 ADMINISTRATIVE MANUAL
PERSONNEL POLICY & PROCEDURES
Title: Performance Evaluation Guidelines
Effective Date: 03/01/94 Revised Date: 11/05/01
Policy Number: 003P Page 1-6 of 6
PERFORMANCE EVALUATION GUIDELINES
1. PURPOSE
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County Civil Service Rules requires that each permanent County employee receive an annual performance evaluation. The Performance Evaluation system is a continuous process that lets employees know where they stand and how their performance compares to job standards and the supervisor's expectations. It provides employees with appropriate feedback and direction in maximizing their job performance and allows for proper disciplinary action to take place when employees do not perform their job duties competently.
- In accordance with County Code Section 6.08.305, "The Management Appraisal and Performance Plan (MAPP) is to improve the County's ability to employ highly qualified management employees, to evaluate and reward those employees for the contributions they make toward achieving county and department priorities, and to motivate them to excel and achieve high efficiency, reduce costs, realize expected revenues and deliver quality services to county residents."
- The Library is responsible for operating an effective internal control system and complying with County and Fiscal Manual guidelines to safeguard County assets. Periodic reviews are conducted by the County Auditor-Controller to evaluate the adequacy of the Department's controls over various fiscal functions, and verify compliance with the County Fiscal Manual. Performance evaluations are to document compliance with responsibility for performing fiscal/internal control functions and complying with these regulations.
II. POLICY
- In accordance with selected sections of Civil Service Rule 20, the performance of each employee in the classified system shall be evaluated by the appointing power in relation to standards for efficient performance of work. Further, ratings of efficiency of performance shall be made for permanent employees at least once each year and for probationers by the end of the probationary period. A revised rating may be submitted by the appointing power at any time.
- Similarly, County Code Section 6.08.320 establishes that each MAPP participant shall be evaluated annually.
- In accordance with Civil Service Rule 12, "After each permanent appointment from an eligible list, an employee shall serve a complete period of probation before appointment or probation is complete."
- Evaluation comments regarding compliance with Internal Controls Administrative Requirements are required for supervisors and employees who perform fiscal and/or internal control functions.
- It is the supervisor's primary responsibility for defining the job with the class specification and documenting all pertinent information related to the employee's work performance. The supervisor must let employees know how well they are doing by discussing their work performance, not only when performance evaluations are due but on a regular basis.
- Communication channels between the supervisor and employee must be open. The supervisor and employee should have a positive attitude toward the evaluation process and discuss with the rater the various aspects of the job and any job-related problems or assistance needed.
III. PROCEDURES
- Employees should clearly understand the work elements/tasks for which they are responsible and upon which they
will be evaluated. Supervisors should explain to subordinates those work elements that will be evaluated prior to or at
the beginning of the evaluation period.
- Employees cannot be held accountable for their performance, nor improve upon it unless they know what they are
expected to do and what constitutes acceptable performance of their duties. Supervisors need to develop WRITTEN STANDARDS to honestly and accurately assess employee performance. (Refer to the Rater's Handbook on Performance Evaluation.)
- In accordance with MAPP requirements, managers covered thereby are issued the MAPP Appraisal form prior to
the beginning of the rating period to establish effective stretch Goals and Objectives and Fundamental Performance
Expectations for the rating period. The performance management process includes annually setting goals, and defining
performance expectations developed jointly by the Plan participant and supervisor.
- All Library managers and supervisors who have responsibility for fiscal and/or personnel functions are required to
review and comment on their employee's compliance with Internal Controls Administrative Requirements during the
evaluation rating period. These requirements are found in the County Fiscal Manual, Automated Circulation System
Manuals and departmental policies and procedures. Employees must have advance knowledge of the internal control
functions for which they are directly accountable. The REVIEWER and DEPARTMENT HEAD (or authorized representative) are also ACCOUNTABLE for ensuring that managers are properly evaluated on their Internal Controls compliance when they review, sign and approve the evaluation.
- The supervisor's judgment in evaluating the employee should be based on FACT rather than unsupported opinions. Supervisors are responsible for keeping track of observed incidents of employee performance that clearly illustrate whether the employee is performing above, on target or below the performance standards or expectations of the job. The supervisor should remember to highlight performance that is very good or outstanding as well as work that needs improvement. Good, as well as poor performance, should not be described with vague or superficial words.
- MAPP employees receive an overall performance rating based on the following four-category rating scale:
- Exceptional Performance - Significantly exceeds expectations.
- Merit Performance - Performs at or above expectations.
- Needs Improvement - Performs slightly below expectations.
- Unsatisfactory Performance - Fails to meet critical levels.
- Performance Ratings for Non-MAPP Employees
- OUTSTANDING - All work performance is consistently above the standards of the position. A substantial part of the
work performance exceeds supervisory and management expectations most of the time. Factual evidence must be
presented in writing and should be clearly documented to substantiate the outstanding work and this rating.
- VERY GOOD - A substantial part of the work performance is well above the standards of performance required for
the position and all other parts of the performance are at least Competent. Factual evidence must be presented in writing
to substantiate this rating.
- COMPETENT - The employee's work performance is consistently up to or somewhat above the standards of
performance required for the position. This is the performance which is expected of a trained and qualified employee.
- IMPROVEMENT NEEDED - a significant part of the work performance is below the standards of performance for the
position and it is reasonable to expect that the employee will bring performance up to acceptable standards. If an
Improvement Needed rating is given, the supervisor must consult with Human Resources Development (HRD) at least
one month prior to the evaluation period ending date.
- In accordance with County Code provisions, an employee receiving an overall Improvement Needed evaluation rating is prohibited from receiving a salary step advance in the position for which the rating was given until a Competent or better rating has been filed.
- A Plan for improvement should be completed jointly by the supervisor and employee. The effective date of the plan is established when the employee receives his/her copy.
- A new evaluation must be made within a period not to exceed six months and rated either overall COMPETENT (or
better) or UNSATISFACTORY. If an Unsatisfactory rating is given, the supervisor must consult with HRD. Ratings of Unsatisfactory must be accompanied by a letter of discharge or reduction. If no follow-up rating is submitted at the end of the six month period, the employee will revert to his/her immediate prior status.
- If an employee is absent from duty prior to the completion of such six-month period, the appointing power may evaluate the employee on the basis of actual service, exclusive of time away on leave. The supervisor must submit a request to extend the six-month period to the Head, HRD at least two weeks prior to the ending date. The six-month period will be calculated on the basis of actual service exclusive of time away, to an additional six months.
- Probationary Period.
- Employees are required to serve a six-month probationary period when permanently appointed from an Eligible
List. In cases of reinstatement or restoration, probationary periods are served at the discretion of the appointing power
(Department Head). Temporary employees working on a full-time continuous basis may be credited with all or a portion
of that time toward fulfillment of the probationary period. "The department head may take this action only in those cases
and for that time for which the employee's last performance evaluation bears the rating of 'competent' or better and the
employee's assignment and training have approximated that of a probationary employee in the same class."
- Employees on probation receive a Report on Probationer/MAPP appraisal form. The probationary report provides
the employee with an opportunity to learn the duties and responsibilities of his/her position and to demonstrate his/her
capabilities in carrying them out. The probationary period is used by the department to judge an employee's competence
and determine whether or not to grant final appointment. Probationary employees must be kept informed through both
formal and informal means of communication.
- If an employee is absent from duty for a significant period of time (10 days or more) during a probationary period,
the appointing power may calculate the probationary period on the basis of actual service exclusive of the time away. If
an extension or change in the probationary period is made, the employee shall be notified in writing prior to the end of
the original probationary period. A memo requesting to extend the probationary period must be sent to the Head,
Human Resources Development (HRD) by the supervisor at least two weeks prior to the probation ending date. HRD
will notify the employee of the extension.
- If the probationer is rated overall Competent, the report should be completed before the end of the probationary
period.
- If he/she is rated overall Unsatisfactory, documentation to support the rating must be received by HRD at least
two months prior to the probation ending date. In cases involving a critical incident (e.g., employee alleged to have
threatened or assaulted someone, is suspected of fraud, etc.) the Head, HRD must be notified immediately. First-time
probationers may be discharged or reduced in accordance with Civil Service Rules 18.05 and 18.07. A permanent
employee who has successfully completed one probationary period may be reduced in accordance with Rule 18.07, but
may not be discharged without the right of a hearing.
- Issuance of Performance Evaluation
- In accordance with Civil Service Rules, ratings of efficiency of performance shall be made for permanent employees
at least once each year.
- To ensure that employees are evaluated in a timely manner, overall ratings of Competent or better should be issued
within one month from the evaluation ending date.
- An interim evaluation rating may also be issued more often for significant changes in overall performance.
- All evaluations must be prepared in the third person (e.g., John Wilson, John, Mr. Wilson). Narrative
documentation supporting performance ratings and setting forth behavior which needs improvement should be written in
a direct and straight forward manner and be as specific as possible.
- All completed evaluations should he reviewed and approved by the Section Head/Regional Administrator (or
higher-level manager) BEFORE there is any discussion of the overall rating with the employee. Ratings of Very Good and
Improvement Needed require the approval of the Assistant Director. Ratings of Unsatisfactory or Outstanding require
the approval of the Assistant Director and County Librarian.
- To complete the performance evaluation process, the completed PE/MAPP appraisal must be thoroughly
discussed with the employee. The discussion should provide effective dialogue between the supervisor and the employee.
The supervisor should be positive, specific and constructive and make the discussion a two-way conversation.
If the
employee refuses to sign the evaluation, obtain a witness's signature (if possible), write "Refused to sign on the line for
the employee's signature and add the date.
- After the evaluation has been discussed with the employee, it should be sent to HRD for final processing. A copy
of the PE/MAPP appraisal form will be sent to the employee by HRD.
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