EES Flashcards
(73 cards)
1
Q
EES shall be conducted as?
A
An ongoing evaluation process
2
Q
What is the rank of the rater?
A
Whenever possible, the rater shall be of a higher rank than the member being rated
3
Q
When does the reviewer rater meeting occur and how can it occur?
A
At the end of the performance evaluation period. These discussion may occur in person, through email, or over the telephone.
4
Q
Performance evaluation meetings shall include a review of the member’s performance from the prior quarter and a discussion of performance factors and expectations for the present quarter.
During each performance evaluation meeting, the rater shall ensure the following Policy & Procedure documents are discussed, including WHERE the policies can be located:
A
ADM-18 Anti-Harassment/Sexual Harassment and Discrimination ADM-29 Workplace Violence ADM-34A Social Media/Networking ADM-36 Diversity and Equal Opportunity SUP-04 Employee Assistance Unit SUP-12 Office of the Ombudsman
5
Q
If the reviewer and the rater cannot agree, what shall they do?
A
meet with the reviewer’s supervisor; the reviewer’s supervisor shall attempt to mediate a compromise rating.
6
Q
If the Reviewer’s supervisor can’t achieve a compromise rating, what shall be done?
A
the reviewer’s supervisor shall make the final rating decision
7
Q
How shall the performance evaluation be submitted and by whom?
A
electronically submitted by the RATER upon conclusion of the meeting
8
Q
What should be discussed during the performance evaluation meeting?
A
a review of the members’s performance from the prior quarter and a discussion of performance factors and expectations for the present quarter.
9
Q
Within what time shall the member accept or appeal the performance evaluation?
A
10 days
10
Q
Performance observations require a systematic observation and recording of work behavior.
How often should Observations of a member’s work occur?
A
on a daily basis or as frequently as possible
11
Q
each rater shall spend how long with each member
A
an APPROPRIATE amount of time
12
Q
When will observation reports and notes be issued by a supervisor?
A
when a specific instance of a member’s observed performance is either above average or inadequate
13
Q
What shall electronic personnel files be treated as and how should they be kept?
A
privileged information. It is confidential and should be SECURED at all times.
14
Q
Who shall electronic personnel files be accessible to?
A
supervisors in the members chain of command and office of professional integrity/accountability (OPIA)
15
Q
What are the 6 basic performance factors for all members that are utilized on a regular basis?
A
- knowledge/compliance/application of policy & procedures rules & regulations, statute law, orders and directives
- follows oral and written direction of supervisors
- oral/written communication skills
- initiative/dependability
- interpersonnel relations
- personal appearance/maintenance/use of department equipment
16
Q
what are the 2 specific performance factor for police managers?
A
- management/leadership ability
2. administrative abilities
17
Q
what are the 2 specific performance factors for police supervisors?
A
- supervisory skills
2. leadership/motivational skills
18
Q
what are the 5 levels of rating?
A
- outstanding
- exceptional
- acceptable
- needs improvement
- unsatisfactory
19
Q
All ratings given shall also include?
A
A statement in support of the rating. The statements shall briefly describe specific performance that justifies the rating issued.
20
Q
The principal purpose of EES is to establish what for members?
A
- performance factors for members
- measure the performance of each member, and
- evaluate the competence of members in the ranks of Trooper through Detective Captain based upon PRE-DETERMINED levels of performance
21
Q
What actions should a members performance be based off of?
A
observable accomplishments or lack thereof
22
Q
What are the principal objectives?
A
- To set performance expectations for members of the Department
- To identify strengths and weaknesses as a basis for planning assignments and determining the need for training
- To ensure that performance, either positive or negative, is properly documented
- To provide for timely correction of poor performance through proper leadership and instruction
- To provide for the continuing enhancement of member performance through proactive supervision
23
Q
Who can be the Department EES Coordinator?
A
a Commissioned Officer or Program Coordinator designated by the Division Commander of Standards and Training or designee.
24
Q
What is the definition of an Electronic Personnel File?
A
an electronic file which contains Supervisory Observation Reports, activity reports, notes, letters, etc. relating to a members performance.
25
What is the Member Performance Factor?
Statements specific to the member that describe the level of competency which the member is expected to achieve. These statements are specific, measurable, achievable, and realistic objectives to be worked towards during the performance period.
26
Who can be assigned as the rater and by whom?
The member's immediate supervisor, or person designated by their commanding officer, to monitor and evaluate a member's job performance.
27
Who can be a Reviewer and what are their responsibilities?
The Rater's supervisor, or a person designated by the Division Commander, who reviews a member's performance evaluation. Before the rating is issued to the member, the reviewer shall fairly and objectively consider the ratings submitted for all members the rater has been assigned to evaluate.
28
What is the definition and responsibilities of the Work Improvement Plan?
A written document, in To/From format, developed by the rater in conjunction with the reviewer, and approved by the member's Division Commander which sets forth specific performance expectations for the categories in which a member is performing at an unacceptable level.
29
How long is the electronic note (Supervisory Observation Report) maintained in the member's personnel file for?
one year unless the note is incorporated into the member's quarterly performance evaluation, in which case it is maintained indefinitely.
30
The EES system is not intended to compare one member to another member, but rather to
Evaluate all members on an INDIVIDUAL basis
31
Who is the department EES Coordinator and how is this person appointed?
A Commissioned Officer or Program Coordinator designated by the Division Commander of Standards and Training or designee. The EES Coordinator shall oversee all personnel records of all EES performance evaluations.
32
What action is the official determination of a member's level of competency?
Performance Evaluation
33
When is the performance period?
Quarterly to coincide with line inspections
34
Who is a reviewer's supervisor and what is their role?
A member designated by the Division Commander who mediates rating disagreements between the rater and reviewer or conducts appeals pursuant to section 8 (A).
35
What is the supervisory observation report and when is it given?
An electronic note that apprises a member of their performance, given at the time it occurs (or as close as practical to the time of occurrence), that is submitted to a member’s electronic personnel file.
36
What is a work improvement plan, in what format is it written, and who develops/approves it?
A written document, in To/From format, developed by the rater in conjunction with the reviewer, and approved by the member’s Division Commander which sets forth specific performance expectations for the categories in which a member is performing at an unacceptable level.
37
A work improvement plan is for the categories in which a member is performing
at an unacceptable level.
38
At the conclusion of the performance evaluation meeting, the member shall?
acknowledge, within the electronic system, that the meeting was completed and all performance factors were explained.
39
At the conclusion of the performance evaluation meeting, the member shall acknowledge, within the electronic system, that the meeting was completed and all
performance factors were explained. Who shall be notified upon submission?
The member being rated, the rater, and the reviewer shall be notified upon submission.
40
The observations of a member's work shall include but not be limited to what areas?
Basic Performance factors
| Specific Performance factors related to position
41
Whenever a supervisor makes a notation to the member’s electronic personnel file the member will receive notification. What is true about making members aware of observations in general, but also negative observations?
■ Members should be made aware of the observations when they are being documented or as close to that time as possible.
■ Notification of negative observations should be made to the member contemporaneously (or WITHOUT UNNECCESARY DELAY) to the incident.
42
For what reasons can someone access Electronic personnel files ?
Members shall only access the records of subordinates within their chain of command to monitor and evaluate the subordinate’s job performance, OR with the approval of the Division Commander.
43
The member’s electronic personnel file shall contain all prior official evaluations submitted since implementation of the electronic Employee Evaluation System. All prior evaluations will be maintained in
an Employee Evaluation System archive file.
44
What are the specific performance factors for Troopers in the Division of Field Services
Administrative Duties
| Policing Abilities
45
What are the specific performance factors for Troopers in the Division of Investigative Services/Division of Homeland Security
Administrative Duties
| Investigative Ability
46
What are the specific performance factors for Troopers in the Division of Standards & Training/Division of Administrative Services
Administrative Duties
| Operations ability
47
When shall an unsatisfactory rating be issued and who shall be notified when such a rating is given?
This rating shall be issued if the member’s performance consistently fails to achieve an Acceptable level of competency and, if after counseling, the member has failed to improve to Acceptable.
E-mail notification to the Station/Section/Unit Commander shall be mandated for all ratings of Unsatisfactory.
48
When shall a Needs Improvement rating be issued?
This rating shall be issued when the member’s performance occasionally fails to achieve the Acceptable level of competency, and if, after counseling, the member has failed to improve their performance in this factor.
49
What is the basis for Exceptional and Outstanding ratings
■ 5 - Outstanding
This rating shall be issued when results consistently surpass an Exceptional level of competency.
■ 4 - Exceptional
This rating shall be issued when results regularly surpass an Acceptable level of competency.
50
What is true about any rating you give a member under the new EES system?
All ratings shall include a statement in support of the rating. The statements shall briefly describe specific performance that justifies the rating issued.
51
What is the appeal process to the Reviewer' Supervisor?
Within 10 days, all appeals shall be made through a To/From OR email, to meet with the reviewer’s supervisor to discuss the ratings issued by the rater. A copy of the appeal request shall be saved to the member’s electronic personnel file.
52
How shall the reviewer's supervisor respond to an appeal?
Within twenty-one (21) days of the written appeal, the reviewer’s supervisor shall meet with the reviewer, the rater, and the member to discuss the rating given for any performance factor.
53
What is true of the reviewer's supervisor appeal decision?
■ All appeal decisions shall be made by the reviewer’s supervisor AT THE TIME of appeal.
■ If, after the appeal, the reviewer’s supervisor decides to change a rating for any performance factor, the reviewer’s supervisor or designee shall contact the EES Coordinator to purge the appealed performance evaluation. The reviewer’s supervisor or designee shall draft a new performance evaluation.
■ The member shall have the right to include written comments, which shall be included with their rating.
■ The revised rating and any written comments will be submitted in the member’s electronic personnel file.
54
If a member is aggrieved by the decision of the reviewer’s supervisor, the member may file an appeal to the Colonel/Superintendent in what manner?
In writing within 10 days.
55
Upon receipt of an appeal, the Colonel/Superintendent shall first do what?
Establish a three (3) member board consisting of staff/commissioned officers.
56
The colonel's appeal board shall handle the appeal in what way and how long?
Shall consult with the member who filed the appeal, the rater, and the reviewer.
Within twenty-one (21) days of receipt of the appeal, the Board shall submit a written recommendation to the Superintendent.
The Superintendent shall review the Board’s recommendations and take appropriate action. NO TIME given for decision
57
The Colonel/Superintendent’s appeal decision shall be submitted to the member’s electronic personnel file by the EES Coordinator, or designee, and forwarded to five people:
* the member who filed the appeal;
* the rater;
* the reviewer;
* the member’s Station/Section/Unit Commander; and
* the appropriate Division Commander.
58
What is cause for remedial action?
If a member’s performance level in ANY factor requires 3 or MORE counseling sessions during the previous twelve (12) months, the rater and the member shall appear before the reviewer for additional counseling.
59
During remedial action, If a member's performance level does not improve after counseling by the reviewer, the member shall be notified, in writing
to appear before the member’s Division Commander for remedial action. The Division Commander may order any remedial action deemed appropriate in accordance with Department Rules & Regulations or Policies & Procedures.
A copy of the written order to appear and instructions for remedial action (if any) shall be submitted in the member’s electronic personnel file.
A summary of the attached file or a verbatim transcription shall be placed within an accompanying note.
The submitted copy of the written order shall be attached as a PDF (Portable Document Format) or other non-editable format.
60
A member who is performing at an unacceptable level (needs improvement or unsatisfactory) may be subject to what?
Work improvement plan
61
What shall the work improvement plan include and what statements shall be made?
■ Specific explanation(s) of the performance which fails to meet the level of competency required for their position;
■ An explanation of what the member must do in order to achieve performance expectations;
■ Any training required (formal or on-the-job) to assist the member to meet or exceed the level of competency required
■ The time period the member has to improve their performance (90 days);
■ A statement that failure to attain the Acceptable level of competency shall result in a final rating of Unsatisfactory;
■ A statement that Unsatisfactory work performance is cause for corrective or disciplinary action, which could include reassignment, transfer, removal from special duties, charges or demotion
62
Who must sign the work improvement plan?
The rater, reviewer and member must sign the Work Improvement Plan.
63
What two things are true if a member refuses to sign the work improvement plan?
■ If the member refuses to sign the Work Improvement Plan, the rater shall indicate in the member’s signature block that the member “refused to sign.”
■ The refusal of a member to sign the Work Improvement Plan shall not impede or delay the implementation of said plan.
64
What is true about member absence during the WIP?
If the member is absent for MORE THAN fourteen (14) CUMULATIVE days during the reevaluation period, the length of the re-evaluation shall be extended by the total number of days absent.
65
There will be a minimum of ____ evaluation phases for members during their first year of employment following a member’s initial enlistment. They are?
1. The successful completion of RTT will serve as the first evaluation. Training documents shall be retained by the State Police Academy and supervisors may make a request, in writing, to the Academy Commandant to view the training documents of a member.
2. During the member’s Field Training Program, the Field Training Observation (FTO) evaluation system shall be used.
3. Upon completion of the Field Training Program, probationary members shall begin participating in the quarterly EES reviews. The EES will commence at the
beginning of the first full quarter after field training. These reviews shall be in addition to the probationary evaluations.
4. Thirty (30) days prior to the end of the probationary year the probationary member’s Division Commander shall make a final recommendation to the Superintendent
66
When shall probationary members begin participating in quarterly reviews and what will these be in addition to?
Upon completion of the Field Training Program.
The EES will commence at the beginning of the first full quarter after field training. These reviews shall be in addition to the probationary evaluations.
67
Thirty (30) days prior to the end of the probationary year the probationary member’s Division Commander shall make a final recommendation to the Superintendent. What are the 3 options?
■ retain the member;
■ continue employment for the purpose of further training; or
■ terminate the member
The Colonel/Superintendent shall make the determination to retain, terminate or continue employment for the purpose of additional training.
68
Who can nominate for awards and how?
Any Department supervisor may nominate a member for awards recognition under the EES by following the procedures outlined in General Orders, ADM-10 (Nomination Procedures).
69
When can you nominate a member for an award?
At any time during a rating period, any supervisor may nominate a member for awards recognition by submitting an EES Supervisory Observation Report to a member’s electronic personnel file. The supervisor must then forward the SOR electronically through channels to the appropriate Division Commander for consideration with documentation to support.
Or at end of rating period, you can send completed quarterly performance evaluation to the DC for consideration
70
EES Authority and Interpretation. Who does what?
The EES Coordinator can handle all questions regarding the application of the system. Rating members on leave etc.
The DC of DST is responsible for the official INTERPRETATION of EES
71
Under Specific Performance Factors, what are the Administrative Duties of every Trooper?
■ The member must regularly read and respond to e-mail communications received through their Department e-mail address.
■ The member must complete weekly payroll submissions to reflect a complete and accurate accounting of their hours worked, and utilization of approved leave. Payroll must be submitted within the timeframe established by payroll and/or their immediate supervisor.
■ Reports must be submitted within guidelines established by Rules & Regulations, Policy & Procedure, Department directives, and the laws/regulations of the Commonwealth.
72
What factors fall under Management/Leadership Ability for Police Managers?
■ The member must plan, assign, and direct the functions of officers and civilian employees within the member’s span of control.
■ The member must provide leadership and motivation to subordinate personnel.
■ The member must actively promote and embody the goals/objectives of the Department, Division, and specific assignment.
■ The member must monitor the work of subordinates for accuracy within assigned time limitations.
■ The member shall utilize EES to effectively evaluate the work performance of subordinate personnel.
■ The member must foster open communication.
■ The member must monitor the workplace for emerging problems and must address them prior to their development into a more serious issues.
73
What factors fall under Administrative Abilities for Police Managers?
■ The member must seek clarification from subject matter experts or superiors when necessary.
■ The member must clearly communicate to subordinate personnel.
■ The member must adapt to, communicate, and clearly embody changing priorities to subordinate personnel.
■ The member must manage time effectively relative to the completion of tasks/assignments by the member and/or subordinate personnel.
■ The member must monitor the work products of subordinate personnel for accuracy to include spelling, grammar, meeting time deadlines, and proper application of statute law
and regulations.
