PERFORMANCE MANAGEMENT POLICY (HR2431) 2023-11-01.PDF

MARICOPA COUNTY INTERNAL POLICY 
 
Policy Title: 
PERFORMANCE MANAGEMENT 
Policy Number: 
HR2431 
Current Adoption 
Date: 
11-1-2023 
Current 
Implementation Date: 
11-1-2023 
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. An elected office may follow this Policy for its employees when it does not have a similar policy. 
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 outlined 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 overall performance level. 
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 to reconsider 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: 
11-1-2023 
 
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 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 department and County Strategic Goals. 
2. Development goals that include agreed-upon expectations for training, education, and other 
development activities. 
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. 
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 regularly reinforce expectations and facilitate a high level of engagement and 
performance through positive feedback and opportunities for improved performance through 
appropriate training or instruction. Supervisors are encouraged to conduct, at a minimum, monthly 
meetings with employees to discuss performance, including recent accomplishments or areas of 
concern.  
C. Performance Recognition

Policy Title: 
PERFORMANCE MANAGEMENT 
Policy Number: 
HR2431 
Current Adoption 
Date: 
11-1-2023 
 
Page 3 of 4 
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 or 
when a PIP would be impractical or unfeasible, 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 regarding 
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 or 
when a PIP would be impractical or unfeasible, 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 regarding 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. 
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 toward achieving 
the goals and expectations outlined in the Performance Management Plan.

Policy Title: 
PERFORMANCE MANAGEMENT 
Policy Number: 
HR2431 
Current Adoption 
Date: 
11-1-2023 
 
Page 4 of 4 
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. 
2. Employees on a PIP are expected to work diligently towards improving their performance to meet 
expectations. 
3. Failure of a Supervisor or Employee to comply with the requirements of this Policy may result in 
disciplinary action, up to and including dismissal. 
 
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-31-18-036-6-00) 
5 
11/1/2023 
Clarified that demotions and dismissals do not always require PIPs and clarified the 
performance feedback section (C-31-18-036-6-01)