PERFORMANCE MANAGEMENT POLICY (HR2431) 7-27-22.PDF
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MARICOPA COUNTY INTERNAL POLICY Policy Title: PERFORMANCE MANAGEMENT Policy Number: HR2431 Current Adoption Date: 7-27-2022 Current Implementation Date: 7-27-2022 Approved by: BOARD OF SUPERVISORS Board Agenda Number: C-31-18-036-6-01 Original Adoption Date: August 2003 I. PURPOSE To provide a consistent framework for establishing employees’ performance expectations and the expectations for supervisors regarding feedback and evaluation of employee performance. Using this framework, employees and supervisors align organizational and departmental strategic goals with specific, identifiable measurements to evaluate employee performance. II. APPLICATION This Policy applies to classified employees of all appointed departments, the Flood Control District of Maricopa County, and the Maricopa County Library District (Special Districts). The Board of Supervisors is authorized to jointly adopt policies applying to the Special Districts under the Intergovernmental Agreement, C-06-18-393-6-00, approved on April 11, 2018. This Policy may be used as guidance for performance management of unclassified, contract, and temporary employees. This Policy also applies to employees of County Elected Officials, unless the County Elected Official has implemented a performance management policy specific to their respective office. III. DEFINITIONS A. Appointing Authority: An elected official, the single administrative or executive head of a Department/Special District, or the designated representative authorized to act in this capacity. B. Annual Performance Review: An annual evaluation of an employee’s work, which documents the employee’s performance based upon the measurements set forth in a Performance Management Plan. C. Coaching: The regular delivery of performance feedback provided to an employee by a Supervisor. Coaching includes discussions of work performance to reinforce positive efforts, correct negative performance, and motivate a high level of overall performance. D. County/Department Strategic Goals: Objectives the County/Department intends to achieve over the strategic planning period. E. Department Human Resources: The employee’s assigned internal human resources office. If there is no departmental human resources office, then it refers to the department’s assigned HR Liaison. F. Higher Level Review: An employee’s request for reconsideration of an Annual Performance Review that describes the specific goals, competencies, ratings, or comments for which the review is requested. G. Performance Evaluation Ratings: A standard scale used to rate employee progress towards the expectations included in the Performance Management Plan. Policy Title: PERFORMANCE MANAGEMENT Policy Number: HR2431 Current Adoption Date: 7-27-2022 Page 2 of 4 H. Performance Improvement Plan (PIP): Documentation of specific expectations, deliverables, and timeframes designed to improve employee performance that is not meeting established goals or competencies. I. Performance Management Plan (PMP): Documentation of the collaboration between the Supervisor and employee to align organizational, departmental, performance, and development goals and competencies with specific, identifiable measurements that will be used to evaluate success. J. Quarterly Performance Review: Quarterly interaction between an employee and Supervisor to discuss and document progress related to the Performance Management Plan. K. Supervisor: For this Policy, any employee responsible for evaluating the performance of one or more subordinate employees. IV. POLICY A. Performance Management Plan (PMP) Performance Management is an ongoing, interactive process that begins with a collaborative effort between an employee and Supervisor to establish performance and development goals and expectations specific to the position, the employee, the department’s business needs, and the County. These goals and expectations must be specific, measurable, attainable, relevant, and time-framed. At the beginning of each evaluation period, Supervisors and employees shall develop a PMP containing the following elements specific to the organization, department, position, and employee: 1. Performance goals that contribute to the achievement of County/Department Strategic Goals; 2. Development goals that include agreed-upon expectations for training, education, and other development activities to help employees succeed in their current role. If applicable, development goals may also be used to prepare the employee for critical positions that may become vacant in the foreseeable future; and 3. Defined competencies and evaluation factors needed to achieve performance expectations and define how success will be measured. Generally, PMPs should be consistent for all employees occupying positions with the same market range and working titles within a specific division in a department, with variation only in development goals specific to the employee. B. Performance Feedback Regular and consistent feedback throughout the evaluation period from Supervisors about an employee’s progress in meeting the established goals and expectations as outlined in the PMP is critical. Supervisors and employees must engage in timely and meaningful conversations and actions to maintain the highest levels of employee performance. Supervisors shall: 1. Regularly reinforce expectations, facilitate a high level of engagement and performance through positive feedback and opportunities for improved performance through appropriate training or instruction; Policy Title: PERFORMANCE MANAGEMENT Policy Number: HR2431 Current Adoption Date: 7-27-2022 Page 3 of 4 2. Perform and document a Quarterly Performance Review to discuss progress related to the PMP and make adjustments to the plan as appropriate. Supervisors are encouraged to conduct and document monthly meetings with employees to discuss performance, including recent accomplishments or areas of concern. C. Performance Recognition Supervisors are encouraged to use formal and informal mechanisms to acknowledge and recognize employees for exceptional work performance, public service, and contributions throughout the evaluation period. D. Performance Deficiencies Performance deficiencies should be discussed with the employee as soon as they are identified, and Coaching should occur. Additional training and instruction should be provided when appropriate to improve performance. The following options are available for Supervisors to utilize when initial efforts to correct performance are not successful: 1. Performance Improvement Plan (PIP): Supervisors should, in conjunction with Department Human Resources, develop a Performance Improvement Plan (PIP) that sets forth the specific expectations or goals that are not being met, the anticipated deliverables, and an applicable appropriate timeframe (for example, 30, 60 or 90 days) to improve employee performance. The PIP must identify the consequences of an employee’s failure to meet performance expectations, up to and including dismissal from employment. Supervisors must document employee progress throughout the PIP, including the final outcome of whether the employee has successfully achieved expectations. If appropriate, the Supervisor may extend a PIP in consultation with Department Human Resources. If an employee successfully completes a PIP, the Supervisor should document the completion and remind the employee that he/she must continue to meet those expectations to succeed in the position. 2. Demotion: When a PIP has failed to assist the employee in achieving improved performance, an Appointing Authority may consider demoting the employee. This action results in a change in the assignment of an employee to a lower pay rate. When an employee is demoted, the employee must meet the qualifications and testing standards, if applicable, of the new position, which are in effect at the time of demotion. Demotions are not appropriate unless the employee can reasonably be expected to perform the duties of the new position. For Classified Employees, the Appointing Authority must comply with the Employee Merit System Resolution and Rules and County Policy HR2402 Pre Determination Hearing as it relates to due process before demoting the employee. NOTE: Demotions may also be voluntary. If the employee requests a voluntary demotion, the employee must submit a written request acknowledging the effective date, the position’s market range title, and new pay rate, which the Appointing Authority must then approve. 3. Dismissal: When a PIP has failed to assist the employee in achieving improved performance, and demotion is not a feasible or available option to consider, an Appointing Authority may dismiss the employee. For Classified Employees, the Appointing Authority must comply with the Employee Merit System Resolution and Rules and Policy HR2402 Pre Disciplinary Action Hearing as it relates to due process before dismissing the employee. Dismissal may be appropriate without using a PIP if the employee’s performance cannot be corrected in the view of the Appointing Authority. In certain circumstances, an employee’s performance deficiencies may coincide with misconduct or inappropriate behavior, or vice versa. To determine if there is a potential to impose discipline, in addition to the steps outlined above, please refer to Policy HR2401 Employee Discipline. Policy Title: PERFORMANCE MANAGEMENT Policy Number: HR2431 Current Adoption Date: 7-27-2022 Page 4 of 4 E. Annual Performance Review Supervisors shall formally evaluate employee performance through an Annual Performance Review. Supervisors shall document, rate, and discuss with the employee his/her progress towards achieving the goals and expectations outlined in the Performance Management Plan. If an employee is dissatisfied or disagrees with information in the Annual Performance Review, the employee is encouraged to discuss any concerns with the Supervisor first. If the employee is not satisfied with the Supervisor’s response, or prefers not to discuss it with the Supervisor, the employee may request a Higher Level Review in writing within three business days of the date the employee receives the Annual Performance Review. Requests for Higher Level Review must clearly describe the specific competency, goal, rating, or comment for which the Higher Level Review is requested and shall be submitted to the Appointing Authority or designee for response. F. Supervisor and Employee Responsibilities 1. Every Supervisor is responsible for Performance Management as outlined in this Policy, and it shall be a specific performance expectation for every Supervisor to comply with the terms of this Policy. 2. Both the Supervisor and the employee will actively participate in developing the PMP. 3. Employees on a PIP are expected to work diligently towards improving their performance to a level that meets expectations. 4. Failure of a Supervisor or Employee to comply with the requirements of this Policy may result in disciplinary action, up to and including dismissal. G. Performance Management System The County’s adopted employee performance planning and evaluation system may be used by Supervisors and employees to document performance management activities, including but not limited to: PMPs, Quarterly Performance Reviews, PIPs (if applicable), and Annual Performance Reviews. The Performance Management System should also be utilized to document monthly or other informal discussions related to performance. Revision History Version Revision Date Description of Revision 1 August 2003 Initial version (A1802); Approved by County Manager 2 9/1/2006 Amended version; Approved by County Manager 3 3/21/2018 Retitle to Performance Management; updated language for consistency with Policy template; updated Definitions and Performance Deficiencies; added Quarterly and Annual Performance Reviews, Performance Recognition, and Performance Management System; and clarified expectations and roles (C-31-18-036-6-00) 4 7/27/2022 Clarified who the Policy applies to and when a dismissal without a PIP may be appropriate (C-31-18-036-6-01)