performance management

Adopted by Spokane Public Library Board of Trustees on June 30, 2011.

1. GENERAL

The Spokane Public Library’s performance appraisal systems are based on the belief that, to maximize each individual’s contribution to the organization, performance must be planned and objectively evaluated on a regular basis and that performance planning and evaluation is most effective when it is a collaborative effort between the supervisor and the employee.

This document is divided into the following sections:

SECTION 1 – GENERAL

SECTION 2 – PURPOSE OF PERFORMANCE MANAGEMENT SYSTEMS

SECTION 3 – THE PERFORMANCE MANAGEMENT PROCESS

SECTION 4 – THE PERFORMANCE APPRAISAL PROCESS

SECTION 5 – TIMING

SECTION 6 – RATING PERFORMANCE

SECTION 7 – DISPUTE RESOLUTION

SECTION 8 – RECORDS RETENTION AND ACCESS

2. PURPOSE OF PERFORMANCE MANAGEMENT SYSTEMS

• The performance appraisal systems are designed to:
  • Increase knowledge and understanding of the library’s mission and goals with a view toward overall enhancement of individual job performance.
  • Assess individual performance in relation to expectations and goals.
  • Provide an avenue for formal comment and encourage continuous informal feedback and review throughout the appraisal period.
  • Promote open discussion regarding individual and team performance expectations, and develop an action plan for the next appraisal period.
  • Recognize strong performance and achievements.
• Performance appraisals will be used by supervisors and managers to make fair and equitable management decisions regarding job tenure, compensation, promotions, layoffs, transfers and training.

3. THE PERFORMANCE MANAGEMENT PROCESS 

While the annual formal appraisal is certainly an important part of the process, performance management is not a once a year It is an ongoing supervisory responsibility that begins when an employee first reports to work and continues throughout the employee’s career. Performance management is perhaps the supervisor’s most important responsibility, since it affects the success of each subordinate employee and ultimately the organization as a whole. Poor performance management results in an unnecessary drain on time, energy and resources, and may lead to legal actions with the potential to significantly impact the organization.

Components of an effective performance management process include the following:

• Orientation – It is the manager’s responsibility to orient the new employee to the workplace and to the duties of their Assuring that an employee is made to feel welcome, that they understand the library’s mission and culture, and that they understand what is expected of them is vital to the new employee’s ultimate success. Discussing the process under which performance will be formally evaluated should be discussed with newly hired employees as a part of the initial orientation process. The performance objectives on which performance will be rated should be provided in writing and discussed with newly hired management and professional employees within their first two weeks on the job.
• Continuous Communication and Coaching – Continuous communication and coaching will help the employee understand the supervisor’s expectations for performance, and adjust to change as the work and the workplace evolve. Coaching sessions should occur on an ongoing It is just as important to commend employees who are doing the right thing as it is to correct poor performance. The supervisor should keep notes regarding these ongoing discussions for use in preparing the formal evaluation. Nothing contained in the formal evaluation should come as a surprise to the employee.
• Counseling – When a supervisor perceives that an employee is having difficulty meeting performance expectations, the supervisor is obligated to discuss with the employee what action is needed to meet expectations. These conversations should be documented. One copy of the document should be given to the The original should be signed by the employee to document the conversation, and kept by the supervisor for reference when preparing the formal performance review document.

4. THE PERFORMANCE APPRAISAL PROCESS

There are currently three approved appraisal instruments for use with various employees depending on their job classification: 1) Management, Professional and Confidential; 2) AFSCME Local 270 Represented, and; 3) Page I. For substitutes, the currently approved form for the classification in which the employee subs should be used. Forms are available from the Library’s Human Resources Manager or may be downloaded from the Library’s Intranet.

In the belief that the person closest to the work is most aware of the quality of the work, each employee’s immediate supervisor will complete the appraisal forms and will conduct the appraisal interview. The supervisor’s immediate supervisor will provide guidance throughout the process.

The recommended review process is as follows:

• At least three weeks prior to the planned review date, the Employee Self Appraisal is forwarded to the appraisee, and the appraisee is notified of the upcoming appraisal interview. The self appraisal is mandatory for the M&P and 270 Represented groups. For Page I employees it is mandatory if goals were included in the last appraisal, and optional if not – the supervisor should list goals from the last appraisal (if any) on the form prior to providing it to the employee, and should clarify whether its completion is mandatory.
• The supervisor reviews the last appraisal and all performance documentation gathered throughout the appraisal period, and then begins to prepare the appraisal.
• At least two weeks prior to the planned review date, the employee returns the completed self appraisal form to the The supervisor reviews the employee self appraisal and, taking that information into consideration, completes the appraisal.
• The appraisal is submitted to the supervisor’s immediate supervisor at least one week prior to the planned appraisal date for review, comment and If the supervisor’s supervisor agrees with the appraisal it is signed and returned to the supervisor. If there is disagreement or concern about the appraisal, the senior supervisor may call a meeting to provide guidance and/or discuss the appraisal. Once agreement is reached, and any appropriate changes are made, the senior supervisor will sign off on the form. In all cases, the appraisal must be forwarded to the supervisor’s immediate supervisor for review and signature before it is discussed with the employee.
• The appraiser and appraisee meet in private to discuss the appraisal and goals for the next appraisal They may also take this opportunity to discuss other issues which have come to light during the appraisal process, i.e. recommended training, suggestions for improved workflow, the employee’s career aspirations, etc.

A copy of the completed appraisal form should be provided to the employee at the time of the appraisal If the supervisor retains a copy of the signed document it should be treated as highly confidential and guarded against unauthorized access. The original signed form, the employee self appraisal form, and the M & P justification document (if any), will be forwarded to Human Resources.

5. TIMING

Management, Professional and Confidential Employee Group

During the probationary year, whether entrance or promotional probation, performance will be formally appraised during the sixth month of employment, and again as scheduled in September, October or November (unless the sixth month of employment falls within that time period). Non-probationary employee’s performance is appraised annually as scheduled during September, October or November each year; or more frequently when circumstances indicate that it is prudent to do so.

AFSCME Local 270 Represented Employee Group

During the probationary year, whether entrance or promotional probation, performance is formally appraised during the fifth month of employment, and during the eleventh month of employment. Non-probationary employee’s performance is appraised annually prior to the anniversary date of hire; or more frequently when circumstances indicate that it is prudent to do so.

Page I Employees and Substitutes

During the first year of employment performance is formally appraised during the fifth month, and during the eleventh month. Thereafter performance is appraised annually prior to the anniversary date of hire; or more frequently when circumstances indicate that it is prudent to do so.

6. RATING PERFORMANCE

 Management, Professional and Confidential Employee Group

• In the ‘Objectives’ and ‘Job Functions’ sections of the form change may be recommended or necessary because some aspect of performance requires improvement, or because some aspect of the work has changed or will change and the employee must make some If change is recommended or necessary then goals should be discussed and agreed upon to facilitate that change. The emphasis here should be on coaching performance rather than grading it.
• Recommending change does not necessarily mean that the employee is not meeting performance expectations. Therefore, the reasons for the recommended changes should be considered when rating overall performance.
• An overall rating of “Exceptional Accomplishments” must be justified by the supervisor in a separate document under one of the following criteria:
  • Unique or unusual contribution – Sometimes an employee is involved in a project that exceeds her or his normal job requirements and that requires an extraordinary effort on the part of the employee to complete successfully. The employee may not be involved in the project for the entire year, but it results in a significant contribution.
  • High value – Sometimes an employee makes an effort that produces substantial value to the The value may be measured by savings, production, or some other measure. The end result, no matter how it is measured, is significant or extraordinary for the library. Again, the effort may not consume the entire year.
  • Sustained effort – The third way for an employee to earn a top performance rating is to contribute significantly above the norm in one or more assigned Their effort must be described in objective terms that demonstrate the value of their overall work effort.

The justification for the top rating must be forwarded along with the appraisal document to the supervisor’s immediate supervisor for review before the appraisal is discussed with the employee.

AFSCME Local 270 Represented and Page I Employee Groups

• In each performance area ‘Continue Current Performance,’ ‘Initiate Change,’ or both may be selected. ‘Initiate Change’ may be used when some aspect of performance requires improvement, or when some aspect of the work has changed or will change and the employee must make some If ‘Initiate Change’ is selected then goals and action steps to facilitate the change must be listed. The emphasis here should be on coaching performance rather than grading it.
  
  Selecting ‘Initiate Change’ does not necessarily mean that the employee is not meeting performance expectations. Therefore, the reasons for making that selection should be considered when rating overall performance.
  
  
• An overall rating of ‘Exceptional Accomplishments’ should be used rarely and must be justified by the supervisor in the ‘Performance Summary and Rating Justification’ section of the The justification must meet the listed criteria for that rating.
• An overall rating of ‘Successful Performance’ means that the employee is meeting or exceeding performance expectations and should be used for solid performers. The majority of employees would be expected to fall within this category.
• ‘Change Needed’ should be used when the employee is still learning the job or some aspects of it, or when overall performance has not met expectations during the rating period. Generally, this rating should not be used for two consecutive appraisals. If goals listed in the last appraisal were not met there must have been significant progress toward meeting them to achieve this rating, otherwise the rating should drop to ‘Improvement Required.’
• ‘Improvement Required’ indicates that performance is falling significantly short of expectations or that the employee has failed to make the necessary work improvements outlined in the last appraisal. This rating should never be used for two consecutive appraisals. A performance improvement plan should be outlined and discussed with the employee, and if performance does not improve the manager should contact Human Resources and their supervisor to discuss a course of action.

7. DISPUTE RESOLUTION

An employee who disagrees with a rating or comment recorded on the performance appraisal form may submit a written statement to their supervisor disputing the rating or comment.

The following guidelines should be followed in responding to an employee’s stated concerns about an appraisal:

• Human Resources and/or the supervisor’s supervisor should be consulted before responding.
• The supervisor should meet with the employee to discuss his/her concerns and management’s perspective. Others, as appropriate, may be included in that meeting.
• The supervisor should reduce his/her response to writing and provide a copy to the employee either during or following the The original document should be forwarded to HR.
• The original appraisal document should not be altered. The employee’s and supervisor’s responses will be filed with the original appraisal and will serve as documentation of the issues in dispute.

8. RECORDS RETENTION AND ACCESS

• Performance appraisals will be kept on file for at least three years and then may be destroyed at the discretion of the Human Resources
• An employee may request an appointment with the Library’s Human Resources Manager at any time to review their own performance appraisal If copies are desired, the employee may submit a written request which will be filled within two weeks of receipt.
• Supervisors with a legitimate business need for the information, (i.e., to evaluate an applicant for transfer or promotion) may request a copy of an employee’s performance review, or may schedule an appointment to view the appraisal file. Information contained in performance reviews is highly confidential and must be guarded against unauthorized access. Copies which are no longer needed should be shredded or returned to the Library’s Human Resources Manager.
• When an employee leaves library employment in good standing, the last three performance appraisals will be incorporated with the employee’s permanent record and kept in accordance with the library’s document retention policies. In the case of adverse employment actions, all documentation relevant to the action will be incorporated with the employee’s permanent record and kept in accordance with the library’s document retention policies.

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