The university’s Performance Management Program is an essential component of the Compensation Management System. Regular, consistent, informal and formal communication between the supervisor and the employee is a critical component of JMU’s Performance Management Program.
The Performance Management Program has been designed to encourage career development that will enhance the university’s workforce and financially reward employees’ performance. The annual performance cycle is October 25th to October 24th of the following year. A performance evaluation is not considered complete until the end of the performance cycle, regardless of when the actual performance evaluation meeting and rating are conducted. This means that if an employee is given a particular rating, but that same employee’s performance declines before the end of the cycle, the supervisor has the authority to revise the evaluation and rating prior to the deadline date. A note will be added to performance evaluation materials indicating that the current rating is contingent upon continued performance at the same level rated for the duration of the cycle. Employee performance will be a key determinant in how compensation will be administered not only in the Performance Management Program but also with the university’s Pay Practices.
Key design features of the university’s Performance Management Program include five performance-rating levels; a 12-month probationary period for new employees; an opportunity for employee self-evaluation; interim evaluations as necessary and development opportunities for supervisors through employee feedback.
Performance Ratings
It is important to emphasize that evaluation of employee’s performance must be done on a continuous basis by providing verbal and/or written feedback throughout the performance cycle. Although the university’s Performance Management Program includes five performance rating levels, the commonwealth of Virginia has specified only three performance categories (Extraordinary Contributor, Contributor and Below Contributor). Therefore, the university’s ‘High Contributor’ and ‘Moderate Contributor’ ratings described below will equate to the commonwealth’s “Contributor” level for conversion and compensation purposes.
- Unsuccessful: This rating recognizes job performance that fails to meet the criteria of the job’s essential functions throughout the performance cycle. To receive an overall Below Contributor rating, an employee must have received at least one documented Notice of Improvement Needed or Written Notice within the performance cycle.
- Partially Successful: This rating recognizes job performance that minimally meets the criteria of the job’s essential functions throughout the performance cycle. While employees at this level are achieving most of the essential functions and measures, the employee is still developing competency, or did not consistently achieve expectations and may require further development.
- Successful: This rating recognizes job performance that fully meets, and occasionally exceeds, the criteria of the job’s essential functions throughout the performance cycle.
- Highly Successful: This rating recognizes job performance that often exceeds the criteria of the job’s essential functions throughout the performance cycle. A High Contributor performs at an elevated level with frequent accomplishments.
- Extraordinary: This rating recognizes exemplary job performance that consistently and considerably exceeds the criteria of the job’s essential functions throughout the performance cycle. An Extraordinary Contributor is frequently observed exceeding supervisory expectations. To receive an overall Extraordinary rating, an employee must have received at least one documented Acknowledgement of Extraordinary Contribution within the performance cycle.
Probationary Period
The university requires a probationary period. When hiring non-classified staff from other state agencies (such as UVA or VT) a probationary period must be completed upon hire.
Probationary Progress Reviews/Documentation
Within the first 30 days of employment, the supervisor must establish or review the updated Position Description with the employee, with special emphasis on core responsibilities and measures. Supervisors should use this as an opportunity to discuss the position’s responsibilities, expected job performance, and clarify any aspects of the job. This initial communication between supervisor and employee is a critical element of the performance management system.
The supervisor must evaluate and provide constructive feedback periodically to the new employee during the Probationary Period. An interim Probationary Progress Review form must be completed at 3, 6 and 9 months of the probationary period. HR will provide reminders to supervisors of probationary employees as these reviews become 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 her/his performance.
The final probationary review should occur approximately three weeks before 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 the 12-month probationary period occurs during the annual evaluation period (July-September), the supervisor can choose to use a regular performance evaluation. The Probationary Progress Review form should accompany the evaluation indicating completion of the probationary period. 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 period requirement.
Extension of Probationary Period
The normal probationary period is 12 months from the date of hire. The probationary period may be extended for up to six 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 of an extension and prior to the expiration of the normal probationary period using the Probationary Progress Review form with the reviewer’s approval and signature. A copy of the completed Probationary Progress Review form must be given to the employee, and the original sent to the HR consultant.
Probationary periods must be extended when probationary employees are on any leave with or without pay for more than 14 consecutive calendar days.
Leaves requiring extension of the probationary period may include:
- Family Medical Leave
- Leave without pay-layoff
- Military leave with or without pay
- VSDP (Virginia Sickness and Disability Program) short-term disability (STD) leave for more than14 consecutive calendar days. Also included are periods of short-term disability where the employee is working in an “active employment” status with restrictions/modifications.
- Workers’ Compensation
When a probationary employee moves to a different position during the first six months of the probationary period, the remainder of the 12-month requirement must be completed. (However, the probationary period also may be extended for performance or leave reasons as described above.) If an employee moves to a new position during the last six months of the probationary period, the employee's probationary period may remain as the original 12 months, or may be extended so that the new supervisor has the benefit of the full 12-month probationary period. However, the total time served in probationary status may not exceed 18 months (excluding any periods of leave that exceed 14 consecutive calendar days as described above).
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 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).
DHRM 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.
The following chart depicts the range of hire dates, evaluation and pro-rated increase requirements/options and the percentage increase options for probationary employees that have not completed an entire performance cycle.
|
Hire/Rehire Date |
Probationary Progress Reivew |
Pro-rated Performance Increase |
Options for Percentage Increase Based on Established Rate |
|---|---|---|---|
|
October 25 - January 24 |
Required |
Required |
100% rate for Contributor |
|
January 25 - April 24 |
Required |
Optional |
0% or 75% of rate for Contributor |
|
April 25 - July 24 |
Required |
Optional |
0% or 50% of rate for Contributor |
|
July 25 - October 24 |
Required |
Optional |
0% or 25% of rate for Contributor |
Performance Management Process
The position description is the central document to the university’s performance management plan. It is each supervisor’s responsibility to ensure that their employees always have an accurate, up- to- date position description.
Working in conjunction with HR, department leaders/supervisors may develop supplemental evaluation tools such as 360 evaluation or team-based objectives and measures.
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 employees themselves. Using the employee’s copy of the job description, the employee can complete a self-assessment and submit it to the supervisor. The supervisor must review and consider the self-assessment when completing the employee’s performance evaluation.
The performance evaluation contains a section for development of professional goals for the upcoming performance cycle as well as a section for evaluation and assessment of the previous performance year-end goals. Professional development goals should ultimately support both the organization’s objectives and the employee’s growth. Supervisors are encouraged to work with their employees to determine goal accomplishments for the current year being evaluated, professional development goals for the upcoming year, and action steps to accomplish the goals.
Another source of information that is particularly valuable for a management development purpose is employee feedback on their supervisor’s performance commonly referred to as upward feedback. Initially, employees’ feedback will be used for development purposes in assisting supervisors with improving their supervisory and leadership skills. Safeguards should be established to facilitate anonymity of the employees providing feedback.
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.
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. An interim performance evaluation may be conducted at any time during the performance cycle at the discretion of the supervisor, reviewer or division/unit head.
If the employee’s supervisor leaves during the performance cycle, the supervisor should complete an Interim Evaluation form prior to their separation. This is helpful to the incoming supervisor in assisting to evaluate 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 should be completed if, after six months into the performance cycle, an employee transitions (transfers, promotes or demotes) into a new position with a different supervisor within an agency or between state agencies. Before the employee’s departure from the position, the supervisor should complete an interim performance evaluation. The employee’s new supervisor should consider this information in assessing the employee’s performance at the end of the performance cycle.
Acknowledging an employee’s performance in a timely manner will either reinforce exceptional behaviors or clarify specifically for the employee that his/her performance is substandard and needs immediate improvement. All performance, whether extraordinary, acceptable, or unacceptable should be acknowledged and addressed periodically throughout the performance cycle. However, for performance extremes (exemplary or substandard) an 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, special assignment or overriding departmental value 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 improvement. Input should be requested from the employee in developing the improvement plan. A timeline for improvement, a minimum of 30 days and no more than 180 days, must be established. Throughout the length of the improvement plan, the supervisor must continuously assess the employee’s performance and provide periodic timely feedback.
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 and corrective actions can assist supervisors in working with employees in improving their performance/conduct. Supervisors would normally address first time minor or marginal performance/conduct issues through performance counseling and coaching. However, repeated and more serious performance/conduct issues may result in further disciplinary actions up to and including termination.
The supervisor must have annual performance evaluations finalized for non-probationary employees that have completed a full performance cycle and submit completed forms to HR 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 reviewer’s role is essential in the performance evaluation process. 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.
The purpose of the evaluation meeting is to provide the supervisor and employee a formal opportunity to discuss job performance during the previous performance cycle and to plan for future performance goals/objectives. The evaluation meeting requires careful planning and preparation on the 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; future performance expectations and employee development results.
If an employee disagrees with the performance evaluation, he/she should be given an opportunity to explain his/her rationale. The supervisor may change any ratings 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. The reviewer should then initial the change.
At the end of the evaluation meeting, the employee should review the performance evaluation, write any comments, check 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.
An employee who receives an overall performance rating of Unsuccessful must have an action plan developed outlining the minimum performance expectations and be re-evaluated in three months. The action plan is developed by the supervisor, approved by the reviewer and discussed with the employee within 10 workdays of the evaluation meeting. The plan should incorporate periodic timely feedback to the employee throughout the action plan.
The supervisor may also access the Standards of Conduct Policy to address employee performance/conduct or Notice of Improvement Needed form to document specific performance incidents or issues. At the conclusion of the re-evaluation period, if the employee’s performance/conduct continues at the Unsuccessful level, the supervisor has several options including demotion, reassignment, reduced duties or termination. It is the supervisor’s responsibility to ensure that every opportunity for improvement has been provided to the employee before taking a final action such as demotion or termination.
An employee, whose performance during the re-evaluation period is documented as not improving, may be demoted within the three month period to a position in a lower Pay Band or reassigned to another position in the same Pay Band that has lower level duties if the agency identifies another position that is more suitable for the employee’s performance level. A demotion or reassignment to another position will end 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 retain the employee in their current position and eliminate (or reassign) the duties that the employee was unable to successfully perform. This reduction in duties must be accompanied by a performance-related salary decrease of at least 5%.
If the supervisor, reviewer and the HR consultant determine that termination is the most appropriate action based on the re-evaluation, then the employee will be terminated at the end of the three-month re-evaluation period.
