1 Non-Management Performance
Appraisals: The Administration
Should Improve and Clarify
Appraisal Processes
A Report from the City Auditor
Issued February 2024
http://www.sanjoseca.gov/auditor
Background
2 • Roughly 4,300 non-management employees
as of June 30, 2023.
• The City Policy Manual provides guidelines
for annual and probationary appraisals.
• “% of Non-Management Employee
Performance Appraisals Completed On
Schedule” is a key performance indicator
for the Strategic Support City Service Area.
An appraisal being on
schedule refers to
whether it is conducted
within 30 days of the end
of the appraisal period
Finding 1: Nearly Three Quarters of Non-Management
Employees Had a Current Appraisal on File; However,
Timeliness Can be Improved
3 • As of June 30, 2023, 74% of non-management
employees had an appraisal in the prior year
or had one currently due.
• 28% of appraisals were completed more than
30 days after the end of the appraisal period;
11% were more than 90 days.
• There have been instances where staff have
gone extended periods without an appraisal.
• Automation can help simplify and streamline
the appraisal process.
Recommendations:
To improve the non-management appraisal
process, the Administration should:
→ Establish a process to notify and follow up
with departments on outstanding
appraisals
→ Clarify expectations around providing and
tracking appraisals for part-time staff
→ Implement automated workflows to
streamline the process
→ Provide additional training to supervisors
who complete the appraisals
Finding 2: The Administration Should Review Its Current Performance Measure Around Non-Management
Performance Appraisals
• The report used for calculating
performance did not accurately calculate
whether an appraisal was “on schedule”.
• Appraisals were considered on schedule
even if they were conducted more than 30
days past the end of the appraisal period.
• The report also did not accurately identify
overdue appraisals. This was corrected
during the audit.
4 Recommendations:
To more accurately report performance,
the Administration should:
→Adjust its reporting tool to more
accurately assess whether appraisals
were on schedule
→Document the methodology moving
forward
Conclusion
This report has eight recommendations to improve the non-management performance appraisal process and reporting.
We would like to thank the Human Resources Department, the City Manager’s Office, the Office of Employee Relations, and the City Attorney’s Office for their time and insights during the audit process.
The audit report is available at www.sanjoseca.gov/auditor Audit staff: Ebelechukwu Obi, Ricky Tran
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