HomeMy WebLinkAbout04-10-2001 ICPD General Orders PER-03.1
PERFORMANCE
EVALUATIONS
Date of Issue Genera/Order Number
March 13, 2001 01 - 03
Effective Date Section Code
March 19, 2001 PER - 03
Reevaluafion Date Amends / Cancels
March 2003 NEW
CoA,L.E.A. Reference
35.t .1 - 35.1.14
INDEX A S:
Employee Evaluations ~:"' ~ ' '
Evaluations
Performance Evaluations "
I. PURPOSE ~::~::' '
The purpose of this order is to identify and set out the performance evaluation
guidelines of the Iowa City Police Department and its employees,
II. POLICY
It is the policy of the Iowa City Police Department to establish and maintain a system for
employee evaluations. The evaluation system is a management tool utilized to provide
information to employees about their performance, assist in personnel decisions, and
improve work performance.
PER~3.2
III. PROCEDURES
A. PERFORMANCE EVALUATION SYSTEMS
1. Evaluation interviews shall be conducted by supervisors a minimum of
once each year.
2. Supervisors shall utilize the Performance Evaluation Form approved
by the Human Resources Department of the City of Iowa City. These
forms will be forwarded to the rated employee's supervisor prior to the
date of the annual evaluation. The form does not utilize a numerical
scoring system, instead progressive behavioral descriptions for each
dimension are presented. The supervisor selects the most accurate
description.
a. Supervisors shall receive training in performance appraisal.
b. In completing the Performance Evaluation Form, supervisors shall
comply with the instructions relating to the form.
c. If the employee's performance requires, supervisors may request
additional Performance Evaluation forms from the Office of the
Chief of Police.
d. The designated Performance Evaluation form is only a tool used in
performing the evaluation function. It should not interfere with the
process. If additional information pertinent to employee
performance is warranted, the rating supervisor will attach a
descriptive memorandum to the Performance Evaluation Form.
e. In the field designated "Rating Date" the rating supervisor shall
write in the date beginning the rating period and the last date of the
rating period, generally denoting one year. (I.e. 1/6/00 - 1/5/01 )
3. The form will be completed in legible form by the employee's
supervisor, indicating the appropriate trait level exhibited by the
employee during the evaluation period. Examples of the traits to be
evaluated are as follows:
a. Work Quality
b. Productivity
c. Planning/Organization
d. Decision Making/Problem Solving
e. Internal/External Customer Service Relations
f. Innovation
g. Oral Communication Skills
h. Written Communication Skills
i. Safety Awareness (non-supervisory) ,
j. Attendance
k. Equipment and Tool Utilization
I. Supervisory Skills (if employee is performing in a supervisory
capacity or has during the rating period)
1 ) Supervisory Ability
2) Leadership
3) Safety Awareness
4) Productivity of Unit
5) Development/Empowerment of Staff
PER-03.3
6) Rating Subordinates' Performance
a. Supervisors shall be rated in part based on their ability to
effectively evaluate employees assigned them. The ability to
fairly, impartially, accurately, and completely evaluate the
performance of staff is a fundamental supervisory skill and
demands daily preparation.
b. Supervisors shall insure that ratings are applied uniformly to
other employees performing the same functions.
c. Supervisors shall only evaluate an employee against those
dimensions pertinent to their specific job requirements.
4. The narrative report accompanying the form shall also be completed. It
shall contain an evaluation of other behavior/skill traits or tasks
evaluated by the supervisors, which are not indicated on the form.
These additional ratings shall be specifically related to the assignment
of the employee.
5. Any rated area where performance is categorized as outstanding or
unsatisfactory shall be supported by the narrative comments.
a. Every supervisor shall maintain a critical incident file on each
employee under his/her supervision.
b. This file, which may be kept in the supervisor"s records for that
employee, shall include:
1. The date and time of the incident
2. A brief description of the incident
3. Any resultant award/recognition or disciplinary action
c. Incidents of both positive and negative actions shall be recorded in
this file.
6. Performance Resources - Each supervisor shall thoroughly know and
observe employee behavior before an effective performance
evaluation can be conducted. Additional indications of performance
shall be gathered from review of:
a. Attendance records
b. Reports written by the employee .-'-' - '
c. Inspection Records :
d. Commendations .:
e. Complaints
f. Observations from peers
g. Training records '::
h. Personnel file
7. When an employee's performance is deemed to be unacceptable they
shall be notified of such in written format. This should occur as soon
as the supervisor becomes aware of the problem. When overall
performance is unacceptable, the employee should be notified in
writing at least ninety (90) days prior to the end of the rating period.
a. The evaluator shall be prepared to substantiate ratings at the
unsatisfactory level, to advise the employee of unsatisfactory
performance, and to define actions that should be taken to
improve performance. If unsatisfactory performance continues,
this information shall be included in the evaluation report at the
PER-03.4
end of the 90-day period. Flexibility concerning the 90-day period '
is permitted.
B. ERRORS AND PROBLEMS COMMON IN PERFORMANCE
EVALUATIONS
The immediate supervisor of the evaluated employee may seek to
measure the wrong qualities or fail to look at each quality separately and
independently from others. In evaluating performance, supervisors should
be aware of the following evaluation errors and seek to avoid them.
1. Misidentification - May result from attempting to apply different values
to various components of performance. For example:
a. It is easy to confuse Quality of work with Volume of work when in
reality, each should be considered separately.
b. Improper, inaccurate, or irregular documentation of observed
behavior throughout the evaluation period must be avoided by the
immediate supervisor.
2. Preiudice of the rarer - Evaluations must be based on objective
observations and compared, as much as possible, against objective
performance expectations. For example, these questions should be
considered:
a. How much of this trait does the employee exhibit? Is it constant or
rare?
b. What does Command expect? What level of performance is
typical for the unit or section?
3. Halo Effect - The halo effect is the tendency to allow one highly
': favorable or unfavorable trait to color judgement of all other traits. For
'~:' ~'-" this reason, each evaluation shall be limited to observations made only
.~ ~:':j during the specific rating period.
t : ~- 4. Inadequate Knowledqe - The first job of an immediate supervisor is to
-::- -'. ' know their employees. He/she should learn their needs, career goals,
:.._ problems, interests, and other aspects of behavior which make that
. _ ,.5 _ .:person an individual and which may impact upon their performance.
' ~:~ 5. Error of Central Tendency - This error is common among raters who
feel they have inadequate information on which to base their
evaluation and who seek to avoid the extremes of the rating scale
being used. Instead, the supervisor tends to keep their evaluation
"safe" in the "middle of the road." Such errors of central tendency are
due to a fear on the part of the rarer to have to defend a "high" or "low"
rating to their subordinate or to their supervisor who would review the
evaluation report.
6. Leniency - Some supervisors seek to avoid hostilities by over-rating
their employees. Another motive is to attempt to divert attention of
supervisors from what would otherwise be a reflection on the
supervisor's ability to direct, train, and discipline his/her subordinates.
7. Severity - Some supervisors are too severe in the expectations they
have of their subordinates. The qualities they seek are much greater
than that expected by Command and are unrealistic, in light of the
actual requirements of the job.
PER-03.5
C. THE PERFORMANCE EVALUATION INTERVIEW
The evaluation interview is an extremely important part of the
performance evaluation process. Properly conducted, the interview sets
the tone for future development of the employee. The interview must be
properly planned and executed by the supervisor, it is a high priority
supervisory function, and outside interruptions should be avoided.
Adequate time should be allocated to the interview to permit intensive,
meaningful discussion between the employee and the supervisor. This
interview should never be hastily completed nor "fit in where fill time is
available".
1. Objectives of the Evaluation Interview - The supervisor shall plan and
execute the interview with the following discussion objectives in mind:
a. Results of the performance evaluation just completed;
b. Level of performance expected, rating criteria or establishing
objectives and goals for the new reporting period;
c. Career counseling relative to such topics as advancement,
specialization, or training appropriate for the employee's position;
and
d. Voluntary program of continuing education or training for
development of employee skills or knowledge. Does not have to
be related to employment.
2. Setting - The location of the evaluation interview should be in a quiet,
business-like atmosphere. Privacy is extremely important so that the
employee does not feel as if the supervisor is opening the records to
examination by third parties. Though business-like, the setting should
establish a rapport between the supervisor and the employee
conducive to constructive discussion.
3. At the conclusion of the interview the employee will be afforded the
opportunity to sign and date the evaluation form. They will be allowed
to make written comments that shall become a permanent part of the
evaluation report.
a. The employee's signature is not required as an indication of
agreement with the evaluation. The signature indicates the
, ,:: employee was given an opportunity to both view and discuss their
evaluation as prepared by the evaluator.
1. If an employee refuses to sign the evaluation report, the
supervisor shall write, "refused to sign" on the evaluation form.
The supervisor shall then prepare a narrative report detailing
-. J the reasons, if given, the employee refused to sign.
: '. 4. Distribution of forms - At the conclusion of the interview, the evaluator
will distribute the evaluation reports as follows:
a. Copy to the employee
b. Copy to the supervisor's file
c. Copy sent up the chain of command for inclusion in the employees
personnel file
5. Grievance of Performance Evaluations - Appeals of performance
evaluations are to be made through the employee's chain of
command.
PER-03.6
6. Retention of evaluation forms - Copies of the Performance Evaluation
shall be retained in the employee's personnel file located in the office
of Chief of Police throughout the tenure of that employee. The odginal
record shall be forwarded to the Human Resources Department of the
City of Iowa City and retained in that department for a minimum of five
(5} years following the termination, resignation, or retirement of the
employee.
D. PROBATION PERIODS
1. All employees on a probationary status shall be evaluated as
determined by Chief of Police, or designee. Probationary periods will
be the period of time consistent with departmental policy, city policy
and state statute.
E. SPECIAL PERFORMANCE EVALUATION REPORTS
1. Performance evaluation for entry-level, probationary employees.
a. An in depth evaluation of an employee's job performance during
their probationary period shall be conducted on at least a hi-
monthly basis. (Every two months). Probationary officers shall be
evaluated in accordance with departmental Field Training
procedures. Such evaluation should include the following issues
and observations:
a) Specific examples of job performance
b) Current level of development
c) Work attitude
d) Quality of work
e) Volume of work
f) Judgement
g) Other apprepdate indicators of performance applicable to the
position.
.:
R.~.fW~ef of Polic~;
::.:-:.
WARNING .... :': '.
This directive is for departmental use only and does not apply in any criminal or civil
proceeding. The department policy should not be construed as a creation of a higher
legal standard of safety or care in an evidentiary sense with respect to third-party
claims. Violations of this directire will only form the basis for departmental
administrative sanctions.