Chapter 3 – Personnel, Training, and Employee Relations

Public concern regarding the cost of government has motivated legislators and public administrators to increase the efficiency and effectiveness of government. One point of focus has been in the area of employee performance appraisals.

Recent advancements in the development of appraisal methods have renewed efforts to make better utilization of this powerful management tool, especially as it applies to mangers. Performance appraisal properly carried out enhances clarification of job duties and responsibilities.

The Managerial Performance Appraisal System (MPAS) provides more effective management by recognizing superior performers (through bonuses), and serving as an incentive for managers to strive toward efficiency and prepare them for promotion. The program is designed to communicate and clarify work objectives; provide a standardized method of reporting work performance; distinguish between superior, good, and poor performers; and help deal with below standard managerial performance.

Participation in MPAS is mandated by GCGovernment Code 19992.8 through 19992.14. Exceptions to non-participation shall be approved by the Chief Deputy Director. The MPAS Coordinator shall be provided with written notification of such action.

• Classification of Participants

  • Permanent or limited-term employees in a designated managerial classification. A managerial classification is defined as an employee having significant responsibilities formulating of administering Department programs and policies as mandated in GCGovernment Code 3513 (e). Exempt employees, except those designated as higher level reviewers, are also included.

• Ineligible Participants

  • Non-managerial employees who are serving on training and development assignments to designated managerial classes are ineligible to participate, as are managerial employees who are on training and development assignments to non-managerial classes. Similarly, employees on acting assignments to designated managerial classes are not eligible to participate.

• Separated Employee Participants

  • Managers who retire, leave State service or voluntarily demote to a non-managerial position are also covered if they participate in the minimum appraisal period as defined below. Additionally, managers assigned temporarily outside their parent organization or those who transfer between departments are covered if they meet the minimum appraisal period requirements.

• Immediate Supervisor

  • The supervisor who is responsible for rating the manager quarterly and annually.

• Designated Higher Level Reviewer

  • The appointing authority, or the Chief Deputy Director/Director, who makes final evaluation and bonus decisions.

  • The designated higher level reviewer (Warden, RPARegional Parole Administrator, deputy director, Chief Deputy Director or Director) reviews the quarterly and final rating and nominates bonus recipients. These individuals are exempt from MPAS as their role presents a potential conflict of interest.

The MPAS appraisal period begins July 1 and concludes June 30 each year. Evaluations are due at the end of every third month (September, December, March and June) with the final or annual evaluation also due by June 30.

• Minimum Appraisal Period

  • The minimum appraisal period is 90 days. Managers employed for less than 90 days during an appraisal year will not be included in the program.

• Minimum Bonus Appraisal Period

  • The minimum participation period for bonus eligibility is 180 days. Appraisal quarters may be added together to meet the 180-day minimum. Routine vacation and sick leave are not subtracted from the 180 days; however, extended leave of 60 days or more is subtracted.

Appraisals shall be based on organizational goals. Each manager will be assessed on their contribution toward the accomplishment of those goals. Organizational goals shall be translated into annual work plans consisting of critical elements for each manager.

Each manager shall have a work plan prepared and approved prior to the beginning of the appraisal year. A narrative or memorandum style is acceptable. This plan is developed by the manger and their supervisor, signed as acceptable by both and shall contain the performance elements to be accomplished by the manager during the year.

When MBO goals relate to the manager’s scope of responsibility, MPAS work plan elements should incorporate the departmental Management by Objective (MBO) goals.

Any revision to the work plan should be entered within the quarter in which they are effective and initialed by both the supervisor and manager.

Managers appointed after submission of annual work plans will assume the work plan previously developed for the position of a pertinent one exists or will prepare/revise within 90 days of their appointment.

The critical element of a work plan is one of such importance that accomplishment of it is essential to the work unit’s mission.

• Criteria

  • Each manager’s work plan shall contain at least three critical elements. The DPADepartment of Personnel Administration (see CalHR) recommends that no more than seven critical elements be developed.

  • Critical elements should represent the main thrust of the manager’s position and meet the following criteria:

    • Give a precise definition of the expected accomplishment.

    • Be Challenging, attainable and within the manager’s control

    • Be clearly stated in terms of needs, specific results, and time periods for each critical element.

    • Be subject to reliable periodic measurement that the projected effort is on course and on time.

  • Critical elements must have “milestones” that can be measured each quarter. This will enhance the review and rating process as well as point out needed modifications to the work plan. Example, “…complete an on site audit of each institution’s appeal procedure for compliance with policies, procedures, at the rate of three institutions per quarter, with a report on the first three institutions due September 30, 1991.” Managers are encouraged to develop critical elements that will span the entire 12-month period to provide a better basis for evaluation. Each work plan should include a minimum of one critical element that expires in June. Work plans whose critical elements are all scheduled for completion prior to June do not allow for complete quarterly evaluations and ratings.

MPAS replaces the use of individual development plans for designated managers. Plans for self-development and/or training to be accomplished during the appraisal year shall also be included in the work plan as “non-critical elements”. These elements shall not be a determining factor for bonus nomination, as the final ratings shall be based on accomplishment of the critical elements only.

Supervisors may continue to provide performance evaluation summaries for subordinate managers to document their performance in areas beyond the scope of MPAS.

Evaluations are based on each manager’s self-assessment that are prepared quarterly. These self-assessments should provide specific information on the manager’s progress toward meeting the critical elements of the work plan. The self-assessments are submitted to the rater for review and form the basis for the manager’s quarterly and final summary ratings.

The Managers’ General Standard (MGS) provides the yardstick by which managers are measured regarding accomplishment of their critical elements. The yardstick provides fair, equitable and consistent expectations for basic types of activities that are relevant to all state managers. Use of the MGS critical elements does not preclude adding standards for specific accomplishments of a manager’s job.

While these standards can be used to hold managers accountable for performance in these areas, the decision to grant a bonus must be supported by “fully Successful” or above performance on critical elements.

Managers who believe that any element is the MGS does not apply to their duties may submit written justification as to why they should not be appraised on that element. Exceptions however, should be infrequent.

• Rating Levels

  • Five rating levels are used:

    • Outstanding.

    • Exceeds Fully Successful.

    • Fully Successful.

    • Minimally Successful.

    • Unsatisfactory.

Most ratings for valued, competent managers will be “Fully Successful,” which is the level of performance expected of a manager. Relatively few managers should fall into the remaining categories.

Progress reviews shall be discussed with each manager quarterly and any time their performance falls below the “Fully Successful” level.

• Responsibility of Participants

  • At the end of each quarter, the participating manager shall prepare and submit a self-evaluation and any supporting documentation to their supervisor for review. The supervisor should address the self-assessment in the progress discussion and consider the documentation when assigning the rating. If, due to intervening priorities, a quarterly objective cannot be met, the work plan due dates should be revised, objectives should be deleted, or new objectives should be included.

• Responsibility of Supervisor

  • Ratings will be assigned at all formal reviews. These ratings shall be recorded on the Managerial Performance Appraisal Summary and signed by the supervisor and managerial employee. The recommended rating and any employee comments shall be submitted to the designated higher level reviewer at each institution, parole region or headquarters unit, and ultimately to the respective deputy director.

• Responsibility of Higher Level Reviewer

  • The higher level reviewer shall:

    • Determine if the ratings are factually accurate, properly documented, and consistent with their own impression of how the employee’s performance meets the MGS.

    • consider any employee comments/appeals and determine what impact, if any they should have on the ratings.

    • Consider all submitted ratings collectively to ensure that the managerial rating standards are being consistently applied and that the overall group of ratings effectively and accurately distinguish the various levels of performance that are present within the rating group.

  • Any changes in the ratings shall be supported by written comments and must be communicated back to the employee and supervisor. Employees shall also be provided an opportunity to submit comments/appeals on ratings that are lowered.

  • Each division shall establish a system or location for retention and retrieval of substantiating documents for audit purposes, (e.g., having division coordinators retain the documentation; having the rater retain the actual documentation and submit a summary of the employee’s progress with the quarterly review; or submitting the documentation with the quarterly review an returning it to the rater after review by the deputy director.) ECEvidence Code&ISDInformation Services Division (see EIS) coordinates the appraisal/bonus process for managers reporting to the Directorate.

• Semi-Annual Review

  • A semi-annual summary report of work plans, reviews and ratings will be submitted by each division to the Department Coordinator at the end of the second quarter. The Department Coordinator will consolidate these reports and advise the Chief Deputy Director of the status to the program.

• Final Review

  • Overall ratings for the entire appraisal ear are assigned at the end of the fourth quarter and are included as part of the fourth quarter progress review discussion.

  • Appraisals shall be given to all managers transferring to anther department, upon departure, if the period worked exceeds 90 days in the current appraisal year. This report will be included in the year-end appraisal.

  • The organization that a manager is permanently assigned at the end of the appraisal year shall prepare the final appraisal unless otherwise requested by the manager. A manager at their discretion may receive consideration from another department or organizational unit where they served during the year by submitting a written request to that department or organizational unit on or before June 30. The manager shall also at their desecration submit a copy of this request to the department where they are currently assigned.

The following are the specific responsibilities for all participants in the MPAS.

• Participants’ Responsibilities

  • Work Plans:

    • Prior to the beginning of the appraisal year, each manager shall prepare and submit a designated manager Work Plan and Managerial Performance Appraisal Summary, STDStandard Form (DGS) Form 750, for the fiscal year. Managers appointed after the beginning of the appraisal year must either assume the existing work plan for their position or prepare/revise on within 90 days of appointment.

    • Work plans shall include critical an noncritical elements.

    • Each manager and their supervisor shall discuss the work plan. Both must signify acceptance of the plan by signing the STDStandard Form (DGS) Form 750, Part A.

    • Work plans are subject to deputy director concurrence.

  • Quarterly Review/Final Appraisal Summary:

    • Each manager prepares a self-evaluation of progress in meeting established objectives. The evaluation and any supporting documentation is submitted to their supervisor prior to the review discussion.

    • A formal discussion between the manager and supervisor shall be held each quarter to review progress in meeting, or not meeting, the established objectives. Ratings shall be assigned at each formal review Both the manager and supervisor shall initial and date the assigned rating on the STDStandard Form (DGS) Form 750.

    • Work plans may be revised at the time of the quarterly review. Revised plans shall be signed by both the employee and supervisor and are subject to deputy director concurrence.

    • An exit review shall be conducted and a rating assigned when an employee vacates a managerial position if the appraisal period exceeds 90 days.

• Supervisors’ Responsibilities

  • Work Plans:

    • Supervisors must ensure that a work plan and STDStandard Form (DGS) Form 750 are completed before the beginning of the appraisal year for each manager under their supervision, or within 90 days of appointment is after the beginning of the appraisal year.

    • A discussion of the work plan takes place. Both the manager and supervisor must signify acceptance of the plan by signing Part A of the Form 750.

    • Work plans are subject to the deputy director’ concurrence, and copies must be submitted to the deputy director, by the Division, Institution and Parole Region MPAS Coordinators.

  • Quarterly Reviews:

    • At the conclusion of each quarter a discussion of the employee’s progress in meeting his or her established objectives shall be held and a rating assigned.

    • Changes to the work plan may be made at this time and are subject to the procedure outlined under “Work Plans”.

    • Prior to the discussion, the supervisor reviews the self-evaluation and any substantiating documentation submitted by the employee. This information should be considered when assigning the quarterly rating.

    • An exit review must be conducted and a rating assigned when an employee vacates a managerial position if the appraisal period exceeds 90 days.

Deputy Directors and Institution Wardens shall appoint an MPAS coordinator.

The Division/Institution MPAS Coordinators shall act as the liaison for managers and raters; monitor the completion and submission of work plans, quarterly reviews, semi-annual rating summaries, final appraisals, substantiating documentation and bonus awards and recommendations; and disseminate information to managers, raters and deputy directors, as appropriate.

• Work Plans:

  • Verify that each eligible managerial employee prepares a work plan and STDStandard Form (DGS) Form 750 for the fiscal year prior to the beginning of appraisal year.

  • Verify that a work plan is completed or revised within 90 days when a managerial employee is newly appointed or a previously vacant managerial position is filled. Work plans may be transferred to an employee filling a position where a work plan was previously completed.

  • Verify that the work plan is signed by both the employee and the rater signifying acceptance of the terms of the plan (the signature blocks are found in Part A of the STDStandard Form (DGS) Form 750).

  • Maintain a log of work plans received.

• Quarterly Reviews:

  • Quarterly reviews of performance are mandatory. Coordinators ensure completion and submission of these reviews within 15 days after the end of the quarter.

  • Log the rating.

  • Ensure that reviews are done for employees who terminate employment, transfer, promote or demote (to a nonmanagerial position) within the division, institution and parole region or to another division or agency.

• Semi-Annual Report:

  • A semi-annual summary report of reviews and ratings is forwarded to the Department MPAS Coordinator following the end of the second quarter.

• Final Appraisal Summary:

  • Ensures completion and submission of the final appraisal summary for all participants.

  • Submits final appraisal summaries (for those employees being recommended for bonus awards) and all supporting documentation to the Department MPAS Coordinator.

The work plans for each designated manager within the division, institution and parole region are reviewed by the deputy director or designee for compliance with the criteria described in Section 31160.5.1. Exceptions to participation shall be reviewed and approved by the deputy director prior to submittal to the Chief Deputy Director. When necessary, the work plan is returned to the manager for additional information, clarification or milestones. When changes are necessary, a new plan is prepared and signed, or the employee and rater may initial changes made to the original work plan.

Final appraisal summaries and supporting documentation are submitted to the deputy director at the end of the appraisal year.

Each deputy director may recommend up to 20% of the managers within the division for bonus award consideration.

Bonus nominations are submitted to the Chief Deputy Director. An executive summary of each manager’s accomplishment and an explanation of the significance to Department is prepared and submitted in lieu of actual supporting documentation. This summary, the STDStandard Form (DGS) Form 750, a copy of the original work plan and any revisions to the work plan must be sent to the Department MPAS Coordinator.

The Department MPAS Coordinator (Personnel Office staff member) shall act as liaison for the Division MPAS Coordinators and disseminate information regarding DPADepartment of Personnel Administration (see CalHR) and the Department’s policies and procedures relative to MPAS. Additionally, the Department MPAS Coordinator shall:

• Monitor completion of work plans, semi-annual reviews and ratings, final appraisal summaries, supporting documentation, bonus award recommendations and bonus awards.

• analyze the above for consistency and adequacy and work with the Division MPAS Coordinators and/or deputy director when changes are necessary. This shall include reviewing bonus nomination packages, and returning for further clarification or forwarding for the Director’s approval.

• Prepare participating manager listings semi-annually and distribute to Division Coordinators.

• Prepare semi-annual status report for the Chief Deputy Director.

• Prepare year-end summaries for the Chief Deputy Director regarding bonus recommendations, funding and award allocations.

• Gather work plans and supporting documentation of bonus recipients from divisions, institutions and parole regions for DPADepartment of Personnel Administration (see CalHR) audit purposes. Respond to DPADepartment of Personnel Administration (see CalHR) inquiries and prepare reports as necessary.

• Prepare congratulatory letters for director’s signature. Advise the headquarters personnel transactions office of bonus payment procedures.

• Monitor the payment procedure to assure checks and congratulatory letters are delivered in timely manner.

When performance is reported as “Unsatisfactory,” it shall be accompanied by documentation that includes a recommendation for adverse action such as salary reduction, demotion, separations, etc.

ratings of “Minimally Successful” require an explanation of the deficiencies and what steps are being taken to resolve the deficiencies.

If the “Unsatisfactory” or “Minimally Successful” rating is due to mitigation circumstances, adverse action is not necessary; however, an explanation of the circumstances shall accompany the appraisal.

“Exceeds Fully Successful” ratings require an explanation as to how the performance is notably better than “Fully Successful,” e.g., what high quality work was completed ahead of scheduled deadlines with less than normal supervision.

“Outstanding” ratings require documentation demonstrating that an exceptionally high quantity and quality of work was performed with little or no supervision.

Bonus determinations are made on a case-by-case basis in comparison with the accomplishments of other managers in the organization. Managers who receive ratings of “Exceeds Fully Successful” or “Outstanding” throughout the year are eligible for bonus awards.

In exceptional cases, an employee may be rated “Fully Successful” on quarterly reports and nominated to receive a bonus. In these rare situation where the critical elements of the work plan, in and of themselves, are so significant that fully successful performance far surpasses outstanding performance on objectives of a more routine or common nature, the employee may be recommended for a bonus. In such cases, the deputy director must provide supporting documentation that clearly justifies why the bonus is warranted.

Typically, managers receiving less than fully successful on any quarterly report will not be recommended for a bonus.

The Department has established bonus awards for 20 percent of its qualifying participants. To equitably distribute the awards, the bonuses shall be allocated each year on a pro rata basis to each division, institution, and parole region calculated on the number of participants with 180 days or more in the program. This means that the total number of bonus awards allocated to each division, institution, and parole region shall be based on 20 percent of their participants.

Bonus awards may range from $1,250 to $5,000; however, the Department typically limits the maximum amount to $2,500. Awards over $2,500 may be granted in extremely rare cases and must be supported by exceptional justification.

Bonus award amount guidelines:

Bonus award decisions shall consider all qualifying performance during the appraisal year, including those occurring in other departments or organizational units. Managers who retire, leave state service or voluntarily demote to a non-managerial position may be considered for a bonus if the period worked exceeds 180 days.

The final appraisal, with all required substantiation attached, shall be submitted to the deputy director. The deputy director will review each appraisal and select managers for bonus nominations.

Bonus Nomination Package

• The bonus award nomination package shall include:

  • An executive summary of the manager’s accomplishments and the significance to the Department. This summary should specify how the manager met or exceeded the critical elements in their work plan and how the accomplishment of the critical elements benefited the Department. The summary should also include the recommended bonus amount and a brief explanation if the amount exceeds the guidelines. This will assist in post-audit reviews by DPADepartment of Personnel Administration (see CalHR) .

  • The completed appraisal summary form that contains all the quarterly rating as well as the final rating and participant’s signatures.

  • The original work plan with any revisions.

  • Any actual documentation such as self-evaluations, legal documents, graphs, charts or other records should be retained by the division.

• Nomination packages are submitted to the Chief Deputy Director, by the Department MPAS Coordinator, for final approval by September 20. The Director and Chief Deputy Director retain final authority for all bonus award decisions. Awards shall be determined by November 1 and payments shall be made by December 15.

• Bonus checks are issued by the SCOState Controller’s Office. The Department MPAS Coordinator will work with Personnel and Payroll Services to request the bonus warrants, prepare a letter of congratulations for the Director’s signature, and distribute the checks and letters for presentation to the nominees. The awards may either be sent by mail or made in person, at the discretion of the Warden or deputy director.

The appraisal appeal process provides managers an opportunity to appeal their appraisal. The basis for an appeal is that the performance appraisal report was used to abuse, harass or discriminate against the managerial employee.

The Deputy Director, Administrative Services is responsible for ensuring that this section is current and accurate.

GCGovernment Code §§ 19992.8 – 19992.14.

CCRCalifornia Code of Regulations (2) (1) §§ 599.796 and 599.796.1.