CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000


Policy No. 5012: Employee Performance...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

3.0   PURPOSE
      To periodically re...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

6.0   GUIDELINES FOR PREPARING FOR THE...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

     INTERPERSONAL RELATIONS - Effecti...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000




                           PERFORMA...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

JOB TITLE                             ...
CLAREMONT UNIVERSITY CONSORTIUM
   Policy and Procedure Manual
   Human Resources - 5000


                               ...
CLAREMONT UNIVERSITY CONSORTIUM
      Policy and Procedure Manual
      Human Resources - 5000

      One – Two years?
   ...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

FROM:                                 ...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

2. Quality of work
    Performed.
3. Q...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000




E. GOALS AND OBJECTIVES – Briefly o...
CLAREMONT UNIVERSITY CONSORTIUM
Policy and Procedure Manual
Human Resources - 5000

      H. ANNUAL PLANNING EVALUATION (c...
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Employee Performance Appraisal

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Employee Performance Appraisal

  1. 1. 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
  2. 2. 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 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
  3. 3. 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. USE OF TIME AND RESOURCES - Self-motivated. Able to work independently utilizing resources available to maximum. Meets goals and objectives within prescribed time frame. Page 3 of 12
  4. 4. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 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
  5. 5. 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 PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT EMPLOYEE NAME DEPARTMENT LOCATION Page 5 of 12
  6. 6. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 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
  7. 7. 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? 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? Page 7 of 12
  8. 8. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 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 ACTION TO BE TAKEN TO ACCOMPLISH OBJECTIVES 1. 2. 3. 4. 5. 6. 7. 8. 9 10. * T = ON TARGET 0 = OFF TARGET PERFORMANCE APPRAISAL FOR EMPLOYEE DEVELOPMENT NON- EXEMPT EMPLOYEE NAME JOB TITLE DEPARTMENT Page 8 of 12
  9. 9. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 FROM: TO: (Dates of Review Period) Introductory Review Special Annual Personal And Confidential CLAREMONT UNIVERSITY CONSORTIUM 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 Page 9 of 12
  10. 10. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 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 C. ACTION PLAN FOR AREAS NEEDING PERFORMANCE IMPROVEMENT D. RESOURCES/ASSISTANCE NEEDED FOR PERFORMANCE IMPROVEMENT Page 10 of 12
  11. 11. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 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? 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. Page 11 of 12
  12. 12. CLAREMONT UNIVERSITY CONSORTIUM Policy and Procedure Manual Human Resources - 5000 H. ANNUAL PLANNING EVALUATION (current fiscal year) OBJECTIVES *T/ ACTION TO BE TAKEN TO ACCOMPLISH OBJECTIVES 0 1. 2. 3. 4. 5. 6. 7. 8. 9 10. * T = ON TARGET 0 = OFF TARGET Page 12 of 12

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