PD-1981-16

August 7, 1981

To: Deans, Department Chairpersons, and Administrative Heads
From: President Gail Fullerton, Academic Vice President Hobert Burns, Executive Vice President Jack W. Coleman
Subject: Performance Evaluation Procedure for Managerial and Administrative Employees

In compliance with guidelines established by the Trustees of the California State University and Colleges, the attached document has been developed to provide a performance evaluation procedure for managerial and administrati employees. It is effective this date. The University Personnel Office has been given the respon?sibility for notifying supervisors when evaluations are required. You are invited to direct any questions regarding this procedure to that office.

San José State University
Performance Evaluation Procedure for Managerial and Administrative Employees

It is important for effective and progressive University administration that all employees' performance be rated periodically in a fair and systematic manner. An essential part of that evaluation is a discussion between the employee being evaluated and the supervisor. To meet these objectives, the following performance evaluation procedures for all administrative employees are established. Normal policies regarding confidentiality are applicable.

I. Performance Evaluation of Managerial Employees With Two Year Probationary Period 1

A. During the Probationary Period 2

Managerial employees shall be evaluated at least two times during the probationary period.

  1. First Performance Evaluation
  2. The first formal evaluation shall occur during the eleventh month of employment following appointment to a managerial position and shall include the supervisor's recommendation for continued employ?ment and the granting of the employee's MSA (if appropriate).3
  3. Second Performance Evaluation
  4. The second formal evaluation shall take place during the employee's twenty-second month of employment. This evaluation will determine the employee's permanent retention by the University and the granting of the employee's MSA (if appropriate).

B. Following the Probationary Period

Following the successful completion of the probationary period and the granting of permanent status (administrative tenure) to the employee, periodic performance evaluations will be conducted as follows:

  1. Annually approximately 45 days prior to the employee's salary anniversary.
  2. Every three years following attainment of the top step of the salary range of the employee's classification.

C. Optional Evaluations
Nothing precludes a supervisor from conducting a performance evaluation of a managerial employee at more frequent intervals than required by this procedure.

  1. Managerial Classes are identified on Attachment #1
  2. An Administrative employee can be terminated any time during the two year pro?bationary period. Title 5, Section 43585, stipulates the amount of "notice" to be given an administrative employee if termination is recommended (see Attach?ment !2).
  3. Denial of 'T employee's merit salary increase requires reconsideration of the decision in three (minimum) to twelve (maximum) months at the discretion of the supervisor.
  4. Performance evaluation forms for this purpose may be requested from the Personnel Office. If such performance evaluations are made, they will be forwarded to the Personnel Office for inclusion in the employee's official personnel record.
  5. All evaluations must be signed by the employee and by the supervisor.

D. Documentation Procedures

  1. All times specified for evaluation of the employee's performance during the probationary period, as well as after the attainment of permanent status with the University, are minimum standards. The University Personnel Office is responsible for requesting that an evaluation take place and for maintenance of the performance evaluation forms in the employee's official personnel record.
  2. Evaluation forms must be signed by the employee and the employee's supervisor.
  3. An employee has the right to file a written rebuttal to the super?visor's evaluation which will become part of the official personnel record.

E. Criteria

  1. The primary emphasis of a managerial employee's performance evaluation should be an assessment of effectiveness with respect to leadership, interpersonal relationships, creative and innovative contributions to the organization and carrying out program responsibilities. Additionally, each supervisor may develop specific criteria for the evaluation that is unique to the employee's particular function.
  2. In addition to documenting effectiveness in performance, an important purpose of the evaluation is to identify areas of strength, areas for improvement and to stimulate improvement in the employee's future performance.
  3. All judgments of the supervisor are to be in narrative form. The supervisor may solicit information regarding the employee's performance from appropriate segments of the campus and external sources with whom the employee and the employee's staff have dealings.
  4. If the supervisor considers it appropriate, it is permissible to involve a group or committee to assist in obtaining information about the employee's performance, but this action in no way relieves or diminishes the responsibility of the supervisor with respect to the evaluation.

II. Performance Evaluation of Administrative Employees With Two Year Probationary Period 4

A. During the Probationary Period

  1. First Performance Evaluation
  2. Administrative employees shall be evaluated at least three times during the probationary period. The first formal evaluation shall occur during the sixth month of employment following appointment to an administrative position and shall include the supervisor's recommendation for continued employment.
  3. Second Performance Evaluation
  4. The second formal evaluation shall take place during the employee's twelfth month of employment and shall include the supervisor's recommendation for continued employment and the granting of the employee's MSA (if appropriate).
  5. Third Performance Evaluation
  6. The third and last formal evaluation during the probationary period shall occur during the employee's twenty-second month of employment. This evaluation will determine the employee's permanent retention by the University and the granting of the employee's MSA (if appropriate).

B. Following the Probationary Period

Following the successful completion of the probationary period and the granting of permanent status (administrative tenure) to the employee, periodic performance evaluations will be conducted as follows:

  1. Annually approximately 45 days prior to the employee's salary anniversary.
  2. Every three years following attainment of the top step of the salary range of the employee's classification.

C. Optional Evaluations

Nothing precludes a supervisor from conducting a performance evaluation of an administrative employee's job performance at more frequent intervals than required by this procedure.

  1. Performance evaluation forms for this purpose may be requested from the Personnel Office. If such performance evaluations are made, the form(s) will be forwarded to the Personnel Office for inclusion in the employee's official personnel record.
  2. All evaluations must be signed by the employee and by the supervisor.

Employees with two year probationary period not previously identified, on "Managerial Classes" list (See Attachment #3)

D. Documentation Procedures

  1. All times specified for evaluation of the employee's performance during the probationary period, as well as after the attainment of permanent status with the University are minimum standards. The University Personnel Office is responsible for requesting that an evaluation take place and for maintenance of the performance evaluation forms in the employee's official personnel record.
  2. All forms must be signed by the employee and by the supervisor.
  3. An employee has the right to file a written rebuttal to the supervisor's evaluation which will become part of the official personnel record.

E. Criteria

  1. The primary emphasis of the administrative employee's performance evaluation should be an assessment of effectiveness with respect to job knowledge, organizational skills, interpersonal relation?ships, leadership capabilities, sensitivity and awareness, creativity and innovative contributions, communication skills and reliability in performance. Additionally, each supervisor may develop specific criteria for the evaluation that is unique to the employee's particular function.
  2. In addition to documenting effectiveness in performance, an impor?tant purpose of evaluation is to identify areas of strengths, areas for improvement and to stimulate improvement in the employee's future performance.
  3. The supervisor may solicit information about the employee's per?formance from appropriate segments of the campus and external sources with whom the employee and the employee's staff have dealings.
  4. If the supervisor considers it appropriate, it is permissible to involve a group or committee to assist in obtaining information about the employee's performance, but this action in no way relieves or diminishes the responsibility of the supervisor with respect to the evaluation.

Attachment #1
Managerial Classes

Accountant Specialist II Accounting Officer I and II
Administrative Program Specialist I, II and III
Assistant Director of Plant Operation
* Associate Director, Institutional Studies
Associate Director of Plant Operation Business Manager I , II and III
Data Processing Manager I, II and III * Dean of Students
* Director of Institutional Studies
Director of Plant Operation I, II and III Director of Public Safety I, II and III Director of Student Health Services Environmental Health and Safety Officer
* Executive Assistant to the President
* Executive Dean
Financial Manager I and II
Personnel Management Specialist I and II Personnel Officer I , II and III
Physician II, Program Services
Physician III
Procurement and Support Services Officer I , II and III Public Affairs Officer I , II and III
* Special Assistant to the President/Vice President * Staff Assistant to the President/Vice President
Student Affairs Assistant III and IV
** Student Affairs Program Officer III, IV and V Supervising Systems Analyst

* Person(s) employed in this class serve in academic-administrative assignments and earn tenure/permanent status in accordance with Title 5, Article 15, Section 43593.
** Probationary period for this class coincides with that of faculty (see Title 5, Section 43560).

Attachment #2
Title 5, Subchapter 7, Article 14

43585 Notice of Rejection to Probationary Administrative Employee. The president of a campus for campus employees or the Chancellor for employees in the Office of the Chancellor may determine at any time during an administrative employee's probationary period that the employee is to be rejected. Upon making such a determination, the president or the Chancellor shall give notice of rejection to such employee. Such notice shall state the assigned date of separation.

Following completion of six months or more of continuous service, notice shall be given not less than fifteen days prior to the assigned date of separation; or

Following completion of twelve months or more of continuous service, notice shall be given not less than thirty days prior to the assigned date of separation; or

Following completion of eighteen months or more of continuous service, notice shall be no later than the last day of the probationary period, and not less than forty-five days prior to the assigned date of separation.

Notwithstanding Section 43580, an administrative employee shall not become a permanent employee on beginning the third year of service if notice of rejection pursuant to this section has been given at any time during the probationary period:

(b) When the president or the Chancellor determines that it is in the best interests of the California State University and Colleges or any campus thereof that a probationary administrative employee should be relieved of any or all of his or her duties following notice of rejection, the president or the Chancellor may designate other duties for the employee, or may direct the employee to take a vacation, or may direct the employee to take a leave of absence with pay. Such designation of other duties, vacation or leave of absence shall not be deemed a disciplinary action or reassignment.

(c) The notice of rejection to the probationary administrative employee shall be in writing, signed by the campus president or designee for campus employees, or Chancellor or designee for employees in the Office of the Chancellor, and mailed by certified mail, return receipt requested to the employee at his or her last known address; or the notice may be delivered to the employee in person who shall acknowledge receipt of the notice in writing. If the notice is delivered to the employee who refuses to acknowledge receipt thereof, the person delivering the notice shall file with the campus president or Chancellor as appropriate, a declaration of service thereof, which declaration shall be regarded as acknowledgement of receipt of notice.

Attachment #3
Administrative Classes

Accountant I and II
Administrative Assistant I and II Administrative Trainee
Assistant Administrative Analyst
Assistant Budget Analyst
Assistant Systems Analyst
Assistant Systems Software Specialist
Associate Administrative Analyst
Associate Budget Analyst
Associate Systems Analyst
Associate Systems Software Specialist
Chief, Custodial Services I, II and III
Clinical Laboratory Technologist I and II
Extended Education Specialist I, II and III
Head Resident I and II
Health Education Assistant
Health Educator
Instructional Computing Consultant I, II, III and IV
Junior Staff Analyst
Media Production Specialist I, II and III
Nurse Practitioner
Nutritionist
Payroll Supervisor I, II and III
Personnel Assistant
Pharmacist
Physical Therapist I and II
Physician I and II
Procurement Assistant
Programmer I, II and III
Programmer Trainee
Public Affairs Assistant I and II
Public Safety Investigator
Public Safety Officer
Radiation Safety Officer
Registered Nurse I, II, III and IV Research Technician 1, II and III
Senior Administrative Analyst.
Staff Trainee
Student Affairs Assistant I and II
* Student Affairs Officer III, IV and V
Student Affairs Trainee
Supervising Accountant I
Supervising Administrative Assistant I and II Supervising Assistant Administrative Analyst Supervising Assistant Budget Analyst
Supervising Assistant Systems Software Specialist Supervising Associate Administrative Analyst
Supervising Associate Budget Analyst
Supervising Associate Systems Analyst
Supervising Associate Systems Software Specialist Supervising Clinical Laboratory Technologist
Supervising Instructional Computing Consultant III Supervising Junior Staff Analyst
Supervising Physician II
Supervising Procurement Assistant
Supervising Programmer
Supervising Public Affairs Assistant II
Supervising Public Safety Officer I and II
Supervising Registered Nurse II and III
Supervising Research Technician II and III
Supervising Senior Administrative Analyst
Supervising Student Affairs Assistant II, III and IV Supervising Systems Analyst
Supervising Television Engineer
Supervisor of Grounds and Landscape Services Supervisor of Instructional Support
Technical Equipment Supervisor
Television Engineer

* Probationary period for the class coincides with that of faculty (see Title 5, Section 43560).