University of Connecticut |
Conducting Performance EvaluationsAnnual Report of Activity & Achievement Performance Evaluation Ratings During the Evaluation Interview After the Evaluation Interview
BEFORE THE INTERVIEW
ANNUAL REPORT OF ACTIVITY AND ACHIEVEMENTArticle 21.2 b. of the UCPEA contract states that, “Management may require employees, or employees may volunteer, to provide an annual report of activity and achievement to be used as a source of information for evaluations. If management makes such a requirement they must do so in advance of the period for which they want the reporting. Employees shall be given a minimum of two weeks’ notice for providing the requested reports. Final reports of activity and achievement for an evaluation year must be submitted by April 15th for consideration in the evaluation process.” Employees may also use the annual report of activity and achievement to describe those achievements that they feel should make them eligible for discretionary merit. WHEN TO PREPARE AN EVALUATIONThe performance evaluation process is continuous throughout the career of all professional employees. It should be emphasized that although employees are evaluated at least once a year, a supervisor may initiate a performance evaluation at any time he/she believes it will be helpful, or at reasonable intervals upon a staff member’s request. For non-probationary employees, there is a structured timeframe for conducting evaluations. Under Article 21.1 a, “The evaluation period shall be May 1st to April 30th of each year.” It is also stated in Article 21.2c. that “While an evaluation may be done at any time during the evaluation year, one must be prepared and presented to each employee between April 15th and May 1st of each year.” Performance evaluations for probationary employees are linked to the employee’s hire date. “Approximately halfway through and at the end of his/her probationary period, each employee shall be given a written evaluation of his/her performance.” (Article 20.3) Written evaluations for non-probationary UCPEA staff must be conducted annually, and completed between April 15 and May 1 of each year.
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| By March 1st: | Human Resources will issue notice to employees that they will be required to provide an Annual Report of Activity and Achievement for the following evaluation cycle. At this time supervisors must also remind employees that the current year’s report of Activity and Achievement is to be submitted to supervisors by April 15th. |
| By April 15th: | Deadline for employees to submit Annual Report of Activity and Achievement. Supervisor prepares the performance evaluation and makes arrangements to discuss it with the employee by May 1st. |
| By May 1st: | Deadline for presenting performance evaluation to employee (Article 21.2c) |
| May 15th: | Deadline for evaluations to be received in Human Resources, Unit 5075 |
| May 20th: | Deadline for submitting merit recommendation forms to the Division’s Vice President or Vice Provost |
EVALUATION FORMS
Forms for professional staff evaluations may be obtained from Human Resources online forms. You can also access these forms from the UCPEA web page at www.ucpea.org. Please indicate the employee’s appointment status (permanent, end date, or probationary) on the performance evaluation cover sheet.
PERFORMANCE EVALUATION RATINGS
An employee need not be rated as Outstanding or Very Good in every category to receive these overall ratings
| RATING | RELATION TO POSITION REQUIREMENTS |
| OUTSTANDING: | Far exceeds requirements and standards of regular duties. Outstanding performance is marked by initiative and high quality of work. An outstanding performance rating far exceeds the requirements and standards of the position. |
| VERY GOOD: | Exceeds requirements and standards of regular duties. Very good performance indicates that the employee regularly exceeds all position requirements. |
| GOOD: | Good performance is that which meets the regular requirements of the position adequately and competently. Good is not marginal, if performance is considered marginal, it should not be given a rating of good. |
| IN NEED OF IMPROVEMENT: |
Staff in this category are performing marginally and are not meeting the requirements of the position. Specific plans should be outlined for correcting areas of below standard performance. Deficiencies should be clearly identified and a timeline for improvement established, including follow-up evaluation(s). Employees in this category should be cautioned about the consequence of continued less than satisfactory work. |
| UNSATISFACTORY: | Performance, which is unsatisfactory, does not meet the requirements of the position. Staff in this category should be identified and counseled regarding their performance prior to issuing an unsatisfactory annual review as they may be denied salary increases or terminated. |
THE EVALUATION INTERVIEW
The performance appraisal process is continuous throughout the employee’s career. All professional employees must see and have the opportunity to comment on their evaluations. The supervisor may make adjustments to the written evaluation after receiving input from the employee and appropriate supervisors in the chain of command. “The written evaluation and cover sheet shall normally be discussed with the employee within seven (7) calendar days of the time they are prepared. The employee shall normally sign the evaluation within seven (7) calendar days from receipt for the sole purpose of indicating that he/she has read it.” (Article 21.2 e.) The communication should be two-way: the supervisor should use the opportunity to convey his/her assessment of the staff member’s work, and encourage the staff member to comment on his/her own work. This is a good time to solicit suggestions for improving how the job is done.
There is space on the form for the staff member’s comments and signature. The staff member’s signature acknowledges that he/she has seen and had an opportunity to discuss the evaluation, not necessarily that he/she agrees with it. After the supervisor and staff member have discussed and signed the evaluation, the supervisor should give a copy to the employee for his/her records. If they wish, employees may append the evaluation. “An employee shall have the right to append to his/her evaluation a written statement presenting his/her concerns as they relate to the evaluation. This will be attached to the evaluation, become a part of the permanent record, and will be the final documentation associated with the performance evaluation.” (Article 21.2 f.) With an unsatisfactory rating, the supervisor should schedule a follow-up interview within three months to review the employee’s progress.
Employee performance evaluation goals (not related to university merit criteria)
Each year, supervisors should review employee goals to ensure that the agreed-upon goals from the previous year are:
- stated clearly
- necessary and achievable
- harmonious with both the employee’s internal and generic job descriptions
- fair in relation to the employee’s ability and performance
During the evaluation interview, compare the goals to the employee’s job description to develop a working document that clearly indicates what is expected of the employee. Discuss whether goals set the previous year were met and how the employee can improve his/her performance in the coming year.
DURING THE EVALUATION INTERVIEW
- Put the employee at ease and establish rapport.
- Structure the interview; inform the employee of the rationale of the evaluation process.
- Do not rush the interview or do all the talking; allow adequate time for interaction with the employee.
- Be as specific as possible about performance activities; explain the “why” of the rating.
- Do not get sidetracked or bogged down in detail.
- Do not over-praise.
- Involve the employee adequately in the planning/goal setting process.
- Listen positively; pursue new information or suggestions the employee offers.
- Do not over-emphasize the negatives. Be positive where possible.
- Realize that some “facts” may reflect unconscious assumptions or attitudes toward the employee.
- Write down all the key points, goals, objectives and target dates mutually agreed upon.
- Close with a summary that leaves the employee with a clear understanding of where he/she stands, what is expected to meet performance standards, and how (and when) the supervisor will provide assistance.
- Reassure the employee of your interest in his/her progress and indicate willingness to have continued communication.
AFTER THE EVALUATION INTERVIEW
- Reinforce the interview with on-going contact on the job.
- Take notes on the outcome; track follow-up agreements and commitments.
- Concentrate equal attention on all employees; show adequate concern for average and better employees as well as marginal or problem individuals.
- Follow up on training and development commitments.
- At the beginning of the next discussion, review progress made toward improvement and how effective the employee’s efforts have been.
EVALUATION ROUTING PROCEDURE
Evaluations must be prepared and presented to each employee between April 15th and May 1st of each year. (Article 21.2 c.) As discussed earlier, employees may append the evaluation. The evaluation should be signed by the employee, “the immediate supervisor and the first supervisor outside the bargaining unit, provided they are not the same person.” (Article 21.2 g.)
Please send a complete copy of all evaluations to the Department of Human Resources, Unit 5075, no later than May 15th, including the cover sheet. A list will be compiled of those employees who received a very good or outstanding evaluation and forwarded to the appropriate division head (President, Provost, Vice Provost, Vice President) no later than May 21st. A copy of the evaluation must also be placed in the employee’s personnel file.
A copy of probationary employees evaluations should also be sent to the Department of Human Resources, Unit 5075. This copy will then be routed to the employee’s personnel file.
IMPORTANT: Supervisors must contact Human Resources at 486-5684 before meeting with employees whose evaluations result in an overall unsatisfactory rating.