HR Policy and Procedure #61 Performance Evaluation Revised October 22, 2013

Purpose
The University’s Performance Evaluation System (PE) offers a consistent approach and operating philosophy for providing feedback and assessment of employee performance through annual evaluation.

Policy

1. Performance assessments shall occur, as appropriate, under the provisions of the following:
   1. Human Resources Policy and Procedure (HRP&P) 61.0 Performance Evaluation, and/or
   2. HRP&P 62.0: Corrective Action.
2. The PE system is designed to
   1. Promote and document performance assessments based on major job responsibilities (MJRs), essential functions and clear, realistic job standards; and
   2. Promote a high level of employee performance through consistent feedback from supervisors via annual or semi-annual performance assessments.

Process

The responsibility for the completion of performance evaluations lies with the deans, department heads and supervisors. The official University evaluation form shall be used unless otherwise approved by Human Resources.

NOTE: Completing an annual performance evaluation on direct reports is the expectation for every University supervisor and/or administrative leader. Failure to complete the PE may result in the supervisor/leader receiving a “does not meet expectations” assessment in the relevant MJR of his or her PE.

Performance Evaluation

Evaluation is an on-going process that results in a year-end review. A midyear review is optional.

Planning

1. At the beginning of the performance evaluation cycle or within the first 90 days of a new employee’s hire date, the MJRs, essential functions, and MJR weighting will be reviewed by the employee and supervisor. If changes are necessary they will be made in the Job Analysis Questionnaire (JAQ) or position description.
2. The job standards will be reviewed and updated to reflect the requirements and goals of the position and the department. The job standards will be approved by the supervisor and acknowledged by the employee.

Evaluation

1. A performance evaluation using the University’s Performance Evaluation System (PE) shall be completed by and discussed with the employee. Completion of this form is the responsibility of the supervisor.
   1. An optional self-evaluation may be completed by the employee. The supervisor completes the PE and reviews the evaluation with higher level(s) of management prior to final discussion with the employee.
   2. The supervisor shall meet with the employee to discuss the PE.
   3. The higher-level supervisor or department head/chair will approve the PE. If an employee does not receive a PE according to the guidelines of this policy, the employee should appeal compliance through the appropriate chain of command.  The employee may submit a request to the supervisor and the next-level supervisor for a performance evaluation.
   4. The employee’s signature indicates the employee has acknowledged and received the evaluation, but does not necessarily indicate the employee’s agreement with its content. The employee may complete the self evaluation and "Year End Comments" and submit in the evaluation.
   5. The employee may address questions or concerns about the content of the evaluation with the appropriate supervisor. If issues are not resolved, then the employee may follow the departmental chain of command to resolve PE content issues within 30 days of receipt of the PE.
   6. If the employee receives a "Does Not Meet Expectations" on any MJR, a performance improvement plan shall be completed. The supervisor shall meet with the employee on an ongoing basis to provide regular feedback and coaching on performance issues for a period of 30 to 90 days. After this period of time, the supervisor shall re-evaluate that plan to ensure that steps have been taken to improve performance in relevant areas.

Feedback and Coaching

Feedback and coaching should occur on an ongoing basis and at the optional mid-year review. The purpose of feedback and coaching is to provide supervisors with an opportunity to recognize effective performance and provide coaching for improvement. As a part of the feedback and coaching components, employees are encouraged to gather informal feedback as appropriate throughout the year.

1. Supervisors should provide timely feedback to motivate employees toward improved performance.
2. The mid-year review is an optional progress meeting which should provide an opportunity for supervisors and employees to discuss and update job standards set at the beginning of the year and focus on employee performance to date.

Related Policies

UK HealthCare Policy A09-125 Employee Performance Management Process