FAQ’s for Streamlined Appraisal Process 2020-2021
Why is HR continuing to follow last year’s appraisal process change? Accordion Closed
This option is due to the changes that have occurred for many employees and supervisors over the year due to the COVID-19 pandemic. Some of those changes include:
- Job functions/tasks that had to shift to meet new business needs
- Goals that changed or were put on hold
- Staffing changes that required coverage of other duties
- Work done remotely but juggled with care for sick family members or childcare
What was changed last year that we are following this year? Accordion Closed
Three key changes:
- Supervisors can choose to use a streamlined performance appraisal form to have and document the performance discussion or can use the regular form.
- The current supervisor should have the discussion even if the employee has transferred in from elsewhere on campus.
- The performance appraisal form will stay in the supervisor/departmental file – not be turned in to HR.
Where do I get the streamlined form? Accordion Closed
The streamlined performance appraisal form is available in a word format at Streamlined Appraisal Process for 2020-2021 Cycle (in the ‘Additional Resources’ box).
How does the streamlined performance appraisal form work? Accordion Closed
The recommended best practice is, in preparation for the performance appraisal discussion, to have both the supervisor and employee individually make their own notes about the items on the form. Once they have met and discussed these, the supervisor should finalize information on the form. The notes should be emailed to the employee. If the employee wants to attach any other documents to the form (ex. their discussion notes, other accomplishments they want to capture more fully, a regular self-appraisal form they had already completed, etc., the employee should email those to the supervisor to be part of the final copy.
Where is the final document kept? Accordion Closed
After making sure the employee has been emailed a final copy of whichever performance appraisal form is used, the supervisor will keep a copy of all final documents in their supervisory file for that employee. Best practice is that supervisors always have a final copy of all employee’s performance appraisals.
What do you mean by departmental file? Accordion Closed
Some departments – especially larger departments – or colleges may also maintain a departmental file where a copy of the final appraisal is kept. If you are a newer supervisor, check with your supervisor about your department practices on that.
What if my employee and I already did the regular form and had the discussion about it? Accordion Closed
If you already completed the regular form/discussion, then the only thing to do is ensure that you and your employee each have a copy of the final form for your records.
What if I already submitted the regular form to HR but did not keep a copy? Accordion Closed
Please email HR Performance Appraisals to request a copy.
What if I have already completed most of the regular form for my employee or I do not want to use the streamlined form? Accordion Closed
You can complete the regular performance appraisal form and use that as the basis for your discussion with your employee, make any final notes and provide them a final copy with any documents that they have requested be attached. You may also want to use the regular form as the basis for the discussion but without the ratings or without the final rating.
What if my employee already completed the regular self-appraisal but I want to use the streamlined form? Accordion Closed
If they have already completed the regular self-appraisal, they can use that as the preparation for the performance discussion you have with them. Be sure to send them a copy of the streamlined form so they see what you will be discussing with them. They may want to have you attach that self-appraisal to the finalized streamlined form as part of the final copy.
Do I need signatures on the streamlined form? Accordion Closed
Signatures are not required on the streamlined performance appraisal form. However, a record is created by the supervisor’s emailing the final form to the employee and, similarly, the employee emailing to the supervisor any final documents they want to include. This also helps with the variety of circumstances regarding working remotely, access to scanners, electronic signatures, digital forms, etc. However, if a supervisor and/or employee wanted to have something more formal, they can acknowledge the received email or can simply sign at the bottom.
As an employee, what if I disagree with the final version my supervisor provides? Accordion Closed
You can discuss this with your supervisor to request a change to the final performance appraisal form. You will also be able to request that your supervisor include documents be attached to the final version. That could include your notes you made in preparation for the discussion, a regular self-appraisal form you completed, certain points of clarification or response you want included after seeing the final copy, etc.
What if my employee transferred from another job on campus? Accordion Closed
It is recommended that you use the streamlined performance appraisal form and focus the discussion on the time they have worked for you. You might ask the employee if they would like to provide some additional detail about accomplishments from their last position as an attachment to the final document.
What if I have an employee who is a new hire to NAU since 4/1/2021? Accordion Closed
Best practice is still to be sure you are having ongoing discussions about expectations and feedback as they acclimate to a new job. As for completing an appraisal:
- If they are classified staff, you will still follow the normal probationary period schedule to provide a performance appraisal no later than six months from the date of hire.
- If they are a service professional or a post doc scholar, you are not required to complete a performance appraisal until the next cycle ends June 30, 2022.
Can I use the streamlined performance appraisal form even for a probationary appraisal? Accordion Closed
Yes, you can use the streamlined performance appraisal form and process for the six-month probationary performance appraisal for classified staff.
Do I have to turn in the probationary appraisal to HR? Accordion Closed
No, you still would keep it in the supervisory and/or department file no matter which performance appraisal form you used. However, you would send an email to HR Performance Appraisals with the following information:
- Employee name and employee ID number
- A brief message that they have completed their probation and you are moving them from probationary status to regular status.
Where can I get answers to other questions I have? Accordion Closed
Please send additional questions to HR Performance Appraisals.