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.
For CLASSIFIED Staff Performance Management (supervisor instructions), click here
For CLASSIFIED Service- Performance Management General Overview, click here https://youtu.be/tCKy8B4TPYI
PROFESSIONAL STAFF (UUP Professionals and Management Confidential employees)
Performance Program Quick Tips:
- All non-temporary employees should have a performance program on file within 30 days of hire and/or the expiration of their prior program.
- Performance Programs cannot be established retroactively. If you get behind, the effective date of the new program must be current and going forward.
- All programs must be for a specific period of time and signed by the supervisor and employee as an acknowledgement of expectations. This is accomplished by submitted the performance program with a completed PO-06 form.
- A new performance program must be submitted every year, even if expectations have not changed significantly.
- Significant changes to duties/responsibilities during the review period should be reflected in a revised performance program if they are to be evaluated.
- The general performance year for UAlbany is January through December. Partial year programs are acceptable for new employees or when a new program needs to be established to get back on track.
Evaluation Quick Tips:
- Formal evaluations cannot be placed into a personnel file for any period of time that a written performance program was not previously established. Informal evaluations can and should occur throughout the year (or for periods without a program) but should be maintained as meeting notes. Establish a performance program immediately if there isn’t one (see above).
- The annual evaluation for a performance period must include an overall summary rating of Satisfactory or Unsatisfactory. Ratings of individual tasks may be included as well, but not in place of an overall summary rating. Annual evaluations must be signed by the supervisor and the employee as an acknowledgment, not necessarily an agreement. This is accomplished by submitting the performance evaluation with a completed PO-7A form.
- Employees can submit an attachment to the performance evaluation if suggested changes discussed during the evaluation review are not incorporated into the final evaluation.
- Employees can appeal an unsatisfactory summary rating.
New Employees or Existing Employees Without a Current Performance Program in Place
- Start a new program that begins with their hire date, if within 30 days of start, or current date (programs cannot start retroactively more than 30 days) and the end date will be December 31, 20XX.
- If the new program begins between Jan 1 and Sept 30 the end date will be Dec 31 of the current year
- If the new program begins between Oct 1 and Dec 31, the end date will be Dec 31 of the next year
- Mid-year evaluations are strongly encouraged for new employees during their first two years of employment
- Evaluations and the next year’s program should be completed within 30 days of a performance program ending.
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.
Employee Transfers or Lateral moves
All employees must be evaluated on an annual basis. Therefore employees who transfer or have a lateral move to another position within the department or within the University must still receive an annual performance evaluation. It would be best practice for an employee to receive an evaluation for the portion of the performance period completed prior to leaving their current position. The employee’s new supervisor needs to complete a new performance program for the balance of the program year within 30 days. As outlined in the “Review Schedule” section, the beginning and end dates of a performance program will depend on the timing of the employee’s new position.
In the event an evaluation did not take place for the initial portion of the employee’s performance period in their prior position, the then current supervisor may use the prior supervisor as a secondary source and ask for evaluative comments about the employee’s performance for that portion of the performance period to be incorporated in the employee’s final evaluation. The prior supervisor should be given the option to keep their evaluative input confidential and their election must be recorded.
Ultimately, the supervisor of record at the end of the performance period is responsible for submitting the employee’s annual evaluation to update the record. The current supervisor should rate the employee’s performance based on the performance program established for their new position, in conjunction with evaluative material from secondary sources, if used. At minimum, if the period of time in the new position is less than 60 days, and no secondary sources are utilized for the prior portion of the performance period, the supervisor can submit a statement stating that based on the limited time to evaluate the employee their performance is deemed to be satisfactory.
Supervisory changes - When an employee stays in the same position but has a change in supervisor
In the event there is a change in supervision, when possible, the supervisor leaving should provide an evaluation of all direct reports for the performance period to date. The new supervisor should review the current performance program of all director reports. If the new supervisor makes significant changes to the job duties and responsibilities, a revised performance program should be established and submitted for the remainder of the performance period. Additionally, new secondary sources may be established at this time for the new supervisor to collect evaluative input from.
Ultimately, the supervisor of record at the end of the performance period is responsible for submitting the employee’s annual evaluation to update the record. The current supervisor should rate the employee’s performance based on the performance program established for their new position, in conjunction with any evaluative material from secondary sources, if used. At minimum, if the period of time in the new position is less than 60 days, and no secondary sources are utilized for the prior portion of the performance period, the supervisor can submit a statement stating that based on the limited time to evaluate the employee their performance is deemed to be satisfactory.
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.
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.
- When employees change jobs during the performance period, or otherwise have supervisor changes, secondary sources may be established at the time of change to provide evaluateive input for the performance period prior to the change.
Written Performance Program
A draft program establishing the expectations for the program period should be discussed with the employee. Modifications may be made based on input from the employee. If the supervisor and the employee do not concur on the performance program language, the employee has the right to attach a statement to the performance program within 10 working days from receipt to document, however the employee will only be evaluated on the performance program established by the supervisor. The supervisor’s supervisor may be consulted depending on unit norms and practices. Once he final performance program is established by the supervisor, both the employee and the immediate supervisor should sign and date the Form PO-6 and attach the form to the final performance program. The employee should be given a copy of the Form PO-6 together with a copy of the accompanying material. Originals should be forwarded to the Office of Human Resources Management.
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 an initial performance program for the new professional employee. 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 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 the Form PO-7A and attach the form to the final performance evaluation.
- Both the employee and the immediate supervisor should sign the form PO-6 and attach the form to the performance program for the next performance period.
- After providing copies to the employee, forward originals to the Office of Human Resources Management.
- Intermediate administrative level reviews may occur depending on division practice.
- Distribution of Final Evaluation: The Office of Human Resources Management will only distribute copies of Form PO-7A and attachments to the employee if any changes or comments are made by intermediate administrative levels.
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.