Wiki source code of AB 02 Employee Files, Goals, and Reviews

Last modified by Ryan Larkin on 2022/03/08 21:21

version	line-number	content
1.1	1	Washington County Sheriff's Office
	2
	3	ADMINISTRATIVE DIVISION
	4
	5	Policy Manual
	6
	7
	8	Volume: AB
	9
	10	Staff Management
	11
	12	Chapter: 02
	13
3.1	14	Employee Files, Goals, and Reviews
1.1	15
	16
	17	Replaces and/or Supersedes:
	18
	19	PD 31, OD 02-003-A, OD 02-007-A
	20
	21	Published:
	22
	23	06/18/2012
	24
	25	Review Date:
	26
3.1	27	03/08/2022
1.1	28
	29
3.1	30	Sheriff Nate Brooksby
1.1	31
3.1	32	Undersheriff Barry Golding
1.1	33
	34
	35	__TABLE OF CONTENTS__
	36
	37	AB 02_101 Definitions
	38
	39	AB 02_102 References
	40
	41	AB 02_103 General
	42
	43	AB 02_104 Notes
	44
	45	AB 02_105 Employee Files
	46
	47	AB 02_106 Forms & Reports
	48
3.1	49	AB 02_107 Reviews
1.1	50
	51	AB 02_108 Goals
	52
	53	AB 02_109 Grievances and Appeals
	54
	55	AB 02_110 Privacy Warning
	56
	57
	58	AB 02_101 __DEFINITIONS__
	59
	60	1. WCSO: Washington County Sheriff's Office
3.1	61	1. Kadota: The WCSO electronic employee file management system.
1.1	62	1. Zimbra: The WCSO email system.
	63
	64	AB 02_102 __REFERENCES__
	65
3.1	66	1. None
1.1	67
	68	AB 02_103 __GENERAL__
	69
	70	1. Policy:
	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	11. The Human Resources Department should be responsible for controlling the creation, maintenance, distribution, storage, and security of employee files.
	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.
3.1	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).
1.1	75	1. Rationale:
	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
	78	AB 02_104 __NOTES__
	79
	80	1. Policy:
3.1	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:
1.1	83	111. Included in a staff management form;
	84	111. Included in a staff training record; or
3.1	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.
1.1	87	1. Rationale:
2.1	88	11. Notes allow supervisors to temporarily document events quickly and easily while the facts are still subject to recall.
1.1	89	11. Information in notes may have been entered before all the facts surrounding an event have been gathered.
	90
	91	AB 02_105 __EMPLOYEE FILES__
	92
	93	1. Policy:
	94	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:
	95	111. The Sheriff's designee (administrator privileges);
	96	111. The employee (view-only privileges);
	97	111. The employee's direct supervisory chain-of-command (modification privileges);
	98	111. The division's chief deputy and higher-ranking WCSO officials (modification privileges);
	99	111. Any WCSO supervisor with specific authorization and established privilege limitations from the division's chief deputy or higher-ranking WCSO official;
	100	111. The Human Resources Department; and
	101	111. High-ranking county officials; and
	102	111. County legal counsel, as necessary.
	103	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.
	104	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.
	105	1. Rationale:
	106	11. Access and control procedures should be established and followed in order to protect privacy and ensure accuracy of records.
	107
	108	AB 02_106 __FORMS & REPORTS__
	109
	110	1. Policy:
	111	11. An employee's file should contain all relevant forms, reports, letters, and other appropriate documentation including:
3.1	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
1.1	114	111. Awards documentation (e.g., Letter of Commendation, Recognition, etc.).
	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	1. Rationale:
	117	11. Employees should be allowed access to, or copies of, all material in their official employee file in order to:
	118	111. Verify accuracy of personal information;
	119	111. Facilitate self-improvement;
	120	111. Protect employee rights; and
	121	111. Provide open and clear employer/employee communication.
	122
3.1	123	AB 02_107 __REVIEWS__
1.1	124
	125	1. Policy:
3.1	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.
1.1	132	11. For each “Does Not Meet Expectations” and “Meets Expectations” recommendation, the supervisor must document a reason.
	133	1. Rationale:
3.1	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.).
1.1	139
	140	AB 02_108 __GOALS__
	141
	142	1. Policy:
	143	11. At least one goal should be established for each employee each year.
3.1	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.
1.1	145	11. There are two types of goals:
3.1	146	111. Current: A work-related goal reasonably attainable within the current review period;
1.1	147	111. Future: A work-related goal reasonably attainable within the following three years.
	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	1. Rationale:
	150	11. The employee should set his/her own goals in order to more firmly establish ownership for the individual goals.
	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
	153	AB 02_109 __GRIEVANCES AND APPEALS__
	154
	155	1. Policy:
3.1	156	11. An employee who does not agree with an item or aspect of one of their employee file documents:
1.1	157	111. Should address the disagreement when it is first discovered;
3.1	158	111. Should first address the issue with their direct supervisor.
1.1	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	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	1. Rationale:
	162	11. Following the chain of command may allow for quicker resolution for an employee.
	163	11. Employees may need to seek assistance outside their chain of command in certain situations (e.g., harassment, retaliation, etc.).
	164
	165	AB 02_110 __PRIVACY WARNING__
	166
	167	1. Policy:
	168	11. Employee files, and the information contained therein, should be considered confidential information.
	169	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.
	170	1. Rationale:
	171	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.