NUMBER:   HR 1.36
SECTION:  Human Resources     

SUBJECT:  Performance Appraisal for Classified Employees          
                    

DATE:     January 1990 (rev)
REVISED:  July 1, 1995
                     
Policy for:     All Campuses
Procedure for:  All Campuses
Authorized by:  Jane M. Jameson
Issued by:      Division of Human Resources
________________________________________________________________

I.   Policy

     A.   This document sets forth the policy and procedures by
which the job performance of classified employees of the
University of South Carolina is appraised, pursuant to
regulations of the South Carolina Office of Human Resources.

     B.   The performance appraisal policy is designed to:
          1.   increase efficiency through the annual planning of
job duties, objectives and performance characteristics thereby
helping employees improve their performance through prior
knowledge of the expectations of their supervisors;
          2.   provide information to employees, supervisors and
managers for use in work-related decisions such as
recommendations for salary increases, promotions, transfers,
demotions and dismissals;
          3.   provide assistance to management in assigning work
and delegating responsibility based on a mutual understanding of
the employee's skills and abilities;
          4.   encourage the continued growth and development of
all classified employees;
          5.   identify training needs;
          6.   maintain a documented history of employee
performance.

     C.   The University will provide training in the application
of the Performance Appraisal Policy to supervisors and employees. 


     D.   Levels of Performance
          The Performance Appraisal Policy provides for four
levels of performance.
          1.   Substantially Exceeds Performance Requirements 
               A rating of "Substantially Exceeds Performance
Requirements" is given for job performance characterized by
exceptional accomplishments throughout the rating period or by
performance that is considerably and consistently at a higher
level than that of the success criteria of the position.
          2.   Exceeds Performance Requirements 
               A rating of "Exceeds Performance Requirements" is
given for performance that, for a majority of the rating period,
is of a higher level than that of the success criteria of the
position.
          3.   Meets Performance Requirements 
               A rating of "Meets Performance Requirements" is
given for performance that satisfies the success criteria of the
position throughout the rating period.
          4.   Fails to Meet Performance Requirements 
               A rating of "Fails to Meet Performance
Requirements" is given for substandard job performance that does
not satisfy the success criteria of the position.

     E.   Performance Characteristics 
          The extent to which employees meet performance
characteristics is evaluated using the ratings of "acceptable" or
"unacceptable".  "Acceptable" means the employee's performance
meets the performance characteristic, and "unacceptable" means
the employee's performance fails to meet the performance
characteristic.   

II.  Procedure

     A.   Performance Planning Stage
          1.   At the beginning of each rating period and after
conferring with the department chair, the supervisor and the
employee will determine the duties, characteristics, objectives
and success criteria on which the employee will be evaluated at
the end of the review period.
          2.   The job duties will be determined by a review of
the employee's position description.  The supervisor and the
employee will select duties which represent approximately 80% of
the employee's time, and will develop success criteria for each
job duty.  The job duties and success criteria will be listed in
Section 1 of the performance appraisal form.  
NOTE:  If the position description is not accurate, or if there
is no position description, the supervisor and the employee must
prepare one and send it to the USC Division of Human Resources,
Office of Salary Administration. Supervisors on the regional and
four year campuses should send the job description to the campus
Human Resources Officer who will forward it to the Division of
Human Resources.

           3.  Performance characteristics on which the employee
will be rated may be selected from lists provided with the
appraisal forms or may be developed by the supervisor and the
employee.  All supervisors and managers must be rated on
"Promoting Equal Opportunity" if their responsibilities include
hiring, promoting, placing,  supervising, purchasing, or
contracting.
           4.  Performance objectives on which the employee will 
be rated will be chosen by the supervisor and employee and will
represent specific objectives the employee is expected to
accomplish during the rating period.  Success criteria must be
developed for each objective.  NOTE: Performance objectives are
required for supervisory and management employees and optional
for non-supervisory employees.  
          5.   Success criteria should specify the expected level
of performance necessary to receive a rating of "Meets
Performance Requirements".  The success criteria must be
incorporated into each employee's performance appraisal for each
job duty and objective.  Success criteria are not required for
performance characteristics. 
          6.   In the event the supervisor and employee cannot
agree on the duties, objectives, performance characteristics, or
success criteria, the supervisor may unilaterally determine that
which will be included in the performance planning stage. 
          7.   At the conclusion of the planning stage, the job
duties, performance characteristics, and objectives are written
on the performance appraisal form and signed by the department
chair, supervisor, and the employee.  The original appraisal
should be retained by the supervisor for use at the time of the
actual rating, with a copy given to the employee for reference
during the rating period.
          8.   It is recommended that the supervisor and the
employee review performance at the midpoint of the rating period
to assess progress, to correct misunderstandings about
expectations, if any, and to foster open communications between
supervisors and employees.

     B.   Probationary Period Performance Appraisal
          1.   The performance of each classified employee in an
original appointment will be appraised prior to the completion of
the initial year of service in the position. The initial year is
known as the probationary period.
          2.   The performance of each classified employee in a
reinstatement, promotion, demotion, reassignment, or reclassified
position will be appraised prior to the completion of the initial
six months of trial service in the position.  The trial period
may be extended for a maximum of ninety calendar days, provided
there is written notice to the employee of substandard
performance which documents the need for an extension. 
          3.   A permanent employee who is in a trial period will
be appraised prior to the completion of the six month trial
period.  The trial period may be extended for a maximum of ninety
calendar days, provided there is written notice to the employee
of substandard performance which documents the need for an
extension.
          4.   Employees serving in a probationary or trial
period will attain permanent status upon completion of the
probationary or trial period.  Such employees will be considered
to have satisfactory service unless the employee has been
officially appraised as "Fails to Meet Performance Requirements"
prior to the end of the probationary or trial period.
     
     C.   Annual Performance Appraisal
          1.   The performance of each classified employee who
has met performance requirements during the one year probationary
period will thereafter be appraised annually.
          2.   The performance of each classified employee who
has met performance requirements during the six month trial
period following a reinstatement, reclassification, promotion,
transfer, reassignment or demotion will thereafter be appraised
annually.
          3.   Performance appraisals will be conducted by the 
employee's supervisor who has first-hand knowledge of the work
being performed; however, prior to the review being given to the
employee, the review will be discussed with the next highest
level supervisor (reviewing official).
          4.   The reviewing official may not change the
appraisal completed by the supervisor, but may attach additional
comments to the appraisal.
          5.   The appraisal must be signed by the reviewing
officer, the supervisor, and the employee.
          6.   If an employee refuses to sign an appraisal, a
notation of the refusal will be made on the appraisal. If
possible, the refusal will be witnessed by one other employee as
attested by his or her signature.
          7.   The performance appraisal may not be completed
more than ninety days in advance of the review date except in the
case of a review of substandard performance.
          8.   Performance appraisals will become a permanent
part of the employee's personnel file.

     D.   Substandard Performance
          1.   Employees whose performance is substandard will be
given adequate notice and the opportunity to improve prior to
dismissal and prior to the annual performance appraisal.
          2.   If the performance of an employee becomes
substandard, the supervisor or department chair will provide the
employee with a written warning notice of substandard
performance.  The Warning Notice of Substandard Performance form
may be used or some other form of written notice may be sent to
the employee, provided the notice:
               a.   is addressed to the employee and labeled as a
warning notice of substandard performance; and
               b.   the notice contains the employee's
performance deficiencies, ways the employee should seek to
overcome the deficiencies, the period of time the employee will
be given to improve (minimum of 30, maximum 120 calendar days)
and the possible consequences if improvement is not satisfactory,
i.e. transfer, demotion, or dismissal; and
               c.   the notice is signed by the supervisor and
employee and a copy sent to the employee's official personnel
file.  Copies should be retained by the supervisor and the
employee. NOTE: If an employee refuses to sign a warning notice
of substandard performance, a notation of the refusal will be
made on the warning notice.  If possible the refusal should be
witnessed by one other employee as attested by his or here
signature.
          3.   During the warning period it is expected that the
employee and the supervisor will meet periodically to discuss the
employee's progress.  These meetings should be documented and
included in the employee's official personnel file.
          4.   At the end of the warning period, if the
employee's performance has improved to a satisfactory level,
notice of the improvement must be made on the Warning Notice of
Substandard Performance form, or appended to the warning notice
depending upon which format was used in Section II. D. 2. above. 
If the employee's overall performance has not improved to a
satisfactory level, the employee will be given a special
performance appraisal using the appraisal form, and will be rated
"Fails to Meet Performance Requirements."  After receiving a
rating of "Fails to Meet Performance Requirements," the employee
will be removed from the position immediately through demotion,
transfer or dismissal.
          5.   Once a time frame for improving substandard
performance has been given, the employee must be rated by the
specified time or the employee will receive a "Meets Performance
Requirements" rating by default.  The time frame for improving
substandard performance may be extended provided the extension
does not allow the total warning period to exceed the maximum of
120 calendar days and notice of the extension is provided on or
before the original time frame for improvement expires.  
          6.   If a rating of "Fails to Meet Performance
Requirements" is contemplated prior to the annual performance
appraisal, the written warning notice of substandard performance
will be given no fewer than 30 calendar days prior to the review
date and no more than 120 calendar days prior to the review date.
          7.   Any employee whose performance requires more than
two substandard warning processes within 365 calendar days will
be terminated upon receipt of the third warning notice of
substandard performance.



To obtain an official copy of this policy please contact the USC
Division of Human Resources.

This page copyright © 1995-96, The Board of Trustees of the University of South Carolina.
URL http://www.sc.edu/policies/hr136.html