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Performance Appraisal Policy

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									CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000


Policy No. 5012: Employee Performance Appraisal
Date: August 16, 2002


1. PURPOSE

The purpose of this policy is to define performance appraisal practices in the Claremont University Consortium.


2. POLICY

1.0     SCOPE
        This policy applies to all regular full time and part time employees with 90-days continuous employment with Claremont
        University Consortium.

2.0     PURPOSE
        2.1    To periodically record essential information concerning the performance level and strengths and weaknesses of an
        employee in relation to career development, including potential for advancement, suitability for other jobs and training.

        2.2       To assist management in making thorough, objective and factual appraisals of the performance of employees under
        his/her supervision.

        2.3     To assist management in achieving maximum utilization of all human resources and to motivate each employee to
        seek ways to improve performance where needed, and to enhance overall employee relations.

3.0     SUPERVISORY RESPONSIBILITY
        It is the responsibility of supervision to insure that the performance of each staff employee is reviewed and recorded in
        accordance with the prescribed procedure, a minimum of one time per year.

4.0     RESPONSIBILITIES OF THE OFFICE OF HUMAN RESOURCES
        The Office of Human Resources will provide a systematic procedure to insure that a viable performance appraisal program is
        on going.
        The Office of Human Resources will monitor the performance appraisal procedure to insure consistency in application
        throughout the Consortium. The original copy of all completed appraisal forms will be submitted to the Office of Human
        Resources for career development, professional development/training and review purposes within five working days from the
        date of the completed appraisal.


3. PROCEDURE STATEMENT
1.0     INTRODUCTION
        The purpose of this procedure is to outline performance appraisal procedures and process to be followed in accordance with
        the Consortium Employee Performance Appraisal for Employee Development Policy.


2.0     SCOPE
        This procedure applies to all regular full time and part time employees with 90-days continuous employment with the
        Consortium.

                                                            Page 1 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000



3.0   PURPOSE
      To periodically record essential information concerning the performance level and strengths and weaknesses of an employee
      in relation to career development, including potential for advancement, suitability for other jobs and training


4.0   PERFORMANCE APPRAISAL FREQUENCY AND REPORTING
      Supervision will meet with and formally review the performance of each regular employee in coordination, and prior to, the
      new budget year, annually.

      4.1      A performance appraisal report will be completed for all new employees by management at the conclusion of the
      ninety-day introductory period.

      4.2     Performance appraisal reports completed at the conclusion of the introductory period for both exempt and non-
      exempt staff are to be indicated by checking the introduction block on the front page of the report.

      4.3      “Special” reviews may occur at the discretion of the supervisor to review outstanding or unsatisfactory
      performance. These are to be indicated by checking the block designated as “Special” and any related and appropriate
      supporting comments in the “Comments” section in “Section A” of the appraisal instrument. Additional blank blocks are
      available to review other areas in the performance factors section. Care must be given to areas selected.


5.0   PREPARATION AND DISPOSITION OF THE EMPLOYEE APPRAISAL REPORT
      All reports will be prepared by the employee’s immediate supervisor to insure an accurate evaluation of the employee

      5.1    Each report will be reviewed by the appraiser’s immediate supervisor prior to any discussion with the affected
      employee. Differences of opinion on the employee’s evaluation should be discussed and resolved if possible.

      5.2     The formal appraisal interview discussion is not to occur with the affected employee until the director, or his /her
              designee has reviewed the completed report.

      5.3     In addition to rating several individual areas of performance, the supervisor must assign an overall numerical
      performance rating of the performance factors, which reflect the Consortium’s core values.

      5.4      The appraising supervisor shall complete sections A through J on the Non-Exempt Form, and sections A through H
      on the Exempt Form, outlining major professional strengths, improvement areas, promotability assessment and progress
      against actual Operational Plan achievement. The supervisor shall also explore the employee’s interests by providing the
      employee in consultation with the supervisor, the opportunity to complete Section G on the Exempt and Non-Exempt Forms.

      5.5      Following all reviews and signatures, the completed appraisal form will become a permanent part of the employee’s
      personnel file. For career professional development purposes and Human Resources Planning and review purposes, the
      completed original appraisal instrument will be submitted to the Office of Human Resources within five (5) working days
      from the date of completing the appraisal instrument.




                                                         Page 2 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

6.0   GUIDELINES FOR PREPARING FOR THE PERFORMANCE APPRAISAL INTERVIEW
      6.1       All sections in the appraisal instrument have a specific employee developmental purpose and must be completed in
      detail.

      6.2      Establish a date that is acceptable to the employee and that will permit adequate and uninterrupted time for
      discussion.

      6.3     Inform the employee well in advance and suggest that he/she prepare for the interview with questions on topics
      which he/she wishes to have discussed, with a focus on the employee’s career objectives. Section G is designed to be
      completed in a constructive coaching manner, with the employee, by the supervisor.

      6.4     Provide careful objective thought on the individual’s performance for the period being evaluated-- NOT previous
      performance, future predictions, or areas not related to job content.

      6.5      Place special emphasis on the exempt incumbent’s current performance in meeting his/her Annual Operational Plan
      objectives of the existing fiscal year in Section H.

      6.6       Encourage open and free discussion during the appraisal interview to maximize beneficial results of the appraisal.

7.0   PERFORMANCE APPRAISAL RATING DEFINITIONS
      Under the Claremont University Consortium’s Employee Appraisal Program, five levels of performance are used:

      1.        OUTSTANDING: Consistently exceeds all requirements of the job. Outstanding performance is clearly obvious
                to all. Unique, exceptional accomplishments that are obviously very far above what is required and which relatively
                few employees would be expected to achieve.

      2.        ABOVE AVERAGE: Accomplishment clearly and consistently above what is required. This level is usually
                achieved only by highly competent, seasoned incumbents.

      3.        SATISFACTORY:         Performs job well within position essential requirements and supervisor’s requirements.
                Satisfactory performance that fulfills all job requirements. Most qualified incumbents should be able to attain this
                level.

      4.        MARGINAL: Does not meet the minimum expectations of the job on a consistent basis. The incumbent should
                improve performance and move up in the range of satisfactory performance or out of the position in a relatively
                short period of time. At this level there is an obvious need for improvement.

      5.        UNSATISFACTORY:          Performs job below expectations of supervisor and does not fulfill minimum job
                requirements. Incumbent should achieve at least marginal level of performance immediately or be moved out of the
                position.


8.0   PERFORMANCE FACTORS DEFINED
      JOB KNOWLEDGE - The understanding of the complete scope and related functions of the job. Knowledge of one’s
      specialized and technical field of work.
      QUALITY OF WORK PERFORMED - The excellence of the employee’s performance; the number of errors made;
      neatness of work produced; thoroughness and accuracy.
      PLANNING AND EXECUTION OF ASSIGNMENTS - Forecasting, setting objectives, establishing strategies and course
      of action, budgeting, scheduling and outlining procedures. The ability to organize and plan work to obtain maximum desired
      results with minimum effort.


                                                          Page 3 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

     USE OF TIME AND RESOURCES - Self-motivated. Able to work independently utilizing resources available to
     maximum. Meets goals and objectives within prescribed time frame.
     INTERPERSONAL RELATIONS - Effectiveness in relating to others at all organizational levels. Sensitive to the needs of
     others, and focuses on the team concept.
     FLEXIBILITY AND ADAPTABILITY - The ability to grasp and adjust to new ideas, procedures and problem situations.

     ORAL AND WRITTEN COMMUNICATION - Articulate presentation. Clear, concise, written communications.
     SAFETY PRACTICES - Promotes and upholds the Consortium’s safety goals and objectives. Initiates and works for
     realistic goals.
     DEVELOPMENT OF SUBORDINATES - Evaluates performance and potential, provides training and development,
     coaching, counseling and resolving human resource problems.
     ENERGY AND DRIVE - Self-motivated. Seeks greater responsibility. Able to work independently.
     CREATIVITY AND INNOVATION - Ability to take an imaginative and innovative approach and develop and implement
     new methods and ideas.
     JUDGEMENT AND ANALYTICAL ABILITY - The ability to think through a problem, secure and evaluate data and
     decide on a course of action.
     DECISION MAKING - Evaluating and selecting among alternative courses of action quickly and accurately and carrying
     through.
     LEADERSHIP AND ABILITY TO INSPIRE - The ability to inspire others by conveying ideas and plans and influencing
     them to greater determination and unity of purpose.
     DIVERSITY - Supports and implements the Consortium’s diversity efforts and equal employment opportunity commitment.
     QUANTITY - Produces large volume of measurable work out-put.
     COOPERATION - Works together with other employees for common goals and purpose.
     RELIABILITY - Sustains a positive level of carrying out expected functions.
     PUNCTUALITY - Exhibits a carefully observant attention to being on time.
     VALUES CUSTOMER SERVICE - Places a high level of emphasis on ensuring all client needs are met in a timely and high
     quality manner.




                                                      Page 4 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000




                           PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT
                                           EXEMPT EMPLOYEE

NAME

JOB TITLE

DEPARTMENT

FROM:
                                           TO:
(Dates of Review Period)


    Introductory Review                   Special                  Annual




                                              Personal
                                                And
                                             Confidential




                                      CLAREMONT UNIVERSITY CONSORTIUM

                                                    Page 5 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

                                             PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT
EMPLOYEE NAME                                                          DEPARTMENT LOCATION

JOB TITLE                                                              SUB UNIT OF DEPARTMENT

GRADE                                                                  CUC DEPARTMENT

EMPLOYMENT DATE                                                        TIME IN PRESENT GRADE

                                         Place a  in the appropriate box to indicate performance for the time period being appraised.
A. PERFORMANCE             UNSATISFACTORY            MARGINAL           SATISFACTORY             ABOVE                                   OUTSTANDING
     FACTORS                      5                     4                     3                 AVERAGE                                       1
                                                                                                   2
                             Does not meet the        Marginal               Meets the          Clearly and               Unique and exceptional accomplishments.
                           minimum requirements     performance.       requirements of the      consistently
                                of the job.          Sometimes          job in all respects.   above what is
                                                  acceptable but not                             required.
                                                     consistent.
1. Job Knowledge.
2. Quality of work
    Performed.
3. Planning and
execution
    of assignments.
4. Use of time and
    Resources.
5. Interpersonal
relations.
6. Flexibility and
    Adaptability.
7. Oral and written
    communication.
8. Safety Practices.
9. Development of
    Subordinates.
10. Energy and
drive.
11. Creativity and
     innovation.
12. Judgment and
     Analytical ability.
13. Decision-
making.
14. Values
Customer Service.
15. Diversity.
16. Leadership and
ability to inspire.
17. Punctuality.
OVERALL RATING                                                                                                 Overall Rating
OF JOB
PERFORMANCE
FACTORS.
COMMENTS: Supporting comments must be made on any rating of 1, 4 or 5. Appropriate clarification should be made on any rating as deemed
appropriate by the reviewing Supervisor or Director.



                                                                        B. MAJOR STRENGTHS



                                                                               Page 6 of 12
   CLAREMONT UNIVERSITY CONSORTIUM
   Policy and Procedure Manual
   Human Resources - 5000




                                 C. ACTION PLAN FOR AREAS NEEDING PERFORMANCE IMPROVEMENT




                            D. RESOURCES/ASSISTANCE NEEDED FOR PERFORMANCE IMPROVEMENT




     E. GOALS AND OBJECTIVES – Briefly outlined goals and objectives to be accomplished by employee during next appraisal period.




   F. SIGNATURES
   EMPLOYEE:                                                                                DATE:

   SUPERVISOR:                                                                              DATE:

   DIRECTOR:                                                                                DATE:

   HUMAN RESOURCES REVIEW:                                                                  DATE:

   CEO REVIEW, AS APPROPRIATE                                                               DATE:




                       G. EXPRESSED INTERESTS OF THE EMPLOYEE (To be completed by employee in consultation with supervisor).
1. Are you now in the type of work you prefer?            YES               NO


                                                            Page 7 of 12
      CLAREMONT UNIVERSITY CONSORTIUM
      Policy and Procedure Manual
      Human Resources - 5000

2. For what position do you feel qualified now?

3. Is there a specific position in the Consortium or The Colleges you are interested in?
   If so, please elaborate.

4. What are your future career objective?

      One – Two years?
      Three – Five years?



5. Rate your overall performance –          Unsatisfactory      Marginal         Satisfactory       Above average   Outstanding

6. Employee comments, as appropriate:



7. Supervisory comments, regarding employee’s self rating in section 5 and in meeting objectives.




           H. ANNUAL PLANNING EVALUATION (current fiscal year)
                            OBJECTIVES                    *T/0
                                                       ACTION TO BE TAKEN TO ACCOMPLISH OBJECTIVES
1.

2.

3.

4.

5.

6.

7.

8.

9

10.

* T = ON TARGET             0 = OFF TARGET




                                                               Page 8 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000




                           PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT

                                              NON- EXEMPT EMPLOYEE
NAME

JOB TITLE

DEPARTMENT

FROM:                                                 TO:

(Dates of Review Period)




    Introductory Review             Special                       Annual




                                                  Personal
                                                    And
                                                 Confidential




                                     CLAREMONT UNIVERSITY CONSORTIUM

                                                   Page 9 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

                                          PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT
EMPLOYEE NAME                                          DEPARTMENT LOCATION

JOB TITLE                                                             SUB UNIT OF DEPARTMENT

GRADE                                                                 CUC DEPARTMENT

EMPLOYMENT DATE                                                       TIME IN PRESENT GRADE

                            Place a  in the appropriate box to indicate performance for the time period being appraised.
A. PERFORMANCE            UNSATISFACTORY            MARGINAL           SATISFACTORY             ABOVE                          OUTSTANDING
     FACTORS                     5                     4                     3                 AVERAGE                              1
                                                                                                  2
                            Does not meet the        Marginal               Meets the          Clearly and          Unique and exceptional accomplishments.
                          minimum requirements     performance.       requirements of the      consistently
                               of the job.          Sometimes          job in all respects.   above what is
                                                 acceptable but not                             required.
                                                    consistent.
1. Job Knowledge
2. Quality of work
   Performed.
3. Quantity of work
4. Use of time and
    Resources.
5. Interpersonal
relations.
6. Flexibility and
    Adaptability.
7. Cooperation.
8. Safety Practices.
9. Reliability.
10. Energy and
drive.
11. Punctuality.
12. Judgment and
    Analytical ability.
13. Decision-
making.
14. Values
Customer Service.
15. Diversity.
16. Oral and written
    communication.
OVERALL RATING                                                                                                Overall Rating
OF JOB
PERFORMANCE
FACTORS.
COMMENTS: Supporting comments must be made on any rating of 1, 4 or 5. Appropriate clarification should be made on any rating as deemed
appropriate by the reviewing Supervisor or Director.




                                                                       B. MAJOR STRENGTHS

                                                                             Page 10 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000




                              C. ACTION PLAN FOR AREAS NEEDING PERFORMANCE IMPROVEMENT




                        D. RESOURCES/ASSISTANCE NEEDED FOR PERFORMANCE IMPROVEMENT




  E. GOALS AND OBJECTIVES – Briefly outlined goals and objectives to be accomplished by employee during next appraisal period.




F. SIGNATURES
EMPLOYEE:                                                                                DATE:

SUPERVISOR:                                                                              DATE:

DIRECTOR:                                                                                DATE:

HUMAN RESOURCES REVIEW:                                                                  DATE:

CEO REVIEW, AS APPROPRIATE                                                               DATE:




            G. EXPRESSED INTERESTS OF THE EMPLOYEE (To be completed by employee in consultation with supervisor).
1. Are you now in the type of work you prefer?            YES                 NO

2. For what position do you feel qualified now?

                                                         Page 11 of 12
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000


3. Is there a specific position in the Consortium or The Colleges you are interested in?
   If so, please elaborate.

4. What are your future career objective?

      One – Two years?
      Three – Five years?



5. Rate your overall performance –      Unsatisfactory      Marginal        Satisfactory    Above average   Outstanding

6. Employee comments, as appropriate



7. Supervisory comments, regarding employee’s self rating in section 5 and in meeting objectives.




           H. ANNUAL PLANNING EVALUATION (current fiscal year)
                 OBJECTIVES                     *T/0 ACTION TO BE TAKEN TO ACCOMPLISH OBJECTIVES
1.

2.

3.

4.

5.

6.

7.

8.

9

10.

* T = ON TARGET             0 = OFF TARGET




                                                            Page 12 of 12

								
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