Management/Supervisory Personnel
CONDUCTING A PERFORMANCE APPRAISAL
OP 4315.02(a)
CHECK HIGHLIGHTS
The County Office’s appraisal process is designed as an ongoing and continuous system of
evaluation that emphasizes clarity, cooperation and respect. It is a cyclical process which (1)
begins with orientation, (2) moves to the establishment and clarification of performance
goals, (3) continues with performance observations and data collection, (4) includes the
discussion of information gathered from observations and data analysis, and (5) culminates
with an annual summative written appraisal and final conference, at the conclusion of which
the next appraisal cycle begins.
The specific requirements, forms and timelines associated with performance appraisal are not
the same for all County Office staff due to the variety of negotiated contracts and
employment agreements under which County Office personnel are employed. However,
while there are unique appraisal requirements for each employee group, the overall intent and
structure of the appraisal process is consistent throughout the organization. This procedure
provides generalized information about the appraisal process and points out areas where
specific requirements for designated employee groups exist. Employees and evaluators
should refer to applicable current bargaining agreements, Merit Rules or employment
contracts—or contact the Human Resources Department— for more detailed information
about deadlines and requirements.
Purpose: To enact an ongoing and continuous process of performance evaluation that
ensures employees perform to the best of their abilities and that County Office goals and
objectives are met.
Timeline: Certificated employees, including temporary certificated employees, are evaluated
annually during the first two years of employment and at least every other year thereafter. If
a certificated employee receives an unsatisfactory evaluation, she/he is evaluated annually
until the employee achieves a positive evaluation or is separated from employment.
Classified and confidential employees are evaluated annually; classified and confidential
employees who are probationary are evaluated at three and six months of their hire date.
Certificated management employees are evaluated every other year and classified
management employees are evaluated annually; classified management staff who are
probationary are evaluated at six and twelve months of their hire date.
Procedures:
1.
Human Resources Department notifies evaluators of the staff requiring evaluations,
provides applicable appraisal forms, and confirms due dates well in advance of any pending
deadlines or, in the case of certificated employee appraisals, during the first week of
September each year.
OP 4315.02(b)
CONDUCTING A PERFORMANCE APPRAISAL (continued)
2.
Evaluator notifies the Human Resources Department if any evaluation materials need
to be rerouted due to staff changes or incorrect information regarding the assignment
of evaluators.
3.
Evaluator may find it helpful to organize an appraisal notebook, particularly if s/he is
responsible for evaluating a number of staff.
4.
Evaluator schedules and conducts an appraisal orientation session, giving
employee(s) advance notice. A group orientation may be given annually. Evaluator
may establish department or unit expectations and communicate those to employee(s)
during the orientation session(s).
See OP 4315.03, Orienting Employees to the Appraisal Process
5.
Evaluator schedules and conducts an individual planning conference to define
evaluation criteria, establish an appraisal timeline, set professional growth goals or
develop an performance plan, as applicable for each employee. (This is an optional
step for classified and confidential staff.) KEEP?

Direct formal observations by the evaluator

Informal observations by the evaluator

Feedback from peers, clients and others

Letters of acknowledgment or evidence of special recognition/achievements

Work products and written materials used to perform typical duties

Employee-generated portfolios of professional work

See OP 4315.04, Setting Performance Standards
6.
Evaluator and employee gather and/or obtain information, descriptive data and
feedback to justify or document judgments that will be made at the end of the
evaluation cycle. Performance information is available from a wide variety of
sources.
See OP 4315.05, Observing Performance and Gathering Data
Note: Appraisals for some employee groups have specific requirements concerning
observations, including completion dates, specifications for advance notification, location,
duration, number and associated observation conferences. Negotiated bargaining
agreements and/or California Education Code specify observation and data collection
requirements.
OP 4315.02(c)
CONDUCTING A PERFORMANCE APPRAISAL (continued)
7.
Evaluator schedules and conducts post-observation conferences as required and/or
schedules and conducts conferences throughout the appraisal period to provide
ongoing feedback, support and direction to the employee. Evaluator provides
additional support and assistance to new and low performing employees as
necessary.
See OP 4315.06, Holding a Performance Conference
8.
Evaluator notifies employee of date and time for summative evaluation content
discussion. Evaluator may send a planning form or a memo clarifying the meeting
format to assist the employee in preparing for the conference.
See OP 4315.07, Completing the Summative Evaluation
9.
Evaluator and employee meet and discuss the employee’s performance based on the
agreed-upon performance standards and/or the established 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 identifying achievements, future objectives and areas for improvement.
10.
Evaluator completes the applicable appraisal form following the evaluation
conference, using the meeting discussion as a basis for the written appraisal and citing
specific examples from the documentation the evaluator and the employee have
collected. Appraisal forms are completed by typing or writing legibly in ink. If there
is an improvement plan, the plan is discussed with the employee at this time. A
decision to delay a step increase will be discussed with the employee before the form
is forwarded to Human Resources. A step increase for a classified employee covered
by the Merit Rules may be postponed for up to six months.
11.
Employee signs the appraisal form indicating receipt only and, as applicable, may add
written comments under the “Employee Comments” section or on a separate sheet.
While employees are encouraged to add their comments prior to signing the appraisal
form, a response may be completed later and submitted to the Human Resources
Department for placement in the employee’s personnel file. If an employee refuses to
sign the appraisal form, the evaluator makes a written notation on the form stating
that the employee refused to sign. The evaluator then continues with the appraisal
process, forwarding the form as indicated below.
12.
Evaluator and employee retain duplicate copies of the appraisal form.
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. The completed form with approval signatures is forwarded to the
Human Resources Department.
OP 4315.02(d)
CONDUCTING A PERFORMANCE APPRAISAL (continued)
14.
Human Resources Department sends a copy of the signed final appraisal form to the
employee, again maintaining the confidentiality of the document. A copy of the final
appraisal form or confirmation of its receipt by the Human Resources Department is
forwarded to the evaluator upon request.
15.
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.
16.
The Human Resources Department maintains records of appraisals due and received,
updating database as appropriate.
17.
The Human Resources Department notifies evaluator if completed appraisal form is
not received by due date.
SONOMA COUNTY OFFICE OF EDUCATION
Policy References: SP/AR 4115/4315. Evaluation/Supervision and SP 4215, Evaluation/
Supervision.
Procedure approved: August 2010
(4150.01)