Business & Administrative Services (BAS) Supervisor s Guide to Performance Appraisals. June 2015

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1 Business & Administrative Services (BAS) Supervisor s Guide to Performance Appraisals June 2015

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5 Table of Contents Performance Appraisal How to User Guide Performance Appraisal Timeline Supervisor s Guide to Performance Appraisals Business & Administrative Services (BAS) Linking to Missions & Visions Performance Factors & Behavior Indicators UCR Campuswide Performance Guidelines Management Guide Approving Performance Appraisals Performance Management Training Performance Appraisal Forms Supervisor s Reference Guide

6 Performance Appraisal Guide for Supervisors Business & Administrative Services (BAS) June 2015 Introduction This Performance Appraisal Guide for Supervisors is intended to be used as a resource for BAS supervisors. The information contained in this guide is designed to ensure that supervisors 1) are aware of the most effective methods for managing and appraising performance, and 2) that each employee receives a clear and meaningful written performance appraisal. When performance expectations and goals are clearly identified and appraised, employees are aware of what is expected of them and how their work contributes to the visions, missions, and goals of their department and organizational unit, the campus, and the University of California. User Guide 1. Become familiar with the timeline to ensure performance appraisals are completed timely. 2. Review the Supervisor s Guide to Performance Appraisal to get a good overview of the UCR performance management process and to better understand how to develop meaningful performance expectations and goals. 3. Use the Linking Performance to Visions, Missions & Goals Worksheet to practice linking the functions and performance expectations of a position with the visions, missions, and goals of the department and organizational unit, the campus, and the University of California. Then transfer the final performance expectations to the employee s performance appraisal. 4. Use the Performance Factors & Behavior Indicators Guideline to assist you in developing behavioral statements that accurately reflect the employee s performance. 5. Review the Campuswide Standards Guidelines to assist you in determining if the employee has met the six areas of performance that are critical to UCR s success: a. The UCR Principles of Community b. UC Ethical Values and Standards of Ethical Conduct c. Diversity d. Health & Safety e. Service Orientation f. Management/Supervision (Managers and Supervisors only) Once you ve determined whether the employee has met these campuswide standards, transfer the outcome to the employee s performance appraisal. 6. Use the Approving Performance Appraisals Management Guide to assist you in understanding how your supervisor/department head will review each performance appraisal to assure consistency of performance appraisals across the individual evaluators. Department Heads will also use this document during their review process. 7. Review the Performance Management Training document to determine if additional training would benefit you now or in the future. Training is available in-person or online. 8. Familiarize yourself with the standard performance appraisal forms to get an idea of the comprehensive nature of the forms and the time it will take to complete each form. This section only includes the standard forms, other forms (i.e., narrative versions) are available on the HR website under Forms & Documents. The laminated Supervisor Quick Reference Guide can be used as performance appraisal cliff notes to remind you of the critical steps that are required to prepare and conduct an effective performance appraisal. June 2015

7 Performance Appraisal Timeline May Human Resources Performance Management Process announced to the campus Organizational Unit Heads Communicate performance management program change, training requirements, and timelines to Department Heads. Include submission deadlines for all documentation, including: o o o Self-appraisals Performance Appraisals Individual Development Plans Department Heads Ensure staff supervisors sign up to attend the required performance management training, if they have not previously completed the training. Ensure that faculty supervisors review the online Supervisor s Guide to Performance Appraisals or sign up to attend a performance management briefing, if they have not previously done so. Supervisors Request submission of Self-appraisals & Individual Development Plans from direct reports by July 1 June Performance Management Training Preparing for your Performance Appraisal" training offered Spring Annually (optional) Supervisors Review and update the job descriptions of direct reports, if necessary Gather supplemental performance feedback from others, if appropriate Department Heads Review the campus online performance appraisal resources, as necessary June Page

8 Performance Appraisal Timeline July Performance Management Training Sessions (mandatory for supervisors) Performance Management I: The Performance Management Process July / August Performance Management II: Providing Constructive Feedback July / August Supervisors Review Self-appraisals & Individual Development Plans from direct reports Finalize Individual Development Plans Finalize Performance Appraisals for direct reports August Supervisors Conduct the performance appraisal meeting(s) with direct reports by August 31 Organizational Unit Heads Submit the Performance Appraisal Certification Form indicating all performance appraisals have been completed by September 30 October Human Resources Compile, analyze, and report on performance appraisal process to senior management June Page

9 Supervisor s Guide to Performance Appraisals June 2015

10 Table of Contents Content Overview... 1 The UCR Performance Management Process... 1 Planning for Performance... 2 Key Elements in the Planning Process... 2 Key Steps in the Planning Process... 2 Planning for Performance Setting Expectations and Goals... 3 Setting Expectations... 3 Setting Goals... 4 Managing and Coaching Performance... 5 Observation... 5 Documentation... 5 Appraising Performance... 6 The Performance Appraisal Process... 6 Appraising Poor Performance... 6 Writing the Appraisal... 7 Appraisal Forms... 8 Creating Development Plans... 9 Creating Individual Development Plans... 9 Purpose of the Individual Development Plan... 9 Developing the Individual Development Plan... 9 Developmental Activities Conducting the Performance Appraisal Meeting Setting the Tone Structure of the Meeting Performance Management Frequently Asked Questions Suggested Readings... 15

11 Content Overview The topics covered in the material include: A review of the UCR performance management process. How to develop performance expectations and goals. Translating subjective assessments into objective terms. Writing performance appraisals using objective, behavioral descriptions. Conducting a structured performance appraisal meeting. The goal of the UCR performance appraisal process is two-fold: development and collaboration. While we all associate performance appraisals with evaluation, an often overlooked aspect is the developmental piece. This is an opportunity for you and your employees to focus on their development. In addition, it should be a collaborative process. It is not you, as the supervisor, giving a report card to your employee, but an interactive exchange about the employee s performance. The UCR Performance Management Process The four major components of the performance management process are Planning, which includes setting expectations and goals and defining job responsibilities; Managing and Coaching performance throughout the year; Appraising Performance; and Recognizing and Rewarding Performance. It is a continuous cycle, not just a once a year event, with feedback linking each part of the process. 1

12 Planning for Performance Key Elements in the Planning Process Understand the mission of UCR and your organization. Understand your organization s values and goals. Link individual expectations to the organization s mission, values and goals. Key Steps in the Planning Process 1. Ensure that the position description is current. A review of the position description should be done every year. If duties in the position have changed that do not warrant a reclassification, revisions should be made and forwarded to the Human Resources Department as an Updated Position Description. The employee should also review their position description and be prepared to provide you with feedback regarding changes. 2. Identify the essential job functions. This refers to the duties that must be carried out by the position basically the reason the position exists. Have the essential functions changed? Do some need to be added? These essential functions can be used as a guide to setting performance expectations. 3. Develop performance expectations. 4. Develop goals and objectives. 5. Identify applicable performance factors. The UCR performance appraisal form includes seven performance factors and the option to include other performance factors not listed. It should be determined which factors are applicable to the position being appraised and those that need to be added. 2

13 Planning for Performance Setting Expectations and Goals Understanding the mission and goals of the University and your organization provides a context in which to develop performance standards and goals. It gives you a framework and a direction. Of primary importance, is the employee s ability to see how their performance expectations and goals are linked to the mission of the department. Setting Expectations What is a Performance Expectation? A description of the results expected for the fully satisfied performance of a job function/task. Defines how well each function or task must be performed. Provides a benchmark against which to evaluate work performance. When Should Performance Expectations be Set? When an employee is hired When responsibilities are changed or added When clarification of responsibilities is needed A performance expectation should be: Derived from mission, goals and values Mutually understood Developed collaboratively, if appropriate Descriptive of how a job is to be performed Descriptive of fully satisfactory performance Expressed in measurable/observable terms Reasonable and attainable 3

14 Setting Goals In setting goals, use the S.M.A.R.T. formula: Specific precise terms Targeted Measurable Means for tracking How much of what & by when Attainable Assess the stretch Evaluate the growth for the employee Relevant Links to results Links to higher-level goals (dept.) Trackable Timeframe for actions Completion dates In performance planning, there are typically three types of goals that may be incorporated into the review: Development goals goals established for personal/professional growth Innovation goals goals established for creating a new process, function or program; higher level of service Improvement goals goals established to correct performance that is below standards and requirements. Goals should be defined when: preparing the annual performance appraisal performance needs improvement 4

15 Managing and Coaching Performance Performance management is a year round process which means meetings should be held with employees throughout the year to discuss and reassess the employees progress toward achieving goals and performance objectives. Listed below are some of the tools that can be used to capture performance. Observation It is recommended that managers observe their employees with the intent of documenting behaviors related to performance. Look for: Trends in performance Is it steadily improving or declining? Does the individual have peaks and valleys spurts of excellent performance followed by extended periods of mediocre performance? Critical incidents Outstanding successes or failures Performance events that stand out from typical behavior Documentation Structured Diary Experts in performance management recommend that managers spend 30 minutes a week documenting employee performance. Document performance in behavioral terms, rather than inferential or judgmental. List the performance expectations and goals for the appraisal cycle and space to document date, skills exhibited results of behavior and other comments. As an example: Performance Expectation/Goal Date Comment Demonstrate team work 10/05/07 Accepted additional assignment due to a co-worker being out ill. Produce quality work 2/04/08 Monthly report contained 5 typos and was missing two pages. Remember. provide feedback on performance events that you document. Unstructured Diary Informal documentation of performance events. For example, jot down notes about employee behavior in your Daytimer. Work Samples Maintain copies of work that illustrate the performance dimensions being measured. Employee Fact File A file where notes about performance events and work samples can be maintained. Remember, this file could be viewed by others if necessary. 5

16 Appraising Performance The Performance Appraisal Process 1. The employee will complete the self-appraisal. 2. Gather the documentation you have regarding performance. 3. Write the appraisal. To prepare for writing the performance appraisal, gather the following information: Self-appraisal information The employee s job description The goals and objectives from the previous performance appraisal (if available) Agreed upon expectations for performance Your structured or unstructured diaries of employee performance events Solicit information from others that know the employee s work such as a cosupervisor or Department Head. The primary rater should be the employee s primary supervisor. Appraising Poor Performance While most of us think of the performance appraisal as an annual event, there are other times when it is appropriate to conduct a performance appraisal session. Primarily, this is when an employee is exhibiting poor performance or training/coaching is needed. When completing the annual performance review, if an employee is receiving a rating of needs improvement or unacceptable on a particular performance factor, it is important to insure that it is truly the performance of the employee that is causing the less than satisfactory results. Be sure to examine the job itself and the context in which the job is being performed. Contact the Labor Relations department if you need assistance in documenting needs improvement or unacceptable behavior. 6

17 Writing the Appraisal Write supporting comments for performance factors using third person statements. Example: Instead of: You have increased your knowledge of fund accounting. Write: Carl has increased his knowledge of fund accounting. Use behavioral feedback to support your ratings for performance factors. Focus on behaviors rather than judgments to support performance factor ratings. Use specific examples. Use specific facts. Verifiable (Specific) Observable Measurable Accessible to the senses Actionable Evaluative (Fuzzy) Judgments Assumptions Interpretations Non-actionable Examples: Fuzzy: Specific: This was not your best work. Carl, the project was completed three weeks later than you originally estimated and contained at least five major errors, such as spelling and incorrect calculations. Fuzzy: Specific: You do a good job running meetings. Sally, everyone on the team appreciates the way you facilitate meetings. You identify the areas in which we are confused, you summarize to help us stay on track, and you maintain your neutrality. 7

18 Appraisal Forms Self-Appraisal Form Should be used when the standard comprehensive performance appraisal form is being used Self-Appraisal Form Narrative Option Should be used when the narrative comprehensive performance appraisal form is being used Performance Appraisal Form Standard Comprehensive Version Requires ratings on six performance factors to be used for all staff, two additional factors for those with supervisory/leadership duties, and space to include two performance factors that may be specific to the position Performance Appraisal Form Narrative Option Focuses on essential functions, goals, and major projects Performance Appraisal Form Update Version Special conditions apply see form for instructions Supplemental Performance Feedback Form Supervisors may solicit performance information from other sources so long as the source is knowledgeable of the employee s work performance. Employees should be made aware during the planning stages of the performance appraisal process, of the other sources that will be contacted concerning their performance. The sources contacted should also be made aware that their feedback may be used in the performance appraisal, and if so, they will be identified as the source UCR Individual Development Plan (IDP) A form used to facilitate an organized approach to improve professional skills and the productivity of the department 8

19 Creating Development Plans Creating Individual Development Plans Using the information from the employee s self-appraisal form and your own observations, determine the developmental opportunities that will assist the employee not only in achieving short-term goals, but long-term career goals as well. The greatest employee development comes from managers taking time to develop employees through mentoring, assigning interesting projects and identifying improvement areas. Managers interest in their employees development is also a strong motivator. The key to the successful development plan is the follow-up that occurs after the plan has been agreed upon. Purpose of the Individual Development Plan The Individual Development Plan (IDP) is an organized approach to professional development activities and programs that are designed to improve the employee s professional skills and the department s productivity. This is a joint process, both in design and execution, in that supervisors are more familiar with the department s future directions and the employee is more aware of specific, individual needs and aspirations. Developing the Individual Development Plan The following process is a model. The process involves the following steps: 1. Prepare the Individual Development Plan at the conclusion of the employee s evaluation period. 2. Involve the employee in the design of the IDP. You may want to do this early in the process, when you have only identified major areas where development should take place and let the employee propose the more specific ways to accomplish this. Or, you may prefer to have the employee design the plan and then jointly review and refine the content. 3. Consider each area of the employee s performance from the following perspectives and determine which should be developed in the upcoming evaluation period: Strengths that, if enhanced, will contribute to the overall mission of the organization and increase productivity. New skills that will be needed in the upcoming evaluation period. Areas of performance/skills that need to be improved. The above constitute the purpose of the development activity. Some additional needs that contribute to establishing the purpose may include: Mission need Change in technology New assignment Future staffing need Leadership development Relationship building 9

20 Though you want the IDP to be thorough and cover the individual s major development needs, try to keep it brief and to the point so that it does not give the impression of being unwieldy or overwhelming. Focus on key areas to be developed. 4. Determine the appropriate learning methods and resources that will be needed. 5. Once the learning methods and resources have been selected, define the measures or criteria that will be used to determine if the targeted learning has been accomplished. 6. The supervisor and the employee sign the IDP to document mutual agreement with it and commitment to completing it. Clarify responsibilities with the employee. 7. Set up a reporting system so that the employee s progress can be gauged at any time and adjustments can be made to the plan as needed. Developmental Activities Each employee s development plan is unique based on their individual needs and career opportunities. Listed below are a few of the developmental activities that you may want to consider. Assignments Job rotation Stretch Temporary Committees Work groups Presentations Cross-Training Changing functions Shift changes Working with new people Develop in Place Mentoring Individual projects Perspective building Tough challenge Shift in size of job Formal Training/Developme nt Professional Technical Leadership Executive Off the Job Opportunities Joining/leading community groups Trying a new skill in a volunteer organization Giving presentations to civic groups On the Job Opportunities Taking on new projects or assignments Temporary assignments e.g. filling in for someone on vacation Assuming lead role responsibilities Improving a process or procedure Self-Development Readings/Selfstudy Professional organizations College/Universit y Programs Seminars Start-ups New team New system/service/pr ocess 10

21 Conducting the Performance Appraisal Meeting Performance appraisals are most productive when they are collaborative, both people are prepared ahead of time and there have been discussions about performance throughout the year. The performance appraisal meeting should be a two-way conversation. Setting the Tone Be prepared know the objectives and goals of the meeting. Time and place choose a quiet, private spot limited interruptions. Put the employee at ease by acknowledging that these sessions can cause anxiety but the purpose is to improve performance and to gather information on how you can help in these efforts. Approach the employee you are appraising as a partner rather than a judge. Tell the employee that the performance appraisal meeting is a two-way discussion, not one-way. Maintain a positive focus. If an employee s overall performance is satisfactory, focus on the factors that led to that success. If an employee s overall performance is not satisfactory, focus on problem-solving rather than fault finding. Structure of the Meeting 1. Explain the purpose for the meeting. 2. Explain the process of the meeting. To discuss the employee s performance over the past year, the job expectations and the organization s expectations. a. Review past performance. Allow employee to share how they view their performance over the past year. Allow employee to share ideas they have for strengthening their performance. Supervisor shares their evaluation. Discuss difference and come to a common understanding. b. Set performance expectations for the next appraisal period. c. Discuss developmental plans and activities that should be conducted during the next appraisal period. 3. Ask if the employee has any questions about how the meeting will proceed 4. Allow the employee to share their assessment of their performance. a. Listen carefully to the employee s selfassessment. b. Focus the employee on specific behaviors, actions and results related to his/her performance. 11

22 5. Share your appraisal and overall rating. a. Provide effective performance feedback. b. Focus on behaviors, actions, and results. c. Reinforce positive performance results. d. Direct critical performance feedback toward performance improvement. 6. Guide the discussion of similarities and differences in the performance appraisal. 7. Receive feedback and suggestions from the employee. a. Show interest in what the employee has to contribute. b. Ask questions to clarify and to gather information. c. Focus the conversation on performance improvement. d. Seek to understand why the employee chose the behaviors he/she did. e. Arrive at a common understanding on how you and the employee view his/her performance. f. When disagreements occur, ask questions to uncover the underlying reasons for this difference of opinion. a. Focus on the performance issues reported, not the person or personality. b. Carefully listen; take notes. c. Acknowledge the employee s concern. d. Welcome suggestions. e. Remain open to feedback on your own behavior as a manager. f. Clarify any feedback that you receive from the employee on your own leadership. 8. Set performance expectations for the next appraisal period. 9. Discuss development activities for the next appraisal period. 10. Close the meeting. a. Acknowledge your appreciation of the employee s efforts. 11. Allow the employee to make written comments on the appraisal. Insure they receive a copy of the completed appraisal. b. Review the performance expectations and developmental activities. c. Clarify the roles that you and the employee with take in regard to performance expectations and developmental activities and determine the next steps. 12

23 Performance Management Frequently Asked Questions 1. Is the performance appraisal process for career employees only? While policy and bargaining agreements specify that only regular status employees are required to receive an annual performance appraisal, this does not limit supervisors and managers from appraising all staff members. As an example, many units conduct performance appraisals for student employees. 2. Are all represented and unrepresented staff reviewed at the same time? Staff eligible to receive an annual performance evaluation should receive the evaluation in August; however, if a supervisor is not available during the summer months it may be necessary for the evaluation to be given prior to August. Consult with Human Resources if a different review period is necessary. 3. How long must an employee be on the job prior to having an annual performance appraisal? Employees should complete their probationary period before receiving the annual performance appraisal. If an employee is new to a position but has worked in another department, both the current and the previous supervisors should work together to complete the performance appraisal. In the case of a probationary employee, typically an evaluation should be given midway through the period. This will allow the employee to correct any behavior that may not be meeting standards before the probationary period ends. Check the applicable bargaining contract for the timing and frequency of evaluations to be completed during the probationary period. 4. Can key staff members in my department give input on the performance appraisal of my direct reports? It is appropriate to solicit input from staff that are knowledgeable of the employee s work performance. How this input is represented on the performance appraisal should be agreed upon by the employees supervisor and next level supervisor. 5. If an employee is eligible to receive the updated version of the performance appraisal, can they request and receive a comprehensive evaluation? If an employee requests it, the supervisor should complete the comprehensive evaluation. 6. Are employees required to complete the self-appraisal form? Employees should complete a self-appraisal prior to the supervisor completing the performance appraisal. The self-appraisal form allows employees to summarize major accomplishments within the review period, list any educational activities accomplished during the review period, state goals/objectives, and provide an opportunity to address other issues. The 13

24 supervisor should not delay the performance appraisal if the selfappraisal has not been completed by the specified deadline. 7. I have only been supervising my staff for a short time, should I still complete the performance appraisals? Yes. Consult with the previous supervisor or the Department Head in completing the appraisals. 8. Does the employee have to sign the performance appraisal? The employee should sign the appraisal. The employee s signature indicates only that they are aware of the contents of the appraisal, it does indicate agreement. If an employee refuses to sign, confirm in writing the date in which the appraisal was discussed and provided to the employee. Start by explaining to the employee that her signature indicates only that she has received the evaluation, not that it constitutes agreement. There is no requirement that an employee sign the evaluation so if the employee refuses to do so, the supervisor should note that the evaluation was presented to the employee and that she refused to sign, and indicate the date on which it took place. The employee may wish to add comments concerning the appraisal, which should be attached to the form. The employee may also have the right to file a complaint or grievance in accordance with appropriate University policy or collective bargaining agreement. 9. If an employee is rated Needs Improvement or Unsatisfactory overall, is the performance appraisal process handled differently? Typically, when an employee s performance has been appraised and rated on the performance appraisal form as needs improvement or unsatisfactory, a re-appraisal should be conducted again within three months of the date of the previous performance appraisal. If the employee s performance continues to be needs improvement or unsatisfactory, the supervisor and department head should consider alternative actions available under the Personnel Policies and consult Labor Relations. 10. Is an employee entitled to union representation during a performance evaluation meeting? Ordinarily employees are not entitled to representation for routine meetings such as performance reviews unless the employee reasonably anticipates that the meeting may lead to corrective action. However, there may be unusual circumstances that trigger a right to representation. Please consult with Labor Relations if this situation arises. Reschedule the performance evaluation meeting if necessary in order to obtain appropriate advice prior to holding the meeting. 14

25 Suggested Readings Analyzing Performance Problems or You Really Oughta Wanna, second edition by Robert F. Mager and Peter Pipe. Published by Pittman Management and Training of Belmont, CA in The Business of Listening by Diane Bone. Published by Crisp Publications of Los Altos, CA in Choosing Performance Management: A Holistic Approach, CUPA Journal, Summer 1995, v.46, no.2, pp by Rogers Davis, Assistant Vice Chancellor, Human Resources, UCSD. Coaching and Counseling by Marianne Minor. Published by Crisp Publications of Los Altos, CA in The Empowered Manager by Peter Block. Published by Jossey-Bass Publishers in San Francisco in First Break All the Rules: What the World s Greatest Managers Do Differently by Marcus Buckingham, Curt Coffman. Published by Simon and Schuster of New York in Giving and Receiving Criticism by Patti Hathaway. Published by Crisp Publications of Los Altos, CA in Masterful Coaching by Robert Hargrove. Published by Jossey-Bass/Pfeiffer of San Francisco in Maximum Performance Management: How to manage and compensate people to meet world competition 2nd ed. by Joseph H. Boyett, Ph.D. et al. Published by Glenbridge Publishing Ltd. of Lakewood, Colorado in Measurement of Work Performance: Methods, Theory and Application by Frank J. Landy and James L. Farr. Published by Academic Press of New York in Perfect Phrases for Performance Reviews: Hundreds of Ready-to-Use Phrases That Describe Your Employees Performance by Douglas Max, Robert Bacal. Published by McGraw-Hill in A Supervisor s Guide for Performance Management by the U.S. Department of Labor. Published by U.S. Department of Labor of Washington, D.C. in

26 Business & Administrative Services (BAS) Linking to Missions & Visions FY14-15 Use your answers to the questions below to assist you in mapping your departmental & identified position goals to the broader mission and goals of BAS, the campus and UC. Try to describe how the services of your department link to these broader goals. Next, for the identified position in your department, describe the performance expectations and goals that would produce results that support mission and goals of your department. 1. The mission of the University of California Teaching, Research, and Public Service 2. The Chancellor s seven goals for the University of California, Riverside To enhance UCR's reputational rankings UCR will have the profile of an AAU member university To invest in areas of strength UCR will be recognized for its distinction among all research universities in selected areas which exhibit quality and momentum To expand opportunities for learning and personal growth for all students, undergraduate and graduate UCR will become a campus of "first choice" for applicants, and students will have a successful experience at UCR To reshape the curriculum UCR will build on the diversity of its students and the distinction of its faculty, and connect the curriculum to the vision of UCR as an AAU institution To diversify our faculty, staff, and graduate population UCR will be a preeminent research university that has diversity as one of its measures of distinctiveness To build professional schools UCR will offer expanded professional education in areas that respond to the needs of the state and region and that help to stimulate a knowledge-based economy To forge closer ties with the community UCR will organize and coordinate with others to achieve common goals for prosperity and sustainability of the Inland Empire through technology transfer, attraction and retention of highly skilled jobs and industries, and responsiveness to regional issues 3. Business Administrative Services (BAS) Mission & Goals Acting with integrity in all that we do, and engaging Our People are the foundational principles of our business strategy, upon which performance excellence concerning Our Processes, Our Resources and Our Customers/Clients can be achieved. With this mission in mind, we are re-examining our value proposition to the campus and re-imagining excellence in all corners of the University to: Reevaluate all administrative and operational functions Ensure service alignment with institutional priorities, values, and industry best practices Improve the campus customer/client service experience Eliminate duplications of effort, redundancies, and waste Create synergies and opportunities for collaboration across service functions Attract, retain, and develop a highly competent and engaged workforce Implement enabling technologies and LEAN business processes Prioritize institutional responsibilities for safety and risk management Increase transparency and gain support regarding resource costing methodologies Become The Benchmark of administrative and operational efficiency in higher education

27 4. What is the mission and goals of your department? Enter comments here 5. What are the services/activities/products/results of your department? Enter comments here. 6. How do these services/activities/products/results support the mission & goals of your department? Enter comments here.

28 For the identified position in your department, describe the functions and performance expectations that would produce the services/activities/products/outcomes that support your department mission and goals. Position: Enter position here. 1. Function/Result Enter comments here. Performance Expectation (how would you know the function is being done well or the result is satisfactory?) Enter comments here. 2. Function/Result Enter comments here. Performance Expectation (how would you know the function is being done well or the result is satisfactory?) Enter comments here. 3. Function/Result Enter comments here. Performance Expectation (how would you know the function is being done well or the result is satisfactory?) Enter comments here.

29 Performance Factors & Behavior Indicators June 2015

30 Table of Contents PERFORMANCE FACTOR GUIDELINES... 1 Position Expertise... 1 Approach to Work... 2 Quality of Work... 3 Quantity of Work... 4 Communication Skills... 5 Interpersonal Skills... 6 Supervision... 7 Leadership & Management... 8 June 2015

31 PER F O R M AN C E FAC TO R G U I D EL I N ES Employees who meet all/most of the More than Satisfactory/Exceptional behaviors in a specific performance factor, should be given an exceptional rating for that specific factor. However, employees who meet some, but not all/most of the More than Satisfactory/Exceptional behaviors in a performance factor should be given more than satisfactory rating for that specific factor. Position Expertise Effectiveness with which the employee applies professional/managerial/technical and/or non-technical skills and knowledge to job. Competency Satisfactory More than Satisfactory/Exceptional Job Mastery and Continuous Learning Diversity and Inclusion Innovation and Change Management Applies background, technical knowledge, education, and prior job experiences to current and new job situations. Learns quickly. Makes time for appropriate training Shares knowledge with others to enhance performance. Promotes and sustains a community that acknowledges and celebrates differences. Creates opportunities for inclusion in a variety of settings. Shows respect for people and their differences. Works to understand the perspectives of others and demonstrates empathy. Works to build mutual respect, fairness, and equity. Ability to adapt and use alternative techniques to achieve organizational goals. Comprehends connections within complex issues. Uses sound decisions to align outcome with organizational goals. Demonstrates technical competences, job knowledge and ability to add value beyond the core job function. Continually strives to upgrade the depth and breadth of technical and professional skills. Makes time for appropriate training, keeps current on tools, technology, and information needed to meet job performance and challenges. Shares knowledge and supports peers, staff, and others to increase skills, foster improvement and enhances outcomes. Advocates for the UC Riverside Principles of Community in all interactions. Designs and advocates for inclusive practices in all settings. Advocates for deep understanding and respect for the diversity of cultures, values, perspectives, and beliefs. Works to understand the perspectives of others and encourages them to provide their perspectives. Models and promotes mutual respect, fairness, and equity to foster a sense of belonging. Uses creative techniques and skills to design and develop options that improve how the organization operates. Encourages others to appreciate connections within complex issues. Uses knowledge and experience to analyze issues and factors which influence or constrain organizational priorities, goals, and results. June 2015 Page 1

32 Approach to Work Characteristics the employee demonstrates while performing job assignments including creativity, flexibility, initiative, planning and organization, time management, commitment to diversity, ethical behavior, process improvement, and/or professional developmen t. Competency Satisfactory More than Satisfactory/Exceptional Innovation and Change Management Result Orientation and Execution Resource Management Job Mastery and Continuous Learning Diversity and Inclusion Understand the big picture and vision of the organization. Aligns priorities with goals. Seeks input from a variety of constituencies. Considers alternative solutions. Comprehends connections within complex issues. Implements change. Organizes projects and associated time and priorities. Ability to adapt and use alternative techniques to achieve organizational goals. Measures outcomes. Manages budgets. Learns quickly. Makes time for appropriate training. Shares knowledge with others to enhance performance. Promotes and sustains a community that acknowledges and celebrates differences. Creates opportunities for inclusion in a variety of settings. Shows respect for people and their differences. Works to understand the perspectives of others and demonstrates empathy. Works to build mutual respect, fairness, and equity. Champions the organization s vision. Establishes priorities and ensures their alignment with goals. Seeks input from a variety of constituencies and uses the feedback to redirect efforts as needed. Seeks, evaluates, and implements alternative solutions. Encourages others to appreciate connections within complex issues. Manages change. Oversees project management and implements strategies. Uses creative techniques and skills to design and develop options that improve how the organization operates. Establishes methodology for measuring outcomes; communicates results. Oversees budgets. Continually strives to upgrade the depth and breadth of technical and professional skills. Makes time for appropriate training, keeps current on tools, technology, and information needed to meet job performance and challenges. Shares knowledge and supports peers, staff, and others to increase skills, foster improvement and enhances outcomes. Advocates for the UC Riverside Principles of Community in all interactions. Designs and advocates for inclusive practices in all settings. Advocates for deep understanding and respect for the diversity of cultures, values, perspectives, and beliefs. Works to understand the perspectives of others and encourages them to provide their perspectives. Models and promotes mutual respect, fairness, and equity to foster a sense of belonging. June 2015 Page 2

33 Quality of Work Manner in which the employee completes job assignments including accuracy, responsiveness, follow-through, judgment, decision making, reliability, and compliance assurance. Competency Satisfactory More than Satisfactory/Exceptional Resource Management Result Orientation and Execution Innovation and Change Management Employee Engagement Uses discretion and sound judgment. Focuses on work quality. Sets and meets quality improvement targets. Strives for efficient, effective, high quality performance. Responds to difficult situations and takes initiative to make improvements. Develops solutions to overcome obstacles. Uses effective organizational skills to accomplish goals and objectives. Sets measurable outcomes to evaluate the quality of results. Understand factors that may influence decision making. Completes assignments. Ability to adapt and use alternative techniques to achieve organizational goals. Completes tasks and assignments and seeks feedback. Models the use of discretion and sound judgment. Develops relationships with clients, stakeholders, and colleagues and applies emerging ideas, innovations and new technologies to ensure high quality results. Uses benchmarking and reviewing best practices to set and meet quality improvement targets. Takes initiative and evaluates trends to improve efficiency and effectiveness resulting in high quality performance in self and in the organization. Displays resiliency and takes proactive measures to make improvements. Leverages personal and organizational resources to creatively develop solutions, overcome obstacles, resolve conflicts among goals to achieve high quality outcomes. Uses critical thinking to analyze issues systematically by planning, prioritizing, and organizing work while anticipating and adjusting to changes. Develops and implements work plans with actionable components and measurable outcomes. Anticipates and identifies overriding organizational factors which influence or constrain direction, decision-making, and organizational priorities. Work is consistently without error. Uses creative techniques and skills to design and develop options that improve how the organization operates. Invites input from others and shares ownership and recognition. June 2015 Page 3

34 Quantity of Work Employee's success in producing the required amount of work including priority setting, productivity, and timelines. Competency Satisfactory More than Satisfactory/Exceptional Result Orientation and Execution Strives for efficient, effective, high quality performance. Delivers results by deadlines. Responds to difficult situations and takes initiative to make improvements. Develops solutions to overcome obstacles. Uses effective organizational skills accomplish goals and objectives. Sets measurable outcomes to evaluate the quality of results. Takes initiative and evaluates trends to improve efficiency and effectiveness resulting in high quality performance in self and in the organization. Manages timeframes and deadlines. Displays resiliency and takes proactive measures to make improvements. Leverages personal and organizational resources to creatively develop solutions, overcome obstacles, resolve conflicts among goals to achieve high quality outcomes. Uses critical thinking to analyze issues systematically by planning, to prioritizing, and organizing work while anticipating and adjusting to changes. Develops and implements work plans with actionable components and measurable outcomes. June 2015 Page 4

35 Communication Skills Effectiveness of the employee in transmitting information including confidentiality, facilitation/participation in sharing in formation, and oral and written expression. Competency Satisfactory More than Satisfactory/Exceptional Communication Receives information to seek and understand Actively seeks perspectives from others to ensure differing perspectives. inclusiveness and understanding. Diversity and Inclusion Creates clear and concise written communication. Tailors and presents information to diverse audience using a variety of communication delivery methods (e.g., written, electronic, oral, interpersonal). Clarifies project/task and goals as necessary. Keeps others informed in a timely manner. Remains respectful when in conflict with others. Shows respect for people and their differences. Works to build mutual respect, fairness, and equity. Uses negotiation and mediation skills. Has the ability to respond to diversity-related conflict or concerns in a way that lessens tension and furthers communication. Proactively addresses bias, prejudice, or discrimination. Creates impactful written communication; improves others writing through editing and feedback process. Tailors and delivers high-level presentations to diverse audiences using a variety of communication delivery methods (e.g., written, electronic, oral, interpersonal). Uses effective communication techniques such as active listening and feedback to clarify project/task and goals. Communicates information effectively with other members of the organization to ensure effective progress of project plans. Uses appropriate conflict resolution techniques when necessary. Advocates for deep understanding and respect for the diversity of cultures, values, perspectives, and beliefs. Models and promotes mutual respect, fairness, and equity to foster a sense of belonging. Facilitates management of differences by addressing them openly and encouraging mutually beneficial resolutions. Promotes and facilitates an environment that encourages communication to resolve diversity-related conflict and to lessen tension. Proactively addresses bias, prejudice, or discrimination and promotes an environment that celebrates and values individual differences. June 2015 Page 5

36 Interpersonal Skills Effectiveness of the employee's interactions in responding to and working with others, including interactions with co-workers, supervisor(s), faculty, staff, students and/or the community. Competency Satisfactory More than Satisfactory/Exceptional Communication Builds and maintains effective working Leverages working relationships with customers and relationships with customers and colleagues to build strong connections, cooperation, and colleagues. collaboration. Teamwork and Collaboration Diversity and Inclusion Uses interpersonal skills to build cooperative relationships. Remains respectful when in conflict with others. Uses negotiation and mediation skills. Is polite. Is sensitive to other people's feelings. Addresses conflict. Demonstrates respect and empathy for others. Is flexible to accept others opinions. Works to understand the perspectives of others and demonstrates empathy. Models interpersonal communication that invites participation and future dialogue. Uses appropriate conflict resolution techniques when necessary. Facilitates management of differences by addressing them openly and encouraging mutually beneficial resolutions. Demonstrates emotional control and professionalism when interacting with others. Takes actions that demonstrate consideration for the feelings and needs of others. Manages and controls emotions and behavior in the face of interpersonal conflict. Is aware of own biases, style preferences, and cultural lenses. Solicits ideas and learns from others whose experiences and opinions are different from their own. Works to understand the perspectives of others and encourages them to provide their perspectives. June 2015 Page 6

37 Supervision Provides oversight, direction, recognition and development opportunities, and addresses performance problems. Competency Satisfactory More than Satisfactory/Exceptional People Management Diversity and Inclusion Result Orientation and Execution Resource Management Sets goals and objectives. Promotes diversity accountability through the performance management system. Understands each employee in terms of technical competence, motivation, and supervision needed. Monitors and assesses work performance. Delegates tasks, sets performance expectations and supervises work of others. Leads other organizational members toward achieving organizational goals. Works toward achieving the mission of the university. Recognizes other s contribution. Provides objective behavioral feedback. Promotes and sustains a community that acknowledges and celebrates differences. Creates opportunities for inclusion in a variety of settings. Shows respect for people and their differences. Works to understand the perspectives of others and demonstrates empathy. Works to build mutual respect, fairness, and equity. Understands and values individual differences. Creates a comfortable work environment that is free of harassment. Measures outcomes. Uses discretion and sound judgment. Sets goals and objectives with clear outlined expectations and measures of success. Assesses subordinate s readiness and skill in regards to work diversity and job assignment; provides feedback for improvements. Understands each employee knowledge, skills, abilities, and work style and adjusts supervisory style to individuals needs. Coaches to maximize achievement of performance expectations. Delegates assigned tasks fairly and in alignment with operational goals. Leads and motivates people by modeling interpersonal effectiveness, communication, trust, advocacy and political acumen. Inspires and supports others to achieve the mission of the University. Recognizes and rewards people for their contribution and participation. Models objective behavioral feedback. Advocates for the UC Riverside Principles of Community in all interactions. Designs and advocates for inclusive practices in all settings. Advocates for deep understanding and respect for the diversity of cultures, values, perspectives, and beliefs. Works to understand the perspectives of others and encourages them to provide their perspectives. Models and promotes mutual respect, fairness, and equity to foster a sense of belonging. Advocates for understanding the values and benefits of diversity. Creates a comfortable work environment that is free of harassment and provide opportunities to report harassment. Establishes methodology for measuring outcomes; communicates results. Models the use of discretion and sound judgment. June 2015 Page 7

38 Leadership & Management Communicates a vision, sets unit goals, develops strategies and takes action to ensure the efficient stewardship of University resources (operational, financial, and human). Competency Satisfactory More than Satisfactory/Exceptional People Management Innovation and Change Management Diversity and Inclusion Teamwork and Collaboration Sets goals and objectives. Delegates tasks, sets performance expectations and supervises work of others. Monitors and assesses work performance. Leads other organizational members toward achieving organizational goals. Recruits, selects, and works to retain employees. Creates opportunity for employee development. Treats all employees fairly. Values workplace diversity. Attempts to create a satisfying work environment for everyone. Uses sound decisions to align outcome with organizational goals. Implements change. Recognizes the impact of decisions on organizational outcomes. Resolves conflicts among goals and sets priorities. Ability to adapt and use alternative techniques to achieve organizational goals. Creates a comfortable work environment that is free of harassment and discrimination. Promotes and sustains a community that acknowledges and celebrates differences. Creates opportunities for inclusion in a variety of settings. Shows respect for people and their differences Promotes respectful behavior. Sets goals and objectives with clear outlined expectations and measures of success. Delegates assigned tasks in alignment with operational goals. Coaches to maximize achievement of performance expectations. Leads and motivates people by modeling interpersonal effectiveness, communication, trust, advocacy and political acumen. Facilitates the recruitment, selection, and retention of employees. Champions employee development for career growth and mobility. Promotes equal opportunities for all employees regardless of their individual differences. Workplace diversity is referred to and cited at meetings. Assesses the climate of the organization to determine the degree to which individuals and members of groups perceive they are valued, rewarded, and have opportunities for growth. Uses knowledge and experience to analyze issues and factors which influence or constrain organizational priorities, goals, and results. Manages change. Anticipates and seeks an understanding of the impact and implications of decisions on planned outcome or results. Resolves conflicting goals and priorities using formal organizational knowledge and informal network relationships to accomplish objectives. Uses creative techniques and skills to design and develop options that improve how the organization operates. Complaints such as harassment and discrimination are addressed promptly and fairly in accordance with established guidelines. Advocates for the UC Riverside Principles of Community in all interactions. Designs and advocates for inclusive practices in all settings. Provides training and educational opportunities regarding nonharassment policies and respectful work behavior. Uses self-assessment and feedback from staff and others to insure that respectful behavior is being exhibited. June 2015 Page 8

39 The UCR Campuswide Performance Standards represent six areas of individual performance that are critical to UCR s success: The UCR Principles of Community, UC Ethical Values and Standards of Ethical Conduct, Diversity, Health and Safety, Service Orientation, and Management/Supervision (for managers and supervisors). The description for each area includes the standard for satisfactory performance. These standards focus on the campus principles, values, and goals and supplement the regular performance appraisal which focuses on the individual s accomplishments and level of performance. The UCR Principles of Community The University of California Riverside is committed to equitable treatment of all students, faculty, and staff. UCR strives to create an environment in which each person has the opportunity to grow and develop, and is recognized for his or her contribution. There are three objectives: Ensure that we have an environment that nurtures the intellectual and personal growth of our students, faculty, and staff. Ensure that our campus sets an example of respect for all people. Ensure that our campus is a safe and welcoming environment for everyone. Understands the significance of The UCR Principles of Community. Satisfactory performance is demonstrated when employee s behavior reflects The UCR Principles of Community. Ensures that the significance of The UCR Principles of Community is integrated into operational activities within the manager s and supervisor s area of responsibility. {For managers and supervisors} Satisfactory performance is demonstrated when managers and supervisors communicate and affirm, verbally and in writing, the UCR Principles of Community to employees and others, as appropriate. UC Ethical Values and Standards of Ethical Conduct Members of the University of California community are committed to the highest ethical standards in furtherance of our mission of teaching, research and public service. We are committed to: Integrity conducting ourselves with integrity in our dealings with and on behalf of the University. Excellence conscientiously striving for excellence in our work. Accountability being accountable for our ethical conduct and for compliance with applicable laws and University policies and directives. Respect respecting the rights and dignity of others. Understands the significance of the UC Statement of Ethical Values and Standards of Ethical Conduct. Satisfactory performance is demonstrated when employee s behavior reflects the University s ethical values and standards of ethical conduct. Ensures that policies, procedures and standards provide guidance for the application of ethical values. {For managers and supervisors} Satisfactory performance is demonstrated when policies, practices, services and behaviors are reviewed, assessed, applied, and monitored to ensure they support the ethical values and standards of ethical conduct of the University. Diversity A general term indicating that many people with many differences are present, welcome, and productive in an organizatio n. Diversity refers to culture, race, ethnicity, language, national origin, religion, gender, age, disability, sexual orientation, as well as educational background, socio-economic class, geographic location, work experience, classification, and marital status. Understands the importance of diversity. Satisfactory performance is demonstrated when employees exhibit behaviors that encourage acceptance in a culturally diverse environment. Specific satisfactory behaviors include but are not limited to: Being actively involved in diversity activities and initiatives. Soliciting ideas and learning from others who have experiences and opinions that are different from their own. Refraining from perpetuating stereotypical or derogatory comments about individuals or groups. Using speech that is inclusive and affirming for all groups. Ensures that policies, practices, services, and behaviors support and accept diversity. {For managers and supervisors} Satisfactory performance is demonstrated when the manager reviews, assesses, applies and monitors policies, practices, services, and behaviors to ensure that they support diversity. Specific satisfactory behaviors include, but are not limited to: Applying management policies and practices fairly and consistently. Utilizing Affirmative Action and EEO statistics to address deficiencies in the unit. June P a g e

40 Complying with Affirmative Action and Equal Opportunity laws and policies. Proactively addressing bias, prejudice or discrimination when it occurs in the unit and in the workplace. Responding to diversity related conflict or concerns in the unit and in the workplace. Providing timely feedback when someone does something that is discriminatory or demeaning. Championing equal employment and inclusion. Coaching others to work productively and respectfully across differences. Health and Safety As with any progressive organization, UCR s primary strength is its people, the many individuals that comprise the faculty, s taff, and student populations. To ensure that these individuals have a chance to contribute to the University s mission, each must be afforded a safe, healthy and environmentally sound workplace. Ensures that policies, practices, services, and behaviors support accepted safety, health, and environmental standards. Satisfactory performance is demonstrated when employees observe safety and environmental compliance standards by practicing safe behaviors and by reporting hazardous conditions. Managers and supervisors ensure that all employees participate in safety, health, and environmental protection, and receive appropriate training. {For managers and supervisors} Satisfactory performance is demonstrated when employees participate in appropriate activities (e.g., workshops, presentations, dialogue with supervisor) designed to foster awareness and assist employees to work safely without degrading the environment. Service Orientation UCR is a large, complex organization with many internal and external customers. UCR has an organizational philosophy to provide the best possible products and services. Maximizes Customer Satisfaction: Satisfactory performance is demonstrated when employees respond to customers requests or provide alternatives and referrals in a professional and timely manner. Acknowledges Customer Service Contributions: {For managers and supervisors only} Satisfactory performance is demonstrated when managers and supervisors have an established process to support, recognize, and acknowledge employees for their customer service. In addition, satisfactory performance is demonstrated when employees follow established customer service practices and show personal commitment to customer satisfaction. Management/Supervision (Managers and Supervisors only) UCR managers and supervisors play a crucial leadership role in ensuring the effectiveness and productivity of their units. Their job is to inspire and support employees to achieve the mission and goals of their organization and the university. They demonstrate effective supervision by performance consistent with campus-wide standards for the UCR Principles of Community, the UC standards of ethical conduct, diversity, health and safety, and customer service, and for the following: Leadership: Creating a climate of trust and mutual respect; increasing the potential for employees to be productive and to feel welcome, valued, and motivated. Satisfactory performance is demonstrated when supervisors or managers model the conduct they expect from those they lead and: Communication: Provide clear, concise, and timely verbal and written communication. Encourage and practice two-way communication. Keep employees updated on information they need to perform effectively. Recognition: Provide recognition to employees for extra effort and significant achievements in an effort to encourage excellence in University service. Performance Management: Manage employee performance in alignment with the mission and goals of the department or unit and consistent with relevant policies and collective bargaining agreements. Organizational Accountability: Create structures to ensure oversight and accountability without conflict of interest, delegate appropriate tasks, and review delegations regularly for compliance. Resource Management and Planning: Manage available resources efficiently to provide the best services possible while enabling employees to achieve their work goals. Analyze and project needs effectively and assign work equitably according to the priorities of the unit or department. June P a g e

41 Management Guide Approving Performance Appraisals UCR s performance appraisal process requires the relevant department head to approve and sign each performance appraisal. The purpose of this review process is to assure consistency of performance appraisals across individual evaluators. It is helpful to have conversations about the behaviors associated with ratings so that common expectations are understood when completing the performance appraisal form. Department Heads should use this guide to approve performance appraisals: Performance Factor Ratings and Comments Overall Performance Rating Performance Review Language General Completeness of Feedback Read the definition for each rating factor and the reviewer s comments. Ensure the reviewer commented on areas appropriate for each factor. Ensure the comments clearly describe the extent to which the employee achieved their goals. Check that the ratings are fair and supported by specific examples in the comments section. If you have concerns, return the form to the reviewer for clarifications or revisions. Make sure you are confident that the overall rating supports the extent to which the employee achieved their goals and the ratings of all performance factors, and that significant accomplishments are recognized. Compare overall ratings between individuals with the same job title/functions to ensure the consistency of ratings throughout your organization. Ratings are sometimes inflated. It is your role to ensure that you have read and understand how the reviewer applied each definition to achieve the overall rating, and that these ratings are applied fairly and consistently. Performance review language should be straightforward and fact-based. Avoid phrases like I think and seems to be. Be careful to balance corrective phrases with constructive feedback where appropriate. Be conscious of potentially discriminatory language. Avoid words and phrases that describe protected classes or references to use of sick time or leave of absences that may have been taken. It is your responsibility to ensure the feedback is complete, specific, and includes guidance for the future. Phrases such as excellent communication skills should be substantiated with specific examples. Action Plan/Training and Development Goals The content of this section should be aligned with feedback provided in the body of the appraisal and should address the following items: Goal Completion Recommend development that will help with goal achievement in the coming year. Career/Job Development Identify suggestions to support professional interests and/or advancement. If the draft does not meet the above requirements, return it to the reviewer with suggestions for revisions.

42 Performance Management Training In-Person Training Online via UC Learning Center Performance Management Training Performance Management I The UCR Performance Management Process Performance Management II Providing Constructive Feedback Performance Leader Certificate Program Advanced Training This series provides the fundamentals of performance management, including important information, tools and resources needed to support UC people managers in their roles. Learners are encouraged to download the Participant Playbook found within the course and use it, and the other resources in the course, to help capture key concepts, complete exercises, and use as a reference back on the job. It is recommended you take the series in order. Eight-part UC Performance Management Series UC Performance Management Overview UC Setting Expectations and Individual Performance Goals UC Giving and Receiving Feedback UC Engaging and Developing Employees UC Conducting Performance Appraisals UC Motivating, Recognizing and Rewarding Employees UC Coaching for Performance and Development UC Managing Corrective Action Performance Leader Certificate The objective of the Performance Management Certificate Program is to increase the effectiveness of the performance management process through enhancing performance management skills. The program focuses on essential elements of performance management such as assuring an understanding of campus and unit goals and strategic initiatives, clarifying expectations, providing constructive feedback, and developing staff. To earn the certificate you must complete the two required courses and a minimum of two electives show below. Weaving Diversity into Performance and Development This workshop will assist supervisors and managers in identifying culturally competent behaviors that can be developed and assessed through the UCR performance appraisal and Campuswide Performance Standards. The course emphasizes four key cultural competencies valuing diversity, self-awareness, acquiring cultural knowledge, and adapting to diversity. Planning for Performance Discussions The purpose of this course is to provide skills and tools to prepare for performancerelated discussions that increase productivity, collaboration, and achievement of critical goals that are linked to the campus and unit strategic mission. Clarifying Performance Expectations The purpose of this course is to provide skills to discuss performance expectations with others in a way that increases their sense of ownership and gains their commitment. Conducting Performance Reviews Participants will be provided with the skills and tools necessary to conduct a performance review that focuses on major responsibilities, opportunities for improvement, and development needs. Developing Others This course focuses on providing skills for developing others, thereby helping others expand their capabilities so they will have the confidence to take on new challenges and work more independently resulting in improved goal success. To receive your certification, submit a list of the courses that you have completed to Human Resources and upon verification, the certificate will be forwarded to you.

43 Performance Appraisal Form EMPLOYEE INFORMATION Name: Dept.: Title: UC Hire Date: Time in position: Years Months Evaluation Period: From Through SUPERVISOR INFORMATION Name: Supervised employee for: Years Months POSITION DESCRIPTION/GOALS AND EXPECTATIONS See job description and previous year s goals and expectations. RATING SCALE Exceptional (E) Performance exceeds expectations in all areas of responsibility. Remarkable achievement and pacesetting performance. More Than Satisfactory (MS) Performance exceeds expectations. Satisfactory (S) PERFORMANCE RATING Performance meets expectations. Needs Improvement (NI) Performance does not meet expectations. Unacceptable (U) Performance falls substantially short of expectations. Not Applicable (N/A) The employee is not required to perform in a specific rating factor, and it cannot be measured. Evaluate each of the performance factors below. (For those factors not evaluated, please check not applicable) Comments are recommended for all ratings, but are required for ratings of Needs Improvement or Unacceptable. Please refer to the first section the Performance Factors and Campuswide Standards Guidelines for further definition of performance factors. Rating Factors Performance Factor N/A E MS S NI U Position Expertise Effectiveness with which the employee applies professional/managerial/technical and/or non-technical skills and knowledge to the job. Rev. 07/30/2012 p. 1

44 Rating Factors Performance Factor N/A E MS S NI U Approach To Work Characteristics the employee demonstrates while performing job assignments including creativity, flexibility, initiative, planning and organization, time management, commitment to diversity, ethical behavior, process improvement, and/or professional development. Quality Of Work Manner in which the employee completes job assignments including accuracy, responsiveness, follow-through, judgment, decision making, reliability, and compliance assurance. Quantity Of Work Employee s success in producing the required amount of work including priority setting, productivity, and timeliness. Communication Skills Effectiveness of the employee in transmitting information including confidentiality, facilitation/participation in sharing information, and oral and written expression. Rev. 05/02/2014 p. 2

45 Rating Factors Performance Factor N/A E MS S NI U Interpersonal Skills Effectiveness of the employee's interactions in responding to and working with others, including interactions with co-workers, supervisor(s), faculty, students and/or the community. Supervisory/Leadership Skills Applies to managers, supervisors, or leads. A. Supervision Provides oversight, direction, recognition and development opportunities, and addresses performance problems. B. Leadership & Management Communicates a vision, sets unit goals, develops strategies and takes action to ensure the efficient stewardship of University resources (operational, financial, and human). Other Factors If necessary, additional performance factors may be established. Evaluate the additional factor(s) by checking the appropriate box to the left of each factor. Comments are required for ratings of Needs Improvement or Unacceptable. CAMPUSWIDE PERFORMANCE STANDARDS The UCR Campuswide Performance Standards include: UCR Principles of Community, UC Ethical Values and Standards of Ethical Conduct, Diversity, Health & Safety, and Service Orientation. Please refer to the second section of the Performance Factors and Campuswide Standards Guidelines for a detailed description of each standard. Unsatisfactory performance in any area must be addressed. Satisfactory performance has been demonstrated in all UCR campuswide performance standards. Satisfactory performance has not been demonstrated in all UCR campuswide performance standards. Campuswide Performance Standards Comments: Rev. 05/02/2014 p. 3

46 OVERALL PERFORMANCE RATING Place an X in the box which describes the employee s overall performance rating. Exceptional More Than Satisfactory Satisfactory Needs Improvement Unacceptable COMMENTS ACTION PLANS/TRAINING AND DEVELOPMENT GOALS List performance objectives, specific projects, or training and development plans for the next review period. Describe other plans/actions dictated by the appraisal. EMPLOYEE COMMENTS/RESPONSES Optional. If employee wishes to do so, any comments concerning the appraisal may be indicated in this section. EMPLOYEE SIGNATURE Employee I have read and discussed this appraisal with my supervisor and I understand its contents. My signature means that I have been advised of my performance status and does not necessarily imply that I agree or disagree with either the appraisal or the contents. Signature: Date: DEPARTMENT SIGNATURES Supervisor Signature: Date: Department Head Signature: Date: Rev. 05/02/2014 p. 4

47 Self-Appraisal Form EMPLOYEE INFORMATION Name: Title: Dept.: Eval Period: From Through SELF-APPRAISAL This self-appraisal will be considered for your overall appraisal and will become an attachment to the Performance Appraisal. Indicate see attached if more space is needed 1. Summarize your major accomplishments for this review period (such as proposals, assignments completed, reports, presentations, significant results, etc.) 2. List any training programs, conferences, committee memberships or other educational activities in which you have participated during this period. a. What problems and constraints influenced your work performance during the review period, if applicable? b. In your current position, what additional skills would be helpful in preparing you to do your job more effectively? How do you plan to acquire them? Rev. 05/16/2012 p. 1

48 3. Goals and Objectives. (State specific and achievable goals/objectives you hope to achieve during the next appraisal period.) 4. What other issues (which may include your working relationship with your supervisor) would you like to discuss in the appraisal review discussion? SIGNATURES Employee Signature: Date: Supervisor I have read and discussed this self-appraisal with my employee and I understand its contents. My signature does not imply that I agree or disagree with the contents. Signature: Date: Rev. 05/16/2012 p. 2

49 Individual Development Plan Purpose The Individual Development Plan (IDP) is an organized approach to professional development activities and programs that are designed to improve the individual s professional skills and the department s productivity. This is a joint process, both in design and execution, in that supervisors may be more familiar with the department s future directions and the individual is more aware of specific, individual needs and aspirations. Developing the Individual Development Plan The following process is a model. The process involves the following steps: 1. The individual Development Plan should be prepared at the conclusion of the evaluation period. 2. Both the supervisor and the individual should be involved in the design of the IDP. This should be done early in the process, when major areas of development have already been identified. The individual should propose more specific ways to accomplish this. Or, the individual may design the plan and then jointly review and refine the content with the supervisor. 3. Use the following perspectives and determine which should be developed in the upcoming evaluation period: Strengths that, if enhanced, will contribute to the overall mission of the organization and increase productivity. New skills that will be needed in the upcoming evaluation period. Areas of performance/skills that need to be improved. The above constitute the purpose of the development activity. Some additional needs that contribute to establishing the purpose may include: Mission need Change in technology New assignment Future staffing need Leadership development Relationship building Though you want the IDP to be thorough and cover all major development needs, try to keep it brief and to the point so that it does not give the impression of being unwieldy or overwhelming. Focus on key areas to be developed. 4. Determine the appropriate learning methods and resources that will be needed. (See the Developmental Opportunities Guide) 5. Once the learning methods and resources have been selected, define the measures or criteria that will be used to determine if the targeted learning has been accomplished. 6. Both the supervisor and the individual sign the IDP to document mutual agreement with it and commitment to completing it. 7. A reporting system should be established to gauge the individual s progress at any time so that adjustments can be made to the plan if needed. Developmental Opportunities There are several methods to facilitate learning. These are just a few examples Assignments Job rotation Stretch Temporary Committees Work groups Presentations Cross-Training Changing functions Shift changes Working with new people Develop in Place Mentoring Individual projects Perspective building Tough challenge Shift in size of job Formal Training/ Development Professional Technical Leadership Executive Off the Job Opportunities Joining/leading community groups Trying a new skill in a volunteer organization Giving presentations to civic groups On the Job Opportunities Taking on new projects or assignments Temporary assignments e.g. filling in for someone on vacation Assuming lead role responsibilities Improving a process or procedure Self-Development Readings/Self-study Professional organizations College/University Programs Seminars Start-ups New team New system/service/process Rev. 05/16/2012 p. 1

50 Individual Development Plan (IDP) Form Employee Name: Title: Date: Dept.: Supervisor Name: Short Range Critical within present position (1 year) Goal: Competencies/Technical Skills to be acquired Learning Activities Learning Resources Time Frame Start Complete Learning Success Criteria Mid Range Important for growth within present position (2 years) Goal: Competencies/Technical Skills to be acquired Learning Activities Learning Resources Time Frame Start Complete Learning Success Criteria Rev. 05/16/2012

51 Competencies/Technical Skills to be acquired Learning Activities Learning Resources Time Frame Start Complete Learning Success Criteria Long Range Helpful for achieving career goals (3 years) Goal: Competencies/Technical Skills to be acquired Learning Activities Learning Resources Time Frame Start Complete Learning Success Criteria Employee Supervisor Signature: Date: Signature: Date: Rev. 05/16/2012

52 Supervisor Reference Guide Preparing & Conducting Effective Performance Appraisals The UCR performance management program consists of ongoing communication between a supervisor and an employee that occurs throughout the year and supports achievement of the strategic objectives of UCR. This program consists of defining job responsibilities, setting & evaluating performance expectations, setting & evaluating goals, managing & coaching employees, writing & conducting meaningful performance appraisals, and agreeing on individual development plans. This guide focuses on preparing & conducting an effective performance appraisal which contain goals that align with the mission of UCR and the vision of the Business & Administrative (BAS) unit. Steps to Prepare & Conduct an Effective Performance Appraisal Step 1: Gather Relevant Documentation Step 2: Set Performance Expectations Step 3: Provide Feedback on Previous Goals & Set New Goals Step 4: Provide Constructive Feedback Performance appraisal Form Current job description Employee s self-appraisal Notes on the employee s performance yours and others Ensure rating aligns with comments (see our Performance Factors & Campuswide Standards Guidelines) Comments should support the relevant performance factor rating Provide feedback on previous performance goals Identify new development (growth), innovation and/or improvement (correct performance) goals Ensure each goal is a Specific, Measurable, Attainable, Relevant & Trackable (SMART) goal Ensure goals are linked to UCR mission & BAS strategy Convey a positive intent State issues in behavioral (what you have observed) terms Describe the impact of the behavior Ask for feedback Agree on solutions