2009 - Performance Appraisal and Individual Development Plan

Category

Collective Bargaining

Audience List

• Department Deputy Directors
• Department Directors
• Employee Relations Officers
• Labor Relations Officers
• Personnel Officers
• Personnel Transactions Supervisors

Synopsis

This policy

• Provides notice to Supervisors and Managers that effective 7/01/2017 the STD 638 (New 7/2017) Performance Appraisal Summary and the STD 637 (New 7/2017) Individual Development Plan forms will now be used separately when conducting year end performance counseling to SEIU 1000 represented employees.

• Provides purpose, direction and guidance when using the forms.

• Provide directions as to where the newly created forms can be located.

Introduction

Government Code Chapter 3. Performance Reports [19992 -19992.4] states the following:

19992. After consultation with appointing powers and other supervising officials the department shall assist and encourage state agencies to establish standards of performance for each class of position and shall provide a system of performance ratings. Such standards shall insofar as practicable be established on the basis of the quantity and quality of work which the average person thoroughly trained and industriously engaged can turn out in a day.

19992.1. The system of performance reports shall be designed to permit as accurately and fairly as is reasonably possible, the evaluation by his or her appointing power of each employee’s performance of his or her duties. The evaluation shall be set forth in a performance report, the form for which shall be prescribed or approved by the department. The department may investigate administration of the system and enforce adherence to appropriate standards.

19992.2. Appointing powers shall prepare performance reports and keep them on file as prescribed by department rule.

The rules shall provide that employees be shown the performance report covering their own service and are privileged to discuss it with the appointing power before it is filed. The extent to which such ratings or performance reports shall be open to inspection by the public shall be prescribed by department rule.

19992.3. Performance reports shall be considered, in the manner prescribed by department rule, in determining salary increases and decreases, the order of layoffs, and the advisability of transfers, demotions, and dismissals.

19992.4. The department may establish rules under which records of unsatisfactory service may lead to reduction in class and compensation, and providing for the manner in which persons falling below the standards of efficiency fixed by its rules may be removed from their positions by the department, substantially as in the case of removals for cause. The department shall report such unsatisfactory records to the appointing power.

If the provisions of this section are in conflict with the provisions of a memorandum of understanding reached pursuant to Section 3517.5, the memorandum of understanding shall be controlling without further legislative action, except that if such provisions of a memorandum of understanding require the expenditure of funds, the provisions shall not become effective unless approved by the Legislature in the annual Budget Act.

California Administrative Code, title 2, section 599.795 states the following:

Performance Appraisal of Probationers. A report of the probationer's performance shall be made to the employee at sufficiently frequent intervals to keep the employee adequately informed of progress on the job. A written appraisal of performance shall be made to the Director of the Department of Personnel Administration within 10 days after the end of each one-third portion of the probationary period. If the employee is rejected during the probationary period, a final report may be filed for the period not covered by previous reports. The foregoing provisions shall be construed as directory.

Statement

The following guidelines are to assist state agencies and personnel with the implementation of the new Performance Appraisal Summary and Individual Development Plan forms when working with the SEIU Local 1000 represented employees. All other Bargaining Units will not be impacted by this change.

Effective July 1, 2017, when conducting Performance Counseling with Bargaining Units 1, 3, 4, 11, 14, 15, 17, 20 & 21 supervisors are required to separate the Performance Appraisal Summary from the Individual Development Plan.

Performance Appraisal Summary:

A Performance Appraisal (PA) is a systematic general and periodic process that assesses an individual employee's job performance and productivity in relation to certain pre-established criteria and organizational objectives. Other aspects of individual employees are considered as well, such as behavior, accomplishments, potential for future improvement, strengths and weaknesses, etc.

To collect PA data, there are three main methods: objective production, personnel, and judgmental evaluation. The PA should be a reflection of the employee’s past performance for the previous twelve months of work. The interview could function as "providing feedback to employees, counseling and developing employees, and conveying and discussing compensation, job status, or disciplinary decisions". PA helps the subordinate answer two key questions: first, "What are your expectations of me?" second, "How am I doing to meet your expectations?"

Individual Development Plan:

The purpose of the Individual Development Plan (IDP) is to establish personal objectives and develop a plan for achieving professional growth, career mobility and/or future career changes.

Departments shall notify each eligible employee of the opportunity to submit an IDP at least annually for full-time employees and for PI employees who work seven hundred fifty (750) hours or more annually. An employee is not required to participate in the IDP process. If an employee elects not to participate, this decision will not be held against him/her.

The IDP process shall not be part of the performance appraisal or disciplinary process. An IDP may be created by an employee without triggering a performance evaluation appraisal. If all or part of the IDP is disapproved, the employee shall be notified in writing and a copy shall be provided to the Union.

Application

Authorities

• Bargaining Contracts - MOUs
• Government Code section 19992 - 19992.4
• California Code of Regulations, title 2, section 599.795
• California Code of Regulations, title 2, section 599.798

Resources

Forms

• STD 637 Individual Development Plan: STD 637 Individual Development Plan
• STD 638 Performance Appraisal Summary: STD 638 Performance Appraisal Summary

Authorized By

Paul M. Starkey
Deputy Director of Labor Relations
Labor Relations Division

Contact Person

Labor Relations Division
Labor Relations Officer , Labor Relations Division
Phone: 916-909-3705
Fax: 916-322-0765
Email: lr.info@calhr.ca.gov

Superseded Policies

History

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