Classified Staff and Service Professional Performance Appraisal

Classified Staff and Service Professional Performance Appraisal EMPLOYEE INFORMATION Employee Name:Dana Jones NAU ID (not SSN): 1234567 Date: 7/30/08 Title: Fiscal Operations Manager Department: Graduate College Supervisor: Robyn Wright Period Rated From: 1/25/2007 To: 6/30/2008 Check one: Self-assessment Supervisor s assessment Check one: Annual assessment Probationary assessment (CLS only) Other PART I: JOB FUNCTIONS AND STANDARDS Describe the job functions / duties for this position for the appraisal period. For each function, describe the expectation or standard of performance. Indicate any changes since the last appraisal. Function: Provide training and oversight of lower level business managers and accounting staff. Standard: Determine training and leadership needs of three financial staff members (one business manager, one accountant and one hr specialist). Complete training, monitor performance and provide constructive feedback. Deliver performance appraisals in a timely manner incorporating use of self-appraisals. Define meaningful goals for staff and provide the necessary support to achieve them. Function: Develop strategic financial planning reports and recommendations. Standard: Determine appropriate format for reports that meet audience requirements. Adjust current reports as necessary to better meet changing requirements. Meet deadlines and explain any anomalies to report audience. Make recommendations in support of college and university strategic plans. Function: Represent the college within the university community on financial or operational matters. Standard: Attend all Business Managers meetings (once per month) as college representative. Develop strong relationships with internal and external constituents that rely on college financial reports (University Budget Office, ABOR, Office of Grants and Contracts, etc.). Function: Prepare monthly financial reports Standard: Produce complex reports and budget models (i.e. cost per student). Meet deadlines and maintain accuracy and timeliness of data. Function: Monitor financial accounts, redistributing resources when appropriate. Standard: Identify limited resources and make recommendations for reallocation as appropriate. Function: Review permanent and temporary staffing plans for future fiscal years for appropriateness and accuracy. 1

Standard: Serve as key advisor on internal Workforce Planning committee. Analyze requests and make recommendations for approval or denial based on fiscal feasibility. Function: Develop procedures and controls related to fiscal issues. Standard: Annually review and adjust procedures to ensure compliance with university policy. Work with internal auditors to identify and correct any deficiencies. Significant improvement Meets expectations for Exceeds expectations for needed in one or more job most/all job functions. most/all job functions. functions. Describe any particular areas of the job functions where employee has excelled, could further develop, and/or needs significant improvement. Dana has worked hard and made significant improvement in the areas of staff management. He has also made good progress in improving compliance and developing relationships with key constituents. His attention to detail on monitoring accounts with limited resources and making recommendations for reallocation has been excellent. Dana can continue to improve in identifying and providing the training and development that his staff members need to work in more self-directed ways. PART II: GOALS Goals can be projects to make progress on or complete, job functions or behaviors to be improved, and/or skills and practices that could be further developed. All goals should be consistent with department and university goals. Please see HR home page (hr.nau.edu) > Department Resources > Performance Management > Goal Development for more information on setting goals. GOAL # 1 DESCRIPTION Employee and supervisor should establish goals at the beginning of the appraisal period. Include expected outcomes for the appraisal period and indicate measures, timelines, and resources. Complete college-wide purchasing card and travel audit for FY08. Identify deficiencies and define changes to procedures to correct. - Define process for audit by 9/30/2007. Include all necessary resources for completion. Share detailed timeline including any milestones and role of internal audit in process. - Completion of audit by 2/28/2008. (May be adjusted as necessary from part one). - Present findings and prepare plan for correction of any deficiencies by 4/30/2008. - Final adjustments to procedures to correct any deficiencies or improve processes by 6/30/2008. 2

PROGRESS REPORT Discuss and describe progress as many times as needed throughout the appraisal period. Note the date of entry. 8/10/2007 - Dana has met with internal audit. Initial reaction is that our timeline is appropriate and Dana expects to meet initial deadlines. 9/15/2007 - Dana presented audit plan to me today. He also presented draft communication to present to all employees whose assistance will be needed to complete the audit. His plan and communication are clear and well thought out. He has identified three key personnel as necessary for completion as well as 2-3 students for records retrieval. I will discuss audit with key staff personally and authorize his hiring of the 2-3 student workers. 1/10/2008 - Dana has stalled on the audit. Due to turnover of key staff, he has been unable to meet some of the milestones lined up in the audit plan. He estimates that this delay will set deadlines back 2-4 weeks from original estimates. 3/10/2008 - Now that staffing issues have been resolved, Dana is back on track and audit is wrapping up. 5/3/2008 - Dana provided final report and change recommendations. Deficiencies were minor in nature and correction has already taken place or will be incorporated in final process improvements. 6/25/2008 - Dana has produced the final procedures manual. It was well received by internal audit and included additional items that were not included in the initial audit. SUMMARY (complete at time of goal completion or at end of appraisal period) Did not achieve expected Achieved expected outcomes Exceeded expected outcomes for outcomes for this appraisal period. for this appraisal period. this appraisal period. Explain reason for rating. Dana exceeded my expectations by not only keeping deadlines in a stressful situation (loss of key personnel), but even incorporated items that were not a part of the initial audit. His attention to detail and work with other offices on campus showed his dedication to this project and its completion. Use one goal template per goal. Additional goal templates can be found at HR home page (hr.nau.edu) > Department Resources > Performance Management > Goal Templates. 3

PART II: GOALS Goals can be projects to make progress on or complete, job functions or behaviors to be improved, and/or skills and practices that could be further developed. All goals should be consistent with department and university goals. For more information on setting goals please see HR home page (hr.nau.edu) > Department Resources > Performance Management > Goal Templates. GOAL # 2 DESCRIPTION Employee and supervisor should establish goals at the beginning of the appraisal period. Include expected outcomes for the appraisal period and indicate measures, timelines, and resources. By June 30, 2008 Dana will show sustained improvement in supervisory skills so that: - Employees under his supervision are held accountable to meet deadlines consistently - There is a noticeable, sustained staff adherence to department dress code - Conflicts between employees are addressed immediately, reducing complaints about unresolved issues To help in accomplishing this goal, Dana will: - Attend the supervisor conference (brochure attached) in Phoenix August 13-15. Submit report of findings and results to me within one week of returning from the conference. - Utilize Chris Smith as a mentor by sharing supervisory issues and talking through resolutions. Dana should schedule and attend weekly meetings w/ Chris effective immediately. - Familiarize himself with personnel policies and dept procedures related to employee conduct by reading those materials and asking questions in our meetings. - Ask me for assistance before taking corrective measures with staff. PROGRESS REPORT Discuss and describe progress as many times as needed throughout the appraisal period. Note the date of entry. 8/13-15/2007 - Attended conference--met w/ me on 8/20 and discussed possible practices learned at conference relevant to current situation and plans for how to implement those practices 9/16/2007 - Dana is continuing to meet with Chris weekly and has utilized some of her suggestions for holding people accountable - resulting in more deadlines being met by employees. 10/15/2007 - Dana led a discussion to clarify expectations on professionalism (including dress code, deadlines, teamwork, etc.) in a staff meeting. He was able to facilitate open discussion with and between staff members, yet still make sure that everyone was clear about what's expected. 12/7/2008 - After hearing concerns from others about an angry exchange between two of his staff members in a meeting, Dana promptly addressed the concerns with both parties. 2/26/2008 - Dana approached me about discipline for an employee he has been working with to change inappropriate behaviors. Dana knew the policies/procedures to follow and he developed and issued a written warning. 6/24/2008 - Dana celebrated the completion of a major, long term project with pizza and some fun recognition for his staff. SUMMARY (complete at time of goal completion or at end of appraisal period) Did not achieve expected Achieved expected outcomes Exceeded expected outcomes for 4

outcomes for this appraisal period. for this appraisal period. this appraisal period. Explain reason for rating. Dana met the expected outcomes for this goal by applying sound supervisory practices with his staff. Dana has been diligent about evaluating possible resolution to issues and approaching me with the best solution. I've appreciated his willingness to learn from others and consult as needed. Use one goal template per goal. Additional goal templates can be found at HR home page (hr.nau.edu) > Department Resources > Performance Management > Goal Templates. 5

PART III: BEHAVIORS FOR SUCCESS Commitment to service Offers assistance, support and feedback to students, employees, and customers. Shows initiative, anticipates needs and takes appropriate action to meet needs. Projects a positive, consistent image that reflects institutional values. Shows an appropriate sense of urgency in completing work and addressing the needs of others. Promotes a student-centered approach to all work as it directly or indirectly impacts students. Commitment to forming and maintaining working relationships Is tactful, honest, and respectful in communications. Shows respect for individual differences (lifestyle, behavior, abilities, attitudes, values, and views). Demonstrates behaviors that embrace diversity. Is approachable and accessible; promotes cooperation. Deals maturely, discreetly, and directly with conflict. Commitment to the mission of the university and work unit Ensures own actions are consistent with the university s mission and work unit s mission. Assists others in solving problems and achieving common goals. Makes appropriate use of resources in problem solving. Supports student success and excellence in their educational experience; promotes educational access for all. Positive approach to change and improvements Demonstrates receptiveness to new ideas and approaches. Is flexible in methods of work completion. Shows a willingness to try new methods; takes advantage of learning opportunities. Offers constructive solutions for making effective changes. 6

Personal accountability for own work, words, and actions Operates with honesty and integrity. Completes work in a timely manner. Asks supervisor to clarify expectations when necessary. Exercises confidentiality in all aspects of work. Admits mistakes and attempts to learn from them. Seeks opportunities for professional growth. Solves problems by identifying issues and initiating solutions. Follows through on commitments. Complete this section only for those employees who supervise others: Fosters a respectful, effective, and trusting work environment Manages employee performance throughout the year and provides frequent feedback. Empowers others to make decisions and suggest changes. Addresses conflict and brings to a constructive conclusion. Accepts responsibility for mistakes and takes corrective action. Invites and accepts constructive feedback. Uses resources efficiently. Leads in a way that promotes a positive work environment. Describe any particular areas of the behaviors for success where employee has excelled, could further develop, and/or needs significant improvement. Dana's exceptional commitment to the mission of the college was demonstrated by his dedication and follow through on the purchasing card and travel audit. He is very aware of how he represents himself, our department, and the university to those around him. Although Dana is receptive to new ideas and approaches to processes, he can sometimes be inflexible on how work is completed by his team. He has also identified this as a weakness on his self-appraisal and wishes to dedicate more time to improving this in the upcoming year. PART IV: ADDITIONAL PERFORMANCE INFORMATION List accomplishments not already discussed in previous sections. Goals already accomplished from previous appraisal form (listed here during appraisal transition year) * Helped in the documentation of our criteria / parameters for projecting budget needs. 7

* Created an Intro to University Budgets training module for our area. Other contributions * Participated on the Service Professional Advisory Council. * Helped Internal Audit by sitting on hiring committee for one of their positions. List training and development opportunities participated in during this appraisal period, including the approximate amount of time spent on each item. List possible opportunities for next appraisal period. Supervisory conference - 14 hrs Improving Working Relationships - 4 hrs Teams: How to lead and when to follow - 4 hrs Also spent approximately 10 hrs with internal audit staff to better learn and understand internal controls and policies. In the coming year, he would like to attend some training on effective delegation. 8

OVERALL EMPLOYEE PERFORMANCE Considering information from all sections of the appraisal, the employee self appraisal and (if applicable) peer or customer input, select the best description of the employee s performance during this appraisal period. (Overall rating is optional on self appraisal.) Needs Improvement Achieves some goals and meets expectations for some job functions, but does not achieve all at a level consistent with experience or appropriate to the area s needs; AND/OR demonstrates some behaviors necessary for success, but may need significant improvements in others; AND/OR seeks to learn and grow, but achievements are not as expected. Good Performance Participates in setting goals and achieves expected outcomes; AND reliably meets or exceeds expectations for job functions; AND at a minimum, meets expectations in all behaviors necessary for success; AND continues to learn and grow in job, looking for new and more effective approaches and methods to enhance own skills. Exceptional Performance Participates in setting challenging goals and often exceeds expected outcomes; AND consistently performs at a level exceeding expectations for most or all job functions, including taking on responsibilities outside of basic job expectations; AND consistently exceeds behaviors necessary for success and acts as a role model for others. ATTENTION SUPERVISORS: Once the current appraisal is completed, new and continuing goals/expected outcomes, and the most updated list of job functions and standards should be discussed with the employee and entered into a new appraisal form for the next appraisal period. Robyn Wright, Associate Dean Supervisor Name and Title Jenna Wenzel, Dean Dean/Director/Department Head Name and Title Signature Date Signature Date It is recommended that the Dean/Director/Department head review this appraisal before providing it to the employee. Employee comments (optional): I wish to attach additional information. I do not wish to attach additional information. I understand that my signature indicates that I have seen and discussed this evaluation with my supervisor and received a copy. Employee Signature If an employee has a significant disagreement with part or all, of the performance appraisal, they have the right to ask for a change from the supervisor. If no change occurs, they have the right to request a review through the chain of command. For complete information on this procedure, please refer to the Right of Review policy (#5.02) in the NAU Personnel Policy Manual. Please note: There is a 15 day deadline for requesting a right of review. Date 9