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