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Performance Management Process

What is a Perfomance Appraisal?
As part of the overall Performance Management Program, the formal performance appraisal is a summary of the year-long communication between supervisor and employee. The appraisal normally occurs annually in March.

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Who is eligible?
A performance appraisal document should be prepared for each employee who has completed the new hire probationary period (i.e., exempt professional/administrative employees hired on or prior to December 1, and non-exempt technical, clerical, Dining service employees hired prior to February 1) and has a scheduled review date of June 1.

Recently Transferred Employees - Employees who transferred to anotherdepartment after January 1, should be reviewed by their previous supervisor. The completed appraisal document and a merit increase recommendation should then be forwarded to the employee's current supervisor.

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When is a Performance Appraisal done?
It should be completed during March and April.  Please see the Yearly Calendar for Implementing Performance Management in order to learn how the Performance Appraisal fits with the overall Performance Management Program.

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What procedures do I follow?
The supervisor and the employee should jointly decide the most effective method of completing and reviewing the appraisal forms. In some instances, the supervisor may first complete the form and then give it to the employee for completion; or each may complete a separate form to be compared and discussed during the appraisal session. Appraisal tips for the supervisor and Appraisal tips for the employee will assist you with preparing for a successful and productive appraisal discussion.

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What materials do I use?
Departments will use the standard Performance Appraisal Form.

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Appraisal Tips for the Supervisor
Prior to appraisal meeting discussion:

For the Supervisor:

  • How did you communicate the performance expectations of the job?
  • How did you support the employee's efforts in meeting the goals?
  • What documentation do you have on file to provide more acceptable and meaningful feedback -- both positive and negative?
  • What areas were done especially well? Why?
  • In what areas would you like to see improvement? Why?
  • How did you influence your employee in contributing to further the goals of your work group during this period?
  • How have you influenced your employee's effectiveness and job satisfaction?

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For Both the Supervisor and the Employee:

  • What are the major areas of responsibility for this position?
  • Which are most important and why?
  • Take a look at the role description. Is it updated and accurate?
  • Review the activity of the period in which the performance will be reviewed.
  • What are the performance expectations of the job?
  • What were the agreed-upon goals of the job? How were they measured?
  • Which competencies/performance attributes were agreed upon as areas of focus?
  • Review and agree upon the criteria to be used in the appraisal.
  • Arrange a mutually agreeable time and place to have the appraisal discussion. Be sure the location is conducive to private conversation
  • Be sure that each of you has copies of all the performance management forms to be used in the discussion.

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Appraisal Tips for the Employee
For the Employee:

  • In what areas of your job have you done especially well during the time period to be reviewed?
  • How did your contributions further the goals of your work group during this period?
  • What progress have you made as measured by the identified competencies/performance attributes?
  • Were the performance expectations clearly indicated to you by your supervisor?
  • Did you meet your performance expectations? If so, what supported you in this effort? If not, in what areas would you like to make improvements?
  • How has your supervisor influenced your effectiveness and job satisfaction?
  • What changes in this job, work procedures or interpersonal communication would you suggest to: improve your performance, increase the effectiveness of the position, and provide greater job satisfaction?

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For Both the Supervisor and the Employee:

  • What are the major areas of responsibility for this position?
  • Which are most important and why?
  • Take a look at the role description. Is it updated and accurate?
  • Review the activity of the period in which the performance will be reviewed.
  • What are the performance expectations of the job?
  • What were the agreed-upon goals of the job? How were they measured?
  • Review and agree upon the criteria to be used in the appraisal, e.g., identified competencies/performance attributes.
  • Arrange a mutually agreeable time and place to have the appraisal discussion. Be sure the location is conducive to private conversation
  • Be sure that each of you has copies of all the performance management forms to be used in the discussion.

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The focus of appraisal session
The focus of this session is a written appraisal of the employee's performance in relation to:

  • The performance factors applicable to all employees
  • Functional or technical performance attributes/competencies
  • The individual's Work Goals for the past year
  • The individual's Professional Development Goals for the past year

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How to conduct oneself during the appraisal session
During the Appraisal Meeting

  • Confirm that each of you have the same understanding of the purpose of the meeting.
  • Be candid.
  • Be honest.
  • Be positive.
  • Be constructive.
  • Listen and then give thoughtful responses.
  • Maintain your sense of self and sense of humor -you're speaking with the same person you work with every day!
  • Ask open-ended questions which will allow the other person to share his/her thoughts clearly and thoroughly.
  • If necessary, set aside additional time to continue the discussion.
  • Be sure to allow time for reflection and further comments. Use this discussion as the opening/continuation of fruitful dialogue.
  • Begin to formulate constructive ideas for the Work Goals and Professional Development Goals for the year ahead.

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Planning and conducting the appraisal session
The performance appraisal session should normally begin with a discussion and agreement on the performance attributes/competencies to be used to evaluate performance. Examples might include:

  • managerial/supervisory skills
  • decision making/problem solving
  • leadership skills
  • valuing diversity
  • teamwork
  • continuous learning

The supervisor and the employee should jointly decide the most effective method for completing and reviewing the appraisal forms. For example:

  • the supervisor may first complete the form and then give it to the employee for completion
  • the supervisor and employee may complete a separate form to be compared and discussed during the appraisal session

The attached "Appraisal Tips," to which you may want to periodically refer, summarizes the process.

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Concluding the performance appraisal
At the conclusion of the formal review, the appraisal form is signed by both the supervisor and employee. Then it is submitted for review to the department head and in turn to appropriate Vice President/Division Head.

The supervisor and employee should continue discussing and planning for the primary activities and support required for the employee to perform his/her work effectively in the review period ahead.

The supervisor and employee should see the Yearly Calendar for Implementing Performance Management in order to schedule future activities.

  • Appraisal forms are submitted to Human Resources for review and are included in the employee's personnel record.

N.B.: When the Vice President/Division Head submits an annual merit increment recommendation, the content of the employee's appraisal should be consistent with and directly reflect the increment recommendation. The processing of merit increases will be contingent on the receipt of performance appraisal documentation.

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