The current performance appraisal form is for classified ...



Project 2021 Appraisal Form Instructions

Annual Performance Appraisal Instructions:

The employee or supervisor should enter the employee name, title, department (within Project 2021 – Project 2021, FIC, RAM, TEC and the area within TEC as applicable) and date on which the appraisal period ends. Unless otherwise communicated, the Project 2021 appraisal period ends on May 31st of each year.

Section 1:

Self-Appraisal Questions: Employee will answer the six self-appraisal questions. This provides the employee the opportunity to review his/her accomplishments and actively participate in the appraisal and goal-setting process. Responses will be used by the supervisor to assess the employee’s performance for the appraisal year.

Section 2:

Overall Purpose of the Position is a short summary that will remind the employee and the supervisor of the reason the position exists. The overall purpose of the position can be found on the employee’s current position description in HRMS - . It is fine to modify as needed here and then to contact HR to have the change made in HRMS.

Key Responsibilities (left column): It is the responsibility of the supervisor to work with the employee to ensure the key responsibilities listed on this form are accurate for the past year. If the employee’s key responsibilities and/or job description have changed from what is in HRMS, please send an updated job description to the department HR Contact at Project2021HR@austin.utexas.edu so accurate information can be entered. This section is an important part of the appraisal.

Note: Each row of the table in this section should include only one key responsibility, employee comments for that responsibility, supervisor appraisal rating, and supervisor comments. To create new rows, place your cursor in the last column of the last row of the table and press the Tab key.

Employee Comments (middle column): This column is for the employee to add additional information and provide more detail about the key responsibility. If there are specific examples of the key responsibility the employee would like to be considered in the appraisal, they should be added here.

Supervisor Comments and Appraisal (right column): This section (right hand column) is the area designated only for the supervisor. Each row should include the supervisor’s rating by selecting one of the five ratings below (1.0 to 3.0 scale) for each key responsibility. Comments may be positive and/or identify areas for improvement. Note that all ratings other than 2.0 must be backed up with specific examples of how the employee is exceeding expectations (rating of 2.5 or 3.0) or how the employee is falling short of expectations (rating of 1.0 or 1.5).

Rating Scale:

3.0 Rating: Exceeds Expectations (consistently performs above expectations in all areas)

2.5 Rating: Meets And, At Times, Exceeds Expectations (solid performance in all areas and exceeds expectations in certain areas)

2.0 Rating: Meets Expectations (overall performance is good and solid – meets expectations/requirements)

1.5 Rating: Meets Most But, At Times, Falls Short of Expectations (performance is good in some areas but not all areas; or performance is generally inconsistent. Performance needs improvement.)

1.0 Rating: Does Not Meet Expectations (performance has not met expectations for key responsibilities and requires immediate improvement)

Rating Guidance:

The Exceeds Expectations (3.0 Rating) rating should be used to distinguish performances that are substantively and significantly above expectations in all areas of their job, and should be supported with specific examples of how the employee consistently performed above expectations in all areas of their job. This rating is reserved for the employee who has gone above and beyond in all areas of their job, and so we anticipate this rating will be given to only those who truly have earned this rating (not given lightly or often).

The Meets And, At Times, Exceeds Expectations (2.5 Rating) rating is for an employee who is meeting expectations at all times and sometimes exceeds expectations in some key responsibilities. Make sure to support this rating with specific examples of how the employee exceeded expectations – if no examples can be provided then a rating of Meets Expectations (2.0 Rating) should be given.

The Meets Expectations (2.0 Rating) rating is for good, solid performance that meets expectations and is an honorable achievement indicating that the employee is meeting the requirements of his/her position. NOTE: An employee who experienced performance problems that affected his/her ability to meet the expectations of the position should not be given a Meets Expectations rating. He/she should receive a 1.5 rating or 1.0 rating, depending on his/her performance.

We anticipate that the majority our employees will receive a rating of Meets Expectations (2.0 Rating) or Meets And, At Times, Exceeds Expectations (2.5 Rating) for the performance appraisal year.

The Meets Most But, At Times, Falls Short of Expectations (1.5 Rating) rating is for an employee who did not meet expectations in all areas of his/her job. This means that the employee is good in some areas, but not all areas of his/her job or that the performance is inconsistent. This rating indicates that the employee’s performance needs improvement. Consider a performance improvement plan (PIP) for those areas most needing attention.

The Does Not Meet Expectations (1.0 Rating) rating indicates an employee has failed to meet expectations for a majority or all key responsibilities and requires immediate improvement. Employees with this rating should have a Performance Improvement Plan (PIP) to set clear expectations, goals and actions for improving their performance.

Section 3:

Current Appraisal Year Goals: The employee lists work goals agreed to for the current appraisal year in the left column. Goals may have been set during last year’s appraisal or added/updated during the appraisal period. The employee adds comments in the middle column regarding how well he/she met those goals or why he/she did not meet those goals. The supervisor adds comments on the achievement and outcomes (met, partially met, did not meet, deferred, modified, withdrawn/canceled) for each goal in the right column. As examples, work goals might include goals that produce revenue, bring in more customers, reduce expenses, create efficiencies, meet deadlines, develop new approaches and programs, etc.

Section 4:

Overall Performance Appraisal Rating, Summary, Competencies and Goals for Next Year: The supervisor selects one of the five ratings (using the rating scale provided in Section 2) that best describes the employee's overall performance. The supervisor should provide an overall appraisal, including summative comments (both positive and areas for improvement). If specific areas for improvement are included, the supervisor can discuss methods and expectations for improvement, and, if necessary, discuss the Performance Improvement Plan process to address the deficiencies, as well as determine a timeframe to follow-up with the employee to develop the plan.

Core Competencies: All employees, regardless of position, should also be assessed on the first set of core competencies (listed below). Supervisors with direct reports should also be assessed on the second set. This section should include comments about how the employee performed the core competencies, unless they are addressed in other sections. Please give examples of how the employee did or did not exhibit the competencies throughout the year. Core competencies to be addressed where applicable:

Core Competencies for All Employees:

• Customer Focus: Is dedicated to meeting the expectations and requirements of internal and external customers; gets first-hand customer information and uses it for improvements in products and services; acts with customers in mind; establishes and maintains effective relationships with customers and gains their trust and respect; accurately and effectively implements policies when working with customers.

• Communication: Expresses ideas and information in writing and verbally in a manner that is complete, clear, concise, organized and appropriate to the audience; conveys information to supervisors, peers, and customers in a timely, clear, and concise manner; listens to others, is open-minded, and evaluates suggestions from others; asks clarifying questions to ensure understanding; maintains professional communication with supervisors, peers, and customers.

• Peer Relationships: Quickly finds common ground and solves problems for the good of all; represents his/her own interests while also being fair to other groups; solves problems with peers in an efficient and respectful manner; contributes successfully to a team-approach; is cooperative; easily gains trust and support of peers; encourages collaboration; is candid with peers when necessary.

• Learning Agility: Learns quickly when facing new problems; is a relentless and versatile learner; is open to change; analyzes both successes and failures for clues of improvement; experiments and will try anything to find solutions; engages in the challenge of unfamiliar tasks.

• Dealing with Ambiguity: Effectively copes with change; shifts gears comfortably. Decides and acts without having the total picture. Handles risk and uncertainty effectively. Maintains internal and external communications regarding changes.

Core Competencies for Supervisors with Direct Reports:

• Managing and Measuring Work: Clearly assigns responsibility for tasks and decisions; sets and communicates clear objectives and measures; monitors process, progress, and results; designs feedback loops into work. Aligns operations, work tasks, and directives with organizational objectives and adjusts as needed in a timely and effective manner. 

• Developing Direct Reports and Others: Provides challenging and stretching tasks and assignments; holds frequent development discussions; is aware of each person’s career goals; cooperates with the developmental system in the organization; is a people builder.

Once you wrap up the appraisal discussions for the current year, begin discussions about goals for the upcoming year and include a list of mutually agreed upon goals in Section 4: Overall Rating, Summary and Goals for Next Year.

Signature Information:

Supervisor (Appraiser) Information: Include the name, title, and signature of the appraiser and the date when the appraiser discussed the appraisal with the employee.

Employee Information: The employee should enter his/her name, title, signature and the date on which the supervisor discussed the appraisal with the employee. The employee’s signature is just an acknowledgement that the supervisor and employee met and discussed the performance appraisal. If the employee declines to sign the appraisal, the appraiser should note the date of the discussion and that the employee declined to sign the document.

Management Review: The appraising supervisor’s next level of management (supervisor) may provide comments in this section. The supervisor’s next level of management (supervisor) must sign and date his/her review of the appraisal. A specific date will be communicated when all signatures of management through the highest levels must be completed.

Summary of Performance Appraisal Steps

Before the Formal Appraisal Meeting

1. Employee completes his/her parts of Sections 1-3, discussing purpose and key responsibilities with the supervisor as needed. No ratings are discussed at this time.

2. Supervisor completes his/her parts of Sections 2-4 of the appraisal form.

3. Supervisor reviews and approves the draft of the completed appraisal with his/her manager before discussing the appraisal with employee. In addition, unit head/department head can request to review all performance appraisals prior to the supervisor’s meetings with the employees. Supervisors can consult with the department HR Contact, project2021HR@austin.utexas.edu, if they need assistance.

4. The supervisor sets the date and time of the appraisal discussion with the employee.

5. The supervisor provides a copy of completed appraisal draft to the employee to read and review at least 1 hour before the scheduled meeting.

During the Appraisal Meeting

1. The employee and supervisor meet and discuss the employee’s performance in the areas of key responsibilities, competencies and goals.

2. Once the form is updated and complete, the supervisor signs and dates the appraisal.

3. The employee signs and dates the appraisal.

After the Appraisal

1. The signed appraisal is sent to the supervisor’s manager for review and signature in the Management Review section and then turned in to the department HR Contact. Scan and send to Project2021HR@austin.utexas.edu or turn original into Project 2021 HR Office.

2. The completed appraisal is filed in the employee’s personnel file.

3. Employee comments (if submitted) are attached to the appraisal in the employee’s personnel file.

4. Annual performance appraisal rating for each employee is entered into the HRMS system by the department HR Contact.

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