1. Performance Evaluation
UCPEA Supervisor
Performance Evaluation
and
Merit Training
A Joint Labor/Management Effort Spring 2012

2. UCPEA Contract: Article 32.2h
“Training on the principles and procedures associated with evaluation and merit distribution shall be conducted annually. A representative designated by UCPEA will participate in the process as a co-trainer.”

3. Labor/Management Co-Trainers
Lori Chapman
Labor Relations Associate
Department of Human Resources
Elizabeth Sullivan
Assistant Director for Contract Admin.
UConn Professional Employees Assoc.

4. Introductions: Who, Where, What & How?
Who are you?
Where do you work?
What do you do?
How many direct reports do you have?
Have you performed UCPEA evaluations before?

5. Goals for Today’s Training
Acquire/Renew Understanding of:
1. Evaluation Process, Principles & Procedures
2. Evaluation Form & Manual
3. Merit Distribution Process

6. UCPEA Contract: Article 21.1
“For the purpose of promoting, maintaining and enhancing excellence in job performance, each department shall provide for evaluation of each employee in UCPEA at least once a year. Such performance evaluations shall permit the continuing assessment of the quality of the individual’s performance relative to the required duties described in his/her official job specifications and internal departmental job description (if applicable).”

7. UCPEA Performance Evaluations: Principles
Improve/Facilitate Formal Communication
Performance – Positive & Constructive
Expectations
Training and Development Opportunities
Goals

8. Evaluation Timeline (May 1 – April 30)
UCPEA Performance Evaluations: Timeline
Evaluation Timeline (May 1 – April 30)
March 1: HR will issue notice to employees that they may be required to provide an Annual Report of Activity & Achievement
April 15: Deadline for employees to submit Annual Report of Activity & Achievement
May 1: Deadline for evaluation interview
May 15: Deadline for evaluations to be received by HR

9. Preparing the Evaluation: Materials & Resources
UCPEA Performance Evaluations: Materials
Preparing the Evaluation: Materials & Resources
 Merit & Performance Evaluation Manual
 Annual Report of Activity and Achievement
 Performance Evaluation Form

10. Merit & Performance Evaluation Manual
Available HR’s Labor Relations webpage
Document created by Labor and Management
Aimed at guiding supervisors and employees through the evaluation process

11. UCPEA Contract: Article 21.2b
“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 reporting. Employees shall be given a minimum of two weeks’ notice for providing the requested reports. Final reports for an evaluation year must be submitted by April 15th for consideration in the evaluation process.” .

12. Annual Report of Activity and Achievement
Description of what the employee has achieved during the year
Not a large complex document
As supervisor, you should discuss with your employees what format works best for you

13. Annual Report of Activity and Achievement
Must give employees at least two weeks to complete; deadline is April 15
Request can be made verbally, via , or in writing
Reports can also be used to describe those achievements that they feel should make them eligible for university merit
Employees can submit this report for consideration without being asked

14.  Performance Evaluation Form
PART I.
Cover Sheet ID
Evaluation Type
Overall Rating
Certification

15. Preparing the Performance Evaluation
PART II.
Performance Criteria
9 Rating Categories
Knowledge
Dependability
Communication
Interpersonal
Independent Action
Professional Development
Leadership
Supervisory Skills
Teamwork

16. Performance Evaluation Ratings
Preparing the Performance Evaluation
Performance Evaluation Ratings
Outstanding
Very Good
Good
In Needs of Improvement
Unsatisfactory

17. Preparing the Performance Evaluation
OUTSTANDING
Far exceeds requirements and standards of regular duties
High initiative
High quality of work

18. Preparing the Performance Evaluation
VERY GOOD
Exceeds requirements and standards of regular job duties
Employee regularly exceeds all position requirements

19. Preparing the Performance Evaluation
GOOD
Meets the regular requirements of the position adequately and competently
*If performance is considered marginal, it should not be given a rating of good.

20. Preparing the Performance Evaluation
IN NEED OF IMPROVEMENT:
Performance is marginal
Deficiencies should be clearly identified
Plans and a timeline should be outlined for correcting areas of sub standard performance
Employees in this category should be cautioned about the consequences of continued sub standard performance

21. Preparing the Performance Evaluation
UNSATISFACTORY:
Performance does not meet the requirements of the position
Deficiencies should be clearly identified
Plans and a timeline should be outlined for correcting areas of sub standard performance
Supervisor should schedule a follow-up meeting within three months to review the employee’s progress

22. Preparing the Performance Evaluation
IN NEED OF IMPROVEMENT & UNSATISFACTORY
Staff receiving an overall unsatisfactory rating do not receive salary increases and can be disciplined
Staff receiving an INI and/or UNSAT should be counseled regarding their performance throughout the entire evaluation period
Supervisors must contact Human Resources before meeting with employees whose evaluations result in an overall unsatisfactory rating
Staff receiving an overall unsatisfactory rating may grieve their evaluation

23. Preparing the Performance Evaluation
Part III.
Performance Narrative
Areas of strength
Areas for development
Areas for improvements

24. Preparing the Performance Evaluation
Part IV.
Clear Statement of Goals
Mutually Established
Achievable
Deadlines/Timelines

25. Evaluation Interview:
UCPEA Performance Evaluations: Process
Evaluation Interview:
Normally occurs between April 15 and May 1
Employee shall normally sign within seven calendar days from receipt for the purpose of indicating he/she has read the evaluation
Supervisor may make adjustments to the evaluation following input from the employee at the evaluation interview
Employees may write a rebuttal or response to the evaluation

26. UCPEA Performance Evaluations: Process
Evaluation Interview
Structure the interview
Allow plenty of time for the interview
Explain the reason behind your ratings
Involve the employee in the goal setting process
Actively listen to the employee’s feedback
Pursue new information or suggestions the employee offers

27. Probationary Employees & Evaluations
UCPEA Performance Evaluations: Process
Probationary Employees & Evaluations
Probationary employees receive an evaluation 6 months into their probationary period and again at the end of their probationary period
Probationary employee evaluations do not have to go to Human Resources unless there is a performance issue
An evaluation should be completed for all employees by May 1 of each year, including employees who may have just completed their working test period

28. Evaluation Routing Procedure
UCPEA Performance Evaluations: Process
Evaluation Routing Procedure
Completed evaluations are to be received by Human Resources no later than May 15
Please include the cover sheet

29. UCPEA Performance Evaluations: Process
Questions

30. UCPEA Merit: Performance vs. University
There are TWO types of Merit:
Performance Merit - tied to performance evaluation. In 2015, all employees who receive overall good, very good or outstanding ratings on their annual performance evaluation will receive performance merit.
2. University Merit - tied to the achievement of objectives that meet at least one of the three merit criteria. There are no minimum or maximum amounts for university merit. The decision of the size of each university merit award is in the hands of the appropriate Vice President or Provost.

31. UCPEA Merit: Performance Merit
Performance Merit shall be based on a system of “Merit Increments” (MI)
The value of an increment shall be determined by multiplying the number of members receiving ‘outstanding’, ‘very good’ and ‘good’ evaluations by the number of increments assigned to that rating, summing the total number of increments for the three categories, then dividing the total dollars in the “Performance Merit” pool by the total increments calculated.
(# O x 3 MI) + (# of VG x 2MI) (#G x 1 MI) = Total MI
Total MI/ $Performance Merit Pool = Value of 1 MI

32. UCPEA Merit: Performance Merit
Granted to bargaining unit members who receive overall ‘Outstanding’, ‘Very Good’ and ‘Good’ evaluations
Based on a system of “Merit Increments (MI)”
‘Good’ = 1 MI
‘Very Good’ = 2 MI
‘Outstanding’ = 3 MI

33. Performance Merit Amounts: 2010/2011
UCPEA Merit: Performance Merit
Performance Merit Amounts: 2010/2011
Rating
Pro Rata
2010
2011
Outstanding
Full
$168
$358
9 Months
$126
$268
6 Months
$84
$179
Very Good
$63
$134
$47
$89

34. Probationary Employees & Merit
UCPEA Merit: Probationary Employees
Probationary Employees & Merit
Employees who serve LESS THAN 6 MONTHS in probationary status during the evaluation period are eligible for a pro rata amount of merit
Employees who receive a pro rata amount of performance merit may be recommended for university merit
Employees must have completed their working test period on or before October 31 to be eligible for a pro rated amount of performance merit

35. Probationary Employees & Performance Merit
UCPEA Merit: Probationary Employees
Probationary Employees & Performance Merit
Employees who serve less than 3 months in probationary status during the evaluation cycle, are eligible for ¾ (9 months) of the performance merit for their overall rating
Employees who serve more than 3 months but less than 6 months in probationary status during the evaluation cycle, are eligible for ½ (6 months) of the performance merit for their overall rating

36. UCPEA Merit: University Merit
The process for university merit pay is separate from the performance evaluation process and is only awarded if - in the judgment of the Vice President or Vice Provost* the employee has met the outlined university merit criteria.
Employee should be notified on their performance evaluation whether or not they are being recommended for university merit.
*supervisors may make recommendations, but do not make the final decision

37. University Merit Criteria
UCPEA Merit: University Merit Criteria
University Merit Criteria
Significantly advanced the achievement of either the University, division, or department objectives;
2. Significantly improved operational efficiencies; or
3. Contributed in a unique and meaningful way to the advancement of the profession (Article 32.2e)

38. University Merit Deadline and Routing Procedure
UCPEA Merit: University Merit
University Merit Deadline and Routing Procedure
Once University merit returns, final recommendations for consideration must be submitted by JUNE 1 to the division’s Vice President or Vice Provost.

39. UCPEA Evaluations & Merit for End Date Employees
UCPEA Evaluations & Merit: End Dates
UCPEA Evaluations & Merit for End Date Employees
Evaluations procedures are the same for End Date employees as they are for permanent employees
End Date employees are only eligible for merit if they have been a member of the bargaining unit for the entire evaluation cycle (May 1 – April 30)

40. UCPEA Merit: Performance and University
The Return of Merit
Performance and University Merit will return July 1, 2015 per the May 25, 2011 Memorandum of Agreement between the UCPEA and the University.
In lieu of merit, effective July 1, 2013 and again on July 1, 2014, the University will distribute 1.5% of the gross salary account among all UCPEA members who performed satisfactorily and were members of the bargaining unit as of January 1, 2013 and 2014 respectively.

41. UCPEA Salary Increases: Overview
UCPEA Salary Increases for
Increase
Eligibility
Added To
Effective
3.25% of annual salary*
Member of BU as of 1/1/13; did not receive UNSAT
Base Salary
7/1/13
.25% of salary account divided by # of UCPEA members as of 1/1/13
Member of BU as of 1/1/13
1.5% of the gross salary account distributed among BU members
Member of BU as of 1/1/13; performed satisfactorily

42. UCPEA Performance Evaluations: Process
Questions