COUNTY OF SAN MATEO
HUMAN RESOURCES DEPARTMENT
Inter-Departmental Correspondence
DATE: April 21, 2015
TO: All Management Employees
FROM: Nicole McKay, Employee & Labor Relations Manager
SUBJECT: Employee Relations Bulletin 6: Performance Objectives, Standards and Evaluations
Issues regarding the process of establishing performance expectations, monitoring performance against those expectations and resultant performance evaluations have been brought our attention. Also based upon employee appeals of below standard evaluations to the Civil Service Commission, we have been alerted to what the Commission members are looking for to support such a determination:
1. Performance standards and objectives have to be clearly communicated to employees. A Standard is what you measure an employee against i.e. “observes handbook for processing of all requests” or “writes and communicates messages and requests for services clearly.” An Objective is a specific goal i.e. “prepares 60 documents per hour” or “install five software packages by December 1, 2013.” This communication should be in writing, and the employee and the manager should discuss any areas of the expectations that are unclear or changed from any previous expectations. When an employee is new on the job or has their expectations amended, a new copy should be given to the employee. I have attached a sample form that could be used as a “receipt form” to document the date, the classification and the employee’s acknowledgement that the attached standards are to be used in subsequent performance reviews. Feel free to adapt this form for use.
2. Performance appraisals must be done on an annual basis in order to ensure that the employee is fully informed of her or his progress in order to establish areas of increased emphasis and in order to protect the manager from charges that the employee is unaware of any deficiencies. In addition to the yearly performance appraisal preparation, the manager should have documentation throughout the appraisal period that brings to the employee’s attention those concerns that must be addressed to keep performance at an acceptable level. Documentation is not limited, however, to negative feedback. Employees should receive documentation of their positive accomplishments, as a basis for narratives in an upcoming performance evaluation, and to motivate and reward the employee.
In an appeal, the Commission remarked that a manager had failed to note any of the positive contributions made by an employee by providing only negative feedback, thus not supporting a management contention that the counseling and documenting was to assist the employee to improve and succeed.
3. Counseling is the beginning of this process. However, the manager should always write a memo confirming conversations with employees in order for the information to be usable in any resultant written appraisal. Throughout the process of informing the employee of deficiencies, the manager’s role is to assist in improving performance, not only by bringing it to her or his attention, but by providing on the job training, consistent and frequent assistance, and by supporting the employee’s efforts through written communication. A corrective action plan should accompany feedback to the employee. This plan is to lay out some specific steps both the employee and you will take to support improved performance. A sample corrective action plan and counseling memo is attached.
4. When the supervisor has documented a pattern of clearly deficient performance that has failed to be corrected through the counseling process, a Special Review should be done, even though the employee’s annual appraisal is not due. In the Special Review, two things are accomplished:
a. Receiving written confirmation of their deficient performance places the employee on notice that an action may result if necessary improvement is not made. Although the Special Review process continues to offer the employee an opportunity to improve, it is important to inform the employee of the potential for demotion or dismissal if improvement is not made. This is not done to threaten the employee but to make the employee fully aware of the result of failure on their part to improve. This appraisal should be given to the employee in draft, signed by the supervisor only (not by the reviewer), and the employee should be informed that the evaluation will not become finalized until 10 days after. A final copy should be provided to the employee on the eleventh day.
b. Specific objectives for the next 30-60 day review period are set that should be more focused than the general objectives and standards. The employee should be able to meet them in this review period or be given a description of what part of a project should be accomplished in that period.
5. Any response given by an employee to the Special Review should be addressed by the manager. It is important to consider the employee’s comments; otherwise, it can appear that you have “made up your mind” and are not open to the employee’s feedback and concerns. Your consideration can be to incorporate some of the employee’s comments into the final evaluation, or to state that his/her comments were considered but did not change the factual information already contained on the appraisal.
6. Follow up on the process as carefully as possible, giving subsequent evaluations every 30-60 days. As discussed in Bulletin #5, this special review process must be continued until the employee either receives a standard rating or is demoted or dismissed.
7. The evaluations given during the special review cycles do not require that you give the employee 10 working days to respond to a draft. Since you are working closely with the employee on a very specific set of objectives over a short period of time, your interaction with the employee will allow the employee and yourself to discuss any concerns/objections.
8. A manager’s active review of subordinate supervisors will ensure that supervisors are communicating standards and monitoring performance on a regular basis. The same monitoring and counseling done with individual employees by the supervisor is also a part of the manager/supervisor relationship. A sample review format is attached.
Always confer with your manager and your Employee & Labor Relations Analyst. It is vitally important to be consistent in your treatment of all employees. Interaction with management and Employee & Labor Relations will ensure your objectivity and the supportability of your final determination.
FLOWCHART FOR PERFORMANCE EVALUATIONS
AND CORRECTIVE ACTIONS
(Not for Probationary Employees)
| 1. | Establish, share and discuss performance standards and objectives. |
| 2. | Monitor performance against standards and provide both positive feedback and areas of concern through regular one-on-one meetings. |
| 3. | Counsel the employee in writing when informal discussions do not produce improvement, and develop a performance improvement plan. Document your efforts, and the results. Share with the employee. |
| 4. | If improvement results, go to 2. |
| 5. | If there is no improvement: Continue with #3 for about 90* days (in 30-day cycles) or identified timeframe.At the end of the second 30-day cycle, inform the employee in the evaluation that if she/he does not improve to a “Meets” level in the next 30 day cycle or identified timeframe, she/he will be faced with demotion/dismissal as appropriate.Discuss the situation with your Employee & Labor Relations Analyst and with your manager. |
| 6. | If improvement results, go to 2. |
| 7. | If employee has not improved to a “Meets” level: Prepare a performance evaluation with specific objectives for the next 30-day period. Include an action plan that outlines your expectations, what the employee must do to reach an acceptable level, and the steps you have taken and will continue to take to assist the employee. Inform the employee that the Special Review cycle will last for approximately 90* days, with written evaluations every 30 days. At the end of the second 30-day cycle, inform the employee that if she/he does not improve to a “meets” level in the next 30-day cycle, an action to demote or dismiss the employee will result. Continue to keep your manager and Employee & Labor Relations Analyst informed. |
| 8. | If improvement occurs, go to Step 2. If the employee improves to a “Meets” level with the third special evaluation, it is recommended that an additional special 30-day performance evaluation be issued to evidence that the employee’s improvement has been sustained. |
| 9. | If the employee has not improved to a “Meets” level, your Employee & Labor Relations Analyst will advise you of the procedure to take the necessary action. |
*Based on an arbitration case it should be clear to the employee that special reviews may be terminated at any time that performance declines and disciplinary action can occur at that time.