Performance Appraisal

Policy

It is the policy of the Department of General Services (DGS) to ensure that all applicable laws, rules, and regulations regarding performance appraisals are followed. Performance Appraisals are required to be completed for each employee using the Performance Appraisal Summary (Std. 638) form. Performance Appraisals are due to the Office of Human Resources (OHR), Constructive Intervention Unit (CIU), annually by January 1 but no later than March 1 of each year.

DGS OHR will conduct quarterly audits of performance appraisals to ensure timely completion for each employee. Audit findings will be communicated to DGS Executive Staff. Failure to complete performance appraisals timely may result in disciplinary action.

Definition

PERFORMANCE APPRAISAL

The purpose of a performance appraisal is for employees to have a clear understanding of the work expected from them, receive ongoing feedback regarding how they are performing relative to expectations, identify development opportunities, and address performance that does not meet expectations. The performance appraisal is required and initiated by an employee’s direct supervisor. The performance appraisal should reflect the employee’s performance for the previous twelve (12) months of work. 

Performance Appraisals:

  • Provide recognition for effective performance and identify aspects of performance that could be improved. 
  • Are a continuing responsibility of all supervisors, and supervisors shall discuss performance informally with each employee as often as necessary to ensure effective performance throughout the year. 
  • Must be issued by an employee’s supervisor in writing and shall be discussed with the employee. The appraisal must cover work performance and must be given at least once in each twelve (12) calendar months following the end of the employee's probationary period.
  • Are provided to the employee in writing. After the employee has discussed their appraisal with their direct supervisor, employees may request to discuss their appraisal further by following their unit’s chain of command before the appraisal is filed in the Official Personnel File (OPF). 

Performance Appraisals are required. Failure to complete Performance Appraisals timely may result in disciplinary action.

APPEAL OF PERFORMANCE APPRAISAL

Employees have a right to appeal their performance appraisals. Note: Appeals of Rejections During Probation are handled by the State Personnel Board (SPB).

Rank-and-File Employees

A rank-and-file employee may file an appeal of a performance appraisal report for reasons including, but not limited to, that the performance appraisal report has been used to abuse, harass, or discriminate against an employee. Please reference the current Bargaining Unit Memorandum of Understanding.

Excluded Employees

An excluded employee may file a grievance of their performance appraisal report to the appointing power. The grievant may appeal the decision of the third level within ten (10) working days after receipt of the response to the Director, The California Department of Human Resources. Filing of a grievance is based on reasons including, but not limited to, that the performance appraisal report was used to abuse, harass, or discriminate against an employee. 

Timeline to File

Employees must file an appeal within 30 days of receipt of their performance appraisal report. Filing of an appeal may be extended an additional 30 days after the end of the period in which the appeal should have been filed if the petitioner demonstrates good cause for a late filing as outlined in California Code of Regulations, Title 2 section 599.904.

Type of Hearing

A full evidentiary hearing may be conducted by an Administrative Law Judge (ALJ) during the appeal process. The proposed decision of the ALJ will be accepted or rejected by the Director of the California Department of Human Resources.

AUTHORITY

PROCEDURE

The table below outlines the procedure for completing annual Performance Appraisals.

Step  

Action  

1  

Attendance Clerk  

·       Tracks annual performance appraisals that are due every year. annually by January 1 but no later than March 1 of each year.

·       Reminds supervisors and managers of performance appraisals three (3) months prior to due date on a monthly basis.

·       Utilizes Performance Appraisal Tracking spreadsheet to track the timely completion of performance appraisals for their program. 

2  

Supervisor  

  • Receives Activity Based Management System (ABMS) alerts for performance appraisal due dates.  
  • Initiates and ensures timely completion of performance appraisal.
  • Completes the Performance Appraisal Summary (Std. 638)
    • Consults with OHR’s CIU Consultant regarding employee’s performance, if necessary.
  • Meets privately with employees to discuss performance appraisal and obtains appropriate signatures. 
  • Distributes copies of the signed Performance Appraisal Summary (Std. 638)to:  
    • Supervisor Drop File 
    • Employee 
    • Attendance Clerk

3

Attendance Clerk  

·       Routes original signed Performance Appraisal Summary (Std. 638) to CIU.

4

CIU

·       Receives, reviews, and tracks all performance appraisals.

·       Files performance appraisal in employee’s OPF.
REFERENCES

Government Code Section(s)

·       Government Code section 19992 - 19992.4

Other Reference Materials

·       Bargaining Contracts - MOUs

Responsible Control Agency

·       California Department of Human Resources

·       Human Resources Manual - CalHR