SPP 309–01: Classified Employee Performance Evaluation

To define the objectives, scope, frequency, documentation, and appeal process for classified employee performance evaluation

Arizona Board of Regents Policy Manual - 6–404

University policy

Regular classified employees

On a regularly scheduled basis, the immediate supervisor must:

1. prepare a formal, written assessment of the classified employee’s job performance
2. determine an overall performance evaluation rating
3. discuss the evaluation(s) with the employee and provide him or her with a signed copy

   and

4. submit a copy to Human Resources.

The immediate supervisor should plan for a performance evaluation by communicating at the beginning of the performance cycle specific duties and responsibilities and related specific performance standards and goals. Performance standards and goals should be tied as closely as possible to both departmental objectives and individual job descriptions. In addition to departmental and individual objectives, every ASU employee who receives an Employee Performance Evaluation must be reviewed on their understanding of and adherence to the internal financial controls and responsibilities related to their position.

The supervisor may involve the employee when developing standards. It is recommended that documentation on performance evaluations be based on measurable and observable work behaviors.

The objectives of the classified employee performance evaluations are to:

1. assess actual performance and accomplishments against the duties, responsibilities, and standards of the employee’s position, including achievement of affirmative action goals, as appropriate, and meeting supervisory responsibilities, if any
2. recognize the employee’s special talents, capabilities, and achievements
3. promote the effectiveness of classified employees through articulation of the types of contributions they might make to the university community that will lead to greater professional growth, recognition, and rewards
4. encourage communication between the employee and the supervisor, identify employee potential and interests, and assist employees in professional growth

and

5. provide a written record of employee performance to support future personnel decisions (e.g., promotion, performance increase, reassignment, transfer, reemployment, or disciplinary action).

A classified employee performance evaluation must be used as a constructive tool to identify and review performance of specific job responsibilities and also must be limited to measurable, observable work outcomes and work behaviors.

For Probationary Employees

Supervisors should evaluate probationary employees in writing twice during the probationary period (at the end of the third and fifth months of employment).

Failure to evaluate an employee during the probationary period will not inhibit the administrative official’s authority to terminate a probationary employee.

For Regular Employees

Supervisors must evaluate regular employees in writing at least once a year on a regularly scheduled basis. Optional reviews may be done at any time at the supervisor’s discretion.

Preparation

At the start of employment and at the beginning of a performance cycle, a supervisor should complete a thorough review of the position duties and establish written performance standards.

For Personnel Records

Documentation of the performance evaluation for the employee’s permanent Human Resources (HR) file must include, but is not limited to:

1. the supervisor’s written assessment of the employee’s actual performance and accomplishments
2. the supervisor’s determination of an overall performance evaluation rating stated as:

   Level 1—Responsibilities of position not fulfilled
   Level 2—Responsibilities of position fulfilled
   Level 3—Responsibilities of position exceeded

3. a copy of the employee’s optional self-evaluation, if completed

and

4. any written comments the employee wishes to add.

One copy of the performance evaluation documents should be retained in the department file, one copy should be given to the employee, and one copy should be sent to HR.

A nonprobationary employee who disagrees with his or her performance evaluation may submit a formal request for a thorough review by the second-level supervisor (i.e., the immediate supervisor’s supervisor) within three working days after the performance evaluation interview.

The second-level supervisor will schedule a meeting to discuss the evaluation with the employee within five working days of receiving the request for review and conduct the evaluation appeal interview with the employee.

After review of the evaluation documents, the second-level supervisor will notify the employee and the first-level supervisor of the appeal decision. The second-level supervisor may modify the rating and comments if deemed appropriate.

If not satisfied with that review, the employee may submit a formal request for another review by the third-level supervisor (i.e., the second-level supervisor’s supervisor) within three working days after receiving the second-level supervisor’s appeal decision.

The third-level supervisor will schedule a meeting to discuss the evaluation with the employee within five working days of receiving the request for review, conduct the evaluation appeal interview with the employee, and modify the evaluation ratings and/or comments if considered appropriate. This decision is communicated to the first- and second-level supervisors and the employee.

The third-level supervisor’s decision is final unless unlawful discrimination is alleged to have influenced the evaluation.

If unlawful discrimination is alleged, the employee may file a complaint with the Office of Diversity, Human Resources, at any time.

For more information on resolving discrimination complaints, see the Academic Affairs Policies and Procedures Manual—ACD 403, “Procedures for Resolving Complaints of Unlawful Discrimination.”

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