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Business & Administrative Services (BAS)

Supervisor’s Guide to Performance Appraisals

June 2015

Table of Contents

Performance Appraisal “How to” User Guide

Performance Appraisal Timeline


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

June 2015

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 1 | Page

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 Self-appraisals

o Performance Appraisals

o 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


“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

http://hr.ucr.edu/docs/performance/supervisorsguide.pdf

http://hr.ucr.edu/docs/performance/performance_self-appraisal_form.pdf

http://hr.ucr.edu/docs/performance/individual_development_plan.pdf

http://hr.ucr.edu/supervisor/performance.html


June 2015 2 | Page

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

http://hr.ucr.edu/docs/performance/performance_self-appraisal_form.pdf



/docs/performance/performance_management_certification_fy15_16.docx


June 2015

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 ........................................................................... 10

Conducting the Performance Appraisal Meeting ........................................... 11

Setting the Tone ........................................................................................ 11

Structure of the Meeting ............................................................................ 11

Performance Management Frequently Asked Questions ............................. 13

Suggested Readings ..................................................................................... 15

1

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.

2

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.

3

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

4

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

5

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.

6

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 co-supervisor 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.

7

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) Evaluative (Fuzzy)

Observable Judgments

Measurable Assumptions

Accessible to the senses Interpretations

Actionable Non-actionable

Examples:

Fuzzy: This was not your best work.

Specific: 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: You do a good job running meetings.

Specific: 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.

8

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

http://hr.ucr.edu/docs/performance/performance_self-appraisal_form.doc

http://hr.ucr.edu/docs/performance/performance_self-appraisal_form_narrative_option.doc

http://hr.ucr.edu/docs/performance/performance_appraisal_form.doc

http://hr.ucr.edu/docs/performance/performance_appraisal_form_narrative_option.doc

http://hr.ucr.edu/docs/performance/performance_appraisal_form_update.doc

http://hr.ucr.edu/docs/performance/perfmgmtsuppperfinfoquestionnaire.doc

http://hr.ucr.edu/docs/performance/individual_development_plan.doc

9

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

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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/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

11

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.

To discuss the employee’s performance over the past year, the job expectations and the organization’s expectations.

2. Explain the process of the meeting.

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 self-assessment.

b. Focus the employee on specific behaviors, actions and results related to his/her performance.

12

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.

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.

7. Receive feedback and suggestions from the employee.

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.

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.

11. Allow the employee to make written comments on the appraisal. Insure they receive a copy of the completed appraisal.

13

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

14

supervisor should not delay the performance appraisal if the self-appraisal 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.

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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 1984.

The Business of Listening by Diane Bone. Published by Crisp Publications of Los Altos, CA in 1988.

“Choosing Performance Management: A Holistic Approach,” CUPA Journal, Summer 1995, v.46, no.2, pp.13 -18 by Rogers Davis, Assistant Vice Chancellor, Human Resources, UCSD.

Coaching and Counseling by Marianne Minor. Published by Crisp Publications of Los Altos, CA in 1989.

The Empowered Manager by Peter Block. Published by Jossey-Bass Publishers in San Francisco in 1987.

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 1999.

Giving and Receiving Criticism by Patti Hathaway. Published by Crisp Publications of Los Altos, CA in 1990.

Masterful Coaching by Robert Hargrove. Published by Jossey-Bass/Pfeiffer of San Francisco in 2002.

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 1993.

Measurement of Work Performance: Methods, Theory and Application by Frank J. Landy and James L. Farr. Published by Academic Press of New York in 1983.

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 2002.

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 1989.

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

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?


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


Performance Expectation (how would you know the function is being done well or the result is satisfactory?)


2. Function/Result




3. Function/Result




Performance Factors & Behavior Indicators

June 2015

June 2015

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

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

Applies background, technical knowledge, Demonstrates technical competences, job knowledge and education, and prior job experiences to current ability to add value beyond the core job function.

and new job situations.

Learns quickly. Continually strives to upgrade the depth and breadth of technical and professional skills.

Makes time for appropriate training Makes time for appropriate training, keeps current on

tools, technology, and information needed to meet job

performance and challenges.

Shares knowledge with others to enhance Shares knowledge and supports peers, staff, and others

performance. to increase skills, foster improvement and enhances

outcomes.

Diversity and Inclusion

Promotes and sustains a community that Advocates for the UC Riverside Principles of

acknowledges and celebrates differences. Community in all interactions.

Creates opportunities for inclusion in a variety Designs and advocates for inclusive practices in all

of settings. settings.

Shows respect for people and their differences. Advocates for deep understanding and respect for the

diversity of cultures, values, perspectives, and beliefs.

Works to understand the perspectives of others Works to understand the perspectives of others and

and demonstrates empathy. encourages them to provide their perspectives.

Works to build mutual respect, fairness, and Models and promotes mutual respect, fairness, and equity. equity to foster a sense of belonging.

Innovation and Change Management

Ability to adapt and use alternative techniques to Uses creative techniques and skills to design and

achieve organizational goals. develop options that improve how the organization

operates.

Comprehends connections within complex Encourages others to appreciate connections within

issues. complex issues.

Uses sound decisions to align outcome with Uses knowledge and experience to analyze issues and

organizational goals. factors which influence or constrain organizational

priorities, goals, and results.

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June 2015

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.



Understand the “big picture” and vision of Champions the organization’s vision.

the organization.

Aligns priorities with goals. Establishes priorities and ensures their alignment with goals.

Seeks input from a variety of Seeks input from a variety of constituencies and uses the feedback constituencies. to redirect efforts as needed.

Considers alternative solutions. Seeks, evaluates, and implements alternative solutions.

Comprehends connections within complex Encourages others to appreciate connections within complex issues. issues.

Implements change. Manages change.

Organizes projects and associated time and Oversees project management and implements strategies. priorities.

Ability to adapt and use alternative Uses creative techniques and skills to design and develop options techniques to achieve organizational goals. that improve how the organization operates.

Result Orientation and Execution

Measures outcomes. Establishes methodology for measuring outcomes; communicates

results.

Resource Management

Manages budgets. Oversees budgets.

Job Mastery and Continuous Learning

Learns quickly. Continually strives to upgrade the depth and breadth of technical

and professional skills.

Makes time for appropriate training. Makes time for appropriate training, keeps current on tools,

technology, and information needed to meet job performance and

challenges.

Shares knowledge with others to enhance Shares knowledge and supports peers, staff, and others to increase

performance. skills, foster improvement and enhances outcomes.


Promotes and sustains a community that Advocates for the UC Riverside Principles of Community in all acknowledges and celebrates differences. interactions.

Creates opportunities for inclusion in a Designs and advocates for inclusive practices in all settings.

variety of settings.

Shows respect for people and their Advocates for deep understanding and respect for the diversity of

differences. cultures, values, perspectives, and beliefs.

Works to understand the perspectives of Works to understand the perspectives of others and encourages others and demonstrates empathy. them to provide their perspectives.

Works to build mutual respect, fairness, Models and promotes mutual respect, fairness, and equity to foster

and equity. a sense of belonging.

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June 2015

Quality of Work

Manner in which the employee completes job assignments including accuracy, responsiveness, follow-through, judgment, decision making, reliability, and compliance assurance.


Resource Management

Uses discretion and sound judgment. Models the use of discretion and sound judgment.


Focuses on work quality. Develops relationships with clients, stakeholders, and colleagues and

applies emerging ideas, innovations and new technologies to ensure

high quality results.

Sets and meets quality improvement Uses benchmarking and reviewing best practices to set and meet

targets. quality improvement targets.

Strives for efficient, effective, high Takes initiative and evaluates trends to improve efficiency and

quality performance. effectiveness resulting in high quality performance in self and in the

organization.

Responds to difficult situations and Displays resiliency and takes proactive measures to make takes initiative to make improvements. improvements.

Develops solutions to overcome Leverages personal and organizational resources to creatively develop obstacles. solutions, overcome obstacles, resolve conflicts among goals to

achieve high quality outcomes.

Uses effective organizational skills to Uses critical thinking to analyze issues systematically by planning,

accomplish goals and objectives. prioritizing, and organizing work while anticipating and adjusting to

changes.

Sets measurable outcomes to evaluate Develops and implements work plans with actionable components and

the quality of results. measurable outcomes.

Understand factors that may influence Anticipates and identifies overriding organizational factors which

decision making. influence or constrain direction, decision-making, and organizational

priorities.

Completes assignments. Work is consistently without error.


Ability to adapt and use alternative Uses creative techniques and skills to design and develop options that

techniques to achieve organizational improve how the organization operates.

goals.

Employee Engagement

Completes tasks and assignments and Invites input from others and shares ownership and recognition.

seeks feedback.

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June 2015

Quantity of Work

Employee's success in producing the required amount of work including priority setting, productivity, and timelines.



Strives for efficient, effective, high Takes initiative and evaluates trends to improve efficiency and quality performance. effectiveness resulting in high quality performance in self and in the

organization.

Delivers results by deadlines. Manages timeframes and deadlines.

Responds to difficult situations and Displays resiliency and takes proactive measures to make takes initiative to make improvements.

improvements.

Develops solutions to overcome Leverages personal and organizational resources to creatively develop

obstacles. solutions, overcome obstacles, resolve conflicts among goals to

achieve high quality outcomes.

Uses effective organizational skills Uses critical thinking to analyze issues systematically by planning, to

accomplish goals and objectives. prioritizing, and organizing work while anticipating and adjusting to

changes.

Sets measurable outcomes to Develops and implements work plans with actionable components evaluate the quality of results. and measurable outcomes.

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June 2015

Communication Skills

Effectiveness of the employee in transmitting information including confidentiality, facilitation/participation in sharing in formation, and oral and written expression.


Communication Receives information to seek and understand Actively seeks perspectives from others to ensure

differing perspectives. inclusiveness and understanding.

Creates clear and concise written communication. Creates impactful written communication; improves

others’ writing through editing and feedback process.

Tailors and presents information to diverse audience Tailors and delivers high-level presentations to diverse

using a variety of communication delivery methods audiences using a variety of communication delivery

(e.g., written, electronic, oral, interpersonal). methods (e.g., written, electronic, oral, interpersonal).

Clarifies project/task and goals as necessary. Uses effective communication techniques such as active listening and feedback to clarify project/task and goals.

Keeps others informed in a timely manner. Communicates information effectively with other

members of the organization to ensure effective progress

of project plans.

Remains respectful when in conflict with others. Uses appropriate conflict resolution techniques when

necessary.


Shows respect for people and their differences. Advocates for deep understanding and respect for the diversity of cultures, values, perspectives, and beliefs.

Works to build mutual respect, fairness, and equity. Models and promotes mutual respect, fairness, and equity to foster a sense of belonging.

Uses negotiation and mediation skills. Facilitates management of differences by addressing

them openly and encouraging mutually beneficial

resolutions.

Has the ability to respond to diversity-related Promotes and facilitates an environment that encourages

conflict or concerns in a way that lessens tension communication to resolve diversity-related conflict and

and furthers communication. to lessen tension.

Proactively addresses bias, prejudice, or Proactively addresses bias, prejudice, or discrimination discrimination. and promotes an environment that celebrates and values

individual differences.

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June 2015

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.


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.

Uses interpersonal skills to build Models interpersonal communication that invites participation

cooperative relationships. and future dialogue.

Remains respectful when in conflict with Uses appropriate conflict resolution techniques when others. necessary.

Uses negotiation and mediation skills. Facilitates management of differences by addressing them openly and encouraging mutually beneficial resolutions.

Is polite. Demonstrates emotional control and professionalism when

interacting with others.

Teamwork and Collaboration

Is sensitive to other people's feelings. Takes actions that demonstrate consideration for the feelings and needs of others.

Addresses conflict. Manages and controls emotions and behavior in the face of

interpersonal conflict.


Demonstrates respect and empathy for Is aware of own biases, style preferences, and cultural lenses.

others.

Is flexible to accept others’ opinions. Solicits ideas and learns from others whose experiences and

opinions are different from their own.

Works to understand the perspectives of Works to understand the perspectives of others and

others and demonstrates empathy. encourages them to provide their perspectives.

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June 2015

Supervision

Provides oversight, direction, recognition and development opportunities, and addresses performance problems.


People Management

Sets goals and objectives. Sets goals and objectives with clear outlined expectations and measures of success.

Promotes diversity accountability through the Assesses subordinate’s readiness and skill in regards to

performance management system. work diversity and job assignment; provides feedback for

improvements.

Understands each employee in terms of Understands each employee knowledge, skills, abilities,

technical competence, motivation, and and work style and adjusts supervisory style to individuals’

supervision needed. needs.

Monitors and assesses work performance. Coaches to maximize achievement of performance

expectations.

Delegates tasks, sets performance expectations Delegates assigned tasks fairly and in alignment with

and supervises work of others. operational goals.

Leads other organizational members toward Leads and motivates people by modeling interpersonal

achieving organizational goals. effectiveness, communication, trust, advocacy and political

acumen.

Works toward achieving the mission of the Inspires and supports others to achieve the mission of the

university. University.

Recognizes other’s contribution. Recognizes and rewards people for their contribution and

participation.

Provides objective behavioral feedback. Models objective behavioral feedback.


Promotes and sustains a community that Advocates for the UC Riverside Principles of Community

acknowledges and celebrates differences. in all interactions.

Creates opportunities for inclusion in a variety Designs and advocates for inclusive practices in all settings.

of settings.

Shows respect for people and their differences. Advocates for deep understanding and respect for the

diversity of cultures, values, perspectives, and beliefs.

Works to understand the perspectives of others Works to understand the perspectives of others and

and demonstrates empathy. encourages them to provide their perspectives.

Works to build mutual respect, fairness, and Models and promotes mutual respect, fairness, and equity equity. to foster a sense of belonging.

Understands and values individual differences. Advocates for understanding the values and benefits of

diversity.

Creates a comfortable work environment that Creates a comfortable work environment that is free of

is free of harassment. harassment and provide opportunities to report harassment.


Measures outcomes. Establishes methodology for measuring outcomes;

communicates results.

Resource Management

Uses discretion and sound judgment. Models the use of discretion and sound judgment.

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June 2015

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).


People Management

Sets goals and objectives. Sets goals and objectives with clear outlined expectations and

measures of success.

Delegates tasks, sets performance expectations Delegates assigned tasks in alignment with operational goals.

and supervises work of others.

Monitors and assesses work performance. Coaches to maximize achievement of performance expectations.

Leads other organizational members toward Leads and motivates people by modeling interpersonal

achieving organizational goals. effectiveness, communication, trust, advocacy and political

acumen.

Recruits, selects, and works to retain Facilitates the recruitment, selection, and retention of

employees. employees.

Creates opportunity for employee development. Champions employee development for career growth and

mobility.

Treats all employees fairly. Promotes equal opportunities for all employees regardless of

their individual differences.

Values workplace diversity. Workplace diversity is referred to and cited at meetings.

Attempts to create a satisfying work Assesses the climate of the organization to determine the degree

environment for everyone. to which individuals and members of groups perceive they are

valued, rewarded, and have opportunities for growth.


Uses sound decisions to align outcome with Uses knowledge and experience to analyze issues and factors

organizational goals. which influence or constrain organizational priorities, goals, and

results.

Implements change. Manages change.

Recognizes the impact of decisions on Anticipates and seeks an understanding of the impact and

organizational outcomes. implications of decisions on planned outcome or results.

Resolves conflicts among goals and sets Resolves conflicting goals and priorities using formal

priorities. organizational knowledge and informal network relationships to

accomplish objectives.

Ability to adapt and use alternative techniques Uses creative techniques and skills to design and develop

to achieve organizational goals. options that improve how the organization operates.


Creates a comfortable work environment that is Complaints such as harassment and discrimination are addressed

free of harassment and discrimination. promptly and fairly in accordance with established guidelines.

Promotes and sustains a community that Advocates for the UC Riverside Principles of Community in all

acknowledges and celebrates differences. interactions.

Creates opportunities for inclusion in a variety Designs and advocates for inclusive practices in all settings.

of settings.

Shows respect for people and their differences Provides training and educational opportunities regarding non-

harassment policies and respectful work behavior.

Teamwork and Collaboration

Promotes respectful behavior. Uses self-assessment and feedback from staff and others to

insure that respectful behavior is being exhibited.

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June 2015 1 | P a g e

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 2015 2 | P a g e

− 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.

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

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.

Overall Performance Rating

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

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.

General Completeness of Feedback

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.

https://ode.hr.gwu.edu/individual-performance

PerformanceManagementTraining

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 performance-related 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.

In-Person Training• Performance Management I – The UCR Performance Management Process

• Performance Management II – Providing Constructive Feedback

• Performance Leader Certificate Program – Advanced Training

Online viaUC Learning Center


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.

Rev. 07/30/2012 p. 1

Performance Appraisal Form

EMPLOYEE INFORMATION

Name: Title:

Dept.: 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 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.

PERFORMANCE RATING

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. 05/02/2014 p. 2

Rating Factors


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. 3

Rating Factors


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. 4

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. 05/16/2012 p. 1

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. 2

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. 1

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

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:


Rev. 05/16/2012


Long Range – Helpful for achieving career goals (3 years)

Goal:


Employee Supervisor

Signature: Date: Signature: Date:

Preparing & Conducting Effective Performance AppraisalsThe UCR performance management program consists of ongoing communication between a supervisor and anemployee 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, andagreeing 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.

Step 1: Gather Relevant Documentation

• Performance appraisal Form• Current job description• Employee’s self-appraisal• Notes on the employee’s performance – yours and others

Step 2: Set PerformanceExpectations

Steps to Prepare & Conduct an Effective Performance Appraisal

• Ensure rating aligns with comments (see our Performance Factors & Campuswide Standards Guidelines)

• Comments should support the relevant performance factor rating

Step 3: Provide Feedback on Previous Goals & Set New Goals

• 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

Step 4: Provide Constructive Feedback

• 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

Supervisor Reference Guide

http://hr.ucr.edu/docs/performance/performance_appraisal_factors_campuswide_standards.pdf

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