Evaluation Policy
Evaluations provide a measure of the employee’s level of performance and effectiveness while serving as a mechanism for aligning employee assignments with his or her own professional goals. The evaluation process involves a systematic assessment of the work performed by an employee measured against the expected job duties and responsibilities for a particular position during a specified period of time (i.e., per engagement or annual). Ratings resulting from engagement evaluations should be used for career development and training and as a foundation to prepare the annual employee evaluation as required by the UTMB Performance Management Program IHOP 3.6.5. The annual evaluations are used as a basis for the improvement of performance, promotion consideration, and merit salary review.
The purpose of evaluations is to assist in developing employee skills by providing constructive feedback and positive reinforcement on the work performed. Evaluations guide employees toward effective service by identifying areas of their job performance that need improvement or could use enhancement and establishing measurable objectives to make them more efficient in the identified areas. At the same time, evaluations affirm and highlight proficiencies and accomplishments. Open communication between the employee and the evaluator is key to the success of the evaluation process.
Annual Evaluations
Staff member annual evaluations should be administered by the employee’s Audit Services Manager by the end of the first quarter of the fiscal year (November). Both positive and constructive feedback on performance should be provided to the employee by his or her Manager Mentor with input from the Director of Audits and other Management Team members as requested by the Manager Mentor.
Management Team member annual evaluations should be administered at the end of the first quarter of the fiscal year (November) by the Director of Audits.
The annual evaluation process for both Staff and Management Team members should also be used to outline professional development and goals. The individual employee, his/her Manager, and/or the Director of Audits, as applicable, will work together to develop goals and identify relevant training and opportunities for career growth and professional development. Goals resulting from the annual evaluation process should be specific, measurable, attainable, relevant, and time-bound.
Annual Evaluation Progress Meeting
Annual meetings to discuss Staff members’ progress towards achieving goals developed in their most recent annual evaluations should be administered by the Staff member’s Manager approximately six months after the annual evaluation is conducted. During this meeting, the Staff member should update his or her Manager on steps taken to reach his or her established goals, providing examples, if applicable. Opportunities within the office to accomplish the set goals should also be discussed. Staff members can also use this meeting to ask for assistance in overcoming obstacles they may have encountered in realizing their goals.
Engagement Evaluations for Auditor and Senior Auditor Staff
A performance evaluation used internally by the department should be completed for each engagement on which an Auditor or Senior Auditor has charged 60 or more hours. The engagement performance evaluation should be administered by the Engagement Manager prior to report issuance for Senior Auditors and by the Engagement Senior Auditor with consultation obtained from the Engagement Manager prior to end of fieldwork for Auditors. There are separate evaluation forms with specific criteria for evaluation of the Auditor and Senior Auditor Staff members.
Engagement evaluations for Auditors should be routed in the following manner:
- 1. Evaluator (Senior Auditor or Engagement Manager, if there is no Senior Auditor)
- 2. Engagement Manager (omit if Engagement Manager is the Evaluator)
- 3. Evaluator (omit if Engagement Manager is the Evaluator)
- 4. Auditor being evaluated
- 5. Evaluator
- 6. Director of Audits
Engagement evaluations for Senior Auditors should be routed in the following manner:
- 1. Evaluator (Engagement Manager)
- 2. Senior Auditor being evaluated
- 3. Evaluator
- 4. Director of Audits