Performance Management Guidelines
Practice Directive P530
Effective Date: May 1999 Revised June 2004
Performance Evaluation Forms
530.1 The pace of change at the University is ever quickening. Demands and expectations for each of us are also ever changing, thus making communication at all levels of the University vital to our effectiveness. Efficient University organizations realize that ongoing assessment of objectives is essential to achieving them. Effective University organizations know that building work relationships is essential to achieving results. Successful University organizations put into practice what they realize and know. Performance appraisal models provide a way for assessing achievements, building relationships and putting into practice principles and strategies that lead to success.
There is no one perfect performance appraisal model. Rather certain principles and strategies, if present in a process, can have a lasting positive impact on the University and the individual. A performance management program provides the opportunity to identify shared goals, objectives, standards and expectations as well as measure results through shared responsibility. The success of a performance management program is dependent on an environment perceived to be fair, equitable, timely and consistent. Frequent clear and unambiguous communication is crucial to that perception. Such an environment fosters trust among those exchanging feedback. Also, adequate resources must be available to recognize individual and group contributions.
530.2 It is the philosophy of San Francisco State University and the California State University System, in conformance with the California Education Code, Title 5, and Collective Bargaining Agreements, to follow a program of performance management that incorporates planning, measurement, feedback and continuous development.
530.3 Principles and strategies that serve as a foundation of a successful performance management program include:
- Performance Management is an ongoing responsibility of the manager and an employee
- Focus is on the quality and timeliness of communication—not on forms and procedures
- Goals and objectives are set by individuals committed to achieving them
- The manager creates an environment that allows an employee to grow and develop
- The employee takes ownership for own growth and development
- Describing the kind of behavior, style and approach desired in work is as important as the productivity or results desired
530.4 Performance Management is a set of ongoing processes needed to define and plan performance, to develop the skills, knowledge and abilities to perform as planned, to facilitate self assessment, to review and record performance, and to reward performance.
530.5 Performance evaluation provides a periodic opportunity for communication between the person who assigns the work, and the person who performs it, to discuss what they expect from each other and how well those expectations are being met. Performance management may allow for self assessment as well as supervisory review. It also serves as a basis for recommending a Performance Based Salary Increase and a written performance evaluation is required prior to awarding a Performance Based Salary Increase.
530.6 These guidelines apply to all staff employees covered by collective bargaining agreements and to employees in designated confidential positions. These guidelines do not apply to individuals hired as faculty, employees hired as administrators in the Management Personnel Plan (MPP) or those in excluded classifications, e.g., student assistants, work-study, graduate assistants, special consultants, etc.
530.7 Where the provisions of this policy and procedure are in conflict with the Collective Bargaining Agreements reached pursuant to Chapter 12, (commencing with Section 3560) of Division 4 of Title I of the Government Code, the Collective Bargaining Agreements shall take precedence. Consult the applicable bargaining unit agreement for specific procedural requirements.
530.8 The unit administrator is responsible for communicating job expectations, developing performance plans and evaluating the employee’s performance. Assistance in the process may be provided by the employee’s immediate supervisor who assigns and reviews the employee’s work. The immediate, first-line supervisor may or may not be in a bargaining unit.
PERFORMANCE MANAGEMENT MODEL
530.9 Develop a performance plan
- Review and update the position description
- Define objectives, expectations and criteria to be used in evaluating performance
- Identify training and professional development needs. Professional development strategies may include: on-the job coaching, job rotation, temporary reassignment, lateral transfer, participation in fee waiver formal education program, specialized training courses
530.10 Coach consistently
- Provide interim progress reviews exchanging immediate and specific feedback concerning expectations and performance
- Modify plan in response to changes
- Support plan for professional development
530.11 Evaluate performance
- Notify employee of departmental evaluation process and timeline.
- Ask the employee to complete P530B Self Assessment in preparation for the discussion. Although the self assessment is not required, including it does provide the employee with a greater sense of participation in the process and it allows both the employee and evaluator to share feedback and clarify expectations
- Review the performance plan and notes from discussions held during the year
- Update, if appropriate, the position description
- Draft a performance review (summary of discussions over the year). Reference P530A Performance Review form, P530C SFSU User Friendly Principles and P530D SFSU Principles of Conduct for a Multicultural University
- Identify areas for professional development
- Give employee a draft of the evaluation and position description 5 days prior to meeting
- Schedule a meeting with the employee.
- During the meeting, facilitate an open exchange of information concerning expectations
530.12 PERMANENT: All staff regardless of time base, except those in probationary appointments who are evaluated more frequently based on date of appointment, shall receive a written evaluation of their performance at least once a year, normally in May or June.
530.13 TEMPORARY: Staff in appointments with ending dates shall receive a written evaluation of their performance prior to their reappointment. If an evaluation has not been completed within 6 months of the annual performance evaluation cycle, an evaluation shall be completed at that time.
530.14 PROBATIONARY: Staff in probationary appointments shall receive a formal (written) evaluation of their performance during the probationary period in those months specified by the appropriate collective bargaining agreement.
530.15 SPECIAL: A supervisor may conduct an evaluation of an employee’s performance at any time to recognize and record unusually outstanding performance or borderline or unsatisfactory performance. An employee may request an evaluation of his/her performance anytime he/she believes it would be beneficial. A performance evaluation must be completed in order to recommend permanent status for an employee.
530.16 MEETING WITH EVALUATOR: An employee is entitled to a meeting with the evaluator to discuss the performance evaluation. Subsequent to receiving a draft of the performance evaluation, an employee may request a meeting with the evaluator which shall take place within 7 days of the request.
530.17 MEETING WITH APPROPRIATE ADMINISTRATOR: Following the meeting with the Evaluator, the employee may request a meeting with the appropriate administrator to discuss the performance evaluation. Normally such a meeting shall take place within fourteen (14) days of the request.
530.18 FILE: The written performance evaluation shall be placed in the employee’s personnel file. The employee shall be provided with a copy of the written performance evaluation prior to its placement in the personnel file, and the employee may submit a rebuttal statement which shall be attached to the evaluation. A copy of the rebuttal statement will be provided to the Evaluator and Appropriate Administrator.
530.19 NOTE: See Evaluation/Employee Performance in the appropriate collective bargaining agreement for specific provisions and time lines.
PERFORMANCE EVALUATION DIMENSIONS
530.18 The performance evaluation dimensions provide the developmental areas for performance planning and a framework by which performance will be evaluated. The dimensions also form the basis for the ongoing conversation between the person who assigns the work and the person who performs the work. The Performance Review Form P530A identifies seven (7) general dimensions to be applied in assessing performance. Within the dimension of skills and abilities, there are several criteria which may be applied depending on the nature of work assignments. If desired, evaluators may identify other relevant criteria within the dimension of skills and abilities but such criteria should be discussed with the employee at the beginning of the review period. The dimensions are described below for reference.
1) KNOWLEDGE OF POLICIES, PROCEDURES AND PROGRAMS: Demonstrates organizational awareness; knows administrative policies and procedures; has knowledge of business practices; provides accurate information on policies and procedures; makes information easily accessible to all members of the campus community.
2) SKILLS AND ABILITIES: Select a minimum of four which are applicable to the work assignments. Evaluators may identify other relevant criteria if desired.
a) ANALYTICAL AND DATA ANALYSIS: Recognizes what information is critical; plans and conducts research and analyses in a deliberate and comprehensive manner, presents results in clear and concise manner;
b) COMMUNICATION: Writes clearly; edits work for spelling and grammar; presents numerical data effectively; expresses thoughts clearly, verbally and in writing; seeks out and develops productive work relationships; listens with empathy, responds diplomatically; responds accurately and promptly to questions; listens and gets clarification.
c) LEADING OTHERS: Prioritizes and plans work activities of others to meet unit, department and college priorities and timelines; efficiently; motivates others towards common goals, integrates changes, demonstrates ability to coach, mentor, train and develop others.
d) INFORMATION TECHNOLOGY: Demonstrates ability to create, edit, format letters, tables and other documents; demonstrates ability to create newsletters or brochures; demonstrates ability to create, edit and format effective slide presentations incorporating video, audio and graphics; demonstrates ability to create and publish a web page using HTML or an easy-to-use authoring application; demonstrates ability to create spreadsheets, use calculations, generate charts and graphs
e) JUDGEMENT; PROBLEM SOLVING; AND DECISION MAKING: Gathers relevant data; evaluates information based on appropriate standards; synthesizes facts, concepts and principles; alerts appropriate persons to emerging problems; is willing to make and take responsibility for decisions; consults with appropriate people; supports and explains reasoning for decisions; makes timely decisions.
f) TEAM WORK: Balances individual and unit responsibilities; gives and welcomes feedback; contributes to building a “user-friendly” environment, ensures cooperation and cohesion, facilitates groups in decision making process.
g) PROJECT COORDINATION: Develops plans; coordinates projects; communicates changes and progress; completes projects on time on budget.
h) WORK PRACTICES (Includes attendance, punctuality, safety, organization of work area): Schedules time off in advance unless an emergency dictates otherwise; follows department procedures for requesting and reporting use of leave; ensures work responsibilities are covered when absent or apprises supervisor of pending responsibilities or upcoming deadlines; arrives at appointments and meetings on time. Utilizes appropriate safety measures, maintains a professional and orderly work environment.
i) SELF-DEVELOPMENT/CAREER PLANNING: Seeks opportunities for professional development; identifies opportunities to contribute to organizational goals; is willing to learn new skills.
j) CONTRIBUTIONS TO CAMPUS, CSU, COMMUNITY, IF APPLICABLE: Contributions toward
achievement of strategic planning, college, department and unit goals.
3) QUALITY: Demonstrates accuracy and thoroughness; displays commitment to excellence; looks for ways to improve and promote quality; applies feedback to improve performance; monitors own work to ensure quality.
4) USER FRIENDLY INTERACTIONS(Refer to P530Cfor full text of SFSU User Friendly Principles): Acts/behaves in a manner that reflects respect, courtesy and civility, appreciation, empathy, trust, inclusion and consultation. Understands lines of reporting, responsibility, and accountability. Provides accurate information; makes information easily accessible to all members of the campus community. Note: while employees are expected to be courteous and tactful, they are to be treated with dignity and respect and should be encouraged to refer problems or difficult interactions to the supervisor or appropriate administrator. Additionally, employees should be advised of other resources on Campus to whom they can refer problems, i.e., CSEA, Counseling, Student Discipline, Human Relations, Human Resources and Public Safety.
5) QUANTITY: Completes work in a timely manner; strives to increase productivity
6) PLANNING AND RESULTS: Prioritizes and plans work activities to meet unit, department and college priorities and timelines; identifies needed resources; plans and utilizes existing and new resources efficiently; accommodates multiple demands for commitment of time energy and resources; adapts to changing priorities, situations and demands; integrates changes.
7) CREATIVITY AND INNOVATION: Engages in creative problem solving; thinks “globally”; knows how to reengineer processes; is open and receptive to new ideas.
8) OVERALL RATING: Describes the employee’s overall performance. Where numerical values are assigned, the overall rating is the numeric average of the ratings.
PERFORMANCE EVALUATION RATING
530.19 SUPERIOR (5): Performs in an exceptional manner that is well above the satisfactory level.
530.20 ABOVE SATISFACTORY (4): Performs in a more than satisfactory manner.
530.21 SATISFACTORY (3): Performs the requirements of the position in an acceptable manner.
530.21 NEEDS IMPROVEMENT (2): Does not do all that is required for a satisfactory performance.
530.23 UNSATISFACTORY (1): Performs at a level much less than required and needs considerable improvement.
RESOLVING CONFLICTS AND SOLVING PROBLEMS
530.24 Poor performance is often exhibited through conflict and in problems encountered with communication and in working relationships. A performance evaluation is an assessment of performance and should not be punitive. An unsatisfactory performance evaluation is recognized, however, as necessary in reinforcing appropriate behavior and providing an opportunity to correct unsatisfactory employee performance prior to implementing progressive discipline. (Refer to P206 for Progressive Discipline Guidelines)
530.25 Principles that lead to successful conflict resolution, enhance receptivity to constructive criticism and facilitate corrective action include:
- Attack the problem, not the person
- Focus on correcting the behavior, not on punishing the employee
- Be clear about what you see, how you judge, and how you react to people and situations
- Understand and take charge of your own feelings and behaviors
- Move from a defensive, reactionary posture to resolution
- Look forward (opportunity), not backward (blaming).
- Analyze the situation and attempt to view from both sides
- Identify the points where you can compromise rather than demand
- Be open and make every effort to respond in a positive manner.
Reference: Collective Bargaining Agreements Online
Unit 1 Physicians
Unit 2 Health Care Support
Unit 5 Operations Support
Unit 7 Clerical/Administrative Support Services
Unit 9 Technical Support Services
Unit 4 Academic Support
Unit 6 Skilled Crafts
Unit 8 Public Safety (Also, see General Order A-10 and Performance Appraisal Manual)