2003-04-09
SPECIAL APRIL TERM
HELD APRIL 9, 2003
THE STATE OF TEXAS li
li
COUNTY OF CAIJIOUN li
e
BE IT REMEMBERED, that on this the 9th day of April,
A.D., 2003 there was begun and holden at the Town Hall
Meeting Room at International Bank of Commerce, 3ll North
Viurginia in Port Lavaca, Calhoun County, Texas, at 8:00
A.M., a Special Term of the Commissioners' Court, within
said County and State, and there were present on this date
the following members of the Court, to-wit:
Michael J. Pfeifer
Roger C. Galvan
Michael J. Balajka
H. Floyd
Kenneth W. Finster
Anita Fricke
County Judge
Commissioner,Pct.l
Commissioner,Pct.2
Commissioner,Pct.3
Commissioner,Pct.4
County Clerk
Thereupon the following proceedings were had:
PERFORMANCE PLANNING AND EVALUATION SYSTEM FOR CAIJIOUN
COUNTY EMPLOYEES
Katherine Ray of Ray Associates, Inc. met with the
Commissioners' Court and County department heads to
discuss a Performance Planning and Evaluation System for
Calhoun County.
e
e
Decision Making Workshop
Development of a
Performance Assessment System
for Calhoun County, Texas
April 9, 2003
Prepared by:
~aY Associates, Inc.
~th~ publIc milnagemen\ compilny
1305 San Antonio
Austin, Texas 78701
(512)478-4699
www.ravassodatcs.com
e-mail: ra.yassociates.com
31.9
e
Table of Contents
Objectives of This Workshop .......................................................................................1
Benefits of Performance Assessment to Employees .................................................2
Benefits of Performance Assessment to Supervisors ...............................................3
Benefits of Performance Assessment to the County .................................................4
Common Types of Employee Performance Assessment Systems ...........................5
Key Consensus Issues Regarding the Calhoun County's
Employee Performance Assessment System .............................................................8
e
Sample Forms and Standards for Performance Assessment and Development:
A. Sample New HirelPromoted Employee Progress Report (buff)
. B. Sample Combination Goals, Job Description, Checklist Assessment (Empioyee) (pink)
C. Sample Combination Goals and Checklist Assessment (Supervisor) (canary yellow)
D. Standards for General Job Assessment Factors for Attachment B (light blue)
E. Standards for Supervisory Job Assessment Factors for Attachment C (white)
F. Sample Employee Self-Assessment Fomn NO.1 (green)
G. Sample Employee Self-Assessment Fonn No.2 (pink)
H. Sample Peer Feedback Form (canary yellOW)
I. Sample Peer Feedback Fonm (Work Teams) (light blue)
e
<0 Ray Associates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Pagei
'''JlO
J^"
I
.
+
I
I
I
l
l
t'
.
I
~
f
~
[
e
Objectives of This Workshop
Reach consensus on:
1) What the county wants to accomplish with its formal performance
assessment system;
2) How that will relate to overall performance management;
3) The process for, instrument(s) to use, and timing of formal performance
assessments; and
4) How to tie performance assessments to pay.
To do this, we will:
· Discuss the reasons for having a performance assessment system;
· Review Calhoun County's managers' past experiences with perfor-
mance assessments;
· Discuss performance assessment options and the pros and cons of
each; and
· Decide what will work for Calhoun County managers and employees.
@ Ray Associates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Page 1
321
I
I
I
I
I
I
I
I
I
I
I
I
I
t
I
f
r
I
I
'~~e
Benefits of Performance Assessment to Employees
Regular performance assessment is a valuable experience for the employee
because, if it is structured properly, it:
.. Helps the employee understand how and where his/her performance directly
affects the county's success or failure;
. Lets the employee know where s/he stands in the eyes of the supervisor,
peers, and others;
. Provides an opportunity for a serious exchange of views in an atmosphere of
privacy and confidence;
. Encourages discussion of the employee's strengths and areas needing
improvement;
e
. Assures that the employee has the opportunity to have his or her supervisor
explain and clarify performance expectations;
. Provides the employee an opportunity to assess his or her own performance
and to respond to the supervisor's expectations and comments;
. Gives the employee an opportunity to comment on the impact of the work
environment on the employee's performance, including ways in which the
supervisor can help the employee improve his or her performance;
. Establishes a regular cycle for setting, reviewing progress toward, and re-
setting new goals; and
. Identifies future development needs and opportunities.
e
(0 Ray Associates, Inc.; Date, 2003
Calhoun County Performance Evaluation Workshop
Page 2
322
J
I
I
+
I
I
I
I
I
I
.
I
I
I
r
I
r
l
-
Benefits of Performance Assessment to Supervisors
The employee performance assessment and development process is valuable to the
supervisor because, if it is structured properly, it:
· Helps to make the employee responsible and accountable for his or her own
success, and gives the employee an understanding of how his or her
contributions impact the success or failure of the county and the department;
. Provides a means of measuring and supporting the progress of each
employee in relation to the county's and to the employee's developmental
goals;
. Provides a valuable tool to assist in assigning work appropriate to each
employee's strengths and identifYing areas that need improvement and/or
opportunities for coaching;
. Gives the supervisor an opportunity to solicit the employee's observations as
to the impact of the work environment on the employee's performance,
including ways in which the supervisor can help the employee improve his
or her performance;
. Assures that any misunderstandings regarding performance expectations can
be identified and resolved;
. Focuses attention on an employee's strengths as well as areas needing
improvement, thus providing a basis for determining where development
may be possible and where supervision, training, coaching, or counseling is
advisable; and
. Provides a systematic review of the absolute and relative performance of
each employee.
@ Ray Associates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Page 3
323
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
--'--'~-e
Benefits of Performance Assessment to the County
The employee performance assessment and development process is important to
the county because it:
. Communicates expectations and helps to align individual employee
performance with organizational and departmental needs, expectations, and
goals; -
. Fosters commitment and understanding throughout the organization;
· Provides important information and documentation used to make many
personnel decisions, such as performance-based pay increases, promotions,
and transfers (therefore, the job performance of each employee must be
docllmentedformally at least once each year);
. Improves performance and productivity of individual employees and the
county through constructive feedback;
. Identifics training needs of individual employees and groups of employees;
. Identifies changes in jobs, and may bring to light organizational problems or
issues that need to be addressed;
e
. Helps ensure that personnel decisions are made in an objective manner,
consistent with equal employment opportunity standards; and
. Can result in improving the overall quality of service to the county's
customers or clients, both internally and externally.
The formal performance assessment and development process is one aspect of
overall performance management. Effective performance management can only be
accomplished through performance improvement processes that are ongoing
throughout the year, ensuring and reinforcing shared values and goals and focusing
on results.
e
<D Ray Associates, Ine,; Date, 2003
Calhoun County Performance Evaluation Workshop
Page 4
324
I
I
I
.
I
e
e
Common Types of Employee
Performance Assessment Systems
" Major Advantagesl
Type Characteristics Disadvantages
Essay . The evaluation/assessment describes the . Requires evaluator to think: carefully about
strong and weak points of the employee's the assessment.
behavior in essay form. . Allows freedom to fit assessment conunents
. There are usually guidelines on topics, to specifics of each job and each person
which should be covered by the essay. being evaluated.
. The [annat is open-ended. . Depends heavily on the evaluator's skill in
written expression.
. Time consuming.
. Dual assessment by supervisor and employee
difficult to use with this system.
Critical Incident . A list of critical job requirements is drawn . Provides very specific examples of
Technique up for each type ofjah. performance.
. Evaluators are trained to observe "critical . Helps assure that the evaluator considers the
incidents" of success or failure in meeting full assessment period -- not just recent
these requirements. events.
. Evaluator lists incidents as observed and . Evaluators may tend to watch for and record
accumulates a record for each employee. incidents of "failure" and overlook incidents
. A summary report is written or the incidents of "success."
are used when filling out other kinds of . Requires good writing skills.
rating forms. . Does not lend itself to dual assessments.
. Employees may become suspicious of the
evaluator's observations and record keeping.
Comparisoo/Ranking Assessments:
a. Straight Ranking All employees in ajob type are ranked high to . Easy and inexpensive to develop.
low.
. Easy to use.
. Helpful in making promotional decisions.
b. Paired Each employee is compared to every other . Very subjective.
employee one at a time, in pairs. Appraiser
Comparison selects the better employee in each pair. Final Ratings tend to be inconsistent among
.
rank is detennined by the number of times the supervisors.
employee is chosen over other employees.
. Not helpful in employee development.
. Can cause disagreements among employees
and may be unfair if all employees in the unit
perform excellently.
c. Forced Performance ratings are distributed according
Distribution to a predetermined pattern -_ i.e., no more than
10 percent can receive an excellent rating; often
using a bell curve.
@ Ray Associates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Page 5
325
I
I
I
I
I
I
I
I
I
I
I
I
I
I
I
r
1
I
e
MaJor Advantagesj
Type . Characteristics Disadvantages
Multi-source . Multiple raters assess an employee's . Emphasizes how results are achieved.
Assessment perfonnance from numerous sources, both . Provides accurate ratings on all aspects of
(360 degree, or less) within and outside the organization. employee's job.
. Six to nine raters are chosen for each
employee and can include supervisors, . Collecting, analyzing, and distributing data
peers, customers, and direct reports. can be difficult and time consuming.
Extreme ratings are discarded. . System hinges on maintaining confidentiality
. of peer responses.
. Typically, the supervisor's rating is . All employees must be trained in how to rate
weighted to have a greater impact on the their peers.
emoloyee's overall assessment.
Management By . In this system the supervisor and employee . Organizational and individual goals and
Objective jointly set objectives in advance for the objectives are integrated.
(MBO)/Goals-based employee to achieve within a specified . The employee knows in advance the results
Assessment period of time. that must be achieved to obtain a high rating.
. Objectives are phrased in quantitative terms This system lends itself to dual
.
whenever possible. employee/supervisor assessment.
. The assessment centers on comparison of ,
. Advance planning is emphasized and
actual results with the previously encouraged.
established objectives.
. To be completely effective, organizational
. The foew is on progress toward objectives and departmental objectives need to be
rather than behavior or traits of the identified and coordinated from the top
employee. throughout the organization.
. Variables other than employee performance
often affect results or change objectives
during the assessment period.
. Supervisors and employees tend to set too
many objectiyes.
. Tends to be less effective for support
personnel who do not control the work
process.
. To be effective, objectives need to be
reviewed, and revised as needed, at least
quarterly in a dynamic organization.
. May be time consumim! to implement.
Bebavlorally . Focuses on critical areas ofajob and is . Very useful for employee development as
Anchored Rating based on observable behavior. well as personnel action decisions.
Scales (BARS) . Distinguishes between behavior and results. . Easy to use.
. Precise written statements of effective and . Very specifically job-related.
ineffective performance are prepared for . Lends itself to dual supervisor/employee
each t}pe of job, assessments.
. Difficult and costly to develop.
. Does not emphasize future.otiented
performance planning.
. Does not always clearly measure the
accomplishment of results.
e
e
(0 Ray Associates, Inc.; Date, 2003
Calhoun County Performance Evaluation Workshop
Page 6
326
I
I
+
I
I
I
I
I
I,
+
e
Major Advantagesl
Type Characteristics Disadvantages
Linear Rating Scale . A scale from excellent perfonnance to . Easy to use by evaluators.
unsatisfactory performance is used with . Easy for employees to understand.
boxes for the evaluator to check. ..
A series of be haviorl work trait questions is .. Lends itself to dual employee/supervisor
.
asked. assessments.
. Forces evaluator to think through a series of
. The evaluator makes a check on the fonn behavior/work traits.
indicating where the employee falls on the
continuum. . Evaluators tend to keep scores close to the
. Sununary ratings and comments follow middle ("safe" or "average" range).
specific sections of questions. . Evaluators do not rate consistently among
themselves or, often, from the time of one
assessment to the next.
. This system is not always helpful for
counseling and employee development.
. Standards may be unclear.
Trait/Beha.vior . This system is like a multiple~choice test. . Easy to use.
Checklist . A series of descriptive statements are made . Not always helpful for counseling or
and the evaluator checks off the one that employee development.
most accurately describes the employee. . Sometimes requires an expert to interpret the
. Weights can be assigned to each question. meaning of evaluator choices of answers.
. Weighted systems often require scoring by a
personnel technician.
Job Description . This type of system uses either the job . Easy to use by the evaluator.
Based description itself as the assessment . Easy for employees to understand.
instrument or takes excerpts directly from
the job description (i.e., the list of essential . Very specifically job-related.
functions) and incorporates them into the . Lends itself to dual employeelsupeIVisor
asscssment format. assessments.
. Results in at least annual review and update
of job descriptions.
. Requires up-to-date job descriptions.
. May not emphasize future-oriented
perfonnance reviews.
Combinations . An organization may dcvelop an assessment . Allows the organization to satisfy a variety of
instrument that contains components from objectives regarding assessments.
two or more of the types of assessments, . More difficult and costly to develop.
i.e., ajob description-based instrument with
a goal-setting section and/or a . May be more time consuming to implement.
behavior/traits checklist.
. An organization may choose to use one type
of assessment instrument for its managers
and another instrument for more routine
positions.
<9 Ray Associates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Page 7
327
I
I
I
I
I
I
I
I
I
I
r
I
I
I
I
!
I
e
Key Consensus Issues Regarding Calhoun County's
Employee Performance Assessment System
I) Do we want to place a greater emphasis on development or evaluation
through this process?
2) Should we require that employees prepare a self-assessment using a different,
more abbreviated instrument? If so, do we want to allow supervisors or
department heads the option to decide whether the self-assessment should be
oral or written, depending on the employee's ability to write?
3) Should we include peer and/or other input/reviewers?
a) Peer? Upward? Customer?
b) Same instrument? Abbreviated instrument? Other instrument?
e
4) What type(s) ofinstrument(s) will work best?
· Type(s) ofinstrument(s)
· Rating categories - how many and wording
· Overall rating?
· Weights/scores?
· Do we want to use a different, more goals-based instrument for
department heads/salaried employees and a more generalized, checklist-
type instrument for the rest of the staff?
5) How soon/often should we conduct formal performance reviews?
· Initial evaluation?
· Ongoing evaluations?
6) When should we conductfotmal performance reviews?
. Anniversary date?
· Single month(s) each year?
· Timing after promotion/demotion?
-
@RayAssociates, Inc.; Date, 2003
Calhoun County Perfonnance Evaluation Workshop
Page 8
328
I
I
I
I
I
+
I
I
I
I
I
I
+
I
l
I
l
I
e
Key Decisions Regarding Calhoun County's
Employee Performance Assessment System (Continued)
7) Process:
· How many levels to review written instrument(s)?
· Before or after reviewed with employee?
· Number of copies? Who gets them? When?
· Central notification person? How far ahead to notify supervisor?
. Final approving authority?
8) Supervisor's and/or Employee's Handbook?
9) How should ratings affect pay?
. Tied directly?
. Tied indirectly?
· If tied indirectly, how much time should we have between the assessment
discussion with the employee and the merit pay recommendations?
· What documentation will we require if the merit increase recommendation
does not match the most recent performance assessment?
10) Who should be included in the training session when the system is complete?
· Supervisors only?
. Session for employees?
@ Ray Associates. Inc.; Date, 2003
Calhoun County Performance Evaluation Workshop
,
Page 9
THE COURT ADJOURNED AT 12: 00 P. M.
329