EPP 35: Performance Management: Clarify, Converse, Capture

I. Purpose and Scope

The purpose of this policy is to ensure regular conversations occur with employees to discuss performance expectations and provide feedback or coaching. The purpose of these conversations is to make sure employees are clear on whether they are meeting expectations and if they are not, supporting them in making any needed improvements.The processes in this policy are based on the Clarify, Converse, and Capture Framework for Performance Management. The Clarify, Converse, Capture Framework applies to all County employees in regular status. For limited term and temporary status positions, the framework may be used, but it is not required. Some collective bargaining agreements have language with specific requirements in addition to those included in this policy.

II. Authority

This policy is established by the County Administrator’s administrative rule-making authority pursuant to County Code 2.09.060.E.

III. General Policy

It is the policy of Clackamas County that supervisors will engage in regular, individual discussions with their direct reports about performance expectations, feedback, and development opportunities, including a formal documented conversation at least annually.

IV. Definitions

Appointing Authority: Refers to the Elected Officials and Department Director responsible for the area in which that employee works.

Clarify, Converse, Capture: Clackamas County’s performance management framework for effectively managing employee performance, leading to individual, team, and organizational success.

Core Values: Clackamas County’s guiding principles and values, to be incorporated into each employee’s work so they can best serve the public and enrich our community.

Direct Reports: Employees who are assigned to, and whose performance is evaluated by, a specified supervisor.

Human Resources Information System (HRIS): Clackamas County’s human resources information system where employment data for all employees is maintained.

Letter of Expectation (LOE): A tool used by supervisors to communicate or reinforce workplace expectations. A LOE serves to clarify performance, conduct, communication, attendance or procedural expectations and to ensure the employee understands what is expected going forward.

My Action Plan: A tool available for employees and supervisors to help navigate short-term and long-term development and career goals.

Performance Summary: Document summarizing overall performance of an employee during the review period and includes a future focus.

Personnel File: Maintained by Human Resources, items that may have a bearing on employment status, including the Performance Summary, documents of commendation or discipline, or other related items.

Performance Improvement Plan (PIP): A collaborative tool designed to clearly outline performance and/or behavioral concerns, set clear expectations for successful job performance, and support employee development. A PIP establishes specific, measurable goals, and timelines to help the employee achieve and sustain satisfactory performance. It is intended as a coaching and improvement resource, not a form of discipline.

Probationary Period: The period during which employees are required to demonstrate expected performance of the duties of the position. Generally, for initial hires, the probationary period is 12 months; for promotions and transfers, the probationary period is six months. Some positions have specific training and certification requirements, which could lengthen the standard probationary period. Review Period: The period being evaluated in the employees’ Performance Summary.

Work Check Ins: Ongoing, regularly occurring (at least monthly), work-focused conversations between employees and their supervisors to discuss goals, progress, challenges, and well-being.

V. Policy Guidelines

N/A

VI. Process And Procedures

A. Expectations of Supervisors, Managers, Directors

Supervisors, Managers and Directors are expected to take responsibility for the following activities in accordance with the performance management framework, Clarify, Converse Capture. Contact Employee and Labor Relations for support with the use of progressive discipline tools, if necessary.

1. During Review Period
   At least monthly, hold Regular Work Check Ins (see Process Document) with employees to accomplish the following:
   1. Ensure employees understand why their work matters, connecting it to the County’s Core Values and Performance Clackamas, the department’s strategic business plan.
   2. Clarify performance expectations.
   3. Provide ongoing positive and constructive feedback.
   4. Support employees in developing and implementing their My Action Plan.
   5. Provide coaching and recognition to support employees in improving their performance and developing new skills.
   6. Document work check in conversations as a way to keep track of work history and agreements made throughout the year.
2. End of review period
   At least annually, complete the following for each employee:
   1. A Performance Summary for the review period using the Performance Summary Template (see Process Document).
   2. Engage in a formal Performance Summary conversation (see Process Document).
   3. If applicable, ensure Direct Reports who supervisor others are meeting this expectation with each of their employees.
   4. Submit Performance Summary documentation into employee’s Personnel File.
3. Pay Increases
   Manage employee pay increases as follows:
   1. Monitor when employees are eligible for a pay increase through Manager Self Service in the HRIS system and take action if you do not feel the pay increase should be made. A pay increase will be implemented if no action is taken.
   2. If the increase is deferred or denied, the supervisor must:
      • Notify HR by the 15th of the month prior to the month of the salary increase eligibility date.
      • Document a plan with timeline to bring the employee to possible approval.
   3. Talk to the employee about the approval or denial of a pay increase. It is the supervisor’s responsibility to have a timely conversation about pay at least annually with each employee.
4. Reinforce Job Expectations
   When an employee is not adequately meeting job expectations a Letter of Expectation and/or a Performance Improvement Plan can be useful, non-disciplinary tools to reinforce workplace and performance expectations.

B. Expectations of Employees

Employees are responsible for the following:

1. At least monthly, attend regular Work Check Ins (see Process Document) with their supervisor.
2. At least annually, engage in a Performance Summary conversation (see Process Document) with their supervisor and collaborate on a Performance Summary document (see Process Document).
3. Work with their supervisor to develop a My Action Plan. It is recommended that employees create this plan in collaboration with their direct supervisor for clarity on:
   1. Known and observed strengths.
   2. Short and long-term work and career development goals.
   3. Support and resources that will lead to further growth and success.

C. Performance Summary Documents

Each employee’s performance is to be formally documented at least annually. The Performance Summary document should show if the employee is demonstrating satisfactory performance of duties. The Process Document identifies the elements that must be included in the Performance Summary document and a recommended template that is available for use.

• Upon completion of the Performance Summary document, the employee and the supervisor who is evaluating the performance should meet to review. The job classification and position classification questionnaire are referenced as needed. Any adjustments to the document will be made, if needed. Once final, both parties are to sign the document.
• A copy of the signed document should be provided to the employee and the original immediately forwarded to HR for placement in the employee’s personnel file.
• Employees may submit a written response to a performance summary with reasons for disagreement to their supervisor and appointing authority. The response must be filed within thirty (30) days of receipt of the summary and will be placed in the employee’s personnel file. Responses must align with the county’s workplace expectations as outlined in Clackamas County policies and Core Values, including maintaining professionalism, respect, and constructive communication. Failure to meet these expectations may result in the county declining to include the response in the employee’s official personnel file.
• The Performance Summary document is confidential and shall be available only to the employee, the department official(s) completing or signing the Performance Summary, or others only as described under EPP 42 Employee Records.
• The Performance Summary document may be considered for pertinent personnel actions, including promotions, demotions, transfers, layoffs, salary increases, disciplinary actions, and satisfactory completion of the Probationary Period.

D. Clarify, Converse, Capture for Probationary Employees

• A Probationary Period provides the hiring manager with the opportunity to observe the employee’s work, to train, and to aid the employee in adjustment to the position, and to further evaluate any employee whose work performance fails to meet the required work standards.
• It is recommended that Work Check Ins (see Process Document) be conducted more frequent during probationary periods in conjunction with an onboarding plan.
• The initial Performance Summary and Salary Increase decision will be completed at 6 months.
• For Probationary Periods longer than 6 months, a second Performance Summary is required at least 30 days prior to the completion of the Probationary Period.

VVI. Access to Policy

Access to this administrative policy shall be as follows:

• Filed in the County’s policy management system.
• Posted to the County’s internet.

VIII. Addenda

Clarify, Converse, Capture intranet page, for additional information, resources and forms

Salary Increase Deferral or Denial Form

EPP 35 Performance Management: Clarify Converse Capture Process Document

Performance Management: Clarify, Converse, Capture Process Document

1. Work Check Ins

Work Check-ins are regular, ongoing, work-focused conversations that occur at least monthly. For probationary employees, it is recommended that these conversations occur more frequently. The supervisor and employee should set a meeting schedule and format for these check ins.

A number of resources can be found on Clarify Converse Capture Intranet Site,including information on the process and supporting forms and documents.

Steps for Work Check Ins

1. Employee and supervisor establish norms for these conversations:
   • What is the frequency and length of the meetings?
     • Who is responsible for scheduling?
     • Is there a set agenda?
   • Employee shares any concerns, goals, and requests with supervisor.
   • Supervisor acknowledges good work and discusses areas of improvement and/or agreed upon actions. Supervisor keeps documentation of these discussions to track work history during the review period. This is helpful when creating the performance summary document.

It is a best practice for supervisors to acknowledge good work or areas of improvement immediately with specifics about what was done, and the impact. Supervisors should not wait for a Work Check In to make these acknowledgements.

2. Performance Summary Documents

The Performance Summary document will show if the employee is “demonstrating satisfactory performance of duties” or is “not meeting expectations”, to assess overall performance of the employee, document contributions, and plan for the future. It is a comprehensive summary of the employee’s performance during the Review Period. Development of this document is intended to be a collaborative process with the employee.

The summary document must include the following for submission to HR: 

• Date of the summary (official date signed by the employee and/or supervisor)
  • Employee ID
    • Employee Name
    • Supervisor ID
    • Supervisor Name
    • Review Period - Period being summarized (from and to)
    • Date of next summary – The date the next Performance Summary and conversation will occur.
      • In most cases, it will be 12 months from the date of the most recent summary and should not be greater than 12 months. It is best to stick with the agreed upon schedule. Discuss with HR circumstances (i.e., leave of absence, etc.) that cause longer delays.
        Example:
        • Period Being Summarized To Date: 7/1/2023.
          Date of Next Summary: 7/1/2024 (a year from 7/1/2023)
    • Evaluation of the employee’s work including both work progress and results in line with job expectations and goals.
    • Employee’s specific contributions towards the department’s strategic initiative(s).
    • Employee’s behavior consistent with Core Values.
    • Exceptional employee accomplishments.
    • Areas needing improvement and agreed-upon actions to support improvement.
    • Performance goals for the employee for the next review period (no longer than 12 months).
    • Goals for career development and job enrichment.
    • Reference to Performance Improvement Plan if relevant because employee is “not demonstrating satisfactory performance of duties”.

Templates:

• The above elements are required to be included in Performance Summary documents. (See Appendix D.)
• Each department has the option to customize the format to fit their needs as long as the above elements are included.

3. Performance Summary Conversations

Performance Summary Conversations are to be held to review the employee’s Performance Summary Document (Appendix B). For the Performance Summary Conversation, we recommend five key action steps:

1. Prepare for the conversation.
2. Start on a positive note.
3. Share performance review and discuss core points.
4. Collaborate on next steps.
5. Summarize meeting.

Below are more details regarding each step:

1. Prepare for the conversation.
   • Set the meeting with your employee at least two weeks in advance.
   • Print a copy of the Performance Summary Document.
   • Plan for rough spots – if you anticipate difficulty with a performance review seek appropriate help. For example, ask a peer to help, perhaps even role play the conversation, and/or contact HR for further support.
2. Start on a positive note.
   • Put the employee at ease. Conduct the meeting in a quiet private place.
   • Briefly review the performance review process. Explain how this meeting is a good opportunity to review successes and positive events from the prior year and to decide together on an action plan for next year. Keep this statement brief and succinct.
3. Share performance review and discuss core points.
   • Start by conveying to the employee what you view as their overall strengths and value to the organization. People need to know they’re appreciated, and specifically why.
   • Walk through performance summary form. Provide specific examples of results achieved and SPIRIT values exemplified in achieving results.

   • If applicable, discuss non-successes or areas for improvement. Provide the employee with opportunities to participate in the discussion. Use your coaching skills, listen, ask open-ended questions, and decide on action together.

     It is important to be candid about areas for improvement. It does not help. the employee or the organization to avoid discussing areas for improvement. Be specific and site examples. Focus on the behavior not on the person. Remind the employee that your goal is to support them and help them to identify what they need to achieve their goals. Also, remind them that development areas can be areas of strength to invest in to become even better at what they do.

4. Collaborate on next steps.
   • Summarize the points discussed.
   • Develop goals for next review period, both work-related and developmental.
5. Summarize Meeting.
   • Ask the employee to summarize the discussion.
   • Summarize your part of the discussion and end on a positive note, stressing the employee’s overall contribution to the organization. You want to leave them encouraged and with self-esteem intact. Even when there is a miss, you want to be clear on a recovery path.
   • Thank them for their time and participation.

4. Performance Summary Template

Below is a recommended template. It is also available on the County intranet site and may be customized further by departments, as needed. Performance Summary Document

Section I: To be completed by the Supervisor.

• Employee Name:
• Employee ID:
• Current Classification:
• Supervisor Name:
• Supervisor ID:
• Dept/Ofc, Program:
• Review Period Begin:
• Review Period End:
• Time in Position:
• Date of Review:
• Next Review Date:

An annual performance summary involves joint input by the employee and supervisor and should:

• Align with job expectations and requirements.
• Be built from conversations that have occurred during the review period.
• Contain no surprises for the employee.
• Highlight accomplishments and areas of growth opportunity.
• Include both professional and career goals for the upcoming performance period.

As a best practice:

• Review the most recent Position Classification Questionnaire (PCQ) together. If updates are made, submit to Human Resources Classification and Compensation team for their review.
• For most questions, it is recommended the employee complete their responses first. Those suggestions are included in each section.
• It is helpful to have the last performance summary available as a reference as you create this document.

Section II: Recommend employee responds first, followed by supervisor.

1. Describe the employee’s work progress and results, both successes and missed opportunities or non-successes, toward agreed upon performance goals for review period.
   • Employee Response:
   • Supervisor Response: 
2. Describe employee’s strengths exhibited in their work during the review period, including how the employee demonstrated one or more of the Core Values: Service, Professionalism, Integrity, Respect, Individual Accountability, Trust (SPIRIT: Our Core Values | Clackamas County).
   • Employee Response:
   • Supervisor Response: 

Section III: Recommend employee responds first, followed by supervisor.

3. Describe the employee’s performance goals for the next review period, employee’s plan to achieve goal(s), and specific support needed from supervisor.
   • Employee Response:
   • Supervisor Response: 
4. Describe employee’s development goal(s) for the next review period, employee’s plan to achieve goal(s), and specific support needed from supervisor.
   • Employee Response:
   • Supervisor Response: 

Section IV for those in Supervisory roles: Performance Summaries and Supervisory Professional Development

5. Performance Summaries. Current on all direct reports’ performance summaries. Current = there are no performance summaries more than 30 calendar days past due.
   • Employee Response:
   • Supervisor Response: 
6. Supervisory Professional Development. Expectation is for all supervisors to complete at least 8 hours annually of professional development aligned to our supervisory core competencies; this confirms if employee is on track to complete at least 8 hours this calendar year.
   • Employee Response:
   • Supervisor Response: 

Section V: Additional Reflections

• Completed after the employee and supervisor meet to discuss performance.
• Whether or not the supervisor’s manager adds comments is at the discretion of each department / office.

 

• Employee Additional Reflections:
• Supervisor Additional Reflections:
• Supervisor’s Manager Comments:

Section VI: Signatures

• Completed after the employee and supervisor meet to discuss performance.
• The supervisor’s manager signature is optional but strongly encouraged.

 

• Employee Signature | Date
• Supervisor Signature | Date
• Supervisor’s Manager Signature | Date

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Actions on this Policy: revised
Original Policy effective date: 12/31/1992
Amended Policy effective dates: 03/03/04

Name of Policy: Performance Management: Clarify, Converse, Capture
Policy Owner Name: Evelyn Minor-Lawrence
Policy Owner Position: Human Resources Director
Approved By: Gary Schmidt, County Administrator
Policy #: EPP 35
Effective Date: 12/31/1992
Approved Date: 
Next Review Date: