Performance Management

I. Policy Summary

A. General
Performance management is an ongoing process of communication between a supervisor and an employee that provides the employee with regular feedback regarding their performance. The process occurs throughout the year with the objective of accomplishing the strategic objectives of the organization as well as fostering the employee’s professional growth.

The communication process includes:

  • reviewing with the employee, the employee’s job description to ensure that it accurately reflects the employee’s current job responsibilities and duties, and required skills, knowledge and abilities;
  • establishing objectives and identifying goals;
  • periodically assessing the employee’s progress toward meeting expected outcomes and objectives and to communicate these assessments when appropriate;
  • providing training or development consistent with departmental objectives;
  • evaluating results and providing feedback throughout the review cycle.


B. Performance Appraisal
The performance of each regular status (non-probationary career) employee will be appraised in writing at least annually by the employee’s immediate supervisor. At UCSC, the annual performance appraisal period is based upon a fiscal year, i.e., July 1 through June 30.

The written performance appraisal is an opportunity for the supervisor and employee to:

  • discuss job responsibilities;
  • review whether previously discussed performance expectations and goals have been met;
  • discuss professional development opportunities;
  • identify options for acquisition of additional skills and knowledge to foster performance improvement and career growth.

Additionally, the written appraisal provides appropriate documentation to support any recommended merit increases and/or other performance–based awards.

Written performance appraisals are not intended to replace the continuing relationship between a supervisor and employee; supervisors are expected to meet with employees throughout the review period to provide ongoing feedback on performance.

Limited term appointment employees should be evaluated at any time the supervisor believes a written evaluation would be beneficial.


II. Related Policies, Contract Articles and References

  1. Personnel Policies for Staff Members (PPSM) – employees not covered by a collective bargaining agreement

    • PPSM 23 Performance Management

  2. Contract Articles- employees covered by a collective bargaining agreement

  3. UCSC Performance Appraisal Instructions for Supervisors


III. Authority

The employee’s supervisor is delegated the authority to evaluate the performance of an employee.

 

IV. New Online Appraisal Form and Process

This year we have developed an online form to replace the four previous paper-based forms. The new form and process creates efficiencies with an electronic workflow. It is an interim tool for the campus to use until the implementation of the ePerformance module of UCPath, expected in 2018.

Please note: All staff (represented and policy-covered) should be appraised using the new electronic form. This includes academic supervisors (Department Chairs, Principal Investigators, etc.) who will need to use the online appraisal form to assess their staff employees. If you are a supervisor of staff, you will need to use this new online form for the 2017 appraisal call.

Managers and supervisors are encouraged to keep appraisals succinct. It is not necessary to report each and every detail of performance. The appraisal is a summary of performance of key expectations including goals and core job responsibilities. It should focus on the impact of performance with a few examples and explanation of the overall rating.

  • Access to the online form:https://appraisals.ucsc.edu
  • Log in with your CruzID and blue password.
  • Please review the “help and tutorials” linked in the left-hand navigation for step by step instructions designed to guide employees through the process.
  • Help is available by emailing appraisals@ucsc.edu.


V. Chronological Overview of the Performance Appraisal Process

1. Supervisor
During the fiscal year preceding the performance appraisal period:

  • Frequently meet with the employee to review performance of duties from their job description and to assess progress toward achieving previously discussed and defined goals and objectives.
  • Continually provide support, feedback, coaching, training, documentation and correction as needed.

Near the end of the performance appraisal period, (prior to July 1st of each year, or earlier if the employee is furloughed in the summer):

  • Review the employee’s job description and its essential functions as the basis for performance expectations.
  • Review any previously discussed and defined goals and objectives for the performance appraisal period.
  • Note accomplishments and areas that may need improvement.
  • Initiate conversation with the employee in preparation for the written performance appraisal. (New online system)
  • Provide direction to the employee on completing an employee self-appraisal. (New online system)

2. Employee
Utilizing the new online employee self-appraisal form, write a short self-assessment that:

  • Describes major job-related accomplishments.
  • Provides a status of previously discussed and defined goals and objectives for the appraisal period, including any job-related training needs and future career plans.


3. Supervisor

Utilizing the new online performance appraisal process, write an appraisal of the employee’s performance based on:

  • ongoing assessment & feedback of the employee’s performance during the review period;
  • established job-related functions, goals, accomplishments and objectives;
  • employee’s self-appraisal and other relevant materials. 

As needed, consults with their Employee & Labor Relations (ELR) Analyst regarding the appropriateness of performance appraisal content.

Meets with the employee to discuss the written performance appraisal and to assure that the employee has the opportunity to ask questions, comment on the appraisal, and discuss any performance concerns outlined in the appraisal.

Provides the employee with a .pdf copy of the appraisal and advises them that, utilizing our online appraisal process, they may provide written comments regarding the appraisal or paste relevant materials that may supplement or enhance the appraisal.

Note: UCSC utilizes an online performance appraisal system for use by all managers and supervisors who supervise staff employees. There is one form that may be used for the final performance appraisal. Refer to the Performance Appraisal Instructions for Supervisors which is designed to assist supervisors with completing their performance appraisal forms.

4. Employee
Sign the completed appraisal to acknowledge discussion of the appraisal with their supervisor but not necessarily agreement with it. 

5. Supervisor
Sign the completed appraisal to indicate that this is their evaluation of the employee’s performance and that they have discussed it with the employee.

Forward the completed and signed original of the performance evaluation to his/her ELR Analyst.

6. ELR Analyst:
Review completed appraisal and place in the employee’s personnel file, including any written comments the employee has provided.

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Revised July 2017: A.32