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
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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
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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