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									                   UNIVERSITY OF THE DISTRICT OF COLUMBIA
             PERFORMANCE APPRAISAL SYSTEM

                      SUPERVISORY GUIDE




I.      Purpose

II.     Overview

III.    Performance Planning

IV.     Monitoring Employee Performance: Mid-Point Review

V.      Evaluating Performance: End-of-Year Accomplishments and
        Performance Rating

VI.     Counseling Employees: Individual Development Plan

VII.    Outcomes of Performance Ratings

VIII.   Rewarding Excellence

IX.     Managing Poor Performance

X.      Employee Appeal Rights

XI.     Record Keeping

XII.    Appendix A – UDCPAS Awards Options
I.       Purpose

         The President of the University of the District of Columbia has established a
         systematic process to improve employee effectiveness by tying the University's
         strategic initiatives to performance objectives. The University of the District of
         Columbia Performance Appraisal System (UDCPAS) incorporates the provisions
         to establish accountability, to reward good performance, and to take appropriate
         action regarding deficient performance.

II.      Overview

         Generic performance standards and generic critical elements have been
         developed for executives, supervisors and non-supervisory employees, and are
         included in the Performance Management Record (PMR) (attachment 1).
         Supervisors must provide each employee with the approved position description
         and a Performance Management Record each appraisal cycle. The performance
         appraisal cycle will begin on September 1st of each year and continue through
         August 31st of the following year.

            The PMR has five sections, used according to the following schedule:
     Section I - Performance Planning           September 1 - September 30
     Section II – Mid-Point Review              March 1 – March 31
     Section III – End-of-Year Accomplishments August 1 – August 31
     Section IV – Performance Rating            August 1 – August 31
     Section V – Individual Development Plan    As needed

III.     Performance Planning

         Prior to the beginning of the appraisal period, supervisors must analyze the
         responsibilities assigned to his or her office. This information is needed to plan
         the work effort for each employee and connect that effort to expectations that
         meet with the strategic initiatives of the University or the work effort of the
         department or work unit. Expectations are the supervisor’s descriptions of the
         tasks, how the finished product should look, and the methods the employee
         might use to accomplish the work. Expectations are included in Section I,
         Performance Planning, of the PMR. Expectations may include deadlines for
         accomplishing tasks, with quantity and quality measures, as appropriate.

         In the first year of the PAS, supervisors, with the assistance of the Office of
         Human Resources, must assure that each employee’s position description is
         accurate and has appropriate approval levels. In subsequent years, the
         beginning of the performance cycle is the time to determine whether adjustments
         need to be made to the position description.



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      The first step in the appraisal process is to prepare the PMR. Supervisors should
      give employees the opportunity to provide input to the expectations included in
      the PMR, although the supervisor retains final authority for the content of the
      PMR. After establishing the expectations, supervisors will discuss with each
      employee the critical elements of his or her position to assure that they

      •   are clearly understood by the employee and

      •   reflect assigned duties in the position descriptions.

      After assuring that performance critical elements and standards are
      understandable and fair, employees and supervisors will sign the position
      description and Performance Plan Certification of the PMR. The position
      description and Performance Plan Certification needs to be signed at the
      beginning of each rating period by the approving supervisor, the supervisor and
      the employee. The approving supervisor, who is generally a level above the
      immediate supervisor, signs stating that the position description and
      Performance Management Record are accurate. The immediate supervisor
      signs certifying that the employee has been given a current position description
      and a copy of the PMR. The employee signs to acknowledge receipt of the
      position description and PMR. The employee's signature does not signify
      agreement.

IV.   Monitoring Employee Performance: Mid-Point Review

      Although informal progress reviews may be held at any time, a formal
      documented Mid-Point Review is required. Informal (oral) progress reviews can
      be held as frequently as the supervisor or the employee deem necessary. The
      informal review can be a time when the employee updates the supervisor on
      work progress and a time when the supervisor coaches the employee. Subject
      to prior approval by the Director, Human Resources, the supervisor can make
      any progress review formal at any time, to begin appropriate action to assist the
      employee in improving his or her performance.

      An important part of the UDCPAS is the opportunity given to the employee to
      provide input to the supervisor on his or her accomplishments toward meeting
      the performance expectations. Input is provided in writing for the supervisor’s
      consideration in Section II, Mid-Point Review. During the required Mid-Point
      Review meeting, supervisor must meet with each employee to discuss the
      accomplishments, counsel the employee regarding performance strengths and
      weaknesses, and to make needed adjustments in the PMR to reflect changes in
      expectations. The supervisor and the employee sign the PMR acknowledging
      completion of the Mid-Point Review.




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       Employee performance may be monitored in a variety of ways, e.g. through
       periodic meetings for an update on employee’s progress, seeking input from
       customer, and reviewing work product. The employee has the opportunity to
       present problems and issues to the supervisor at any time for guidance.

       Effective supervisors will monitor assignments and projects continually and
       provide ongoing feedback to employees on their progress toward reaching their
       goals. This will provide the supervisor with an opportunity to make changes if the
       performance standards are unrealistic or problematic. For example, if an
       employee's critical element involves using a particular piece of equipment and
       the equipment is in need of repair and unusable during the rating period, an
       adjustment to the PMR is in order.

V.     Evaluating Performance: End-of-Year Accomplishments and
                               Performance Rating

       Employees are again given the opportunity to provide input to the supervisor on
       his or her accomplishments toward meeting the performance expectations. The
       input is provided in writing in Section III, End-of-Year Accomplishments. The
       supervisor considers the employee’s input and his or her own assessment of the
       employee’s work effort before completing Section IV of the PMR, Performance
       Rating. The supervisor assigns a rating to the employee and obtains the
       signature of the approving official before holding a meeting with the employee to
       discuss the performance and final rating. This meeting is also the time for
       supervisors to give appropriate recognition, and take appropriate action for
       deficient performance.

VI.    Counseling Employees: Individual Development Plan

       The supervisor may, at any point in the performance cycle, complete and share
       with the employee the Section V, Individual Development Plan (IDP). The IDP
       records development needs, including formal and informal training. Develop-
       mental needs may be met through skills training, suggesting improvements to the
       work process, arranging for a mentor, etc.

VII.   Outcomes of Performance Ratings

       The performance rating is based on work performed during the entire appraisal
       period, generally from September of one year through August of the following
       year. This rating has bearing on a number of personnel actions such as:

       •   granting within-grade increases, when available,

       •   granting employee incentive awards,

       •   determining retention in the position,


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        •   determining retention in government service.

VIII.   Rewarding Excellence

        It is important to use non-monetary and monetary rewards to effectively
        recognize employee performance. Rewards motivate employees to modify
        behavior and work practices to successfully accomplish strategic initiatives and
        critical elements of their positions. Equity, fairness and accountability must be an
        integral part of decision making in giving rewards. The UDCPAS includes the
        following non-monetary recognition:

        •   Certificates

            The Office of Human Resources will provide a certificate containing the
            University seal and signed by the President, and a frame, to supervisors for
            each person who receives a performance rating of “Exceeds Expectations”.
            The supervisor will also sign the certificate before inserting it in the frame and
            presenting it to eligible employees.
            Details are in Appendix A of the Performance Management Record.

        •   Time-off Award

            The purpose of this award is to provide supervisors with a means to
            recognize an employee for exemplary effort. The employee is given excused
            absence, without charge to leave or loss of pay. The amount
            of time granted must be proportionate to the value of the contribution being
            made. Details are in Appendix A.

        •   “On the Spot” Award
            The purpose of this award is to provide supervisors with a means of,
            rewarding an employee for exemplary effort, e.g. free parking. Details are in
            Appendix A.

        •   President’s Honor Awards
            Annually, the President will convene the staff for the purpose of recognizing
            employees whose performance has added significant value to the University’s
            programs or image. In a procedure to be announced by the President,
            supervisors will submit nominations for consideration by the President and a
            designated review panel.

        The UDCPAS includes the following monetary award:

        •   “Cash-in-a-Flash” Award
            The purpose of this award is to provide supervisors with a means to give an
            employee a small monetary award as immediate recognition for going the


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          extra mile to get the job done. Awards can be given at any time of the year,
          in any amount, subject to the annual ceiling of $300 in any performance cycle.
          Individuals or groups may be rewarded, with the cap of $300. Details are in
          Appendix A.

IX.   Managing Poor Performance

      There is no substitute to seeking advice from appropriate Human Resources
      Office staff when you become aware that one of your employee’s is not
      performing up to expectations. There are; however, several ways for supervisors
      to help an employee correct deficient performance. For example, if the
      employee’s performance on a critical element is “below expectations”, the
      supervisor may:

      •   Provide additional training for the employee.        If there are skills and
          competencies the employee lacks, the supervisor may identify training
          courses that will help the employee to meet the performance standards.

      •   Coach the employee personally or assign a mentor who is a role model in the
          particular skill or job. On-the-job training may be effective, also.

      If the employee’s performance on a critical element is at the “failed expectations”
      level, the supervisor must

      •   Assign the employee to a Performance Improvement Plan (PIP). This will
          provide the employee with a minimum thirty-day period to improve. This is the
          time that the supervisor in conjunction with the Office of Human Resources
          will determine the means to assist the employee in improving performance. If
          the supervisor determines that the employee’s performance improves above
          the “failed expectations” level, the employee may be retained in the position
          and the appropriate performance rating will be recorded. In this case no
          further action is required.

          If the employee fails to improve during the PIP, the employee is given a rating
          of Failed Expectations. The supervisor, in conjunction with the Office of
          Human Resources, will document the employee’s performance and all efforts
          made to improve the employee’s performance. At this time the supervisor, in
          consultation with the Director, Human Resources must propose one of the
          following actions:

      •   Reassignment to another position at the same grade and pay, if such a
          position is available,

      •   Demotion to a lower graded position with the appropriate reduction in salary
          or



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      •   Separation from the University.

      Supervisors are authorized to laterally reassign employees, subject to prior
      consultation with and approval by the Director, Human Resources. Supervisors
      shall seek guidance from the Director, Human Resources and shall issue the
      employee a notice of proposed demotion or separation within ten (10) workdays
      after the employee is given a rating of Failed Expectations.

X.    Employee Appeal Rights

      The employee, with or without representation, shall have the right to respond,
      orally or in writing, to a proposal to the appropriate vice president, within five (5)
      workdays of the date of the notice of proposed demotion or separation.

      The appropriate vice president will issue a written decision on the demotion or
      separation within five (5) workdays of receipt of the employee’s response.

      Within five (5) workdays of receipt of the written decision of the appropriate vice
      president, the employee may appeal decisions on demotion and separation to
      the University’s Performance Action Appeals Committee (PAAC). The members
      of the PAAC are three senior level staff appointed by the University President.
      Within five (5) workdays of the employee’s appeal, the PAAC will issue its written
      decision to the employee. Decisions of the PAAC shall be the final agency
      decision.

      Demotions and separations approved by the committee shall be effective at the
      end of the next full pay period following the PAAC’s decision. During the notice,
      appeal and decision period, the supervisor may, in consultation with the Director,
      Human Resources place the employee on administrative leave with pay. Such a
      decision will not prejudice the outcome of the employee’s appeal.

XI.   Record-keeping

      A copy of the final written appraisal shall be provided to the employee and
      supervisor will retain a copy. Within thirty (30) days after the end of the
      performance appraisal cycle, each supervisor shall send original Performance
      Management Record to the University’s Office of Human Resources. A
      memorandum to the Director, Human Resources signed by the supervisor,
      should transmit the PMR’s, with the names of employees sorted and listed
      according to rating. There should also be a list of postponed ratings, that is,
      ratings withheld pending completion of a Performance Improvement Plan (PIP).
      The Office of Human Resources will retain ratings for three years.




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APPENDIX A – UDCPAS REWARD OPTIONS

I.    Criteria for recognition include, but are not limited to:

         -   making a high quality contribution involving a difficult or critical project or
             assignment,
         -   displaying initiative and creativity in completing an assignment or project
             before the deadline,
         -   using initiative and creativity in making improvements in a product, activity,
             program, or service or ensuring the mission of the work unit is
             accomplished during a difficult period by successfully completing
             additional work or a project assignment while maintaining the employee’s
             own workload.

      Supervisors should choose the option for each occasion of recognition that best
      fits the employee’s effort, the work unit requirements, or available resources. It is
      recommended that supervisors seek the advice of staff in the Office of Human
      Resources for guidance on choosing the appropriate recognition. In all cases,
      any eligibility criteria must be honored.

II.   Non-Monetary Recognition

      A. Certificates

         With proper use, framed certificates signed by the president will be
         recognized as a symbol of performance that Exceeds Expectations.
         Employees who receive the certificate should be encouraged to display the
         certificate in their work area.

         At the end of each performance cycle, supervisors are required to send the
         original copy of the PMR to the Office of Human Resources and a list of
         employees, sorted by rating. The Office of Human Resources staff will print
         and frame a performance certificate for each employee whose performance
         exceeds expectation, and forward the framed certificate to the supervisor.
         Supervisors are encouraged to present certificates at a gathering of staff to
         assure appropriate recognition for the affected employee(s) and to encourage
         others to follow their example.

      B. Time Off Award

         The employee is given excused absence, without charge to leave or loss of
         pay. The amount of time granted must be proportionate to the value of the
         contribution being made.




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         All employees are eligible except:

         -   executives,
         -   temporary employees paid at hourly rates,
         -   employees who do not have a regular established tour of duty,
         -   employees appointed without compensation,
         -   employees paid on a fee basis,
         -   employees whose current rating of record is less than Achieved
             Expectations.

         Date Given

             At any time the supervisor, with prior approval from the next higher
             supervisory level, believes the award to be appropriate.

         Date to be used

             Supervisors should approve all absences in advance. The supervisor
             grants use of earned time-off awards consistent with other leave approval
             considerations (e.g. office coverage).

          Record Keeping

             Time off granted to the employee must be recorded on the employee’s
             time card as administrative leave, and must be debited when used.

       C. On-the-Spot Award

             The supervisor rewards employee(s) with free parking or other benefits
             designated by the University.

             All On-the-Spot Awards must be recommended by the supervisor and
             approved by the appropriate vice president.      Appropriate financial
             clearance must be documented on the requesting memorandum.

III.   Monetary Recognition

       A. Cash-in-a-Flash Award Amounts

          A supervisor may give an employee an-almost-instant award in net amounts
          of $25, $50, $75, $100, $125, $150, $175, $200, $225, or $275, or $300.




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B. Frequency and Timing of Awards

   There is no limitation on the number of awards granted by a supervisor to an
   employee in a performance year, subject to the annual $300 maximum
   amount, per person.

C. Nomination/Approval Procedure

   The supervisor prepares and signs a Recommendation for Recognition Form,
   including a written justification for the award. The justification must be brief,
   and to the point, and must specify the net amount of the cash award
   recommended.

   The Recognition Form must be signed by a supervisor or manager at least
   one level higher than the supervisor who recommended the award. All
   supervisors or managers designated as approving authorities must have an
   authorized signature card on file with the imprest fund.

   Once the form has been approved, the supervisor prepares Receipt for Cash
   Voucher, with the employee’s name and social security number listed on the
   form. Both forms must be prepared for each employee receiving a cash
   payment.

   Both of the forms must be taken to the imprest fund to get the cash payment.

   The imprest fund cashier must sign the Receipt for Cash Voucher
   documenting disbursement of the cash payment. The imprest fund cashier
   will retain the voucher with original signatures and a copy of the Recognition
   Form to attach to reimbursement vouchers for replenishing the fund.

   The employee must sign the voucher acknowledging receipt of the cash
   payment.

   The recommending supervisor retains the original Recommendation for
   Recognition Form and provides a copy to the Office of Human Resources
   with a copy of the cash voucher within two workdays after the cash payment
   has been presented to and signed for by the employee.

   The Office of Human Resources enters the award transaction into the payroll
   system and forwards a copy to the Finance Office within five workdays of
   receipt of the record from the approving supervisor, citing the payroll period
   and the date of transmission.




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D. Presentation of Award

   The presentation of the award must be made shortly after the cash is
   obtained.

E. Taxes

   All awards granted under this program are subject to Federal, State, local,
   and FICA (including Medicare) taxes. Awards are granted in net amounts.

F. Record Keeping

   The award will be documented on Personnel Action Request (Form 50).




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