University of California, Berkeley

Policy 23: Performance Management

NOTE: The following procedures supplement Personnel Policy 23 and universitywide procedures. Each section should be read with the related policy section (UCOP).

B. PURPOSE

Performance Management is an ongoing process of communication between a supervisor and an employee that occurs throughout the year, in support of accomplishing the strategic objectives of the organization.

Supervisors are strongly encouraged to oversee employee performance and provide feedback throughout the year. In addition to monitoring the results of work activities and evaluating performance, supervisors are encouraged to solicit feedback and input from the employee. Ongoing communication allows the supervisor and employee to address issues in a timely fashion and to more effectively foster employee development.

C. THE PERFORMANCE MANAGEMENT PROCESS

The performance management process involves on-going discussions between the employee and supervisor.

  1. At the beginning of the performance management process, the employee and the supervisor meet to discuss the employee's major job responsibilities, review expected outcomes, and set performance objectives for the review period. This meeting can also be used to identify plans for training or development and for future performance planning.
  2. Throughout the performance management cycle, the supervisor is encouraged to periodically assess progress toward meeting expected outcomes and objectives and to communicate these assessments when appropriate.
  3. At the end of the cycle, the employee's supervisor prepares a written assessment of the employee's progress towards meeting previously defined expectations. Supervisors are strongly encouraged to initiate discussion with the employee in preparation for the written performance assessment. The employee and supervisor should meet to discuss the assessment and allow the employee to provide feedback. The supervisor must assure that the employee has the opportunity to ask questions and to comment on the appraisal.

D. TIMING OF APPRAISALS/ASSESSMENTS

While personnel policy specifies the minimum frequency, appraisals may be conducted at any time the supervisor determines one would be of value.

Employee in a career position who has attained regular status.

Performance shall be assessed in writing at least once a year, preferably several months before the annual salary review date, whether or not the employee is eligible for a salary increase.

Probationary employee.

A probationary employee (see Policy 22) shall be assessed at least once during a full probationary period. More frequent appraisals may be conducted if the supervisor determines they would be of value.

E. WRITTEN APPRAISAL/ASSESSMENT

The written performance appraisal is an opportunity for the supervisor and employee to review whether previously discussed performance expectations and objectives have been met, to discuss professional development opportunities, and to identify options for acquisition of additional skills and knowledge to foster career growth.

The performance assessment shall be written and shall include:

  • Information on the employee's job duties and key areas of responsibility;
  • Comments and ratings on specific areas of responsibility and overall performance in relation to previously established outcomes and objectives;
  • Feedback on any areas of concern outlining where performance improvement is needed;
  • Assessment of the employee's good faith efforts in situations where an employee has responsibility for meeting established objectives in equal employment opportunity and affirmative action;
  • Future plans and objectives;
  • Signatures of the employee and the supervisor.

Supervisors are also encouraged to address the following in the written performance appraisal:

  • Identify opportunities for professional development and options for acquiring additional knowledge and skills to support career growth
  • Outline future steps necessary to meet professional development and job-related goals
  • The employee shall be given a copy of the final assessment, and be allowed time to reflect on the document and respond orally or in writing. The employee should be asked to sign the assessment, being advised that a signature acknowledges discussion of the contents of the form, not necessarily agreement with it. A copy of the final assessment document shall be placed in the personnel file.