Section 3 Personnel


Policy 3-3 EMPLOYEE PERFORMANCE EVALUATION



DISTRIBUTION:    Departments/Divisions

SUBJECT:    EMPLOYEE PERFORMANCE APPRAISAL

PURPOSE:    To maintain a revised formal system of employee performance appraisal.  To set forth occasions of rating, categories subject to evaluation, define performance rating and provide information on the appraisal process.

BACKGROUND:    The purpose of this system of Employee Performance Appraisal is to help develop a better City service and employees through periodic appraisal and recording of the employee’s performance on the basis of consistent standards.  Its objective is to let management and the employee know how the employee is performing job duties, strong points as well as those which are weak, giving recognition for good work and providing a guide for improvement.  Performance should be taken into consideration in matters relating to transfer, demotion, removal, promotion and lay-off.  It should provide a guide for mutual work planning and review and an opportunity to convert daily impressions into a more objective history of work performance, followed by open-minded discussion of the performance with the employee.

PROCEDURES:    1.    Occasions of Evaluation
                
    Performance appraisals should take place subject to these occasions:

A.    Introductory Employees: After every three (3) month period of time during the introductory period for a new or promoted employee.

B.    Annual Appraisal: Each regular and each regular part-time employee will receive a performance appraisal at least annually during the month in which their position anniversary date falls.  The position anniversary date is defined as that date on which the employee began their current job.  I.E., an Equipment Operator I hired July 1, 1997, would have a position anniversary date of July 1, 1997.  If the same individual is promoted to Equipment Operator II on December 1, 1997, the position anniversary date would change to December 1, 1997.
                
C.    Supplemental Appraisal: Management, at its option, may perform supplemental performance appraisals at any time.

D.    Employee Requested Appraisal: The employee has the option to request and receive a performance appraisal at time intervals not to be more often than once every 30 days.

E.    Employee Separation: Whenever a regular employee or regular part-time employee separates from City service.

2.    Categories of Performance Subject to Appraisal

Employees are subject to basic categories of performance appraisal which are related to the occupational grouping to which their position is assigned.  The individual categories for each occupational grouping are:

A.    Department Directors and Management Operations:
(1) Planning
(2) Budget Management
(3) Organizing
(4) Directing/Leadership
(5) Controlling
(6) Managing Change
(7) Employee Development
(8) Judgement/Problem Solving
(9) Interpersonal Skills
                    (10) Communication

B.    Professional:
(1) Quality of Work
(2) Volume of Work
(3) Job Knowledge
(4) Communication
(5) Adaptability
(6) Analytical Skills
(7) Cooperation
(8) Dependability
(9) Innovation
(10) Judgement
(11) Planning and Organization
                    (12) Project Management

C.    Technical:
(1) Quality of Work
(2) Volume of Work
(3) Job Knowledge
(4) Communication
(5) Adaptability
(6) Analytical Skills
(7) Cooperation
(8) Use of Materials and Equipment
(9) Compliance with Rules, Policies and Directives
(10) Customer Service
(11) Punctuality

D.    Clerical:
(1) Quality of Work
(2) Volume of Work
(3) Job Knowledge
(4) Communication
(5) Customer Service
(6) Compliance with Rules, Policies and Directives
(7) Attendance/Punctuality
(8) Adaptability
(9) Teamwork/Cooperation
(10) Initiative

E.    Labor/Trades:
(1) Quality of Work
(2) Volume of Work
(3) Job Knowledge
(4) Communication
(5) Safety
(6) Compliance with Rules, Policies, and Directives
(7) Attendance/Punctuality
(8) Care of City Property
(9) Personal Appearance/Neatness
(10) Job Attitude

In addition to the basic categories listed above, the supervisor and employee shall also choose between three (3) and five (5) additional categories related to the employee’s specific job.  The employee and supervisor shall annually decide on between three (3) and five (5) goals for the following year and the employee shall be rated on meeting the previous year’s goals. The choosing of these additional categories and goals shall be mandatory for Department Director, Management/Operation, and Professional categories.  They shall be optional for Technical, Clerical, and Labor/Trades categories based on mutual agreement for their use by the employee and supervisor.

3.    Ratings for Appraisal Categories

A.    Five basic ratings shall be utilized as follows:
                
Outstanding: Means exemplary performance far exceeding performance criteria.

Above Standard: Means performance which exceeds the level the supervisor normally expects.

Standard: Generally meets supervisor’s expectation on performance criteria.

Needs Improvement: Erratic performance on criteria, falling short of that normally expected and requires remedial attention.

Unacceptable:  Performance which must receive immediate attention and requires another appraisal within 90 days.

B.    Any employee who receives a rating of “Unacceptable” for overall performance must receive another appraisal in 90 days.  If the second appraisal also results in an overall rating of “Unacceptable”, the employee must be dismissed from City service.
            
4.    The Appraisal Process

A.    Step Increase or Annual Performance Appraisals

(1)    Review administrative policy 3-3 and the job description of the employee being evaluated prior to completing the Performance Appraisal Form.  Retrieve copies of the previous appraisal on which Individual Job Requirements (Section B) and Employee Goals and Objectives (Section C) were established.
(2)    Review the evaluation scale.  Complete the sections of the form related to Common Job Requirements (Section A) and Individual Job Requirements (Section B) by checking the box that best indicates the employee’s performance for each job requirement.  Support each rating with specific comments in the spaces provided. Complete the section related to Employee Goals/Objectives (Section C) by indicating the status of the goals/objectives listed.    
(3)    Complete the Overall Performance Rating (Section 6) and forward the form to the rater’s supervisor for review.  This review will be for consistency purposes.  Ratings shall not be changed.    
(4)    Schedule the performance appraisal meeting with the employee at least three days in advance.
 (5)    Retrieve the next Performance Appraisal Form from your file and bring it to the performance appraisal meeting.  With the participation of the employee, complete the sections related to Individual Job Requirements (Section B) and Employee Goals/Objectives (Section C) for the upcoming review period.  When completed, the employee and rater must sign these sections of the Performance Appraisal Form.
(6)    At the conclusion of the performance appraisal meeting, the rater and the employee must sign the completed Performance Appraisal Form for the current review period.
(7)    Route the completed Performance Appraisal Form for the current review period for signature approval.
(8)    The employee will be given a copy of both Performance Appraisal Forms.
(9)    If at any time during the review period adjustments need to be made to the next Performance Appraisal Form to reflect changing circumstances or performance requirements, the Performance Appraisal Form may be revised. However, the revised Performance Appraisal Form must be approved by the rater’s supervisor and refiled with the Personnel Department.

B.    New, Promoted, or Demoted Employees

(1)    Performance Appraisal Forms for these employees are sent out and should be completed within the first two weeks of their new position. The rater will review the entire Performance Appraisal Form with the     employee.  With the participation of the     employee, the rater will complete the sections related to Individual Job Requirements (Section B) and Employee Goals/Objectives (Section  C) of the Performance Appraisal Form by identifying individual job requirements and establishing goals/ objectives for the upcoming review period.  The employee and rater will then sign these sections.
(2)    The Performance Appraisal Form is routed to the rater’s supervisor for approval of the job requirements and goals/objectives that have been listed in the Individual Job Requirements (Section B) and Employee Goals/ Objectives (Section C) and filed with the Personnel Department.

5.    Relationship to Discipline
            
Performance appraisals are in themselves neutral in character and not disciplinary actions.  Their function is to document opinion on performance in a candid way.  However, an overall rating of unacceptable will result in a re-rating in 90 days.  If the second appraisal also results in an overall unacceptable appraisal, the employee must be dismissed from City service.

6.    Performance Appraisal Forms

Copies of the forms to be used with the various occupational groups are attached to this policy.  Copies of the forms are also posted on the City’s central computer or internal computer network.
                
REFERENCE:        Chapter 17, Lawton City Code.

EFFECTIVE DATE/
RESCISSION:    This policy goes into effect July 1, 1997, rescinds Administrative Policy 3-3 dated July 1, 1976, and will remain in effect until rescinded.

RESPONSIBLE
DEPARTMENT:    Personnel




Gilbert H.  Schumpert, Jr.
City Manager
June 2, 1997

(Please contact Personnel for evaluation forms.)