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Annual Performance Review Process Procedure

Issue Date: 06/03/2019
Related Policy: Annual Performance Review Process Policy
Revision History: 01/01/1995; 01/01/2002; 12/14/2022

Goal

To provide a consistent system for employee performance feedback linking job performance to job expectations.

Detailed Procedures

There are at least three (3) steps to the Performance Management process. It is important to understand the process to coordinate the timing of the steps with the appropriate events. The process includes: (1) setting objectives; (2) recommended mid-year review of the objectives; and (3) an Annual Review at the end of the rating period. Supervisors are encouraged to meet and discuss objectives and performance at other times whenever warranted or desired.

For senior staff (salary grade 18 and above), this process takes place on a fiscal year schedule of July 1 through June 30. For all other staff, this process parallels their anniversary year, or at a designated time determined by the department in consultation with Human Resources.

Step One: Reviewing Objectives and Setting Goals

  1. New Hires and Internal Transfers: Upon completion of the orientation period, all employees will meet with their supervisors to review objectives and set goals for the remainder of the performance review period.
  2. For all other staff: Objectives will be reviewed and goals set at the beginning of the designated Annual Performance Review Process period.

Step Two: Mid-Year Review (Recommended)

  1. New Hires and Internal Transfers: The mid-year review should occur approximately three (3) months after the employee completes orientation. The employee should have six (6) months of experience in the job. 
  2. For all other staff: The mid-year review should occur in six (6) months - or halfway through the performance review period for departments with one review date.

While recommended, schools, departments, and/or individual supervisors may choose not to hold a formal mid-year review. Supervisors should keep the mid-year review for use during the annual review.

Step Three: End of the Rating Period

  1. Employees should complete the Self-Assessment around eleven (11) months and give to their supervisor. Employees may leave sections blank if appropriate or desired.
  2. At the end of the performance review period, the supervisor will complete the Annual Review and Salary Review Addendum and submit it to the school/department management center HR office for approval to ensure the Annual Review language is appropriate and pay guidelines are followed.
  3. Once the Annual Review and proposed salary increase are approved and signed, the management center returns the Annual Review to the Supervisor.
  4. The supervisor will hold an end of the rating period performance discussion with the employee. Supervisors should give employees sufficient notice of when their performance discussion will be scheduled so that employees may prepare for the discussion. It is recommended to give employees at least one to two (1-2) days’ notice.
  5. The supervisor and employee together will review the past year’s performance, including objectives and goals and the performance rating appropriate for the performance over the same time frame. If the evaluation of the employee’s performance changes based on their self-evaluation or the discussion, the supervisor should re-submit the Annual Review Form for review and approval by the management center.   
  6. Employees should sign the completed Salary Review Addendum Form that has already been approved by the management center. The form is a means of documenting the outcome of the discussion, but is not a substitute for a one-on-one discussion with the employee. Employee’s signature acknowledges receipt only, not agreement. The Salary Review Addendum and Annual Review should then be submitted to the management center’s HR office (or directly to HR Records if instructed by the management center) within one (1) business day of signature so the Annual Review can become part of the Employee’s personnel file and any salary increase, if applicable, can be entered into the Employee’s next paycheck.

A review is not a guarantee of an increase. Additionally, employees who have below average ratings do not qualify for a salary increase.

Step Four: Further Action if Performance Issues Exist

  1. If the employee has been issued Positive Corrective Action within the last year, supervisors should include those issues in the Positive Corrective Action into the Annual Performance Review and assess progress. Mitigating factors, such as the length between the issue(s), are relevant and should be considered.
  2. If, upon reviewing the employee’s performance for the Annual Performance Review, the supervisor determines that an employee’s performance, behavior, or attendance warrants Positive Corrective Action (or warrants further Positive Corrective Action, if the issues identified in a previous PCA have not improved), the supervisor should reach out to their HRA and/or Employee Relations at AskHR@case.edu. Any issues identified by the supervisor to justify a PCA should be noted in the Annual Performance Review, but the supervisor does not need to wait until the PCA is completed before finalizing and issuing the Annual Performance Revie
    1. If the employee will receive a PCA soon after the Annual Performance Review session, the supervisor should notify the employee during the meeting that Employee Relations will be reaching out.
    2. If the employee will receive a PCA during the Annual Performance Review session, the supervisor should notify the employee prior to the meeting.

Compensation Review

  1. The basis for determining staff salary increases is meritorious performance. Schools and departments must manage compensation consistent with the budget (distributed annually by the budget office) to comply with funding, financial management, and budgetary requirements.
  2. Employees whose overall rating falls in the lower two rating categories (i.e. Below Average or Poor) are not eligible for a merit increase.
  3. Employees whose performance is deserving of a merit increase, but whose salaries would exceed the maximum of the range, may be awarded a lump sum payment in lieu of an increase to their base rate of pay, or in whatever amount exceeds the maximum of the range. The amount will be divided and paid in equal installments over the 12 months following the effective date of the employee's annual review date.
  4. Supervisors are responsible for obtaining additional approvals, as required in each management center, for recommendations on salary increases. A supervisor’s recommended salary increase is not final until approved by the department’s financial office and HR Compensation Office.

Closure

  1. Annual Reviews and Salary Addendum Forms should be returned to the HR Records Office at hrrecords@case.edu at least fifteen (15) days prior to the effective date indicated on the Salary Review Addendum. For any late review, defined as three (3) months late, it will be sent to the Human Resources Administrator, Department Chair, Dean, appropriate Vice President, and/or Provost.
  2. The HR Records Office will process the raise(s) approved by the department’s management center and HR Compensation Office on the Salary Addendum Form.

For any other requests for compensation change (such as equity requests), supervisors should refer to Staff Salary Plan Policy and Staff Salary Changes Procedure.