Performance Management Appeals Process

The Performance Management Appeals Process is an important component of the Performance Management System. As is the case in any matter involving the making of judgments, employees, and supervisors may disagree with specific issues relating to their performance reviews or related pay decisions.

The University has established the Performance Management Appeals Process to provide a means to air concerns and to resolve disagreements. The purpose of this policy is to provide employees and management a means for resolving disagreements involving performance evaluations and performance pay issues. The recommendations and decisions reached through this process must be consistent with State law and State and University policy.

The Appeals Process is available to permanent SPA employees who are regularly scheduled to work 20 hours or more each work week.

The following general provisions apply to the Appeals Process:

• Under State policy neither party in the Appeals Process may be represented by an attorney.
• State law and policy provide that the Chancellor's decision on an appeal is final and cannot be appealed further.
• An employee appeal alleging discrimination based on race, color, religion, sex, national origin, physical or mental handicap, or (as provided by law) age, is processed under the Dispute Resolution and Staff Grievance Procedure.

The Appeals Process has jurisdiction over the following issues only:

• the overall evaluation received as part of the Annual Review
• the rating on one or more principal functions
• the explanatory remarks included in the evaluation

Depending on the actions taken by the General Assembly regarding salary increases related to the performance evaluation process, the following issues also may be appealed:

• failure to receive a performance increase and/or performance bonus when eligible
• the amount of the increase or bonus received

These issues can be appealed through the Dispute Resolution and Staff Grievance Procedure only if the employee is alleging discrimination.

The Interim Review and all of its content are neither appealable through this procedure nor grievable through the Dispute Resolution and Staff Grievance Procedure.

An employee is limited to one appeal for any work cycle, regardless of the number of issues involved. The employee should describe the complete remedy desired should the appeal be decided in his/her favor. For example, an employee who appeals the overall evaluation should specify the overall evaluation requested. If such an overall evaluation would result in eligibility for a performance increase, an increase percentage should be stated as part of the remedy requested in the appeal.

By request (and with management approval) an employee may be granted a maximum of 12 hours off from regular duties for processing an appeal under this Appeals Process without any loss of pay and without charge to leave.

The Performance Management Appeals Process has two levels of appeal: Level A and Level B.

An employee initiates a Level A Appeal by completing and forwarding to the department head "Level A Appeal of Performance Management Decision" form to the Employee & Management Relations Department, Office of Human Resources, CB # 1045.

The Level A appeal must be submitted no later than 15 calendar days from the date the employee receives the completed "Performance Review" (signed by the supervisor and the next higher level supervisor) or other notification of a performance-related decision.

After consulting with the employee, the supervisor, and others having valid performance-related information, the department head must give submit the Level A decision (using the "Level A Management Response Form") to the Employee & Management Relations Department within 15 calendar days from the date the Level A appeal was received. The department head must also attach:

• Appellant's Annual Performance Review for the performance cycle appealed
• Appellant's Interim Performance Review for the performance cycle appealed
• Appellant's Work Plan(s) for the performance cycle appealed

If the department head does not give the employee the Level A decision within the 15-calendar day period, s/he must request an extension and provide the employee with the expected date of the decision. The employee may accept or reject the extension.  If the employee is not available (for example, due to leave) the decision must be sent by certified-return receipt to the employee's last known address.

It is expected that the majority of appeals will be resolved at Level A. However, the employee may initiate a Level B appeal if:

• the Level A decision is not issued within the 15-calendar day period and the employee does not grant an extension, or
• the Level A decision is not satisfactory.

An employee initiates a Level B appeal by completing the "Level B Appeal of Performance Management Decision" and sending it to: Manager, Performance Management System, Employee & Management Relations, Office of Human Resources, CB # 1045.

The Level B appeal must be submitted within 15 calendar days from the date the employee receives the Level A decision or at the expiration of the 15-calendar day period for the department head's decision.

The employee is encouraged to include as part of the Level B appeal any other relevant information and documents pertaining to the work cycle and performance review that generated the appeal. The employee is also responsible for sending a copy of all documents to his/her department head.

The Chancellor appoints the Chair of the Performance Management Review Board (Board Chair) and the other members of the Review Board. When a Level B appeal is received, the Board Chair selects a three-member Panel and appoints a Panel Leader. The Board Chair notifies the employee of the name, job title and department of each proposed Panel member. The employee has the right to disqualify up to two proposed members by notifying the Board Chair before the date stated in the letter of notification. Replacement members will be selected by the Board Chair so that each Panel has the required three members.

Each panel will have one member with supervisory responsibility and two members with no supervisory responsibility. No member of the Panel will be from the employee's own department. Any member may be designated as Panel Leader.

The Panel determines what information is needed. The involved parties must provide the information requested by the Panel.

The Panel Leader notifies the employee and the department head in writing of the hearing date and location. Every effort must be made to arrange for a timely hearing.

The Level B hearing is confidential. It is not open to the media or other persons whose attendance is not approved in advance by the Panel Leader. The employee, the department head, and supervisors involved in the performance review are allowed to appear in person at the hearing.  However, any party may elect not to appear and to have the Panel's Level B recommendation based only on documentation presented to the Panel.

The chair must receive advance notification if anyone other than the employee and department head are to provide information to the Review Board. The employee and management must request approval in advance for witnesses to address the Panel. Only witnesses approved in advance may appear at the hearing. 

After the hearing, the Panel decides whether additional information is needed. Any information requested and received after the hearing is shared with the employee and the department head.

After considering all of the information presented, the Panel makes its recommendation by majority vote and submits its written recommendation through the Board Chair to the Chancellor. The Chancellor either accepts, modifies, or rejects the Panel's recommendation and issues the University decision within 15 calendar days of receiving the Panel recommendation. If the Chancellor rejects the Panel recommendation, the written decision will state the reason(s) for rejection.

The Chancellor sends the written decision to the employee. Copies of the decision are sent to:

• The Department Head
• The Board Chair
• The Associate Vice Chancellor for Human Resources
• The Manager of the University's Performance Management System
• The Director of Employee Records
• Others having a role in the implementation of the decision
• Other appropriate parties as determined by the Chancellor

Care is given to the distribution of the decision so that the privacy of the appellant is protected.

If you have questions about this policy, contact the Employee & Management Relations Department in the Office of Human Resources.