Policy
The work performance of all permanent employees subject
to the provisions of the State
Personnel Act ("classified" or "SPA" employees)
will be appraised at least annually by the immediate
supervisor of the employee and reviewed by a higher
level supervisor, as appropriate. The appraisal of employee
performance is to be job related and not influenced
by gender, ethnic category, religion, physical or mental
handicap, or age (as provided by law). By adopting this
policy, the University seeks to achieve the objectives
listed below.
The information contained in this policy statement is to be communicated
to all classified (SPA) employees and all supervisors who participate in
the performance appraisal of classified (SPA) employees.
Objectives
The Performance Management System has the following objectives:
1. Clarify performance expectations in conjunction with the position
description and organizational goals in order to ensure employees know
what is expected of them.
2. Provide the basis upon which an employee makes a commitment to fully
acceptable performance.
3. Improve employee performance by providing feedback through effective
two-way communication with the appropriate supervisor.
4. Provide an objective and equitable basis for appraising employee
performance.
5. Provide a fair and equitable basis for making personnel management
decisions including permanent status, promotion, performance pay, development
opportunities, reduction in force, and discipline.
The Performance Management Process
The performance management process is the sequence of actions supervisors
take when interacting with employees about their job performance and includes:
determining the key elements of the job, developing performance expectations,
providing an interim review of job performance, and providing an annual
performance appraisal. Interaction between supervisor and employee is required
at each step of the process.
l. Key Elements of the Job. Before realistic performance expectations
can be established, the work to be performed needs to be clearly articulated
and prioritized based on the importance of each task and its value to the
University. Duties and responsibilities for employees are determined by
the appropriate supervisor and normally includes:
a. Routine tasks/assignments. These are tasks that are "assigned"
on a regular basis and affect the goals and objectives of the University.
b. Special Projects and Assignments. These are non-routine
tasks that the employee and the supervisor have mutually developed in priority
order.
The employee job description and the organization goals for
the Department or Office serve as important source documents in identifying
the key elements of every job.
2. Performance Expectations. At the beginning of each annual performance
cycle, each classified employee will meet with his or her supervisor to
jointly develop performance expectations which identify minimum acceptable
levels ("Good, Meets Expectations") of performance for the employee. The
supervisor
is expected to:
a. Explain the performance management process to the employee
so that the employee understands the importance of his or her role in the
process as well as that of the supervisor and the reviewer (supervisor's
supervisor).
b. Take the lead in developing and subsequently updating performance
expectations at the beginning of each annual performance cycle.
c. Provide the employee a signed and dated copy of the performance
expectations.
d. Use the techniques of modeling, coaching and reinforcing
throughout the cycle to sustain good performance and improve poor performance.
3. Interim Performance Review. The interim review is conducted at
the midpoint of the Performance Management Cycle and provides the opportunity
for the supervisor to meet with the employee and informally review the
employee's progress in meeting the performance expectations established
for each significant task and to make appropriate modifications, if appropriate.
For the interim review, the supervisor is expected to:
a. Take the lead in meeting with the employee to discuss performance
as measured against expectations.
b. Communicate an interim rating of actual performance for
each significant task of the employee.
c. Provide guidance, instructions and resources available for
improving performance, as appropriate.
d. Communicate an interim overall rating to the employee.
e. Continue to model, reinforce, and coach the employee.
4. Annual Performance Appraisal. Annually, at the end of the Performance
Management Cycle, every supervisor will meet with the employees supervised
to review each employee's actual performance as compared to the expectations
established at the beginning of the evaluation period. In conducting the
performance appraisal the supervisor is expected to:
a. Discuss how well the work was performed, identify good performance,
and discuss performance which needs to be improved.
b. Determine and explain the rating of each significant task
in terms of meeting, exceeding or failing to meet the established expectation.
c. Discuss the overall performance rating and develop, where
appropriate, a plan to improve overall performance and performance for
each expectation which has not been rated on the "Good, Meets Expectations"
level.
d. Record the results of the performance evaluation and performance
interview on the Performance Management Appraisal Form.
The Performance Management Appraisal Form is to be signed and
dated by the Employee, Supervisor, and Reviewer.
Components of the Performance Management System
The University's system of performance management will include the following
components:
l. An individualized Workplan (Performance Management Form) prepared
annually for each classified (SPA) employee which includes performance
expectations and incorporates an interim review of performance.
In completing the Workplan, primary job responsibilities are identified
and further broken down into significant tasks for which performance expectations
are developed using indicators which measure both results and behaviors
such as quality, timeliness, manner of performance, cost effectiveness,
and quantity.
Information about the employee's performance is obtained from reports,
observation, customer feedback, review of the work products, etc. Performance
expectations are written to establish the minimum acceptable level of performance.
This should provide the motivated employee an opportunity to exceed expectation.
For those who supervise, the Primary Job Responsibility of "Supervision"
should be listed on that person’s Workplan. For most SPA positions, the
Dimension "Service Orientation" should be listed on the Workplan.
Performance expectations are to be established at the beginning of employment
for probationary employees and reviewed at the end of the probationary
period to determine if the employee will be given permanent status. The
Workplan will be completed, signed and dated by the Employee, Supervisor
and Reviewer, after which a copy will be given to the employee.
2. An overall performance rating scale of five levels is defined as
follows:
OUTSTANDING (# Rate 5) – Performance is far above the defined
job expectations. The employee consistently does outstanding work, regularly
going far beyond what is expected of employees in this job. Performance
that exceeds expectations is due to the effort and skills of the employee.
VERY GOOD (# Rate 4) – Performance meets the defined job expectations
and in many instances, exceeds expectations. The employee is generally
performing very well and requires little, if any, correction.
GOOD (# Rate 3) - Performance meets the defined job expectations.
The employee generally performs in a satisfactory manner and is performing
at the level expected for employees in this position.
BELOW GOOD (# Rate 2) – Performance may meet some of the job
expectations but does not fully meet the remainder. The employee generally
is performing at a minimal level and improvement is needed to fully meet
expectations. Performance is deficient and lapses in performance are due
to the employee’s lack of effort or skills.
UNSATISFACTORY (# Rate 1) – Performance generally fails to meet
the defined expectations or requires frequent, close supervision and/or
the redoing of work. The employee is not performing at the level expected
for employees in this position. Unsuccessful job performance is due to
the employee’s lack of effort or skills.
3. A performance appraisal (Performance Management Appraisal Form) will
be completed on every employee annually (no less than every 12 months).
A development plan will be included as part of the performance appraisal.
In completing the Performance Management Appraisal Form, the Supervisor
is expected to meet with the employee to ensure the accuracy of the priority
sequence of the Primary Job Responsibilities and Dimensions, as listed
on the Workplan. Once the Primary Job Responsibilities and Dimensions are
listed on the Appraisal Form, the employee is to complete a self-evaluation
of actual performance.
The Supervisor's evaluation of the individual significant tasks and
the overall performance is then completed, after which a performance interview
is held with the employee. The employee is provided an opportunity to comment
on the Supervisor's evaluation.
NOTE: The Appraisal Form is to be dated and signed by the Supervisor
and the Employee before being sent to the Reviewer. If the Employee refuses
to sign the Appraisal Form, the Supervisor is to note that refusal, obtain
a third-party witness to same, and forward the completed Appraisal Form
to the Reviewer. The Reviewer is to sign and date the appraisal and provide
the Employee a copy of the completed Performance Appraisal.
The Employee is to be notified that the completed appraisal will be
kept in the Performance Management File of the Personnel Folder maintained
in the Human Resources Department. Appraisals are retained for three years
before being withdrawn from the Personnel Folder and forwarded to the Employee
for appropriate disposition.
The content of appraisals is considered to be "information personal
in nature" and as such is releasable only on a "need-to-know" basis.
No information contained in a completed evaluation may be changed without
the employee's knowledge. Changes require the date and initials of the
Employee, Supervisor, and Reviewer.
As part of the evaluation process, the Employee and Supervisor are expected
to:
-
Discuss strengths and identify areas for further improvement/development.
-
Agree on a plan for improvement/development and record the plan in the
section of the Appraisal Form established for developmental planning.
This will serve as an action plan for maintaining good performance and
improving performance when needed.
The plan is to include the knowledge and skills that the Employee needs
to acquire or improve and time frames for completion or demonstrated improvements.
The plan is to be updated throughout the Performance Management Cycle.
4. An education/training program will be offered to provide the information
and skills necessary for employees, supervisors, and managers to effectively
operate the system of performance management.
This program will be carried out by the Training and Staff Development
Manager and the Assistant Director for Development under guidance of the
Director of Human Resources.
5. Information will be made available at the final appraisal meeting
regarding a dispute resolution procedure using the established grievance
procedures for classified (SPA) employees.
This procedure will be used for reviewing and resolving disputes concerning
performance ratings and/or performance salary decisions.
Relationship of Performance Management to Other Personnel Systems
Performance management is an integral part of the overall management
of the University. Information from the Performance Management System pertaining
to classified (SPA) employees will be one of the factors considered in
making other personnel management decisions. Decisions concerning promotions,
transfers, training and staff development, discipline and other personnel
actions are influenced by information from performance appraisals. Performance
salary increase decisions come directly from annual performance appraisals.
In order to achieve internal consistency in personnel administration,
the following requirements apply:
1. A current Performance Appraisal must be on file for an employee before
any of the favorable personnel actions listed above can be approved.
2. Favorable personnel actions must be consistent with an employee's
current performance appraisal.
3. Personnel action requests that are inconsistent with an employee's
current performance appraisal will require a request and written justification
for exception to policy.
Trainees and probationary employees are required to have a Workplan
completed within 30 calendar days from the date of employment. Trainees
and probationary employees who are employed on or before the first day
of an annual Performance Management Cycle and who hold a permanent appointment
by the last day of the cycle will be considered to have worked the entire
cycle.
Employees whose duties and responsibilities change (either in their
current position or in a new position) must have a new Workplan completed
with 30 days of the new assignment.
A Performance Appraisal Transfer Form is to be completed prior to the
last day of work for employees who transfer within State Government. The
Employee, Supervisor, and Reviewer are required to date and sign the form.
Responsibilities
The Chancellor is responsible for ensuring the Performance Management
System is developed and implemented in accordance with the requirements
of the Legislature and the State Personnel Commission and is approved by
the State Personnel Director. The Chancellor is also responsible for determining
sanctions to be levied if all provisions of this policy are not met.
The Director of Human Resources has the responsibility to:
1. Develop, publish, implement, and administer procedures consistent
with University and State policies pertaining to performance management.
2. Provide training and assistance to effectively implement the Performance
Management System.
3. Provide supervisors necessary documents and forms in a timely manner
to facilitate compliance with the dates associated with the Performance
Management System.
4. Review Performance Management Workplans and Appraisals to ensure
consistency, timeliness and compliance with University and State policy.
5. Provide technical assistance to employees, supervisors and managers.
6. Provide appropriate management reports to include: (a) the spread
of ratings within each department/office for employees by gender, ethnicity,
and occupational activity code; and (b) an annual report to the Office
of State Personnel.
Supervisors at all levels are responsible for effectively managing
the performance of subordinate employees in accordance with this policy
and the procedures established by the Director of Human Resources. The
responsibility for effective supervision shall be included as a significant
task of the Workplan for all classified (SPA) supervisors and managers.
(Initially approved May 7, 1979; revised October 12, 1989 [not distributed];
revised November 5, 1990; revised February 17, 2000.)
