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[Major revision–posted 12/19/16 (replaces 2/20/15)]
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Operating Policy and Procedure

OP 70.12: Performance Management

DATE: December 19, 2016

PURPOSE: The purpose of this Operating Policy/Procedure (OP) is to establish the university policy for employee performance management.

REVIEW: This OP will be reviewed in October of even-numbered years by the Assistant Vice President for Human Resources and the Managing Director of Equal Employment Opportunity with recommended revisions forwarded to the Chief of Staff for the President.

POLICY/PROCEDURE

General Policy

Performance management focuses on the supervisor's basic responsibility of encouraging results through the efforts of other individuals and is the foundation of performance excellence. Effective performance management is an ongoing process that involves position descriptions, performance evaluations, corrective action, and rewards and recognition.

1.  Position Descriptions

Position descriptions are an important tool for documenting essential functions of the job and skills necessary to perform the job. Position descriptions are used for both recruitment and performance management.

Supervisor responsibilities:

a.    Develop position descriptions for each employee he/she supervises;

b.    Review and revise position descriptions following a substantive change in the essential functions or any other modifications including, but not limited to, changes in work schedules, knowledge, skills, abilities, qualifications, environmental conditions or physical requirements; and

c.    Meet with each employee individually to review his/her position description and discuss performance expectations immediately upon appointment to a position, directly following a substantive change in the essential functions of the position, and annually during the performance evaluation process.

2.  Performance Evaluations

Performance evaluations are an essential way to track employee progress and maximize productivity in the workplace as it relates to essential job functions, global competencies, and supervisory factors (when applicable) and should be based on objective, measurable, and consistently applied criteria. The essential job functions and global competencies are taken directly from the position description linking the two forms together to provide the background for successful performance management.

Regular performance evaluations help to ensure recognition of high performing employees, and they are useful in keeping mid-level performers on track. Evaluations also help supervisors manage low performers by providing a clear record of all efforts made to assist in performance improvement.

a.    Faculty Evaluations

Evaluation of faculty performance is conducted as specified in OP 32.32, Performance Evaluations of Faculty.

b.    Staff Evaluations

Evaluation of staff performance is conducted as follows:

Newly hired employee (internal transfer or external hire)–As soon as possible after the employee has completed 6 months of service.

Employee not meeting expectations–Within 90 days to reevaluate performance after receiving an overall evaluation rating below 4.0 with ratings of "Occasionally, Frequently, or Consistently Below Expectations."

Employee with one or more years of service–Annually to evaluate performance from March 1 through February 28. Annual performance evaluations are to be completed no later than April 1.

Supervisor transfer or termination–Prior to a supervisor leaving his/her current supervisory position to work for another department within the university or terminate employment from the university, the supervisor should conduct an evaluation for all employees under his/her supervision when at least 120 days have passed since the last evaluation was completed.

Employee transfer–Prior to an employee leaving his/her position to work for another department within the university, the current supervisor should conduct an evaluation for that employee when at least 120 days have passed since the last evaluation was completed.

c.    Performance Improvement Plan (PIP)

A PIP must be completed in conjunction with the performance evaluation any time an employee's overall evaluation rating falls below a 4.0. The electronic Performance Management System (ePM) automatically provides a PIP template. PIPs will be reviewed at a minimum of every 30-calendar days, and the employee will receive an updated evaluation after 90 days have elapsed since performance was rated below 4.0.

d.    Administration

In an effort to maximize the benefits from administering a performance evaluation, supervisors are required to meet with each of their employees individually to discuss his/her documented performance, provide feedback/ask for feedback, discuss opportunities for improvement, and establish goals for the next evaluation period.

e.    Written Responses

Employees have the right to provide their supervisor a written response to any evaluation within 10 business days of receiving, meeting, and discussing the evaluation with their supervisor. Responses must be signed and dated. Formal complaints beyond the employee's right to provide a written response should be addressed through the non-faculty employee complaint procedures. See OP 70.10 for details.

3.  Position Description and Performance Evaluation Process

The electronic Performance Management (ePM) System is Texas Tech's automated performance information management system for all staff employees. The ePM provides a turnkey solution for creating automated performance management documents, including position descriptions, employee self-assessments, and performance evaluations.

a.    Performance evaluations are a condition of employment for all benefits-eligible staff employees.

b.    It is the immediate supervisor's responsibility to ensure position descriptions and performance evaluations for employees under his/her supervision are completed within the required timeframe.

c.    Use of ePM is required to complete employee position descriptions and performance evaluations.

• At the President's and Chancellor's discretion, university and system executive leadership may issue a performance memo in lieu of a performance evaluation. This memo may or may not have a numerical rating, but should identify whether or not the employee is meeting expectations.

d.    Supervisor and employee signatures are required to enable ePM to properly operate and for employees to acknowledge they received the evaluation and have been given the opportunity to discuss it with their supervisor. Refusing to sign the acknowledgement may result in corrective action up to and including termination of employment.

e.    Supervisors can access ePM and supervisor guides through the Human Resources website: http://www.depts.ttu.edu/hr/homePage/ePM.php.

4.  Merit Eligibility

An employee must have an evaluation with an overall rating of 4.0 or above during the evaluation period of March 1 through February 28 on file in his/her personnel record to be eligible for a merit or pay increase.

• In situations where the President or Chancellor's executive leadership issues a performance memo in lieu of a performance evaluation, the memo must identify that the employee is at least meeting expectations.

5.  Equal Employment Opportunity and Affirmative Action

Supervisors will review each employee's job performance, and the process used for determining the merit for each employee's performance in order to ensure that performance evaluations are conducted without regard to an employee's race, color, religion, sex (which includes pregnancy), sexual orientation, gender identity, national origin, age, disability, genetic information, status as a protected veteran, or any other legally protected category, class, or characteristic.

6.  Right to Change Policy

Texas Tech University reserves the right to interpret, change, modify, amend, or rescind this policy, in whole or in part, at any time without the consent of employees.

Operating Policies & Procedures