Staff Performance Appraisals
Section: Human Resources
Index: C-13
Policy
The University of Houston-Victoria (UHV) recognizes the value of its employees and understands that the quality of university services depends upon the employees. This policy aims to provide staff with constructive feedback k on their job performance, align expectations, and foster personal and professional development. Appraisals support the university in recognizing contributions and identifying areas where performance improvement is necessary.
Applies to regular, benefits-eligible staff:
- All new staff are monitored during their probationary period to determine whether to continue employment.
- All regular, benefits-eligible staff who have completed probation must receive an annual appraisal.
Exemptions:
- Students, temporary, and part-time employees (less than 0.50 FTE or less than 4.5 months) are not required to undergo performance appraisals.
Supervisory discretion:
- Supervisors may choose to evaluate part-time and temporary employees, but it is optional.
Purpose and Objectives of Performance Appraisals
Performance appraisals serve as a critical mechanism for communicating with employees about the quality of their work, offering insight into areas of strength as well as opportunities for improvement. They are designed to be a positive, constructive tool for evaluating performance, reinforcing accountability, and aligning employees with the university's goals and expectations. Through this process, supervisors can provide meaningful feedback that drives employee engagement, development, and continuous improvement.
Performance Appraisals are also an essential management tool. They support informed decision-making regarding personnel matters such as identifying training needs, making merit-based pay adjustments, facilitating internal transfers, and guiding promotions and career development pathways. When conducted effectively, appraisals ensure that the workforce is aligned with organizational objectives and is continuously evolving.
The key objectives of the performance appraisal process include:
- Establishing clear performance standards: These standards are based on the employee’s current job description to ensure employees fully understand the expectations of their role.
- Fostering meaningful dialogue: The appraisal process encourages direct, face-to-face discussions between supervisors and employees, providing a structured opportunity for feedback on job performance.
- Recognizing and improving performance: Appraisals are a platform to express appreciation for outstanding contributions and to address areas where performance may need enhancement. This also includes setting clear action plans for continuous improvement where needed.
Overall, performance appraisals strengthen the organization by promoting a culture of accountability, transparency, and growth, ensuring that each employee contributes effectively to the university’s mission.
Performance appraisals will run on a calendar year. Performance appraisals shall be scheduled, conducted, and documented by February 20th for the previous calendar year will be maintained in the employees' official personnel file in the Human Resources Department and saved to the Human Resources Information System (HRIS).
Merit salary adjustments will not be approved unless a current performance appraisal has been conducted and is on file and required annual UH System and campus mandatory training has been completed by the published deadline.
Confidentiality of the performance appraisals shall be maintained to the greatest extent possible. If copies of the performance appraisals are maintained within the employing department, they will be secured in a confidential location for the duration of the employee’s assignment in that department. Completed performance appraisals will not be made available to someone other than the employee, the employee’s immediate supervisor and/or cabinet-level supervisor, or with the written consent of the employee, or in compliance with state or federal law.
No policy or procedure shall be used to discriminate against any individual or group because of race, color, religion, national origin, sex (including pregnancy), age, disability, veteran status, genetic information, sexual orientation, gender identity, gender expression or any other legally protected status.
Definitions
Regular Staff Employee --A university employee who is appointed for at least twenty (20) hours per week on a regular basis for a period of at least four and one-half months., excluding students employed in positions for which student status is required as a condition of employment and those employees holding teaching positions classified as faculty.
Performance Appraisal --A formal appraisal by the immediate supervisor of the employee's performance during a specific period of time using the university’s official Annual Staff Performance Evaluation form.
Probationary Employee --The initial six (6) months of employment at UHV for each regular non-exempt staff employee is probationary and the initial twelve (12) months of employment for each regular exempt employee is probationary. Other provisions applying to probationary employment may be found in the university policy, C-23, Probationary Period for Regular Staff Employees.
Exempt Employee --An exempt employee is paid on a monthly salaried basis and is employed to work in a position classified as exempt from overtime pay regulations in accordance with the Fair Labor Standards Act (FLSA).
Non-Exempt Employee --A non-exempt employee is paid on a bi-weekly basis and is employed to work in a position classified as subject to the overtime pay regulations of the FLSA (Fair Labor Standards Act).
Procedure
Responsibility and Monitoring
Human Resources Responsibilities
- Administration of the Appraisal System
- The Human Resources (HR) department is responsible for managing and administering the university’s performance appraisal system. This includes developing, updating, and distributing all related forms and instructions to supervisors.
- Any changes to policies, procedures, or forms related to performance appraisals will be communicated by the Director of HR to all supervisors in a timely manner.
- Monitoring and Compliance
- HR will monitor the completion of all performance appraisals to ensure they are conducted in a timely manner. HR will follow up with supervisors who have not submitted the required appraisals.
- Upon completion of appraisals, HR will ensure that copies are uploaded into PeopleSoft HR and included in employees’ official personnel files.
- Support and Training
- HR is responsible for providing supervisors with appropriate training and guidance to ensure consistent and fair performance evaluations across the university.
Supervisor Responsibilities
- Conducting Performance Appraisals
- Supervisors are responsible for conducting formal performance appraisals for all employees under their supervision.
- In cases where an employee has multiple supervisors, the supervisor overseeing the majority of the employee’s work (more than 0.50 FTE) will lead the appraisal process. If necessary, department heads may request separate or combined evaluations to ensure fair and equitable assessment.
- Supervisors must work with HR to distribute required appraisal materials and ensure the timely completion of appraisals.
- Setting and Reviewing Goals
- Supervisors will review the performance development goals submitted by employees and approve or deny them based on department needs and career development opportunities.
- In cases where goals are denied, supervisors will work with employees to develop mutually agreed-upon goals to be incorporated into the annual performance evaluation.
- Preparing for and Conducting Appraisal Interviews
- Supervisors will schedule appraisal meetings in advance, allowing adequate time for both parties to prepare.
- During the appraisal interview, supervisors will review job requirements, performance standards, and previous goals with the employee. Supervisors will provide feedback on areas of strength, areas needing improvement, and opportunities for growth.
- A final performance rating, based on job expectations, will be determined and documented on the Annual Staff Performance Evaluation Form. Supervisors should focus on objective performance criteria rather than personal attributes.
- Documenting and Submitting the Appraisal
- After the interview, supervisors must finalize the Job Performance Appraisal Form and have it signed by the employee. Employees may add comments, and signatures indicate acknowledgment, not necessarily agreement.
- Supervisors are responsible for submitting completed appraisals to HR for inclusion in the employee’s personnel file within one week of the meeting.
Employee Responsibilities
- Self-Appraisal and Goal Setting
- Employees are responsible for completing the Self-Appraisal Form, reflecting on their performance, accomplishments, and any areas for development. This self-assessment helps guide the discussion during the appraisal meeting.
- Employees are required to submit at least two development goals to their supervisors. These goals should consider both personal career development and the needs of the department.
- Participation in the Appraisal Process
- Employees should actively engage in the appraisal meeting, providing input on their job performance and discussing ways to enhance their contribution to the university’s goals.
- Employees are encouraged to ask questions and seek clarification on performance standards, expectations, and any feedback provided.
- Acknowledgment and Comments
- After the appraisal meeting, employees are required to sign the performance evaluation form to acknowledge receipt. They may also add comments if they wish to express their perspective on the evaluation.
- Employees have the option of submitting their Self-Appraisal Form to HR for inclusion in their personnel file.
Cabinet-Level Supervisor Responsibilities
- Oversight of Performance Appraisal Process
- Cabinet-level supervisors are responsible for ensuring that all supervisors within their departments conduct appraisals for their staff in a timely and consistent manner.
- They are expected to follow up with supervisors who have not completed appraisals by the required deadlines and ensure that all evaluations are properly documented and submitted to HR.
Performance Appraisal Process
- Annual Appraisals
- All regular employees must receive a formal performance appraisal at least once per year. Supervisors will schedule appraisal meetings with employees to review their performance, discuss goals, and provide feedback.
- Transfers and Promotions
- Employees who are promoted or transferred into new positions should have a performance discussion regarding their new responsibilities, performance standards, and future plans. New supervisors may request previous evaluations for review.
- Part-Time and Temporary Employees
- Part-time employees working less than 0.50 FTE and temporary employees hired for less than 4.5 months are not required to undergo formal appraisals but may be reviewed at the supervisor’s discretion.
Grievance Process
Employees who disagree with their performance appraisal may file a grievance in accordance with UHV Policy C-21, Grievance Procedures. The grievance must be filed within the timeline specified by the policy, and HR will assist in facilitating the grievance process.
Supporting Documents
C-23, Probationary Period for Regular Staff Employees
Staff Performance Appraisal Form
Supervisor’s Guide to Performance Appraisals
UHS Administrative Memorandum (SAM) 02.A.11
UHS Administrative Memorandum (SAM) 01.D.07
Approved by:
[signature obtained]
Robert K. Glenn, Ph.D.
President
Date:
10/29/2024
Next review date: October 2029 (5 years)
Origination: Human Resources