UW Research

Annual Performance Evaluation Policy and Process

Type Policy and Process
Title Annual Performance Evaluation Policy & Process
Effective July 1, 2013
Updated July 15, 2015

1.0 Purpose
The purpose of this policy is to establish guidelines and a process for staff performance evaluations in accordance with University, state and contractual rules and regulations. At the UW, there are different job classes; professional staff, contract classified staff covered by a collective bargaining agreement, non-union classified staff covered by civil service rules (state), and temporary employees. While performance management principles are the same when conducting performance evaluations, each designation may have its own unique performance requirements.

2.0 Revision History
None

3.0 Persons Affected
All employees of the Office of Research.

4.0 Policy
This policy is to ensure that:

4.1.1 Professional staff receive annual performance evaluations by the end of the fiscal year, in alignment with the UW Professional Staff Program, https://hr.uw.edu/ops/performance-management/work-performance-for-employees/

“In addition to regular performance feedback, the Professional Staff Program requires supervisors to conduct formal performance evaluations at least annually, though employees may request evaluation more frequently.

Units schedule evaluations to best meet their needs, and the evaluation cycle is not dependent on the merit salary increase process. However, a current performance evaluation (completed within the previous twelve months) is required to support recommendations for merit salary adjustments and in-grade or grade change salary increases.”

4.1.2 Contract classified staff receive annual performance evaluations in accordance with their union contract. In the Office of Research, the applicable contract is SEIU 925:
https://hr.uw.edu/labor/staff-unions/seiu-925/contract

Article 19.1: “Performance evaluations shall be performed at least annually, typically on their anniversary date but it can vary. Evaluations shall be based on job related performance factors. Performance evaluations shall not be used to initiate personnel actions such as transfer, promotions or corrective disciplinary actions; however evaluations may serve as supporting documentation for personnel actions. Employee participation in the development of evaluation materials and rating factors is encouraged.”

Contract classified staff receive automatic step increases each year until they reach the top step in their range.

The Career Enhancement/Growth Program, however, allows supervisors to recognize and reward contract classified staff who:

  • Have been in the same job classification at the highest automatic increment step, or an intermediate CEGP step in the same job classification, for a minimum of one year; and,
  • Whose development of skills , increased productivity, or permanent assumption of higher-level duties have resulted in service enhancement or efficiencies exceeding those normally expected of someone in the employee’s classification (but which do not otherwise qualify the employee’s position for reclassification).

4.2 Classified non-union employees (staff who are not covered by a collective bargaining agreement or the UW Professional Staff Program) are evaluated annually, in accordance with Administrative Policy Statement 43.14 Performance Management Policy for Classified Non-Union Staff
http://www.washington.edu/admin/rules/policies/APS/43.14.html

5.0 Definitions
The following terms are often associated with the performance management cycle. While all of them may or may not be implemented within the Office of Research Units, they are described here for informational purposes.

5.1 Performance Appraisals, Reviews or Evaluations:
A systematic and periodic (usually annual, unless for new employees) process that assesses an individual employee’s work performance and productivity related to a set of criteria and objectives set forth by the job description and other standard operating procedures. Other factors evaluated may include teamwork, customer service, accomplishments, strengths and weaknesses, development opportunities, progress to goals and goals for the upcoming year.

5.2 Performance Expectations:
Criteria by which an individual employee performs his or her job as defined by job descriptions, standard operating procedures, customer service standards, compliance with laws, rules and regulations and other factors as defined by the manager.

5.3 Performance Standards:
Describes specific performance expectations for each major duty. They are the observable behaviors and actions which explain how the job is to be done, plus the results that are expected for satisfactory job performance. They tell the employee what a good job looks like. The purpose of performance standards is to communicate expectations.

5.4 Job or Core Competencies:
Describes various skills, aptitudes, and performance levels as they are related to a specific position or job.

5.5 Performance Management:
Performance management (PM) includes activities (such as processes, policies, training and success indicators) which ensure that goals are consistently being met in an effective and efficient manner. Performance management can focus on the performance of an organization, a department, employee, or even the processes to build a product of service, as well as many other areas.

Performance Management is also known as a process by which organizations align their resources, systems and employees to strategic objectives and priorities.

5.6 Individual Development Plan
An individual development plan, also referred to as an IDP, is a document completed by the individual for the plan of self-development over the next review period, usually one year. This plan is then reviewed and discussed by the supervisor to match the individual goals with the organization goals and job duties and goals. They also discuss various options and approaches to achieve the plan. At the end of one year (or other time period) this plan is reviewed to see how much of each goal is fulfilled and then what are the new foals and plans for the new year.

5.7 360 Performance Evaluation:
360 Degree Feedback is a system or process in which employees receive confidential, anonymous feedback from the people who work around them. This typically includes the employee’s manager, peers, and direct reports. A mixture of about eight to twelve people fill out an anonymous online feedback form that asks questions covering a broad range of workplace competencies. Usually the person being evaluated is able to pick four to six of the respondents. The feedback forms include questions that are measured on a rating scale and also ask raters to provide written comments. The person receiving feedback also fills out a self-rating survey that includes the same survey questions that other receive in their forms.

Managers and leaders within organizations use 360 feedback surveys to get a better understanding of their strengths and weaknesses.

360 Feedback can also be a useful development tool for people who are not in a management role. Strictly speaking, a “non-manager” 360 assessment is not measuring feedback from 360 degrees since there are no direct reports, but the same principles still apply.

6.0 Responsibilities

6.1 Managers and Supervisors:

6.1.1 Ensure that employees receive feedback on their work performance timely and consistently over the year, including positive feedback as well as any concerns for improvement. Regular on-on-one meetings are an important way for managers to communicate with individual staff and provide feedback and coaching. This also provides a chance for staff to communicate concerns they may have in their positions, in the work environment or with process partners and stakeholders, including sensitive topics they are uncomfortable discussing in team meetings.

6.1.2 At least annually, comprehensively review employees’ performance. An annual review is an opportunity to accomplish the following:

  • Sum up an overall assessment of how work has gone over the previous year. This assessment should include concerns that have been addressed over the previous year as well as recognition for accomplishments.
  • Identify goals that have been met and those where additional effort may be required.
  • Determine whether the employee’s job description and competencies accurately reflect the reality of the position, and make updates as necessary.
  • Identify performance, achievement and/or development goals for the upcoming year.

6.1.3 Make sure that the employee has an opportunity to provide input.

6.1.4 Obtain one-over-one (manager’s manager one level up) review and approval before providing to the employee.

6.1.5 Unsatisfactory Performance
If an employee’s job performance is not satisfactory and normal coaching, counseling and training have not brought performance to an acceptable level, corrective action may be necessary. Feedback on a performance evaluation should not be a surprise to the employee, as any feedback should have been discussed with the employee prior to the performance evaluation. Classified non-union staff, contract classified staff, and professional staff employment programs each have their own processes and requirements.

6.2 Employees:

6.2.1 Review job descriptions for accuracy and to note any changes (would be helpful to update throughout the year as changes are made).

6.2.2 List accomplishments and progress to any goals for the previous year.

6.2.3 Create performance, achievement and/or development goals for the upcoming year for discussion purposes.

7.0 Procedures

7.1 General Procedures for all staff:

7.1.1 Before the evaluation, the manager should ask the employees to:

  • Review job description and note any changes
  • Provide a list of accomplishments over the past year
  • Provide progress to goals as applicable
  • Create new goals for upcoming year as applicable

These should be sent in time to be incorporated into the manager’s evaluation as applicable.

The forms for Professional and classified staff to complete can be found at: http://www.washington.edu/admin/hr/roles/ee/jobperformance/

The one-over-one manager (manager’s manager one level up) should review and sign the evaluation before it is given to the employee. This can also be done by the HR director.

7.1.2 When conducting the performance evaluation, it is important to:

  • Be prepared – know objectives and goals of the meeting
  • Choose a quiet, private spot with as few interruptions as possible
  • Create a positive environment and help the employee feel at ease
  • Give balanced feedback, both positive and negative, but start with the positive (When discussing areas for improvement, discuss methods and objectives for improving)
  • Performance evaluations should be a reflection of ongoing discussions throughout the year, and the information should not be a surprise to the individual.
  • Focus on the job, not the person
  • Ask questions and allow the employee to provide feedback
  • Discuss professional development as applicable
  • Summarize and review the important points of the discussion
  • Restate any action steps that have been recommended and provide a time frame for completion
  • Make sure the employee reviews the appraisal and is given time to provide comments
  • Have the employee sign it to acknowledge that they have read it (does not signify agreement with the content but is still valid even if the employee does not sign)
  • Follow-up with the employee to see how plans are proceeding within the given timeframes
  • Offer the employee assistance in achieving objectives and encourage discussion of successes and obstacles throughout the upcoming year (coaching)

7.1.3 Staff are asked to sign the performance evaluations as acknowledgment that they received them, not necessarily that they agree with them. Sometimes, performance evaluations are revised after the conversation takes place. Additionally, if the staff member disagrees with the performance evaluation, they are able to write an addendum to be attached to the performance evaluation.

7.1.4 Performance evaluations are kept in the local personnel files or by year for three years after completion of review, and then shredded or destroyed and e-copies deleted.

7.2 Professional Staff

7.2.1 The evaluation format for pro staff is flexible, but typically address the factors such as:

  • Quality of Work
  • Quantity of Work
  • Customer Service
  • Teamwork
  • Managerial Skills as applicable
  • Trouble shooting (problem solving)

7.2.2 When writing the evaluation, include accomplishments as relevant or attached staff member’s list of accomplishments.

7.3 Contract Classified Staff

7.3.1 The union-approved performance evaluation form on the HR website under HR Forms, in the Job Performance/Recognition section, Contract Classified Staff at:
https://hr.uw.edu/forms/
should be used to evaluate contract classified staff, but an additional evaluation can be written and attached to this form as appropriate.

7.3.2 It is important to note Article 19.6 Grievability. “Employee performance evaluations are grievable only through Step Two of the Grievance Procedure.”

7.4 Classified Non-union Staff

7.4.1 This information applies to the performance management process for classified non-union employees – those classified employees at the University who are not covered by a collective bargaining agreement. The performance management process for classified non-union staff is in accordance with Administrative Policy Statement 43.14 Performance Management Policy for Classified Non-Union Staff.
http://www.washington.edu/admin/rules/policies/APS/43.14.html

7.4.2 Performance Development Plan
As stated on the UW HR website:

The Performance Development Plan is the approved form that the state civil service rules require
be used to document the performance review process for classified non-union staff. View the Performance Development Plan Instructions. Both the evaluation form and the instructions are on the HR website under HR forms.

Using the Performance Development Plan to conduct the performance review process anticipates that you have compiled the following information and shared it with your employee(s):

  • A complete job (position) description that describes those tasks and responsibilities for which a particular position is responsible.
  • A position’s performance expectation in the form of:
    • The Key Results expected of the position (what outcomes are expected).
    • The Competencies that are necessary to perform the job duties and achieve the Key Results.

8.0 Content Creator
Office of Research HR & Operations Director

9.0 Effective Date
July 1, 2013

10.0 Other Resources
HR Website, Employee work performance:
https://hr.uw.edu/ops/performance-management/work-performance-for-employees/

HR Website, UW Union Contracts (SEIU 925):
https://www.washington.edu/admin/hr/laborrel/contracts.html