Performance Management

Section 1: Employee Information

Section 2A: List the top five to seven Tasks (job duties) and Standards (supervisor expectations) that you will be using to rate performance during the program period.

Here is an example:

• Task: Front Desk Reception Coverage  
• Standard: Greet visitors, answer telephones, respond to standard inquiries concerning program activities and procedures in a courteous, accurate, efficient and professional manner.  Refer more technical questions to appropriate staff.  

Meet with the employee to review the Tasks and Standards. Ask them to initial and date the document to confirm receipt.

As their supervisor, you can date and sign under the employee’s initials.

Keep the original in your desk file and send a copy to [email protected].

Section 3: Six Month Recertification (optional but strongly recommended)  

This is not a formal rating and therefore the employee cannot appeal it.

If revisions are made to the program, please contact HR at [email protected] before meeting with the employee.  

Meet with the employee to review and sign the document. Both you and the employee should sign.

Please provide the employee with a copy and keep the original in your desk file.

Section 2B: Supervisor summarizes employee performance (reference Section 2A).

Section 4: Supervisor Comments

Section 5: Performance Rating (Satisfactory or Unsatisfactory)  

If rating is deemed Unsatisfactory, please contact Employee Relations ([email protected]) before meeting with the employee.

Section 6: Review and Approval

You must obtain approval from the department head, dean or their designee before meeting with the employee.

Meet with the employee to discuss performance and rating. Provide the employee with a copy of the evaluation.

Section 7: Employee may add comments, if they choose (not required)

Ask the employee to sign the evaluation. This strictly confirms the employee received the evaluation but does not affirm agreement with the rating.

If the employee refuses to sign, please note that on the form and submit the original to HR (University Administration Building, Suite 300).

At the same time, you should also provide the employee with a new Annual Performance Program covering the upcoming year (start again at Day 1). 

• 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 and signed by the supervisor and employee as an acknowledgement of expectations. This is accomplished by submitting the performance program on the appropriate performance program 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. 

While preparing a performance program, you should meet with an employee for an initial consultation to discuss the following:

• Employee's Duties and Responsibilities: Develop a list summarizing the general duties and responsibilities of the employee’s position. The list should indicate the job’s highlights and role within the unit, as well as the frequency with which certain duties are performed. 
• Supervisory Relationships: The employee should understand who assigns and directs their work and who appraises their performance. They should also understand the positions they are expected to supervise and the supervisory relationship. 
• Functional Relationships: The program should note other functional and/or lateral relationships both within and outside the department. 
• Immediate & Long-Term Objectives: The immediate supervisor should describe their expectations for both regular, routine or ongoing objectives and problem-solving or innovating objectives. 
• Evaluation Criteria: The objectives should be realistic yet challenging and be accompanied by clearly defined achievement criteria.

A final performance program should be established within 15 working days from the date of initial consultation between you and the employee. 

After consulting with the employee, you should determine the objectives to be achieved during the evaluation period. The objectives and criteria should be consistent with the employee’s duties and responsibilities and their role in contributing to the University’s goals.

You should use the same methods to determine the appropriate criteria for evaluating the degree to which objectives have been met.

Six suggested evaluative criteria are listed on the performance program forms.

Note: These suggestions are presented for descriptive, explanatory purposes only and are not intended to be all inclusive or to limit supervisors in determining appropriate criteria. 

Secondary sources are agencies, offices or individuals involved with the employee’s performance because they may affect the employee's ability to achieve the stated objectives.

After consulting with the employee, you should identify the secondary sources you’ll consult as part of the evaluation process and the relationship between each secondary source and the employee in the written performance program.

You should notify individuals identified as secondary sources of their role in the evaluation process when you prepare the performance program so they will be ready to provide comments on the employee’s performance when asked.

For guidance on establishing secondary sources for an employee who has changed roles or supervisors during the performance period, please refer to the Review Schedule section below.

Once you have prepared a draft performance program, you should discuss it with the employee. You may make modifications based on their input.

If you and the employee do not agree on the performance program language, the employee has the right to attach a statement to the performance program within 10 working days from receipt.

The reviewing supervisor may consult with their own chain of supervision for general feedback, as necessary. However, the employee will only be evaluated on the performance program established by their supervisor.

Once you establish the final performance program, both you and the employee should sign and date the appropriate performance program form.

Please give the employee a copy of the completed form and any attachments, retain and file a copy for yourself, and submit the finalized form to the HR Performance Inbox at [email protected]

You and the employee should meet to review the appropriateness of the performance programs’ elements as circumstances warrant.

Modifications of a performance program should be specified in writing, according to the same procedures outlined for new performance programs. 

• Formal evaluations cannot be placed into a personnel file for any period 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.
• The annual evaluation for a performance period must include an overall summary rating of Satisfactory or Unsatisfactory. The final rating must be indicated on the appropriate Performance Evaluation Form for the evaluation to be valid. 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 appropriate performance evaluation 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.
• Performance evaluations serve various purposes, including:
  • Providing the University President with consultation in deciding on appointment renewals and non-renewals, promotions and discretionary salary increases
  • Providing a base for performance improvement
  • Serving as a guide to reevaluate job functions
  • Providing a basis for career growth 

You should prepare a preliminary evaluation report and discuss it with your supervisor and the 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 should 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. You should discuss the extent to which secondary sources influenced the report when you meet with the employee.
• A summary characterization of the employee's performance as Satisfactory or Unsatisfactory.  
• Recommendations, where appropriate, relating to the following actions: renewal or non-renewal of the employee's appointment, discretionary salary increase, promotion and/or other actions affecting the employment status of the professional employee. Note: Requests to implement such recommendations should follow normal campus procedures for the action.
• Specific suggestions for improving future performance, if appropriate.  

If you are considering assigning an Unsatisfactory summary rating, you must consult Employee Relations ([email protected]) before meeting with the employee. 

Please prepare all necessary documentation for Employee Relations' review, including the basis for characterizing the employee's performance as Unsatisfactory. 

When you meet with the employee to review and discuss their performance evaluation, you should also discuss a new performance program.  

The new performance program should be included as an attachment to the final evaluation report and will become the basis for the employee’s next formal evaluation.

Once you have met with your own supervisor and the employee to discuss the preliminary evaluation, you should prepare the final evaluation report. The final evaluation report should include the same elements listed above for preliminary evaluations.  

Please note the summary rating on the appropriate performance evaluation form.

You and the employee should each sign the completed form.  

Finally, please provide the employee with a copy of the completed final evaluation report and any attachments, retain and file a copy for yourself, and submit a copy to the HR Performance Inbox at [email protected] 

Note: Intermediate administrative level reviews may occur, depending on division practice. Human Resources will only send copies of a completed and its attachments to the employee if any changes or comments are made during the intermediate administrative level reviews.

To request a review of a final evaluation report with an Unsatisfactory rating, an employee must inform their immediate supervisor, the Committee on Professional Evaluation chair and the University President in writing, within 10 working days of receipt, that they are seeking a review.

The receipt date is the day the employee received a Performance Evaluation Form with the Unsatisfactory rating from their immediate supervisor.

Upon an employee’s timely request, the Committee on Professional Evaluation will review the procedure and substance of the final evaluation report.

As part of its review, the Committee:

• Will have access to all the concerned employee’s previous formal evaluations
• May request and consider any additional comments by the immediate supervisor and/or the concerned employee
• May request other information pertinent to the review from secondary sources
• May request the immediate supervisor and/or the concerned employee meet with the Committee and respond to inquiries
• Will be free to call upon any other individual whom the Committee believes have information relevant to the evaluation

All individuals are encouraged to cooperate with the Committee, if so requested.

Following its review, the Committee will prepare written recommendations within 25 working days from the date of appeal.  

The Committee’s recommendations will be shared with the employee, their immediate supervisor, the evaluator’s supervisor and the University President.

Within 10 working days of the Committee’s report being issued, the President will take the actions they deem appropriate and give written notice of such action to the employee, their immediate supervisor and the Committee.