EMPLOYEE PERFORMANCE REVIEW GUIDELINES
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1 EMPLOYEE PERFORMANCE REVIEW GUIDELINES DEPARTMENT OF HUMAN RESOURCES SPRING 2009
2 Employee Performance Review Guidelines The performance review process helps individual employees and organizations throughout University of the Pacific to be successful and accomplish their goals. It encourages leaders and their employees to collaboratively set priorities for what needs to be accomplished and how things need to be done. This results in greater workplace effectiveness, efficiency, and engagement. Stage One: Set Expectations & Standards The employee and their supervisor should work together to write employee performance goals and objectives, discuss standards and expectations, and set professional growth and development objectives. Individual objectives should be aligned with those of the department, the school or administrative unit, and the University. Stage Two: Discuss Ongoing Progress Supervisors and employees should meet on a regular basis throughout the year to review the employee s progress toward their annual goals and objectives. Supervisors should give ongoing feedback and guidance to help employees accomplish their objectives and demonstrate University core competencies. If performance becomes unsatisfactory at any time, supervisors and employees should immediately explore the nature of the situation, the causes, the impact, and the result. Supervisors should give additional feedback and guidance to collaboratively help the employee create an action plan to get back on track to accomplish their goals and demonstrate core University competencies. If performance is not improved and sustained, corrective action may be necessary. Contact Human Resources when this type of situation is encountered. The University Human Resources Department can be a helpful resource for both employees and supervisors. Stage Three: Review Performance At the end of the performance review period (May/June) supervisors should complete the year-end rating sections of the Performance Review form. To enhance this process, supervisors can pro-actively do two things: 1. Prior to the formal review meeting, ask employees to first complete the results section of their Goals and Objectives section of the performance review form, and then have them self review the core competencies rating section of the form. 2. In an effort to collect a multi-dimensional, non-biased perspective of the employee s performance; request confidential feedback regarding the employee s performance from others they interface within the workplace. Page 2
3 When determining the year-end ratings, supervisors should consider the relative importance of all performance objectives, core competencies, and development objectives and weigh them accordingly. Supervisors and employees should then set aside dedicated time to meet and have a dialogue about the employee s performance for the year. At the end of the conversation the employee s performance review form should be completed thoroughly and accurately reflect the outcomes of the discussion. Both supervisors and employees should sign and date the form. Supervisors then send the original document to his/her superior for signature. The document is then finalized by the supervisor and shared with the employee. A copy should be given to the employee and the original sent to Human Resources. Pacific s Employee Performance Review Form: Recognizing and Objectively Rating Job Performance Factors and Core Competencies True success in the workplace depends both on what we accomplish and how we get things done. In the Pacific Employee Performance Review process, what we accomplish are the performance goals and objectives and how we accomplish things are by the core competency skill sets and behaviors. FORM: Goals and Objectives Well defined and written performance goals and objectives help to clarify the work results for which individuals are accountable. Supervisors and employees should work collaboratively to best identify realistic and relative goals and objectives. These goals can be drafted from a combination of the person s job description, the department s annual goals, the division or school s short and long term goals, and the Pacific Rising document. People need to see the link between their individual goals and the goals of the entire organization to which they belong. Performance objectives describe accomplishments, not activities. The goal should be to clearly define SMART performance objectives. The SMART model for writing effective goals and objectives is outlined here. S = Specific (Your goal should have its expected outcome clearly stated as explicitly and concisely as possible. This should answer the questions such as; for whom, for what etc.) M = Measurable (A measurable goal has an outcome that can be assessed either on a sliding scale (1-10), a percentage, or as a hit or miss, success or failure. A = Achievable (An achievable goal has an outcome that is realistic given your current situation, resources and time available. Goal achievement may be more of a stretch if the outcome is tough or you have a weak starting point. R = Relevant (A relevant goal should help you on your mission or your bigger objectives. They should be realistic and have relevance to the department/division goals, University goals, and your job specific goals for the year. T = Time-bound (A time bound goal includes realistic time frames, milestone check points, and final due date.) Goals and Objectives from Previous Year Form instructions: Please state the employee s goals from last year s performance review and evaluate the employee s progress. Include the SMART goals and objectives and the metrics measurement for each, indicate if the goal Page 3
4 has been completed Yes/No, and describe the results and outcomes from each completed goal. Goals and Objectives for Upcoming Year Following the discussion about the past year s goals and objectives, discuss the plans for the upcoming year. The process should be the same. Supervisors and employees should work collaboratively to identify SMART goals and objectives for the next year. FORM: Core Competencies Pacific has identified 13 job competencies. These Core Competencies are desired skills and behaviors that align with our University values and operational standards. It is the expectation that when we consistently demonstrate these behaviors we contribute to making the University an even better place to work, learn and live. Core Competencies Form instructions: Rate the employee s capability or knowledge in the following areas in terms of their current role requirements. As appropriate, please provide in writing examples to support your assessment. Job Knowledge / Skills Organizational & Administrative Effectiveness Initiative Accountability Productivity Coachability Collegiality Communication Judgment Leadership Customer Focus Respect in the Workplace Innovation and Creativity Core Competency Rating Criterion (Guidelines) Exceptional Performance (A role model. These employees have earned the right to be called truly distinguished performers.) Meets All & Exceeds Some Requirements (Highly effective performance. These employees can be easily recognized for performing above and beyond the call of duty.) Meets All Requirements (Solid & effective performance. These employees do what needs to get done and are solid employees.) Meets Some but Not All Requirements (Performance needs some improvement. New employees still learning their jobs may temporarily fall in this category. Otherwise supervisors should consider corrective action in consultation with the HR department.) Does Not Meet Requirements (Performance is unsatisfactory and needs improvement. Supervisors should begin corrective action in consultation with the HR department.) Note, be aware of rating errors and avoid any bias in ratings. Employee performance ratings should be objective NOT subjective. They are based on observable job-related behaviors and actions NOT perceptions of personality issues. Ratings should also be non-discriminatory and free from any prejudice. FORM: Growth & Development Each employee should be encouraged and supported to continually develop their knowledge and skills. Supervisors and employees should work collaboratively to outline an annual Growth & Development Plan for the employee. Growth and development activities can include: attending a professional development workshop, attending a University sponsored training class, attending a professional association conference, having one-onone coaching sessions with a colleague who is a subject matter expert, reading a book and sharing Page 4
5 the key concepts with one s supervisor & department, etc. Growth & Development Plan Previous Year Form instructions: Please state the development goals from last year s performance review and evaluate the employee s progress. Include the learning and development SMART goal and the strategy or method used to address the development goal. Also indicate if the goals have been achieved Yes/No, and indicate the results or outcomes of the development endeavors(s). Growth & Development Plan for Upcoming Year After the employee development goals from the past year have been reviewed, analyzed and evaluated, planning for the next year should follow. The employee should write out their SMART growth and development goals; and identify what method (class, workshop, etc) they will target to address the growth & development goal. The employee should indicate the estimated target date that they plan to complete the endeavor. Supervisors should help identify the resources (time, program fee & funds, supplies, etc) that will be needed and can be utilized to successfully achieve their goal. And last, employees should briefly indicate in writing what they expect to be the end results or outcome. What they hope to have achieved, improved, or how it will make a difference. FORM: Overall Performance Review Rating The overall employee performance rating is where all aspects of the employee performance is reviewed, weighed, and assessed. The overall performance rating for the individual employee should fall within one of the five rating categories. Demonstrates Exceptional Performance in All Areas Is recognized as a leader and achieves performance results that far exceed those expected Demonstrates superior judgment and an ability to solve complex problems Is frequently consulted by peers and outside contacts Is a self-starter who requires almost no direction or supervision Almost always anticipates changes and takes initiative to adapt to them, often creating enhanced processes Meets All and Exceeds Some Requirements of the Position Performance results consistently exceed those expected Makes recommendations for improvements to processes Demonstrates above average judgment and an ability to solve relatively complex problems Completes assignments and/or duties with very little direction or supervision Frequently anticipates changes and readily adapts to them, sometimes creating enhanced processes Meets All Requirements of the Position Achieves results that consistently meet the requirements of the position and occasionally may exceed them Demonstrates ability to solve problems, makes few errors and seldom repeats errors Demonstrates a sound working knowledge of position accountabilities Completes work on schedule and requires an acceptable level of direction or supervision Anticipates changes and readily adapts to the change Meets Some, But Not All Requirements of the Position Achieves results that meet some, but not all, of the minimum requirements of the position Usually relies on others to solve problems and occasionally repeats errors Has basic working knowledge of position accountabilities Generally requires more direction or supervision Does not generally anticipate changes and/or adapts slowly when they occur The supervisor and employee are to consult with Human Resources to develop an action plan to improve performance in the areas specified in this appraisal. Does Not Meet the Requirements of the Position Does not achieve results that meet the minimum requirements of the position Makes errors consistently and often repeats the same mistakes Demonstrates an inability to perform key job functions despite repeated explanation and counseling Page 5
6 Requires excessive direction or supervision Resists changes and does not readily adapt to them The supervisor and employee are to consult with Human Resources to determine the appropriate course of action to address the employee s performance. FORM: Comments The last page of the Employee Performance Review form is reserved for any additional comments from the supervisor as well as additional comments from the employee. Locating the Pacific s Performance Review Form The form is now available to download from the Human Resources web page. Start: find the Human Resources webpage, then locate Resources for Employees in the left menu box. You will see a downloadable (pdf doc) copy of the Pacific Employee Performance Review form and a downloadable (pdf doc) copy of the Employee Performance Review Guidelines. The employee should sign and date the form at the bottom. Note, signing the form is an acknowledgement that the Employee s Performance Review took place with the employee present during the meeting. By signing the form it is not and should not be viewed as concurrence with all that might be written in the performance review document. That is one reason why the comments section at the end of the document is provided. The comments section should also be used to compliment the employee on a job well done. The employee s supervisor and their superior should also review and sign the form. A copy should be given to the employee. The original document should be turned in to the Human Resources department by no later than June 30 th which is the end of the University wide Performance Review Period. Created on 4/17/2009 Page 6
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