Staff Performance Appraisal Policy UPPS No.
04.04.20
Issue
No. 7
Effective
Date: 03/30/2007
Review:
June 1 E2Y
Attachments
I, II,
III,
IV,
V
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
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 Director of Equity and Access will review the Staff Performance Appraisal system and its results as needed, but no less than 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
Expectation – A statement based on a duty from Section 5 of the GOJA booklet
that summarizes a significant portion of the job.
02.04 Performance Standard – A condition that exists or will result if the performance expectation is accomplished in an acceptable manner. There are 4 types of performance standards. In practice, these 4 types of standards are usually used in combination with one another. The 4 types of performance standards are:
a. Time standard
– Tells when the performance expectation will be done; for example, completing
a plumbing repair by 4:00, completing a report by the end of the week.
b. Quantity
standard – Tells how much will be done. For example, types 60 wpm, assists 20
patrons.
c. Quality standard – Tells how well the performance expectation will be done; for example, between 3-5 errors, 4-6 customer complaints, or 90%-94% positive responses from a student development seminar. Each performance expectation must have at least 1 quality standard.
d. Resources
standard – Can be used to limit the resources available for an employee; for
example, without using overtime or within an established budget. Can also be
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 result in a statement that begins "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.
04. PROCEDURES FOR APPRAISING EMPLOYEES
04.01 Each staff employee is required to have a current approved
GOJA in their possession 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 the indicated space on the first page of the performance appraisal
document.
The
Staff Performance Appraisal Policy reflects the use of criteria based on online
templates to conduct and complete performance plans and appraisals for each
position. The Performance Appraisal forms are located online at: http://www.humanresources.txstate.edu/policies.htm.
Supervisors
must list the duties and standards under the appropriate appraisal criteria on
the template. A duty may be listed under multiple criteria if appropriate.
04.02 Determining the duties to be evaluated:
a. The
supervisor has the responsibility to decide which duties from Section 5 of the
GOJA booklet are most important and are to be appraised. However, the
supervisor is encouraged to work with the employee to choose which duties are
the most important.
b. The important duties (those to be appraised) become the statements of performance expectations and should consume at least 90% or more of the employee's time. In general, about 8 to 10 duties will be used as statements of performance expectations.
04.03 The
supervisor will enter the chosen expectations on the Performance Appraisal Form
(see Attachment
I).
04.04 Setting performance standards.
a. The
supervisor has the responsibility to set the performance standards for each
duty to be appraised. However, the supervisor is encouraged to work with the
employee to set the standards for each duty. How well the employee met the
standards of the previous appraisal periods may be helpful in setting standards
for the current appraisal period.
b. The
supervisor will record the standards on the Performance Appraisal Form.
04.05 The supervisor will have the duty of ensuring that each employee is aware of all performance standards. Reviewing performance expectations and standards may be done in a group setting, when appropriate (for example, Grounds Maintenance Workers, Librarians, Custodians, Systems Analysts). Each employee must receive a copy of the Performance Appraisal Form with the performance expectations and standards (see Section 04.09).
Note:
It is possible during the course of the appraisal cycle that the pertinent
duties within a position could change, as well as the performance standards
related to those duties. 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.
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 Form according to the standards set for each expectation.
A
supervisor's skills at leadership, employee development, and performance
appraisal are critical. These skills must be appraised in Part I of the
Performance Appraisal Form for all staff supervisory personnel.
Administrative
officers and Directors (as defined in the Pay Plan) must
also be appraised each year on their progress toward achieving increased
numbers of women and ethnic minorities in their 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 that the employee be told 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 subordinate'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. Documentation
is required for each Performance Expectation on the Performance Appraisal Form
that receives a rating above or below a rating of 3, which is “meets minimum performance
standard.” The documentation must be provided in Part II of the Performance
Appraisal Form.
f. Documentation
is required to substantiate an individual’s non-compliance with policies,
procedures, work rules or inappropriate work-related behavior. The
documentation must be provided in Part II of the Performance Appraisal Form.
g. Ratings and
scores are not final until after the performance appraisal interview.
h. An employee who is not available for the interview
because of an extended period of absence due to sickness or leave without pay
must still be appraised. Supervisors should complete the appraisal form,
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 interview should be conducted, a final
score assigned, and Subsections i., j., and k. below should be completed.
i. The
supervisor, employee, and the department director will sign the Performance
Appraisal Form. 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 be brought in to sign the form. Whether or not the employee agrees
to sign the appraisal form, the employee should be given the option of
completing the Post Performance Appraisal Form (see Attachment
II).
j. Originals
of both of these forms will be kept in the employee's departmental personnel
file and copies will be forwarded to Human Resources via
the appropriate vice president.
k. Within 5 working days of the appraisal interview, the
employee will receive a final copy of the Performance Appraisal Form. The
original will be placed in the employee's departmental personnel file. A copy
will be forwarded to the divisional vice president by April 1. The divisional
vice president will forward all appraisals to Human Resources by April 15 for
inclusion in the employee's personnel file.
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. This scoring
pattern can be used for scores between 2-3, 3-4, and 4-5.
04.10 Performance
Plan
a. Either during the appraisal interview or within 10 working days after the appraisal interview, the supervisor and employee will discuss plans for the future appraisal cycle. Discussion of plans 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 appraisal form. The supervisor will also enter in #4 of Part II of the appraisal form the training and other professional development experience needed that would help support the employee to meet the performance requirements of his or her job 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 30
calendar 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. Performance
plans are maintained within the department. Copies are not sent to Human
Resources.
05. PROCEDURES
FOR APPRAISING TRANSFERRED EMPLOYEES OR EMPLOYEES WHO ARE SIMULTANEOUSLY
SUPERVISED BY MORE THAN ONE SUPERVISOR
05.01 If, during an appraisal period, an employee is transferred from one supervisor to another, the annual performance appraisal shall be conducted by each supervisor of the employee proportionate to the amount of time the employee was supervised by each supervisor during the preceding appraisal period. The final appraisal score will represent a percentage of time the employee was supervised by each supervisor.
Example:
The employee was supervised by Supervisor “A” for 8 months of the year and
Supervisor “B” for 4 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.
05.02 In all
instances, the appraisal shall be an analysis of the employee’s performance of
previously established objectives in the employee’s performance plan for the
year.
05.03 All other
procedures concerning the performance appraisal of transferred employees,
including appeals of appraisals shall be completed according to the manner
described in this UPPS.
05.04 In the
event an employee is simultaneously supervised by more than one supervisor
during the same appraisal period, the performance appraisal score shall be
proportionate to the employee’s 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
05.05 In all
instances, the appraisal shall be an analysis of the employee’s performance of
previously established objectives in the employee’s performance plan for the
year.
05.06 All other procedures concerning the performance appraisal of transferred employees, including appeals of appraisals shall be completed according to the manner described in this UPPS.
06. PROCEDURES FOR APPEAL OF PERFORMANCE APPRAISALS
06.01 The
employee may, within 10 working days of receipt of the final copy of the
Performance Appraisal Form, appeal the results of a performance appraisal to
the department director if he or she disagrees with how their performance has
been appraised.
06.02 If the
appraiser is the department director, the employee may appeal to 1 level above
the department director.
06.03 Appeals are to be accomplished by confidential memo from the employee to the department director or department director's supervisor, as appropriate. A copy of the appraisal must be attached. Decisions on appeals must be rendered within 5 working days. This decision is final. The department director 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. Any time an employee's performance rating falls below 300 (meets minimum
performance standard), the supervisor must complete the Performance Improvement
Form (see Attachment
III). The supervisor will use the form to give the employee a reasonable
date by which improvement must take place. The supervisor is required to
indicate on the Performance Improvement Form the date that the employee will be
re-evaluated when an employee’s performance rating falls below 300.
When
the required improvement date is reached, the supervisor will fill out the
Follow-Up to the Performance Improvement Form (see Attachment
IV).
Originals
of both of these forms will be kept in the employee's departmental personnel
file and copies will be 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
(see Attachment
V). The original of this form will be kept in the employee's departmental
personnel file and a copy will be 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. Exceptions are for those employees promoted, transferred, reclassified,
demoted, or hired between October 1 and December 31 who will be appraised after
6 months on the job and again after the next December 31.
08.02 The written performance appraisal and interview will be conducted during January and February of each year unless an alternate appraisal cycle has been approved (see Section 08.03).
Note
1: By December 15 of each year the Director of Human Resources will forward a
memo to all administrative heads reminding them that the annual appraisal form
and interview on all regular staff employees must be completed 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 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 individual situations the needs of the University might be best met by an annual appraisal cycle tied to:
1) activities
or events which do not coincide with the calendar year; or
2) employee
anniversary date.
However,
an alternate appraisal cycle should only be used under extraordinary
circumstances, on a limited basis, and must be approved by the President. A
copy of the President’s approval must be forwarded to Human Resources.
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. it is approved by the division vice president and the President, then
c. copies of alternate system approvals are forwarded to Human Resources.
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 of Human Resources June 1 E2Y
Director of Equity and Access June 1 E2Y
Chair, Staff Council June
1 E2Y
12. CERTIFICATION STATEMENT
This
UPPS has been approved by the following individuals in their official
capacities and represents
Director
of Human Resources; senior reviewer of this UPPS
Vice
President for Finance and Support Services
President