State Performance Planning and Evaluation Policy

APPLICATION

Full-time and part-time employees.

PURPOSE

Provides for the establishment and communication of employees' performance plans and procedures for evaluating employees' performance.

DEFINITIONS

Acknowledgement of Extraordinary Contribution Form
A form completed by the immediate supervisor during the performance cycle to recognize an employee who has made an extraordinary contribution to the University of Virginia.

Below Contributor Rating
Results or work that fails to meet performance measures. To receive this rating, an employee must have received at least one documented Notice of Improvement Needed/Substandard Performance form within the performance cycle.

Contributor Rating
Results or work that is characterized by meeting job functions and fully meeting performance measures.

Core Responsibilities
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 Form (EWP)
The form used to complete the annual performance evaluation that includes a brief work description, performance plan, core responsibilities, performance measures, and employee development goals.

Extraordinary Contributor Rating
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 Acknowledgement of Extraordinary Contribution form to receive an Extraordinary Contributor rating.

Interim Performance Evaluation
A performance evaluation completed during the performance cycle to document and assess an employee's progress toward achieving the performance plan. Interim Performance Evaluations are not considered "official" documents and are retained in the supervisor's confidential file for use in constructing the annual performance evaluation

Notice of Improvement Needed/Substandard Performance Form
A form completed by the immediate supervisor during the performance cycle to document substandard performance and the need to improve performance.

Optional Department/Unit Objectives/Core Values/Core Competencies
At the Department's discretion, additional performance evaluation factors that often represent the behaviors, objectives and competencies that the organization values when employees are performing their work may be used to evaluate employees.

Performance Evaluation Cycle
The annual cycle during which an employee's supervisor documents performance, usually beginning October 25 th of each year.

Performance Increase
A monetary increase based on results of the annual performance evaluation and guidelines.

Performance Increase Effective Date
November 25 of each year.

Performance Measures
Qualitative and/or quantitative standards or measures against which each core responsibility, special assignment and University/ departmental objective is assessed. Performance measures describe major duties, assignments and objectives in terms of complexity, accountability and results, and should be specific, measurable, attainable and relevant. These measures are referred to on the Employee Work Profile as Measures for Core Responsibilities, Measures for Special Assignments and Measures for University/Departmental Objectives.

Performance Plan
The key portion of the evaluation instrument that identifies the core responsibilities, special projects, and performance measures to indicate required achievement levels during and at the end of the performance cycle.

Probationary Progress Review Form
The evaluation form completed by the immediate supervisor to rate an employee's performance during the probationary period. (See Policy 1.45, Probationary Period.)

Reviewer
The supervisor of an employee's immediate supervisor, or another person designated to review an employee's work description, performance plan, performance rating and who responds to appeals of performance ratings.

U.Va Salary Administration Plan
The plan developed by the University of Virginia that reflects the University's philosophy and policies in support of the mission to ensure consistent and fair employment and compensation practices.

PERFORMANCE PLANS

Supervisors develop employees' performance plans according to instructions on the Employee Work Profile (EWP) form. The plans are signed by the supervisor and then forwarded to the reviewer for approval. Reviewers should ensure that performance plans are appropriate before signing the forms.

Following the reviewer's approval, performance plans are presented to employees for their signatures.

Presentation
The supervisor should discuss performance plans with employees in a timely manner:

• Generally, discussions should be held within 30 days of the beginning of the performance cycle.
• With an employee who is beginning a new or different position, discussion should be held within 30 days of the employee's begin date.

Changes to the Performance Plan During the Performance Cycle
Changes to the performance plan during the performance cycle generally would be used for additional special assignments or modifications to special assignments. If, however, it is necessary to change one or more of the Core Responsibilities, the reviewer must approve the change(s).

The performance plan is not intended to fully describe the tools or methods used to accomplish work; these may change without requiring a plan revision. If core responsibilities include project-based assignments, supervisors may develop a core responsibility statement indicating the general nature of the projects, and a measure noting that the project is completed in accordance with the objectives, standards, and timelines established and communicated at the time of assignment.

All changes to the performance plan should be noted on the official form and initialed and dated by the supervisor, reviewer, and employee. If it is necessary to add additional pages, each page should be initialed and dated by the supervisor, reviewer, and employee and the page(s) attached to the original form.

Changes that should be noted on the official form include assignments performed for more than 30 workdays while on light duty status or in an acting status.

DOCUMENTATION DURING THE PERFORMANCE CYCLE

Supervisors should document employees' performance and provide feedback to them periodically throughout the performance cycle. Documentation may be in the form of notes, memos, etc., and must be retained in supervisors' confidential files, rather than in employees' official personnel files.

Feedback
Feedback provided during the cycle may be informal or formal. Informal feedback is encouraged, but there may be times when formal feedback is more appropriate. Formal feedback should be documented through memos or interim evaluations. Employees should receive copies of formal feedback documentation and the documentation (including interim evaluations) should be retained in the supervisor's confidential files for use in completing the annual evaluation.

Interim Evaluations
Non-probationary employees should receive interim evaluations near the middle of the performance cycle. The reviewer's signature is optional on interim evaluations. Interim evaluations also may be conducted at any time during the performance cycle for both probationary and non-probationary employees to advise an employee of his or her progress toward meeting performance measures or to document performance problems.

Interim evaluations should be maintained in supervisors' documentation files to be used when the annual evaluation is completed.

Probationary Employees
Probationary employees should receive formal performance reviews at the 6-month point and approximately three weeks prior to the completion of their probationary periods. Supervisors also should provide structured feedback to probationary employees periodically during their Probationary Periods. This can be done by completing the Probationary Progress Review form or other documentation, at the agency's discretion, at 3 months and again at 9 months or as the department determines appropriate

Extraordinary Performance During the Cycle
Supervisors are encouraged to recognize incidents of employee performance that truly are extraordinary. A supervisor should document incidents of extraordinary performance on the Acknowledgement of Extraordinary Contribution form (or agency-developed form). The form must be signed by the supervisor and reviewer, given to the employee, and a copy retained in the supervisor's confidential file until the annual performance evaluation is completed. Then, the form should be attached to the annual evaluation form.

In order for an employee to receive an overall "Extraordinary Contributor" rating on the annual performance evaluation, the employee must receive at least one Acknowledgement of Extraordinary Contribution form(s) and perform consistently well above the core responsibilities and measures throughout the performance cycle. Extraordinary contribution(s) should be documented on the Acknowledgement form and discussed as close to the time of occurrence as possible.

NOTE: The receipt of one or more Acknowledgement of Extraordinary Contribution form does not automatically entitle an employee to an overall annual rating of "Extraordinary Contributor."

Identifying Substandard Performance
Supervisors should immediately identify poor, substandard, or unacceptable performance. Supervisors normally should address first-time minor or marginal performance issues through performance counseling and coaching.

An employee may receive a Notice of Improvement Needed/Substandard Performance form at any time during the performance cycle if the employee exhibits substandard performance on any core responsibility, special assignment, department or unit objective, or core value or core competency.

If an employee's performance level falls below Contributor level, a Notice of Improvement Needed/Substandard Performance form may be issued at any time.

Reviewers must approve and sign such Notices.

Receipt of a Notice of Improvement Needed/Substandard Performance form also may result in issuance of a Written Notice under the Standards of Conduct.

Improvement Plan
The Notice of Improvement Needed/Substandard Performance form must include an improvement plan, which should have an improvement period of no less than 30 days or more than 180 days. The improvement plan shall be developed by the supervisor and the employee. If agreement cannot be reached, the supervisor may establish the improvement plan. The plan should be included on the form or attached to it. Employees should be given a copy of the Notice and plan. When the annual evaluation is completed, the Notice and plan should be attached to the Evaluation Form.

Substandard performance on the improvement plan also may result in disciplinary action under the Standards of Conduct.

NOTE: An employee who receives at least one Notice of Improvement Needed/Substandard Performance form may receive an overall rating of "Below Contributor" on the annual rating. However, an employee cannot be rated "Below Contributor" on the annual evaluation if he or she has not received at least one Notice of Improvement Needed/ Substandard Performance form within the performance cycle.

PERSONNEL CHANGES

Supervisor
If the employee's supervisor leaves his/her position during an employee's performance cycle, the departing supervisor should complete an interim evaluation of the employee's performance.

Employee
If, after six (6) months into the performance cycle, an employee transfers, is promoted or demoted into a new position with a different supervisor, within a department or between state agencies, then an interim evaluation should be completed. The interim evaluation should be completed by the supervisor prior to the employee's departure. For transfers to another department or agency, the interim performance evaluation will be completed on the original form and sent with the personnel file to the new department or agency for retention by the new supervisor.

CONDUCTING PERFORMANCE EVALUATIONS

Performance Cycle
To the extent possible, performance evaluations should reflect performance levels for the entire performance cycle.

NOTE: The following types of leave taken must not be used to negatively impact the employee's overall performance rating: overtime, compensatory, on-call, workers' compensation, military, Family and Medical Leave, and Short-term Disability under the VSDP program. However, the time an employee actually works during the performance
cycle may impact the percentage of performance increase he or she is eligible to receive.

If a supervisor changes an employee's performance plan during the performance cycle, the employee should be evaluated based on the performance plan in effect during each portion of the cycle. Evaluations of performance during each portion of the cycle should be consolidated to an "overall" rating and documented on the form that is in effect at the end of the cycle.

Supervisor's Role
An employee's immediate supervisor must complete the evaluation section of the evaluation form, according to the form's instructions.

If a new supervisor has been assigned during the performance cycle, then the new supervisor should review the performance plan, make necessary modifications, and make his or her own assessment along with the former supervisor's assessment prior to determining the employee's overall evaluation at the end of the performance cycle.

The new supervisor is responsible for completing the official performance evaluation. In some cases, however, the reviewer or other designated person may need to assist the new supervisor or complete the evaluation.

More Than One Supervisor
An employee who is working for two (2) or more supervisors at the same time should be evaluated by only one of the supervisors, with input from the other supervisor(s). Only the evaluating supervisor should sign the evaluation form.

Gathering Information
Supervisors should identify all the potential sources of evaluation information including observable employee behaviors. In addition to the observations of the immediate supervisor, performance evaluation information can come from other sources, including the employee, peers, customers, subordinates, supervisors, and work products. If departments use performance information from individuals other than the employee's immediate supervisor to develop the employee's annual evaluation, employees should be informed of the potential sources at the beginning of the performance cycle, when they receive their performance plans.

Self-Evaluation
Each employee must be afforded an opportunity to provide the supervisor with a self-assessment of his or her job performance for the rating period. The employee should be asked to provide a self-evaluation at least two weeks prior to the evaluation meeting. A supervisor must review and consider the self-assessment when completing each employee's performance evaluation.

Subordinate Feedback to the Reviewer
Upward feedback regarding supervisors' performance is part of the performance process. Departments must move toward including a process for employees to provide feedback to reviewers regarding their supervisors' performance.

Initially, such feedback is to be used as a developmental tool to help supervisors improve their supervisory skills. As departments become more experienced interpreting and administering such tools, the results may be used for evaluative purposes.

Safeguards should be established to facilitate anonymity of the employees providing feedback. (Refer to the Human Resource Management Manual for additional information on upward feedback.)

Team Evaluations
If the department evaluates an employee based upon the employee's performance as a team member, each individual team member's supervisor is responsible for conducting the evaluation of that employee's performance throughout the cycle. Performance feedback from others (other supervisors or managers, customers and the employee's peers) may be considered as determined by the supervisor and/or reviewer.

Reviewer's Role
The reviewer must review the performance plan and performance evaluation sections of the evaluation form before they are presented to the employee. If the reviewer does not agree with the evaluation, the reviewer should discuss the disagreements with the supervisor. The reviewer has the authority to change the employee's evaluation. In addition, the University may determine if higher levels of management may change the evaluation. This decision should be documented in the University of Virginia's Salary Administration Plan.

If the reviewer is unable to review either section of an employee's evaluation form, the next higher level of management should conduct the review.

PERFORMANCE INCREASES

The University of Virginia may not supplement the funding provided by the General Assembly and Governor for employees' performance increases. Departments with non-general fund sources will be guided by the amount authorized for performance increases by the Board of Visitors and the President.

Sub-Department or Sub-Units
The University of Virginia may decide to sub-divide the department into smaller organizational units than the entire department to facilitate oversight of the performance management process.

Sub-departments or sub-units may include:

• any organizational unit within the University of Virginia which has a separate Agency Code;
• any major organizational unit that can be characterized as a distinct management accountability center, such as separate facilities within the University; or
• large groups of employees sharing the same career group(s) within the University of Virginia, such as corrections officers.

The use of sub-departments or sub-units is optional, but if University of Virginia decides to use such designations, the use of sub-department or sub-units must be defined and justified in the University of Virginia’s Salary Administration Plans.

Formula
The average increase for employees will be the same across the University and within any sub-department or sub-units that are used for distribution of performance increases.

Contributors must receive at least 80% of the statewide average increase. The actual increase may vary from one sub-department or sub-unit to another based on the formula used within these limits and the number of employees rated Contributor.

Extraordinary Contributors must receive no more than 250% of the statewide average increase. The actual increase may vary from one sub-department or sub-unit to another based on the formula used within these limits and the number of employees rated Contributor. All Contributors in the University of Virginia (sub-department or sub-unit) must receive the same percentage increase.

All Extraordinary Contributors in the University of Virginia (or sub-department or sub-unit) must receive the same percentage increase.

Impact of Transfers or Other Pay Practices
Depending on their performance ratings, employees who experienced changes in salary during the performance cycle (because of promotions, demotions, transfers, or the application of other pay practices) will be eligible to receive the same percentage performance increase as other employees who did not experience salary changes during the cycle.

Schedule
Performance evaluations should be carried out according to the following schedule. Employees who have completed a full 12-month performance cycle (October 25 through the next October 24), must have performance evaluations completed by October 24, but not before August 10.

Probationary Employees

• Employees who are hired or re-hired between October 25 and July 24, must have their performance evaluations completed between August 10 and October 24.
• Departments may choose to complete performance evaluations on employees hired or re-hired between July 25 and October 24. Employees who still are in their probationary periods during the time performance evaluations are completed will be evaluated on the Probationary Progress Review form. However, departments may choose to use the EWP to evaluate the performance of employees who are at or near the end of their probationary periods.
• Forms used to support any performance increase will be retained in the employee's official personnel file.
• Employees' overall performance must be rated at the Contributor level or above to receive a performance increase. Employees will be eligible to receive performance increases on the performance increase effective date as indicated below:

Employees Who Have Been Absent During the Cycle
Supervisors may consider the length of time that employees perform in their jobs during the performance cycle, along with how well they perform, in arriving at employees' overall ratings.

Departments may determine if absences for a significant portion of the year will influence the increase amount for which employees will be eligible. If departments decide to impact employees' increases due to absences, the chart below may be used.

EXCEPTION: The following types of leave taken must not be used to negatively impact the employee's overall performance rating: overtime, compensatory, on-call, workers' compensation, military, Family and Medical Leave, and Short-term Disability under the VSDP program. Workers' compensation leave may not affect the performance increase to which an employee is eligible.

APPEALS

If an employee disagrees with an evaluation and cannot resolve the disagreement with the supervisor, the employee may appeal to the reviewer for another review of the evaluation.

Reviewer's Action
The reviewer should discuss an employee's appeal with the supervisor and employee. After discussion of the appeal, the reviewer should provide the employee with a written response within five (5) workdays of receiving it.

The response should indicate one of the following:

• the reviewer agrees with the evaluation;
• the supervisor will revise the evaluation;
• the supervisor will complete a new evaluation;
• the reviewer will revise the evaluation; or
• the reviewer will complete a new evaluation

RE-EVALUATION

An employee who receives a rating of "Below Contributor" must be re-evaluated and have a performance re-evaluation plan developed, as outlined below.

Re-Evaluation Plan
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 three (3) months, and have it approved by the reviewer.

• Even if the employee is in the process of appealing his or her evaluation, the performance plan must be developed.
• The supervisor should develop an entire performance plan including, "Employee Development."
• If the Core Responsibilities and measures of the original performance plan are appropriate, this information should be transferred to a separate evaluation form, which will be used for re-evaluation purposes. The form should clearly indicate that it is a re-evaluation.
• The supervisor must discuss with the employee specific recommendations for meeting the minimum performance measures contained in the re-evaluation plan during the re-evaluation period.
• The employee's reviewer, and then the employee, should review and sign the performance re-evaluation plan.
• If the employee transfers to another position during the re-evaluation period, the re-evaluation process will be terminated.

NOTE: Regardless of the employee's movement to another position during this re-evaluation period, the employee will not be eligible for a performance increase.

Three (3)-Month Re-Evaluation
The employee must be re-evaluated within approximately two weeks prior to the end of the three (30-month period. If an employee is absent for more than 14 consecutive days during the three (3)-month re-evaluation period, the period will be extended by the total number of days of absence, including the first 14 days.

If Performance Does Not Improve
If the employee receives a re-evaluation rating of "Below Contributor," the supervisor shall demote, reassign, or terminate the employee by the end of the three (3)-month re-evaluation period.

Demote or Reassign
An employee whose performance during the re-evaluation period is documented as not improving, may be demoted or reassigned to another position with lower duties within the three (3)-month period if the department 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.

When an employee is moved to another position with lower duties due to unsatisfactory performance during, or at the end of the re-evaluation period, the action is considered a Performance Demotion and the department must reduce the employee's salary at least 5%.

Reduce Duties
As an alternative to reassignment, demotion or termination, the department may allow the employee who is unable to achieve satisfactory performance during the re-evaluation period to remain in his or her position, and reduce the employee's duties. Such a reduction should occur following and based on the re-evaluation and must be accompanied by a concurrent salary reduction of at least 5%.

Terminate
If the department determines that termination is the proper action based on the re-evaluation, the employee will be terminated at the end of the three (3)-month re-evaluation period.

Disciplinary Action
The re-evaluation process does not prevent the department from taking disciplinary action based on the employee's poor performance or other reasons stipulated in the Standards of Conduct, or issuing additional Improvement Needed/Substandard Performance forms.

RETENTION OF PERFORMANCE FORMS

Completed Evaluation Forms
Evaluation forms, including those developed for re-evaluation, are official personnel documents and must be retained in employees' official personnel files when completed.

Interim Evaluations/Performance Documentation
Interim evaluations are not official personnel documents and should be retained in the supervisor's confidential files. Other documentation of work performance also should be retained by supervisors in files other than employees' official personnel files, and may be purged after the performance cycle is completed or after the employee's separation from state service.

EXCEPTION: If the interim evaluation or other documentation of work performance is necessary to support a disciplinary action taken under the Standards of Conduct, the documentation should be attached to the Written Notice form and placed with it in the employee's personnel file.