Management/Supervisory Personnel
OP 4315.07(a)
COMPLETING THE SUMMATIVE EVALUATION
One of the requirements of any appraisal system is the evaluator’s responsibility to make data
based and documentable decisions in ratings that define the evaluator’s judgment of the
quality of an employee’s performance.
Performance evaluations should be directed specifically toward employee behavior as
compared to agreed upon standards. Data based performance judgments are recorded and
maintained as part of an employee’s personnel file.
Summary ratings and comments such as those required on County Office appraisal forms
should indicate whether an employee’s performance is unsatisfactory even when strengths
have been recognized just as they should say when an exceptionally skilled employee needs
improvement in some areas. Such judgments are based on the ongoing review of employee
performance over time and are data based; they summarize the findings of observations and
data collection from throughout the appraisal period.
Completing the required appraisal forms is only one part of the summative evaluation.
Communicating and discussing evaluation judgments with the employee is an essential
component of good evaluation. Both praise and constructive criticism are crucial to the
appraisal process, to the employee’s professional growth and to the County Office’s
objective of employing a staff that is working effectively to support the mission and goals of
the organization.
The summative written appraisal and content discussion are the annual, or in some cases
biannual, conclusion of an evaluation cycle that includes orientation, goal setting,
observation/data collection, and performance conferences. The information collected
throughout this cycle and the judgments made about the information are summarized on the
written appraisal form and at the oral final conference.
Purpose: To enact a process whereby evaluators summarize and effectively communicate
objective, data based decisions about employee performance that accurately reflect an
employee’s accomplishments related to performance appraisal criteria.
Timeline: Certificated – Final appraisal forms are completed and the content discussed with
the employee by May 1 for certificated employees in the ASCOE and ROPTA bargaining
units and 30 days prior to the close of the school/work year for AFT unit members.
Certificated and classified management – Final appraisal forms are completed and the
content discussed by June 30.
Classified and confidential – Final appraisal forms are completed and the content discussed
with the employee by March 1 for assistants in the SEIU bargaining unit and one month prior
to the employee’s anniversary date for all other classified and confidential staff.
OP 4315.07(b)
COMPLETING THE SUMMATIVE EVALUATION (continued)
Procedures:
1.
Evaluator notifies employee of date and time for summative evaluation and content
discussion. Evaluator may send a planning form or memo clarifying the meeting
format to assist the employee in preparing for the meeting. Evaluator may ask
employee to complete a self-assessment and/or to bring a portfolio to the scheduled
meeting.
2.
Evaluator collects any information s/he has requested from colleagues, clients or
others regarding their perceptions of specified aspects of the employee’s performance
and gathers any other documents applicable to the performance appraisal. Evaluator
organizes and analyzes information prior to the scheduled meeting. Evaluator may
want to make notes on a draft version of the appraisal form as a means of preparing
for the evaluation conference.
3.
Employee, if s/he has decided to provide a portfolio or to bring work samples/
feedback forms to the conference, collects and organizes materials.
4.
Evaluator and employee meet and discuss the employee’s performance based on the
agree-upon performance goals and/or the evaluation criteria included on the appraisal
form. The planning form, employee portfolio or evaluator file of observation
records/data collection may become a focus of the meeting and assist with identify
achievements, future objectives and areas for improvement. Job descriptions and
written job standards (as applicable) may provide additional structure to the
discussion.
5.
Evaluator and employee identify achievements and objectives met during the year.
Future performance goals that would support the employee’s continued professional
growth may become evident and should be recorded in preparation for the next
appraisal cycle.
6.
Evaluator and employee, after discussing the positive aspects of the employee’s
performance, next identify and discuss problem areas, areas where goals were not met
or areas of possible professional growth. Improvement goals may become evident and
should be recorded for the next appraisal cycle.
7.
Evaluator communicates impartial, balanced and accurate assessments about
employee performance. For example, an evaluator may find that some aspects of an
employee’s outstanding performance deserves constructive criticism and some
aspects of an employee’s weak behavior may deserve praise.
8.
Evaluator ensures that employee is given opportunities to comment, to question or to
explain and that all communication between the evaluator and the employee has been
clearly understood.
OP 4315.07(c)
COMPLETING THE SUMMATIVE EVALUATION (continued)
9.
Evaluator completes the summative appraisal form following the evaluation
conference, working from collected documentation and/or the draft version of the
appraisal form as applicable. Evaluator references performance observations and data
to justify ratings and cites facts and examples to identify exemplary or unacceptable
performance. Descriptions of what the employee did or did not do are essential as
evidence to justify employment decisions. Forms should be completed by typing or
writing legibly in ink.
10.
Evaluator gives the appraisal form to the employee and provides an opportunity for
the employee to review and discuss its final contents with the evaluator.
11.
Employee signs the appraisal form indicating the receipt only of the form and, as
applicable, may add written comments under the “Employee Comments” section.
While employees are encouraged to comment prior to the final approval of the
appraisal by the County Superintendent, a response can be completed later and
submitted to the Human Resources Department for placement in the employee’s
personnel file.
12.
Evaluator and employee retain duplicate copies of the appraisal.
13.
Evaluator forwards the original appraisal form for appropriate signatures, ensuring
that the confidentiality of the document is maintained as it is routed through
interoffice mail.
14.
Department director signs the form after reviewing for:
•
•
•
•
•
Presence of required signatures
Clarity and completeness of information
Adequacy of supportive data to explain ratings
Balance in terms of positive feedback and constructive criticism
Guarantee that all procedures and timelines have been followed
15.
Department director forwards the appraisal form for additional approval signatures as
required, again maintaining the confidentiality of the document. The completed form
with approval signatures is routed to the Human Resources Department.
16.
Human Resources Department forwards a copy of the completed and signed final
appraisal form to both the evaluator and the employee, again maintaining
confidentiality.
17.
Human Resources Department places the original appraisal form in the employee’s
personnel file. Only when the appraisal form, complete with all required signatures, is
placed in the appropriate personnel file is the appraisal cycle complete.
OP 4315.07(d)
COMPLETING THE SUMMATIVE EVALUATION (continued)
SONOMA COUNTY OFFICE OF EDUCATION
Policy References: SP/AR 4115/4315. Evaluation/Supervision
Procedure approved: August 15, 1994
(4150.06)