5.1 PERFORMANCE GUIDELINES

The goal of performance management is to provide both management and the employee a process to uniformly, fairly, impartially and confidentially (to the extent permitted by law) deal with employee performance situations requiring corrective action.

Performance management assures that employees:

• have job expectations clearly defined
• receive adequate coaching and training to meet job requirements
• receive fair, honest and specific feedback about their work
• take responsibility for their work behavior and performance
• be actively involved in continuously improving their own and their department’s performance

Performance management assures that department heads and supervisors:

• clearly communicate with employees concerning the job’s duties, responsibilities, job performance expectations, workplace conduct and compliance with County rules and policies
• expect cooperation and participation from employees in managing their own performance and meeting goals
• provide consistent, honest, and timely feedback about employee work behavior and job performance
• provide a constructive, corrective and cooperative approach to employee work relations

Performance management is an on-going dialogue between supervisor and employee regarding job-related behavior. Supervisors are expected to provide informal feedback about job performance to their employees on an ongoing basis which forms the basis for a performance appraisal discussion. Performance appraisals are expected to occur no less frequently than once a year after the initial trial service period. During the trial service period, the supervisor should provide feedback to the employees on a reasonable interval to assure that the employee is aware of his/her job performance.

5.2 PERFORMANCE APPRAISALS

Performance appraisals should be conducted at the following intervals:

• Prior to the completion of the trial service period
• Annually thereafter

Additional evaluations may be done at the discretion of the department head. The performance appraisal should be conducted during a face to face meeting between the supervisor and the employee and should be scheduled in advance to allow for sufficient time to prepare.

The performance appraisal discussions should:

• Review the job description and job expectations
• Review the goals and objectives of the position
• Describe and review accomplishments, individual strengths and weaknesses
• Provide specific and observable feedback about areas requiring attention and improvement
• Develop a specific action plan to address work-related behavior and job performance issues, which may include coaching, counseling, training, etc.

Performance appraisal discussions should be documented by a written summary and kept in the personnel files. The department head may select to use a specific performance appraisal form, which serves as written documentation. Recognizing that no one appraisal instrument can best serve the diverse needs of all supervisors and employees throughout the County, the department heads may develop their own performance appraisal form. The form should be reviewed by the Administrative Coordinator or qualified personnel specialist to assure consistency and fairness and that all evaluation criteria are job related and in compliance with current relevant employment law.

5.3 PERFORMANCE IMPROVEMENT PLAN

An important component of performance management is the improvement plan. The improvement plan allows the supervisor and employee to set a course of action and a schedule to monitor job behavior and performance which do not meet expectations and are perceived to be in need of attention. The improvement plan may also focus on career path development and setting up a plan to nurture and develop employee skills, knowledge and abilities to support future career goals. The improvement plan may include coaching, counseling, and/or training.

5.4 PERFORMANCE FOLLOW-UP

Performance appraisal discussions should include regular follow-up by the supervisor to monitor progress and provide constructive feedback. A schedule for follow-up should be included in the improvement plan to assure that the employee has understood what is required and is receiving the proper support.

5.5 CORRECTIVE DISCIPLINARY ACTION

5.5.1 Corrective Disciplinary Action Purpose

Occasionally it is necessary for supervisors with the approval of department heads to resort to corrective disciplinary action when other less stringent means of supervision are ineffective or where a particular employee has failed to respond to performance management, or in cases where the supervisor with the approval of the department head determines that the nature of the offense or individual circumstances deems it appropriate.

Employee corrective disciplinary action as described in this section is for guidance to supervisory personnel only. It is not a contract between the County and its employees and is not intended to confer any vested rights relating to continued employment. This section merely describes for County personnel, the County’s general philosophy regarding corrective disciplinary action. The County recognizes that each disciplinary action must be judged on its own facts. Fairness and common sense dictate that these unique situations shall be reviewed and decided in the context of surrounding circumstances and that the disciplinary process may include any or all steps depending upon the individual circumstances, the nature of the infraction, and the judgement of the department head.

5.5.2 Procedural Guidelines

Corrective disciplinary action may consist of:

• Verbal counseling
• Written counseling
• Suspension (with or without pay)
• Termination

Any or all of these actions may be utilized, depending upon individual circumstances, the nature of the infraction, or the judgement of the department head/supervisor. Corrective disciplinary action may be initiated for various reasons, including, but not limited to, violations of the County policy, insubordination or poor job performance. Section 6.4 lists some workplace conduct considered serious and may result in immediate discharge.

5.5.3 Due Process Policy

To assure that due process is provided in the corrective disciplinary process and that the employee understands the seriousness of the situation and the need for corrective action, the following actions are recommended:

• Make certain that evidence, work records, or other information, constitute sufficient, valid, factual reasons for the action contemplated.
• Meet and confer with the employee, informing him of the corrective action being considered, the reasons for same and the evidence.
• Give the employee a chance to respond, to tell his/her side of the story.

Once determination has been made that corrective disciplinary action is required, the supervisor and/or department head may proceed with the appropriate actions listed below:

• VERBAL WARNING:

A verbal warning involves a direct communication between the supervisor and employee and discusses the job-related facts and observations which are subject to disciplinary action. The employee should be made aware of the corrective action required, the seriousness of the situation, the expectations for improvement, and the next step of corrective action to be followed if improvement does not result. The supervisor shall indicate that the action taken constitutes a verbal warning and may or may not choose to make the imposition of a verbal warning part of the employee’s personnel file.

• WRITTEN WARNING

When verbal warnings have failed to resolve minor issues, or when continuous infractions are involved, or when more serious violations have occurred, written warnings are recommended. Written warnings should be clear and specifically identify the violations. The past work record should be detailed if pertinent. The warning should indicate that it shall become part of the employee’s personnel file and that further violations may lead to further disciplinary action. The warning should be constructive, indicating the expectations for improvement and define a plan for correction. The employee shall be given the right to reply verbally or in writing. The warning should be signed and dated by the department head and/or supervisor and the employee.

• SUSPENSION

In considering corrective disciplinary action, a supervisor and/or department head may elect to suspend an employee for one day, with pay, to give the employee an opportunity to decide whether or not he wants to work within the bounds of the rules and regulations of the job. Suspension without pay requires the approval of the department head, except in a situation when a supervisor finds it necessary to suspend an employee for the day because of disruptive behavior or potential danger to themselves or to other employees. Unless otherwise approved by the Board of Commissioners of Okanogan County, no suspension without pay shall exceed three working days

• TERMINATION

If the employee has not responded to any of the corrective disciplinary actions or the alleged conduct is of a type, which in the determination of the department head warrants serious disciplinary action, the final option in the corrective disciplinary process is termination.

5.5.4 Termination Guidelines

Prior to any determination to terminate, there should be a thorough and impartial investigation of the facts. The department head should notify the Administrative Coordinator of the intent to investigate and consult with the Administrator Coordinator to appoint a qualified investigator. The department head or elected official, depending on the circumstances of the alleged misconduct, may request that the employee be placed on a suspension without pay pending the outcome of the investigation.

The investigation should include, but is not limited to:

• Review of all related policies, rules and regulation
• Review of applicable employment records, personnel actions, personnel files, personnel and performance documentation
• Review of historical employment records and actions related to similar circumstances and past practices
• Witness statements
• Interview of the employee under investigation and review of any information the employee provides
• Review of any mitigating circumstances to justify a lesser disciplinary action
• Review of any other relevant documentation
• Written report of the findings

At the conclusion of the investigation, the department head should review with the Administrative Coordinator and/or the county legal advisor, the investigation report. If it is determined that there is cause for termination of the employee, a pre-termination letter should be presented in person or mailed to the employee by certified mail. The pre-termination letter should address the following:

• Summary of the allegations investigated and recommended action
• Date for a pre-termination hearing in which the employee may respond verbally or in writing. In lieu of a hearing, the employee may elect to provide a written response which shall be due by the date of the scheduled pre-termination hearing
• Notification that the employee is entitled to have a representative at the hearing to assist in presenting the employee’s response
• Notification that the hearing may be attended by the employee’s representative but that no testimony or oral statements by anyone else are permitted. Only information or evidence which is relevant and material to the reasons for termination shall be allowed

The pre-termination hearing should be scheduled 7-14 days from the service of the pre-termination letter. The pre-termination hearing should be held with the department head and Board of County Commissioners and should include the Administrative Coordinator and/or County legal advisor. The pre-termination hearing may be heard by an elected official other than the Board of Commissioners in the following departments:

• Assessor
• Auditor
• Clerk
• District Court
• Juvenile Services
• Prosecutor
• Sheriff
• Superior Court
• Treasurer

After hearing the employee’s response, whether at the pre-termination hearing and/or employee’s written response, the Board of Commissioners or the elected official may decide to uphold the termination decision or at their discretion modify such recommended action. The final decision of the Board of Commissioners or elected official should be communicated in writing to the employee. The final decision letter should include the Board’s or elected official’s determination of action to be taken, the reasons for the action, and consideration of the employee’s response. If it is decided that termination is the action to be taken, the final decision letter should include the employee’s last day of work, the termination date, information related to the final paycheck and any benefits to which the employee may be legally entitled.

The final decision letter should be presented by the department head preferably in person to the employee. If a department head is the subject of the termination, the Board of Commissioners or elected official should present the final decision letter. If there are circumstances where the employee cannot be or it is advisable not to be notified in person, the final decision letter should be mailed by certified mail to the employee. When the final decision letter is presented to the employee, it is recommended that one other management official be present. The department head or other management official as appropriate should notify the payroll department with the information necessary to process the termination.

5.6 Disciplinary Probation

During the corrective disciplinary process, an employee may be placed on a disciplinary probation for a period determined by the department head. Employees on disciplinary probation shall participate in an action plan designed to improve performance and/or workplace behavior and be counseled that any further disciplinary problems may result in further disciplinary action up to and including termination.

5.7 Resignations

An employee may resign from service by presenting a resignation in writing to the elected official or department head. An exit interview is recommended to document the reason for leaving, explain benefits continuation, discuss the return of County property, and to obtain from the employee information and views that may help make improvements in policies, procedures, and working conditions and reduce turnover. To resign in good standing, an employee must give at least two (2) weeks notice, unless, because of extenuating circumstances, the elected official or department head agrees to allow a shorter period of notice. The department head shall promptly notify the Auditor’s Office of any resignation in order to accommodate the processing of payroll.