AB 02 Employee Files, Goals, and Evaluations (Policy.Administrative.AB 02 Employee Files, Goals, and Reviews.WebHome)

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.

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11. The Human Resources Department should be responsible for controlling the creation, maintenance, distribution, storage, and security of employee files.

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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.

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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).

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1. Rationale:

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11. Employee files must be maintained and controlled effectively for the necessary operations of the WCSO and to minimize liability for the WCSO.

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**AB 02_104 __NOTES__**

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1. Policy:

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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.

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11. By the end of each evaluation period, each note not discarded should be:

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111. Included in a staff management form;

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111. Included in a staff training record; or

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111. Included in an employee evaluation.

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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.

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1. Rationale:

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11. Notes allow supervisors to temporarily document events quickly and easily while the facts are still recallable.

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11. Information in notes may have been entered before all the facts surrounding an event have been gathered.

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**AB 02_105 __EMPLOYEE FILES__**

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1. Policy:

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11. The Human Resources Department maintains official employee files. Employee files should be maintained electronically via a computer management system. Access to an employee file should be limited to:

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111. The Sheriff's designee (administrator privileges);

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111. The employee (view-only privileges);

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111. The employee's direct supervisory chain-of-command (modification privileges);

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111. The division's chief deputy and higher-ranking WCSO officials (modification privileges);

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111. Any WCSO supervisor with specific authorization and established privilege limitations from the division's chief deputy or higher-ranking WCSO official;

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111. The Human Resources Department; and

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111. High-ranking county officials; and

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111. County legal counsel, as necessary.

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11. Hard copy employee file records should be destroyed (i.e., shredded) after being entered into the computer management system, unless a hard copy is necessary to preserve an original signature and the document is securely stored by the Human Resources Department. As an exception, a hard copy may be retained by the employee who is the subject of the record.

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11. Supervisors, or other persons at the WCSO, should not maintain employee files separate from the established computer management system. The only exception to this is that the Training Unit may maintain employee records specifically related to training.

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1. Rationale:

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11. Access and control procedures should be established and followed in order to protect privacy and ensure accuracy of records.

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**AB 02_106 __FORMS & REPORTS__**

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1. Policy:

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11. An employee's file should contain all relevant forms, reports, letters, and other appropriate documentation including:

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111. Staff management forms (e.g., Level-1, Level-2, etc.). Reference policy: AB 10 Corrective Action and Discipline;

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111. Employee evaluations; and

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111. Awards documentation (e.g., Letter of Commendation, Recognition, etc.).

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11. A copy of every form, report, and document that is entered into an employee's file should be reviewed with the employee.

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1. Rationale:

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11. Employees should be allowed access to, or copies of, all material in their official employee file in order to:

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111. Verify accuracy of personal information;

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111. Facilitate self-improvement;

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111. Protect employee rights; and

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111. Provide open and clear employer/employee communication.

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**AB 02_107 __EVALUATIONS__**

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1. Policy:

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11. Employees should be evaluated fairly and objectively for advancement opportunities and other staff management actions.

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11. Details and examples should be used to support evaluation statements.

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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):

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111. Mid-Year Evaluation: October 1st through March 31st;

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111. Annual Evaluation: October 1st through September 30th.

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11. Evaluations should not be completed prior to the last day of the evaluation period. However, they may be started before then.

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11. Evaluations should generally be completed within the following number of days of the end of the respective evaluation period:

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111. Sergeants: 7 days;

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111. Lieutenants: 14 days;

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111. Chief Deputies: 21 days.

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11. Evaluations should include an in-person meeting between the direct supervisor and the employee.

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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).

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11. For each “Does Not Meet Expectations” and “Meets Expectations” recommendation, the supervisor must document a reason.

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1. Rationale:

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11. Unfair and/or subjective evaluations of employees may be demoralizing to employees and could create liability for the WCSO and the evaluators involved.

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11. Evaluations are tracking tools of an employee's individual performance. Trends or patterns can be identified to support employee management decisions.

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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.

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11. Evaluations should be completed promptly in order to remain a productive tool for the supervisor and the employee.

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11. The annual evaluation provides a performance summary upon which employee management decisions may be based (e.g., pay increases, promotion opportunities, etc.).

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**AB 02_108 __GOALS__**

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1. Policy:

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11. At least one goal should be established for each employee each year.

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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.

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11. There are two types of goals:

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111. Current: A work-related goal reasonably attainable within the current evaluation period;

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111. Future: A work-related goal reasonably attainable within the following three years.

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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.

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1. Rationale:

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11. The employee should set his/her own goals in order to more firmly establish ownership for the individual goals.

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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.

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**AB 02_109 __GRIEVANCES AND APPEALS__**

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1. Policy:

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11. An employee who does not agree with an item or aspect of one of his/her evaluations or employee file documentations:

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111. Should address the disagreement when it is first discovered;

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111. Should first address the issue with his/her direct supervisor.

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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.

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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.

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1. Rationale:

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11. Following the chain of command may allow for quicker resolution for an employee.

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11. Employees may need to seek assistance outside their chain of command in certain situations (e.g., harassment, retaliation, etc.).

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**AB 02_110 __PRIVACY WARNING__**

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1. Policy:

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11. Employee files, and the information contained therein, should be considered confidential information.

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11. Staff should not distribute, discuss, access, or allow the distribution, discussion, or access of any information contained within another employee's file. Exceptions would include a current, required, work-related need to know via proper chain of command and authorized internal affairs investigations.

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1. Rationale:

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11. Failure to abide by the above privacy policies, may subject the individual(s) involved to criminal, civil, and administrative liability. Administrative liability may include termination of employment.

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