UNIVERSITY OF PITTSBURGH PROCEDURE 07-05-01

CAGETORY:              PERSONNEL
SECTION:                  Staff Performance
SUBJECT:                 Performance Appraisal Program
EFFECTIVE DATE:   April 19, 2013

PAGE(S):                   5

I.    PURPOSE

      To provide the steps for conducting staff performance appraisals.

II.   SCOPE

      This procedure applies to all regular full-time and part-time staff included in the Staff

      Classification System, and their immediate supervisors.  The performance appraisal

      program is designed as one component in an ongoing program of two-way

      communication between supervisors and employees and includes:

      -     The Annual Staff Performance Appraisal

      -     A three-step review process during the Provisional Period of Employment

      -     Special Reviews

      -     The Performance Improvement Plan

      This procedure is subject to regular University Administrative Review.

III.  DEFINITIONS

      Staff Member:  A current regular full-time or part-time classified University employee.

      Classified:  Included in the University Staff Classification System.

      Provisional Period of Employment:  The period during which staff members who

      have been hired, promoted, or transferred are given the time to learn and adjust to

      their new position and departmental administrators are given time to appraise the

      staff member’s suitability for the position.  The length of time is based on the job

      classification: three calendar months for secretarial, clerical, or technical positions;

      six months for professional positions.  Staff members who have been involuntarily

      reassigned may be subject to a new provisional period.

      Immediate Supervisor:  The individual responsible for the ongoing monitoring of the

      staff member’s performance, who initiates or recommends personnel action, and

      ensures that established personnel policies and procedures are followed.

      Department Administrator:  The individual responsible for planning, coordinating and

      directing the daily operations of a business unit or a School, including responsibility

      for the departmental budget.

IV.  PROCEDURE

      Annual Appraisals

      Immediate Supervisor                          1.   Monitor staff member’s job related

                                                                            performance during the given appraisal

                                                                            period.

                                                                      2.   Instruct the staff member to complete the

                                                                            Self-Appraisal form.

      Staff Member                                         3.   Complete the Self-Appraisal form and

                                                                            return to the immediate supervisor.

      Immediate Supervisor                           4.   Prior to June 30th, prepare a written

                                                                            appraisal of each staff member’s job-

                                                                            related performance.

                                                                      5.   Meet with each staff member individually

                                                                            to discuss the evaluation.

                                                                      6.   Request that the staff member complete

                                                                            the "Employee Comments" section of the

                                                                            Staff Performance Appraisal form (not

                                                                            required).

                                                                      7.   Secure the signature of the staff member

                                                                            on the form, and sign where indicated.  If

                                                                            needed, inform the staff member that

                                                                            signing the Staff Performance Appraisal

                                                                            form acknowledges that the staff member

                                                                            received the document and was present

                                                                            during the performance discussion meeting.

                                                                            The signature does not necessarily mean

                                                                            that the staff member agrees with the

                                                                            appraisal rating.

                                                                      8.   Provide a copy of the completed Staff

                                                                            Performance Appraisal to the staff member.

                                                                      9.   Submit completed Staff Performance

                                                                            Appraisal form to the Department

                                                                            Administrator.

      Department Administrator                   10.   Maintain the original signed Staff

                                                                            Performance Appraisal in the staff

                                                                            member’s departmental personnel file.

      Provisional Period of Employment Steps

      Step One: Overview of Job Expectations and Departmental Information

      Immediate Supervisor                          1.   Complete Step One Provisional Form.

                                                                      2.   On the staff member’s first working day

                                                                            (no later than the first week), discuss the

                                                                            Step One Provisional Form with the staff

                                                                            member.

                                                                      3.   Obtain the appropriate signatures and

                                                                            submit the original Step One Provisional

                                                                            Form to the Department Administrator to

                                                                            place in the staff member’s departmental

                                                                            personnel file.  Also, provide a copy of

                                                                            the form to the staff member.

      Department Administrator                     4.   Maintain the original Step One Provisional

                                                                            Form in the staff member’s departmental

                                                                            personnel file.

      Step Two: Provisional Mid-Point Staff Appraisal

      Immediate Supervisor                          5.   Monitor the staff member’s performance

                                                                           on an ongoing basis.  Alert the staff member

                                                                           of job behaviors that are below standard,

                                                                           and plan together to improve performance.

                                                                     6.   As the mid-point of the provisional period

                                                                           approaches (1 1/2 or 3 months), prepare

                                                                           a written appraisal of the staff member’s

                                                                           job related performance by completing the

                                                                           Staff Performance Appraisal form and

                                                                           discuss with the staff member.

                                                                     7.   Secure the signature of the staff member

                                                                           on the form, and sign where indicated.  If

                                                                           needed, inform the staff member that

                                                                           signing the Staff Performance Appraisal

                                                                           form acknowledges that the staff member

                                                                           received the document and was present

                                                                           during the performance discussion meeting.

                                                                           The signature does not necessarily mean

                                                                           that the staff member agrees with the

                                                                           appraisal rating.

                                                                    8.   Obtain the appropriate signatures and

                                                                          submit the original Staff Performance

                                                                          Appraisal form to the Department

                                                                          Administrator to place in the staff

                                                                          member’s departmental personnel file. 

                                                                          Also, provide a copy of the form to the

                                                                          staff member.

      Department Administrator                  9.   Maintain the original signed Mid-Point

                                                                          Staff Performance Appraisal form in the

                                                                          staff member’s departmental personnel file.

      Step Three: Employment Status Determination

      Immediate Supervisor                       10.   By the end of the provisional period of

                                                                           employment, a decision must be made to

                                                                           retain the staff member or extend the

                                                                           provisional period.  Complete Step Three

                                                                           Provisional Form.

                                                                   11.   For cases of extension or termination,

                                                                           contact the Employee Relations

                                                                           Department in the Office of Human

                                                                           Resources prior to taking any action.

                                                                           a.   With prior documentation, and the

                                                                                 approval of the Employee Relations

                                                                                 Department in the Office of Human

                                                                                 Resources, the provisional period

                                                                                 may be extended up to a specific

                                                                                 period.

                                                                   12.   Discuss with the staff member the

                                                                           decision to retain or extend the provisional

                                                                           period.

                                                                   13.   Obtain the appropriate signatures and

                                                                           submit the original Step Three Provisional

                                                                           Form to the Department Administrator to

                                                                           place in the staff member’s departmental

                                                                           personnel file.  Also, provide a copy of

                                                                           the form to the staff member.

      Department Administrator                  14.   Maintain the original Step Three Provisional

                                                                           Form in the staff member’s departmental

                                                                           personnel file.

      Special Reviews

      Immediate Supervisor                          1.   To acknowledge special accomplishments,

                                                                            document performance problems, or

                                                                            evaluate new duties at a period of time

                                                                            other than the annual review or the

                                                                            provisional mid-point staff appraisal,

                                                                            complete the Staff Performance Appraisal

                                                                            form.

     The Performance Improvement Plan

      Immediate Supervisor                          1.   Document plans to improve the unacceptable

                                                                            performance of a provisional or regular staff

                                                                            member.

                                                                      2.   When a problem has been identified, the

                                                                            recommended procedure is to consult the

                                                                            Office of Employee Relations.

                                                                      3.   In consultation with the Employee Relations

                                                                            Department in the Office of Human Resources,

                                                                            complete a Performance Improvement Plan,

                                                                            and discuss it with the staff member.  Provide

                                                                            the staff member with a copy of the completed

                                                                            Performance Improvement Plan.

                                                                      4.   Review performance as indicated and provide

                                                                            the necessary support.

                                                                      5.   If the staff member’s performance improves

                                                                            as planned, follow the procedures for Special

                                                                            Reviews (above).

                                                                      6,   If the staff member’s performance does not

                                                                            improve as outlined in the Performance

                                                                            Improvement Plan, in consultation with

                                                                            Employee Relations, the supervisor may

                                                                            begin disciplinary procedures up to and

                                                                            including termination.

      Department Administrator                     7.   Maintain the original Performance

                                                                            Improvement Plan in the staff member’s

                                                                            departmental file.

                                                                      8.   Forward a copy of the completed

                                                                            Performance Improvement Plan to

                                                                            Employee Relations in the Office of

                                                                            Human Resources.

V.  REFERENCES

      Policy 07-05-01, Performance Appraisal Program

      Forms and Other Tools for the Performance Appraisal Program can be found at the Office

      of Human Resources Web site