Performance Programs and Evaluations
This page contains the Performance Program and Evaluation Procedures for professional employees, based on the Policies of the Board of Trustees and the Memorandum of Understanding between the University and United University Professions (UUP), the bargaining agent for the Professional Services Negotiating Unit.
The basis for requiring periodic evaluations is contained in Article XII of the Policies of the Board of Trustees under Title C, Section 4, Paragraph (a). Specific provisions relating to the University's policy for performance evaluation are contained in a Memorandum of Understanding between the University and UUP. These provisions apply to all professional employees including those on permanent, term, probationary or temporary appointments.
Using the links to the right, you will find the specific procedures for each piece of the performance management process. In most instances, the language of these procedures is taken from the provisions of the Memorandum of Understanding except where it was felt that further clarification was required.
As noted previously, the Policies of the Board of Trustees and the Memorandum of Understanding require that the performance of each professional employee be formally evaluated by the immediate supervisor once each year during the length of the employee's appointment and as changing conditions warrant.
The Memorandum of Understanding states:
The immediate supervisor shall provide the professional employee with a dated copy of the final evaluation report as soon after the completion of the evaluation process as practicable, but not less than forty-five (45) calendar days prior to the notification date for non-renewal of a term appointment for a professional employee serving on such appointment.
To meet these requirements and to separate the evaluation process and the term renewal process as much as possible, the campus has established a schedule whereby each new professional employee is evaluated at six-month intervals during their first 18 months of service and then annually, six-months off-cycle from their anniversary date thereafter. Once the employee attains permanent appointment, the immediate supervisor may establish an evaluation schedule to meet the department's needs as long as the employee is evaluated at least once per year.
UUP Professional Performance Review and Renewal Schedule
Every 6 months (twice)
3 months before end date
First 6 months
6 months before end date
1 year notice
Sample Performance/Evaluation Schedule
|| Program Period
|| Program Due Date
|| Evaluation Period
|| Evaluation Due Date
| Hired 7/1/2012
||1/1/13 - 6/30/13
||1/1/13 - 6/30/13
||7/1/13 - 12/31/13
||7/1/13 - 12/31/13
||1/1/14 - 12/31/14
||1/1/14 - 12/31/14
As the schedule above illustrates, after the initial program period, evaluations and new performance programs are due at the same time.
Establishing the Performance Program
Under the Memorandum of Understanding, the performance of a professional employee must be appraised in relation to a performance program. A standard cover sheet entitled "Professional Performance Program," Form PO-6, has been developed to guide supervisors in preparing this performance program for professional employees. In addition to the directions appearing directly on the form, the immediate supervisor should be guided by the following in preparing a performance program:
- Initial Consultation: The evaluation process should begin with a discussion between the immediate supervisor and the professional employee concerning the following:
- The Nature of the Professional Employee's Duties and Responsibilities: This should consist of a list summarizing the general duties and responsibilities of the position to which the employee is assigned. This list should indicate the highlights of the job, the role of the job within the unit, and the frequency with which certain duties are performed.
- Supervisory Relationships: The employee should understand who assigns and directs the employee's work and who appraises the employee's performance. There should also be an understanding concerning the positions to be supervised and the supervisory relationship.
- Functional Relationships: The program should note other functional and/or lateral relationships both within and outside the department.
- Immediate and Long-Term Objectives: The immediate supervisor should describe his or her expectations as they relate to both regular, routine or on-going goals and problem-solving or innovating goals.
- Criteria for Evaluating Achievement of Objectives: The objectives should be realistic but challenging and they should be specifically defined with the achievement criteria delineated as clearly as possible.
Determination of Objectives and Criteria
Consistent with the professional employee's duties and responsibilities and the employee's role in contributing to the aims of the University, the immediate supervisor, after consultation with the professional employee, shall determine the objectives to be achieved during the evaluation period. Appropriate criteria for evaluating the degree to which objectives are met shall be determined in the same fashion.
As they relate to the employee's particular duties and responsibilities, the following criteria, as listed on Form PO-6, should be among those on which the evaluation is based:
- Effectiveness in Performance--as demonstrated, for example, by success in carrying out assigned duties, efficiency, productivity, and relationship with colleagues.
- Mastery of Specialization--as demonstrated, for example, by degrees, licenses, honors, awards, and reputation in professional field.
- Professional Ability--as demonstrated, for example, by invention or innovation in professional, scientific, administrative or technical areas; i.e., development or refinement in programs, methods, procedures, or apparatus.
- Effectiveness in University Service--as demonstrated, for example, by such things as successful committee work, participation in local campus and University governance, and involvement in campus-related or University-related student or community activities.
- Continuing Growth--as demonstrated, for example, by continuing education, participation in professional organizations, enrollment in training programs, research, improved job performance and increased duties and responsibilities.
The foregoing criteria and examples thereof are presented for descriptive and explantory purposes only and are in no way intended to be all inclusive or to limit the immediate supervisor in the determination of appropriate criteria for evaluation.
Consultation with Secondary Sources
- Secondary sources are agencies, offices, or individuals which will be involved with the performance of the employee and may affect the employee's ability to achieve the stated objectives.
- The immediate supervisor, after consultation with the professional employee, shall identify in the written performance program the secondary sources to be consulted as part of the evaluation process and the relationship between each secondary source and the professional employee. Persons identified as secondary sources in the performance program should be notified of their role in the evaluation process at the time the performance program is prepared in order that they be able to provide their comments on the employee's performance when they are called upon to do so.
Written Performance Program
After a draft statement of the activities to be attained during the program period have been developed in consultation with the employee, the draft program should be discussed with the supervisor of the immediate supervisor. After discussion with both the employee and the supervisor of the immediate supervisor, the results of these discussions should be reduced to writing by the immediate supervisor. Once this is completed, both the employee and the immediate supervisor should sign and date all five copies of the Form PO-6 in the appropriate spaces and attach the form to the final performance program. Before forwarding this material to the next administrative level, the employee should be given a copy of the Form PO-6 together with a copy of the accompanying material.
Administrators in the administrative chain should review the program, comment where appropriate, sign and forward all copies to the next level. When the appropriate vice president has completed the review process, all copies are to be forwarded to the Office of Human Resources Management which will place a copy in the professional employee's official personnel file and distribute copies to the individuals noted on the Form PO-6. Any comments indicated in the performance program by intermediate administrators will be communicated to the employee, the employee's supervisor and the supervisor's supervisor via this process.
If the supervisor and the employee do not concur on the performance program, the employee has the right to attach a statement to the performance program within 10 working days from receipt. In the case of a new employee, the Office of Human Resources Management will forward a Form PO-6 to the department in time to initiate the preparation of a performance program for the new professional employee within one month of appointment. The performance program shall be established within 15 working days from the date of initial consultation between the employee and the immediate supervisor.
Modification of the Performance Program
As circumstances warrant, the immediate supervisor and the professional employee shall meet to review the appropriateness of the elements of the performance program. Modifications of the performance program should be specified in writing in accordance with procedures outlined previously for preparing the original performance program.
Performance Evaluation (Form PO-7A): A standard cover sheet entitled "Professional Performance Evaluation" has been developed to guide supervisors in preparing a formal evaluation and to provide a vehicle for recording the summary rating. In addition to the directions appearing directly on the form, the immediate supervisor should be guided by the following in preparing the formal evaluation:
Purposes of Evaluation:
- Preliminary Evaluation: The immediate supervisor shall prepare a preliminary evaluation report and discuss it with his or her supervisor and the professional employee. The report should include the following elements:
- A substantive, narrative appraisal of the employee's performance, assessing it in relation to the employee's performance program. All evaluations shall include a summary of information from secondary sources identified in the performance program. Commendable performance and/or areas in need of improvement may be identified. The extent to which information from secondary sources has influenced the evaluation report shall be reviewed with the employee during this discussion.
- A summary characterization of the employee's performance as "satisfactory" or "unsatisfactory." The report shall contain recommendations relating to: renewal or non-renewal of the professional employee's appointment when appropriate; discretionary salary increase when appropriate; promotion when appropriate; or other actions affecting the employment status of the professional employee. Requests for implementation of such recommendations should be initiated through the normal campus procedure for the particular action.
- Specific suggestions for improving future performance may also be included if appropriate.
- If an immediate supervisor proposes to evaluate a professional employee as unsatisfactory, he/she will discuss the proposed evaluation with his or her supervisor who will transmit the draft proposed evaluation through supervisory channels to the appropriate vice president for review. After the draft evaluation has been returned through channels from the vice president, it will become the preliminary evaluation and will be discussed with the employee. The basis for the characterization of performance as "unsatisfactory" shall be part of the discussion with the employee.
- New Performance Program (Form PO-6): Prior to concluding the discussion, the immediate supervisor and the professional employee shall discuss a new performance program which shall become a part of a final, written evaluation report and which shall become the basis for the next formal evaluation of the professional employee's performance.
- Final Evaluation: After concluding the discussion with his or her supervisor and the employee concerning the preliminary evaluation, the immediate supervisor shall prepare a final written evaluation which should include the same elements as listed above for the preliminary evaluation. The summary rating should be noted on After concluding the discussion with his or her supervisor and the employee concerning the preliminary evaluation, the immediate supervisor shall prepare a final written evaluation which should include the same elements as listed above for the preliminary evaluation. The summary rating should be noted on Form PO-7A. Once a final, written evaluation has been completed, the following steps should be taken:
- Both the employee and the immediate supervisor should sign all four copies of Both the employee and the immediate supervisor should sign all four copies of Form PO-7A and attach the form to the final performance evaluation.
- The Form PO-6, which also serves as the cover sheet for the new performance program, should also be signed at the same time the , which also serves as the cover sheet for the new performance program, should also be signed at the same time the Form PO-7A is signed.
- Except for the employee copy of the Form PO-6 and one set of attachments, all other copies of the Form PO-6 and all copies of Form PO-7A with the attachments should be forwarded to the next administrative level.
- Intermediate administrative levels should review the evaluation and new performance program, comment where appropriate, sign and forward all copies to the next level.
- When the appropriate vice president has completed the review process, a copy is forwarded to the Office of Human Resources Management which will initiate the appropriate distribution of the evaluation materials.
- Distribution of Final Evaluation: The Office of Human Resources Management will distribute two copies of Form PO-7A and attachments, if any changes or comments are made by intermediate administrative levels, to the immediate supervisor, for distribution of one copy to the professional employee, and a copy to the immediate supervisor's supervisor. A copy of the evaluation will also be placed in the professional employee's official personnel file.
The Memorandum of Understanding identifies the following as purposes of evaluation:
- provide the President with consultation in making a decision to renew or nonrenew a professional employee's appointment;
- provide a base for performance improvement;
- serve as a guide to reevaluate job functions;
- provide the President with consultation in a decision as to promotions and discretionary salary increases;
- provide a basis for career growth.
Appeal of an Unsatisfactory Rating
A professional employee who intends to seek a review of a final evaluation report characterized as "unsatisfactory" must inform, in writing, the immediate supervisor, the Chair of the Committee on Professional Evaluation, and the President within ten (10) working days of receipt of the final evaluation from the employee's immediate supervisor.
Note: The date of receipt of the evaluation is considered the date the professional employee receives the Form PO-7A from the employee's supervisor
The Committee on Professional Evaluation established pursuant to the Memorandum of Understanding shall, upon the timely request of a professional employee, review a final evaluation report characterized as "unsatisfactory." The Committee review shall be addressed to both the procedure and substance of the unsatisfactory evaluation. As part of its review, the Committee at its discretion:
- shall have access to all previous formal evaluations of the performance of the professional employee concerned;
- may request and consider any additional comments by either the immediate supervisor or the professional employee;
- may request other information pertinent to the review from secondary sources;
- may request that the immediate supervisor and/or the appellant meet with the Committee and respond to inquiries;
- shall be free to call upon any other individual whom they believe has information relevant to the evaluation. All individuals shall be encouraged to cooperate with the Committee if so requested.
Following its review, the Committee shall prepare written recommendations within twenty-five (25) working days from the date of the appeal. The Committee shall forward copies of its recommendations to the employee, the immediate supervisor, the evaluator's supervisor and the President. Within ten (10) working days of the issuance of the report, the President shall take such actions as he or she deems appropriate and shall give written notice of such action to the employee, the immediate supervisor and the Committee on Professional Evaluation.