HR: 4120, p. 1
HRD: 1114, p. 1
Performance Appraisal and Counseling
Scope: This policy applies to employees in graded positions, their supervisors, and appraisal
reviewers.
Definitions
Merit Appraisal - a supervisor’s annual evaluation of an employee used to determine annual
salary increases.
Interim Appraisal - a supervisor’s evaluation of a new employee during the probationary period
and within six months after an employee changes jobs through transfer or promotion.
Counseling Report – a report which documents a discussion about an employee’s performance
that does not meet the supervisor’s expectations and delays a merit pay increase until such time
as the performance improves to a “meets” level.
Counseling Memo – a memo which documents a discussion about less serious performance
problems.
Performance Expectation - a behavioral description of how the job should be done.
Policy: Performance appraisals are to be conducted fairly and honestly to ensure high
productivity and efficiency of college personnel. Performance appraisals will be conducted in
accordance with nondiscrimination policies; supervisors will be held accountable for completing
and processing employee appraisals on time. To promote leadership and accountability at all
levels, the performance factor Accountability will carry significant extra weight in determining
the employee’s overall performance rating as indicated below.
Overall Rating
Minimum Criteria
Meets
By definition, an overall rating of “Meets” is good performance.
All factor ratings must be rated at least “meets.” “Accountability”
is rated “meets.”
Exceeds
Accountability is rated “exceeds” plus at least one other factor is
rated above a “meets.”
Outstanding
Accountability is rated “outstanding” plus at least one other factor
is rated “outstanding.”
Procedure: Supervisors evaluate their employees annually except when an employee does not
overall “meet” expectations. Raises take effect the following calendar quarter.
HR: 4120, p. 2
HRD: 1114, p. 2
Extensions to the Merit Appraisal Timeline: Supervisors may request through the supervisory
chain to the executive level member on the President’s Council a “good cause” extension to the
appraisal timeline. The executive member will determine the response in coordination with
HRD (including “negotiating” a new timeline) and notify the requestor, the affected employee(s),
and HRD the results. Examples of a “good cause” extension could include the abrupt departure
of a supervisor; personal and/or family emergencies; and unexpected college business calling for
immediate action or attention.
When an employee’s supervisor changes, the supervisor for more than half the year at the time
the employee’s appraisal is due is responsible for the appraisal and for integrating input from the
second supervisor to determine a final rating.
Steps in the Merit Appraisal Process
Provides listing of appraisals due each quarter (approximately 3 months in
1 HRD
advance of HRD processing date) to management with suggested
timelines.
2 Reviewers
& Supervisors
Confirm dates for processing merit appraisals within the division allowing
sufficient time for internal reviews and revisions.
3 Supervisor
Provides employee with due date for input; gathers data from other
sources as appropriate. (The completion of the appraisal should not be
delayed due to lack of input from the employee.)
4 Supervisor
Completes appraisal and forwards through the supervisory chain to the
director for approval of overall “meets” rating, and to executive level
member on the President’s Council for “exceeds” and “outstanding”
ratings. All appraisals must have at least one level of review.
5 Reviewer
Reviews and approves appraisal; returns to supervisor.
6 Supervisor
Conducts appraisal meeting with employee. Obtains employee’s signature
signifying that the appraisal meeting has occurred. Provides employee
with copy of appraisal and returns the original to HRD.
7 HRD
Processes the merit increase.
HR: 4120, p. 3
HRD: 1114, p. 3
Appeals: Employees may appeal the merit appraisal in writing within ten business days to the
supervisor with a copy to the reviewer and HRD (employee’s performance appraisal file). The
employee should provide specific details supporting the appeal and may consult with the Human
Resources Office as needed. The supervisor may decide to either amend the appraisal or let it
stand. The supervisor will forward the decision within ten business days to the reviewer who
will determine the final outcome within fifteen work days. Note: Interim appraisals are not
appealable.
Steps in the Interim Appraisal Process
1 HRD
Provides management with listing of interim appraisals due.
2 Supervisor
Completes interim appraisal and forwards to supervisor for review.
3 Reviewer
Returns approved interim appraisal to supervisor.
4 Supervisor
Conducts interim appraisal meeting with employee. Obtains employee’s
signature signifying that the meeting has occurred. Provides employee with
copy of form and returns original to HRD.
Performance Counseling
In the context of Performance Appraisal, “counseling” denotes a performance problem. The
supervisor should typically discuss performance problems with the employee as they occur. If
the problem is not corrected within an appropriate period of time, the employee should typically
be counseled again with the discussion documented as a Counseling Report (for a serious
problem) or a Counseling Memo (usually for a less serious problem). The supervisor should
generally document the first occurrence of an extreme problem or repeated problem with a
Counseling Report; or, if the behavior so warrants, terminate the employment.
The college expressly reserves the right to determine the appropriate response to a performance
problem in each situation on a case-by-case basis, including decisions related to the involuntary
separation of employees. The college reserves the right to consider collectively some or all
performance problems of an employee. Employees may be subject to performance counseling
when overall considerations collectively indicate a need for such action.
Counseling Reports and involuntary separations must be coordinated with the department head
and approved by HRD
In some situations, both this policy and the Discipline policy (HR 4035) may be applicable. The
college expressly reserves the right to apply either or both policies to such situations.
HR: 4120, p. 4f.
HRD: 1114, p. 4f.
Counseling Guide: (Note: This is only a guide and does not limit the college’s authority to take
other actions.)
Employee Performance
Minor problem that needs correction.
Supervisory Action
Discuss with the employee and monitor
performance closely.
Repetition of less serious problem (but overall
meets expectations).
Discuss again and follow-up with a
Counseling Memo documenting the
problem.
Major problem that needs correction to meet
performance expectations.
Discuss with employee and follow-up with
a Counseling Report.
Extreme problem and/or repeated problem.
As the situation warrants, complete
Counseling Report or terminate
employment.
Reference:
Board of Trustees Policy PER 708; Involuntary Separations, HR: 4085;
Discipline, HR 4035
For more information contact: Employee Relations/Training
Coordinator, 301 934-2251, ext. 4714
Rev: 9/91; 5/98; 7/98; 10/01, 2/03
HRD: 1/86