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Unclassified Professional Staff (UPS) Performance Evaluation Appeal Process

Policy
Purpose: 

To articulate the process for the Unclassified Professional Staff (UPS) Performance Evaluation Appeal​

Applies to: 

Unclassified Professional Staff (UPS)

Campus: 
Lawrence
Policy Statement: 

An Unclassified Professional Staff employee may discuss a performance evaluation with the employee's supervisor and/or file a formal appeal if the evaluation resulted in an unsatisfactory rating.  Employees may elect to contact HR and/or the University Ombudsman for advice about the discussion with the supervisor or about the formal appeal process.

Employees who choose to appeal an unsatisfactory rating or evaluation must follow the appeal process.  While the unsatisfactory performance rating or evaluation may be appealed, the actual compensation decision in regard to merit cannot be appealed.  However, in the event an evaluation appeal results in the change of an unsatisfactory rating to a rating of satisfactory higher, the administrative unit may request that HR and the Provost Office allow the unit to make a merit-related salary adjustment.

Discussion with Supervisor

An Unclassified Professional Staff employee who desires to discuss a performance evaluation should schedule to meet with the employee's supervisor within five working days of receiving the evaluation.  HR may be consulted by either party for facilitation services prior to the discussion; however, both parties must agree in order for HR to participate in the discussion between the parties.  The supervisor should document the employee’s concerns during the discussion meeting.  In the event that an amicable decision is reached, and a change has been agreed upon, the change may be made to the pertinent section(s) and/or rating(s) of the written evaluation. Such changes may or may not impact the overall rating of the evaluation. Ultimately, however, it is the supervisor’s responsibility and within the supervisor's authority to determine the final content of the evaluation after the discussion with the employee.

In the event the employee’s concerns are not resolved, and the employee desires to initiate the appeal, the employee must submit a formal written evaluation appeal to the appropriate Dean, Vice Provost, Vice Chancellor, Provost, or Director within five working days following the employee’s discussion with the employee's direct supervisor.

Evaluation Appeal

An Unclassified Professional Staff employee who desires to proceed with an appeal of a performance evaluation resulting in an unsatisfactory rating must submit a written appeal to the Dean, Vice Provost, Vice Chancellor, Provost or Director of the employee's unit within 10 days of receiving the performance evaluation review.  The employee in his/her written appeal should include specific information about the performance areas where there is disagreement, documentation and/or examples of the employee’s performance in the defined areas (for the time period evaluated), and the desired outcome of the appeal.

The employee and the appropriate administrator designated by the unit head will meet within five working days after receipt of the written appeal to discuss the employee’s concerns.  (In the event there are extenuating circumstances and the designated administrator is unavailable within the five-day period, the evaluation review period may be extended by mutual agreement or by the unit administrator.)  Upon conclusion of the appeal review, the designated administrator will respond to the employee in writing within 10 working days regarding the decision.  In the event any portion of the evaluation is overturned, the employee will be provided a copy of the revised evaluation.  The revised and original evaluation will be retained in the employee’s personnel file as the official evaluation of record. Final decisions made by the administrator designated by the unit head are not subject to further appeal.

HR may be contacted for facilitation or reconciliation services if necessary after the conclusion of the appeal process.  HR is available to advise or to counsel employees or supervisors about performance expectation standards, goal setting, and/or the appeal process.

Employees who believe that they have been discriminated against on the basis of race, religion, color, sex, disability, national origin, ancestry, age, veteran status, sexual orientation, marital status, parental status, gender identity, or gender expression with respect to rendering a job performance evaluation may consult the Equal Opportunity Specialist at 785-864-4946.

Contact: 

Ola Faucher, Director
Department of Human Resources
103 Carruth-O’Leary Hall
1246 W. Campus Road
Lawrence, KS 66045
785-864-4946
hrdept@ku.edu

Approved by: 
Provost and Executive Vice Chancellor
Approved on: 
Thursday, February 18, 2010
Effective on: 
Friday, February 19, 2010
Review Cycle: 
Annual (As Needed)
Background: 

A statement on appeals of performance evaluations was included in the policies and procedures for unclassified professional staff that were approved by the Chancellor in 1979, revised 1994, 1995, and 1996. These policies and procedures were Section C.4 of the 1998 Handbook for Faculty and Other Unclassified Staff; evaluation procedures were described in C.4.f.

This policy, approved on February 18, 2010, supersedes that statement.

Keywords: 
Unclassified, unclassified professional staff, review, performance, evaluation, appeal
Review, Approval & Change History: 

07/20/2016: Updated to remove gendered pronouns.

06/21/2016: Updated DLR

01/21/2015: Policy formatting cleanup (e.g., bolding, spacing).

02/18/2010: This policy was approved; it supersedes the previous statement included in Section C.4 of the Handbook.

1998: These policies and procedures were Section C.4 of the 1998 Handbook for Faculty and Other Unclassified Staff; evaluation procedures were described in C.4.f.

1996: The statement on appeals of performance evaluation included in the policies and procedures for unclassified professional staff was revised.

1995: The statement on appeals of performance evaluation included in the policies and procedures for unclassified professional staff was revised.

1994: The statement on appeals of performance evaluation included in the policies and procedures for unclassified professional staff was revised.

1979: A statement on appeals of performance evaluations was included in the policies and procedures for unclassified professional staff that were approved by the Chancellor.

Personnel: Staff Categories: 
Performance

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