5109492 University of the District of Columbia - Notice of Proposed Rulemaking - Performance Management
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UNIVERSITY OF THE DISTRICT OF COLUMBIA
NOTICE OF PROPOSED RULEMAKING
The Board of Trustees of the University of the District of Columbia, pursuant to the authority set forth under the District of Columbia Public Postsecondary Education Reorganization Act Amendments (Act) effective January 2, 1976 (D.C. Law 1-36; D.C. Official Code §§ 38-1202.01(a)(7) (2014 Supp.)), hereby gives notice of its intent to amend Chapter 11 (General Personnel Policies) of Subtitle B (University of the District of Columbia), Title 8 (Higher Education), of the District of Columbia Municipal Regulations (DCMR).
The purpose of the proposed rule is to modify the University performance management policies in order to provide industry standard methodology for annual performance appraisal.
The Board of Trustees also gives notice that it will take final action to adopt these amendments to the University Rules in not less than thirty (30) days from the date of publication of this notice in the D.C. Register.
Section 1140, UNIVERSITY OF THE DISTRICT OF COLUMBIA PERFORMANCE APPRAISAL SYSTEM, of Chapter 11, GENERAL PERSONNEL POLICIES, of Subtitle B, UNIVERSITY OF THE DISTRICT OF COLUMBIA, of Title 8, HIGHER EDUCATION, is amended as follows:
1140.1 The University of the District of Columbia Performance Appraisal System (hereafter "UDCPAS") shall be applicable to all non-faculty University, Educational Service, Career Service, and Legal Service employees, including temporary appointments.
1140.2 The purpose of this chapter is to set forth the rules for the University’s performance management program.
1140.3 Performance management integrates the processes the University uses to do all of the following:
(a) Communicate and clarify organizational and individual work goals to all employees;
(b) Identify individual and, where applicable, team responsibilities and accountability for accomplishing work unit, and organizational goals;
(c) Identify and address developmental needs for individuals and, where applicable, teams;
(d) Provide feedback to employees about performance expectations and work accountability;
(e) Assess and improve individual, team, and organizational performance;
(f) Use appropriate measures of performance as the basis for recognizing and rewarding accomplishments; and
(g) Use the results of the annual performance evaluation as a basis for appropriate human resources’ actions, including training, promotion, demotion, administrative action, or other types of human resources’ actions.
1140.4 The performance management program implemented by this chapter shall accomplish all of the following:
(a) Create and set forth work expectations in relation to the strategic goals of a work unit, and, where applicable, the University as a whole;
(b) Hold supervisors and employees accountable for performance, which shall include a direct relationship between the performance evaluation received and the receipt or reduction of any periodic salary, bonus increases or any other University benefit;
(c) Objectively evaluate employees’ work performance based on criteria that have been made known to the employees prior to the performance evaluation;
(d) Improve employee performance through developmental plan and continuous employee skill development;
(e) Recognize employees’ accomplishments and identify employees’ deficiencies so that appropriate rewards or assistance can be provided; and
(f) Tie employee performance to work unit, and where applicable, University-wide outcomes.
1140.5 Each permanent and temporary employee covered by UDCPAS shall be evaluated annually.
1140.6 The performance appraisal cycle shall be from the beginning of each fiscal year (October 1st) to the end of the fiscal year (September 30th).
1141 PERFORMANCE RATINGS
1141.1 An overall performance rating shall be a culmination of the ratings assigned to each performance expectation. The overall performance rating indicates the level of an employee’s actual performance of assigned competencies and S.M.A.R.T Goals during the performance management period.
1141.2 The overall performance rating shall be derived from the score on competencies for fifty percent (50%); and S.M.A.R.T Goals for fifty percent (50%).
1141.3 The rating levels for the performance management program shall be as follows:
(a) Level 5, Role Model – Performance serves as a benchmark for other employees in the workplace. Regarded by colleagues as a person with great depth and breadth of knowledge in area of expertise, ideas and is willing to share it with others. Contributions, initiatives, and productivity reflect the highest degree of performance.
(b) Level 4, Highly Effective Performer – Performance consistently exceeds expectations in most areas and meets expectations in all other areas. Consistently adds value to the work of the University. Demonstrates willingness to offer sound recommendations for improvement and is involved in the implementation of them.
(c) Level 3, Valued Performer – Performance expectations consistently meet and may occasionally exceed expectations, and therefore, meets the minimum requirements of the position. Contributions are essential to ensuring that University goals are met.
(d) Level 2, Marginal Performer– Performance of most expectations needs improvement. Adequate performance of the expectations for the position requires further development of skills. Potential to improve is evident and demonstrates a willingness to improve skills.
(e) Level 1, Inadequate Performer – Performance of expectations is consistently inadequate, and therefore fails to meet the minimum requirements of the position. Potential to improve is not evident.
1142 PERFORMANCE PLANS
1142.1 A Performance Plan shall set forth the performance expectations and development objectives that each covered employee is expected to accomplish during the performance management period.
1142.2 Except as otherwise provided in this chapter, each supervisor shall complete a Performance Plan outlining what is expected of each covered employee, as follows:
(a) Within thirty (30) days of the beginning of each performance management period;
(b) Within thirty (30) days of the date an employee is promoted, appointed, transferred, reassigned, or demoted to a new position or a position with significantly different duties and responsibilities;
(c) Within thirty (30) days of the date an employee is officially detailed when the detail is for a period of more than ninety (90) days;
(d) An employee who has been reassigned to a position with different duties and responsibilities within ninety (90) days of the end of the performance management period shall receive a Performance Plan for the following fiscal year within thirty (30) days of commencing the duties of the position to which reassigned; or
(e) An employee who has been promoted or demoted during the ninety (90) days prior to the end of the performance management period shall receive a Performance Plan for the following fiscal year within thirty (30) days of commencing the duties of the new position.
1142.3 A Performance Plan shall include all of the following:
(a) Competencies;
(b) S.M.A.R.T (Specific, Measurable, Attainable, Realistic, Time-Related) Goals; and
(c) An Individual Development Plan.
1142.4 Modifications to the Performance Plan can only be made up to June 30th (ninety (90) calendar days before the end of the performance management period).
1143 COMPETENCIES
1143.1 Competencies are a type of performance expectation that consists of the critical knowledge, abilities, skills, and personal characteristics necessary for satisfactory performance in a particular position. Competencies are linked to the specific duties performed in a particular work unit, but focus strongly on each employee individually.
1143.2 At the beginning of each performance management period, a supervisor or a reviewer, in the absence of the supervisor, shall discuss with the employee how each competency relates to the employee’s job. At the end of the performance management period, the supervisor or a reviewer, in the absence of the supervisor, shall evaluate each competency based on the employee’s performance during the period.
1143.3 There are five (5) core competencies for all employees covered by this chapter:
(a) Accountability;
(b) Communication;
(c) Customer Service;
(d) Goal Attainment; and
(e) Job Knowledge.
1143.4 There are three (3) additional core competencies applicable to supervisors:
(a) Leadership;
(b) Management of Others; and
(c) Operational and Strategic Planning.
1143.5 The supervisor may choose up to three (3) additional competencies, or develop an additional three (3) competencies in collaboration with the employee. The recommended additional competencies include but are not limited to the following:
(a) Flexibility/Adaptability;
(b) Initiative;
(c) Innovation;
(d) Mechanical Ability;
(e) Negotiation;
(f) Problem Solving;
(g) Productivity;
(h) Teamwork;
(i) Technical Ability; and
(j) Use of Technology;
1144 S.M.A.R.T GOALS
1144.1 S.M.A.R.T Goals are a type of performance expectation that consists of goals that are “Specific, Measurable, Attainable, Realistic, and Time-Related.” A Performance Plan shall include at least three (3) and not more than five (5) S.M.A.R.T Goals.
1144.2 S.M.A.R.T Goals set in the Performance Plan shall be weighted, with the sum of all goal weightings equal to one hundred percent (100%).
1144.3 S.M.A.R.T Goals set in the performance plan shall include a timeframe for the accomplishment of each goal.
1144.4 At the beginning of each performance management period, a supervisor or the reviewer, in the absence of the supervisor, shall discuss with the employee how each S.M.A.R.T Goal relates to the employee’s job. At the end of a performance management period, the supervisor or the reviewer, in the absence of the supervisor, shall evaluate each S.M.A.R.T Goal based on the employee’s performance during the period.
1145 INDIVIDUAL DEVELOPMENT PLAN
1145.1 At the beginning of the performance management period, a supervisor, or the reviewer in the absence of the supervisor, shall prepare an Individual Development Plan for an employee, identifying areas for growth and development. The Individual Development Plan shall be prepared in collaboration with the employee. The Individual Performance Plan shall include at least one (1) and no more than three (3) objectives.
1145.2 Each Individual Development Plan is for developmental purposes only, and shall not be part of the evaluation at the end of the performance management period.
1145.3 Each Individual Development Plan may include but is not limited to the following objectives:
(a) Specific objectives designed to improve the knowledge, skills, and abilities of the employee;
(b) Specific objectives for areas of ongoing professional development; or
(c) Objectives that address areas in which the employee received a review of “Marginal Performer” or below during the preceding review year.
1145.4 Each Individual Development Plan shall include a timeframe for the accomplishment of each objective.
1146 MID-YEAR PROGRESS DISCUSSION
1146.1 Each employee entitled to an annual performance evaluation under Section 1148 of this chapter may participate in a mid-year progress discussion no less than three (3) months prior to the end of the performance management period. When used, the mid-year progress discussion is initiated by the employee’s immediate supervisor or the reviewer, in the absence of the immediate supervisor; and serves as a mechanism for providing feedback to an employee and identifying areas that need improvement.
1146.2 The mid-year progress discussion shall be mandatory in the case of probationary employees. The mid-year progress discussion shall not impinge on a recommendation to terminate the probationary employee during his or her probationary period.
1146.3 An annual performance evaluation shall not be based solely on a mid-year progress discussion. An employee’s performance during the entire review period must be used to determine how well the employee performed each performance expectation and the overall performance rating.
1147 PERFORMANCE IMPROVEMENT PLAN
1147.1 The provisions of this section shall apply to all employees described in Subsection 1140.1 of this chapter.
1147.2 A Performance Improvement Plan (PIP) is a performance management tool designed to offer the employee placed on it an opportunity to demonstrate improvement in his or her performance.
1147.3 The purpose of a Performance Improvement Plan is to offer the employee placed on it an opportunity to demonstrate improvement. A Performance Improvement Plan issued to an employee shall last for a period of thirty (30) to ninety (90) days, and shall:
(a) Identify the specific performance areas in which the employee is deficient; and
(b) Provide concrete, measurable action steps the employee needs to take to improve in those areas.
1147.4 A supervisor or, in the absence of that individual, the reviewer, shall complete a PIP when employee performance has been observed by the supervisor as being deficient. The last date on which a PIP may be issued is June 30 of each year.
1147.5 Within ten (10) calendar days of the end of the PIP period, the employee’s immediate supervisor or, in the absence of that individual, the reviewer, shall make a determination as to whether the employee has met the requirements of the PIP. If the determination is that the employee has met the requirements of the Performance Improvement Plan, the employee's immediate supervisor, or in the absence of that individual, the reviewer, shall so inform the employee, in writing. If the determination is that the employee failed to meet the requirements of the Performance Improvement Plan, the employee’s immediate supervisor or in the absence of that individual, the reviewer, as appropriate, shall issue a written decision to the employee to:
(a) Extend the Performance Improvement Plan for an additional thirty (30) and not to exceed ninety days total, to further observe the employee’s performance;
(b) Reassign, reduce in grade, or remove the employee.
1147.6 Failure on the part of the supervisor, or, in the absence of that individual, the reviewer, to issue a written decision within the specified time period will result in the employee’s performance having met the PIP requirements.
1148 ELIGIBILITY TO RECEIVE AN ANNUAL PERFORMANCE EVALUATION
1148.1 In order to be eligible to receive an annual performance evaluation, a Performance Plan shall be in place for at least ninety (90) calendar days prior to conducting an annual performance evaluation based on that performance plan at the end of the performance management period.
1148.2 An employee who has been reassigned, promoted or demoted during the ninety (90) days prior to the end of the performance management period shall receive a performance evaluation for that period.
1148.3 The performance evaluation pursuant to Subsection 1148.2 of this section shall be issued by the employee’s previous supervisor as specified in those sections.
1148.4 An employee who was reinstated or restored to duty during the ninety (90) days prior to the end of the performance management period shall be rated at the end of the next performance management period.
1148.5 An employee reinstated, restored, newly appointed, or transferred shall automatically be considered as having been assigned a rating of Valued Performer, which shall remain the official rating of record until such time as replaced by another official rating.
1149 ANNUAL PERFORMANCE EVALUATION
1149.1 An annual Performance Evaluation shall be issued to each eligible employee within three months of the end of the performance management period, the exact date of which will be established by the appropriate personnel authority.
1149.2 The annual Performance Evaluation shall be based on the employee’s Performance Plan for that performance management period.
1149.3 Except as provided in Subsection 1149.5 of this section, each employee entitled to be rated under Section 1148 of this chapter shall be rated, based on his or her position of record, by his or her immediate supervisor or the reviewer, in the absence of the supervisor. In the absence of both the immediate supervisor and the reviewer, the Vice President of Human Resources shall designate a higher-level official to complete the Performance Evaluation. In the absence of an electronic official performance evaluation, the employee’s performance shall be deemed to be at the “Valued Performer” level.
1149.4 A supervisor leaving his or her position at any time within the last ninety (90) calendar days of the performance management period shall conduct a Performance Evaluation for each employee covered by this chapter prior to his or her departure.
1149.5 An employee serving on detail for more than ninety (90) days at the end of the performance management period shall be rated by the employee’s immediate supervisor of the position to which detailed, with input from the supervisor of the employee’s position of record.
1149.6 In instances where employees perform shift work or have multiple supervisors during the year, input or completion of the employee’s performance evaluation shall be provided by the appropriate supervisor(s).
1149.7 The annual Performance Evaluation for an employee who is on approved extended leave at the end of the performance management period (during the period in which performance evaluations are finalized) shall be postponed until the employee returns to his or her official position of record.
1149.8 A signature on the annual Performance Evaluation is considered official when submitted electronically using an electronic system used to facilitate the performance planning and evaluation process outlined in this chapter.
1150 SELF-EVALUATION
1150.1 At his or her discretion, each employee eligible to receive an evaluation may submit a self evaluation to his or her supervisor as input into the performance evaluation process.
1151 EMPLOYEE REQUEST FOR REVIEW
1151.1 The provisions of this section shall apply to all employees described in Subsection 1140.1 of this chapter.
1151.2 Employees’ requests for review of performance ratings shall be handled by an internal Reconsideration and Resolution Committee (RRC) to formally review overall performance ratings of Inadequate Performer (Level 1) and Marginal Performer (Level 2). A “paper review” will be conducted for overall ratings of Valued Performer (Level 3), and Highly Effective Performer (Level 4).
1151.3 An employee may, within ten (10) calendar days of participating in a performance rating year-end discussion with the supervisor, request a review of the rating by submitting the request for review to the Vice President of Human Resources for the University.
1151.4 An employee’s request for review of an official annual performance rating shall be in writing, and shall be submitted in accordance with procedures issued by the appropriate personnel authority.
1151.5 Pursuant to Section 603(a) of the CMPA (D.C. Official Code § 1-606.03 (a)), an employee may appeal a final University decision affecting a performance rating which results in removal of the employee with the Office of Employee Appeals.
1151.6 Upon receipt of a request for review, the Vice President of Human Resources shall take either of the following actions:
(a) Dismiss the employee’s request for review on technical grounds (i.e., procedural or regulatory violation) and sustain the performance rating; or
(b) Accept the employee’s request for review, and refer the request to the University’s RRC for review and disposition.
1152 PROBATIONARY EMPLOYEES
1152.1 An employee serving a probationary period shall be subject to the performance management program established by this chapter. A Performance Plan shall be provided to each probationary employee, on which the probationer shall be evaluated.
1152.2 An acceptable performance rating during a probationary period in and of itself does not constitute passing of the probationary period or automatic movement to a permanent status.
1152.3 Neither the mid-year progress discussion nor the annual performance evaluation received by the probationary employee is appealable.
1160 PERFORMANCE MANAGEMENT DEFINITIONS
When used in this chapter, the following terms shall have the meaning ascribed:
Annual performance evaluation – a process for determining how well an individual employee has performed the performance expectations established in the performance plan for the review period.
Competency – a type of performance expectation that consists of the critical knowledge, abilities, skills and personal characteristics necessary for satisfactory performance. They are linked to the specific duties performed in a particular work unit but focus strongly on the individual employee.
Individual development plan (IDP) – a development tool that identifies training and learning activities that will help an employee enhance the knowledge, skills, and abilities needed to perform work duties and prepare the employee for future career advancement.
Mid-year progress discussion – a formal meeting between a supervisor and employee to discuss the employee’s performance and development at the midpoint of the review period.
Performance expectations – S.M.A.R.T. goals and competencies that describe what and how work is to be performed. Performance expectations are established by the supervisor and employee at the beginning of a review period.
Performance improvement plan (PIP) – A performance management tool designed to offer the employee an opportunity to demonstrate improvement in his or her performance.
Performance management – the systematic process by which the University involves its employees, as individuals and members of a group, to ensure the accomplishment of the University’s mission and goals.
Performance management period – the length of time covering the performance planning and evaluation process. It goes from the beginning to the end of the fiscal year.
Performance plan – the formalized process of identifying and communicating the organizational, work unit, and individual goals expected of the employee. The Performance Plan consists of the following: Competencies, S.M.A.R.T Goals, and an Individual Development Plan.
Performance rating – the value assigned to each performance expectation and the employee’s overall performance based on a supervisor’s or, in the absence of the supervisor the reviewer’s, assessment of an employee’s performance during the review period.
Probationary employee – an Educational Service, Career Service, or Legal Service employee occupying a position subject to the completion of a probationary period, to include employees in term appointments. An employee who receives an initial regular appointment serves a probationary period of one (1) year.
Rating official – the final rating authority in the annual performance evaluation process, who is either the employee’s supervisor, or, in the absence of the supervisor the reviewer.
Request for review – the process in which an employee requests a formal review of the overall performance rating received during the review period.
Reviewer – a supervisor or supervisor designee responsible for reviewing and approving the annual performance evaluation completed by a rating official.
Self-evaluation – the process in which the employee provides a self-assessment of the employee’s performance based on the established performance expectations during the review period.
S.M.A.R.T. goals – a type of performance expectation that consists of goals that are Specific, Measurable, Attainable, Realistic, and Time-Related.
Supervisor – an individual having the authority, in the interest of the employer, to hire, transfer, suspend, lay off, recall, promote, discharge, assign, reward, or discipline other employees, or responsibility to direct them, or to adjust employee grievances, or effectively to recommend such action, if in connection with the foregoing the exercise of such authority is not of a merely routine or clerical nature, but requires the use of independent judgment. For the purposes of this policy, “supervisor” also means “manager”.
1199 DEFINITIONS
1199.1 When used in this chapter, the following terms and phrases shall have the meanings ascribed:
Acting appointment - assignment to a greater or lesser position for a period of one (1) year or less with the right to return to the former or a similar position without loss of pay or rank.
Administrative employee - a professional, technical, or para-professional employee of the University who has responsibilities associated with planning, development, implementation, and managing the educational or administrative functions of the University.
Approving Official - The second level supervisor of the employee whose performance is to be appraised.
Conversion - the voluntary movement of an employee who occupies a position in one employment service to another position in a different employment service, or a change from Tier II to Tier I in the Educational Service.
Critical Function - Any component of an employee's job that is of sufficient importance that performance below the minimum standard established by management requires remedial action and denial of a within-grade increase, and may be the basis for removing or reducing the grade level of that employee. Such action may be taken without regard to performance on other components of the job.
Demotion - the reduction of an employee's classification level, pay level, or both due to unsatisfactory performance, decreased workload, abolishment of position, or change in organizational structure.
Detail - the temporary assignment of an employee to a different position for a specified period, with the employee returning to regular duties at the end of the detail.
Job Function - Any component of a position, such as a task, duty, or responsibility, the performance of which contributes meaningfully to success and failure in the position.
Promotion - the movement of a staff member from one position to another position with greater duties and responsibilities or for which a higher salary grade or rate of pay is designated; or the assignment of duties and responsibilities to the staff member's current position which results in the formal reclassification of the position to a classification for which a higher salary grade or rate is designated.
Rating Official - The supervisor of the employee whose performance is to be appraised.
Reassignment - the movement of an employee in the same position to a new work location or to a new position within the same pay grade but not necessarily within the same job classification or the same work location.
Reclassification - an official change in a position classification due to a change in the duties and responsibilities of the position.
Regular appointment - an appointment made to fill a position on a permanent basis. An employee who receives an initial regular appointment serves a probationary period of one (1) year.
Sponsored program appointment - an appointment that is made for employees hired on non-appropriated funds that are subject to special terms and conditions in accordance with chapter 17 of this subtitle.
Temporary appointment - an appointment that is limited to, and does not exceed, three hundred and sixty-four (364) days.
All persons desiring to comment on the subject matter of the proposed rulemaking should file comments in writing not later than thirty (30) days after the date of publication of this notice in the D.C. Register. Comments should be filed with the Office of General Counsel, Building 39, Room 301-Q, University of the District of Columbia, 4200 Connecticut Avenue, N.W., Washington, D.C. 20008. Comments may also be submitted by email to smills@udc.edu. Individuals wishing to comment by email must include the phrase “Comment to Proposed Rulemaking: Performance Management” in the subject line. Copies of the proposed rules may be accessed electronically at www.dcregs.dc.gov.
