Policy 329: Performance Appraisal Procedures
Section: Personnel Policies
Policy Number: 329
Subject: Performance Appraisal Procedures
Covered Employees: Professional and Classified Employees
Origin Date: January 24, 1997
Revision Date(s): July 1, 1999
Effective Date: July 1, 1999
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Every University exempt and non-exempt benefited employee will participate annually in a formal performance appraisal with his/her supervisor. The objectives of this appraisal process are to:
- establish and/or clarify job objectives,
- establish standards against which performance will be measured,
- identify employee developmental needs and strategies to address these needs, and
- enhance communications between employee and supervisor.
Formal performance appraisals are conducted yearly for each staff employee. Semiannual or quarterly reviews are recommended to foster better communication between supervisors and employees in assessing progress, jointly developing new plans and objectives, and clarifying expectations for the coming year.
Employees who have been under the direction of more than one supervisor during the performance review period (for example, an employee who transferred from one department to another) may be evaluated by both the previous and current supervisors. The current supervisor, however, has the primary responsibility for completing the appraisal form.
New employees are in an introductory period for 6 months from their hire date if they are non-exempt staff, or 12 months from their hire date if they are exempt staff. At the end of that period, the employee's job performance will be reviewed through the formal performance appraisal process.
2.2 Employee's Appraisal Discussion
During each annual appraisal discussion the employee and supervisor review the employee's performance during the previous year measured against standards set at the start of the year. Both successes and failures are reviewed. It is constructive to take the time to understand why certain objectives were successfully achieved and what prevented the successful achievement of other objectives. This review helps to set and achieve new objectives in the year ahead.
A key part of the appraisal process is a self-review by the employee which allows the employee to review his/her own performance. This can enhance two-way communication between employee and supervisor. Employees should discuss job expectations, developmental plans, concerns, and areas the employee feels that additional training would be helpful. The supervisor and the employee should discuss the employee's selfreview during the appraisal discussion.
If the appraisal discussion is not satisfactory, problems or disagreements should be discussed between the employee and the supervisor. If problems still exist after this process, the employee or supervisor may contact the Office of Human Resources for confidential guidance.
2.3 Processing Appraisal Forms
Once the supervisor and employee have completed the annual performance appraisal discussion, the appropriate forms are finalized. The employee will be asked to sign the appraisal form. Signing the appraisal form does not necessarily represent agreement with the contents of the appraisal. Employees can provide a written explanation of any disagreement that will be attached to the final appraisal form. The form will be forwarded to the supervisor's manager, dean, or department head for review and signature. At this time, dates may be set for interim review sessions throughout the year.
Completed appraisal forms are sent to the Office of Human Resources after copies are made for the supervisor and the employee.
2.4 Relationship to Salary Increases
The performance appraisal program is designed primarily to clarify expectations and improve job performance through improved communication between an employee and his/her supervisor. The performance appraisal is only one of a number of items considered in compensation decisions.
Questions concerning the performance appraisal process should be directed to the employee's immediate supervisor or the Office of Human Resources.
3.1 Department Heads and Supervisors
Responsible for the effective implementation of the performance appraisal program. New supervisory personnel should contact the Office of Human Resources to arrange for training and to define their role in the process.
3.2 Office of Human Resources
Responsible for providing materials used in the performance appraisal program each year, monitoring the process, and filing all completed appraisals. They will also provide training and consultation for employees and supervisors as needed.
Responsible for working with their supervisors to identify and develop agreed upon responsibilities, expectations, performance standards, and areas needing improvement. Employees are responsible for completing a self-review to assist in the appraisal process. If disagreements arise during the appraisal session, employees are responsible for providing a written explanation of their disagreement that will be attached to the completed appraisal form.