SUPERVISOR

PERFORMANCE EVALUATION PROGRAM

(EPEP) HANDBOOK

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OUR PHILOSOPHY – OUR PURPOSE 3 Performance Plan 4 Defining Work Plans 5 Setting Performance Competencies 6 Monitoring the Performance Plan 7 Additional check-ins 8 Self-Appraisals 9 What is S.M.A.R.T. 11 How to create a Performance Plan 15 Monitoring Performance 16 Scoring Performance 17 Evaluating Performance Checklist 18 Timeline for Performance Evaluation System 19 Corrective Action Plan (CAP) Development 20 Probationary Period 21 Appeal Process 22 Employee Performance Competencies 23-30 Glossary of Terms 31

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OUR PHILOSOPHY – OUR PURPOSE City of Durham employees take pride in making Durham a great place to live, play and work. City of Durham employees are proud to model these seven (7) City Core Values and demonstrate them every day. These values help improve services and operations to our citizens and our customers both internal and external. This commitment forms the core of the City’s Employee Performance Evaluation Program (EPEP). The City of Durham encourages all of our employees to constantly strive to improve services and operations. As such, the City of Durham intends to reward those employees who do so. Come join the Human Resources Department journey into our new Employee Performance Evaluation Program (EPEP).

7 Core Values Integrity

Customer Service Teamwork Leadership

Open Communication Fairness

Our Employees

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EPEP – Main Components PERFORMANCE AT WORK:

EPEP Cycles: For General Employees, the Employee Performance Evaluation Program (EPEP), performance period will coincide with the City’s fiscal year (July – June). For Sworn Police and Fire and 911 Emergency Dispatchers, the EPEP performance period will coincide with the employee’s anniversary date.

SMART Goals: Performance evaluation goals will be developed for all classified positions. SMART goals are discussed in more detail on the following pages.

Employees who have the same classification title and form part of a work team will be able to have the same evaluation SMART Goals.

Competencies: All employees will be evaluated on competencies, three (3) of which will be common competencies to all City employees. Supervisors are responsible for assigning a minimum of one (1) to a maximum of three (3) Goals, under the SMART framework to each of their employees. The total number of goals and competencies MUST range from six (6) to eight (8).

Real-time Performance: Real time feedback to employees will play a vital part of the Employee Performance Evaluation Process (EPEP). The purpose of supervisors conducting 1:1 meetings will be to coach employees to achieve the best performance possible.

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Let’s define Performance Evaluation Work Plan:

A work plan is an outline of a set of goals and actions plans by which an employee and/or team can accomplish those goals, and offers the employee(s) and supervisor a better understanding of the scope of projects. Work plans help employees and supervisors stay organized by tracking progress towards the end goal throughout the performance year. What do performance evaluation work plans provide?

They allow employees and supervisors to capture specific information about what you do day-to-day, that may not be captured in your classification specifications.

Provide employees with the answer to several important questions: What is expected of me? What is the deadline of the project? Will I be working with a team on accomplishing the project?

They assist in setting and prioritizing projects/objectives/initiatives. They provide a basis for the supervisor and employee to discuss progress and address

barriers. They provide supervisors and employees with the opportunity to discuss and get to

know their Department’s and the City’s strategic direction.

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Competencies and Goals:

In order to encourage ownership of individual work and accountability, supervisors and employees are recommended to participate as a team in setting Performance Competencies. The following three (3) performance competencies will be required for all City of Durham employees:

These three (3) performance competencies were selected because they “touch” every aspect of a job and can be used to assess the progress of every employee in the City of Durham.

The following competencies, also referred to as Departmental Competencies, are available for supervisors to select from to evaluate their employee: All competencies have been prewritten and are loaded in the EPEP software for your selection.

1:1 Meetings (required) Risk Management and Safety Problem Solving & Decision Making Leadership – Strategic Thinking Administration and Control of Budget Development and Formation of Goals, Objectives and Programs Interdepartmental Cooperation

Remember: Supervisors will only be responsible for writing SMART Goals. These goals should focused on what “moves the needle” in their departments. The purpose being that every employee should understand how their daily contributions are connected to their department’s overall objectives and goals.

Quality of Work

Effective Communication

Interpersonal Skills

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MONITORING EMPLOYEE PERFORMANCE EVALUATION WORK PLAN

Once the employee performance work plan has been developed, it is important to monitor the plan throughout the performance period. Frequent real-time 1:1 meetings, communications, and specific documentation are necessary to effectively monitor and track employee progress.

Regular Meetings: At the core of a successful performance program is frequent and continuous real-time 1:1 dialogue and shared accountability. Supervisors should focus on the strengths, potential and development of the individual employee. For there to be as little debate as possible on the nature and content of the ongoing communication regarding performance, any performance that would have an impact at a later time on the rating(s) should be documented and saved in the EPEP System that is accessible to both the employee and the supervisor. Required Meetings: Monthly 1:1:

One monthly 1:1 meeting or coaching check-in with each employee will be required of all supervisors. The purpose of these 1:1 meetings will be to provide employees feedback regarding their performance. Supervisors may also use a 1:1 meeting to review and update the employee’s performance goals and work plan. Additional 1:1 meetings can be requested by either the employee or supervisor throughout the performance year to discuss goals and evaluate performance. This meeting can be conducted in a formal or informal setting.

Mid-term: One Mid-term Evaluation Review will also be required at the end of the sixth month of the performance year. This meeting should be conducted in a formal setting.

Annual Review: One Annual Evaluation Review will also be required near the end of the twelfth month of the performance year. This meeting should be conducted in a formal setting.

Documenting the Conversation:

Every employee will have a secure Feedback option in the EPEP System. Employees will have the option to “Share” their feedback with their supervisor. Supervisor can also provide employees with feedback to document regular performance related activities (good and not so good). All feedback will be automatically date stamped after it has been added and saved. The EPEP system feedback option will make it possible for supervisors and employees to record performance during the performance period. Please note, all feedback shared with others will not be able to be deleted once sent and saved via the EPEP system.

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1:1 Meetings Continued: 1:1 Meetings – Keep it informal Another benefit of frequent 1:1 meetings is the ability to make the conversation more informal than the Mid-Term and Annual Evaluation Review. “Because it’s no secret – almost everyone involved would rate the annual performance review as a dreadful experience.” - SABA While 1:1 meetings can have a more informal feel than the annual evaluation review, they should still be structured in such a way to ensure important performance topics are addressed – whether that’s delivering constructive or positive feedback, discussing work plans, or goal progress.

TIPS: QUICK AND EASY WAY TO STRUCURE YOUR 1:1 MEETING Key wins/challenges and what they mean Ways the supervisor can support the employee Learning and career development Upcoming projects to plan for Informal “professional” chat

Don’t forget to conclude the meeting by thanking your employee for their work and support.

[HIGH-PERFORMANCE

ORGANIZATIONS ARE MORE THAN 3X MORE LIKELY

TO UTILIZE COACHING AS PART OF THEIR PERFORMANCE

MANAGEMENT PROCESS. ]

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EMPLOYEE SELF APPRAISALS

The City’s philosophy emphasizes the importance of employees participating in the performance evaluation process and encourages employees to assume ownership of their work. Supervisors should request employee input regarding their performance at least one week prior to their Annual Review performance meeting. This input will be provided via a self-appraisal performance form. The supervisor will prepare a draft performance evaluation after having received the employee’s self-appraisal form. The employee’s self-appraisal evaluation form will be part of the documentation available at the performance evaluation meeting between the employee and their supervisor.

Please note, appropriate approvals by the Department Director/Chief will need to be in place prior to the supervisor and employee meeting to review the final annual performance evaluation.

Employee Self-appraisals: “give employees an active role to play. Rather than simply being the "recipient" of feedback from their manager, the employee is given “active participation” that helps them to be more engaged with both their performance and the process overall.” –Leader in Learning Management

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Introducing THE REVIEWER: In order to assure uniformity across the critical phases of the Employee Performance Evaluation Program (EPEP) process the function of a neutral Reviewer will be established. The Reviewer function will reside in the Human Resources Department. The Reviewer will be responsible for ensuring uniformity is achieved in the development of Performance Work Plans, the scoring of Performance Plans at the Mid-term and annual review, the assurance that all Goals conform to the SMART model, and that consistent interpretation of policies and procedures dealing with the implementation and operations of the EPEP is followed. Note that the Human Resources Department may conduct periodic department checks on random employee performance competencies and goals as part of its responsibility to monitor the EPEP usage and fairness.

Reviewer: Individual with training and expertise in the employee evaluation process. Their intent and purpose is to be independent, impartial, and unbiased in resolving disputes.

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What is a SMART Goal?

Specific: When developing goals, be specific in what you want the employee to accomplish. Make sure that the targets you set are clear and easily understood. If your goals are vague and extremely broad, not only will your employee have difficulty performing against them, but both you and the employee will have a hard time measuring success when it comes to scoring the performance evaluation. When goals are specific and detailed, it makes accountability clear and shows, in an understandable way, what the employee needs to achieve. Measurable: The most common mistake you will usually make when developing goals is to set targets that simply cannot be measured. Not just that they are vague, but they describe accomplishments that cannot even be proven were achieved. You can always improve goals by including performance targets that can be measured in a straight forward way; think numbers. Do not try to invent measurable data for goals; if the City is not currently and accurately measuring the activity, it does not need to be part of a goal. Also, not every activity that is measurable will make a good goal. Remember, goals should be measurable and descriptive. They can also be written to describe a degree of progress that is to be achieved. Attainable: The goals you set must be attainable. There is no point setting objectives which are out of your employee’s control. It does not mean the goals should be easy – by contrast, effective goals should stretch and challenge the employee. But still, goals should not be impossible to satisfy, either based on the targets set or by the nature of the goals itself. There is also no point shooting for the stars if there is absolutely no chance of your employee reaching them. Be real and respectful. Results-Oriented: When setting goals, make sure that the targets you establish are relevant and results-oriented. By relevant, ask the question “does achieving the objective of the goals mean something of value to the work group or the City’s overall goals and objectives?” If it doesn't fit within the bigger picture, then do not create it as a goal. And, Time-Based: Another common mistake when setting goals is not specifying a time by which the employee needs to complete the tasks and achieve the specified outcome. To make your goals S.M.A.R.T., they need to have an established timeframe. The timeframe can be a specific date, a time of year, a quarter, a month, or any other measure of time. The point is to make sure that there is a description of when the specified outcomes should be completed.

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Let’s do a S.M.A.R.T. Exercise:

Businessman, author and founder of Success Motivation International, describes the

characteristics of SMART goals in his 2003 book, "Attitude Is Everything: If You Want to Succeed Above and Beyond." We'll expand on his definitions to explore how to create, develop and achieve your goals:

1. Specific:

Your goal should be clear and specific, otherwise you won't be able to focus your efforts or feel truly motivated to achieve it. When drafting your goal, try to answer the five "W" questions:

What do I want to accomplish?

Why is this goal important?

Who is involved?

Where is it located?

Which resources or limits are involved?

Example

Imagine that you are a Human Resources Analyst that is responsible for launching a new employee performance evaluation program. A specific goal could be, "I need to ensure all Supervisors conduct and document a minimum of 3(three) 1:1 check-ins per employee in Q1. This would be one check-in or touchpoint meeting per month per direct report.”

2. Measurable:

It's important to have measurable goals, so that you can track your progress and stay motivated. Assessing progress helps you to stay focused, meet your deadlines, and feel the excitement of getting closer to achieving your goal.

A measurable goal should address questions such as:

How much?

How many?

How will I know when it is accomplished?

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Example

You can measure your goal by using the EPEP software solution’s reporting function to track and measure which supervisors are conducting their 1:1 meeting in a timely manner.

3. Attainable

Your goal also needs to be realistic and attainable to be successful. In other words, it should stretch your abilities but still remain possible. To determine if a goal is attainable you may need to ask questions such as:

How can I accomplish this goal?

Are there many paths that I can take to accomplish this goal – which direction is best

for me?

Example

You might need to ask yourself whether ensuring all supervisors comply is something that is attainable, and realistic, based on reporting lines. For example, how much authority do you have to ensure supervisors hold regular 1:1 meetings? Are the necessary resources and authority available to you?

Tip:

Beware of setting goals over which someone else has the power, in other words that may be beyond the employee’s control. For example, if other factors or variables may greatly influence the outcome of your work, this goal may not lend itself to a SMART measurement.

4. Results-Oriented

This step is about ensuring that your goal matters to you and the City, and that it also aligns with other relevant goals. We all need support and assistance in achieving our goals, but it is important to retain control over them. So, make sure that your plans drive everyone forward, but that you are still responsible for achieving your own goal.

A result oriented goal can answer "yes" to these questions:

Does this seem worthwhile?

Is this the right time?

Does this match our other efforts/needs?

Am I the right person to reach this end result/goal?

Is it applicable in the current socio-economic environment?

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Example

You might want to ensure supervisors see the importance of conducting check-ins or touchpoint meetings and are trained in how to record meeting notes via the EPEP software solution because this is an essential step in implementation.

5. Time-bound

Every goal needs a target date so that you have a deadline to focus on and something to work toward. This part of the SMART goal criteria helps to prevent everyday tasks from taking priority over your longer-term goals.

A time-bound goal will usually answer these questions:

When?

What can I do six months from now?

What can I do six weeks from now?

What can I do today?

Example

Tracking supervisor 1:1 employee check-ins or touchpoint meetings will require a tracking system within the performance evaluation software solution, as we mentioned earlier. How long will it take you to acquire these skills to pull these reports? It's important to give yourself a realistic time frame for accomplishing the smaller goals that are necessary to achieving your final objective.

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PERFORMANCE WORK PLAN: COMPETENCIES AND GOALS AT WORK

During the initial planning meeting, the employee and supervisor should work together to create the employee’s work plan, select the most appropriate competencies, and produce 1-2 goals by which the employee’s performance will be measured.

The employee and supervisor should discuss the work plan, competencies, and goals. Once drafted, the supervisor will submit the Performance Plan to the Department Director/Chief for final review and approval.

Any concerns that the employee has regarding the Performance Plan should be noted and discussed during this meeting. It is the supervisor’s responsibility to discuss the employee’s concern(s) with the Department Director/Chief.

Please note:

Evaluation Work Plans should not be finalized without full knowledge of the employee of the plan, competencies, and goals. The employee must be given the opportunity to note any concerns with their Evaluation Work Plan. Employee concerns should be addressed with the Department Director/Chief.

The Supervisors and employee(s) must maintain ongoing communication and

documentation of performance and work plan progress throughout the performance evaluation period.

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MONITORING PERFORMANCE - it’s more than a meeting:

Supervisors will be responsible for conducting regular monthly 1:1 meetings, one Mid-term and one Annual Employee Evaluation. Mid-term and Annual reviews will need to be pre-approved by the Department Director/Chief prior to meeting with the employee. Employees should receive feedback on performance in a constructive manner, using the documentation discussed in the 1:1 Meetings and from ongoing feedback.

The purpose of the Mid-term and Annual Evaluation Review is to assess employee performance, which requires effective use of 1:1 meetings, and clear communication regarding the progress toward achieving the employee’s work plan goals.

Constructive feedback is information-specific, issue-focused, and based on observations and NOT on opinions or interpretations.

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EPEP SCORING SYSTEM:

The Employee Performance Evaluation Program (EPEP) has a five (5) rating level scale that is used to rate both competencies and goals. If the overall rating for any goal or competency falls below “Effective” at the Mid-term or Annual Review, a corrective action plan (CAP) will be developed to improve the employee’s performance. The supervisor will submit the CAP to the Department Director/Chief for approval prior to meeting with the employee.

Please note: Only after the CAP has been approved by the Director/Chief will it be presented to the employee.

The five (5) rating levels for both Goals and Competencies:

Exemplary: Employee provides consistent performance of highest quality. A champion and model of quality throughout the department and organization.

Highly Effective:

Performance is usually of high quality. Mistakes and errors are rare and inconsequential. Maintains quality standards over time and under pressure.

Effective: Performance is accurate, well organized, neat, thorough, and requires occasional revisions. Fulfills the requirements of the performance plan. Few errors or mistakes.

Minimally Effective:

Level of performance meets minimum standards but includes regular errors and mistakes. Overall poor quality of performance. May display negative attitude toward effort required to produce quality work. Substantial improvement needed to fulfill requirements of performance plan.

Ineffective: Level of performance is entirely unacceptable; shows no initiative to correct continually occurring errors and mistakes. Extremely poor performance. Behavior exhibited is negative, disruptive and/or harmful to the organization. Not receptive to supervisory efforts to assist the employee in the improvement of performance or behavior.

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PERFORMANCE CHECKLIST:

Self- Appraisals: The supervisor should provide employees at least a one week notice to submit their self-appraisal regarding their performance for the performance period. Employees are advised to review all performance related documents (i.e. departmental work plans, employee work plans and feedback, and class specifications) in advance of the performance evaluation meeting.

Evaluation Draft Review: Once the supervisor receives the employee self-appraisal, the supervisor will prepare a draft evaluation. The draft evaluation will be submitted to the Department Director/Chief for approval. The employee’s self-appraisal will also be available for review by the Department Director/Chief.

Consensus: The Supervisor and Department Director/Chief review and

approve the draft evaluation and ratings to ensure consistency prior to the supervisor meeting with the employee.

Evaluation Review: The employee and the supervisor meet to review the

performance evaluation.

If CAP: If the overall score or if any one goal or competency is below “Effective” at the time of the performance review, a corrective action plan (CAP) must be developed. Once the CAP is approved by the Department Director/Chief, it can be presented to the employee. Corrective action plans can be developed at any time during the evaluation period if the supervisor has documentation that any one goal or competency is falling below “Effective”.

If an employee is not in agreement with a CAP, they will still be held responsible for adhering to and completing the CAP successfully.

Evaluations should not be finalized without full knowledge of the employee of

the contents. The employee will be given the opportunity to note any concerns with the evaluation.

If the employee does not agree with the final evaluation, they may appeal to

the Department Director/Chief. The employee’s final evaluation results must be provided in writing by the Department Director/Chief to both the employee and supervisor.

For any other questions regarding EPEP specifics not answered in this Policy Handbook please call HR Connect (919) 560-4214 for assistance.

EMPLOYEE TRANSFERS

When an employee’s supervisor and/or position changes for any reason, i.e. transfer, promotion, or demotion a Closeout Final Evaluation will need to be completed for the employee by the current supervisor prior to the change.

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TIMELINE FOR PERFORMANCE EVALUATIONS:

Evaluation Work Plans and evaluations will be established on a (12) twelve-month performance period. Evaluation Work Plans can be subject to change based on Department Director/Chief discretion.

Evaluation Work Plans and the selection of Competencies and Goals must be completed within (15) fifteen calendar days after the beginning of the (12) twelve-month performance period.

Promoted, demoted or transferred employees must have an Evaluation Work Plan established within (15) fifteen calendar days of their start date.

One monthly 1:1 meeting or coaching check-in with each employee will be required of all supervisors.

Mid-term Evaluations must be completed by the end of the sixth month of the performance period.

Newly hired probationary employees will need to be evaluated at (3) three months and if performance is “Effective” and above will be evaluated again at (6) six months from their date of hire.

Probationary new employees will only be able to be rated as “Effective” in order to be taken off of probationary status.

In the event that a supervisor fails to complete the probationary evaluation in a timely manner, the employee will be automatically on-boarded with full rights as an employee.

If a probationary employee has been out during their probationary period, due to approved leave and/or worker’s compensation, they will be allowed to complete their probationary period (meaning 6 months physically worked) upon their return to work.

If an employee has been out on approved leave, they will have to complete their evaluation upon their return. Any approved merit increase will not be retro-active but made effective upon their return to work date.

Annual Evaluations must be completed by the end of the (12) twelve-month performance period.

* Sworn Police and Fire and 911 Emergency Dispatchers have a (12) twelve-month new hire probationary period. They will be evaluated at (6) six months and then again at (12) twelve months. The 12 month probationary period for Sworn Police and Fire and 911 Emergency Dispatchers is dictated due to a longer training period.

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CORRECTIVE ACTION PLAN (CAP) DEVELOPMENT:

REGULAR EMPLOYEES - SCORE IS “MINIMALLY INEFFECTIVE” OR“INEFFECTIVE” ON MID-TERM OR ANNUAL EVALUATION

If the overall rating of performance for an existing employee is “Minimally Effective” or “Ineffective” the employee will be placed on a CAP and a six (6) month Performance Probationary period. The CAP will be for a three (3) month period. At the end of three (3) months, the employee’s performance will be reviewed. If the overall score is less than “Effective”, the employee will be dismissed from employment. If the overall rating is “Effective” or higher, the employee will be re-evaluated again at the end of the sixth (6) month. If the overall score is less than “Effective”, the employee will be dismissed from employment. Departments are advised to consult with Human Resources regarding questions related to employee dismissals.

Use a Corrective Action Plan (CAP) when you have identified a performance problem

and are looking for ways to improve the performance of an employee. The CAP plays

an integral role in correcting performance discrepancies. It is a tool to monitor and

measure the deficient work products, processes and/or behaviors of a particular

employee in an effort to IMPROVE performance or modify behavior.

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CAP Workflow – New Hire and Existing Employee

NEW HIRES - Corrective Action Plan (CAP) New employees will be evaluated at the end of their third month following employment. Newly hired employees will not be eligible for Highly Effective or Exemplary ratings on their probationary evaluation; new employees can only be rated as “Effective” or lower.

If the overall rating at the end of three (3) months is “Ineffective” the employee will be terminated from employment in consultation with the Human Resources Department.

If the overall performance rating at the end of three (3) months is “Effective”, the employee will be re-evaluated again at the end of the sixth (6) month of employment. If the overall rating at the end of their sixth month evaluation is “Effective” the new employee will be released from probationary status.

If the overall performance rating at the end of three (3) months is “Minimally Effective”, the new employee will be placed on a CAP and re-evaluated again at the end of the sixth (6) month of employment. Only if the rating at the end of their sixth month evaluation is “Effective” will the new employee be released from probationary status. If the rating is below “Effective” the new employee will be terminated from employment.

If a new hire probationary employee is placed on a CAP and later terminated, the termination may not be grieved.

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PROBATIONARY PERIOD FOR PROMOTED, DEMOTED, OR LATERALLY TRANSFERRED EMPLOYEES

All employees whose employment status is applicable to one of the above categories will be placed on a performance probationary status for a period of six (6) months. The previous supervisor is required to complete a transfer evaluation. The new supervisor will be required to evaluate the employee at the end of their third and sixth months of employment following a promotion, demotion or lateral transfer (please refer to the regular employee scoring section).

These guidelines are designed to assist supervisors in resolving a variety of performance and behavioral management and employment matters; however, they cannot provide all the answers for every situation. Refer all unanswered questions to HR Connect (919) 560-4214 for assistance from the Human Resources Department.

APPEAL PROCESS: If the employee does not agree with the final ratings of his/her supervisor, they have a period of ten (10) business days to submit the areas of disagreement in writing to the Department Director/Chief. The Department Director/Chief should review the employee and supervisor justifications and make a decision regarding the final rating. The Department Director/Chief’s final rating decision should be provided to both the employee and the supervisor in writing within ten (10) business days of receiving the employee’s written disagreement. Please contact the Human Resources Department if assistance is needed.

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EMPLOYEE PERFORMANCE COMPETENCIES:

QUALITY OF WORK (REQUIRED COMPETENCY) Accuracy, completeness, and standard of output in general. The degree to which the employee’s more routine work output is free from errors and mistakes. This does not include errors made as an understandable part of the learning process. The degree to which the employee supports and encourages quality throughout the organization. EXEMPLARY: Consistent output of highest quality. Employee is a champion and model of quality throughout the organization. HIGHLY EFFECTIVE: Usually work is of high quality. Employee mistakes and errors are rare and inconsequential. Employee maintains quality standards over time and under pressure. EFFECTIVE: Work is accurate, well organized, neat, thorough, and requires occasional revisions. Employee has few errors or mistakes. MINIMALLY EFFECTIVE: Level of quality not acceptable even to minimum standards. Employee has excessive errors and mistakes. Work product is of very poor quality. Employee has a negative attitude toward effort required to produce quality work. INEFFECTIVE: Level of quality entirely unacceptable. Errors and mistakes are too numerous to fully document. Employee work is of extremely poor quality. Employee exercises a negative attitude toward efforts to assist him/her the improvement of the quality of work. Immediate Corrective Action Plan to be developed and implemented.

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EFFECTIVE COMMUNICATION (REQUIRED COMPETENCY) With respect to oral communication:

Oral communications reflect quality, as evidenced by clarity, completeness and accuracy. Employee peaks in a clear, distinct, understandable manner. Listens attentively to what others say and elicits valuable information from others. Uses appropriate grammar, vocabulary, and sentence structure in oral communication. Employee is persuasive and effective when explaining City policies, procedures, and positions.

When written communication is essential for the position:

Generally, produces quality communications as evidenced by accuracy, completeness, neatness (when written) and attention to detail. Employee writes in a clear, concise, logical and coherent manner. Employee uses appropriate grammar, vocabulary, syntax, and sentence structure and is able to write technical and analytical reports clearly and concisely. Employee uses writing terms and styles easily understood by the intended reader.

EXEMPLARY: Employee is almost always accurate and thorough. Generates and presents written materials and ideas clearly. Always uses proper grammar. Consistently produces correspondence and reports that accurately and efficiently disseminates data that is easily understood by all who may read it. Employee demonstrates exemplary oral and verbal skills. HIGHLY EFFECTIVE: Employee is consistently accurate and thorough. Generates and presents written materials and ideas that usually are readily understandable. Uses proper grammar almost always. Consistently produces correspondence and reports that accurately and efficiently disseminate data that is easily understood by all who may read it. EFFECTIVE: Employee writes clear, complete, concise, and properly structured letters, memos, and reports using appropriate forms. Oral communications are tactful. Is able to communicate ideas to others clearly and concisely. MINIMALLY EFFECTIVE: Employee misquotes information or poorly describes it. Often fails to express thoughts clearly. Employee is often not tactful with others. INEFFECTIVE: Employee is very often misquoting information or inappropriately describes it. Regularly fails to express thoughts clearly. Is regularly not tactful with others. Immediate Corrective Action Plan to be developed and implemented.

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INTERPERSONAL SKILLS (REQUIRED COMPETENCY) Measures the ability to establish and maintain effective working relationships as well as the ability to effectively interact with the public and promote good public relations. The willingness to work cooperatively with subordinates, peers, and supervisors as part of a team or work group is considered important. EXEMPLARY: Employee is extremely successful in working with subordinates and others while gaining full cooperation from them. Invariably goes beyond the job to give assistance or pitch in; encourages and assists subordinates to do the same. Takes action to preempt disputes or problems; is successful in resolving those that do arise. Employee is courteous in virtually all situations. HIGHLY EFFECTIVE: Employee is very successful in working with subordinates and others while gaining cooperation from them. Usually goes beyond the job to give assistance or pitch in; encourages and assists subordinates to do the same. Takes action to preempt disputes or problems; is successful in resolving those that do arise. Employee is courteous in almost all situations.

EFFECTIVE: Employee enjoys reasonable success in working with and gaining the cooperation of subordinates and others. Displays normal expectations for courtesy; most times is able to relate effectively with others. Behaves in an acceptable manner with the public; usually functions well as work group or team leader. Usually heads off problems before they become serious. MINIMALLY EFFECTIVE: Employee has limited success in working with subordinates and others, rarely gaining their cooperation. Has problems relating to a variety of people; may occasionally be rude or antagonistic. Employee needs to improve ability to work as a team or work group leader. Intermittently fails to resolve problems before they become serious. INEFFECTIVE: Employee is unsuccessful in working with subordinates and others. Has difficulty relating to a variety of people; often rude or antagonistic. Employee lacks ability to work as a team or work group leader. Frequently fails to resolve problems before they become serious. Immediate Corrective Action Plan to be developed and implemented.

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1:1 Meetings (Required): Measures the detail, precision, and frequency with which a supervisor interacts with each and every employee being supervised regarding the employee’s performance through the use of the EPEP software based on observations of the employee’s work as substantiated through review of output, site visits, application of relevant performance competencies, or other methods. EXEMPLARY: Supervisor conducts weekly 1:1 meetings with 80% of direct report(s) per month. These meetings are recorded in the EPEP software system. Supervisor goes above and beyond to seek opportunities to provide employees with constructive and positive feedback and provide guidance to employee regarding questions or concerns. HIGHLY EFFECTIVE: Supervisor conducts two (2), 1:1 meetings 80% of direct report(s) per month. These meetings are recorded in the EPEP software system. Supervisor provides constructive and positive feedback and provides guidance to employee regarding questions or concerns. EFFECTIVE: Supervisor conducts one (1), 1:1 meeting with 80% of direct report(s). These meetings are recorded in the EPEP software system. Supervisor provides constructive and positive feedback and provides guidance to employee regarding questions or concerns. MINIMALLY EFFECTIVE: Supervisor conducts sporadic 1:1 meetings with direct reports. Supervisor meets with some direct reports yet fails to meet with all on regular basis. Some meetings are recorded yet information is incomplete and deficient of supportive details. INEFFECTIVE: Supervisor conducts no 1:1 meetings with direct reports.

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1:1 Meetings (Required) SWORN POLICE: Measures the detail, precision, and frequency with which a supervisor interacts with each and every employee being supervised regarding the employee’s performance through the use of the EPEP software based on observations of the employee’s work as substantiated through review of output, site visits, application of relevant performance competencies, or other methods. EXEMPLARY: Supervisor conducts three (3), 1:1 meetings, with 80% of direct report(s) per quarter. These meetings are recorded in the EPEP software system. Supervisor goes above and beyond to seek opportunities to provide employees with constructive and positive feedback and provide guidance to employee regarding questions or concerns. HIGHLY EFFECTIVE: Supervisor conducts two (2), 1:1 meetings, with 80% of direct report(s) per quarter. These meetings are recorded in the EPEP software system. Supervisor provides constructive and positive feedback and provides guidance to employee regarding questions or concerns. EFFECTIVE: Supervisor conducts one (1), 1:1 meeting with 80% of direct report(s) per quarter. These meetings are recorded in the EPEP software system. Supervisor provides constructive and positive feedback and provides guidance to employee regarding questions or concerns. MINIMALLY EFFECTIVE: Supervisor conducts sporadic 1:1 meetings with direct reports. Supervisor meets with some direct reports yet fails to meet with all on regular basis. Some meetings are recorded yet information is incomplete and deficient of supportive details. INEFFECTIVE: Supervisor conducts no 1:1 meetings with direct reports.

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RISK MANAGEMENT AND SAFETY Measures the ability of the employee to ensure adherence to safe work methods and his/her assistance with the development of safety and risk management policies and procedures. Provides training opportunities and encourages or oversees training. Corrects or reports unsafe conditions or practices. Sets an example for employees both organization-wide and as well as subordinates. EXEMPLARY: Employee is extremely proficient and unwavering in identifying and correcting unsafe practices and suggesting procedures or policies to attempt to prevent their recurrence. Always follows up after a loss has occurred. Employee practically always takes the lead to provide the opportunity for employees to receive all safety training that may be required or feasible for their duties. Always encourages employees to be proactive; rewards or praises employees who identify unsafe practices or situations. HIGHLY EFFECTIVE: Employee is very proficient in identifying and correcting unsafe practices and suggesting procedures or policies to attempt to prevent their recurrence. Consistently follows up after a loss has occurred. Employee takes the lead to provide the opportunity for employees to receive all safety training that may be required or feasible for their duties. Usually encourages employees to be proactive in identifying unsafe practices or situations. EFFECTIVE: Employee is generally successful in identifying and correcting unsafe practices and suggesting procedures or policies to attempt to prevent their recurrence. Employee usually follows up after a loss has occurred. Is open to providing the opportunity for employees to receive all safety training that may be required for their duties. MINIMALLY EFFECTIVE: Employee seldom identifies and corrects unsafe practices. Does not usually follow up after a loss has occurred. Rarely attempts to provide the opportunity for employees to receive safety training that may prevent a loss. INEFFECTIVE: Employee fails to identify unsafe practices. Does not follow up after a loss has occurred. Neglects to provide the opportunity for employees to receive safety training that may prevent loss. Immediate Corrective Action Plan to be developed and implemented.

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PROBLEM SOLVING AND DECISION MAKING Measures the extent to which the employee is effective in solving problems and in making decisions; this includes the ability and willingness to use effective methods and to use these methods with skill, good judgment, and common sense. Also included is the ability to recognize problems and to prioritize among those problems. Includes the employee’s level of confidence in approaching problem solving and decision-making tasks. EXEMPLARY: Employee has exceptional problem awareness as well as potential problem awareness. Employee constant problem-solving approach resulting in uniformly good decisions. Knows when and whom to get involved. Employee has great common sense. HIGHLY EFFECTIVE: Employee is consistent with regards to problem awareness, problem solving, and decision making. Uniformly uses good judgment and common sense. Often evaluates alternative courses of action and makes a logical decision or recommendation. Employee knows when to take action and what type of action is appropriate. EFFECTIVE: Employee is generally consistent with regards to problem awareness, problem solving, and decision making. Consistently exhibits good judgment and common sense. Generally, evaluates alternative courses of action and makes a logical decision or recommendation. For most situations, knows when to take action and what type of action is appropriate. MINIMALLY EFFECTIVE: Employee is inconsistent in recognizing problems and in problem solving and decision making. Often lacks good judgment and common sense. Employee shows an avoidance or lack of awareness of problems and attendant potential decisions. INEFFECTIVE: Employee rarely recognizes and solves problems; makes poor decisions. Almost always lacks good judgment and common sense. Employee uniformly shows an avoidance or lack of awareness of problems and attendant potential decisions. Immediate Corrective Action Plan to be developed and implemented.

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LEADERSHIP – STRATEGIC THINKING Measures the extent to which the employee has grown in the performance of a management or leadership role; the degree to which the employee demonstrates leadership attributes. The degree to which others look to the employee for direction. The degree to which the employee maintains the respect, trust and cooperation of others. Measures the ability to inspire, encourage, and facilitate the activities of subordinates and peers all in an effort to achieve the department’s mission or goals. Ability to lead by example and demonstrate self-confidence and inspire leadership and self-confidence in others. Consider the degree of interest, enthusiasm, and ingenuity demonstrated in carrying out assignments and whether the employee proactively seeks solutions and assumes responsibility for dealing with issues and is accountable for personal behavior and positively influences the behavior of those s/he works with. EXEMPLARY: Employee displays an exceptional ability to inspire productivity through motivation and positive example. Invariably takes a proactive approach. Employee develops new ideas, processes, and procedures. Employee demonstrates vision to prepare work group for challenges and demands. HIGHLY EFFECTIVE: Employee exhibits an above average ability to inspire productivity through motivation and positive example. Employee takes a proactive approach very frequently. Employee attempts to develop new ideas, processes, and procedures. EFFECTIVE: Employee sets appropriate examples through overall performance; takes the lead when necessary. Exhibits interest and enthusiasm when carrying out assignments; very rarely fails to accept responsibility. Employee offers suggestions for improvements to processes and procedures. MINIMALLY EFFECTIVE: Leadership skills are limited or inconsistent; only takes the lead when directed. Employee usually demonstrates mild enthusiasm, at most, when carrying out assignments. Seldom is accountable for personal behavior. Employee rarely accepts responsibility and rarely offers suggestions for improvement, new methods, or ideas. INEFFECTIVE: Leadership skills are non-existent; never takes the lead. Employee demonstrates no enthusiasm when carrying out assignments. Employee is not accountable for personal behavior. Never offers suggestions for improvement, new methods, or ideas. Immediate Corrective Action Plan to be developed and implemented.

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ADMINISTRATION AND CONTROL OF BUDGET Measures the ability to prepare realistic budgets based on prioritized needs, objectives, and strategic plans; such budgets being developed in the prescribed format and submitted on schedule with negligible error. Also measures the employee’s ability to gather and interpret financial information and propose a course of action based on this data and analysis. Further the budgets are administered within the allotted resources as evidenced by accurate expenditure tracking and reporting. EXEMPLARY: Employee prepares realistic and well prioritized budgets. Budgets are always submitted in the prescribed format and on schedule with no error. The employee’s ability to gather and interpret financial information and propose a sound course of action is exceptional. Budgets are administered within the allotted resources and accurately tracked and reported. HIGHLY EFFECTIVE: The employee’s ability to propose a budgetary course of action is sound. Budgets are always submitted in the prescribed format and on schedule with minor, if any, error. The employee’s ability to gather and interpret financial information and propose a sound course of action is sound. Budgets are practically always administered within the allotted resources and accurately tracked and reported. EFFECTIVE: Preparation of realistic and well prioritized budgets is acceptable a majority of the time. Budgets are usually submitted in the prescribed format and on schedule with minor errors. Budgets are usually administered within the allotted resources and accurately tracked and reported. The employee’s ability to gather and interpret financial information and propose a course of action is usually accurate. MINIMALLY EFFECTIVE: Ability to prepare realistic and well prioritized budgets needs improvement. Budgets are sometimes submitted in the prescribed format and on schedule; errors are frequent. The employee shows minimal ability to gather and interpret financial information. Budgets are usually not administered within the allotted resources nor accurately tracked and reported. INEFFECTIVE: Ability to prepare realistic and well prioritized budgets is lacking. Budgets are rarely submitted in the prescribed format and not completed on schedule; the amount of error is beyond acceptable limits. The employee shows no ability to gather and interpret financial information. Budgets are not administered within the allotted resources nor accurately tracked and reported. Immediate Corrective Action Plan to be developed and implemented.

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DEVELOPMENT AND FORMATION OF GOALS Measures the ability to develop challenging and innovative performance goals and objectives that are consistent with identified needs and available resources. Also measured is the ability to effectively assign, revise, and monitor subordinates’ goals. Accomplishes city-wide and departmental goals and objectives; develops effective action plans and departmental programs as indicated in the successful pursuit of assigned goals and objectives. EXEMPLARY: Employee prepares creative, realistic and well prioritized goals and objectives. Exhibits exceptional abilities in gathering information and proposing sound programs. Employee envisions and initiates programming in anticipation of future needs. Anticipates needs and develops efficient staffing plans. Recognizes and anticipates departmental role in achieving City-wide goals. HIGHLY EFFECTIVE: Employee prepares realistic and well prioritized goals and objectives. Exhibits sound abilities in gathering information and proposing programs. Initiates programming in anticipation of future needs. Anticipates needs and develops efficient staffing plans. Employee recognizes departmental role in achieving City-wide goals. EFFECTIVE: Employee prepares realistic goals and objectives. Effective in gathering information and proposing sound programs. Employee initiates programming to meet current and future needs. Anticipates needs and develops efficient staffing plans. Employee recognizes departmental role in achieving City-wide goals. MINIMALLY EFFECTIVE: Employee prepares goals and objectives which may not be realistic. Inefficient in gathering information and proposing sound programs. Initiates programming to meet current needs. Staffing plans are effective but fail to anticipate future needs. Employee does not always recognize the departmental role in achieving City-wide goals. INEFFECTIVE: Employee goals and objectives are unformed and unrealistic. Fails to gather supportive information to develop appropriate programs. Fails to recognize current needs or anticipate future needs. Fails to recognize departmental role in achieving City-wide goals. Immediate Corrective Action Plan to be developed and implemented.

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INTERDEPARTMENTAL COOPERATION Measures employee’s successful involvement/cooperation in representing or working with different departments within the City. Accomplishes departmental goals and objectives in conjunction with other departments to promote the success of City-wide goals; develops effective action plans and departmental programs as indicated in the successful pursuit of cooperative goals and objectives. EXEMPLARY: Employee accomplishes departmental goals and objectives in conjunction with other departments to promote the success of City-wide goals. Exhibits exceptional abilities in working with Managers and employees of other departments. Employee envisions and initiates programming in anticipation of future needs. Recognizes and anticipates departmental role in achieving City-wide goals and projects. HIGHLY EFFECTIVE: Employee prepares realistic and well prioritized goals and objectives which relate to their specific department and those promoted throughout the City of Durham. Exhibits motivational abilities in working with Managers and employees of other departments. Employee looks for ways to interact with other departments by sharing objectives and information regarding common goals and projects. EFFECTIVE: Employee is effective in working with Managers and employees of other departments. Employee initiates programming to meet current and future needs. Recognizes departmental role in achieving City-wide goals. MINIMALLY EFFECTIVE: Employee is inefficient in working with Managers and employees of other departments. Employee does not always recognize the departmental role in achieving City-wide goals. INEFFECTIVE: Employee fails to work or cooperate with supervisors and employees of other departments. Unable to recognize current needs or anticipate future needs. Does not recognize departmental role in achieving City-wide goals. Immediate Corrective Action Plan to be developed and implemented.

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Glossary of Terms:

EPEP: Employee Performance Evaluation Program

Competencies: expectations that help define desired work-related behavior, skills and

performance.

Goals: specific, measurable performance result that an employee is expected to achieve

within a timeframe and within available resources. They adhere to the SMART formula.

Performance Work Plan: is a tool designed to assist in setting up and managing the process

of monitoring, analyzing, evaluating, and reporting employee progress. The Work Plan

outlines the employee’s SMART Goals and competencies.

Classification Specification: a broad, description of the essential duties of a job. Generally

includes duties, purpose, responsibilities, scope, and working conditions.

Reviewer: a neutral party in HR who works with supervisors and/or employees to ensure

that the evaluation process is complete, honest, accurate and helpful.

S.M.A.R.T.: an acronym used to guide the development of measurable goals.

Specific

Measurable

Attainable

Results Oriented

Time-bound

COMPETENCIES: abilities or attributes, described in terms of observable behavior, that are

key to effective performance in a particular job.

Common COMPETENCIES: competencies required across all employee categories.

Corrective Action Plan (CAP): document specifically outlining expectations regarding how

an employee’s performance must change in order to meet the employee’s performance goals

and competencies.

Performance Probationary Status: current employee’s status after experiencing a job

change due to a promotion, demotion, transfer or performance issues.

New Hire Probationary Status: “at will” probationary employee’s status during initial 6

months (or first year, depending on the classification) of employment. Sworn Police and Fire

and for 911 Emergency Dispatchers probationary period is of approximately 12 months,

dependent upon release from recruit training status.