SE Performance Appraisal Guidelines

Performance Appraisals Due May 10, 2013
2013 Annual Performance Appraisal Form

SE Performance Appraisal Guidelines

Self Evaluation Questions for Employees and Supervisors

Please read guidelines and instructions before opening and completing the Annual Evaluation form from the link at the bottom of this page.

  1. The Employee Handbook, Section 4.11 and 4.13 identifies the three-month probationary period for non-exempt employees (Technical/Paraprofessional, Secretarial/Clerical, Skilled Craft and Service/Maintenance positions), the twelve-month probationary period for exempt employees (Administrative/Professional positions), and the evaluation process for non-exempt employees.  Effective Spring Semester 2001, the policy was revised to include annual evaluations of all exempt employees.  The attached Annual Performance Appraisal form will be used for both exempt and non-exempt employees.
  2. Legal Considerations:  Performance evaluations should not discriminate or reflect personal prejudice, bias or favoritism on the part of the supervisor for the rating or review, the job description should be kept up-to-date and the employee should be given the opportunity to attach comments to his/her evaluation.
  3. The evaluation should be consistent, objective and thorough.  Appraisals can be a positive mechanism to assist the employee in improving job performance.  The dignity of the person is not being measured, but rather the choices made by the employee and the result of those choices.
  4. Employee participation is encouraged because it involves the employee, helps the employee buy into the process, and enables the employee to help with the preparation (such as Section A.  Specific Duties from the job description).  A copy of the blank evaluation form should be provided to the employee if the employee is to participate.  Both the employee and supervisor should have time to thoughtfully review and prepare a preliminary draft.
  5. Advanced Planning:  The supervisor should select a private place, free of distraction, avoid back-to-back appraisal meetings and give the employee advanced notice of the upcoming appraisal.
  6. Preparing for the Evaluation Interview:  The supervisor should notify the employee of the time and place, ask the employee to gather pertinent information, go over pertinent records and material and ask other supervisors for their opinions.
  7. The Employee’s Self-Assessment:  The supervisor should ask the employee to go over goals and objectives from his or her last evaluation, determine whether goals have changed along the way, and have the employee clarify any statements the supervisor does not understand.
  8. The Supervisor’s Assessment:  The supervisor should discuss strengths and weaknesses, noting points on which the supervisor and employee disagree.
  9. Joint Assessment:  For a satisfactory performance, the supervisor should offer praise and point out areas in which there could be improvement.  For differences of opinion, the supervisor should try to reach some level of agreement with the employee.
  10. Section A. SPECIFIC DUTIES:  The supervisor will refer to the current job description to determine up to four major duties.  The supervisor may contact Human Resources (Ext. 2162) to request a copy of the job description if one is not available in the department.  Please do not group all major duties together as one.  Up to four major duties should be evaluated separately.
  11. Section B. GENERAL TRAITS: Ratings should reflect actual performance. The ratings, listed below, are numbered 1 to 5.  A rating of 3 is average or “good” and is for employees who MEET MOST OR ALL STANDARDS.  A rating of 4 is above average and is for employees who EXCEED MOST STANDARDS CONSISTENTLY.  A rating of 5 is exceptional and is for employees who EXCEED ALL EXPECTATIONS CONSISTENTLY.  Some employees and supervisors may consider a 3 or 4 rating to be “bad” but this is not the case.  A rating of 5 should not be possible for a 90-day evaluation and should be fairly rare for the annual evaluation.  Supervisors who give high ratings (4 or 5) early on are forced to reduce the rating at later evaluations if the work performed during the evaluation time period is satisfactory or average instead of excellent.  Also, high ratings given early on give the employee little room to grow, as there is no rating higher than a 5.
  12. Section C.  GOALS AND OBJECTIVES:  Enter the progress toward the objectives and goals for prior twelve months and enter the objectives and goals for the next twelve months.  Include training classes (i.e., computer software), special projects and new or revised duties.  This section tells what was accomplished the past year and what is planned for the next year. Explain goals not accomplished.
  13. Remember the employee must know what is expected in job performance and production in order to meet expectations.
  14. Section D.  OVERALL RATING:  The supervisor will rate and average the factors.  Each numbered rating may be reported as a plus if the final rating is over half.  For example, a final rating of 4.5 is reported as a 4; the final rating of 3.68 is reported as a 3+.  A rating of 1, 2 or 5 requires comments.  If the employee disagrees with the comments, s/he she may attach comments.  The supervisor should add his or her viewpoint of the employee’s comments.
  15. The next highest-level supervisor will review and approve all 1, 2 or 5 ratings provided by the supervisor who prepared the ratings.  The next highest-level supervisor signature is advised but not required for 3 and 4 ratings.
  16. The employee, supervisor and next highest-level supervisor will sign the final evaluation form; the employee receives a signed copy and the department retains a copy.  The original, with up to three signatures, is forwarded to Human Resources for placement in the employee’s personnel file.  INCOMPLETE FORMS WILL BE RETURNED.  SUPERVISOR COMMENTS IN SECTION D DO NOT REPLACE COMMENTS IN SECTION A,WHICH ARE REQUIRED FOR THE FOUR MAJOR DUTIES.


1 = Inadequate:  Unacceptable performance; rarely meets performance assignments; unsatisfactory.

2 = Below Standard:  Partially meets standards; marginal performance; needs improvement.

3 = Meets Standard:  Meets most or all standards of responsibility; performance is generally above average;

4 = Above Standard:  Exceeds most standards consistently; performance is generally above average; merit

5 = Exceptional:  Exceeds all expectations consistently

FACTORS and Definitions:  To what extent does the employee perform these factors?

Volume/Quantity of Work:  Structures, streamlines tasks to increase efficiency; speed and consistency of production/output expectations; evaluates, analyzes and overcomes problems quickly.

  • Quality of Work:  Accuracy, completeness, neatness, general effectiveness of work; proofs, checks, inspects and produces task requirements.
  • Initiative: Resourcefulness, ingenuity and aggressiveness in task accomplishment; ability to set priorities and follow to completion; timeliness; meets deadlines; uses all available time efficiently.
  • Teamwork/Relationships:  Cooperative, effective and successful in working with others, on and off campus; serves others in a positive manner; values harmony; appropriately follows the leadership of others.
  • Dependability:  Regularly on the job; regularly conforms to work schedule; carries out instructions and fulfills responsibilities; reliable.
  • Knowledge of Field:  Familiar with all aspects of position; comprehension of job requirements, university policies/procedures, and government regulations pertaining to the job.

2013 Annual Performance Appraisal Form

Contact Human Resources if you have questions or need further information by calling extension 2162 or sending an email to