Employee Relations Processes: Staff Performance Management
 

I. INTRODUCTION

The University recognizes the importance of performance management and is committed to providing employees with regular, timely, and valuable feedback regarding their performance. As a result, all employees will be formally evaluated at least once a year.

All first-time appointees to Staff classes will receive an evaluation at the end of their probationary period (probationary periods are typically six [6] months, with the exception of the law enforcement classes, which are twelve [12] months). These evaluations shall be completed during the thirty (30) calendar days preceding the employee’s probationary end date. Absent an evaluation or official extension of the probationary period, an employee will automatically gain permanent status in the class.

There are five (5) performance level ratings for Staff employees (except those in designated law enforcement classes/positions): Exemplary, Commendable, Achieves, Needs Improvement, and Unsatisfactory. There are three (3) performance level ratings for Staff employees in law enforcement classes/positions for which such ratings have been designated: Exceeds Performance Standards, Achieves Performance Standards, and Below Performance Standards.

A Human Resources (HR) Employee Relations consultant can assist with the performance management process by providing advice and guidance.

Refer to the Performance Planning and Communication website for additional information regarding performance planning, coaching, feedback, monitoring, and review.

II. GENERAL

A. POLICY

1. All employees will be evaluated at least annually on their performance. An evaluation should not assess performance for more than one year.

2. First-time appointees to Staff classes will receive a probationary evaluation at the end of their probationary period. Absent an evaluation at the end of the probationary period, the employee will gain permanent status in the class by default and an automatic “Achieves” rating.

3. Performance standards and expectations should be clearly communicated to the
employee at the time of appointment to the position and as performance standards or
expectations change thereafter.

4. A supervisor will rate a Staff employee as “Needs Improvement,” “Unsatisfactory,” or “Below Performance Standards” when sufficient change is noted to cause the employee’s overall performance to be rated at one of the substandard rating levels. Employees should receive adequate training necessary to perform the duties and responsibilities of the position. Furthermore, employees not meeting performance standards/expectations should receive appropriate coaching.

5. Evaluations with overall substandard ratings will be reviewed and signed by the dean/director/designee within the college/division/department.

6. Employees receiving overall substandard ratings will not be eligible for
promotion or change in assignment, except as deemed appropriate by HR.

7. Probationary employees without permanent status in any class may be terminated for failure to meet the performance standards/expectations of the position. Furthermore, probationary periods may be extended (for a period not to exceed six [6] months with the approval of the appropriate dean/director/designee) for the following reasons: 1) to allow an employee additional time to acquire the required competencies or knowledge; 2) to improve performance to a satisfactory level; 3) because of an employee's change in assignment to a different position in the same class; 4) because of an approved leave of absence of the employee or supervisor of more than thirty (30) days; or 5) based on mutual agreement between the supervisor and employee due to extenuating circumstances.

8. Employees with permanent status in another class who receive an overall substandard evaluation rating may be removed from the class (by demotion, change in assignment, or dismissal) only after having an opportunity to correct performance deficiencies. An employee who is not meeting performance standards/expectations will not be removed from the class without appropriate documentation of the performance deficiencies. A demotion or change in assignment will not be made across vice presidential lines unless it is to a position (or comparable position) the employee previously occupied with an acceptable performance and discipline record. In these cases, demotions or changes in assignment may be mandatory (as determined by HR). Any other demotion or change in assignment across vice presidential lines will only be made with the consent of the vice president.

9. Employees with permanent status whose performance shows no potential for improvement and/or whose retention is not in the best interest of the University will be dismissed. However, there must be a minimum of two (2) substandard performance evaluations and well documented evidence that the supervisor made a good faith effort to work with the employee and the employee could not or would not improve his/her performance to at least “Achieves”  level.

10. The University will not dismiss an employee with permanent status without first
considering change in assignment or demotion options. The availability of these options depends on the situation at the time and the employee's overall performance and discipline record. An employee with permanent status will not be dismissed without the benefit of a predetermination conference and the approval of HR.

An HR Employee Relations consultant can assist with the performance management process by providing advice and guidance.

B. DELEGATED AUTHORITY

Refer to Exhibit HRRP.6 for a table of delegated authority for HR/Employee Relations.

III. REQUIRED EVALUATIONS

A. PROBATIONARY EVALUATION

A probationary evaluation is required for both initial and subsequent probationary periods when an employee enters a class in which he/she does not have permanent status. The probationary evaluation shall be completed within thirty (30) calendar days prior to the probationary period end date. The probationary end date is the day prior to the date the employee will have been appointed to the class with probationary status for six (6) months (e.g., if the appointment date is 02/01/XX, the probationary end date would be 07/31/XX). For law enforcement classes, the probationary period is twelve (12) months.

B. ANNUAL EVALUATION

An annual evaluation will be completed within the thirty (30) calendar days following the annual evaluation date. Annual evaluation dates are based on employee anniversary dates, unless otherwise specified. Depending upon the specific needs of the unit or area, the dean/director/designee may designate and inform HR that all Staff employees in the college/division will be evaluated on an annual year or fiscal year basis or on another regular annual evaluation schedule. Three types of annual evaluation schedules are as follows:

1. Anniversary Date in Class - If performance evaluations are completed based on the anniversary date, the annual evaluation date will coincide with the date (i.e., anniversary date) the employee was appointed to the class with probationary status. The period covered will be the anniversary date through the day prior to the next anniversary date (e.g., if the anniversary date is 02/01/XX, the annual evaluation period is 02/01/XX through 01/31/XX), except as might be modified by probationary or special evaluations.

2. Calendar Year - If performance evaluations are completed each calendar year, the annual evaluation date will be January 1st of each year. The period covered will be January 1st through December 31st, except as might be modified by probationary or special evaluations.

3. Fiscal Year - If performance evaluations are completed each fiscal year, the annual evaluation date will be July 1st of each year. The period covered will be July 1st through June 30th, except as might be modified by probationary or special evaluations.

For employees whose annual evaluation date is their anniversary date, their first annual evaluation will be due six (6) months following their probationary end date in the class, except as might be modified by special evaluations. For employees whose annual evaluation date is January 1st or July 1st, their first annual evaluation may be due more or less than six (6) months following their probationary end date in the class.

For law enforcement classes, where the probationary period is twelve (12) months and the annual evaluation date is the anniversary date, the initial annual evaluation will cover the period from the anniversary date of the second year to the end of the second year in the class, except as might be modified by special evaluations.

An annual evaluation on an employee who is returned from military leave will cover only the time not on military leave. The employee's performance while on military leave will be considered to be at the same rating as the employee's preceding evaluation.

C. SPECIAL EVALUATION

A special evaluation may be completed at any time the rater determines the employee's overall performance has changed from the level reflected on the most recent evaluation, or in response to a written request for a performance evaluation (provided the employee has not received an evaluation in six [6] months and has not received an evaluation with an overall substandard rating). When the employee's performance drops to “Needs Improvement,” “Unsatisfactory,” or “Below Performance Standards,” a special evaluation will be completed, except where a probationary or annual evaluation is due to be completed.

D. EVALUATION RATINGS/LEVELS

1. There are five (5) performance level ratings for Staff employees (except those in designated law enforcement classes/positions): Exemplary, Commendable, Achieves, Needs Improvement, and Unsatisfactory. (Note:  It is acceptable to use the previous ratings of Effective and Marginal instead of Achieves and Needs Improvement.  However, supervisors are encouraged to use the ratings and evaluation form currently in effect.)

(a) Exemplary - performance far exceeds all standards/expectations.  Exceptional results are consistently produced.

(b) Commendable - performance frequently exceeds standards/expectations. 

(c) Achieves - performance consistently meets standards/expectations. Requisite competencies and knowledge are demonstrated.

(d) Needs Improvement - performance does not consistently meet standards/expectations.  Some requisite competencies and knowledge are demonstrated.  Individual may still be learning the job and/or functions and requires additional time to develop. 

(e) Unsatisfactory - performance does not meet standards/expectations. Major deficiencies require immediate attention and improvement.

2. There are three (3) performance level ratings for Staff employees in law enforcement classes/positions for which such ratings are designated: Exceeds Performance Standards, Achieves Performance Standards, and Below Performance Standards.

(a) Exceeds Performance Standards performance is consistently above performance standards/expectations.

(b) Achieves Performance Standards performance ranges from a marginal level to the expected level.

(c) Below Performance Standards performance consistently fails to meet performance standards/expectations.

IV. PROCEDURES

A. DEVELOPING PERFORMANCE STANDARDS

Performance standards and expectations should clearly and concisely delineate
the acceptable level of performance for a job task or function and be communicated to the employee at time of appointment and when standards/expectations change. Click on one of the following {Word or PDF} for assistance in developing performance standards/expectations.

B. COMPLETING AND SUBMITTING THE EVALUATION OR ANNUAL
REVIEW DOCUMENTATION

1. The supervisor will be responsible for tracking annual evaluation dates and for
completing the written evaluation or annual review meeting documentation in a timely manner. Click on one of the following {Word or PDF} for examples of annual review meeting documentation and {Word or PDF} (Staff employees) or {Word or PDF} (designated law enforcement classes/positions only) for the evaluation form.  (Note:  Use of the previous evaluation form is acceptable.  However, supervisors are encouraged to use the form currently in effect.)

2. The annual review meeting documentation or written evaluation is considered
complete when it has been discussed with the employee and signed by the supervisor.

3. All original documents and attachments should be forwarded to HR.

4. An employee’s signature acknowledges receipt only, not necessarily agreement, with a performance evaluation. If an employee refuses to sign the evaluation, the supervisor will annotate on the document the date the evaluation was discussed with the employee and that the employee refused to sign and ensure that the employee receives a copy of the evaluation.

C. ANNUAL REVIEW AND DOCUMENTATION

1. An annual performance review is required for all employees, and documentation of an employee's overall performance rating is required as a part of the annual performance review. The supervisor will review/update the position description questionnaire (PDQ) with the employee, review the employee's performance during the preceding year, and convey performance standards/expectations, goals, and objectives for the upcoming year.

2. If the employee's overall performance rating remains at the same level as on the preceding evaluation, the supervisor does not have to prepare a written evaluation. Instead, the supervisor should document the meeting with the annual review meeting documentation (click on one of the following {Word or PDF}). This is signed by the supervisor and the employee no later than thirty (30) calendar days following the employee's annual evaluation date. It should include comments pertaining to standards/expectations, goals, objections, and any changes to components of the evaluation not affecting the overall rating. All original documents and attachments should be forwarded to HR.

3. If the employee's performance has changed to the extent that it affects the
overall rating, a written evaluation must be completed. In the absence of a written evaluation following the annual evaluation date, the employee's performance rating will remain the same as on the preceding evaluation.

V. PROBATIONARY PERIODS AND PERMANENT STATUS

A. PURPOSE OF A PROBATIONARY PERIOD

The probationary period is a time for evaluating the performance of an employee who has not attained permanent status in that class. The probationary period is a critical time for employees to demonstrate the required skills, abilities, and results necessary to be successful in the position. Supervisors are responsible for developing and communicating performance standards/expectations and working closely with employees during this period to help them succeed in their new roles. Therefore, supervisors should meet frequently with employees to formally discuss performance as it relates to the established performance standards/expectations. Click on one of the following {Word or PDF} for assistance in developing performance standards/expectations.

B. EXTENDING THE PROBATIONARY PERIOD

The probationary period may be extended as described below. The dean/director/designee will approve such requests, as appropriate, prior to the probationary end date and will submit the extension form to HR/Employee Relations using the appropriate form (click on one of the following  {Word or PDF}). Any decision to extend the probationary period should be communicated to the employee prior to the scheduled end date of his/her probationary period. Except when a supervisor gives an employee a substandard performance evaluation (1. below), a probationary performance evaluation should not be completed when an extension is being requested but should be completed before the new probationary end date.

1. Substandard Performance Evaluation

A probationary period may be extended for up to six (6) months when the supervisor gives the employee a substandard evaluation yet believes the employee's performance should improve to an acceptable level within the extended period. A special evaluation may be completed at any time during the probationary period to address substandard performance.

2. Employee Change in Assignment During the Probationary Period

An employee or supervisor may request an extension of the probationary period, not to exceed six (6) months, when a change in assignment of the employee to a different position in the same class has occurred. The employee and supervisor sign the extension form at the time of the change in assignment requesting an extension of the probationary period and specifying the period of the extension. Such requests will not be denied by the dean/director/designee. The employee or supervisor waives his/her right to request such an extension if the request is not made at the time of the change in assignment.

3. Additional Training Time

The probationary period may be extended for up to six (6) months if the supervisor decides that additional time is needed for appropriate training or on-the-job experience. The justification should briefly outline the additional training or on-the-job experience that is needed.

4. Leave of Absence

The probationary period may be extended in the event of an approved leave of absence in excess of thirty (30) cumulative days, with or without pay, for either the employee or rater. The approved extension may not exceed the period of the approved leave of absence. Extensions, however, will not be granted for military leave of the employee.

5. Agreement Between Supervisor and Employee

The supervisor and employee may agree to extend the probationary period due to extenuating circumstances. This includes, but is not limited to, instances where a new supervisor is appointed during the final stage of the probationary period and has inadequate information on which to properly rate the employee. The approved extension will not exceed six (6) months.

C. PERMANENT STATUS

1. Permanent status is earned in a class after the employee completes the probationary period with an overall performance rating of “Achieves” or higher.

2. An employee who is promoted, demoted, or receives a change in assignment to a class in which permanent status has already been earned will be appointed to that class with permanent status. Permanent status in a class is retained throughout the period of continuous employment at the University.

3. Permanent status in a class entitles the employee to remain in the class, grieve adverse action, and accumulate retention points to be used in the event of a layoff. Moreover, the employee cannot be involuntarily removed from the class without "just cause." Just cause includes, but is not limited to, failure to meet performance standards/expectations.

VI. ABSENT AN EVALUATION

A. PROBATIONARY PERIOD

1. In the event that an evaluation is not prepared and presented to the employee prior to the end of the probationary period, the employee will be deemed as having attained permanent status by default. The employee's rating will be considered to be an automatic “Achieves.”

2. The supervisor may replace an automatic rating with a higher rating by submitting the evaluation to HR, along with a memorandum requesting and justifying the action, within sixty (60) calendar days following the original due date of the evaluation.

3. If the supervisor deems that a lower overall evaluation rating is appropriate after an automatic rating is attained, a special evaluation must be prepared and presented to the employee.

B. EMPLOYEE WITH A PREVIOUS EVALUATION

1. For an employee with a previous evaluation in the class, including an automatic “Achieves” rating, the employee's current performance rating will be considered to be the same as on the preceding evaluation.

2. Absent a probationary evaluation in a new class, the employee will receive an automatic “Achieves” rating.

3. An employee may request a written performance evaluation provided the request is made in writing, it has been at least six (6) months since his/her last evaluation, and the last evaluation did not have an overall substandard rating. The employee is to receive a written evaluation within thirty (30) calendar days from the date of his/her request.

VII. SUBSTANDARD EVALUATIONS

All “Needs Improvement,”  “Unsatisfactory,” or “Below Performance Standards” evaluations must be reviewed and signed by the dean/director/designee. The rater's completed evaluation will not be changed. However, the dean/director/designee may attach any written comments concerning the evaluation that he/she deems appropriate.

A. PROBATIONARY EMPLOYEES WITHOUT STATUS IN ANY CLASS

If the employee's performance is not at the “Achieves”  level by the end of the probationary period or extended probationary period, the employee will be removed from the class. The employee may be removed from the class at any time prior to the completion of the probationary period when it can be substantiated that the employee is not making sufficient progress and his/her performance is not likely to improve. Probationary employees without status in any class may be terminated, without a written evaluation, for failure to meet performance standards/expectations, but the supervisor should be prepared to explain the reasons for termination.

B. PROBATIONARY EMPLOYEES WITH STATUS IN ANOTHER CLASS

1. Probationary employees with status in another class (in the same or a lower pay grade) who do not meet performance standards/expectations may be returned to that class through placement action before a formal substandard evaluation is completed provided:

(a) the employee has permanent status but not in the current class;
(b) the employee is not meeting the performance standards/expectations of the current position;
(c) the employee had acceptable performance in the former class;
(d) and the former, or a comparable, position is available.

2. To return the employee to the former class, the supervisor will first consult with HR/Employee Relations and then notify the employee, in writing, of the performance deficiencies and standards/expectations that have not been met. Notification will generally be made no later than one (1) month prior to the probationary end date. HR will determine if the conditions (i.e., employee's past record, status of incumbent in former position, availability of comparable position) warrant the return of the employee to the former class.

3. If the employee cannot be placed, the supervisor will prepare a substandard evaluation within the thirty (30) calendar days prior to the probationary end date, request extension of the employee's probationary period, and follow the procedures outlined below.

C. EMPLOYEES WITH PERMANENT STATUS

1. An employee with permanent status may receive an overall substandard rating for an annual evaluation or at any time for a special evaluation.

2. When an employee with permanent status receives a substandard evaluation, the supervisor will provide the employee with written performance standards/ expectations or a performance improvement plan and continue to coach the employee in an effort to help the employee improve his/her performance. The supervisor should conduct periodic progress review meetings and document coaching efforts in the form of brief progress reports, with a copy to the employee and HR/Employee Relations.

3. A follow-up special evaluation must be completed, and the length of the re-evaluation period will be no less than sixty (60) calendar days from the date the employee is provided with written performance standards/expectations or performance improvement plan. After an initial re-evaluation period, additional re-evaluation periods may be afforded the employee, up to a total of six (6) months from the date he/she was provided with written performance standards/expectations or performance improvement plan.

4. If the employee's performance does not improve to at least “Achieves” within the designated improvement period(s), the supervisor will initiate action to remove the employee from the class.

5. Removal from the class means the employee is demoted, is given a change in assignment, or is dismissed. Such action may not be taken until authorized by HR. An employee with an overall substandard rating may not be promoted.

6. To initiate removal of an employee due to continuing substandard performance, the supervisor submits a request in writing to the dean/director/designee. If in agreement with the request, the dean/director/designee will forward a written endorsement for such action to HR/Employee Relations. The recommendation will include the proposed action (i.e., change in assignment, demotion, or dismissal) and the justification.

7. HR will review the recommendation to determine if just cause has been established and conditions support the proposed action. Specifically, the employee's performance record will be evaluated along with the department's documented efforts to assist the employee in correcting performance deficiencies. If the recommendation is accepted and involves demotion or dismissal, HR will coordinate the final action with the department.

8. If an employee receives a substandard evaluation but the supervisor fails to comply with procedures, HR/Employee Relations may, at its discretion based on the facts, reinstate the employee's previous rating of record at any time after sixty (60) calendar days from the date the employee received the evaluation.

D. SUPERVISOR'S RESPONSIBILITIES

1. Establish performance standards and expectations for the position and discuss these with the employee.

2. Train the employee on the duties and responsibilities of the position.

3. Monitor and document the employee's performance in terms of productivity rate, error rate, learning rate, comprehension, cooperation, compatibility with co-workers, work habits (including attendance and punctuality), thoroughness, timeliness, quality of work, etc.

4. Coach the employee when it appears he/she is not meeting performance standards/expectations, and advise him/her of the specific standards/expectations that are not being met. Ensure the employee understands the steps and methods necessary for improvement.

5. Continue to monitor and document the employee's performance. If the performance does not improve, follow the procedures outlined to prepare a substandard performance evaluation.

6. If the employee refuses to sign the evaluation, indicate on the evaluation the date it was discussed with the employee and that the employee refused to sign. Ensure that the employee receives a copy of the evaluation.

E. EMPLOYEE'S RIGHTS AND RESPONSIBILITIES

1. Employees are encouraged to participate in the process by providing written comments regarding their substandard evaluation. An employee may choose to attach additional sheets as necessary. A copy of any comments should be submitted to the immediate supervisor (with a copy to the dean/director/designee, if appropriate) and to HR as soon as possible after the review. Comments will be attached to the performance evaluation and placed in the employee’s personnel file.

2. The employee should sign the performance evaluation. However, the employee's signature is not required for the evaluation to be complete; the signature only indicates the evaluation has been discussed with the employee and does not imply agreement or disagreement with the evaluation.

3. Employees will be informed of the basis of the substandard evaluation and, upon written request, will be provided with a copy of any documents that were considered in completing the evaluation.

4. Upon written request, employees with permanent status will be granted an opportunity to discuss with the dean/director/designee any concerns regarding the substandard evaluation.

5. Employees with permanent status may file a grievance regarding a substandard evaluation through the University Grievance Procedure. However, an employee must allege that the evaluation was based on factors other than performance. Under certain conditions, substandard evaluations may be grieved through an applicable collective bargaining agreement grievance procedure.

F. HR'S RESPONSIBILITIES

When a substandard evaluation is received in HR, Employee Relations will:

1. Advise the supervisor in writing (with a copy to the employee) of the supervisor's responsibilities and options in dealing with the employee's performance deficiencies.

2. Assist the supervisor and the employee in working through the performance improvement period.

3. When appropriate, attempt to provide a change in assignment for an employee.

4. Coordinate the demotion or dismissal of an employee.

5. As appropriate, reinstate the employee's previous rating of record at any time after sixty (60) calendar days from the date the employee received the evaluation if the supervisor fails to comply with procedures.

VIII. ALTERNATE RATER

A. The dean/director/designee may designate an alternate rater when the employee's
immediate supervisor is unavailable to direct the work of the employee, whether as a
result of a supervisor's leave of absence, vacancy of the immediate supervisor's position,
or the removal of some or all of the immediate supervisor's supervisory responsibilities.

B. The dean/director/designee will provide the employee with written notification of the designation. The written notification will include:

1. The name, title, and position number of the employee designated as the rater;

2. The length of time the employee will be designated as the rater; and

3. An explanation of the circumstances necessitating the action.

C. An alternate rater must be designated prior to preparation of a performance evaluation.

D. Two copies of the notification will be forwarded to HR to be placed in the personnel files of the employee and the alternate rater.

Revised 02/01/2008