If, at any time, you would like to share your views or input your ideas into this process, please e-mail the consultant team at MSOD@AOL.com
HOUSING AUTHORITY OF THE CITY OF LOS ANGELES
Performance Agreement and Review
Overview
The Housing Authority Performance Agreement and Review (PAR) process aims to build trust and integrity between Management, Supervisors and employees and help the organization and its members achieve and maintain a high level of productivity and harmonious working relationships.
Both supervisors and employees agree that regular and frequent evaluation of an employee's performance is one of the most effective ways to achieve and maintain high quality performance and high employee morale. Employees want to know how they are doing; how their contribution assists the organization accomplish its overall goals and mission. Top managers and key organization stakeholders want to be assured that the organization is focused and making progress on achieving its mission and purpose.
The performance evaluation process provides a means to evaluate the performance of employees by providing supervisors and employees with measurable performance criteria based upon specific job responsibilities, necessary competencies and performance expectations. These responsibilities, competencies and expectations will help to ensure that all employees and supervisors are aware of the performance standards that apply to departmental goals and to their specific jobs.
This evaluation process has been designed by managers, supervisors, employees and their representatives to achieve an organization characterized by Progress, Integrity and Productivity.
Purpose of an evaluation process.
A performance evaluation should:
Thus Performance evaluations should go beyond an examination review of performance during the past review period.The evaluation process should also allow the supervisor and employee to prepare a plan for future action.
An official evaluation form is not enough to accomplish the desired results. A quality evaluation system places significant responsibility on the supervisor. The evaluation form and process is just a tool for the supervisor to memorialize performance discussions with the employee. The ongoing evaluation process is a central responsibility of an Authority supervisor and requires the supervisor to make continuous observations and analysis of employee actions and have based upon first-hand knowledge of the employee and the employee's work habits. The performance evaluation process is not a once-a-year activity. It is a continuous process with frequent feedback and observation all culminating in the formal performance review. A continuous evaluation process assures that there are no surprises during the formal review session.
There are significant advantages to the individual supervisor who prepares, plans for and provides performance evaluation as a continuous process:
Unique features.
These are highlights of the unique features of this evaluation system and process. Some HACLA managers have had success incorporating some of these features in the past.
Evaluation Factors
Using a class specification, lists of specific job duties, departmental goals and input from the employee, the supervisor should identify job responsibilities factors which will be evaluated during the performance evaluation period of the employee. Each evaluation factor must have rating criteria to describe what is understood by the employee to be "above standard", "standard" and "below standard".
The supervisor provides the employee a copy of their job's responsibilities and rating criteria after their discussion and at the beginning of the rating term. The performance expectations shall remain in effect for that evaluation period unless action is taken to modify them. The employee must be provided with any changes made during the evaluation period. Normally discussions about changes would be initiated by either the supervisor or the employee as a result of unexpected or changing circumstances that would impact the employee's ability to achieve a satisfactory evaluation, a change in the direction and focus of the work unit or new priorities identified in the annual organization goal setting process.
Establishing Performance Expectations and Rating Criteria
A formal evaluation plan and list of key performance factors and criteria is used to set and measure performance objectives. This document will be developed by both the supervisor and the employee. The following steps are helpful recommended in accomplishing this task:
(1) Develop a list of key job responsibilities or competencies.
a. Job responsibilities:
b. Core Competencies
c. Developmental Competencies
The rating criteria statements will be extremely important because it they require the supervisor and the employee to talk in terms of specific job responsibility, behavior, competencies and results rather than non-specific terms, attitudes or subjective ratings.
Preparing for the Evaluation Session
Throughout the rating period the HACLA supervisor should regularly communicate to the employee any positive contributions made to the Housing Authority as well as identify problem areas as they come up. The supervisor doesn't wait until the annual performance evaluation time to inform the employee of improvement needs or compliments. The employee should not be surprised by the information documented in the evaluation session. This session should be used as a sharing and communication tool memorializing performance discussions held with the employee throughout the evaluation period.
The supervisor is asked to allocate enough time to prepare for the evaluation session. These preparatory steps will be helpful:
Conducting the Evaluation Session
Research has shown the first five minutes of an evaluation interview often sets the tone for the entire session. Discomfort created early may be impossible to overcome during the session. The interview will get off to a good start if the supervisor follows these guidelines:
Review all factors to be evaluated and give examples and facts. Ask the employee for input and listen. Be clear about what you are and are not willing to do. Carefully avoid setting up false or misleading expectations.
Once the employee's past performance has been discussed, initiate a discussion on goals and training needs for the future. Supervisors will be trained to provide reviews in a non-confrontational manner and, again, listen to the employee. This is an opportunity to end the session on a positive note. Set realistic and achievable goals and inform the employee of the assistance or support available to overcome problems or to meet performance objectives. Be specific as to how these goals will be achieved and indicate when there will be periodic reviews of goals and time-lines during the rating period.
The Supervisor's Role
The key to a successful performance evaluation process is the supervisor. HACLA supervisors will be trained on the following approaches when and where there are areas of disagreement:
Members of the performance evaluation design team (Cheers) will be available to assist supervisors develop these and other skills and otherwise assist supervisors improve their evaluation discussion.
Post Session After supervisors have given the formal evaluation
The employee and supervisor will sign and date the official PAR form. The supervisor will obtain the signature of the employee acknowledging that the employee has received the evaluation;the supervisor will attach any documents the employee wishes to include. No documents will be attached to the evaluation that are not first seen by the employee. The supervisor will offer to make a copy for the employees and send the form and attachments, if any, to the reviewer for signature and comments. If there are no changes, the reviewer sends the form to the Department of Human Resources. If there are changes made by the reviewer, the reviewer initiates a meeting to discuss the changes with the employee and the employee's rating supervisor. The completed form is forwarded to the Human Resources staff who will send a copy to the employee and supervisor before placing the form in the employee's official file.
Who Should Evaluate?
The immediate supervisor is normally the only person with the delegated responsibility to review the performance of subordinates. There may be others who have important information to share in the process such as other staff who would observe the employee's performance. This input may be beneficial to the supervisors but must only pertain to the specific performance observable by the staff member. The supervisor must still be the one to conduct the evaluation session, complete and sign the official form and handle any changes to the evaluation or the evaluation process.
Reviewer's Role
The reviewer is the supervisor's supervisor and should be:
The reviewer should not evaluate the employee's performance but may choose to write comments on the form regarding the reviewer's observations of the employee's performance and the performance of the employee's work unit.
If the reviewer believes there are substantial changes required in order to make the evaluation fair and accurate such changes will be discussed with the rating supervisor and the employee involved.
Helpful Information
Raters who rely totally on their memories for the facts to discuss during an annual evaluation session do both themselves and their employees a disservice. Most people remember only the most recent incidents or major occurrences. A rater who keeps notes throughout the rating period can furnish examples of why a specific rating is appropriate can provide a more accurate and fair appraisal.
Employees should know the supervisor is keeping notes during the year and should be encouraged to keep their own notes. An employee can request to see the notes in the file at any time. This Notes should not be viewed as a secret file. Keep short notes on examples of both positive and negative performance. Remember, immediate feedback to an employee is important. Notes should reflect verbal feedback given to the employee and should only serve as are reminders to be used for the annual evaluation and should be destroyed after the annual evaluation has been conducted unless a progressive discipline process is occurring and for which resolution has not been obtained.
Notes regarding performance should only be kept until the annual evaluation session is completed. They should be discarded at the end of the review period. If there is something that should be saved, attach it to the evaluation form and send it to the Human Resources Office.
Other Uses of the Evaluation Process:
a. Development of personal competencies and career planning.
The PAR process should allow the employee and the supervisor think and plan about the future of the employee. There is provision for career development planing in the PAR
b. Employee development needs assessment.
The performance evaluation discussion should also include ways work performance and competency shortcomings can be overcome during the rating period. This is the opportunity for the supervisor and employee to discuss ways HACLA can assist the employee overcome competency deficiencies. An individually tailored training and development plan may be designed with the assistance of the Human Resources Department.
c. Updating of Classification Specifications and Position Descriptions
If there are omissions or inaccuracies in the existing job description used during the performance discussion, the supervisor needs to communicate changes needed through their department chain-of-command to the Human Resources Department. Until a Classification specification is formally changed it continues to be the official statement of job responsibilities, knowledge, skills and abilities required for the job.
c. Contribution to team building.
Accurate job descriptions stemming from the evaluation process help employees become very clear about their role and the role of others as they work together to see the big picture. Supervisors can more effectively coordinate the work team when the roles of the work team members are accurate and clear.
Individual goals can be integrated with team goals to maximize team effectiveness and individual motivation.
This is an overview of the process. More detailed information is available in (1) the procedures, (2) guidelines handbook, (3) from an HR Department representative, and (4) from an employee trained and available to help you - see attached list.
Housing Authority of the City of Los Angeles
Performance Agreement and Review
PROCEDURES
Mission
The Housing Authority Performance Agreement and Review process (PAR) aims to further and sustain trust and integrity between Management, Supervisors and Employees and help the organization and its members achieve and maintain a high level of productivity and harmonious working relationships.
Management and employees agree that regular and frequent evaluation of an employee's contribution is one of the most effective ways to achieve and maintain high quality organization performance and high employee morale. Employees want to know how they are doing and how their contribution assists the organization accomplish its overall goals and mission. Top managers and key organization stakeholders want to be assured that the organization is achieving its mission and purpose and that every member of the organization is working to that end.
The performance agreement and review process provides a means to evaluate the contribution of employees by requiring supervisors and employees to devise measurable performance criteria based upon specific job responsibilities, necessary competencies, workload indicators, desired behaviors and quantified performance expectations. These responsibilities, competencies, behaviors and expectations will help to ensure that all employees and supervisors are aware of the performance standards that apply to their specific jobs and organization success.
This PAR process has been designed by managers, supervisors, employees and their representatives to achieve an organization characterized by and working toward world class progress, integrity and productivity.
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Basic Information
The PAR is not a single event, but a three part process: (a) planning and goal setting, (b) managing and (c) formally reviewing performance. At the beginning of the rating period the supervisor and employee complete the goals portion of the review form. At the end of the rating period the supervisor and employee discuss actual performance measured against these goals. During the rating period the employee and supervisor are actively engaged in performance dialogue working to achieve mutual goals, mutual understanding and mutual trust.
(a) Planning and goal setting:
At the beginning of the review period the supervisor and employee meet to develop and record a performance agreement using the official employee review form that is later used as the appraisal document. The purpose of the planning meeting is to discuss and record the employee's key work load indicators and results expected, work unit and individual goals, the expectations that describe successful completion of each goal and the methods and sources for measuring and tracking results.
(b) Managing
Managing is the day-to-day, face-to-face monitoring and coaching of an employee's progress toward achieving the performance expectations established during the planning meeting. The employee and the supervisor track performance using the measurement sources as agreed upon by both the employee and supervisor. Interim reviews and other feedback which is given to the employee through coaching and reinforcement is part of the management process. Managers agree to lead and support the learning and growing process.
(c) Appraising
At the end of the rating period every supervisor shall meet with each of their employees to discuss the employee's performance and record the actual results for each expectation and goal set. The employee is given an option to self rate prior to this meeting, or to have a group of peers provide input. After a rating has been given it is discussed with the employee. The employee is asked how well the supervisor has helped the employee accomplish the goals. The supervisor writes summary statements supporting the overall rating and the employee is invited to provide written comments.
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Section 1 - Procedures
Employees are rated on the anniversary of their current position. It is the supervisor's responsibility to negotiate the performance agreement and review process so that the employee understands the importance of their role in the organization and the purpose of the PAR process. The official Performance Agreement and Review (PAR) form is to be considered confidential and will be maintained in the employee's permanent file in the Human Resources Department.
1.1 New hires and promoted employees who are required to serve a new probationary period will be formally evaluated twice during their probationary period. Supervisors will meet with new employees as often as necessary to provide adequate guidance and training. If an employee fails to perform their job specific duties to a satisfactory level during the Probationary Period the supervisor will obtain approval for a probationary termination or return-to-previous-classification from the Department Head, the Human Resources Department and Executive Director. No performance review is required for termination or return- to-previous- classification during a probationary period.
1.1.1 The probationary employee will be evaluated on the regular PAR Form, Part "C", core HACLA competencies, only.
1.1.2 Upon receipt of their Performance Review and completion of their probationary period employees are eligible for their next merit increase and may receive such increase in accordance with Personnel Rules.
1.2 If an employee is on any approved leave of absence for thirty (30) days or more, The Human Resources Department will adjust the date of the next Performance Review (Next Review Date) accordingly.
1.3 Employees on temporary assignment for at least sixty (60) days but less than one hundred twenty (120) days may receive non-written guidance from the temporary supervisor as a way of giving the employee performance information during the temporary assignment. The employee's original supervisor is responsible for evaluating the employee's annual performance and the original supervisor will consult with the supervisor of the temporary assignment in preparing the Annual or probationary Performance Review.
1.4 The supervisor for the temporary assignment will give employees on temporary assignment for one hundred twenty (120) or more days a formal review (Performance Review Form) at the conclusion of the temporary assignment, and at least once each year if the assignment is that long or longer. This review will become part of the employee's Permanent Personnel File.
1.5 Supervisors shall establish a notification system to track review dates in their department and to notify The Human Resources Department if there are any review date changes as a result of approved leave of absence.
1.6 The Human Resources Department will establish a bimonthly reminder list to alert supervisors and Senior Staff of employee reviews to be processed.
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Section 2 - The Performance Agreement and Plan
At the review time, a new performance plan is created. Supervisors are responsible for establishing goals and expectations that support department work load indicators and enhance the value of the employee to the organization. Supervisors write goals for all jobs within the work unit that are consistent and equitable and under the employee's control. Following the meeting with the employee, the supervisor's manager will review the completed PAR to assure that the expectations for similar jobs across all units reporting to the manager are consistent and equitable. The reviewing manager's signature on the PAR shall be evidence that the supervisor's expectations are consistent and equitable and the manager and supervisor have agreed to support the work plan.
2.1 The Executive Director in conjunction with Senior Staff will meet to set Housing Authority-wide goals and objectives for the coming year.
2.2 Authority-wide goals shall be customized to support organizational, department and work unit goals and work load indicators and be recorded on the review form as a Performance Agreement.
2.2.1 Department Heads or their designee will translate Housing Authority-wide goals into work load indicators for each supervisor in their department.
2.2.2 All PAR's will include key work load indicators for which the employee is responsible and for which the employee will be evaluated over the next rating period.
2.2.3 Supervisors will consult the official classification specification for the position and for the person to be evaluated to assure all goals are compatible with the employee's classification.
2.2.4. All PARs will include key classification and job description duties that will support the accomplishment of work load indicators over the next rating period.
2.2.5 The supervisor and employee will attempt to reach agreement on what key work goals the employee is expected to accomplish, how specific accomplishments will be measured, when the work needs to be done and when progress toward accomplishment will be measured.
2.2.5.1 If agreement can not be reached it is the supervisor's responsibility and duty to complete goal statements, measurements and timelines for which the employee will be responsible to accomplish in a satisfactory manner.
2.3 In preparation for the goal setting process supervisors will review the employee's overall accomplishment and performance feedback conversations over the past rating period(s).
2.3.1 The supervisor and employee will identify individual goals that the employee will work on over the next review period. Individual goals are goals the employee or supervisor believes are uniquely important for the success of the specific employee and the work unit.
2.3.2 The supervisor and employee will attempt to reach agreement on individual goals established and reach agreement on what specific measurements will be used to evaluate individual goal achievement.
2.3.3 Employees may suggest goals for their own individual development,goals for work that advances the mission and purpose of the agency or goals that contribute to the values and vision of the organization.
2.3.4 The supervisor or the employee may indicate where there are competency areas which need to be improved or developed. These competencies will be based upon prior performance, estimates of what competencies will be needed to meet work load indicators, dialogue about career development or anticipated future needs of the organization. The supervisor may, with or without the participation of the employee, list competencies, goals, actions and dates which will be used to measure progress toward acquiring or developing competencies unique to the employee.
2.4 The supervisor and employee will attempt to agree on what data sources will be used to determine if goals are being met. They will also attempt to agree on how frequently data sources will be accessed for the purpose of measuring progress toward achieving goals. These dates may be included in the formal plan.
2.4.1 If agreement can not be reached it is the supervisor's responsibility and duty to complete goal statements, measurements and timelines for which the employee will be responsible to accomplish in a satisfactory manner.
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Section 3 - Department level review of performance plans
The next level of supervision or department manager is responsible for assuring that plans support the overall objectives of the organization and prescribed work load indicators.
3.1 The next higher level of supervision or Department Head reviews all goals and proposed goal measurements and timelines established by the supervisor and employee in the performance agreement.
3.2 If the next higher level of supervision or Department Head agrees with the performance agreement established by the supervisor and employee, the Department Head or next higher level of supervision signs the plan and returns it to the supervisor.
3.3 If the next higher level of supervision or Department Head disagrees with any part of the performance agreement the next higher level of supervision or Department Head will discuss the matter with the supervisor and resolve the concerns. Any changes to the plan will then be discussed with the employee.
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Section 4 - Changes to goals and follow-up
Changes to the performance agreement would normally result from some unanticipated event that might adversely impact the employee's success or a shift in the organization's direction that must be accommodated in the performance plan.
4.1 During the performance planning and review meeting, follow-up meeting(s) will be scheduled during the year to review the employee's progress on goals.
4.2 Changes to goals may be approved during follow-up meetings based upon changing circumstances. Such changes will be approved by the review process chain of command.
4.3 If changes are made in the Performance Agreement during the rating period the changes must be dated and initialed by the employee, the supervisor and the manager before they are effective. A copy must be given to the employee.
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Section 5 - Preparation for Review
The performance discussion is the most important part of the review process. HACLA requires all supervisors who rate employees to successfully complete performance management training. In addition there are user guides and assistance available from the Human Resources Department.
5.1 Twelve months following the completion of an initial probationary period or promotion to a higher position and every twelve months thereafter every permanent full-time and permanent part-time employee of the Housing Authority will participate in a job performance review. During this annual performance review the supervisor and the employee will discuss the employee's accomplishments, contributions to the organization, career progress and objectives. The supervisor and employee may further co-develop an Individual Development Plan as part of the Performance Review Program to support the employee in achieving career goals with the Housing Authority.
5.1.1 The Human Resources Department will generate and forward to the appropriate Department Head the PAR packet the forty-five (45) days in advance of the review period for employees who are due for review based on records in the Human Resources Department. This packet will contain Performance Review Information, Performance Review Forms and Job Descriptions (Current salary step information is available directly from the Human Resources Department).
5.2 Department Heads or their designee are responsible for reporting any changes to review periods or job descriptions to the Human Resources Department .
5.2.1 The Department Head will act to assure that departmental job duties are in line with job descriptions and class specifications for the individual employee being evaluated.
5.2.2 Department Heads or their designee are responsible for tracking the due dates of the Performance Reviews and ensuring reviews are completed in a timely manner.
5.3 The Employee and supervisor may agree to a formal self evaluation or peer review process that will take place prior to and commensurate with the formal review. If the parties choose a formal self or peer review process, the following steps will be taken.
5.3.1 The supervisor will forward the standard review form to the employee thirty (30) days prior to review date.
5.3.2 If an employee chooses to complete a self review the employee will forward it to their supervisor twenty (20) days prior to the review due date.
5.3.3 If an employee chooses to ask their work unit peers to evaluate their performance, the employee will follow guidelines provided in the users handbook.
5.3.4 The supervisor will complete all sections of the review two (2) weeks prior to the review due date.
5.4 The supervisor schedules a one-on-one meeting with the employee to discuss the review.
5.5 The supervisor prepares for the review meeting by collecting all notes, records and information sources that will make the review fair, objective and consistent with other reviews.
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Section 6 - The performance review.
The actual appraisal should not come as a surprise to the employee if supervisors have fulfilled their responsibility to keep the employee fully informed of the employee's work progress and the employee has been receptive to corrective information. Two essential elements of effective managing are the coaching and reinforcement of employees. Coaching and reinforcing will be continuous throughout the entire rating period and records kept of discussions. Coaching and reinforcing provides both positive and corrective feedback to the employees in an appropriate and timely manner. The employee has a responsibility to be open and available to on-going feedback.
6.1 Employees will be rated on their specific department, division or work unit work load indicators as discussed and recorded at the beginning of the rating period (Part A).
6.1.1 Employees will be first asked as to how they believe they have achieved the goals set.
6.1.2 The employee will be asked their opinion of the supervisor's help and support for achieving the goals set.
6.1.3 The supervisor will provide comments listing specifically how the employee's performance can be improved over the next rating period.
6.2 Employees will be rated on their individual goals as discussed and recorded at the beginning of the rating period (Part B).
6.2.1 Employees will be first asked as to how they believe they have achieved the goals set.
6.2.2 The employee will be asked their opinion of the supervisor's help and support for achieving the goals set.
6.2.3 The supervisor will provide comments listing specifically how the employee's performance can be improved over the next rating period.
6.3 Periodically the Authority will review and reformulate a list of core competencies that the authority expects every employee to demonstrate. These core competencies will be evaluated based upon specific measures for above standard, standard, or below standard job performance. The Human Resources Department may authorize different core competencies and measurement criteria for different occupational groups. Employees will be rated on how well they achieved HACLA-wide core competencies (Part C).
6.3.1 The supervisor will explain core competency ratings given by the supervisor.
6.4 An overall evaluation of performance shall be provided based upon the supervisor's review of specific results, accomplishments of goals and the employee's input contained in the self review or peer review forms (Part D).
6.4.1 If there is a discrepancy between the supervisor's review of the employee, the peer reviews (if any) and an employee's self-review the supervisor will discuss the differences with the employee to better understand why the differences between the reviews exist.
6.4.2 If the overall performance is outstanding, the evaluating supervisor will prepare a letter of commendation accompanying the review form. Such letter will describe examples of outstanding performance .
6.4.3 If the overall evaluation is unsatisfactory, the evaluating supervisor is required prepare a letter recommending disciplinary or corrective action to the employee and to the Authority explaining the full nature of the unsatisfactory performance.
6.5 The employee signs their Performance Review acknowledging that the employee has received the review.
6.6 The employee makes comments, if desired, or makes reference to an attachment, if any, that the employee wishes to attach to the review within 5 days.
6.7 The supervisor and employee set goals for the next rating period.
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Section 7 - Competency and Career Development
As part of the overall PAR process the supervisor and employee engage in a discussion about the career and competency development needs of the employee. These needs may arise from performance shortcoming over the past rating period or may be career development competency needs both the employee and supervisor want addressed. This part of the PAR process reflects mutual agreement about career and competency development needs and plans.
7.1 The supervisor and employee have a discussion about the personal career development needs of the employee and record any competency development agreements on Part E of the PAR form.
7.2 If there is not agreement about competency development needs or competency development plans, the supervisor will include development goals the supervisor has for the employee under Individual Goals, Part B, of the PAR form.
Section 8 - Review and Approval
A reviewing supervisor or manager may not change a review without first meeting with the rating supervisor and the employee. If the employee wishes to make comments the employee is encouraged to record comments on the official form or submit a written response to the review which will be attached to the official form in the file.
8.1 The employee signs the review form acknowledging that the employee has received and discussed the form with the supervisor.
8.1.1 Signing the form does not mean that the employee agrees with the review.
8.1.2 The employee will be invited to forward a written answer to any portion of the review the employee feels is not justified. This answer must be submitted within five working days of the Performance Discussion and it will be forwarded to the Department Head and the Human Resources Department.
8.2 The supervisor signs the form and forwards it to the next higher level of supervision.
8.2.1 The next higher level of supervision or Department Heads evaluates the performance review for completeness, fairness, timeliness and consistency.
8.2.2 The next higher level of supervision or Department Heads review individual accomplishments for compliance with Housing Authority goals and objectives.
8.3 If the next higher level of supervision or Department Head agrees with the review the Supervisor or Department Head signs and sends the review to the Office of Human Resources (or Department Head who then forwards the form to Human Resources if in agreement).
8.4 If the next higher level of supervision or Department Head disagrees with any part of the performance review, they will discuss the matter with the supervisor and the employees involved and resolve the concerns prior to the Performance Review being forwarded to The Human Resources Department. No changes will be made without first discussing them with the employee.
8.5 Supervisors and Department Heads may consult with The Department of Human Resources or Cheers Committee (Comprehensive HACLA Employee Review Systems) on any areas in question.
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Section 9 - Rewards
There are both intrinsic and extrinsic rewards for good performance. There are consequences for unsatisfactory performance. The underlying assumption of the performance management process is that every employee wants to do the very best job they can and it is management's responsibility to assist them to do so.
9.1 The supervisor seeks ways to assist the employee improve their value to the organization and career growth. This may involve greater opportunity for the employee to influence decisions about their work , their scheduling, their time off, the way work is performed and prioritized, training opportunities, time off for job enrichment, improved equipment, opportunities to participate in authority-wide decisions, unique learning opportunities, involvement in changes and organization improvements and the like.
9.2 If the employee is in the salary range steps the supervisor prepares the required forms if a merit increase is warranted. The supervisor informs the employee if and when the step increase will be effective and the anticipated amount of the increase.
9.3 If the employee is a non bargaining unit manager or Department Head there may be separate pay-for-performance provisions.
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Section 10- Performance Concerns
The hardest part of employee review is raising and dealing with problematic behavior and incomplete goals. The review does not consist of 100% of an employees contribution to the authority so can not be the only tool in determining whether an employee remains with the agency or is asked to leave. But generally substandard employment that adversely effects the overall goal accomplishment of the agency is first recorded in the employee review.
10.1 The Performance Improvement Plan provides the supervisor and employee thirty (30) to forty-five (45) days to intensively work to improve the employee's performance and resolve any problems.
10.1.1 If an employee's performance in a specific area is below standard or unsatisfactory the supervisor must notify the employee of such substandard performance and develop an action plan to assist the employee in correcting their job performance (Performance Improvement Plan).
10.1.2 There are several possible outcomes as a result of a Performance Improvement Plan. The employee's performance improves or the employee is terminated.
10.1.3 If the employee's performance improves, such improvements will be included in a revised performance review.
10.1.4 If the performance does not improve, the Department of Human Resource will be asked to intervene in preparation for termination.
10.1.5 If at any time during the rating period an employee's performance becomes below standard or unsatisfactory or if there are significant reasons to be concerned about the employee's chance for success, the supervisor should immediately complete a Performance Improvement Plan.
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Section 11 - Responsibility.
It is the intent of the Housing Authority to support managers and supervisors in the implementation of this policy by providing training opportunities, support, coaching and feed back on their performance in the Performance Agreement and Review process. Because the Performance Agreement and Review process is a major responsibility of all supervisors and managers for which they will be held accountable, this responsibility shall be included and recorded in each supervisor's and manager's work plan.
11.1 The failure of a supervisor or manager to carry out the Performance Management Process in accordance with this Policy usually will be addressed by, but not limited to, a recorded performance deficiency on the supervisor's or manager's performance review. It can result in one or more of the following actions:
11.1.1 Coaching from their immediate supervisor and assignment to skills enhancement training; or
11.1.2 Management may choose to give the immediate supervisor an overall rating of "Below Standard" performance; or
11.1.3 Possible dismissal or reduction in pay or demotion on the grounds of below standard or unsatisfactory job performance
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Section 12 - Saving Clause
All promotion, advancement , withholding of step increases or pay reduction provisions must comport with governing Memoranda of Understanding (MOU's) and Personnel Rules.
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Section 13- Definitions
13.1. Anniversary date - The date recurring yearly upon an employee's most recent appointment to a regular position.
13.2. Approved leave of absence - Any paid or unpaid absence from work approved by a supervisor.
13.3. Chain of Command - Means the employee, the employee's supervisor, the supervisor's manager ranging all the way up to the executive director.
13.4. Competency - Acluster of related knowledge, skills and abilities that effect a major part of one's job; that correlate with performance on the job; and that can be improved via training and development.
13.5. Competency Development Plan (CDP) - that part of the review form that lists competencies the parties believe need work during the rating period.
13.6. Covered employees - All permanent full time and permanent part time except for the executive director.
13.8 Day - Means calendar day unless otherwise indicated.
13.9 Individual goals - Unique goals that apply to one specific employee.
13.10 Integrity - One of the core values of HACLA. It means the authority values honesty, truthfulness, straight talk, alignment between espoused values and values in practice, clarity in goals and courage of commitment. It impacts the performance review process by emphasizing mutual respect, mutual meaning and mutual goal development.
13.11. Job Description - The same as the Classification Specification. The formal, approved listing of job duties that may include definition, distinguishing characteristics, knowledge, skills, physical requirements and abilities on file in the Human Resources Department.
13.12. Key work goals - Same as work load indicators.
13.13. Memorandum of Understanding - A written memorandum jointly prepared by the officially recognized representatives of the employees and HACLA incorporating matters upon which agreement has been reached through meeting and conferring between the Authority's management representatives and representatives of the recognized employee organization.
13.14. Peer review - A process that considers review input from work team peers; a blank employee review form to be completed by the employee's peers as input to the supervisor's rating.
13.15. Performance Agreement - That portion of the form that is used to record agreements reached on key goals and measures of performance success at the beginning of a rating period.
13.16. Performance Improvement Plan - A separate process for assisting at-risk employees improve their performance. A separate form is provided by the Human Resources Department.
13.17. Performance Management Process - The forms, the policies and procedures, the rating guidelines, supervisor coaching and reinforcement and all the support systems for setting individual goals and measuring accomplishments against those goals.
13.18. Permanent Employee - An employee who is appointed to a full or part time regular position and has satisfactorily completed a probationary period.
13.19. Personnel Rules - The official rules and working conditions that control all actions relating to hiring, promoting, discipline, classification of work and other matters relating to terms of employment.
13.20. Position Description - The duties and responsibilities for a specific position covered by a broad Classification Specification.
13.21. Productivity - One of the core values of HACLA. It means the organization is focused on achieving its mission; that every member is expected to do their part in achieving the organization's mission. It impacts the performance review process by emphasizing the clear statement of individual goals tied to organizational outcomes.
13.22. Progress - One of the core values of HACLA. It means the authority places more emphasis on planning and achieving its future rather than reliving its past. It impacts the performance review process by emphasizing planning, goal setting and future outcomes.
13.23. Rating Period - Six or twelve months for new, probationary employees or employees promoted to a higher job classification. Twelve months for all other employees unless re-set consistent with Personnel Rules, MOU's or the HACLA Compensation Plan. Same as performance review period.
13.24. Review period - Same as rating period. May be spelled out in labor agreements but normally starts at the employee's work anniversary and runs twelve months.
13.25. Self review form - Ablank employee review form to be completed by the employee using the agreed-upon goals to be provided, if used, to the supervisor for information only.
13.26. Supervisor Advisory Committee - A committee of employees and managers chosen and trained by the Human Resources Department on the performance review process and forms and who are available to assist supervisors conduct successful goal setting and reviews.
13.27. Work Load Indicators - Specific, measurable and achievable outcomes that support organization and department goals .
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If, at any time you would like to share your ideas or opinion, please E-mail us at MSOD@AOL.com
The Performance Planning and Evaluating Form
Elements of the Performance Planning and Evaluating Form
(The printer will adapt these elements into a two page, two-sided side-ways form)
Part A - Work Load Indicator Scales
| Work Load Indicator-Objective-Task | Achievement | Comment |
Key work load indicators are derived from (1) Organizational and HUD requirements and plans (2) Department and Divisional translation of those requirements and plans and (3) Supervisors translation of Department and Division requirements; they are listed in priority of importance. Each indicator listed will indicate measurable outcomes in terms of what "standard" performance will look like to the individual employee. After the rating period the supervisor will indicate what level of performance was performed during the rating period in the "Achievement" area and make any comments regarding mitigating circumstances, next steps, qualification of ratings and the like in the "comments section". These results or lack of results shall be explained in the "comments" section.
Part B - Individual Goals
| Individual Goal | Achievement | Comment |
Individual Goals are derived from job descriptions, lists of duties, work load indicators, goals of the department-division-work unit, career planning or from discussions between the supervisor and employee about outcomes both the supervisor and employee want to work toward achieving during the rating period. They may further break down and customize work load indicator goals listed in the first part of the performance plan (above) or deal exclusively with matters the employee wants to work on.
PART C - HACLA Core Competencies
Employee's knowledge of and approach to satisfying customer service needs.
Above Standard - Goes above and beyond required job duties to assure internal and external customer needs. Puts the needs of internal and external customers above the employee's own needs and treats employees and others in an exemplary fashion.
Standard - Puts the needs of the external customer above his or her own needs. Balances the needs of the internal customer with their own needs.
Below Standard - Puts his or her own needs above those of the internal or external customer; substantiated complaints of treating employees or customers badly.
Employees ability to begin and follow through with a task without prompting or direction from others.
Above Standard. Always initiates or does whatever is needed without being asked.
Standard. Does what is asked or assigned and identifies better ways to do work.
Below Standard - Doesn't do anything extra or fails to follow through.
Employee's ability to take ownership of the task and take corrective actions as needed.
Above Standard - Accepts personal feedback and takes corrective action when some thing does not go the way it should.
Standard - Accepts personal feedback and suggests steps for improving the situation when something does not go the way it should.
Below Standard- Blames others, rarely accepts criticism or sees feedback as criticism.
Employee's ability to exchange ideas, information and messages, orally or in writing, in a clear, courteous manner.
Above Standard - Work rarely requires guidance or correction by the supervisor or clarification by others.
Standard - Written and oral products are clear, organized, responsive, thorough, technically and grammatically correct and meet the objectives of the assignment and the needs of the job. Work may require some guidance or correction by the supervisor or clarification by others.
Below Standard - Written or oral products are often disorganized or require extensive editing, rewriting or assistance from supervisor or other staff.
Employee's ability to complete a specified amount of work or task.
Above Standard - Consistently takes initiative and completes work before established deadlines and can absorb special assignments with out any disruption of normal workload.
Standard - Completes work by established deadlines and can absorb additional assignments without serious disruption.
Below Standard - Neither ompletse work by established deadlines nor absorbs additional assignments without serious disruption of normal workload.
Employee's ability to meet the pre-determined standards and requirements of work or tasks.
Above Standard - Is successful in handling unexpected or difficult situations independently without supervisor's intervention or without overstepping authority. Work seldom has to be modified or redone. Frequently sought out by others as a source of sound and expert advice.
Standard - Work is substantially complete but sometimes work needs to be redone or modified.
Below Standard - Supervisor or others often need to be involved to cause the improvement or completion of work.
Attendance - Sick Leave Useage
Above Standard - Uses less leave than sick leave accumulated for the rating period and below average work unit useage (if measurable).
Standard - Uses no more leave than that accumulated for the rating period.
Below Standard - Absences greater than leave accumulated during the rating period.
Part D - Overall Evaluation
| Unsatisfactory | Improvement Needed | Standard | Above standard | Outstanding |
The Overall Evaluation is based upon the entire rating. The supervisor includes comments as to why the supervisor has reached this rating. If the overall evaluation is "Outstanding" or "Unsatisfactory" the supervisor will submit a letter to the reviewing manager to that effect. Guidelines will suggest that if the evaluation has one "Below Standard" rating for any given factor then an overall rating of "Improvement Needed" will result. If there is more than one "Below Standard" rating then an overall rating of "Unsatisfactory" results. Likewise, if all individual factors are "Above Standard" then an "Outstanding" overall rating is indicated.
Part E - Competency Development Plan
| Competency | Development Plan | Dates and Milestones |
The supervisor lists the competencies that the supervisor and the employee believe need to be developed during the next rating period. Specific steps, milestones showing accomplishment and dates expected for accomplishments are recorded.
Part F - Employee Comments:
The employee is invited to record comments regarding the evaluation and the evaluation process. The employee may also submit a written memo including any comments that will be attached to the evaluation form. The employee signs the form acknowledging that the employee has received it. The supervisor and reviewing managers also sign the form, first agreeing to support the performance plan and agreement and then to indicate agreement with the evaluation.
User Manual
Introduction
This manual is for:
(1) Trainers who will teach others in the HACLA Organization to conduct Performance Agreements and Reviews (PARs), and
(2) Supervisors who will conduct Performance Agreement and Reviews.
If you are reading this manual, you must be getting ready to prepare for and conduct a Performance Agreement and Review (PAR) or train others to prepare for and conduct a PAR. This is your guide for doing so. We've done our best to design this manual so that in structions are clear, concise and relatively easy to understand, use and train others to use.
This means that a nonprofessional trainer, with some preparation should be able to conduct a training session and look good in the process. The average person takes eight hours to prepare the first session, and very little time thereafter. The actual PAR training should last about four hours. Additional Path of Dialogue training to assist the par ties have a successful performance planning and review process will be provided by HACLA trainers, supervisors and others in the future.
If you are training others on conducting PARs:
Here's what you'll be doing to get ready. First, you'll read this manual. It explains how to prepare for and conduct a PAR. Next, you will pick up materials you'll need to train from the Human Resources Department. This includes video tapes, practice scenarios, overhead transparencies and extra copies of the forms. HR will help you team with another person when you are doing your first training as this alleviates some of the pressure by sharing the burden. If you would like to practice delivering a training session before you do one, Human Resources will draw a group from HACLA Trainers or Cheers to be your "test" trainees.
Throughout this manual there will be special tips for training noted with this icon ...2
If you are a supervisor about to conduct a PAR:
Here's what you'll be doing to get ready. First, you'll read this manual and the PAR Overview and Policy. The manual explains how to prepare for and conduct a PAR. You should have received a blank PAR form from the Human Resources Department at least (45) forty-five days before the anniversary date of the employee and have scheduled an interview with the employee on his or her anniversary.
You may have suggested or the employee may have suggested that (1) there be a self evaluation or (2) a peer evaluation conducted prior to your meeting on the anniversary date with the employee. If you and the employee have agreed to do this be sure to fol low the instructions for accomplishing this before the anniversary date meeting.
Throughout the manual there will be special tips, warnings or alerts on planning and conducting a PAR and they will be noted with this icon: M
I - Underlying principles and assumptions
Underlying principle of the PAR process - The Law of the Hog
The story goes like this. A couple of management consultants were doing a site study at a Northwest Lumber mill. They were driving up the mountain when they saw an ambulance coming down with a badly battered man in the back. When they got to the mill they inquired, "was he industrially injured?" "Naw, answered a lumberjack, Bart gave his supervisor some lip and the supervisor beat the crap out of him". The consul tants could scarcely believe this and asked others about the incident; all had the same story adding that they thought Bart deserved it and that the punishment was fair! "What do you do when you disagree with what a supervisor does", asked the amazed consul tants? "We've got the Hog", they replied." "What's the Hog?" asked the increasingly nervous consultants. Here's how the lumber jacks explained it. "When the logs are lifted from the pond, they are run through huge saws which eliminate the round pieces so they can get to the best quality and most expensive wood cuts just under the round waste, the veneer wood. The round waste pieces are fed by a conveyor into a huge monster that pulverizes the waste into sawdust and spits the sawdust into the furnace; that's the Hog!" "Do you mean to tell us," asked the consultants incredulously, "that the men throw unfair su pervisors into the Hog???" "What do you take us for, responded the surprised lumber jacks, "we throw the good veneer into the hog!"
The story emphasizes the importance of fairness in an employee's mind. The PAR process is predicated upon achieving a state of fairness whereby the supervisor and employee can exchange information that increases the employee's usefulness to the or ganization and the employee feels the process works to increase his or her personal competencies.
The Performance Agreement and Review (PAR) process aims to build trust and integrity between Management, Supervisors and employees and help the organization and its members achieve and maintain a high level of productivity and harmonious working relationships through improved communication and dialogue.
Both supervisors and employees agree that regular and frequent evaluation of an employee's performance is one of the most effective ways to achieve and maintain high quality performance and high employee morale. Employees want to know how they are doing; how their contribution assists the organization accomplish its overall goals and mission. Top managers and key organization stakeholders want to be assured that the organization is focused and making progress on achieving its mission and purpose.
The performance evaluation process provides a means to evaluate the performance of employees by providing supervisors and employees with measurable performance criteria based upon specific job responsibilities, necessary competencies and performance expectations. These responsibilities, competencies and expectations will help to ensure that all employees and supervisors are aware of the performance standards that apply to departmental goals and to their specific jobs.
This evaluation process has been designed by managers, supervisors, employees and their representatives to achieve a world class organization characterized by Progress, Integrity and Productivity.
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Purpose of the PAR process.
¥ Provide answers to at least two questions: "How am I doing?" and "where do I go from here?"
¥ Improve communication between individual employees and their supervisors regarding performance expectations.
¥ Increase understanding of departmental goals and enhancement of unit and organization effectiveness.
¥ Provide for the development of employees in specific ways, to help employees improve performance in the current job and provide assistance to the individual who wishes to acquire the knowledge and ability needed to become eligible for a higher position.
¥ Provide input to the supervisor on how their employees' perceive their supervisorial performance.
Thus, Performance evaluations should go beyond a review of perfor mance during the past review period. The process should also contribute to an improved relationship between the supervisor and employee characterized by a climate of continuous improvement, trust and dialogue.
This PAR is not merely a set of techniques for improving the organization, enhancing communication, building consensus or solving problems. It is based on the principle that conception and implementation are intimately linked with a core of common meaning. During this process people learn how to think together - not just in the sense of analyzing a shared problem...but in the sense of occupying a collective sensibility in which the thoughts, emotions and resulting actions belong not to one individual but to all of them together.
Trainers note!
All supervisors and employees will receive some form of dialogue training over the next twelve months. Good communication and dialogue skills are a prerequisite for achieving a state whereby employees, supervisors and managers are aligned; where each member of a work unit knows what he or she is supposed to do and what's best to do as they all see their role as part of the bigger whole.
An official evaluation form is not enough to accomplish the desired results. A quality evaluation system places significant responsibility on the supervisor. The evaluation form and process is just a tool for the supervisor to memorialize performance discus sions with the employee. The ongoing evaluation process is a central responsibility of a HACLA supervisor and requires the supervisor to make continuous observations and analysis of employee actions and have first-hand knowledge of the employee and the employee's work habits. The performance evaluation process is not a once-a-year activity. It is a continuous process with frequent feedback, dialogue and observation all culminating in the formal performance review. A continuous evaluation process as sures that there are no surprises during the formal review session.
There are significant advantages to the individual supervisor who prepares, plans for and provides performance evaluation as a continuous process:
¥ The employee knows in advance the basis upon which the employee is going to be evaluated.
¥ The supervisor and employee both agree on the job duties and evaluation criteria in advance.
¥ The evaluation strengthens the relationship between the supervisor and the employee.
¥ Regular feedback has a self-correcting characteristic which helps people set realistic yet challenging goals.
¥ Training needs can be clearly identified.
¥ The employee's ability to see organizational problems and assist in resolving them or seeing how the employee's work fits into the overall goals of the Housing Authority will make the employee experience more value to the work unit and to the organization.
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Unique features.
These are highlights of the unique features of this evaluation system and process. Some HACLA managers have had success incorporating some of these features in the past.
It is a three step process. The first step is to discuss and articulate specific desirable goals and outcomes; the second is the on going measurement, coaching and assistance in achieving goals, and the third is memorializing discussions held during the rating period and recording evaluations.
The system provides for correction or changes to goals and outcomes based upon changing circumstances any time during the rating period.
It ties into established work load indicators.
It allows supervisors and employees to customize individual goals and outcomes for the rating period.
It encourages on-going, continuous performance feedback sessions between the employee and supervisor.
It anticipates that there will be a cadre of specially trained Authority personnel who will be available to assist the parties.
It encourages the continuous review and up-dating of classification specifications and position descriptions.
It requires a rating supervisor's manager to get personally involved if there is disagreement between the two levels of supervision regarding an evaluation.
It requires the parties to spell out specific criteria for successful performance.
It includes core competencies (behavioral anchored rating statements)that all HACLA employees and managers will be evaluated upon.
It asks for individual competencies to be developed for high individual and organizational performance.
It anticipates an annual organization goal setting process that will guide departmental and work unit goal setting (work load indicators) which, in turn, will be translated into individual employee objectives.
It anticipates the use of HR tickler software and an intranet that will track rating form distribution and collection.
It anticipates the use of the intranet to make policies, procedures guidelines and the forms available to supervisors and employees on line.
It is flexible enough so additional formats can be adapted (there are currently two, one for Police and one for all others).
Trainer note!
This would be a good opportunity to lead a discussion on how the PAR differs from the more traditional approach to employee evaluations.
II - Getting Ready for the Performance Agreement and Review meeting.
The story goes like this. Dorothy asks the tin man "which is the right road?" The Tin man responds, "all roads are the right road. It just depends on where you want to go!"
During the course of the rating year, supervisors and employees keep notes as to how progress is being achieved on goals and objectives set at the beginning of the rating pe riod. This is done so there will be no surprises when the supervisor has the annual meeting to discuss new performance objectives and review the performance of previously set objectives. Preparation for the PAR meeting is all year round so not a lot of time is spent in review. Most of the time will be spent setting and agreeing upon new objectives.
(1) Here is how the supervisor prepares for the planning part of the meeting. The supervisor should:
Check with the supervisor's next higher level of supervision to secure updated department goals and objectives.
Based on department goals and objectives list objectives for the employee in draft form.
Collect and review all notes about actual performance and work behavior conversations with the employee during the rating period.
Supervisor alert!
Employees should know the supervisor is keeping notes during the year and should be allowed to keep their own notes. An employee can request to see the notes in the file at any time. Notes should not be viewed as a secret file. Keep short notes on examples of both positive and negative performance. Remember, immediate feedback to an employee is important. Notes should reflect verbal feedback given to the employee and should only serve as reminders to be used for the annual review and should be destroyed after the annual review has been conducted unless a progressive discipline process is occurring.
Review the official classification specification and position description, if any, for accuracy.
Supervisors alert!
Official classifications maintained in the Human Rsources Department are sometimes out of date. If the specification substantially covers the current position duties then you can use it without any major problems. If there have been substantial changes to the work, or if the specification is out of date, contact the Human Resources Department immediately for further information and guidance.
Review the last performance evaluation of the employee.
Assemble necessary forms, work papers and instructions received in advance from the Human Resources Department.
Trainers note!
This would be a good time to lead a discussion about the importance of classification specifications and position descriptions.
(2) Here is how the supervisor should prepare for the review part of the meeting.
The supervisor should:
Decide if the supervisor is open to a peer review of the employee if the employee should ask for one. If the employee and supervisor agree to consider peer information, then a copy of the employee's PAR for the rating period will be given to all members of the work unit with whom the employee is in regular contact. The supervisor will ask for at least three peer ratings and three subordinate, if any, ratings to constitute a peer group. The peer group must submit their ratings to the supervisor at least two weeks prior to the anniversary date. The supervisor may take into account peer ratings but is under no obligation to be influenced by such ratings.
Trainers note!
Peer evaluation and self evaluation is a pretty complicated process. There should be separate training provided for supervisors who are open to such processes. We believe the peer evaluation should be encouraged wherever a work unit is moving toward "teams" but is probably not all that valuable for traditional work units.
Decide if the supervisor is open to an employee self evaluation. If the employee and supervisor agree to consider a self evaluation, then a copy of the employee's PAR for the rating period will be given to the employee thirty (30) days in advance of the employee's anniversary date. The completed self evaluation must be turned into the supervisor at least two weeks prior to the anniversary date. The supervisor may take into account self evaluation rating but is under no obligation to be influenced by such rating.
Trainers note!
Self evaluation is fairly controversial among the "experts". While employee input into their own review is important, and we recommend every evaluation start with that input, a formal self evaluation may set up employee expectations that will have to be contravened. Supervisors should receive special training if they intend to encourage self evaluation.
Collect and review all notes about actual performance and work behavior conversations with the employee during the rating period.
Collect average sick leave usage data from the work unit for the rating period.
Do an honest self appraisal as to how well the supervisor believes he or she assisted the employee achieve the employee's objectives.
Review all commitments the supervisor made to the employee, commitments the employee has made to the supervisor, any intervening circumstances that may have impacted successful performance, and all other matters that the supervisor believes may come up in the review part of the meeting.
See to establishing a friendly, comfortable, planned meeting time and place for the employee, giving the employee ample time to make arrangements to attend the meeting.
Trainers note!
Good time to ask class, what things could be done to make for a good conversation; what would make for a bad one. Ask half the class to come up with reasons a good environment would be benecial and why a bad environment could be a problem.
Collect salary step information from the Human Resources Department if there is going to be a step increase as a result of completing the review successfully.
Seek coaching assistance from the Human Resources Department if there are any anticipated difficulties.
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III - Conducting the Performance Agreement and Review meeting.
The story goes like this: "How do you know how you are doing around here", asks the new employee. "Keep your head low and stay out of trouble," responded the senior employee..."the only way you find out how you're doing around here is when you screw up!"
When the actual interview is conducted it is characterized by two things: (1) the super visor and employee will spend an almost equal amount of time discussing the plan and rating, and (2) about 25% of the total time will be looking back in review of past ac complishments and 75% spent planning new objectives. The reason only 25% of the time is spent in review is that there should be few if any surprises in the review since the employee and supervisor have been communicating about the goals and objectives continuously throughout the rating year (see Part IV).
The meeting will be divided into two parts. The Review of the past year's performance agreement and the creation of new performance objectives.
(1) The review portion of the meeting:
The meeting should start with the supervisor making the purpose of the meeting plain. The employee is told that he or she will be given the opportunity to respond in writing to any review information recorded by the supervisor.
The supervisor will begin the review by asking the employee if the employee would be willing to evaluate the supervisor on the supervisor's support of the employee's accomplishment of goals and objectives in the PAR. The employee will also be invited to make mention of the level of supervisory support in the PAR comments section if the employee so desires.
If the employee has done a self evaluation or there is peer evaluation information this information will be discussed first.
Supervisor alert!
There is disagreement among the "experts" as to whether or not you should present your review before you ask your employee's opinion. Some believe that you should state your position first, so the employee knows what you think before asking for his or her opinion (thereby not trapping the employee into an unduly negative self evaluation). Further, these experts believe that it puts the manager in a stronger position during the discussion that follows. We favor asking the employee to present his or her evaluation first as this shows that you care and are just as interested in what the employee thinks as you are in your own evaluation.
The supervisor will first discuss information about part A - objectives tied to work load indicators. The supervisor will rate the employee as "meeting standard" if the objective was substantially accomplished. If the objective was not accomplished in a satisfactory manner, the supervisor will rate the employee "below standard" and provide comments. Likewise, if the employee either accomplished more than what was set out or accomplished it in a faster fashion, the supervisor may rate the employee "above standard" and provide comments.
The supervisor will next discuss information about goals set in Part B - Individual goals. Any rating above or below standard will be explained in the comment section.
The supervisor will then share his or her rating of the HACLA core competencies in Part C. Any rating above or below standard will be explained in the comment section.
The supervisor will take all information provided by the employee into consideration, making any changes to the PAR the supervisor deems appropriate.
The Supervisor will finally make an overall evaluation of the employee's performance in part D. If there is any area which is rated below standard the employee may not receive an overall evaluation better than "improvement needed". If all areas of the PAR are rated above standard the employee can not be rated less than "outstanding".
It is important to discuss how well the employee has applied his or her abilities to performing the job. The discussion should answer questions such as:
a. Could more progress have been made with greater effort?
b. Was the employee working at full capacity in trying to meet his or her goals?
c. Is the employee's progress acceptable (standard) in light of any unforeseen obstacles that may have effected results? Which obstacles?
The Competency Development part of the PAR - Part E will not be rated, but note will be made of progress achieved toward the development of agreed upon competencies.
Ask the employee for the employee's reaction to your assessment. Now it's time to find out what the employee thinks about your assessment of his or her perform-ance. First you listened to his or her opinion, and then the employee had a chance to find out what you thought. Now comes the moment of truth in which you'll find out if you both view the performance in the same way.
Supervisor alert!
As you listen, be open to the employee's response. This is an opportunity to show the employee your good intentions. The employee may agree with your assessment or may have a different viewpoint. Either way, it's important to really listen. Give the employee the opportunity to support his or her viewpoint. Show that you have an open mind. The employee may have documentation that you don't have or may have a different interpretation of what the results mean. In an effective discussion, it's important that you apply good listening and dialogue skills. Handled properly this part of the conversation can help you and your employee better understand each other. It can also lay the groundwork for successful conversations during the upcoming review period.
The Supervisor first signs the review and asks the employee to acknowledge receipt of the review with his or her signature. If the employee refuses to sign a notation is made in the employee's signature block to that effect.
The completed PAR is sent to the next higher level of supervision for review and signature. If the next higher level of supervision wishes any aspect of the PAR to be changed that higher level supervisor will meet with the reviewing supervisor and the employee to discuss and describe the changes.
The complete PAR is sent to the Human Resources Department for filing in the employee's official file. A copy may be made and kept in the work unit and in the Department file and a copy given to the employee.
Supervisor alert!
The Equal Employment Opportunity Commission (EEOC) requires that any measurement used to differentiate between employees must be valid and fairly administered. The Americans with Disability Act (ADA) suggests that performance appraisals for people with disabilities will not be conducted any differently than those for other employees. That's why it's important reviews focus on objectives and requirements that flow from the employee's classification specification or position description. Having specific goals that use wording found in the classification specification or position description also helps ensure that the appraisal does not focus on areas that could be considered discriminatory.
Trainers note!
Have the class members rehearse in pairs how they would go about setting up a Performance Review meeting. Ask other members of the class if they have suggestions on how the review session can be more productive for both of the parties. Look for how the supervisor sets up and starts the meeting, explained its purpose, handled feedback and questions, handled differences, and got input from the employee as to the quality of the PAR meeting. You may want to use an evaluation form and do this exercise after the supervisors have been trained in dialogue skills later in the training session.
(2) The Performance Agreement part of the meeting.
The PAR process will only be successful if the supervisor and employee set goals, objectives and, for emplyees doing the work, tasks. You need to do this together so there's mutual agreement about what the employee is expected to accomplish. The communication between the supervisor and the em ployee at this point sets the stage for everything that will happen right up until the time of the formal goals and objectives review discussion. Without previously agreed-upon goals, it will be difficult, if not impossible, to review performance in an objective fashion and the appraisal discussion can easily wind up being more of an argument about who was supposed to do what, for whom, and by when.
In setting goals and objectives the following questions must be answered:
How will the supervisor assure that the performance agreement is tied to the work load indicators the supervisor is accountable for?
How will the supervisor assure that the performance agreement is tied to the employee's job (classification specification)?
What will the supervisor do to assure goals, objectives and tasks are fair?
What will the supervisor do to ensure that the plans meet legal requirements?
What will the supervisor do to help the employee meet the goals and objectives?
How will the supervisor measure the employee's progress in meeting goals, objectives and accomplished tasks?
What will the supervisor propose as individual work goals for the employee to work on?
What are the developmental competencies the supervisor would like the employee to work on?
(1) Tying the goals and objectives to work load indicators.
First, the supervisor must either get or know the work load indicators for which the supervisor will be held accountable in his or her review. Using a work sheet the supervisor should plan which members of his or her work unit must perform which tasks by when in order for the supervisor to meet his or her goals and objectives.
Trainers note!
Have supervisors practice translating and distributing their work load indicator objectives to members of a hypothetical work team. Provide a work sheet with basic information.
(2) Tying the goals and objectives to classification specifications and position descriptions.
The supervisor should review the classification specification kept in the Human Resources Department. A copy of the appropriate specification should be attached to the PAR form and this instruction manual. When drafting goals, objectives and task statements try and use the words, phrases and descriptive material in the classification specification as closely as possible. If there is a separate position description the supervisor can also use language and notions found there. Position descriptions can be created at the Department level and be tailored to meet the work unit's unique requirements for each position within a classification; they can not depart materially from the concepts found within the classification specification for the title of the employee.
Trainers note!
Ask the class to review a sample classification specification and create some hypothetical objectives. You may want to do this exercise after the discussion of SMART goals found below.
(3) Supervisors must create goals that are fair and objective.
The supervisor sets goals that are discussed with the employee. If the employee feels the goals are either unachievable or unfair, the supervisor listens and changes the goals if he or she agrees. The supervisor looks at goals and objectives set for other employees in the work unit and assures that they are relatively uniform in nature and difficulty for similar kinds of jobs. The best goals are SMART: Specific, Measurable, Achievable, Realistic and Timely.
Trainers note!
This is a good time to conduct a goal setting session using the SMART format. Use an open-ended worksheet that asks the following questions for each goal or objective statement: (a) what's the task to be accomplished, (b) what will it look like when it is accomplished and (c) when must it be completed. Use the SMART test for each goal, objective or task statement. Ask the class to revise the goal statements below so they meet the criteria of addressing a specific task, measurable outcome and time frame:
"Improve the quality of communication between our employees and clients."
"Decrease the number of complaints from customers."
(4) Plans must meet legal requirements.
Performance appraisals for people with disabilities will not be conducted any differently than those for other employees. That's why it's important that goals and the measurement of goals focus on objectives and requirements that flow from the employee's classification specification or position description. Having specific goals that use wording found in the classification specification or position description also helps ensure that the appraisal does not focus on areas that could be considered discriminatory.
(5) Supervisors set goals keeping in mind they will be expected to help employees achieve those goals.
The evaluation and review process begins with the employee being asked how did the supervisor assist the employee in achieving the goals and objectives. The supervisor, keeping this in mind, sets goals for which he or she will be able to provide assistance during the rating period. Asking the employee to do something for which the supervisor can not provide coaching, counseling and developing assistance is unreasonable.
(6) The supervisor and the employee will discuss how and when progress toward goals and objectives will be measured.
They will identify data sources that will let them know if the goal or objective is being met. Data sources may include sick leave records, reports to compliance or oversight agencies, feedback from customers or clients, information from higher management or other work units, information from organization reports, budgets, etc.
(7) The supervisor and employee will attempt to reach agreement on individual goals for the employee that may or may not directly relate to work load indicators.
Individual goals and objectives are recorded in Part B of the PAR. They are tailored to the individual needs of the work unit and the unique requirements of the employee. For example, the employee may want more time to develop a particular skill or talent and wants the supervisor's support. The supervisor may want the employee to place a different priority on work or want certain job duties performed in a different or more timely fashion. These are things that are uniquely tailored to the individual. There does not have to be agreement, the supervisor has the last word, but an attempt should be made to reach agreement.
Supervisor alert!
It is easy to confuse the difference between goals, objectives and tasks. It will be more beneficial for you to list specific tasks which your employee is expected to perform, in the time and under the circumstances you describe. It may be less useful for you to dwell on the larger notions of department objectives and goals or the even larger notions of work load indicators. If your higher level supervisor supports goals for the tasks your employees must perform this usually works pretty to support goals, objectives and work load indicators of the department.
(8) The supervisor and employee will agree on the developmental competencies the employee will work on
Competencies are the unique collection of related knowledge, skills and abilities that affect a major part of one's job; that correlate with performance on the job; and that can be improved through training and development activity. The employee may want to maintain or improve current competencies or develop new ones. Supervisors make it a point to focus on what the employee has done well, build on strengths and encourage the employee to develop new strengths and prepare for organization advancement and agency-wide contributions. No competency can be listed in this section unless the employee agrees this is something the employee wants to work on. If there is not agreement and the supervisor wants the employee to work on something this should be listed under individual goals in PAR Section B.
Trainers note!
This would be a good opportunity for the class to call out sample competency development ideas to assure that everyone understands the difference between a competency and a work related goal or objective.
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Part IV - Higher levels of review
The story goes like this: The lioness sleepily watched over her pride playing in the late afternoon sun. One of her cubs playfully took out a hill of red killer ants and came yelping back to the lioness. She went over to the ant hill and with one stroke of her massive paw destroyed the ants roaring, "when you hurt the ones in my care you hurt me."
The Performance Agreement and Review go to the next higher level of supervision for approval.
Supervisor alert!
In most cases the supervisor discusses the employee rating before having a meeting with the employee. This helps prevent any misunderstandings between the supervisor and the next higher level of supervision.
At the beginning of the cycle the performance objectives are first agreed-upon by the supervisor and employee and then sent to the next higher level of supervision for signature. When the next higher level of supervision signs and returns the PAR to the supervisor he or she is agreeing:
That the goals and objectives set are fair and reasonable.
That the goals and objectives are not discriminatory; that they are consistent with other goals and objectives from this and other supervisors.
To support the supervisor in the attainment of goals and objectives.
To evaluate the supervisor on how well the supervisor assists the employee in accomplishing the goals and objectives.
If the higher level of supervision wishes to make any changes, these changes will be discussed with both the supervisor and the employee. A final PAR will then be sent to Human Resources Department, to the supervisor, to the Department file and to the employee.
At the end of the PAR cycle, the next higher level of supervision receives the complete PAR review and signs indicating agreement with the review. If there are any suggested changes the next higher level of supervision will convene a meeting with the original reviewing supervisor and the employee in an attempt to reconcile any differences of opinion.
The next higher level of supervision will record any unresolved differences in a letter addressed to the Executive Director. The letter, PAR and any comments from the employee will be placed in the employee's permanent file will go through the chain of command and a copy given to the employee and supervisor.
Supervisor alert!
It would be most unlikely that a higher level of supervision would alter a PAR since the supervisor and employee have been in continuous communication and dialogue about the PAR during the rating year. Such an alteration might occur if the higher level of supervision believes the supervisor has not been in continuous communication and dialogue with the employee, which will result not only in an alteration of the PAR, but an "unsatisfactory" performance rating of the original supervisor as well.
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Part V - The Competency Development Part of the Meeting
The story goes like this: A small child was drawing a picture and his teacher said, "that's an interesting picture. Tell me about it!"
"It's a picture of God"
"But nobody knows what God looks like."
"They will when I get done."
A competency development plan is recorded in the PAR Section E. The actual development plan may be written out on a longer sheet of paper and summarized in Section E.
When reviewing the developmental plans of your employees, be sure to consider the following features of a successful competency plan:
¥ Specificity. Goals and activities should be stated specifically and concretely so that both you and the employee know when objectives have been attained. Be sure to describe the skills or knowledge to be gained as a result of the assigned activity.
¥ Limited focus. Include no more than three major development areas in the plan.
¥ Commitment. Employees are more likely to be committed to goals they choose and plans they develop, yet the goals and plans must fit with your objectives and those of your team. In addition, you must be committed to providing the opportunities and resources needed by the employee to fulfill the plan; otherwise, development plans become another source of bureaucratic busywork.
¥ Small, reasonable steps. Because people learn in small steps, expecting too much too soon can discourage progress. Divide developmental activities into small steps that lead to an ultimate goal.
¥ On-the-job opportunities. The most powerful development occurs on the job. It's important that managers and employees use job responsibilities as opportunities for development.
¥ Support. Provide support in the form of financial resources, time, feedback, reinforcement, encouragement, and other forms of coaching. Tailor your support to the individual's learning style.
¥ Specified time frames for accomplishment. Employees must have an established time frame for each task. Schedule target dates for completion and checkpoints for progress review.
¥ Adequate variety. Employees will be more enthusiastic about their plans if they include a variety of activities. Take care to provide a mix of on-the-job activities, readings, course work, evaluations, and other activities identified by the employee.
VI - In between planning and reviewing - all year long.
The story goes like this: Jack and Jill were married for over twenty-five years. One morning Jill goes to Jack and says, "I've had it, Jack. I want a divorce!" Jack staggering, pleads, "Jill, WHY?" "For the past ten years you haven't lowered the toilet seat, " Jill complains, "and I'm not going to sit on a cold porcelain doughnut any more!?!" "Why didn't you tell me,",implored Jack "You would have known if you really loved me," Jill glowered.
The most important part of the PAR process is the time spent in between the Performance Agreement (goal setting) and the final review, twelve months later in most cases. The questions that will need to be answered are:
Did the supervisor provide regular feedback on the employee's performance since the last formal review?
Was the supervisor aware of any obstacles that may have prevented the employee from meeting his or her goals?
Has the supervisor provided assistance to help the employee meet goals?
Has the employee willingly come to the supervisor with questions?
Has the supervisor's performance served as a role model for the employee?
Has the supervisor engaged any training that would improve their communication and dialogue skills during the rating period?
Have any of the goals, objectives, or tasks changed that affect the employee been communicated to the employee?
What kinds of coaching, counseling, developing and grooming activities took place?
How were interruptions and external events that might impact goal achievement handled?
Trainers note!
This is a good time to lead a discussion on the importance of coaching, counseling, developing and renegotiating PAR performance during the rating year. The Human Resources Department has special training materials for this purpose.
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Part VII - Probationary Employees, Temporary Employees, Regular Part-time positions, Working out of classification and leaves of absence
The story goes like this: William Hazlitt (1778 - 1830) said it all. "Even in the common affairs of life and love, friendship and marriage, how little security have we when we trust our happiness in the hands of others."
(a) Probationary Employees
Employees may be probationary as a result of (1) new hire, (2) recent promotion or (3) disciplinary action.
Probationary employees receive a PAR twice during their probationary period, usually once in the middle of the period and once just before the end of their probationary period. The PAR is a part of the examination and as such must be "passed", that is achieve at least a "meets standards" overall rating in order for the probationary employee to be taken off probation.
The only part of the PAR that must be completed for the Probationary employee is Part C - HACLA core competencies. It is assumed that the probationary employee will be grounded in and evaluated on the core competencies that every department believes are essential for success. During the probationary period other goals may be set for the employee and added to the PAR consistent with all the provisions herein.
(b) Temporary employees
The underlying philosophy of the PAR is that only someone who is directly supervising and establishing a work relationship with an employee may review their work. We do not take information from another supervisor and use it in our ratings; that is hearsay. This is true for temporary employees as well.
If the temporary assignment is for an indefinite period of time, or the period of temporary assignment is too short for full goal setting and review, the temporary employee will have his or her performance reviewed using Part-C, Core Competencies, of the PAR. This information can be attached to the employee's regular PAR for the full rating period, done by the employee's regular supervisor.
Supervisor alert!
Temporary employees are at-will employees and may be terminated at any time without notice or rights or a hearing. Care must be taken not to establish a contractual right through the PAR. If questions consult with the Human Resources Department.
(c) Regular part-time employees are employees who work less than 40 (forty) hours a week.
Regular part-time employees are covered by the PAR provisions in the same way as regular and probationary full time employees.
(d) Employees on leave.
If an employee is on paid leave all PAR provisions herein apply. If an employee is on an unpaid leave in excess of fifteen days their their anniversary date and PAR review period will be adjusted accordingly.
(e) Working out of classification (specification).
If an employee is authorized to work in a higher level position for ten or more days the out-of-class supervisor will prepare a new PAR Part-C, core competencies, to cover that period the employee is working out of classification. Such PAR will be attached to the regular PAR for the rating period.
Trainers note!
This would be a good place to discuss using only part of the PAR's six parts. There are several cases where we will use only Part-C because it would be too cumbersome or time-consuming to get into a full goal setting or ongoing review process.
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Part VIII - Preparing yourself and environment for the review meeting
The story goes like this: When John was asked why he was so hard on his employees but was always making big mistakes himself he responded. "I take great care to fairly and objectively rate my employees on their actions ". "But what about you", his Boss asked? John thought, then replied, "you know me, boss, I rate others on their actions and I want you to rate me on my intentions!"
Preparing yourself:
Dialogue begins with ourselves. In this case the supervisor asks if he or she has evaluated his or her own performance as it relates to the employee's performance?
What have you done to improve your dialogue and communication skills?
What have you done to improve your supervisory skills?
What kinds of feedback are you getting from your higher level supervisor and what are you doing about it?
What are you doing to prepare for an objective PAR meeting if you don't like the employee, suspect the employee is going to resist the process, or the employee is going to avoid taking any responsibility for their share of results?
How do you plan to experience and convey a positive attitude?
Do you know how to recognize when you are defaulting to habitual and ineffective communication strategies when you interact with