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HomeMy Public PortalAboutADM-134_Performance Tracking Policy_Effective 03-08-2021 City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 1 of 9 Approved by: Section 1.0: Purpose The purpose of this policy is to establish consistent practices for documenting and managing employee performance and early intervention. This policy is intended to standardize documentation for both positive and negative performance indicators and to identify employees who have developed a pattern of behavior which indicates intervention efforts may be necessary. Section 2.0: Scope This policy applies to the performance of all City employees. This policy also applies to the tracking of complaints and internal investigations involving elected and appointed officials as detailed in policy ADM-126 Complaints & Investigations and ADM-125 Safety Policy. Section 3.0: Definitions Guardian Tracking- The City’s software program for the tracking of employee performance. Section 4.0: Policy Detail Guardian Tracking is an employee performance documentation software. The software is designed to benefit the entire organization by enhancing the supervisor’s ability to manage employee performance. Information maintained by the software will assist with various organizational processes, such as: performance appraisals, promotions, early intervention, recognizing training needs, employee recognition, awards, and corrective action. Section 5.0: Procedures 5.1 Managing Employee Performance 5.1.1 Confidentiality - All documentation stored in the Guardian Tracking system will remain confidential to the extent permitted by law. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 2 of 9 Approved by: 5.1.2 Documentation – Accurate, fair, and consistent documentation will provide meaningful feedback in promoting employee's better judgment, increased insight into behavior, heightened awareness of organizational goals, and performance comparisons over time, all of which combine to increase employee motivation. This documentation should reflect both positive and negative behavior. Documentation regarding performance should be placed in the software program under the particular categories listed. Only disciplinary action and positive performance action shall be placed in the employee’s personnel file. 5.1.2.1 Documentation Categories: The following categories must be documented. Accidents Absenteeism Complaints related to personnel or officials Exposure Toxic Substances/Pathogens Internal Investigations Internal Reviews Operation/Care of Equipment Policy Acknowledgements Policy Violations The following categories should be documented. Recognitions Awards Positive Performance 5.1.2.2 Discuss the Document/Entry – Performance documents/ entries should be discussed with the employee prior to, or contemporaneously with the employee before they are sent to the employee. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 3 of 9 Approved by: 5.1.2.3 Common Practice – Supervisors should make it a common practice to enter noteworthy performance in the system on a daily or weekly basis if possible. 5.1.2.4 Document Positive & Negative – This system allows for the documentation of positive and negative performance. Both performance indicators are important to recognizing and addressing with our employees. We sometimes spend more time on documenting negative performance and spend less time recognizing positive performance. Documenting positive performance is an effective means to inspire particular employees and inspire others who become aware of the performance recognition. 5.1.2.5 Timeliness of Entries –Performance issues need to be addressed in a timely fashion. Acknowledging positive performance, correcting negative performance, or addressing areas that need improvement are best managed when an issue is fresh. 5.1.2.6 Fact based Entries –Entries in the system are to be fact-based. They should not be of supposition or opinion. In the case of investigations, the investigator is expected to make summation of the facts as they are and provide a conclusion as to whether the employee violated a policy, procedure, or law. 5.1.3 Weekly Check-In 1. Supervisors must log into Guardian Tracking weekly for notification of any new or updated entries pertaining to themselves, or anyone under their command. 2. Non‐supervisory personnel should log into Guardian Tracking on a weekly basis for notification of any new or updated entries pertaining to themselves. A weekly check-in will provide employees with timely notification of performance issues which could result in “unacceptable” or “needs improvement” appraisal ratings. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 4 of 9 Approved by: 5.1.4 Performance Evaluations Guardian Tracking will assist the personnel performance evaluation process in a variety of ways, including but not limited to: • Justifying high or low ratings. • Tracking counseling, training, and other measures to improve employee performance. • Setting goals and objectives. • Providing historical data for use in performance improvement plans. 5.1.5 Corrective Action Guardian Tracking will assist the disciplinary process in a variety of ways, including but not limited to: • Detecting those instances or patterns of behavior when disciplinary action is warranted (remedial training, counseling, etc.). • Informing employees when substandard performance is observed and giving them opportunities to improve. • Maintaining a record of disciplinary action. 5.1.6 Complaint Process ADM-126 Complaints & Investigations policy details the complaint process. Complaints and internal investigations will be entered into the Guardian Tracking software program along with the documents related to those complaints & investigations. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 5 of 9 Approved by: 5.2 Early Intervention System (EIS) The Early Intervention System (EIS) is designed to identify critical performance indicators, patterns, or trends, and to evaluate the data in a manner that is constructive to the employee and the City. This system will assist supervisors and managers in highlighting behaviors that may be otherwise overlooked. The purpose of the EIS is to facilitate the early identification of potential problems, and to follow up, in a timely manner, with the appropriate intervention. The components of the EIS are as follows: 1. Guiding Principles 2. Performance Indicators 3. Identification and Selection 4. Intervention 5. Post‐Intervention Monitoring 5.2.1 Guiding Principles  The first‐line supervisor is critical to the success of EIS.  Because supervisors fill such a vital role within EIS, they will be required to handle responsibilities that previously may not have been considered parts of their jobs.  For EI systems to be effective, supervisors will need intervention options that vary to meet the wide range of employees’ needs.  EI systems should be part of an agency’s larger approach to supporting employees.  EI systems are valuable administrative tools that can enhance accountability and integrity in City departments. 5.2.2 Performance Indicators  Complaints against an employee can provide an early indication of problem behavior.  Repeated corrective action is an indicator of problem behavior.  Accidents can be an indication of reckless or negligent behavior.  Repeated absenteeism can be an indicator of a problem employee.  Recognitions and awards are indicators of positive performance. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 6 of 9 Approved by: 5.2.3 Intervention - There is a wide variety of interventions from which to choose, depending on the needs of an employee. It is recommended that supervisors be aware of and evaluate the various options available to them. In addition, supervisors should be encouraged to recommend other options which they believe may help the employee. Intervention options include, but are not limited to:  Counseling by immediate supervisor  Performance Improvement Plan with reviews and reports  Training  Professional counseling for personal or family problems  Referral to the Employee Assistance Program (EAP)  Reassignment  Relief from duty  No additional action When selecting an intervention option, supervisors may discuss performance problems and the available intervention options with others in the employee’s chain of command, the Human Resources Department, or the Employee Assistance Program. 5.2.3.1 Role of the First-Line Supervisor 1. Supervisors must become familiar with the EIS. This includes knowing which data to enter into Guardian Tracking and their own responsibilities, should an EI flag occur. 2. Supervisors must not rely solely on the Guardian Tracking software to identify potential problems. An EIS does not relieve supervisors of their responsibility to regularly monitor performance data and address any potential problems. a. Intervention triggers are not meant to be comprehensive; they are designed to monitor only certain specific employee behaviors. An informed supervisor should always have a much clearer picture of the performance record for each employee and a better understanding of the employee’s needs. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 7 of 9 Approved by: b. If a pattern is identified, supervisors should take the appropriate steps toward an intervention, regardless of whether their concerns were triggered by the EIS or their own observations. 3. Proactive supervision is similarly important in identifying employees who are exceeding expectations in their job performance. Just as supervisors should be identifying potential problems early on, they should also be noticing when their employees engage in positive behaviors that may warrant formal recognition, such as a letter in an employee’s file, or receipt of an award. 4. Thresholds have been set in the Guardian Tracking System for various aspects of employee performance. When a threshold is met, Guardian Tracking will display an “intervention” flag. This display will be viewable by all supervisory personnel within the employee’s chain of command until a response is made. The flag does not display for the employee involved. 5. When the early “intervention” flag is displayed, the following procedures must take place: a. The appropriate supervisor shall conduct a review to determine if intervention is needed. This review should include; (1) all incidents which activated the intervention; (2) at least six months of the employee’s performance records; (3) the supervisor’s personal knowledge and observations about the employee; and, if warranted; (4) an interview with the employee. b. If no further action is necessary, the supervisor will create a response using the “Early Intervention Response” category summarizing why no further action was taken. c. If the supervisor determines follow up action is necessary, he or she will create a response using the “Early Intervention Response” category detailing what the review has identified and what steps, if any, have been taken to remedy the situation (i.e. discussion, City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 8 of 9 Approved by: referral, verbal counseling, etc.). Any additional related incidents in Guardian Tracking should be linked to the “Early Intervention Response” entry. If another related incident occurs within the same period, a new intervention flag will occur. 5.2.5 Role of the Up-Line Supervisor 1. When the up‐line supervisor logs into Guardian Tracking any “Early Intervention Response” incident will display on the home screen. 2. The up‐line supervisor will review the “Early Intervention Response” entry, and (at a minimum) all incidents which activated the intervention, plus at least six months of the employee’s performance records. 3. The up‐line supervisor must then create a “sub‐entry” regarding the review. Any additional related incidents in Guardian Tracking should be linked to the “Early Intervention Response” entry. 4. The up‐line supervisor will also ensure that any necessary follow‐up takes place. 5.2.6 Post Intervention Monitoring 1. After intervention, the first‐line supervisor will monitor the employee. This can be done in various ways. Monitoring activity will be documented as a “sub‐entry” to the original “Early Intervention Response” entry. 2. Supervisors should recommend a different intervention if the first proved unsuccessful. 3. Up‐line supervision will review post‐intervention activity. City of Lebanon New Hampshire ADMINISTRATIVE POLICIES & PROCEDURES PERSONNEL PERFORMANCE TRACKING Policy Number Effective Date Last Revision Page No. ADM-134 3/8/2021 Page 9 of 9 Approved by: 5.3 Training and Policy Acknowledgement The following certificates and activities shall be entered into the Guardian Tracking software:  Training certificates  Attendee lists for training events where no certificate is awarded. A copy of the list will be placed in each employee’s file  Acknowledgements of policies/standard operating procedures where required 5.4 Accidents and Exposures ADM-125 Safety Policy outlines the procedures for investigating and reporting accidents and exposures. Accidents and exposures will be entered into Guardian Tracking as well as the supporting reporting and investigative documents. Section 6.0: References (Charter/Code/State Statues) 1. City Administration Policy ADM-126 Complaints & Investigations 2. City Administration Policy ADM-125 Safety Policy Section 7.0: Policy & Procedure Revision History Section Revisions Date Original Adoption 3/8/21 Amendment Amendment Amendment