

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Personnel Maintenance Interview Form

Individuals Present: ________________________________________________________________________________ Date:_______________________

WHO TASKS DATE COMPLETED

Appendix F

Performance InterviewPlanning Checklist

1. Be prepared -- know the objectives and goals of the meeting

2. Time and Place -- choose a quiet, private spot with as few interruptions as possible

3. In conducting the interview

o create a positive environment and help the employee feel at ease

o give balanced feedback, both positive and negative, but start with the positive

o focus on the job, not the person

o ask questions and allow the employee to provide feedback

o when discussing areas where improvement is needed, discuss the methods and objectives for improving

o discuss the employee's aspirations and the professional development necessary to be a candidate for future positions in which s/he may be interested.

4. Conclusion

o summarize and review the important points of the discussion

o restate the action steps that have been recommended and provide a time frame for completion

o make sure employee reviews the evaluation form, and is given the opportunity to provide comments

o have the employee sign the Evaluation form to acknowledge that he or she has read it (does not signify agreement with the content)

5. Follow-up

o Follow-up with the employee to see how plans are proceeding within the

given time frames

o Offer the employee assistance in achieving objectives and encourage discussion of successes and obstacles

performance evaluation handbook

Documents

1c 2c

human resources director

contact human resources

list supporting statements

adequate skill levels

specific weaknesses observed

fully outstanding level

frequently performs work