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NOVEMBER 22, 2011 11-510 RESOLUTION
(CARRIED___7-0___ LOST _______ LAID OVER _______ WITHDRAWN _______)
PURPOSE: APPROVE HANDBOOK FOR EVALUATING THE CITY
MANAGER
INITIATED BY: DEPUTY MAYOR HERMAN
WHEREAS, the Deputy Mayor is responsible for facilitating the evaluation
process for the City Manager; and
WHEREAS, it is beneficial to define a process by which evaluations will be
conducted that also allows for flexibility in its application based upon the needs and
circumstances that may arise from time to time.
NOW, THEREFORE, BE IT RESOLVED by the Common Council of the City of
Oshkosh that the attached Handbook for Evaluating the City Manager is hereby
approved and that the Common Council will follow the process outlined in the attached
handbook for future evaluations of the City Manager.
A Handbook
For Evaluating
The City Manager
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City of Oshkosh, Wisconsin
November 2011
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Contents 1
Introduction 2
Purpose 2
Context for Performance Evaluation 3
Council and Manager Roles and Responsibilities 3
Council Goals and Priorities 3
The Performance Evaluation Process 3
Step 1: Defining why you want to evaluate the performance of your employee 3
Step 2: Developing a timeline and assigning responsibilities 4
Step 3: Developing criteria 4
Step 4: Selecting procedures to evaluate performance 4
Step 5: Performing the evaluation 4
Step 6: Discussing results with your employee and allowing for feedback 5
Step 7: Agree on follow-up steps 5
Step 8: Evaluating the process 6
Next Steps 6
Appendices
ICMA Recognized Practices for Effective Local Government Management 7
1
Introduction
This Handbook has been developed for use by the Oshkosh City Council to help establish and conduct
an evaluation process for the chief executive officer of the City and the sole employee of the Council, the
City Manager.
An annual examination of the City Manager's performance is not only conducted because it is required by
his or her employment agreement but also because it is important and healthy activity for establishing an
effective Council-Manager relationship. Ultimately, the performance evaluation of the City Manager is an
essential tool for promoting more effective decision making throughout the City organization.
This handbook first discusses the purpose for completing an evaluation of the Manager's performance,
and then defines the context within which a performance evaluation takes place. It outlines a series of
steps for an effective performance evaluation process and concludes with other reference materials and
corresponding evaluation forms. The information presented has been adapted from a variety of materials
and includes related resource materials assembled from various publications.
Purpose
Performance evaluation need not be painful for either the Council or the City Manager. It should be
constructive, providing not only an examination of past performance but guidance for future efforts by the
City Manager.
The needs of any city often change over time and priorities are likely to shift with each Council election.
As with any employer/employee relationship, an employer has a responsibility to clearly communicate to
its employee exactly what it expects. As the employer, each new Council has an obligation to relate to
their employee, the Manager, their desire for him or her to focus on particular community needs projects
or priorities.
If conducted properly, a performance evaluation process will be positive and useful for both the Council
and Manager. It will:
• Allow Council members to become better acquainted with each other and the Manager;
• Improve communication between the Council and Manager;
+ Provide important feedback to the Manager;
• Acknowledge strengths and point out weaknesses for the Manager;
❖ Bring problems into focus and reduce future misunderstanding and conflict; and
• Help clarify roles and responsibilities of both the Council and Manager.
There is another purpose for completing the City Manager performance evaluation process. An effective
evaluation process can help the Council examine and improve upon its own performance. A Council's
success in achieving its goals is tied to the performance of its City Manager. The City Manager can
provide useful feedback and observations to the Council about such things as:
• Is the Council providing clear direction about its needs, goals, and priorities?
• Is the Council fulfilling its role as a policy-making body?
+ Is the Council becoming too involved in day-to-day administration?
There are numerous methods and techniques that a City Council may choose to follow in evaluating their
City Manager. The process outlined in this handbook is general in nature and can be adapted to
accommodate various needs or circumstances that may arise from time to time. Although there is no
"right"way to conduct an evaluation, there is a right way to approach performance evaluations. The City
Council's evaluation of the City Manager must be approached as part of an on-going process which
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strives to allow for a more thoughtful and effective decision-making body and more effective city
management.
Context for Performance Evaluation
Council and Manager Roles and Responsibilities. A Council and its Manager depend on each other.
The Council depends on its Manager for a considerable amount of information, and the Manager depends
on the Council to make the best decisions it can after receiving and evaluating that information. Given this
dependency, the importance of respect, forthrightness and confidence in the Council-Manager
relationship cannot be overemphasized.
The original concept behind the Council-Manager form of government was to separate the policy-making
functions, the domain of the elected Council, from the administrative functions to be directed by the
Manager. In reality, the separation of administrative and policy-making functions are not so clear cut.
Defining the difference between policy and administration may be the greatest source of confusion and
conflict between City Councils and a Manager.
Before any performance evaluation takes place, a Council and its Manager should define their respective
roles and reach agreement about them. Without a clear understanding of functions and roles,
performance evaluation is of little value.
Council Goals and Priorities. Goals are a necessary ingredient for success in an organization. To be
effective, any organization must have a clear picture of its purpose and what it hopes to achieve, an
understanding of what it must do to achieve its purpose, specific goals, and objectives and a valid method
for evaluating its effectiveness in reaching them.
Setting goals has a direct relationship to the Manager's performance. Goals set clear direction and let the
Manager know what issues are important to pursue. The Council goals,themselves, should not be a part
of appraising the Manager's performance. However, the City Manager's professional capacity to take
policy direction from the Council and implement the goals is an important ingredient of evaluating the
Manager's performance.
The Performance Evaluation Process
STEP 1: DEFINE CLEARLY WHY YOU WANT TO EVALUATE THE PERFORMANCE OF
YOUR EMPLOYEE
There are many reasons for a Council to evaluate the performance of its Manager. Frequently,
the Council wants to measure performance and determine salary, or define or improve, the
working relationship between the Manager and the Council.Whatever the particular reasons,
they should be honest, clear, and understood by the Council, the employee, and the public before
launching a performance evaluation process.
Following are examples of objectives that can be established prior to completing the appraisal
process:
• To establish and maintain effective Council and City Manager relationships;
• To allow the City Manager and Council to identify and understand their respective; roles,
relationships, expectations of, and responsibilities to, each other; and
• To allow the discussion of the City Manager's strengths and weaknesses to occur as
demonstrated by past performance and to determine the methods where performance may be
improved and crisis confrontations avoided.
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STEP 2: DEVELOP A TIMELINE AND ASSIGN RESPONSIBILITIES
A Council that is committed to a good evaluation process will also commit the time necessary to
perform each task involved in the process. The entire Council should be involved in every step.
The Council as a body on behalf of the City employs the City Manager and is needed to provide guidance
to the City Manager. In the City of Oshkosh, the Deputy Mayor is responsible for facilitating the
evaluation process.
STEP 3: DEVELOP CRITERIA
Once the Council and Manager are comfortable with their respective roles and responsibilities, have
adopted goals which are supported by the Council, and are clear about why they are conducting an
evaluation,then they are ready to move to the next step which is selecting the criteria to measure
performance against.
In developing the criteria to be used for evaluating the City Manager's performance, both the Council and
Manager should discuss and agree upon the competencies, skills and expected outcomes necessary for
being an effective City Manager. The evaluation process will be enhanced if both the entire Council and
the Manager are involved from the start in developing the criteria and agree upon them.
STEP 4: SELECT PROCEDURES TO EVALUATE PERFORMANCE
After specific criteria has been established this criteria should be reviewed until both the Council and
Manager are satisfied with the results.
The City of Oshkosh has a combined written and oral evaluation. This method allows each individual
Council member to evaluate the performance of the Manager in writing and follow up with face-to-face
discussion individually and/or preferably collectively as a group.
STEP 5: PERFORM THE EVALUATION
The system for performing the evaluation is in place and ready to use. The Deputy Mayor will establish a
definitive schedule set up and a target date for completing the evaluation.
He or she will distribute the forms requesting that the forms be completed and returned according to
the established schedule.
Collecting accurate information according to the criteria developed is more difficult for a Council than in
an ordinary supervisor-subordinate situation because Council Members are not always in a position to
observe the employee on a day-to-day basis.
There are several things Council Members can and should do to help ensure that they have accurate
information to perform a meaningful evaluation.
The most important thing is to allow enough time to collect information about the
Manager's performance.An extended information-collection period will make the entire
process a little longer; however, it is well worth spending the additional time to have an
effective and productive evaluation. Council members cannot base their judgments on
the employee's performance in only 2 or 3 months.Allowing six months after you have
developed the criteria may be more appropriate.
+ Looking over minutes of past meetings may bring to mind projects that the Manager has
been responsible for and the outcome of those projects.
❖ Individual Council members may want to make appointments with the Manager to
discuss his or her performance. This meeting is not intended to make judgments about
his or her performance. Its purpose is to seek information.
• Remember, the primary responsibility for Councilors during this phase of the evaluation cycle is
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to be alert and responsive to data about the Manager's performance. One of the most
common errors found in formal employee evaluation systems is that they often reflect only the
performance just prior to the evaluation session. To avoid this, it is important for Councilors to
document information throughout the performance cycle that reflects the performance of the City
Manager. It is as important to document outstanding performance as it is to document
performance that does not meet expectations.
It will be extremely helpful to both the Manager and the Council to use specific examples of performance
in the evaluation. Vague generalizations will not help the Manager understand how he or she can improve
performance. Specific examples help to illustrate positive and negative comments and put everyone on
the same wavelength.
In preparing for discussion of the evaluation results with the Manager, the Deputy Mayor should compile
the information from each Council Member into one document which reflects all the input. The Deputy
Mayor should then share the results with the entire Council before it is presented to the Manager. The
purpose of sharing the results of the evaluation with the Council is to provide each member with an
understanding of the total results. The Council should strive to reach consensus on the report so that
each person can feel a part of the result and be comfortable with it. This does not mean that any
individual should try to push others into changing their minds about how they filled out the evaluation. But
this group discussion will allow each Council Member to understand how the others feel and what
differences need to be resolved. There may be differences in the perceptions of individuals which need
further discussion and clarification.
Having one document from the whole Council is very important. The entire performance evaluation
process has been a group process. It is not appropriate for each Council Member to independently pass
judgment on the Manager without consensus of the entire Council. The Council has authority and the
Manager receives clear direction only when the Council acts as a body.
STEP 6: DISCUSS RESULTS WITH EMPLOYEE AND ALLOW FOR FEEDBACK
Before making a final decision about any action as a result of the evaluation, or making any final
statement as a Council about the Manager's performance, it is important to discuss the results of the
evaluation with the Manager first.
Several things should happen during this discussion. First, discuss the Manager's self evaluation. The
Deputy Mayor should provide the City Manager with the same rating form or set of questions that he or
she provided the Council and ask him or her to fill it out according to their own perception of how he or
she has performed in the position.
Discuss the areas where there are differences between the Manager and the Council about
strengths and weaknesses. There may be misunderstanding among Council Members about the
Manager's actual performance. Likewise, the Manager may not have understood or may have
misinterpreted the Council directives. Try to reach agreement on the areas that need
improvement and what types of changes the Council would find acceptable.
A Council that is serious about evaluation should understand that its performance often affects
the Manager's performance. The Council should ask the Manager about how the Council's
performance has enhanced or hindered the Manager's performance.
STEP 7: AGREE ON FOLLOW-UP STEPS
One of the most important reasons for evaluating the performance of an employee is to acknowledge the
employee's strengths and point out areas that need to be improved.Any recommendations or actions the
Council takes should be tied to this reason and any others the Council considered in Step 1 of this
process.
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Nobody is perfect—even the best evaluation will likely show a few things that need improvement and
attention.Also, change may be necessary on the part of the Council as well as the Manager.
Remember that the evaluation process is intended to bring out positive change. Focus on future
improvement, not on past performance.
Agree on the areas that need improvement and the best course of action
Set up a work program and schedule for workshops or any other methods which will help the Manager
and Council improve the identified areas
Effective performance should be acknowledged. Everyone needs positive reinforcement for good
work.The Council should decide how they would like to acknowledge strong performance.
STEP 8: EVALUATING THE PROCESS
No process is ever complete without an evaluation of what has been done. Whether a questionnaire is
developed to evaluate the process or a debriefing session is scheduled, every individual involved in the
process should participate and make recommendations for future use. Here are some questions to
consider:
❖ What were the positive outcomes?
+ What were the negative outcomes?
•• Could negative outcomes have been avoided?
• How could you improve the process next time?
• What areas of the process do you and the Manager need to work on?
• Were the criteria fair and objective?
❖ What have you learned about yourself as an elected or appointed official?
• How did the general public react?
Involve the Manager in this review. He or she may have some valuable insights for the next time.
As a group, try to develop a list of ways to improve what has been done.
Next Steps
Once the process has been completed, the accomplishments realized will be more than the performance
evaluation of the employee. Roles and responsibilities will have been defined, goals will have been set,
lines of communication will have been opened, and significant strides will have been made toward
increasing the effectiveness of the elected body.
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Appendices
ICMA Recognized Practices for Effective Local Government Management
1. Staff Effectiveness: Promoting the development and performance of staff and employees throughout
the organization (requires knowledge of interpersonal relations; skill in motivation techniques; ability to
identify others' strengths and weaknesses). Practices that contribute to these core content areas are:
COACHING/MENTORING Providing direction, support, and feedback to enable others to meet
their full potential (requires knowledge of feedback techniques; ability to assess performance and
identify others' developmental needs)
TEAM LEADERSHIP Facilitating teamwork(requires knowledge of team relations; ability to direct
and coordinate group efforts; skill in leadership techniques)
EMPOWERMENT Creating a work environment that encourages responsibility and decision
making at all organizational levels (requires skill in sharing authority and removing barriers to
creativity)
DELEGATING Assigning responsibility to others (requires skill in defining expectations, providing
direction and support, and evaluating results)
2. Policy Facilitation: Helping elected officials and other community actors identify, work toward, and
achieve common goals and objectives (requires knowledge of group dynamics and political behavior; skill
in communication, facilitation, and consensus-building techniques; ability to engage others in identifying
issues and outcomes). Practices that contribute to this core content area are:
FACILITATIVE LEADERSHIP Building cooperation and consensus among and within diverse
groups, helping them identify common goals and act effectively to achieve them; recognizing
interdependent relationships and multiple causes of community issues and anticipating the
consequences of policy decisions (requires knowledge of community actors and their
interrelationships)
FACILITATING COUNCIL EFFECTIVENESS Helping elected officials develop a policy agenda
that can be implemented effectively and that serves the best interests of the community(requires
knowledge of role/authority relationships between elected and appointed officials; skill in
responsibly following the lead of others when appropriate; ability to communicate sound
information and recommendations)
MEDIATION/NEGOTIATION Acting as a neutral party in the resolution of policy disputes
(requires knowledge of mediation/negotiation principles; skill in mediation/negotiation techniques)
3. Functional and Operational Expertise and Planning (a component of Service Delivery Management):
Practices that contribute to this core content area are:
FUNCTIONAUOPERATIONAL EXPERTISE Understanding the basic principles of service
delivery in functional areas--e.g., public safety, community and economic development, human
and social services, administrative services, public works (requires knowledge of service areas
and delivery options)
OPERATIONAL PLANNING Anticipating future needs, organizing work operations, and
establishing timetables for work units or projects (requires knowledge of technological advances
and changing standards; skill in identifying and understanding trends; skill in predicting the impact
of service delivery decisions)
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4. Citizen Service (a component of Service Delivery Management): Determining citizen needs and
providing responsive, equitable services to the community(requires skill in assessing community needs
and allocating resources; knowledge of information gathering techniques)
5. Quality Assurance (a component of Service Delivery Management): Maintaining a consistently high
level of quality in staff work, operational procedures, and service delivery(requires knowledge of
organizational processes; ability to facilitate organizational improvements; ability to set performance/
productivity standards and objectives and measure results)
6. Initiative, Risk Taking, Vision, Creativity, and Innovation (a component of Strategic Leadership): Setting
an example that urges the organization and the community toward experimentation, change, creative
problem solving, and prompt action (requires knowledge of personal leadership style; skill in visioning,
shifting perspectives, and identifying options; ability to create an environment that encourages initiative
and innovation). Practices that contribute to this core content area are:
INITIATIVE AND RISK TAKING Demonstrating a personal orientation toward action and
accepting responsibility for the results; resisting the status quo and removing stumbling blocks
that delay progress toward goals and objectives
VISION Conceptualizing an ideal future state and communicating it to the organization and the
community
CREATIVITY AND INNOVATION Developing new ideas or practices; applying existing ideas and
practices to new situations
7. Technological Literacy (a component of Strategic Leadership): Demonstrating an understanding of
information technology and ensuring that it is incorporated appropriately in plans to improve service
delivery, information sharing, organizational communication, and citizen access (requires knowledge of
technological options and their application)
8. Democratic Advocacy and Citizen Participation: Demonstrating a commitment to democratic principles
by respecting elected officials, community interest groups, and the decision making process; educating
citizens about local government; and acquiring knowledge of the social, economic and political history of
the community(requires knowledge of democratic principles, political processes, and local government
law; skill in group dynamics, communication, and facilitation; ability to appreciate and work with diverse
individuals and groups and to follow the community's lead in the democratic process). Practices that
contribute to this core content area are:
DEMOCRATIC ADVOCACY Fostering the values and integrity of representative government and
local democracy through action and example; ensuring the effective participation of local
government in the intergovernmental system (requires knowledge and skill in intergovernmental
relations)
CITIZEN PARTICIPATION Recognizing the right of citizens to influence local decisions and
promoting active citizen involvement in local governance
9. Diversity: Understanding and valuing the differences among individuals and fostering these values
throughout the organization and the community.
10. Budgeting: Preparing and administering the budget(requires knowledge of budgeting principles and
practices, revenue sources, projection techniques, and financial control systems; skill in communicating
financial information)
11. Financial Analysis: Interpreting financial information to assess the short-term and long-term fiscal
condition of the community, determine the cost-effectiveness of programs, and compare alternative
strategies(requires knowledge of analytical techniques and skill in applying them).
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12. Human Resources Management: Ensuring that the policies and procedures for employee hiring,
promotion, performance appraisal, and discipline are equitable, legal, and current; ensuring that human
resources are adequate to accomplish programmatic objectives (requires knowledge of personnel
practices and employee relations law; ability to project workforce needs).
13. Strategic Planning: Positioning the organization and the community for events and circumstances that
are anticipated in the future (requires knowledge of long-range and strategic planning techniques; skill in
identifying trends that will affect the community; ability to analyze and facilitate policy choices that will
benefit the community in the long run)
14. Advocacy and Interpersonal Communication: Facilitating the flow of ideas, information, and
understanding between and among individuals; advocating effectively in the community interest (requires
knowledge of interpersonal and group communication principles; skill in listening, speaking, and writing;
ability to persuade without diminishing the views of others). Practices that contribute to this core content
area are:
ADVOCACY Communicating personal support for policies, programs, or ideals that serve the
best interests of the community
INTERPERSONAL COMMUNICATION Exchanging verbal and nonverbal messages with others
in a way that demonstrates respect for the individual and furthers organizational and community
objectives (requires ability to receive verbal and nonverbal cues; skill in selecting the most
effective communication method for each interchange).
15. Presentation Skills: Conveying ideas or information effectively to others (requires knowledge of
presentation techniques and options; ability to match presentation to audience).
16. Media Relations: Communicating information to the media in a way that increases public
understanding of local government issues and activities and builds a positive relationship with the press
(requires knowledge of media operations and objectives)
17. Integrity: Demonstrating fairness, honesty, and ethical and legal awareness in personal and
professional relationships and activities(requires knowledge of business and personal ethics; ability to
understand issues of ethics and integrity in specific situations). Practices that contribute to this core
content area are:
PERSONAL INTEGRITY Demonstrating accountability for personal actions; conducting personal
relationships and activities fairly and honestly
PROFESSIONAL INTEGRITY Conducting professional relationships and activities fairly,
honestly, legally, and in conformance with the ICMA Code of Ethics (requires knowledge of
administrative ethics and specifically the ICMA Code of Ethics)
ORGANIZATIONAL INTEGRITY Fostering ethical behavior throughout the organization through
personal example, management practices, and training (requires knowledge of administrative
ethics; ability to instill accountability into operations; and ability to communicate ethical standards
and guidelines to others)
18. Personal Development: Demonstrating a commitment to a balanced life through ongoing self-renewal
and development in order to increase personal capacity(includes maintaining personal health, living by
core values; continuous learning and improvement; and creating interdependent relationships and respect
for differences).
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