Performance Appraisal - A&P and Support Personnel

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I. PURPOSE

It is the University's policy that the employee performance appraisal program shall provide for overall appraisals of an employee's performance for a specific period of time. The appraisal shall be based upon measurable, observable, or verifiable performance measured against performance standards or goals that the employee is expected to achieve. A performance standard describes fully acceptable or satisfactory performance. The performance appraisal process should assist in the development of personal goals that are consistent with the mission and objectives of the department and University, and foster discussion of performance expectations between the employee and supervisor.

II. ACCOUNTABILITY

Each supervisor is responsible for completing timely and accurate performance appraisals for each A&P or Support Personnel employee according to the University Performance Appraisal Program. The Department of Human Resources maintains the official personnel file copy of all appraisals, and provides training and policy interpretation related to the Performance Appraisal Program.

III. POLICY

A. An employee's performance shall be rated at one of the following rating levels:

1) Outstanding
2) Exceeds Expectations
3) Meets Expectations
4) Below Expectations
5) Unsatisfactory

B. A&P Performance Appraisals

Performance appraisals shall be completed on an annual basis with the appraisal period from July 1 - June 30. For initial appointments of A&P employees, the appraisal period shall cover the appointment date through June 30.

C. Support Personnel Performance Appraisals

1) Probationary Appraisals

i) A probationary appraisal shall be completed within thirty (30) days prior to the end of the probationary period for the designated class or prior to the end of any probationary period extension.

ii) An employee shall complete the probationary period for the designated class with a performance rating of Meets Expectations, Exceeds Expectations or Outstanding before attaining regular status in the class.

iii) The execution of more than one appraisal during the probationary period is at the option of the supervisor.

iv) A probationary period may be extended up to six (6) months when one of the following circumstances occur:

1. the employee is rated Below Expectations or Unsatisfactory;
2. the supervisor decides that additional time is needed for appropriate training or on the job experience;
3. the employee or rater is granted an authorized leave of absence (other than military leave) during the probationary period;
4. the supervisor and the employee agree to extend the probationary period; or
5. an employee without permanent status in the current class is reassigned to a different position in the same class and makes a written request that the probationary period be extended for a period not to exceed six (6) months. This extension of the probationary period allows an employee to serve up to six (6) months in probationary status in the position to which reassigned before attaining permanent status in the class.

v) An employee serving a probationary period in the current class shall be removed from the class if the performance has not improved to the Meets Expectations level within the probationary period or extended period. Such actions shall usually be completed within forty-five (45) days of being initiated.

vi) An employee who is on military leave at the expiration of the probationary period shall be considered to have successfully completed the probationary period with a Meets Expectations rating. If an employee returns from such military service prior to the expiration of the probationary period, the employee shall be required to complete the remainder of the probationary period.

2) Annual Appraisals:

i) A regular status employee shall receive an appraisal each year within thirty (30) days following the date the employee was appointed to the current class.

ii) An annual appraisal of an employee who returns from military leave shall include only the time not on military leave. The employee's performance level while on military leave shall be considered to be at the same rating level as the employee's preceding appraisal.

iii) If an employee receives an overall rating of Below Expectations or Unsatisfactory, the provisions for Special Appraisals in III. C. 3) below, shall apply.

3) Special Appraisals:

i) When an employee's most recent appraisal is at the Meets Expectations level or above and performance drops to a Below Expectations or Unsatisfactory level, a special appraisal shall be conducted.

ii) A special appraisal shall cover no more than a 60-day period immediately preceding the special appraisal unless the appraisal period is extended in accordance with this policy.

4) Below Expectations and Unsatisfactory Appraisal Ratings: If an employee who has attained regular status in the class receives a special appraisal rating of Below Expectations or Unsatisfactory in accordance with this policy, the rater, with the cooperation of higher level supervisors, shall communicate in writing to the employee necessary improvements to address the identified deficiencies.

i) If, at the time of receiving such an appraisal, the employee is retained, the length of the next appraisal period(s) shall be determined and will not normally exceed one hundred and twenty (120) days.

ii) The President or designee may remove the employee from the class if adequate improvement is not made in the employee's performance at any time during the subsequent appraisal period(s) following the initial Below Expectations or Unsatisfactory rating.

iii) If an employee's performance has not improved to at least a Meets Expectations rating within the designated improvement period(s), the University shall initiate action to remove the employee from the class. Such action shall usually be completed within forty-five (45) days of being initiated.

iv) Rating period(s) may be extended in accordance with this policy.

D. Absence of an Appraisal - A&P and Support Personnel In the absence of a required appraisal, the following shall apply:

1). For those employees who have not yet received an appraisal in the class, the employee's rating shall be considered to be at the Meets Expectations level.

2). For those employees with a previous appraisal in the class, the employee's performance shall be considered to be at the same rating level as the preceding appraisal.

3). If the preceding appraisal is Below Expectations or Unsatisfactory, the employee's performance rating shall be considered as Meets Expectations.

4). When an appraisal is not completed by the submission due date and the employee received the same rating level as the preceding appraisal, the rater may submit a completed appraisal and request a change to the rating for the appraisal period, within a reasonable period of time.

5). An employee may make a written request to the supervisor for a performance appraisal to replace a rating received within a reasonable period following the original due date of the appraisal. If an employee makes such a request, the rater shall complete the appraisal within thirty (30) days of receipt of the request.

E. Additional Performance Appraisal Procedures - A&P and Support Personnel

1) The appraisal rating period shall cover the specific period shown on the appraisal form and with the exception of a Support Personnel probationary appraisal, will not cover a period not yet worked. Only one rating may be in effect for a specific period.

2) The rater, normally the employee's immediate supervisor, is primarily responsible for the timely completion of the appraisal rating form and shall be held accountable for such appraisals.

i) The rater shall be the employee regularly assigned to direct the work of the employee, or the employee designated by the President or designee to perform such duties. Such designation cannot be in conflict with a collective bargaining agreement.

ii) A higher level supervisor shall review appraisals, wherever possible. The higher level supervisor shall not change the rater's completed appraisal.

iii) Reviewing supervisors shall certify that they have reviewed the appraisal and may attach any written comments concerning the appraisal that they deem appropriate.

iv) The performance appraisal shall be discussed with the employee, who shall be provided with information regarding the basis of the appraisal and given the opportunity to sign the appraisal form. The signature of the employee shall indicate only that the employee's performance and the appraisal form have been discussed and does not imply that the employee agrees or disagrees with the appraisal. In the event an employee refuses to sign the performance appraisal form, a notation of such refusal shall be made on that form. The rater shall retain a copy of the completed appraisal form, and a copy of that form shall be given to the employee. The original completed appraisal form shall be placed in the employee's personnel file.

v) An appraisal is considered to be complete after it has been discussed with the employee and the rater has signed the appraisal form.

vi) In circumstances which result in an authorized leave of absence of the employee or the rater (other than military leave) and extensions of probationary periods as provided in this policy, the President, or designee, may approve a request from the rater to extend an appraisal period up to the length of the period of an approved leave of absence.

PROCEDURE

Department of Human Resources
Provide Performance Appraisal forms, information and assistance to supervisors conducting employee performance appraisals.

Employee's Supervisor
Complete performance appraisal form and discuss appraisal with the employee. The supervisor and the employee shall jointly establish goals for the upcoming year. The employee shall be given the opportunity to sign the appraisal and make any comments on the appraisal form. The supervisor shall retain a copy of the completed appraisal form and a copy shall be given to the employee. The original completed appraisal form shall be forwarded to the Department of Human Resources.

Department of Human Resources
Maintains the original appraisal form in the employee's personnel file.

Forms & Supervisor's Handbook
Performance Appraisal Form - click here to view.
Performance Appraisal Supplement for Athletics only (required)- click here to view.
Performance Goals form (optional) - click here to view.
Professional Development Goals form (optional) - click here to view.
Performance Appraisal Handbook for Supervisors - click here to view.

eff. 7/00 Rev. 11/04