Staff
Performance Appraisal Policy UPPS
No. 04.04.20
Issue No. 9
Effective Date:
02/03/2012
Review: June 1 E3Y
01. POLICY STATEMENTS
01.01 The purpose of this UPPS is to establish a
system for the appraisal, development, and documentation of all regular staff
employee performance. The goals of performance appraisal are:
a. To help ensure that the quality and quantity
of work performed by Texas State staff members best meets the university's
needs;
b. To allow for continuous communication between
supervisor and employee about job performance;
c. To offer the supervisor and employee the
opportunity to develop a set of expectations for future performance;
d. To provide the opportunity for the supervisor
and employee to assess the employee's past performance;
e. To provide for future development of the
employee; and
f. To provide supporting documentation for pay
decisions, promotions, transfers, grievances, complaints, disciplinary actions,
and terminations.
01.02
The
chief diversity officer and director of Equity and Access will review the staff
performance appraisal system and its results as needed, but no less than bi-annually,
to ensure no discriminatory patterns or impact are apparent.
02. DEFINITIONS
02.01 Guidelines Oriented Job Analysis Booklet (GOJA
Booklet) – A listing of the duties, knowledge, skills, abilities (KSAs) and
other requirements for the employee's position.
02.02 Performance Appraisal – A continuous process
in which a supervisor assesses an individual's achievement of the performance
expectations established by the supervisor.
02.03 Performance Plan – A document containing an
employee’s performance expectations for the review period as established by the
supervisor. This document is the basis for the performance appraisal.
02.04 Performance Expectation – A statement based on
a duty from Section 5 of the GOJA booklet that summarizes a significant portion
of the job.
02.05 Performance Standard – A condition that exists
or will result if the staff member accomplishes the performance expectation in
an acceptable manner. There are four types of performance standards, usually
used in combination with one another, which are:
a. Time standard – Tells the completion time
measurement for performance; for example, completing a plumbing repair by 4:00,
completing a report by the end of the week.
b. Quantity standard – Tells the quantity
measurement for performance completion; for example, types 60 words per minute,
assists 20 patrons.
c. Quality standard – Tells the quality measurement
for performance completion; for example, between three and five errors, four to
six customer complaints, or ninety percent to ninety-four percent positive
responses from a student development seminar. Each performance expectation must
have at least one quality standard.
d. Resources standard – Used to specify
resources that are not fully under the employee's control. For example,
provided the shipment of supplies arrives, with the cooperation of another
department.
Performance standards
can begin with "This expectation is met when..."
03. PROCEDURES FOR ENSURING ORGANIZATIONAL
EQUITY
03.01 Nothing in this UPPS shall prohibit the
president, vice presidents, or other administrative officers, department heads,
and other account managers from establishing minimum, uniform performance
standards for appraising all employees within their areas of responsibility. In this manner, department heads can develop
their own performance standards for each of their employees or one set of
standards for all employees in their area with the approval of the
administrative chain of command including the vice president. These can include
behavioral, customer service, or attendance standards.
04. PROCEDURES FOR APPRAISING EMPLOYEES
04.01
Each
staff employee is required to have a current approved GOJA in their possession,
departmental file, and on file in Human Resources. The supervisor is
responsible for providing each new staff employee with a current GOJA at the
time of their employment. The supervisor will read the GOJA booklet for each
employee that he or she supervises prior to appraising their performance. At
the time of the appraisal, both the employee and the supervisor must certify
that the GOJA for the employee’s job is current and accurate. Certification is
to be documented on the cover page of the GOJA and on the indicated space on
the first page of the performance appraisal.
Performance Appraisal
forms are located online at: http://www.hr.txstate.edu/Forms/employerelationforms.html.
04.02 Determining the duties to evaluate:
a. The supervisor must decide which duties from
Section 5 of the GOJA are most important and appraise those duties. However,
the supervisor is encouraged to work with the employee to choose which duties
are the most important.
b. The important, appraised duties become the
performance expectations statements and should consume ninety percent or more
of the employee's time. In general, about eight to ten duties will comprise
statements of performance expectations.
04.03 The supervisor will enter the chosen
expectations on the performance plan.
04.04 Setting performance standards.
a. The supervisor sets each appraised duty’s
performance standard. However, the supervisor is encouraged to work with the
employee to set the standards for each duty. The supervisor may consider the
employee’s rating on prior appraisals in establishing performance standards for
the current period.
b. The supervisor will record the standards on
the performance plan.
04.05 The supervisor will have the duty of ensuring
that each employee is aware of all performance standards. When appropriate, the
supervisor may use a group setting to review performance expectations and
standards (for example, grounds maintenance workers, librarians, custodians,
systems analysts). Each employee must receive a copy of the performance plan
with the performance expectations and standards (see Section 04.10).
Note: It is possible
during the appraisal cycle for pertinent duties and performance standards
related to those duties to change. It is the responsibility of the supervisor
to communicate with his or her employees about these changes when they occur,
not during the appraisal interview. If changes are made, the employee must be
provided with a revised GOJA and performance plan indicating the changes.
04.06 At least one week before the appraisal
interview, supervisors may, at their discretion, ask employees to evaluate
themselves before the appraisal interview.
Note: The annual
performance appraisal interview is only one element of the total performance
appraisal system, which should include constant feedback, coaching, planning,
and other communication designed to make the employee more effective.
04.07 The supervisor will rate the employee on the
performance appraisal according to the standards set for each expectation.
A supervisor's skills
at leadership, employee development, and performance appraisal are critical.
The individual performing a supervisor’s evaluation will appraise these skills
in Part I of the performance appraisal.
Performance appraisals
for administrative officers, associate and assistant vice presidents, chairs, and
directors (as defined in the Pay Plan) must include an appraisal each year
on the progress made toward achieving increased numbers of women and ethnic
minorities in the workforce.
04.08 The supervisor will arrange to meet with the
employee in a private setting to discuss the ratings.
a. During the course of the interview, it is
important to inform the employee of concrete examples of work behavior that
contributed to his or her rating.
b. Feedback should consist of observations and
descriptions rather than opinions and judgment.
c. The supervisor should spend part of the
interview listening to the employee. An effective supervisor recognizes the
impact of his or her own performance on his or her employee’s performance.
d.
Ratings
assigned should reflect the supervisor's awareness of incidents that occurred
during the year that may have had a negative impact on the employee's
performance, but were beyond the employee's control.
e. Part II of the performance appraisal must include
the documentation for each performance expectation on the performance appraisal
that receives a rating above or below 3, which is “meets the minimum
performance standard.”
f. Ratings and scores are not final until after
the performance appraisal interview.
g. An employee who is unavailable for the
interview because of an extended absence due to sickness or leave without pay
must still receive an appraisal. Supervisors should complete the performance
appraisal, assigning a tentative score, and submit it without the
employee's signature to Human Resources via the
department head and vice president, attaching a memorandum explaining why the
employee is unavailable. When the employee returns to work, the supervisor
should conduct the interview, assign a final score, and complete subsections h.,
i., and j. below.
h.
At
the end of the performance appraisal interview, the supervisor, employee, and
the department director will sign the performance appraisal. In addition, the
divisional vice president, associate vice president, or assistant vice
president may sign the form at the divisional vice president’s discretion. The
employee's signature does not signify agreement with the appraisal, but that he
or she participated in an appraisal interview and is aware of the right to
appeal. If the employee refuses to sign the form, a witness will sign the form.
Whether or not the employee agrees to sign the performance appraisal, the
employee should have the option of completing the Post-Performance Appraisal Form.
i.
Originals of both the performance
appraisal and the post-performance appraisal form will remain in the employee's
departmental personnel file with copies forwarded to Human Resources via the appropriate vice president.
j. Within five working days of the appraisal interview,
the employee will receive a final copy of the performance appraisal. Before
April 15, the appropriate vice president must approve and sign the appraisals
and forward them to Human Resources.
04.09
Scoring
of Performance
a. A sliding scale to rate an employee’s
performance is permitted, accordingly:
Sliding scale for a
score between 1 and 2 would be: 1.0, 1.1, 1.2, 1.3, 1.4, 1.5, 1.6, 1.7, 1.8,
1.9, and 2.0. Scores between 2-3, 3-4, and 4-5 can use this scoring pattern.
04.10 Performance Plan
a.
Either
during the appraisal interview or in the following ten working days, the
supervisor and employee will discuss plans for the future appraisal cycle. Discussion
should include a summary of the information from Part II of the previous
appraisal. Based on this discussion, the supervisor will enter expectations and
standards in Part I of the performance plan. The supervisor will also enter in
Part II, #4, the training and other professional development experience needed
to enable the employee to meet the job performance requirements and contribute
toward the goals of the department, division, or university. These entries
comprise the employee’s performance plan for the current appraisal cycle. Both
the supervisor and the employee must initial and date the plan. Each should
retain a copy.
b. The supervisor may change the performance
plan during the year. Both the supervisor and the employee must initial and
date the revised plan. Each should retain a copy.
c. Within
thirty working days of any new hire, reclassification, transfer or demotion,
supervisors are required to provide the affected employee with a performance
plan covering the remainder of the appraisal cycle. The requirements for
initials, dates, and copies described in Section 04.10 a. apply.
d. The department must maintain performance
plans. Copies are not sent to Human Resources.
05. PROCEDURES FOR APPRAISING EMPLOYEES WITH
A CHANGE IN POSITION; SAME POSITION WITH CHANGE IN SUPERVISOR; SAME POSITION
BUT RATING SUPERVISOR IS NO LONGER AT TEXAS STATE; AND EMPLOYEES WHO ARE
SIMULTANEOUSLY SUPERVISED BY MORE THAN ONE SUPERVISOR
05.01 Change in Position
For performance
evaluation purposes, a change in position is a promotion or transfer from one
position to another.
a.
For
every change in position during an appraisal period, the employee shall receive
an annual appraisal from the supervisor responsible for rating the positions
the employee occupied. The final appraisal score for the employee will be
proportionate and represent a percentage of the time the employee was
supervised by each supervisor. The losing supervisor shall conduct the
employee’s evaluation within 15 working days and forward the completed
evaluation to Human Resources.
b.
Employees
are measured against the appraisal plan previously established for the
position. The employee’s appraisal score must proportionately represent a
percentage of the time each supervisor supervised the employee.
Example: The employee
was supervised by Supervisor “A” for eight months of the year and Supervisor
“B” for four months. Supervisor “A” rates the employee’s performance at 350 and
Supervisor “B” rates the performance at 400.
Using a proportionate
scoring system, the employee would receive a performance appraisal score of
367: (350*.67) + (400*.33) = 367.
c.
The supervisor will complete all other
procedures concerning the performance appraisal of employees with a change in
position, including appraisal appeals as described in this UPPS.
05.02 Same Position with Change in Supervisor
If, during an appraisal
period, an employee remains in the same position but changes supervisors, each
supervisor shall conduct an annual performance appraisal and forward to Human
Resources within 15 working days from
the last day for which the supervisor had rating responsibility for the
employee. The final appraisal score for the employee will be proportionate and
represent a percentage of the time the employee was supervised by each
supervisor.
Example: The employee
was supervised by Supervisor “A” for eight months of the year and Supervisor “B”
for four months. Supervisor “A” rates the employee’s performance at 350 and
Supervisor “B” rates the performance at 400.
Using a proportionate
scoring system, the employee would receive a performance appraisal score of
367: (350*.67) + (400*.33) = 367.
a.
The
supervisor will complete all other procedures concerning the performance
appraisal of employees with a change in supervisor, including appraisal appeals
described in this UPPS.
b.
In all instances the appraisal must
measure the employee’s performance against the previously established standards
in the employee’s performance plan for the year for the position for which the
employee is being evaluated.
05.03
Same
Position but Texas State No Longer Employs Rating Supervisor
If, for any reason, a
supervisor responsible for providing a rating under Section 05 of this UPPS no
longer works for Texas State, the rating responsibility passes to the next
higher supervisor until such time as the university appoints a new rating
supervisor.
a.
The next higher level supervisor
will complete all other procedures concerning the performance appraisal of
employees with a change in supervisor, including appraisal appeals described in
this UPPS.
b.
In
all instances, the current appraisal must measure the employee’s performance
against the plan’s previously established standards for the appropriate year
and position. If the next higher level supervisor issues a new performance plan
for the employee, the supervisor will measure the employee against those new
standards.
05.04
Employees
who are Simultaneously Supervised by More Than One Supervisor
In the event an employee is
simultaneously supervised during the same appraisal period, the performance
appraisal score shall reflect the proportion of the employee’s full time
equivalent (FTE) assigned to each supervisor.
Example: Employee
works for Supervisor “A” 75% of the week and Supervisor “B” 25% of the week.
Supervisor “A” rates the employee’s performance at 375 and Supervisor “B” rates
the employee’s performance at 300.
Using a proportionate
scoring system, the employee would receive a performance appraisal score of 356
(375 *.75) + (300*.25) = 356
a.
The supervisors preparing the
appraisals will complete all other procedures concerning the performance appraisal
of employees who are simultaneously supervised by more than one supervisor,
including appraisal appeals as described in this UPPS.
b.
In all instances, the appraisal
shall present an analysis of the employee’s performance of previously established
standards in the employee’s performance plan for the year.
05.05 The Human Resources office will merge the
appraisals and their scores in order to track both the submission of the
required appraisal documents and to record the final appraisal score.
06. PROCEDURES FOR APPEAL OF PERFORMANCE
APPRAISALS
06.01
Once
the rating supervisor and the employee sign the appraisal, it is finalized and
only the appeal process can alter it. Should
an employee refuse to sign an appraisal, the rating supervisor should make an
annotation on the appraisal and process the document.
06.02 The employee may, within ten working days of
receipt of the final copy of the performance appraisal, appeal the results to
the department director if he or she disagrees with the appraisal.
06.03 If the appraiser is the department director,
the employee may appeal to one level above the department director. If the
appraiser is the divisional vice president, the employee can only appeal to the
divisional vice president.
06.04 Employees must make appeals by confidential
memo, with a copy of the appraisal attached, to the department director or
department director's supervisor, as appropriate who will render a decision
within five working days. If the appeal is sent to the level above the department
director, a copy of the appeal should be provided to the department director. The
recipient of an appeal is the only person authorized to alter a finalized
performance appraisal and his or her decision is final. The department director
or department director’s supervisor will provide Human Resources with the
appeal, any attachments, and his or her final decision for inclusion in the
personnel file.
07. PROCEDURES FOR USING PERFORMANCE
IMPROVEMENT AND PERFORMANCE COMMENDATION FORMS
07.01 Performance Improvement – The supervisor is
required to indicate on the Performance Improvement Form the date for an
employee performance re-evaluation when a performance rating falls below 300.
The supervisor will use the form to give the employee a reasonable date by which
improvement must take place.
When the required
improvement date is reached, the supervisor will fill out the Follow-Up to the
Performance Improvement Form.
Originals of both of
these forms will remain in the employee's departmental personnel file with
copies forwarded to Human Resources via the appropriate vice president.
07.02 Performance Commendation – If during the
course of the appraisal cycle, the employee performs in an outstanding manner
and the supervisor wishes to recognize this performance, the supervisor will
fill out the Performance Commendation Form. The original of this form will
remain in the employee's departmental personnel file with copies forwarded to
Human Resources via the appropriate vice
president.
08. PROCEDURES FOR TIMELINESS OF APPRAISALS
AND MAINTENANCE OF RECORDS
08.01 It is the responsibility of each vice
president to see that all regular administrative, unclassified, and classified
employees in their division receive a written performance appraisal once each
year covering the period January 1 to December 31. The vice president will make
exceptions for those employees promoted, transferred, reclassified, demoted, or
hired between October 1 and December 31 who will receive an appraisal after six
months on the job and again at the end of the calendar year.
08.02 The written performance appraisal and
interview must occur between December and February unless the president
approves an alternate appraisal cycle (see Section 08.03).
Note 1: By December
15 the director of Human Resources will forward a memo to all administrative
heads reminding them that they must complete the annual performance appraisal
and interview for all regular staff employees by the last day of February.
Note 2: The director
of Human Resources will provide a reminder notice to all account managers on
February 15 that all performance appraisals are due to the divisional vice
president no later than April 1. The divisional vice president will forward all
appraisals to Human Resources by April 15. Prior to April 22, the director of
Human Resources will provide to the vice president for Finance and Support
Services (VPFSS) a list by division of all appraisals not received by April 15.
08.03 Alternate Appraisal Cycle
a. In certain circumstances, an annual appraisal
cycle might best meet the university’s needs when tied to activities or events
which do not coincide with the working year.
However, the
supervisor should only use an alternate performance appraisal cycle under
extraordinary circumstances, on a limited basis, and after receiving the appropriate
vice president’s approval. Human Resources must receive a copy of the vice president’s
approval.
b.
If
an alternate appraisal cycle is approved, the divisional vice president is
required to contact Human Resources for the proper procedures to follow.
09. ALTERNATE APPRAISAL SYSTEM
09.01 A supervisor may use an alternate appraisal
system if:
a. it achieves the goals established in Section
01.01, and
b.
the
division vice president and the president approve it, then
c.
Human
Resources must receive copies of alternate system approvals.
10. MANDATORY TRAINING
10.01 All employees promoted or reclassified into
supervisory positions and all newly hired supervisors must attend performance
appraisal training within the first six months of their hire, promotion, or
reclassification.
11. REVIEWERS OF THIS UPPS
11.01 Reviewers of this UPPS include the following:
Position Date
Director, Human
Resources June 1 E3Y
Chief Diversity
Officer and June 1
E3Y
Director of Equity
and Access
Chair, Staff Council June 1 E3Y
12. CERTIFICATION STATEMENT
This UPPS has been
approved by the following individuals in their official capacities and
represents Texas State policy and procedure from the date of this document
until superseded.
Director of Human
Resources; senior reviewer of this UPPS
Vice President for
Finance and Support Services
President