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HOP 3.5.2 Performance Appraisals

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Sec. 1 Purpose

The purpose of this policy is to provide for the effective performance appraisal of U. T. System Administration employees.

Sec. 2 Requirement

The Rules and Regulations of the Board of Regents of The University of Texas System provide for a performance appraisal to be conducted annually for all classified and administrative and professional (A&P) employees of the U. T. System.

Sec. 3 Applicability

Supervisors will conduct appraisals for all Regular Employees (classified and A&P appointed for at least 20 hours per week for a period of four and one-half months or more). An employee must have a current appraisal on file to be eligible for any merit payments or pay adjustments. The performance appraisal process is designed to emphasize the value of an employee’s contributions, assess performance expectations by providing specific and meaningful feedback, and engage the manager and employee in developing goals and a career plan.

Probationary Employee Appraisals. Per HOP 3.5.1 Probationary Period for Classified Employees, supervisors will conduct appraisals 90 days after commencement of employment and again prior to the end of the sixth month of employment. Although appraisals are conducted twice during the period, supervisors should keep the employee advised of performance progress on an ongoing basis throughout the probationary period. Thereafter, supervisors are to evaluate each classified employee in accord with 5.2 a).

Sec. 4 Criteria

Performance appraisals will be based only on lawful, job-related, and nondiscriminatory criteria in accordance with HOP 3.1.1 Equal Employment Opportunity and all applicable policies and procedures of U. T. System.

Sec. 5 Application of Policy

5.1 Appraisal Preparation. Supervisors will conduct a performance appraisal for employees utilizing an online performance management system.

5.2 Appraisal Schedule.

a) Annual Appraisal. The annual performance appraisal period begins June 1 and ends May 31 of the following year. Supervisors will appraise each regular employee annually by the date prescribed by the Office of Talent and Innovation (OTI) and/or in the annual budget instructions. An annual appraisal is not required when another appraisal (e.g., probationary) has been completed within 90 days of the end of the annual performance appraisal period.

Sec. 6 Process

6.1 Performance Appraisal Support and Documentation. OTI will ensure that the performance management system is available via the OTI website. Representatives of OTI are available to provide information and counsel about the appraisal process.

6.2 Appraisal Actions. 

a) Employees complete a self-appraisal (while optional, strongly encouraged). Supervisors complete an appraisal for their direct reports.

b) Supervisors meet individually with their direct reports to discuss the evaluations. The appraisal meeting should be conducted privately in a location free from interruptions. The appraisal and any supporting documentation should be available for review by the supervisor and employee at the time of meeting.

c) After the appraisal meeting the employee must electronically acknowledge the performance appraisal before the supervisor sends it to completion. If the employee disagrees with the appraisal, they should document their concerns in the performance management system. Employee may pursue a complaint with the performance appraisal pursuant to HOP 3.5.3, Grievance.

6.3 Unsatisfactory Performance. In cases where an employee’s performance is deemed unsatisfactory, supervisors should consult with OTI to determine the appropriate performance improvement method.

If at any time an employee’s performance warrants written documentation due to significant improvement or deterioration in performance, the supervisor will complete appropriate documentation recognizing the change in performance. Improvements in performance can be acknowledged by a memorandum to the employee’s personnel file. If an employee’s performance fails to meet expectations for his/her job assignment, documentation should be initiated by the supervisor in accordance with HOP 3.7.3, Discipline/Dismissal of Employees and/or HOP 3.5.1, Probationary Period for Classified Employees.

6.4 Late Appraisals. To foster promptness in completion of performance appraisals,  a message will be sent to all appraisers with incomplete appraisals notifying them of overdue appraisals and communicating a revised timeline for completion. After the revised deadline has passed, (1) appraisers with any incomplete appraisals will be notified of a new deadline, with a copy sent to the appraiser’s manager and (2) a reason for the delay will be provided to OTI by the appraiser. If the second revised deadline is not met, the appropriate Executive Officer will be notified of any incomplete appraisals and asked to provide a final revised deadline. Executive Officer notifications will occur July 31 or earlier. Before the August payroll deadline, OTI will notify the Office of the Controller of any appraisals that, due to incomplete status, render the employee legally ineligible for merit.

Definitions

Administrative and Professional – Positions (1) whose incumbents serve as (a) executive administrators or (b) other key administrators whose principal activities entail significant responsibilities for the administration of a department or budget entity, (2) whose incumbents’ principal activity is to perform the duties of (a) a recognized profession requiring a terminal professional degree, occupation specific knowledge and appropriate state licensure, (b) a professional librarian; or (3) which are outside the scope of the classified pay plan.

Classified Employee - an employee occupying a position that does not entail significant instructional responsibilities or responsibilities for the administration of instructional or research organizations

Current Appraisal - For an appraisal to be “current,” for purposes of merit eligibility, it must have been completed within six months prior to the merit award.

Regular Employee - an employee appointed to work 20 hours or more per week for a period of four and one-half consecutive months or longer (135 calendar day).