Chapter 6 • Gathering Performance Information 157
C A S E S T U D Y 6-1
Evaluating an Appraisal Form Used in Higher Education
Consider the appraisal form shown below, which is a form present, whether any changes or revisions are needed in the
used by a university in the United States for non-faculty staff form and why and, (2) for those components that are absent,
members. First, use the table to place check marks next to why they should be added and what are the possible negative
each component that is present. Second, in the Comments consequences of not doing so.
section, please write, (1) for those components that are
Major Components of Appraisal Forms Comments
Basic employee information
Accountabilities, objectives, and standards
Competencies and indicators
Major achievements and contributions
Developmental achievements
Developmental needs, plans, and goals
Stakeholder input
Employee comments
Approvals
UC Berkeley
Performance evaluation and planning form Professional
Employee:_______________________ Job Title: ____________________ Department: ___________________
Control Unit: _____________________
Evaluation Period: From _________ to _________ Annual _______ Other________
Appointment: Limited/Contract, end date: ____________ Career ______ Probationary period ends: ______________
Instructions:
Effective evaluation of job performance is an on-going process. Annually, each manager or supervisor provides a
summary of progress toward meeting job expectations and last year’s goals. This form is to be used for annual
evaluations, and at other times during the year when formal feedback is needed.
These forms have been approved for employees covered by the Personnel Policies for Staff Members (PPSM).
For represented employees, departments will want to use forms that have been approved by the respective
bargaining units.
Part I—Job Success Factors
These include key responsibilities and basic competencies. Rate each factor based on performance during the
period identified above. The factors include key responsibilities specific to this position (Part 1-A), and
competencies common to the campus professional job standards (Part 1-B).
(Continued )
158 Part II • System Implementation
(Continued )
Part II—Goals from Last Year or Last Evaluation Period
Rate the progress made on each of the goals established at the beginning of the period. Also include any new
goals established during the evaluation period and note any modifications to the original goals.
Part III—Goals for This Coming Year or Evaluation Period
Enter the performance goals for the next period to be evaluated. Individual goals and objectives should align with
those of the department and the campus.
Part IV—Professional Development Plan
Enter any actions that will be taken by the employee or manager/supervisor to support the goals indicated in Part
III above, or specific job success factors in Part I. The plan may include career growth, job mastery, or actions to
correct performance.
Rating Scale*:
Level 5 (E) Exceptional
Performance far exceeded expectations due to exceptionally high quality of work performed
in all essential areas of responsibility, resulting in an overall quality of work that was superior;
and either 1) included the completion of a major goal or project or 2) made an exceptional or
unique contribution in support of unit, department, or University objectives. This rating is
achievable by any employee though given infrequently.
Level 4 (EE) Exceeds expectations
Performance consistently exceeded expectations in all essential areas of responsibility, and
the quality of work overall was excellent. Annual goals were met.
Level 3 (ME) Meets expectations
Performance consistently met expectations in all essential areas of responsibility, at times
possibly exceeding expectations, and the quality of work overall was very good. The most
critical annual goals were met.
Level 2 (I) Improvement needed
Performance did not consistently meet expectations—performance failed to meet expectations
in one or more essential areas of responsibility, and/or one or more of the most critical goals
were not met. A professional development plan to improve performance must be outlined in
Section 4, including timelines, and monitored to measure progress.
Level 1 (U) Unsatisfactory
Performance was consistently below expectations in most essential areas of responsibility,
and/or reasonable progress toward critical goals was not made. Significant improvement is
needed in one or more important areas. In Section 4, a plan to correct performance, including
timelines, must be outlined and monitored to measure progress.
*The inclusion of goals is typically a consideration in assessing the overall rating.
Chapter 6 • Gathering Performance Information 159
Part I. Job Success Factors
Factors Rating Comments
(bold or underline to select)
A. KEY RESPONSIBILITIES SPECIFIC TO THIS JOB
Performs key responsibilities as articulated in the job description.
• (may give a global rating OR insert here essential
functions as listed in the job description, include U I ME EE E
them by reference in an attached copy of the job
description, or paraphrase from the job description)
B. CORE COMPETENCIES
1. Inclusiveness
Shows respect for people and their differences; promotes
fairness and equity; engages the talents, experiences, and
capabilities of others; fosters a sense of belonging; works to U I ME EE E
understand the perspectives of others; and creates opportuni-
ties for access and success.
•
2. Stewardship
Implements a process or takes some action that significantly
reduces risk on campus (e.g., making information for decision
making more accessible, reliable, consistent, and secure; sup- U I ME EE E
porting continuity planning or emergency preparedness; etc.).
•
3. Problem solving/Decision making
Problem solving—Identifies problems, involves others in seek-
ing solutions, conducts appropriate analyses, searches for
the best solutions, responds quickly to new challenges. Decision
making—Makes clear, consistent, transparent decisions; acts U I ME EE E
with integrity in all decision making; distinguishes relevant from
irrelevant information and makes timely decisions.
•
4. Strategic planning and organizing
Understands big picture and aligns priorities with broader
goals, measures outcomes, uses feedback to change as needed,
evaluates alternatives, solutions oriented, seeks alternatives and U I ME EE E
broad input; can see connections within complex issues.
•
5. Communication
Connects with peers, subordinates, and customers; actively
listens; clearly and effectively shares information; demon- U I ME EE E
strates effective oral and written communication skills.
•
6. Quality improvement
Strives for efficient, effective, high-quality performance in self
and the unit; delivers timely and accurate results; resilient
U I ME EE E
when responding to situations that are not going well; takes
initiative to make improvements.
•
(Continued )
160 Part II • System Implementation
CORE COMPETENCIES (Continued)
7. Leadership
Accepts responsibility for own work; develops trust and credibility;
U I ME EE E
demonstrates honest and ethical behavior.
•
8. Teamwork
Cooperates and collaborates with colleagues as appropriate;
U I ME EE E
works in partnership with others.
•
9. Service focus
Values the importance of delivering high-quality, innovative serv-
ice to internal and external clients; understands the needs of the U I ME EE E
client; customer service focus.
•
10. Unit- or department-specific competency
(optional) U I ME EE E
Part II. Last Period’s Goals
Rate the progress made on each of the goals established at the beginning of the period and any
new goals. Note any modifications to the original goals.
Goal Rating Comments
U I ME EE E
1.
U I ME EE E
2.
U I ME EE E
3.
U I ME EE E
4.
U I ME EE E
5.
OVERALL RATING (based on Parts I and II)
Relative weights of job success factors and performance U I ME EE E
goals are determined by the manager or supervisor. Higher
priority items may be highlighted.
Chapter 6 • Gathering Performance Information 161
Part III. Next Period’s Goals
Enter the performance goals for the next period to be evaluated. Individual goals and objectives should align with
those of the department and the campus.
1.
Measure of success:
2.
Measure of success:
3.
Measure of success:
4.
Measure of success:
5.
Measure of success:
Progress toward meeting these goals will be reviewed at the time of the next evaluation.
Part IV. Professional Development Plan
Signatures:
Employee:__________________________________ Date: _______________________
My signature indicates that I have received a copy of this evaluation.
___ I would like to include comments from my self-assessment.
Manager/supervisor: Name:_____________________________
Signature: _______________________ Date: _____________________
Department manager: Name: ____________________________
Signature: _______________________ Date: _____________________
The employee being evaluated is to receive a copy of the completed evaluation form and one copy shall be placed
in the personnel file.
Source: Appraisal form has been adapted from those available on UC Berkeley’s Human Resource Department website. Human Resources at UC
Berkeley. (2011). Performance appraisal forms. Available online at [Link]
doc. Retrieval date: July 22, 2011. Copyright UC Regents. All rights reserved. Reproduced with permission from the University of California,
Berkeley.
