Performance Appraisal

PER-2.13 May 1, 1992 Performance Appraisal

I. POLICY AND/OR OBJECTIVE

1. Performance appraisals may be used for but are not limited to the following:
   1. establishing goals and objectives for job performance;
   2. informing employees of strong and weak points, training needs or expected improvements, and suggested methods for improvement;
   3. determining the employee's eligibility for performance pay increases;
   4. recognizing an employee's potential for promotion;
   5. serving as a basis for disciplinary action; and
   6. assisting in determining the order of layoff and reinstatement.


2. Written job descriptions and job performance factors and performance standards should be given to and discussed with the employee when he or she assumes the position. Job performance factors are to be updated and discussed with the employee whenever there is a significant change in job duties.


3. A written appraisal of each employee's work performance shall be made at least annually. Semi-annual or mid-year performance reviews are encouraged.
   
   
4. A provisional status employee will receive a progress report every two months during the provisional employment period.   A written performance evaluation will be provided prior to the completion of the provisional employment period, based upon the job factors established for the position.

II. PROCEDURE

1. The Performance Management Guide was developed to assist supervisors and managers in preparing for and conducting performance evaluations.  Click to access the guide, evaluation form and other applicable documents.
   

2. All performance evaluations shall be made by the employee's first line supervisor. The second line supervisor shall signify concurrence with the overall performance rating, and certify it is consistent with the established performance evaluation standards of the unit. 
   

3. Classified and Professional/Administrative employees' performance shall be appraised 30 days before the end of their provisional employment period. If the employee's service is unsatisfactory, the employee should be terminated before the end of the provisional employment period. Employees retained beyond the provisional employment period will be granted regular status. Copies of the evaluation are to be submitted to the Human Resources Department.
   

4. All staff personnel are to be evaluated in writing between January 1 and March 31 of each calendar year. Copies of the evaluation must be submitted to the Human Resources Department.
   

5. Performance evaluations may be conducted for classified or professional/administrative staff at any time. When an employee's performance is first recognized as not meeting expectations and is not resolved through informal discussion, the supervisor should:
   
   1.      Engage the employee under the provisions of the disciplinary policies, PER 5.01; or
   2.      Implement a Performance Improvement Plan as described in Section II below, until the employee's performance improves or he or she is dismissed.

6. Additional questions can be directed to Staff Development and Employee Relations at either 852-6536 or 852-6538 or by email at employeerelations@louisville.edu.

III. PERFORMANCE IMPROVEMENT PLAN

Performance Improvement Plans, if applicable, shall be implemented when:

An employee's performance is first recognized as not meeting expectations and is not resolved through informal discussion, or

An employee receives  a “needs improvement” written evaluation.

During the performance improvement plan period an employee shall be evaluated at least once every 30 calendar days up to a maximum of 90 calendar days until:

1. the employee's performance has improved and is evaluated as at least meeting expectations; or
2. the employee is terminated under the provisions of the staff disciplinary process, PER 5.01.

The Performance Improvement Plan is designed to provide employees a reasonable amount of time to improve.  However, employees remain subject to disciplinary action related to unsatisfactory performance and/or other violation(s) of university policies and procedures in accordance with PER 5.01, Disciplinary Action.

After the immediate supervisor completes a written summary of the areas which require improvement or an evaluation, he or she shall discuss with the employee. The employee will be provided an opportunity to sign the applicable document. Should the employee refuse to sign, a notation shall be made on the memorandum and/or evaluation. Employees shall be permitted to submit written statements of disagreement that shall be attached to the applicable document within 15 calendar days. A copy of the memorandum and/or evaluation shall be given to the employee and shall then be filed in the department with a copy forwarded to the Human Resources Department.

The Staff Development and Employee Relations Office must be notified whenever an employee receives a “needs improvement” performance evaluation.