Administrative Procedure 9.170 Administrative Procedure 9.170

Performance Evaluation of Administrative, Professional and Technical (APT) Personnel

Administrative Procedure Chapter 9, Personnel
Administrative Procedure AP 9.170
Effective Date: May 2025
Prior Dates Amended: April 2002; June 2004
Responsible Office: Office of the Vice President for Administration
Governing Board and/or Executive Policy: Board of Regents’ Policy Chapter 9, RP 9.213, Executive Policy Chapter 9, EP 9.203
Review Date: May 2028

The purpose of the Performance Evaluation is intended to apply to all APT personnel and gives both the supervisor and the employee the opportunity to review and discuss performance expectations and actual performance as identified on the performance evaluation system. Performance evaluation is a continuous process which benefits both the employee and the University.

Objectives of the administrative procedure include the following: to develop on a system-wide basis a uniform and consistent employee performance evaluation program for APT employees; to facilitate supervisor-employee discussions relative to employee work performance and to accomplish this in a supportive climate; to document information that may be used for determination of employment status, e.g., passing probation and acquiring employment security; to provide the mechanism to recognize and document performance awards for exceptional work performance; and to establish a standard evaluation period for all APT employees.

No policy specific or unique definitions apply.

   
1. Immediate supervisors shall be required to evaluate the individual work performance of APT personnel under their supervision in accordance with the guidelines set forth below. Self-directed on-line and/or live tutorial training is available.

   
2. Supervisor responsibilities include the timely performance evaluation for each APT subordinate. Failure to fulfill this supervisory responsibility may result in appropriate corrective action. 

   
3. It is important to encourage and facilitate supervisor - subordinate discussions relative to employee work performance and to accomplish this in a supportive climate. Timely and meaningful discussion between a supervisor and subordinate is a necessary part of the evaluation process. Electronic communications should not be substituted for face-to-face discussions between a supervisor and subordinate.


4. Supervisors shall conduct periodic discussions on performance expectations and results and to provide positive reinforcement and recognition of outstanding achievements, as well as to constructively discuss any needed performance changes to meet performance expectations and support the University’s mission.


5. Employees are encouraged to discuss the areas of potential growth, skills enhancement, and opportunities to further engender job satisfaction, career development and successful performance.


6. Evaluation Periods
   
   
   1. Standard Evaluation Period
      The standard evaluation period for all APTs shall be November 1 to October 31. Evaluations of all APT employees shall be in conformance with the standard evaluation period with exceptions for evaluations arising from the completion of a probationary period or partial evaluations that do not conform with the standard evaluation period.
   
   
   2. Initial Probationary Employee Without Employment Security
      An initial probationary employee shall receive three evaluations during the probationary period:
      
      
      1. On or before the end of the twelfth month of service following the initial appointment (covers 1st through 12th month),
      
      
      2. On or before the end of the twenty-fourth month of service following the initial appointment (covers 13th through 24th month), and
      
      
      3. On or before the end of the thirty-sixth month of service following the initial appointment (covers 25th through 36th month).
         Example:
         If an individual is initially appointed on 4/1/25, the three-year probationary period will be through 3/31/28. The employee shall be evaluated on or before 3/31/26, 3/31/27 and 3/31/28, respectively.
   
   
   3. Employee With Employment Security
      
      
      
      1. After an employee has gained employment security in accordance with Article 9 – Employment Rights, Unit 08 collective bargaining agreement, the performance evaluation shall be conducted annually on or before the end of the standard evaluation period (October 31).
   
   
   4. Employee Who Accepts Another APT Position
      
      1. An employee with or without employment security who accepts another APT position shall be on probationary status for six (6) months which may be extended an additional six (6) months by the employer, in accordance with Article 9 - Employment Rights of the Unit 08 collective bargaining agreement.
         
         1. The employee shall be evaluated on or before the expiration of the six (6) months new probationary period.
         
         
         2. If the six (6) months’ probation is extended, the employee shall be given the reasons for the extension and the evaluation shall be conducted on or before the expiration of the extended probationary period.
      
      
      2. An employee without employment security who accepts another APT position during the employee’s initial probationary period must still satisfactorily complete the three (3) years initial probationary period required for employment security.
         
         1. The six (6) months new probationary period shall be concurrent and may overlap with the three (3) years initial probationary period but does not serve to extend the three (3) years initial probationary period.
         
         
         2. An employee who accepts another APT position shall be evaluated on or before the end of the employee’s initial probationary period in addition to being evaluated prior to the end of the six (6) months new probationary period.
      
      
      3. An overall rating of “Does Not Meet” during the employee’s six (6) months new probationary period may adversely affect the three (3) years initial probationary period required for employment security.
   
   
   5. Employee Whose Performance Does Not Meet Performance
      Whenever an employee’s overall performance does not meet performance expectations, it is the responsibility and expectation of supervisors to complete a formal evaluation in accordance with the electronic performance evaluation process for APT Personnel. However, the supervisor shall inform and discuss the employee’s performance with the respective Dean, Director, or designee before finalizing and discussing the formal performance evaluation with the employee, in accordance with procedures set forth herein.
   
   
   6. Partial Performance Evaluations
      When an employee leaves the position prior to the completion of a scheduled evaluation (e.g., initial probationary period, annual review or probationary period upon acceptance of another APT position), it is the responsibility of the supervisor to complete a partial performance evaluation for the employee to evaluate performance for the period up to the employee’s separation from the position. It is not necessary for a partial performance evaluation to be completed if an evaluation was completed no more than six (6) months prior to the date of separation from the job.
7. Performance Evaluation System
   The electronic version of the APT Evaluation Performance System shall be used for performance evaluations and shall be the official documented evaluation. Use of this system does not abrogate the need for face-to-face discussions between the supervisor and employee.


8. Review of Position Description and Performance Expectations
   Prior to or at the beginning of the evaluation period, the supervisor shall meet with the employee to review the official position description and work assignments, and discuss the supervisor’s expectations for the evaluation period. If the employee believes that the performance expectations established by the supervisor are not consistent with the work assignments and position description, the employee may request that the performance expectations be reviewed for appropriateness by an appropriate level of authority above that of the immediate supervisor.
   The employee’s official position description shall be reviewed for currency and accuracy. If a redescription of the position is necessary, such shall be submitted for review by designated human resources personnel.
   The position description received by the Office of Human Resources (OHR) shall be deemed the official position description.
   In the event that the employee's duties and responsibilities significantly change at any time during the evaluation period, good management practice requires supervisors to discuss with the employee those significant changes in duties and responsibilities, work assignments, and performance expectations that will affect the performance evaluation. In addition, the supervisor shall provide appropriate training and time for the employee to adjust to the changes in assigned duties as determined by the supervisor.


9. Completed Evaluations


1. The immediate supervisor shall discuss the evaluation, including any attachments, with the employee. The employee shall be offered the opportunity to electronically sign (submit an electronic acknowledgment using the employee’s personal User ID) the evaluation to indicate that the evaluation has been discussed with the employee, and that the employee was provided an opportunity to attach explanatory remarks. The employee's electronic signature does not necessarily mean that the employee agrees with the evaluation; nor is the employee required to sign.


2. After completion, the evaluation with any attachments shall be filed in the employee's official personnel file. The completed evaluation will be available to the employee within the Performance Evaluation System.


10. Performance Ratings


1. Evaluations for the standard evaluation period shall be the basis for a supervisor’s recommendation of a performance award. Recommendations for a performance award for continuous periods of service other than the standard evaluation period and that may involve one or more partial evaluations may be approved provided that the evaluation period is deemed by the University to be essentially equivalent to the standard evaluation period when other eligibility criteria for performance award are satisfied.


2. The employee’s performance should be rated on a 5-point scale for each performance factor from Does Not Meet to Exceptional.


1. 1 - Does Not Meet. Employee does not meet the expectations of their duties and responsibilities, and does not achieve any of the elements according to any or all of the 7 performance factors.


2. 2 - Learning / Transitional. Employee is new to position or has been given additional responsibilities, and is still in process of gaining the knowledge, skills, and abilities to perform assigned tasks at a Meets level. (Should be actively coached through feedback process.)


3. 3 - Meets. Employee performs assigned work, provided there is close direction and oversight by the supervisor, with frequent guidance related to timelines or process.


4. 4 - Exceeds. Employee performs work with a high degree of initiative and independence, shows competence in assigned areas of work. Work is accurate and thorough.


5. 5 - Exceptional. Employee performs assigned tasks with a high degree of initiative and independence, and shows competence in assigned areas of work.  Work is accurate and thorough. Employee seeks opportunities to take on special projects, provides guidance and training to colleagues, and provides effective recommendations related to existing work processes.


3. The supervisor shall complete an evaluation in the electronic Performance Evaluation System and discuss any comments and/or feedback from the evaluation with the employee. The immediate supervisor may nominate the employee for a performance award in accordance with procedures set forth below.


4. Employee's Performance Does Not Meet Performance Expectations


1. When an employee receives a rating of does not meet performance expectations in any of the performance factors, a formal evaluation reflecting a “Does Not Meet” rating may be issued at any point in time during the evaluation period or at the end of an evaluation period.


2. Prior to effectuating a formal evaluation reflecting a “Does Not Meet”, the supervisor shall have reviewed the performance expectations with the employee at the start of the evaluation period, monitored the employee’s work performance during the evaluation period, provided training as necessary, and provided performance feedback to the employee on areas for improvement.
   If the supervisor still determines that an employee’s performance does not meet the performance expectations, a formal performance evaluation using the APT Performance Evaluation System may be processed. However, the supervisor shall discuss the evaluation with the respective Dean, Director, or designee prior to finalizing and discussing the formal evaluation with the employee.


3. Whenever a rating of “Does Not Meet” is determined, the supervisor shall provide supporting rationale for the rating. It is the supervisor’s responsibility and an expectation of a supervisor to discuss performance feedback that may have been noted during the evaluation period and rationale for the evaluation with the employee.

   
11. Employee With Employment Security Whose Performance Does Not Meet Performance Expectations - Opportunity to Improve Performance
    When an employee with employment security has been given a formal “Does Not Meet” performance evaluation, the employee shall be afforded an opportunity to improve performance to a level that meets performance expectations.


1. The employee with employment security shall have six (6) months to improve performance to a level that meets performance expectations (performance improvement period). If at the end of the six (6) months improvement period, the employee’s supervisor determines that progress towards improvement is being made by the employee and the supervisor determines that an extension of the improvement period will be in the best interest of the University and the employee, the supervisor may extend the improvement period for an additional three (3) months period but not to exceed a total of nine (9) months following the employee’s receipt of the “Does Not Meet” performance rating.


2. At the start of the six (6) months performance improvement period or extension thereof, the immediate supervisor shall inform the employee in writing of: (1) the specific areas in which the employee’s performance does not meet performance expectations, (2) the expectations and factors for improving performance to the level that “meets” performance expectations, and (3) the duration (beginning and end dates) of the performance improvement period of six months. In the event that the performance improvement period is extended the supervisor shall provide the duration (beginning and end dates) of the three (3) month extension.


3. If the employer determines, based on discussions with the employee with employment security, that the employee shall participate in training as part of the employee’s performance improvement program, the six (6) months performance improvement period shall commence following completion of such training. The supervisor shall work with the employee and monitor the performance of the employee during the performance improvement period.


4. It is the responsibility and expectation of a supervisor to evaluate the employee with employment security upon completion of the performance improvement period or any extension thereof using the APT Performance Evaluation System.


1. If the employee’s performance has not improved to a level which meets the performance expectations within the six (6) months or any extension thereof established by the immediate supervisor, the employer shall initiate appropriate action.


2. For the employee with employment security, whose position classification has changed from one functional group to another functional group during the evaluation period immediately preceding the performance improvement period, the employee shall be provided an additional nine (9) months beyond the initial six (6) months performance improvement period and any extension thereof. The additional nine (9) months is for the purpose of improving the employee’s job performance to meet performance expectations in the employee’s new career group, provided that funds are available for the employee’s position and that the position encumbered by the employee continues to be authorized. At the end of the fifteen (15) months or eighteen (18) months in the event that a three (3) month extension of the performance improvement period is deemed appropriate, the employer shall initiate appropriate action.


5. The six (6) months performance improvement period shall not be applicable to an employee with employment security who is appointed to a new APT position and is serving the six (6) months new probationary period or any extension thereof.


12. Employee Without Employment Security Whose Performance Does Not Meet Performance Expectations
    If the work performance of an employee without employment security does not meet performance expectations, the employer shall initiate appropriate action.


13. Guidelines - Special Compensation Adjustment for Performance


1. Special compensation adjustments for performance are subject to the availability of funding and may be authorized by the appropriate Chancellor, Provost, or Vice President to recognize and reward exceptional employee performance during the standard evaluation period. The performance must have significantly and regularly exceeded work performance standards particularly regarding reliability, initiative and overall contribution on an on-going basis, included exceptional work performance that significantly contributed toward advancing the objectives of their work unit and the University, demonstrated imaginative and/or creative solutions for difficult or complex problems and/or work efforts that made significant improvements in the work unit operations resulting in enhanced efficiency and/or financial savings.


2. An employee may be considered for nomination for a performance award at the end of each standard evaluation period provided the employee has met all of the following criteria:


1. Received a rating of 28 or higher for the standard evaluation period for which the nomination is made, and 


2. Has six (6) months service in the employee’s current position. 


3. An employee is not eligible to be nominated or receive a Performance Award if the employee:


1. Is subject to an employment agreement that may provide other compensation alternatives in lieu of the performance awards addressed herein, or


2. Is participating in another University designated demonstration project having other performance awards criteria and/or procedures, or


3. Does not meet all of the eligibility criteria cited in Subsection J above, or is rated as Does Not Meet in any Performance Factor.


4. A performance award is not intended to compensate for alleged deficiencies in the individual employee’s basic rate of pay based on market, equity, in-band growth, or retention considerations. The amount of an award may be determined in the context of the Special Compensation Adjustment - performance awards - Benchmarks (see Attachment 2).
   A performance award is not an automatic entitlement, but is a discretionary award, as determined by the employer, to an employee whose performance consistently exceeds performance expectations.


5. The performance awards shall be paid as a single lump-sum stipend rounded to the nearest whole dollar in accordance with University rounding rules and shall be subject to the availability of funding from within a program’s approved budget allocation.
   When calculating performance awards as a lump-sum stipend, the following shall be observed:
   (Current monthly salary) x (approved percentage (e.g., 2% or 4% or 6% or 8%)) = (amount to be rounded up to the $.50 and above to nearest whole dollar) x (12 months) = (total performance award to be paid as a single lump-sum stipend)


6. The SCA performance award recommendation must include the ollowing:


1. A certification that the employee meets the SCA-PA criteria.


2. Pertinent documentation, statements or citations which support rating the employee’s performance as a 28 or higher.


3. Certification of availability of funding by the Dean/Director.


4. Any other relevant information or facts in support of the request.


5. Completion and submission of an electronic nomination in accordance with electronic, system-generated workflows.


7. Effective Dates of Awards: Upon approval, SCA- performance awards shall be effective November 1 following the end of the standard evaluation period. The program shall initiate appropriate action to authorize payment of the approved SCA- performance awards at the appropriate time.


8. Funding of Award: Funding for SCA-performance awards shall be the responsibility of the program.


9. Award for SCA-Performance Award shall not exceed a total of 8% of the employee’s annual base pay.


10. The appropriate Chancellor, Provost, or Vice President may approve, modify, or deny those requests submitted for SCA-Performance Award. A copy of the approved and disapproved requests shall be forwarded to the exclusive collective bargaining representative upon request by the exclusive collective bargaining representative.


11. All disapproved requests with comments/ rationale for disapproval shall be returned to the appropriate submitting office.


12. SCA-Performance Awards are a lump sum stipend payment and shall be limited to once during a standard evaluation period.


13. SCA-Performance Awards shall be at the discretion of the University and shall not be subject to appeal other than for instances of discrimination or procedural violations.

The Chief Executive Campus Officer or Official Designee shall be responsible for implementation of the performance evaluation process within the respective jurisdictions.

Office of the Vice President for Administration

Board of Regents’ Policy, RP 9.213, Evaluation of Board of Regents' Appointees.
Executive Policy E9.203, Evaluation of Board of Regents' Appointees.

Article 9 - Employment Security and Article 10, F - Employment Rights of the Unit 08 Collective Bargaining Agreement.

Attachment 1: Performance Evaluation Process for APT Personnel

Attachment 2: Special Compensation Adjustment – Performance Award - Benchmarks

    VP for Admin