Policy Number: 1.40 - Performance Planning and Evaluation
Application: Full-time and part-time classified employees.
Provides for the establishment and communication of employees’ performance plans and procedures for evaluating employees’ performance.
|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 agency. Agencies may use the form provided with this policy or develop their own forms for this purpose.|
The plan developed by each agency that reflects the agency’s philosophy and policies in support of the mission to ensure consistent and fair employment and compensation practices. The agency’s evaluation process including any agency-designed forms, should be outlined in the Agency Salary Administration Plan.
|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.
Effective July 10, 2007
A Written Notice (Standards of Conduct Policy 1.60) that is issued to an employee for any reason in the current performance cycle may be used in place of the Notice of Improvement Needed/Substandard Performance to support an overall rating of “Below Contributor”.
|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. (See Attachment B for the form and instructions.)
NOTE: Agencies may develop their own forms as long as they support the provisions of this policy and contain the required information as indicated in Attachment C.
|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. If agencies desire to use a form for this purpose, they may use the form provided with this policy (Attachment D) or develop their own forms. 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. Agencies may use the form provided with this policy (Attachment E) or develop their own forms for this purpose.|
Action taken to an employee who received an overall performance evaluation of “Below Contributor” and whose performance during the re-evaluation period has not improved. Employees who are demoted for performance reasons must have their salaries decreased by a minimum of 5%. With this performance-related salary action, an employee may be:
|Optional Agency/Unit Objectives/Core Values/Core Competencies||At the agency’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 25th of each year.|
|Performance Increase||A monetary increase based on results of the annual performance evaluation and guidelines issued by the Department of Human Resource Management.|
|November 25 of each year.|
|Performance Measures||Qualitative and/or quantitative standards or measures against which each core responsibility, special assignment and agency/ 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 Agency/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.|
|The evaluation form completed by the immediate supervisor to rate an employee’s performance during the probationary period. (See Policy 1.45, Probationary Period.) Agencies may use the form provided with Policy 1.45 or develop their own form.|
|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.|
A designation an agency may use to sub-divide into smaller organizational units to facilitate oversight of the performance management process and the fair (equitable) distribution of performance increases and funding within an agency. This will normally occur at a level where the responsible manager exercises full authority over both personnel and budget management.
The use of sub-agencies or sub-units must be defined and justified in the agency’s Salary Administrative Plan.
Supervisors develop employees’ performance plans according to instructions on the Employee Work Profile (EWP) form (or agency 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.
The supervisor should discuss performance plans with employees in a timely manner:
|Changes to the Performance Plan During the
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.|
Non-probationary employees should receive interim evaluations near the middle of the performance cycle. Agencies may use the Interim Evaluation Form (Attachment D), develop their own forms, or use copies of employees' EWP forms (Attachment B) for the interim evaluations. Any form that is used should be clearly marked as “Interim.” 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 agency determines appropriate. (See Policy 1.45, Probationary Period.)
|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. If the employee receives an overall annual evaluation of Extraordinary Contributor, the form must be attached to the annual evaluation form to support the rating. Otherwise, the form is retained in the supervisor’s file as described in the Retention of Performance Forms section of this policy.
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, agency 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 (or agency-developed 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 Policy 1.60, 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 must be attached to the Evaluation Form if the overall evaluation reflects a rating of Below Contributor. Otherwise, the form is retained in the supervisor’s file as described in the Retention of Performance Forms section of this policy. Substandard performance on the improvement plan also may result in disciplinary action under the Standards of Conduct. (See Policy 1.60, Standards of Conduct.)
Effective July 10, 2007
Effect of Notice
An employee cannot be rated “Below Contributor” on the annual evaluation unless he/she has received:
NOTE: If a Written Notice is used in place of a Notice of Improvement Needed/Substandard Performance Form to support a rating of Below Contributor, and the notice is subsequently removed pursuant to the Grievance Procedure the Performance Evaluation must be modified accordingly.
|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 an agency 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 agency, the interim performance evaluation will be completed on the original form and sent with the personnel file to the new agency for retention by the new supervisor.|
|Position With New Probationary Period||The performance increase of an employee who is serving a new probationary period due to position requirements (see Policy 1.45) will not be pro-rated according to the chart for newly hired probationary employees.|
|CONDUCTING PERFORMANCE EVALUATIONS|
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, Short-term Disability, and Long-term Disability-Working status 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 (see page 11, Employees Who Have Been Absent During The Cycle).
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.
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 agencies 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.|
to the Reviewer
Upward feedback regarding supervisors’ performance is part of the performance process. Agencies 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 agencies 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 agency 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.|
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, agencies may determine if higher levels of management may change the evaluation. This decision should be documented in the agency’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.
|Agencies may not supplement the funding provided by the General Assembly and Governor for employees’ performance increases. Agencies with non-general fund sources will be guided by the amount authorized for performance increases by the General Assembly and the Governor.|
Agencies may decide to sub-divide the agency into smaller organizational units than the entire agency to facilitate oversight of the performance management process.
Sub-agencies or sub-units may include:
The use of sub-agencies or sub-units is optional, but if agencies decide to use such designations, the use of sub-agencies or sub-units must be defined and justified in agencies’ Salary Administration Plans.
The average increase for employees will be the same across all agencies and within any sub-agencies or sub-units that are used for distribution of performance increases.
Contributors must receive at least 80% of the statewide average increase, but cannot receive an amount that exceeds the statewide average increase. The actual increase may vary from one agency, sub-agency 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 agency, sub-agency or sub-unit to another based on the formula used within these limits and the number of employees rated Contributor.
All Contributors in an agency (or sub-agency or sub-unit) must receive the same percentage increase.
All Extraordinary Contributors in an agency (or sub-agency or sub-unit) must receive the same percentage increase.
To assist agencies with the application of the formula, Attachment F provides an explanation and examples.
|Employees at or near the Pay Band Maximum||Employees at or near the top of their Pay Band are eligible to receive performance increases based on their overall evaluations. The increase will be applied to employees’ base salary but any amount in excess of the Pay Band maximum will be awarded as a Lump Sum payment, and will not be added to base pay.|
|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 agency employees who did not experience salary changes during the cycle.|
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) (or who almost have completed in accordance with the chart on page 11), must have performance evaluations completed by October 24, but not before August 10.
Probationary employees will be eligible to receive performance increases on the performance increase effective date as indicated below:
(Refer to Policy 1.45, Probationary Period.)
|Position With New
|The performance increase of an employee who is serving a new probationary period due to position requirements (see Policy 1.45) will not be pro-rated according to the chart for newly hired probationary employees.|
|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.
Agencies may determine if absences for a significant portion of the year will influence the increase amount for which employees will be eligible. If agencies decide to impact employees’ increases due to absences, they should document this practice in their Salary Administration Plans. 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, Short-term Disability, and Long-term Disability-Working status under the VSDP program.
In addition, Workers’ Compensation (Code of Virginia, §2.1-114.5(5) [§2.2-1201 after 10/01/01]), military, Family and Medical Leave, Short-term Disability, and Long-term Disability-Working status leave may not affect the performance increase.
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.
Agencies may develop their own appeals process for reconsideration of employee evaluations. The appeals process should be documented within the Agency Salary Administration Plan.
Any appeal process must provide for the appeal to be made in writing to the reviewer within 10 workdays of the initial performance meeting.
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:
|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.
|Three (3)-Month Re-Evaluation||The employee must be re-evaluated within approximately two weeks prior to the end of the three (3)-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 within the three (3)-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.
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 agency must reduce the employee’s salary at least 5%. (See Policy 3.05, Compensation.)
|Reduce Duties||As an alternative, the agency 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%. (See Policy 3.05, Compensation.).|
|Terminate||If the agency determines that there are no alternatives to demote, reassign, or reduce the employee’s of duties, termination based on the unsatisfactory re-evaluation is the proper action. The employee who receives an unsatisfactory re-evaluation will be terminated at the end of the three (3)-month re-evaluation period.|
|Disciplinary Action||The re-evaluation process does not prevent the agency from taking disciplinary action based on the employee’s poor performance or other reasons stipulated in Policy 1.60, 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 until completion of the annual evaluation. 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 unless used as documentation for Performance Evaluation.
Acknowledgement of Extraordinary Contribution Form
If an Acknowledgement of Extraordinary Contribution form is used to support the overall rating of Extraordinary Contribution, the form becomes part of the official personnel file. Otherwise, the form is maintained in the supervisor’s file until completion of the annual evaluation.
Notice of Improvement Needed/Substandard Performance Form
If a Notice of Improvement Needed/Substandard Performance Form is used to support the overall rating of Below Contributor, then the form becomes part of the official personnel file. Otherwise, the form is maintained in the supervisor’s file until completion of the annual evaluation.
Documentation submitted for self-evaluation is maintained in the supervisor’s file for a period of 30 days beyond the annual evaluation review date.EXCEPTION: If an employee appeals the evaluation, or the evaluation results are part of a grievance, the above listed forms or other documentation of work performance should be retained at least until the issue is resolved
The Department of Human Resource Management issues this policy pursuant to the authority provided in Chapter 10, Title 2.1 (Title 2.2 as of 10/01/01) of the Code of Virginia.
This policy supersedes Policy 1.40, Performance Planning and Evaluation, issued April 1, 2001.
The Director of the Department of Human Resource Management is responsible for official interpretation of this policy, in accordance with section 2.1‑114.5(13) (§2.2-1201 as of 10/01/01) of the Code of Virginia. Questions regarding the application of this policy should be directed to the Department of Human Resource Management's Office of Compensation and Policy.
The Department of Human Resource Management reserves the right to revise or eliminate this policy.