Performance Evaluation for Classified Staff
Date of Current Revision: April 2007
Responsible Officer: Director, Human Resources
- PURPOSE
The purpose of this policy is to ensure a high standard of work performance for every classified employee and provide for a more fulfilling work experience. In addition, this policy is designed to foster communication between supervisors and classified employees to include a clear statement of performance expectations and a workable performance plan. The university’s Performance Management Program is an integral part of the Compensation Management System. Regular, consistent, informal and formal communication between the supervisor and the employee is an integral part of JMU’s Performance Management Program.
- AUTHORITY
Commonwealth Human Resources Policy 1.40 establishes guidelines for the performance evaluation of classified employees. This policy adheres to those guidelines and provides clarification where necessary. - DEFINITIONS
Performance Management:
The set of elements – core responsibilities, measures, professional development, performance expectations, performance evaluation, etc. – that amount to the planning, observation, and communication of employee job standards.
Employee Work Profile:
The document that makes up the job specifications, job description, core responsibilities, measures, professional development plan and performance evaluation for all classified employees.
External Factors:
Circumstances or events beyond an employee's control that may affect his or her performance.
Interim Performance Evaluation:
An evaluation conducted near the mid-point of the performance cycle as well as any informal evaluation prepared on an as-needed basis, distinct from the official Annual Performance Evaluation.
Performance Cycle:
The period from October 25 through October 24 of each 12-month period, during which an employee's performance is evaluated.
Performance Evaluation:
The official determination of the degree to which an employee has met his or her performance expectations, as indicated on the Employee Work Profile.
Probationary Progress Review:
Required formal reviews held at the 3, 6, 9 and 12-month point in the classified employee’s probationary period.
Supervisor:
The employee’s immediate supervisor who is responsible for the employee’s performance evaluation.
Reviewer:
The supervisor of an employee's immediate supervisor, or anyone else designated to review an employee's Employee Work Profile.
Contributor:
The performance rating that recognizes work that is at or above the performance standards by achieving the criteria of the job’s core responsibilities and measures throughout the performance cycle. Employees at this level are achieving the core responsibilities and performance measures – and occasionally going beyond - as outlined by the supervisor.
Extraordinary Contributor:
The performance rating that recognizes work that is characterized by exemplary accomplishments throughout the performance cycle and performance that considerably and consistently surpasses the criteria of the job function. An Extraordinary Contributor is observed regularly doing the unusual and unexpected. To be eligible to receive an overall rating of Extraordinary Contributor, an employee must receive at least one documented Notification of Extraordinary Contribution form during the rating cycle. To be valid for that performance cycle, the Notification of Extraordinary Contribution must be completed and a copy of the Notification must be in Human Resources no later than the first work day of September. In exceptional cases, supervisors may submit such notices after the first work day of September if the appropriate vice president’s signature is included on the form. However, the receipt of this form does not guarantee or necessarily warrant an overall annual rating of Extraordinary Contributor.
Below Contributor:
The rating that recognizes job performance that fails to meet the criteria of the job function. An employee who receives at least one Improvement Needed Notification form may receive an overall rating of Below Contributor on the annual rating. To be valid for that performance cycle, the Improvement Needed Notification form must be completed and a copy of the Notification must be in Human Resources no later than the first work day of September. In exceptional cases, supervisors may submit such notices after the first work day of September if the appropriate vice president’s signature is included on the form. However, the receipt of this form does not guarantee or necessarily warrant an overall annual rating of Below Contributor.
Notice of Extraordinary Contribution:
A form initiated by and completed by the supervisor and signed by the reviewer. It specifically recognizes a particular example of unusual, unexpected and extraordinary performance on the part of the employee.
Notice of Improvement Needed:
A form initiated by and completed by the supervisor and signed by the reviewer. It specifically recognizes a particular example of sub-standard performance and calls for immediate improvement.
Core Responsibility:
An essential element of an employee’s job.
Measure:
A description of what outstanding performance will look like in the execution of a core responsibility.
Probationary Period:
The first 12 months of a new full-time classified employee’s employment period. The university requires a Probationary Period for all full-time classified employees. Employees who are employed or re-employed in classified positions must serve this 12-month Probationary Period beginning on the date of employment. The 12-month period can be extended up to 18 months if necessary. - APPLICABILITY
This policy applies to all classified employees and their supervisors (whether their supervisors are classified employees or faculty members). - POLICY
Employee performance will be a key determinant in how pay will be administered not only in the Performance Management Program but also with the university’s Pay Practices as outlined in the Salary Administration Plan.
Key design features of the university’s Performance Management Program include 3 performance-rating levels, a 12-month probationary period for new employees, an opportunity for employee self-evaluation and an interim evaluation in the middle of the performance cycle or on an as needed basis.
5.1 Reviewer Approval of the Performance Evaluation
The reviewer is responsible for reviewing the performance plan and evaluation before it is presented to the employee and providing the supervisor with appropriate feedback.
If the reviewer does not agree with the performance plan and/or the evaluation, the reviewer should discuss the areas of concern with the supervisor. Reviewers have the authority to change any part of the performance plan and/or evaluation based on their judgment about the employee’s performance or the supervisory approach to the performance evaluation.
- PROCEDURES
6.1 Development of Employee Work Profile/Performance Plan
The Employee Work Profile is the central document to the university’s Performance mManagement Program. In addition, working in conjunction with Human Resources, departments may develop supplemental evaluation tools such as 360 evaluation or team-based objectives and measures
6.2 Information Gathering for the Performance Evaluation
In order for performance evaluations to be effective and reflect the actual performance of the employee, it is imperative to collect and document information on a continuous basis. Supervisors should use a variety of sources when gathering evaluation information.
Sources may include direct observation of employee behaviors and work products by the supervisor and information solicited from peers, customers, subordinates, and other supervisors who interact and work with the employee. Employees should be informed that potential sources might be used in the evaluation process at the beginning of the performance cycle.
Additionally, a valuable source of information for performance evaluations can be obtained from the employee themselves. The university’s Performance Management Program requires employees to actively participate in the performance evaluation process. Therefore, each employee must be afforded the opportunity to provide their supervisor with a self-assessment (employee self-evaluation) of their performance for the rating period. Using the employee’s copy of the Employee Work Profile, the employee completes a self-assessment and submits it to the supervisor. The supervisor must review and consider the self-assessment when completing the employee’s performance evaluation.
6.3 Feedback During the Performance Evaluation Cycle
Supervisors should mentor, coach and reinforce progress toward expected results and outcomes and address areas of concern as they arise. Effective management of performance involves providing continuous formal and/or informal feedback to employees throughout the entire performance cycle. The content of the actual formal annual evaluation should never come as a ‘surprise’ to the employee.
Another source of information that is particularly valuable for management development purposes is employee feedback on their supervisor’s performance - commonly referred to as Upward Feedback. Employees’ feedback may be used from time to time for development purposes to assist supervisors in improving their supervisory and management skills.
6.4 Interim Performance Evaluations
An Interim Performance Evaluation provides an opportunity to give structured feedback to employees on their progress toward meeting performance expectations as well as identify any personal developmental needs during the evaluation cycle. Interim Performance Evaluations may be conducted at any time during the performance cycle.
If the employee’s supervisor leaves during the performance cycle, the supervisor should complete an Interim Evaluation Form at that time. This is helpful to the incoming supervisor to assist in the evaluation of the employee at the end of the performance cycle. The new supervisor should review the performance expectations, make any necessary modifications and incorporate the former supervisor’s assessment in the overall evaluation at the end of the performance cycle.
An Interim Performance Evaluation form should be completed prior to departure if, after six months into the performance cycle, an employee transfers, promotes or demotes into a new position with a different supervisor within an agency or between state agencies. The employee’s new supervisor should consider this information in assessing the employee’s performance at the end of the performance cycle.
6.5 Acknowledgment of Extraordinary Contribution/Substandard Performance
Acknowledging an employee’s performance in a timely manner will either reinforce exceptional behaviors or clarify specifically for the employee that their performance is not acceptable and needs improvement. All performance, whether extraordinary, acceptable, or unacceptable should be acknowledged and recognized periodically during the performance cycle. However, for performance extremes (exemplary or substandard displays of performance) and employee should receive formal, written recognition immediately.
Supervisors are encouraged to formally recognize exemplary performance during the rating cycle by documenting the incident(s) on a Notice of Extraordinary Contribution Form. It is important to differentiate between performance that is expected of the employee and performance that far exceeds supervisory expectations.
Supervisors should immediately identify poor, substandard or unacceptable performance. Substandard performance on any core responsibility or special assignment may result in a Notice of Improvement Needed Form. Issuing this form requires that the supervisor develop an improvement plan, with specific timelines, addressing the area(s) that require immediate attention. Input should be solicited from the employee in developing the improvement plan. A timeline for improvement must be established and must be at least 30 days and no more than 180 days. Based on the timeline established, the supervisor must re-assess the employee based on the performance improvement plan.
In addition to the Performance Management Program, the university’s Standards of Conduct are also available to address employee performance and conduct. The concept of “progressive discipline” can assist supervisors in working with employees in improving their performance. Supervisors would normally address first time minor or marginal performance issues through performance counseling and coaching. However, repeated and more serious performance or conduct issues may result in further disciplinary actions.
6.6 Timelines for Performance Evaluations
The supervisor must have performance evaluations finalized for employees who have completed a full performance cycle and submit those completed forms, along with a completed professional development plan for the coming performance cycle, to Human Resources by the last workday in September. In completing the performance evaluation and arriving at an overall performance rating, the supervisor should take into consideration how successful the employee was in meeting the criteria established by the performance measures and the length of time the employee performed in their job.
The Commonwealth may implement a pay for performance program in which pay increases are tied to the employee’s particular rating. If this is the case, and if an employee was absent from work for a significant portion of the performance year, the percentage increase may be impacted. Employee absences due to compensatory time, overtime leave, workers’ compensation, military, Family and Medical Leave and Short Term Disability should not influence the employee’s overall performance rating. However, the amount of time an employee is out of work may alter the percentage of increase they are eligible to receive as outlined below.
Portion of Performance Cycle Worked Percentage Increase Based on Established Rate Less than full but at least 9 months 100% of rate for Contributor or Extraordinary Contributor At least 6 months but less than 9 months 75% of rate for Contributor At least 3 months but less than 6 months 50% of rate for Contributor Less than 3 months 25% of rate for Contributor
6.7 Conducting the Evaluation (The Evaluation Meeting) The purpose of the evaluation meeting is to provide the supervisor and employee an opportunity to discuss job performance during the previous performance cycle and to plan for future performance objectives. The evaluation meeting requires careful planning and preparation on part of both the supervisor and employee. The supervisor should be prepared to discuss what input/feedback was considered in the employee’s evaluation, the rationale for each of the individual and overall performance ratings as well as future performance expectations and employee development results. In addition, the evaluation meeting is the time for the employee and supervisor to determine at least one professional development goal for the upcoming performance cycle.
If an employee disagrees with the performance evaluation, he or she should be given the opportunity to explain their rationale. The supervisor may change any ratings that are warranted based on the information provided by the employee. If the supervisor decides to change a rating, the reviewer must be consulted before the change is made and must initial the change.
At the end of the evaluation meeting the employee should review the performance evaluation, write any comments, check-off whether they had the opportunity for self-assessment and sign the form indicating that the results have been discussed. If the employee refuses to sign the evaluation, the supervisor should indicate this on the performance evaluation.
6.8 Re-evaluation Corrective Action Plan – Below Contributor Rating
An employee who receives an overall performance rating of Below Contributor must have an action plan developed on the Notification of Improvement Needed form, outlining the minimum performance expectations and be re-evaluated periodically within the time allotted for improvement. The action plan is developed by the supervisor, approved by the reviewer and discussed with the employee within ten workdays of the evaluation meeting.
The supervisor may also access the Standards of Conduct Policy to address employee performance or complete a Counseling Memo to document specific performance incidents or issues. At the conclusion of the re-evaluation period, if the employee’s rating continues to be Below Contributor, the supervisor has several options including demotion, reassignment, reduced duties or termination. It is the supervisor’s responsibility to ensure that effort has been made for improvement and employee development before taking a final action such as demotion or termination.
If the supervisor (working in concert with Human Resources) identifies another position within the time allotted for improvement that is more suitable for the employee’s level of performance, then the employee may be reassigned or demoted. This will conclude the re-evaluation period. If this occurs, then the employee will not be eligible for a performance increase. With a demotion, the employee’s salary must be reduced by at least 5% since this constitutes a Disciplinary or Performance Salary Action.
As an alternative to reassignment or demotion, the supervisor may elect to maintain the employee in their position and eliminate the duties that the employee was unable to successfully fulfill. This reduction in duties must be accompanied by a concurrent salary reduction of at least 5%.
If the supervisor, reviewer and Human Resources determine that termination is the proper action based on the re-evaluation, then the employee will be terminated at the conclusion of the re-evaluation period.
6.9 Performance Evaluation Formula
The General Assembly and the Governor annually determine the statewide average performance increase for the university’s workforce if state funds allow for such an increase. The university is not authorized to supplement the funding provided by the General Assembly and Governor for employee performance increases.
If the General Assembly and Governor implement the pay for performance plan in any given year, employees who receive an overall performance rating of Contributor, must receive between 80-100% of the statewide average increase (when and if there is a statewide increase). The exact figure – which by percentage will be the same for all full-time university employees rated at the Contributor level – will be determined by the vice presidents, working in conjunction with the university Compensation Committee and Human Resources. Employees who are rated as Extraordinary Contributor will receive between 100-250% of the statewide average increase (when and if there is a statewide increase). The exact figure – which by percentage will be the same for all full-time university employees rated at the Extraordinary Contributor level – will be determined by the vice presidents, working in conjunction with the university Compensation Committee and Human Resources.
6.10 Appeals
When an employee disagrees with the evaluation and cannot resolve the disagreement with the supervisor, the employee may appeal to the reviewer for reconsideration. The employee must make this appeal in writing within 10 workdays of the initial evaluation meeting. The reviewer should discuss the appeal with the supervisor and the employee.
After discussion of the appeal, the reviewer should provide the employee with a written response within 5 workdays of receipt. The response should indicate the reviewer’s conclusion of the performance evaluation.
6.11 Probationary Progress Reviews/Documentation
Within the first 30 days of employment, the supervisor must establish or review the updated Employee Work Profile with the employee, with special emphasis on core responsibilities, measures and professional development. Supervisors should use this as an opportunity to discuss the position’s responsibilities, expected job performance and clarify any aspects of the job. This kind of communication between supervisor and employee is a critical element of the performance management system. Changes to core responsibilities and measures within the EWP should be made by the supervisor as soon as possible in the PositionLink System.
The supervisor must evaluate and provide structured feedback periodically to the new employee during the Probationary Period. A Probationary Progress Review form should be completed at approximately 3, 6 and 9 months of the Probationary Period. Human Resources will notify supervisors when these reviews are due. In addition, at any time during the Probationary Period, the Probationary Progress Review Form may be used to document the employee’s progress and to provide feedback to the employee about their performance.
The final probationary review should occur approximately three weeks prior to the completion of the probationary period. Then, the supervisor should notify the employee in writing when the 12-month Probationary Period has been satisfactorily completed. A copy of the Probationary Progress Review form will serve as written notification. If a probationary employee is not notified of satisfactory completion or extension of the Probationary Period at the end of 12 months, it is understood that the employee successfully completed the probationary requirement.
Extension of Probationary Period
The Probationary Period may be extended for up to 6 additional months beyond the initial 12 months for performance reasons or due to periods of leave with or without pay. However, the total Probationary Period may not exceed 18 months, excluding periods of leave with or without pay. Employees must be notified in writing if their probationary period will be extended for performance reasons or due to leave.
The extension of the Probationary Period must be documented on a Probationary Progress Review Form and must be approved by the reviewer. A copy of the completed Probationary Progress Review Form must be given to the employee.
When a probationary employee is placed in a different position during the first 6 months of probation, the remainder of the 12-month probationary requirement must be completed. Additionally, the supervisor may elect to extend the Probationary Period not to exceed a total of 18 months. If an employee moves or is placed in a new position during the last 6 months of his or her probationary period, the employee must complete the remainder of the 12-month probationary requirement. In all cases, the employee must be notified in writing if the Probationary Period is to be extended.
Performance Increases for Probationary Employees
Probationary employees are not eligible for an increase that recognizes the completion of their probationary period. However, the university may provide a pro-rated November 25th performance increase to probationary employees that are hired after the beginning of the annual performance cycle (October 25th through October 24th of the following year) when the state is providing annual increases.
The Virginia Department of Human Resource Management and JMU may alter the following pro-rated schedule due to budgetary actions/requests from the General Assembly or Governor.
Performance increases for probationary employees will be based on the employee’s hire date and overall performance rating of at least “Contributor” on their most recent Probationary Progress Review. Employees rated “Below Contributor” will not be eligible for a performance increase. All performance increases are effective on November 25th.
- Employees hired/rehired between the beginning of the performance cycle (October 25th) and January 24th (1st quarter of the performance year) may be eligible for a November 25th increase of 100% of the established rate for the appropriate rating if these employees are rated Contributor or Extraordinary Contributor.
- Employees hired/rehired between January 25th through April 24th (2nd quarter of the performance year) may be eligible for a November 25th increase of 75% of the established rate. Employees hired/rehired between April 25th through July 24th(3rd quarter of the performance year) may be eligible for a November 25th increase of 50% of the established rate. The highest performance rating an employee can receive if hired during these periods is Contributor.
- Employees hired during the 4th quarter of the performance year (July 25th and October 24th) are not eligible for November 25th increase.
Hire/Rehire Date Probationary Progress Review Pro-rated Performance Increase Options for Percentage Increase
Based on Established RateOctober 25th-January 24th Required Required 100% rate for "Contributor" or "Extraordinary Contributor" January 25th-April 24th Required Optional 0% or 75% of rate for "Contributor" only April 25th-July 24th Required Optional 0% or 50% of rate for "Contributor" only July 25th-October 24th Required Optional 0% or 25% of rate for "Contributor"
6.12 Note Concerning Performance Evaluation and Pay Increases
When the General Assembly mandates performance-based pay increases, poorly executed performance evaluations may harm the university’s ability to reward the highest performing employees. If, for instance, a supervisor is careless in his or her rating of an employee as ‘Extraordinary’, thereby giving an inflated rating, that will serve to de-value – both philosophically and financially – the rating for those employees who truly deserve it. - Employees hired/rehired between the beginning of the performance cycle (October 25th) and January 24th (1st quarter of the performance year) may be eligible for a November 25th increase of 100% of the established rate for the appropriate rating if these employees are rated Contributor or Extraordinary Contributor.
- RESPONSIBILITIES
The president, vice presidents, managers, directors, and particularly supervisors of classified employees are responsible for ensuring consistent application of the pay for performance program and this policy within the university and for communicating the content to classified employees.
All supervisors of classified employees (no matter what their own position or classification) are responsible for completing performance evaluations and submitting the completed forms accurately and on-time in accordance with established policies and procedures. Supervisors are also responsible for ensuring that each classified employee has a clear, accurate, up to date Employee Work Profile.
Vice presidents will monitor individual performance evaluation ratings in their divisions.
Human Resources will notify vice presidents of performance plans and evaluations not submitted by established deadlines.
- SANCTIONS
Employees who violate this policy are subject to discipline commensurate with the severity and/or frequency of the offense and may include termination of employment.
- EXCLUSIONS
Wage employees, A&P Faculty and Instructional Faculty members are not evaluated under this policy. - INTERPRETATION
The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.
Approved by the President: April 2002
Index of Terms
Below Contributor
Contributor
Employee Work Profile
Extraordinary Contributor
Pay Increases
Performance Cycle
Performance Evaluation
Performance Management