UNIVERSITY OF CALIFORNIA MERCED PERFORMANCE MANAGEMENT GUIDELINES

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1 UNIVERSITY OF CALIFORNIA MERCED PERFORMANCE MANAGEMENT GUIDELINES REFERENCES AND RELATED POLICIES A. UC PPSM 2 -Definitin f Terms B. UC PPSM 12 -Nndiscriminatin in Emplyment C. UC PPSM 14 -Affirmative Actin D. UC PPSM 22 - Prbatinary Perid E. UC PPSM 23 - Perfrmance Appraisal F. UC PPSM 30 - Salary G. UC PPSM 50 - Prfessinal Develpment H. UC PPSM 60 - Layff and Reductin in Time fr Prfessinal and Career Staff Supprt Psitins I. UC PPSM 62 - Crrective Actin J. UC PPSM 64 - Terminatin f Career Emplyees-Prfessinal and Supprt Staff K. UC PPSM 65 - Terminatin f Career Emplyees--Managers and Senir Prfessinals Perfrmance Appraisal The campus carries ut its missin thrugh the individual and cllective cntributins f its emplyees. In rder t d their best, staff members need t knw that their cntributins will be recgnized and acknwledged. Overseeing perfrmance and prviding feedback is nt an islated event, but rather an nging prcess that takes place thrughut the year. The perfrmance appraisal is part f that prcess, and prvides an excellent pprtunity fr the manager t cmmunicate with emplyee abut past perfrmance, t evaluate the emplyee's jb satisfactin, and t make plans fr the emplyee's future perfrmance and develpment. Remember that the perfrmance appraisal summarizes the emplyee's cntributins ver the entire appraisal perid (usually ne year). It is nt a step in the disciplinary prcess. It may ccur as ften as the manager believes is necessary t acknwledge the emplyee fr accmplishments and t plan tgether fr imprved perfrmance. Perfrmance appraisal is a prcess f summarizing, assessing and develping the wrk perfrmance f an emplyee. In rder t be effective and cnstructive, the perfrmance manager shuld make every effrt t btain as much bjective infrmatin abut the emplyee's perfrmance as pssible. The gal f the perfrmance appraisal prcess is t help the emplyee feel: Psitive abut the jb Mtivated t d well and t develp jb skills Benefited by specific, cnstructive feedback Appreciated fr specific cntributins Infrmed abut current and future perfrmance bjectives Invlved as a participant in the prcess The fllwing are the steps f the perfrmance appraisal prcess. 1

2 PREPARING Typically, the perfrmance appraisal fr career emplyees is due ne year frm the end f the prbatinary perid r befre the merit cycle. Well befre that date, begin t prepare fr the appraisal. The preparatin prcess invlves review and data gathering, hlding a preliminary meeting with the emplyee, and emplyee preparatin f a self-appraisal. The fllwing steps are suggested: Befre meeting with the emplyee, review the jb descriptin and wrk recrd fr the review cycle. Review perfrmance bservatins, ntes, and the previus perfrmance appraisal. Obtain perfrmance feedback frm peple with whm the emplyee has wrked (including direct reprts, if apprpriate). This is imprtant infrmatin t have when evaluating custmer service and teamwrk aspects f the emplyee's jb. Where custmer service is a key part f the jb, feedback frm custmers may als be slicited. Lcate and have ready any supprting infrmatin. If during the review cycle, the emplyee reprted t mre than ne perfrmance manager, it is apprpriate t cnsult with the ther perfrmance managers fr input int the appraisal. Befre including any infrmatin in an appraisal that indicates there was a perfrmance prblem, ask the previus perfrmance manager if the infrmatin abut the prblem has been shared with the emplyee. Give the emplyee advance ntice f the perfrmance appraisal s that there is an pprtunity fr the emplyee t review and prepare. Hld a preliminary meeting with the emplyee in private. The first meeting shuld take place befre the manager writes r delivers the frmal perfrmance appraisal. At this meeting, explain r review what will happen during the appraisal prcess and review the Perfrmance Appraisal frm. This shuld be dne even if the manager has appraised the emplyee's perfrmance in the past. With the emplyee, review the jb descriptin and the department's strategic gals. Discuss and decide which essential functins and strategic initiatives (fr which the emplyee is respnsible) shuld be appraised fr the perid. Sme functins r initiatives may nt have figured prminently in the emplyee's rle fr the appraisal perid, and appraisal in thse areas may nt be necessary r significant. Cntinue the mmentum that has been established thrughut the year with nging dialg abut perfrmance. The manager shuld set the tne fr an pen and prductive discussin. Sme steps the manager can take t make the discussin as successful as pssible include the fllwing: Create a supprtive envirnment by stating clearly the purpse f the discussin. Be as nn-threatening and pen as pssible since the emplyee may be tense r uncmfrtable. Discuss key areas f respnsibility and give examples f specific results. Have the emplyee g first, based n the self-appraisal r respnses t the questins and ideas that were prvided in advance. Ask lts f questins and get clarificatin t make sure the emplyee's pint f view is understd. 2

3 Discuss what culd have been dne better r areas fr grwth and develpment. Identify cncerns, if any, and listen t the emplyee's explanatins. Ask the emplyee fr help in reslving prblems. Fcus n future perfrmance and be sure the emplyee takes respnsibility fr imprvement. Make sure that there is a mutual understanding f future expectatins regarding perfrmance. Give psitive recgnitin fr perfrmance that reinfrces the gals f the wrk unit and missin f the University Discuss the emplyee's interests and any ptential new respnsibilities. Discuss bth the rles f the manager and the supervisr in achieving new gals. Cnclude the meeting by scheduling a secnd meeting. Invite the emplyee t prepare a written self-appraisal. A self-appraisal may be used as the basis f discussin during the frmal appraisal prcess. The manager has the ptin f receiving the self-appraisal at the preliminary meeting, s that the manager will have it prir t preparing the draft; r receiving the self-appraisal at the time the manager reviews the draft with the emplyee, fr purpses f cmparisn, and after discussing it with the emplyee Self-appraisal frms are included fr each f the perfrmance appraisal mdels. The selfappraisal is a valuable tl thrugh which t discver the emplyee's perspective n their perfrmance fr the review cycle, as well as t identify interests related t gals and career develpment initiatives. Writing The Appraisal Perfrmance appraisal time shuld nt be the pint at which the manager begins t dcument perfrmance discrepancies r deal with perfrmance prblems. Ordinarily, n prblems shuld be raised during the appraisal which the manager has nt discussed with the emplyee during the annual review cycle. The appraisal f the emplyee s perfrmance shuld be based upn perfrmance standards. Perfrmance Standards Perfrmance expectatins are the basis fr appraising emplyee perfrmance. Written perfrmance standards enable the manager t cmpare the emplyee's perfrmance with mutually understd expectatins and minimize ambiguity in prviding feedback. Standards identify a baseline fr measuring perfrmance. Frm perfrmance standards, managers can prvide specific feedback describing the gap between expected and actual perfrmance. Effective perfrmance standards: Serve as an bjective basis fr cmmunicating abut perfrmance Enable the emplyee t differentiate between acceptable and unacceptable results 3

4 Increase jb satisfactin because emplyees knw when tasks are perfrmed well Infrm new emplyees f expectatins abut jb perfrmance Encurage an pen and trusting relatinship with emplyees. Standards describe the cnditins that must exist befre the perfrmance can be rated satisfactry. A perfrmance standard shuld: Be realistic, in ther wrds, attainable by any qualified, cmpetent, and fully trained persn wh has the authrity and resurces t achieve the desired result Describe the cnditins that exist when perfrmance meets expectatins Be expressed in terms f quantity, quality, time, cst, effect, manner f perfrmance, r methd f ding Be measurable, with specified methd(s) f gathering perfrmance data and measuring perfrmance against standards The terms fr expressing perfrmance standards are utlined belw: Quantity: specifies hw much wrk must be cmpleted within a certain perid f time, e.g., enters 30 enrllments per day. Quality: describes hw well the wrk must be accmplished. Specifies accuracy, precisin, appearance, r effectiveness, e.g., 95% f dcuments submitted are accepted withut revisin. Timeliness: answers the questins, By when?, Hw sn?, r Within what perid?, e.g., all wrk rders cmpleted within five wrking days f receipt. Effective Use f Resurces: used when perfrmance can be assessed in terms f utilizatin f resurces: mney saved, waste reduced, etc., e.g., the cmputer handbk prject will be cmpleted with nly internal resurces. Effects f Effrt: addresses the ultimate effect t be btained; expands statements f effectiveness by using phrases such as: s that, in rder t, r as shwn by, e.g., establish inventry levels fr strerm s that supplies are maintained 100% f the time. Manner f Perfrmance: describes cnditins in which an individual's persnal behavir has an effect n perfrmance, e.g., assists ther emplyees in the wrk unit in accmplishing assignments. Methd f Perfrming Assignments: describes requirements; used when nly the fficially-prescribed plicy, prcedure, r rule fr accmplishing the wrk is acceptable, e.g., 100A Frms are cmpleted in accrdance with established ffice prcedures. 4

5 Perfrmance Measurements Since ne f the characteristics f a perfrmance standard is that it can be measured, the manager shuld identify hw and where evidence abut the emplyee's perfrmance will be gathered. Specifying the perfrmance measurements when the respnsibility is assigned will help the emplyee keep track f prgress, as well as helping in future perfrmance discussins. There are many effective ways t mnitr and verify perfrmance, the mst cmmn f which are: Direct bservatin Specific wrk results (tangible evidence that can be reviewed withut the emplyee being present) Reprts and recrds, such as attendance, safety, inventry, financial recrds, etc. Cmmendatins r cnstructive r critical cmments received abut the emplyee's wrk T assess the emplyee s perfrmance based upn perfrmance standards, the fllwing UC Merced Perfrmance Appraisal Ratings belw must be used. When cmpleting the final perfrmance appraisal frm, take int cnsideratin the dialgue with the emplyee. When the frm is finalized share, the appraisal with the emplyee and ask the emplyee t sign the frm, and explain that this signature acknwledges discussin f the cntents, nt necessarily agreement with them. Give a cpy f the signed appraisal t the emplyee and prvide a cpy f the appraisal t Human Resurces Cmpleting the Perfrmance Appraisal Sectins The manager shuld select ne f the fllwing three frms. Optin One is structured in a check-bx frmat. Optin Tw is entirely narrative. Optin Three allws fr a review f essential functins and prjects, significant perfrmance dimensins, and gals accmplishment. Self Appraisal is t be used in cnjunctin with all three perfrmance appraisal frm ptins listed abve. There is a versin t match all three f the Perfrmance Appraisal and Develpment Frms. 5

6 Perfrmance Appraisal Cntent The three appraisal frm ptins differ in cntent. It is imprtant t read the descriptin f each frm t knw what type f evaluatin system each ptin prvides. Each frm has a crrespnding Self appraisal frm Cver Sheet The cver sheet cntains the verall rating, an appraisal summary and signature lines. The emplyee and the supervisr must sign this page. The Perfrmance Appraisal Rating System The five rating categries are the same in all three perfrmance appraisal frm ptins and the categries are aligned with the campus merit rating system. The five categries are: = Outstanding. Perfrmance exceeds expectatins and is cnsistently utstanding. M = Mre than Satisfactry. Perfrmance cnsistently fulfills the jb requirements and exceeds expectatins. S = Satisfactry. Perfrmance cnsistently fulfills the jb requirements. I = Imprvement Needed. Perfrmance des nt cnsistently meet the jb requirements. U = Unsatisfactry. Perfrmance cnsistently fails t meet the jb requirements. The Develpment Plan This sectin recrds gals, bjectives and career develpment activities fr the cming year. Emplyee Cmments This sectin is ptinal. The frms are available n the Human Resurces Website. 6

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