A-to-Z Index

Policy #1305
Performance Evaluation for Classified Staff

Date of Current Revision: September 2010
Responsible Office: Director of Human Resources

1. 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.

2. AUTHORITY

Virginia Department of Human Resource Management (DHRM) Policy 1.40 Performance Planning and Evaluation establishes guidelines for the performance evaluation of classified employees. This policy adheres to those guidelines and provides clarification as necessary.

3. DEFINITIONS

360-Degree Feedback
Performance data comprised of feedback from the employee, his/her peers, superiors, subordinates, and internal and external customers.

Below Contributor
Results or work that fails to meet performance measures. To receive this overall rating, an employee must have received one documented Notice of Improvement Needed/Substandard Performance form or a Written Notice (Standards of Conduct Policy 1.60) that was issued for any reason in the current performance cycle.

Contributor
Results or work that is characterized by meeting job functions and fully meeting performance standards

Core Responsibility
Job responsibilities that are primary and essential to the type of work performed by an employee and normally remain relatively consistent during the performance cycle.

Employee Work Profile (EWP)
The electronic document (available in PositionLink) that includes a brief work description, performance plan and core responsibilities/measures, and individual professional development plan.

External Factors
Circumstances or events beyond an employee's control that may affect his or her performance.

Extraordinary Contributor
Results or work that is characterized by exemplary accomplishments throughout the rating period; performance that is considerably and consistently well above performance measures. Employees must have received at least one documented Notification of Extraordinary Contribution (form) to receive an overall Extraordinary Contributor rating.

Improvement Needed Notification
A form initiated by and completed by the supervisor during the performance cycle to document substandard performance and the need for immediate improvement.

Individual Professional Development Plan (IPDP)
An individualized document used to record an employee’s current training needs or desires and short and long term career goals. It is a written plan for developing knowledge, skills and competencies that support both the organization’s objectives and the employee’s needs and goals.

Interim Performance Evaluation
A performance evaluation completed during the performance cycle to document and assess the employee’s progress toward achieving the performance plan; or, this may be used as an optional evaluation conducted near the mid-point of the performance cycle or on an as-needed basis, distinct from the official Annual Performance Evaluation.

Measure
A qualitative and/or quantitative standard or measure against which each core responsibility, special assignment, and overriding departmental value is assessed. Measures describe major duties, assignments, objectives and behaviors in terms of complexity, accountability and outcomes, and should be specific, measurable, attainable and relevant.

Notification of Extraordinary Contribution
A form completed by the supervisor during the performance cycle to recognize an employee who has made an unusually exceptional, unexpected and/or extraordinary contribution to the university.

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 the established performance expectations and measures, as indicated on the Employee Work Profile.

Performance Management
The set of elements – core responsibilities, measures, professional development, performance expectations, performance evaluation, etc. – that contribute to the planning, observation and communication of employee job standards.

Probationary Period
The introductory period of employment that allows the employee and university determine if the employee is suited for the job. The typical probationary period is 12 months; however, it can be extended for up to 6 additional months, not to exceed 18 months, for performance reasons, if an employee is absent for an extended period of time, or if an employee moves to or is placed in a new position during the last 6 months of his/her probationary period.

Probationary Progress Review
Required formal reviews held at the 3, 6, 9 and 12-month point in the classified employee’s probationary period.

Reviewer
The supervisor of an employee's immediate supervisor or another person designated to review an employee's Employee Work Profile.

Supervisor
The employee’s immediate supervisor who is responsible for the employee’s performance evaluation.

4. APPLICABILITY

This policy applies to all classified employees and supervisors of classified employees.

5. POLICY

Employee performance is a key component of 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 optional 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 knowledge and/or judgment about the employee’s performance or the supervisor’s approach to the performance evaluation.

6. PROCEDURES

6.1 Development of Employee Work Profile/Performance Plan

The Employee Work Profile (EWP) is the central document to the university’s Performance Management Program. In addition, working in conjunction with an HR Service Center Representative, departments may develop supplemental evaluation tools such as a 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 will 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 employees themselves. The university’s Performance Management Program requires employees actively to participate in the performance evaluation process. Each employee must be given the opportunity to provide their supervisor with a self-assessment (employee self-evaluation) of their performance for the evaluation period. Using the employee’s copy of the EWP, 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 occur. 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 or 360-Degree 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

Interim Performance Evaluations provide 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 an employee’s supervisor changes during the performance cycle, the outgoing supervisor should complete an Interim Performance 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 that the employee’s performance is unacceptable and needs improvement. All performance, whether extraordinary, acceptable or unacceptable should be acknowledged and recognized throughout the performance cycle. However, for performance extremes (exemplary or substandard performance) an employee should receive formal, written recognition immediately.

Supervisors are encouraged formally to recognize exemplary performance during the rating cycle by documenting the incident(s) on a Notification of Extraordinary Contribution form. It is important to differentiate between performance that is expected of the employee and performance that exceeds supervisory expectations.

Supervisors should immediately identify poor, substandard and/or unacceptable performance. Substandard performance on any core responsibility or special assignment may result in a Notification of Improvement Needed. Issuing this action requires the supervisor to develop an improvement plan, with specific timelines, addressing the area(s) that require immediate improvement. 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, the supervisor must re-assess the employee’s performance against the performance improvement plan.

In addition to the Performance Management Program, the university’s Standards of Conduct also addresses an employee’s performance and conduct. The concept of progressive discipline assists supervisors in working with employees to improve their performance. Supervisors would normally address first time minor or marginal performance issues through performance counseling and coaching. However, repeated and/or more serious performance or conduct issues may result in more severe disciplinary action(s).

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 (IPDP) 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, Military Leave, Workers Compensation, 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 the appropriate box if they were not given 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 Performance Re-evaluation Plan – Overall Below Contributor Rating

Within 10 workdays of the evaluation meeting during which the employee received the annual rating, the employee's supervisor must develop a performance re-evaluation plan that sets forth performance measures for the following 3 months, and have it approved by the reviewer.

The supervisor may also access JMU Policy 1317 Standards of Conduct 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 an HR Service Center Representative) 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 successfully to fulfill. This reduction in duties must be accompanied by a concurrent salary reduction of at least 5%.

If the supervisor, reviewer and HR Service Center Representative determine that termination from employment 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 employee’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 PositionLink

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. The HR Service Center 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. 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 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 periods of 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 moves or is placed in a different position during the first 6 months of probation, the remainder of the 12-month probationary requirement must be completed. 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, and the supervisor may elect to extend the Probationary Period not to exceed a total of 18 months. 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 25 performance increase to probationary employees that are hired after the beginning of the annual performance cycle (October 25 through October 24 of the following year) when the state is providing annual increases. Refer to DHRM Policy 1.40 Performance Planning and Evaluation and DHRM Policy 1.45 Probationary Period. The Virginia Department of Human Resource Management and JMU may alter a 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 25.

6.12 Note Concerning Performance Evaluations 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.

7. RESPONSIBILITIES

The president, senior vice presidents, deans, associate/assistant vice presidents, directors, managers 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 EWP.

Senior vice presidents will monitor individual performance evaluation ratings in their divisions.

Human Resources will notify senior vice presidents of evaluations and individual professional development plans not submitted by established deadlines when necessary to support compliance.

8. 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.

9. EXCLUSIONS

Wage employees, A&P Faculty and Instructional Faculty members are not evaluated under this policy.

10. INTERPRETATION

The authority to interpret this policy rests with the president, and is generally delegated to the Director of Human Resources.

Previous Version: April 2007
Approved by the President: April 2002

Index of Terms

Below Contributor
Contributor
Employee Work Profile
Extraordinary Contributor
Individual Professional Development Plan
Pay Increases
Performance Cycle
Performance Evaluation
Performance Management