Changes for page AB 02 Employee Files, Goals, and Reviews

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1		-AB 02 Employee Files, Goals, and Reviews
	1	+AB 02 Employee Files, Goals, and Evaluations

Content

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11	11
12	12	Chapter: 02
13	13
14		-Employee Files, Goals, and Reviews
	14	+Employee Files, Goals, and Evaluations
15	15
16	16
17	17	Replaces and/or Supersedes:
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24	24
25	25	Review Date:
26	26
27		-03/08/2022
	27	+06/18/2013
28	28
29	29
30		-Sheriff Nate Brooksby
	30	+Sheriff Cory C. Pulsipher
31	31
32		-Undersheriff Barry Golding
	32	+Undersheriff Bart Bailey
33	33
34	34
35	35	__**TABLE OF CONTENTS**__
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46	46
47	47	AB 02_106 Forms & Reports
48	48
49		-AB 02_107  Reviews
	49	+AB 02_107 Evaluations
50	50
51	51	AB 02_108 Goals
52	52
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58	58	**AB 02_101 __DEFINITIONS__**
59	59
60	60	1. WCSO: Washington County Sheriff's Office
61		-1. Kadota: The WCSO electronic employee file management system.
	61	+1. HRN: The WCSO electronic employee file management system.
62	62	1. Zimbra: The WCSO email system.
63	63
	64	+
64	64	**AB 02_102 __REFERENCES__**
65	65
66		-1. None
	67	+1. Utah Sheriff's Association Jail Standards:
	68	+11. B01.03.01: Enforce Policy and Procedure Requirements
67	67
	70	+
68	68	**AB 02_103 __GENERAL__**
69	69
70	70	1. Policy:
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71	71	11. A comprehensive system for the management of employee files should be maintained and should control the creation, modification, distribution, storage, and security of employee files.
72	72	11. The Human Resources Department should be responsible for controlling the creation, maintenance, distribution, storage, and security of employee files.
73	73	11. An employee's direct supervisor should be responsible for the modification of an employee's file in order to ensure that information is updated. Modification of an employee's file may be conducted by other supervisors with the specific approval of the division's chief deputy or higher-ranking WCSO official.
74		-11. Individual employees should be responsible for ensuring that their employee file is updated with correct contact information. Periodic reviews should be conducted. As a routine check for accuracy, supervisors should review each employee's basic information with the employee during each formal review (Zimbra address book).
	77	+11. Individual employees should be responsible for ensuring that their employee file is updated with correct contact information. Periodic reviews should be conducted. As a routine check for accuracy, supervisors should review each employee's basic information with the employee during each formal evaluation (HRN and Zimbra address book).
75	75	1. Rationale:
76	76	11. Employee files must be maintained and controlled effectively for the necessary operations of the WCSO and to minimize liability for the WCSO.
77	77
	81	+
78	78	**AB 02_104 __NOTES__**
79	79
80	80	1. Policy:
81		-11. Within the employee file system, the intended purpose of a “note” is to document information for future reference when completing an employee review. A note is not intended to be a stand-alone entry in an employee's file and should only enter an employee's official file as a component of a staff management form or an employee review.
82		-11. By the end of each review period, each note not discarded should be:
	85	+11. Within the employee file system, the intended purpose of a “note” is to document information for future reference when completing an employee evaluation. A note is not intended to be a stand-alone entry in an employee's file and should only enter an employee's official file as a component of a staff management form or an employee evaluation.
	86	+11. By the end of each evaluation period, each note not discarded should be:
83	83	111. Included in a staff management form;
84	84	111. Included in a staff training record; or
85		-111. Included in an employee review.
86		-11. Notes that have not been included in an employee's file as described above by the end of the annual review period may be deleted by the current direct supervisor or other authorized person.
	89	+111. Included in an employee evaluation.
	90	+11. Notes that have not been included in an employee's file as described above by the end of the annual evaluation period may be deleted by the current direct supervisor or other authorized person.
87	87	1. Rationale:
88		-11. Notes allow supervisors to temporarily document events quickly and easily while the facts are still subject to recall.
	92	+11. Notes allow supervisors to temporarily document events quickly and easily while the facts are still recallable.
89	89	11. Information in notes may have been entered before all the facts surrounding an event have been gathered.
90	90
	95	+
91	91	**AB 02_105 __EMPLOYEE FILES__**
92	92
93	93	1. Policy:
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105	105	1. Rationale:
106	106	11. Access and control procedures should be established and followed in order to protect privacy and ensure accuracy of records.
107	107
	113	+
108	108	**AB 02_106 __FORMS & REPORTS__**
109	109
110	110	1. Policy:
111	111	11. An employee's file should contain all relevant forms, reports, letters, and other appropriate documentation including:
112		-111. Staff management forms (e.g., Level-1, Level-2, etc.). Reference policy: [[AB 10 Corrective Action and Discipline>>doc:Policy.Administrative.AB 10 Corrective Action and Discipline.WebHome]];
113		-111. Employee reviews; and
	118	+111. Staff management forms (e.g., Level-1, Level-2, etc.). Reference policy: AB 10 Corrective Action and Discipline;
	119	+111. Employee evaluations; and
114	114	111. Awards documentation (e.g., Letter of Commendation, Recognition, etc.).
115	115	11. A copy of every form, report, and document that is entered into an employee's file should be reviewed with the employee.
116	116	1. Rationale:
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120	120	111. Protect employee rights; and
121	121	111. Provide open and clear employer/employee communication.
122	122
123		-**AB 02_107  __REVIEWS__**
124	124
	130	+**AB 02_107 __EVALUATIONS__**
	131	+
125	125	1. Policy:
126		-11. Employee information should be fairly and objectively reviewed for advancement opportunities and other staff management actions.
127		-11. Details and examples should be used to support statements.
128		-11. Reviews should be conducted for every regular full-time and part-time employee (excluding reserve staff) for each review period.
129		-11. Reviews should be completed in a timely fashion.
130		-11. Reviews should include an in-person meeting between the direct supervisor and the employee.
131		-11. The review should include a summary recommendation of “Meets Expectations” or “Does Not Meet Expectations” for each employee's performance factors. The recommendations should be based upon the current review period.
	133	+11. Employees should be evaluated fairly and objectively for advancement opportunities and other staff management actions.
	134	+11. Details and examples should be used to support evaluation statements.
	135	+11. Evaluations should be conducted for every regular full-time and part-time employee (excluding reserve staff) for each annual evaluation period (October 1st through September 30th):
	136	+111. Mid-Year Evaluation: October 1st through March 31st;
	137	+111. Annual Evaluation: October 1st through September 30th.
	138	+11. Evaluations should not be completed prior to the last day of the evaluation period. However, they may be started before then.
	139	+11. Evaluations should generally be completed within the following number of days of the end of the respective evaluation period:
	140	+111. Sergeants: 7 days;
	141	+111. Lieutenants: 14 days;
	142	+111. Chief Deputies: 21 days.
	143	+11. Evaluations should include an in-person meeting between the direct supervisor and the employee.
	144	+11. The annual evaluation should include a summary recommendation of “Meets Expectations” or “Does Not Meet Expectations” for each employee's performance factors. The recommendations should be based upon the current annual evaluation period (October 1st through September 30th).
132	132	11. For each “Does Not Meet Expectations” and “Meets Expectations” recommendation, the supervisor must document a reason.
133	133	1. Rationale:
134		-11. Unfair and/or subjective reviews of employees may be demoralizing to employees and could create liability for the WCSO.
135		-11. Reviews are tracking tools of an employee's individual performance. Trends or patterns can be identified to support employee management decisions.
136		-11. In order to include information for the entire review period, reviews should not be completed too early in the review period.
137		-11. Reviews should be completed promptly in order to remain a productive tool for the supervisor and the employee.
138		-11. The review provides a performance summary upon which employee management decisions may be based (e.g., pay increases, promotion opportunities, etc.).
	147	+11. Unfair and/or subjective evaluations of employees may be demoralizing to employees and could create liability for the WCSO and the evaluators involved.
	148	+11. Evaluations are tracking tools of an employee's individual performance. Trends or patterns can be identified to support employee management decisions.
	149	+11. In order to include information for the entire evaluation period, evaluations should not be completed prior to the last day of the evaluation period.
	150	+11. Evaluations should be completed promptly in order to remain a productive tool for the supervisor and the employee.
	151	+11. The annual evaluation provides a performance summary upon which employee management decisions may be based (e.g., pay increases, promotion opportunities, etc.).
139	139
	153	+
140	140	**AB 02_108 __GOALS__**
141	141
142	142	1. Policy:
143	143	11. At least one goal should be established for each employee each year.
144		-11. Follow-up regarding these goals should be mentioned in each formal review. Goals should be set by the employee, with the assistance of the employee's direct supervisor. The supervisor should not set goals for the employee. A goal should not be established that the employee is not in agreement with. The role of the supervisor in this procedure is to help the employee set reasonable, measurable, and attainable goals. A goal should not be established that the supervisor feels is not reasonable, measurable, or attainable.
	158	+11. Follow-up regarding these goals should be mentioned in each formal evaluation. Goals should be set by the employee, with the assistance of the employee's direct supervisor. The supervisor should not set goals for the employee. A goal should not be established that the employee is not in agreement with. The role of the supervisor in this procedure is to help the employee set reasonable, measurable, and attainable goals. A goal should not be established that the supervisor feels is not reasonable, measurable, or attainable.
145	145	11. There are two types of goals:
146		-111. Current: A work-related goal reasonably attainable within the current review period;
	160	+111. Current: A work-related goal reasonably attainable within the current evaluation period;
147	147	111. Future: A work-related goal reasonably attainable within the following three years.
148	148	11. There is no maximum limit to the number of goals that an employee can set. However, consideration should be taken in regards to cumulative reasonableness and attainability.
149	149	1. Rationale:
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150	150	11. The employee should set his/her own goals in order to more firmly establish ownership for the individual goals.
151	151	11. If an employee is allowed to set a goal that is not attainable, the employee (and subsequently, the WCSO) may suffer from the unavoidable failure.
152	152
	167	+
153	153	**AB 02_109 __GRIEVANCES AND APPEALS__**
154	154
155	155	1. Policy:
156		-11. An employee who does not agree with an item or aspect of one of their employee file documents:
	171	+11. An employee who does not agree with an item or aspect of one of his/her evaluations or employee file documentations:
157	157	111. Should address the disagreement when it is first discovered;
158		-111. Should first address the issue with their direct supervisor.
	173	+111. Should first address the issue with his/her direct supervisor.
159	159	11. If a disagreement cannot be resolved with the employee's direct supervisor, the employee may appeal the issue through the employee's chain of command.
160	160	11. An employee should attempt to resolve all grievances through proper chain of command prior to seeking assistance outside the WCSO. However, an employee is not restricted from seeking outside assistance when the employee deems it necessary.
161	161	1. Rationale:
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162	162	11. Following the chain of command may allow for quicker resolution for an employee.
163	163	11. Employees may need to seek assistance outside their chain of command in certain situations (e.g., harassment, retaliation, etc.).
164	164
	180	+
165	165	**AB 02_110 __PRIVACY WARNING__**
166	166
167	167	1. Policy: