Date:April 4, 2011

To:President & Vice-Presidents; Principals, Deans, Academic Directors & Chairs; Professionals / Managers; Confidential Staff; (CC: Divisional HR Offices)

From:Angela Hildyard, Vice President, Human Resources & Equity

Re:Professional / Managerial and Confidential 2011 Annual Performance Assessment Process

Performance assessment is an opportunity to recognize accomplishments, clarify expectations, focus on priorities, and discuss opportunities for development.  Staff value meaningful feedback and this opportunity to discuss career development.  Please take the time to engage positively with your staff in this process.

The Public Sector Compensation Restraint Act legislation, in effect until March 31, 2012, permits increases that are merit driven.  Therefore merit increases based on this evaluation process for Professionals/Managers and Confidentials will be awarded effective July 1, 2011.

This memorandum contains detailed instructions on the Performance Assessment processes for Professionals/Managers and Confidential staff.

Any questions concerning the Performance Assessment Tool and Process may be directed to your Divisional HR Office.

Section 1 – Critical Dates Overview

By April 18	Reviewer requests annual Activity Report from P/M and Confidential staff members by April 18.  Reviewer reviews the reports and reflects on feedback and coaching discussions that occurred with staff members throughout the review period.
April 19 – May 13	Reviewer completes the Competencies Worksheet and Summary identifying the effective or ineffective behaviours demonstrated during the review period and obtains additional feedback on performance if appropriate.
May 16	Reviewer submits the completed performance assessment with a recommended overall rating to the HR Office by May 16 for Divisional Review. Reviewers should not share recommended ratings with staff prior to the Divisional Review.
May 17 – 31	Divisional HR Offices facilitate Divisional Reviews. Approved ratings are communicated to the Reviewer.
By July 21	Reviewer conducts face to face performance assessment discussions and confirms all ratings with P/M and Confidential staff members.
By August 31	A copy of the completed Performance Planning, Feedback and Development Form should be retained in the employee personnel file by the Reviewer and be provided to the staff member.
By August 31	The Reviewer should meet with each P/M and Confidential staff member to discuss and complete Part D: Planning for the Next Review Period.

Section 2 – Performance Assessment Process

Overview

Performance planning and assessment is an ongoing process of communication between managers and their staff. The process involves a proactive planning component at the beginning of the performance year; ongoing feedback and coaching during the year; as well as an annual end of year meeting to:

• Assess and discuss the staff member’s relative success in achieving the expectations and/or goals for the review period and “how” these objectives were achieved using the defined competencies;
• Recognize strong performance;
• Identify areas requiring improvement and/or development and plans for meeting the training needs;
• Identify key priorities for the following year, and set goals and expectations.

The staff member has the responsibility to: i) Actively participate in the process of confirming and/or setting expectations and/or goals; ii) Provide the Reviewer with an Activity Report outlining the completion of previously agreed to expectations and/or goals.

The Reviewer has the responsibility to: i) Create a motivating and supportive climate; ii) Initiate the process of confirming and/or setting expectations and/or goals; and iii) Observe performance, give feedback, guide developmental activities and conduct a performance discussion.

Performance assessments for members of the Professional/Managerial and Confidential employee groups should be conducted this year using the current format available on the Human Resources website at Professional/Managers Assessment Form and Confidential Assessment Form

The Performance Assessment policies for Professionals/Managers and Confidential staff are available on the Human Resources website at Policies for Professional/Managers, Policies for Confidentials .

Training for PM and Confidential staff and Training For Reviewers on the performance assessment process will be conducted by Divisional HR Offices. An Orientation to the Performance Planning Feedback and Development (PPFD) process is available for PM staff and Confidential staff

Process

1.    The Reviewer requests P/M and/or Confidential staff members to complete Part A: Activity Report by April 18th, 2011.

2.    Once the staff member has completed and submitted Part A: Activity Report, the Reviewer should complete the following sections of the Performance Planning, Feedback and Development form:
i.    Section B: Values and Competencies Summary using the Competencies Worksheet; and
ii.    Section C: Comments and Overall Performance Rating.
Reviewers can also access the “Performance Planning, Feedback and Development Guidelines” when assessing performance.

3.    The Reviewer submits the completed performance assessment with recommended Overall Performance Rating for each Professional/Managerial and Confidential staff member to the Divisional HR Office, no later than May 16th, 2011.  Performance ratings for Professional/Managerial and Confidential staff are described in Attachment A to this document;

NOTE: The categories of ‘Excellent Performance’ (4) and ‘High Quality Performance’ (3 or 3.5) reflect the very high standard of performance that is expected of P/M and Confidential staff. In support of this, it is expected that the majority of performance ratings should fall within these performance categories.  It is important that P/M and Confidential staff members understand from the outset that performance ratings are relative to the performance of colleagues in the same Division. It is expected that there will be distinctions between levels of performance, so when Reviewers are conducting their assessments they should consider the relative performance of staff within their units, being mindful that this is addressed more broadly at the Divisional Review Committees.

Where a performance rating of ‘4.5’ or ‘5’ is recommended the Reviewer must also provide a one-paragraph summary outlining the rationale for this rating.

All recommended performance ratings must be reviewed by the Division Head through the Divisional review process. Divisional Review meetings will be coordinated by the Divisional HR Offices and should take place between May 17 – 31.

Staff at the PM 8-9 level will be reviewed through a centralized process led by the President.

The Reviewer should not advise the staff member of the final rating until after the Divisional review has taken place and all performance ratings have been approved.

4.    Once performance ratings have been reviewed and approved, the Reviewer should meet face to face with each P/M and Confidential staff member to communicate the approved performance rating. Face to face performance assessment discussions with staff should be conducted by July 21.

5    The Reviewer should meet with each P/M and Confidential staff member to discuss and complete Part D: Planning for the Next Review Period.  This should occur by the end of August.  A copy of the completed Performance Planning, Feedback and Development Form should be retained on file by the Reviewer and be provided to the staff member and Divisional HR Office.

Section 3 – Special Recognition Program (OTO PAYMENTS)

The Compensation Policy for Professionals/Managers, enables special achievements or efforts throughout the year to be recognized through an OTO payment or some other appropriate form of non monetary recognition.  While the Public Sector Compensation Restraint Act is in effect, all OTO requests, regardless of the monetary value, must be approved by the Vice President, Human Resources and Equity.

If a manager believes that an OTO is required, the amount of this request needs to take into consideration the relative value of the additional duties or extraordinary effort.  Guidelines for the Special Recognition Program have been established to assist managers in finding ways to appropriately recognize staff.  These guidelines include the following principles for monetary awards:

• The ‘value’ of the award should be proportionate to the staff member’s special achievement or contribution or effort expended to ensure the desired impact and should be relative to the staff member’s current salary.
• When the Special Recognition Program is used in conjunction with the annual merit award, the rationale for the special recognition award should not be the rationale used to justify an Exceptional Performance rating. There should be a tangible and discrete rationale for the awarding of the OTO.
• The ‘value’ of awards should be determined in consultation with Divisional HR Offices to assist with ensuring fairness, internal equity and to differentiate awards on an objective and appropriate basis.

Please forward all requests outlining a specific rationale for the awarding of an OTO to your Divisional HR Offices for the appropriate approvals.

In accordance with the Compensation Policy for Confidential staff, lump sum OTO payments may also be awarded to Confidential staff members to recognize extraordinary effort and/or contribution.  The approval procedures and guidelines are the same as those outlined above for professionals/managers.

Attachment A

UNIVERSITY OF TORONTO

PERFORMANCE RATINGS

FOR PROFESSIONAL/MANAGERIAL AND CONFIDENTIAL STAFF

PERFORMANCE CATEGORY	DESCRIPTION	PERFORMANCE RATING
Exceptional Performance	Consistently and substantially exceeded goals, objectives and expectations through outstanding achievements in all aspects of the position.  This category is reserved for employees who demonstrate exceptional performance of a consistently and distinctly superior level of quality in all areas of responsibility and make significant contributions to the Division/Department and/or University. Those who receive this rating must consistently and substantially exceed all goals as a direct result of concerted effort.	5 4.5
* Excellent Performance	Consistently achieved and frequently exceeded job expectations, goals and objectives through concerted effort, according to plan. Demonstrated performance of a very high level of quality in all areas of responsibility.	4
* High Quality Performance	Consistently achieved performance expectations.  Work is of high quality in all significant areas of responsibility.  Met job expectations, goals and objectives – both qualitative and quantitative.	3.5 3
Partially Achieving Performance Expectations	Partially achieved some quantitative and qualitative goals and objectives; improvement is needed.  It is expected that the employee will work to fulfill job expectations in a reasonable period of time – not to exceed one year.	2.5 2
Unsatisfactory Performance	Did not meet majority of goals and objectives. Improvement is needed in most aspects of the job.  It is unclear if the employee can develop to the point where all job expectations are met.  This needs to be addressed immediately.	1
*It is expected that the majority of ratings will fall into the ‘High Quality Performance” and “Excellent Performance” performance categories.

It is important that P/M staff members understand from the outset that performance ratings are relative to the performance of colleagues in the same Division.  It is expected that there will be distinctions between levels of performance, so when Reviewers are assessing performance they should consider the relative performance of staff within their units, being mindful that this is addressed more broadly at the Divisional Review Committees.