PRD Administrative Procedures

1.    All non-faculty employees shall have a formal performance evaluation once each year.  This evaluation shall be conducted in a manner consistent with the policies and procedures of the University's performance management system, the Performance Review and Development (PRD) process.

2.    Management's responsibilities in the PRD process shall be carried out by the employee's immediate supervisor wherever possible.  In cases where this is not possible, the immediate supervisor shall have considerable input into the PRD process.

3.    Supervisors (including faculty who supervise non-faculty employees) shall be held accountable in their own performance evaluations for conducting the PRD process with their employees in a competent and timely manner.

4.    Supervisors (including faculty who supervise non-faculty employees) shall not be permitted to carry out their PRD responsibilities until they have successfully completed the performance management training administered by University Human Resources.

5.    Employees are expected to be active participants in the PRD process.  Their performance management responsibilities include:

• familiarizing themselves with the performance management process by attending training and reading the PRD manuals for employees;
• where appropriate, initiating performance discussions with their supervisor and working with their supervisor to resolve performance-related problems; and
• updating skills needed to perform their job.

Performance-based rewards shall not be available to supervisors who have not evaluated the performance of their employees in a timely manner consistent with the PRD process.

7.    Existing work units on campus are charged with the responsibility of administering the PRD process for their employees in a fair and consistent manner, including the scheduling of time off for supervisors and employees to attend PRD training, establishment and communication of performance expectations, and the allocation of performance-based rewards and outcomes. University Human Resources shall monitor units' performance of their PRD responsibilities.

I.    Distribution of PRD Forms and Information - University Human Resources will forward PRD information (memos, rosters, checklists, forms and/or labels) to each unit and department.  PRD rosters will list each department / unit member who is required to have a PRD review.

a.    The PRD form is also on disk.  University Human Resources will forward disks upon request.

b.    In addition, an electronic version of the PRD form may be downloaded from the University Human Resources web page.  University Human Resources can provide the specific location and instructions.

II.    The Review Cycle - The PRD review cycle is from April until March of the following year.  Specific deadlines for the completion of all PRD duties will be assigned with the distribution of forms and materials.

III.    The Expectation-Setting Meeting - Supervisors shall meet with each employee (Nonexempt and Exempt, covered by PRD) under his or her supervision to set performance expectations for the upcoming review cycle.  Administrators at the division or college level, as unit heads, are responsible for managing the PRD process for their direct reports only.

a.    The employee may have input into setting expectations for the position.  The expectations are critical in setting standards by which the employee will be evaluated and will serve as documentation of the expected level of performance.

b.    In units or departments with unique reporting relationships (i.e., an employee reports to several supervisors or an employee reports to an off-site supervisor without daily interaction), the unit or department head may designate a primary supervisor or management official to conduct the PRD process.  Any additional supervisor(s) shall have considerable input throughout the process.

c.    The unit or department head is defined as any administrator who is responsible for the daily operation and performance of a defined and/or designated unit or department (i.e., Directors and Chairs).

d.    In the case of multiple supervisors, all supervisors of an employee shall have input into the Expectation-Setting, Midway Feedback, and final Performance Review portions of the PRD process.

e.    When possible, the Expectation-Setting meeting, Midway Feedback session, and final Performance Review are to be conducted with the immediate, or primary, supervisor.  If there are multiple supervisors, each shall have considerable input into the process.

f.    Additional supervisors having input into performance expectations must communicate those expectations to the employee and other supervisor(s) prior to or during the Expectation-Setting meeting.  Additional expectations may be added through informal feedback and discussion, or during the Midway Feedback session, prior to the actual Performance Review.

g.    In special cases where the immediate supervisor does not have daily or consistent interaction with the employee (e.g., remote locations, extended absence, transfer) the unit or department head can designate a supervisor to act as the immediate supervisor to have considerable input into the final Performance Review.

h.    If necessary, prior to the Expectation-Setting meeting, the supervisor may review the job description and update it.
In such case, the supervisor and employee shall discuss the priority performance areas that are essential to successful employee performance and productivity.

i.    The PRD form and appropriate performance factors may be used to identify and record priority and relevant performance expectations.

j.    The supervisor and employee should each retain a copy of the PRD form with completed performance expectations.  Expectations detailed on the PRD form are kept in the department for periodic review or revision and used during the formal Midway Feedback session and the final Performance Review.

k.    Supervisors of probationary employees may set performance expectations at the onset of probationary employment.  These expectations can serve as a specific basis for evaluating the employee's performance for regular, continued employment.

l.    If there is a delay in implementing a new performance plan or new performance expectations for the new review cycle, prior performance expectations remain in effect until they are superseded.

IV.    Setting Performance Expectations - "Meets expectations" is defined as good performance.  It is the level of performance required of the specific job (title or position).  "Meets expectations" means that the employee consistently meets the standards and established performance expectations in important areas of the job.  This standard of performance is required of all employees.  Expectations should be stated clearly on the form, with specific behaviors and measurable outcomes cited, and they must be clearly communicated to the employee.
 

a.    Individual performance expectations are set to reflect the strategic goals and objectives of the unit and the University.  The supervisor shall, when setting expectations with the employee, ensure that the daily performance of the employee is tied to the accomplishment of the unit's specific goals and objectives.

b.    The unit or department head is responsible for communicating strategic goals and objectives to all supervisors within the unit.  Strategic goals and objectives of the unit and the University are an essential part of the Expectation-Setting process for employees.

c.    Performance factors listed on the PRD form are designed to provide general guidelines for the development of specific expectations.  Because performance expectations are to focus on the unit goals and objectives, and on priority items that are relevant to accomplishing those objectives, the supervisor and employee are not required to use the PRD form.  Moreover, if using the PRD form, they are not required to use each performance factor delineated.

d.    Only those performance expectations that reflect the priority and relevant duties of the job should be used.  In general, it is necessary to select only four to six key performance areas on which to evaluate the employee's performance.

e.    In addition to, or in lieu of, the standard factors listed on the PRD form, the supervisor may:
        *  select from the supplementary factors provided in the PRD handbook;
        *  develop individualized factors or projects for the employee; or
        *  develop a performance plan consistent with the PRD process.

f.    All performance expectations must be discussed and documented during an Expectation-Setting meeting, the Midway Feedback session, and/or during subsequent informal feedback meetings prior to the actual year-end Performance Review.  Performance expectations that have not been discussed or otherwise communicated to the employee (including previous review cycles) cannot be used or considered during the final Performance Review.

g.    Performance expectations are established for the specific position / title.  Past performance or abilities of previous incumbents are not considered in the establishment of expectations.

h.    Performance expectations which were set and discussed during previous Expectation-Setting meetings may be extended to subsequent review cycles, if the job, position or expectations have not been changed or amended.

i.    The supervisor and employee shall periodically review the expectations on the PRD form to ensure they are accurate and up-to-date.

j.    If changes are to be made to the performance expectations, the supervisor and employee shall discuss the changes.  Such changes should be made on the original form, and dated, to ensure a mutual understanding of the revised expectations.  The employee may request an updated copy of any revised PRD form.

k.    If the employee, at any time throughout the review cycle, disagrees with an expectation, he or she should discuss his or her concerns with the supervisor.

l.    The supervisor has a responsibility to try to resolve the disagreement with the employee.   If the employee is not satisfied, the supervisor and employee will follow the normal channels for resolving disagreement by discussing areas of concern with the:

• next level supervisor
• unit or department head
• unit equity administrator
• University Human Resources - Employee Relations section

a.    The supervisor should provide the employee with ongoing informal feedback concerning performance according to the established expectations.

b.    The employee should also monitor his or her own performance, as established by the expectations, during the review cycle.

a.    Prior to the feedback session, the employee shall be given the opportunity to complete a Self-Assessment of his or her performance.  The supervisor shall also assess the employee's performance based on previously established performance expectations.  This assessment may be done in a formal or informal manner

b.    At the session, the supervisor and employee shall discuss the employee's Self-Assessment and the supervisor's assessment in order to reach a mutual understanding of performance in the first half of the review cycle.

c.    At the Midway Feedback session, expectations may be changed or restructured to reflect any changes to the working environment.

VII.    The Final Performance Review Session ? At the conclusion of the review cycle, University Human Resources will issue notification to all supervisors to conduct the final review session. The performance review for each employee should normally be completed by the required completion date.

a.    Prior to participating in the Performance Review session, the employee may be given the opportunity to complete a self- appraisal based on performance expectations.  The Self-Assessment shall be discussed during the Performance Review.

b.    The supervisor shall meet with the employee to conduct a final review for the current review period.

c.    The supervisor shall discuss each of the performance expectations and the employee's performance in meeting those expectations.  Each performance factor and/or expectation that was set as a measure of performance shall be assessed according to the scale indicated for the PRD process.

d.    After completing discussion of each expectation on the Performance Review form, the supervisor shall assign an overall rating to the employee?s cumulative performance throughout the review cycle.  The determination of the overall rating shall be consistent with the rating scale indicated for the PRD process.

e.    Exempt and non-exempt employees shall receive salary action based on the overall rating on the PRD form and as defined by the current pay policies and salary guidelines for the exempt or non-exempt class.

f.    At the end of the Performance Review the supervisor and employee should discuss a development plan, in which strengths and areas needing improvement or enhancement will be determined.  The employee and supervisor should also determine an action plan to correct and/or improve specific areas and enhance overall performance.

g.    When the entire review has been discussed, and any development plans have been determined, the employee and the supervisor shall each sign and date the front of the PRD form.  If there are areas of disagreement, the employee should note the specific area(s) of disagreement in the space allocated on the form.

h.    If the employee believes there are significant areas of disagreement, a third party may be designated by the department head to facilitate discussion between the supervisor and employee.  The staff of the Employee Relations section of University Human Resources is available to serve as a third party facilitator.

i.    If the employee is still not satisfied with the outcome of the discussion, the employee grievance procedure is available.

VIII.    A Fair and Consistent Review - After the completion of the Performance Review, the PRD form will be forwarded to the next-level supervisor for review.  The next-level supervisor shall ensure that the Performance Review was carried out in a fair and consistent manner and that all parties participated in the development of performance expectations, the evaluation of the employee's performance of those expectations, and the formation of a development or action plan on the PRD review.

a.    If there are disagreements or conflicts surrounding the Performance Review, the next-level supervisor should intervene as a third party to discuss any conflicts.

b.    The next-level supervisor may make additional comments to be added to the Performance Review form.  These additional comments must be discussed and copies given to the employee prior to attaching them to the PRD form or employee file.

a.    If the supervisor's file on the employee can not be maintained confidentially, the unit or department head shall designate a centrally located file or repository to secure all employee performance review forms.

b.    Upon completion of all evaluations within the unit or department, and after review by the unit or department head, the unit or department head will forward a copy of all employee performance review forms to University Human Resources for review.

c.    After review by University Human Resources, the performance review forms will be returned to the unit or department for appropriate use and filing.