Prepared by

Human Resource Division

This manual provides information regarding the purpose, design and administration of the Information Technology Compensation Program at Virginia Commonwealth University. The pilot program was developed as a joint project of the VCU Office for Information Technology (OIT), the Medical College of Virginia Hospitals Information Systems Department and the VCU Human Resource Division.

The pilot was developed to provide a flexible, market-competitive compensation program which would reward performance, encourage employee skill development, help attract and retain qualified technology employees, provide employees greater career development opportunity and decentralize compensation decision making to the department level.

Many of the same concepts and practices developed by VCU Human Resources for other compensation programs are used in this pilot. It also is based on an information technology classification and compensation model developed by the California State University system and described in the summer 1994 issue of Cause/Effect (pp. 36-44) in the article "Organizational Effectiveness and Changing Job Design in the Information Technology Community," by Elsa Swan and Celeste Giunta.

Current pilot participants include technical positions in the VCU Office for Information Technology and several positions in the School Medicine. The Medical College of Virginia Hospitals Information Systems Department manages its program separately. The program is available to other eligible University departments.

Major design features of the pilot include:

• 6 broadly defined information technology classifications
• 3 progressive competency levels within each classification
• broad market competitive pay ranges for each classification
• opportunity for annual salary adjustments for performance, competency advancement and equity
• flexibility in starting pay
• optional pay features such as team-based pay, project pay, and bonuses

The fundamental philosophy of the program is to reward superior performance and productivity and to foster employee skills and competency development.

The VCU Vice Provost for Information Technology, other designated senior University administrators, OIT Executive Directors, Directors, department managers and supervisors, participating pilot employees and Human Resources have various role and responsibilities in the pilot.

The VCU Vice Provost for Information Technology and other designated senior University administrators are responsible for:

• ensuring that the pilot is administered consistently and fairly throughout participating departments
• authorizing optional programs (e.g., use of team or project pay, peer or customer evaluations, bonuses, etc.)
• authorizing program customization and the development of pilot tools and administrative procedures
• providing funding for program costs (for performance increases, structure adjustments, competency level changes, bonuses) and obtaining budgetary approval

OIT Executive Directors are responsible for:

• ensuring that the pilot is administered consistently and equitably within their departments
• approving salary changes for pilot employees in their departments
• distributing budget dollars to their departments to fund salary adjustments

OIT Directors are responsible for:

• reviewing and approving position classifications, competency levels determinations and performance appraisal decisions made in their organizational units
• developing and submitting department plans for optional compensation and performance evaluation programs used in their work areas
• tracking progress of employees toward bonus program goals
• granting initial approval for salary adjustments

Department managers and supervisors are responsible for:

• ensuring consistent and fair administration of the pilot in accordance with program guidelines and any other regulations set at the executive or departmental level
• completing work plan position descriptions, performance plans and performance appraisals
• recommending position classifications, competency levels and salary changes
• recommending salary changes
• and assisting employees with training and development plans

Human Resources responsibilities include:

• providing consultation and technical assistance to managers and employees
• coordinating Steering Committee activities
• providing training
• developing and proposing program tools (salary structures, starting pay matrices, multisource assessments, bonus programs, etc.)
• disseminating program information and communicating program changes to participants

During the pilot period, Human Resources will have a greater responsibility for reviewing classification and competency determinations, salary changes, starting salaries, and exceptions to the guidelines than eventually is intended.

Steering Committee responsibilities include:

• ensuring that the program is consistent with the University’s strategic goals and responsive to its business needs
• promoting and supporting the integrity of the program
• evaluating program outcomes and identifying, developing and recommending program improvements and modifications
• approving modification to salary ranges, performance and pay adjustment matrices, class specifications and other program tools
• reviewing requests for exceptions to the guidelines
• recommending expansion of the pilot to academic and administrative departments

Employee responsibilities include:

• actively participating in career development plans and activities
• developing the competencies identified in the performance plan
• understanding the Information Technology pilot program guidelines
• providing feedback for use in program evaluation and enhancements

The Office for Information Technology and other participating departments, in cooperation with the Steering Committee, may customize the tools and mechanisms used in the program or may develop additional administrative procedures.

As the program is piloted in other University departments, administrative roles and responsibilities within those organizations will be determined.

The information technology classification series is comprised of six classifications for positions in the computing infrastructure, data and voice communications, instructional development, broadcasting, and academic and administrative technology. Each classification includes the multiple information technology disciplines of voice, data and video technologies to recognize the convergence of these technologies and the increasing need for technology workers to have some knowledge in all these areas to perform their jobs.

Positions classified within the information technology series include full-time or part-time classified positions (excluding wage positions) which are directly responsible for developing, providing, integrating and/or supporting information technology-based solutions and systems. Also included are working supervisors who both perform and supervise information technology functions. The series is intended for positions whose primary functional purpose and essential skill sets are information technology-based. In determining whether a position is appropriate for an information technology classification, the following questions are important to consider:

• What is the primary functional purpose of the position? Is it to develop, provide or support technology-based solutions or systems or does the position use these systems as tools to achieve results?

• What are the critical skill sets to perform the position’s responsibilities? Are the primary skill sets information technology-based? What is the relative importance of subject matter expertise in other functional areas?

For example, a budget analyst may maintain and manipulate very large data bases and develop query tools and report generators, but the primary purpose and essential skill set of the position are fiscal rather than technology-based. Technology is merely a tool used by the budget analyst to accomplish budget and financial tasks. Some classification other than those in the information technology classification series would be more appropriate for such a position.

Each information technology classification is described by a class specification. To aid in classifying positions, class specifications have the following components:

Class concept. Provides a summary of the types of positions falling under the classification.

Typical duties. Each classification is organized into typical duties which describe major categories of work within the classification. A position in an information technology classification has a majority of its ongoing work assignments in one or more of the typical duties defined for that classification, although work assignments from a related classification in the information technology series also may be included. Work examples cited in the class specifications are illustrative to assist in the classification process and are not intended to dictate job duties. In addition to performing the typical duties found within a classification, a position may be assigned some typical duties found in another information technology classification. Known as cross functions, these assignments are appropriate for providing employees with training and development opportunities and because technology employees often do not perform work described by a single classification.

Minimum qualifications. These are the minimum qualifications a new employee should possess in order to successfully perform position duties at the entry level. Minimum qualifications for individual positions will vary greatly based on assigned work. Specific minimum qualifications appropriate for all the typical duties in the classifications and for each competency level are given in the Minimum Qualifications Guidelines, found in the Appendix.

The six information technology classifications and a summary of their typical duties are:

Applications Analyst: Translates user system needs into technical solutions by writing applications software, integrating systems, and/or developing databases.

• Systems analysis and development
• Applications programming
• Database administration

Operating Systems Analyst: Installs, maintains, and modifies operating systems, database management systems, utilities and related software.

• Operating systems analysis
• Database management system administration

Network Analyst: Plans, designs, engineers, programs, maintains, and manages networks carrying voice, data and/or video transmissions.

• Network design and implementation
• Network administration and support
• Network operations

Information Technology Analyst: Provides consultation to faculty, staff and students in the use of technology and the development of technological tools.

• User consultation
• Multimedia development
• Sole or lead department consultation

Equipment/Applications Specialist: Responsible for installing, repairing, troubleshooting, maintaining, and/or modifying information technology equipment and/or systems which typically are integrated with larger systems.

• Equipment/systems support
• Applications support
• Site administration

Operations Specialist: Responsible for the operation, monitoring, and control of multisystem information processing or transmission equipment.

A broad category of work is described for this classification, rather than differentiated typical duties.

Each classification is broadly defined to encompass all job levels, from entry level to the most senior. Broadly defining information technology work has several advantages. These definitions provide more flexibility in assigning work than do discrete classifications. They support flatter organizational structures. Broad classifications are more likely to keep pace with rapidly changing technology than narrowly defined classes, and they provide a management tool for promoting and recognizing skill and professional development. Broad classifications also better describe the natural, fluid progression and skill development of technology employees than do discrete, narrowly defined classifications.

Class specifications are found in the Appendix.

Three progressive competency levels are defined for each classification in the information technology series: competency level 1 (CL1), competency level 2 (CL2) and competency level 3 (CL3). Competencies as used in the pilot are defined as the behaviors, traits and accomplishments that are required for successful job performance.

Just as the classification series more broadly defines technology functions, the use of competencies supports a broader concept of "the job." Competencies expand on the traditional concept of "the job" as simply a set of discrete, ongoing tasks by recognizing that each individual job-holder brings a unique contribution to his or her job. This concept recognizes individual skills application as an important factor in performance and compensation decisions. An individual’s demonstrated competency and performance will determine how quickly he or she moves laterally through a given competency level and will influence eligibility for progression to a higher competency level, should a need exist for positions at a specific competency level. Introducing the concept of competencies and linking them to pay promotes competency and professional development. Competencies also have important roles in developing position description and performance plans, in determining employee pay and in employee career progression

The following competency definitions apply to all six classifications in the information technology series. These definitions do not describe entry requirements at each level, but are composites of the typical incumbent at each level. Minimum qualifications for each classification are stated in the Minimum Qualifications Guidelines.

Competency level 1. Incumbents at this level meet the entry qualifications as defined by the class specifications and the Minimum Qualifications Guidelines. The incumbent may be inexperienced or have limited experience, but will possess the basic education or training relevant to the assigned specialty area. Incumbents typically perform work of minimal to moderate complexity in which there is limited technical, problem solving, training, and team coordination responsibilities. Typically, incumbents work under direct supervision and address common problems of limited scope.

Competency level 2. This competency level is broad and includes intermediate through senior level positions. Incumbents at this level meet the entry qualifications as defined by the Minimum Qualifications Guidelines. Incumbents generally receive minimal to moderate direct supervision and possess the technical experience to be fully proficient in performing most or all work assignments. Typically, work assignments are moderately to highly complex and require the ability to solve a wide range of problems, develop practical and thorough solutions, proactively apply standard and nonstandard applications, explore and adapt changing technologies, identify, evaluate, and resolve routine and non-routine problems, and integrate, coordinate and interpret technical information. Work assignments may include team coordination, lead work or training functions.

Competency level 3. Incumbents in competency level 3 work almost completely independently on the most complex problems and work assignments. Incumbents at this level meet the entry qualifications as defined by the Minimum Qualifications Guidelines. Work assignments typically require advanced and comprehensive technical knowledge in one or more specialty areas and substantial knowledge of other specialties and the ability to integrate this knowledge. Incumbents must possess an ability to function as either the technical expert in a single highly complex and integrated technical area, or as the technical expert in multiple complex technical areas. Incumbents function proactively; understand problems from a broad, interactive perspective; fully anticipate customer and system issues and needs; and are able to develop solutions and implement plans to meet these needs in ways that combine information and ideas in unprecedented ways. Work assignments generally include team coordination, project planning, strategic planning, work lead or training functions.

The Competency Determination Criteria, found in the Appendix, provides a more detailed description of the three competency levels.

There is an expectation that over time employees will be capable of performing more complex and integrated tasks and that employees will progress through a given competency level and possibly to a higher level. In general, performing more complex, more diverse or more highly integrated functions is how an employee progresses through competencies. The program philosophy is that performing higher level work, even within the same competency level, adds value and will be rewarded.

Because of the University’s need for skilled information technology professionals, employees hired into CL1 positions are expected to advance to CL2 within two years of hire or entry into the pilot. Supervisors will use the performance appraisal process or Standards of Conduct to address employees who are unable to, or who do not, advance to CL2 within two years.

There is no similar requirement or expectation that CL2 employees advance to CL3. Because competency level 2 is broadly defined and can accommodate most technology positions at VCU, it is possible for an employee to spend an entire career at this level while still experiencing significant career growth and pay opportunity. The majority of the University’s technology work can be accomplished by CL2 positions and employees. In addition, the limited number of CL3 positions and employees is determined by the University’s need for positions to perform the most complex information technology tasks.

To be eligible to advance from CL2 to CL3, employees must have completed probation and have been in the pilot position at least six months.

There is no program requirement that all new employees begin at CL1. While employees with up to two years relevant work experience typically will begin at competency level 1, there is no guarantee that employees with two or more years of experience will automatically begin at the CL2 level. Possessing two or more years of relevant experience alone does not eliminate the need to assess competency on the basis of all CL2 evaluation criteria, as well as position-specific requirements.

It is possible for employees to move to a lower competency level, either voluntarily or through competitive recruitment. A CL3 employee, with the approval of management, may voluntarily move to competency level 2 and remain in the same job, typically with a lessening of function and duties; a review by Human Resources is required. (A CL2 employee may not voluntarily move to competency level 1 because of the University’s need for CL2 positions to perform the majority of its technology work). It is possible for employees at any competency level to move to a different position at a lower competency level through competitive recruitment.

The compensation impact of competency level changes is described in the Pay Practices section of this manual.

A position is placed at a competency level based on the overall skill requirements of the position. An individual may be working at different competency levels in varying work assignments or typical duties. The overall competency level is based on where the majority of the position requirements fall in the continuum from competency level 1 to competency level 3.

The initial position competency level recommendation is made by the immediate supervisor, reviewed by the department manager or director, and finally approved by senior management.

After initial competency level determination, competency should be reviewed annually as part of the performance process and each time there are significant and permanent changes in job function.

Because applicants must meet only the minimum knowledge, skills, abilities and educational requirements of the position, a newly hired employee may exceed one or more of the minimum qualifications in some cases. For purposes of employee competency determination, exceeding minimum qualifications or minimum experience requirements does not automatically mean that the position should be placed at the next higher competency level.

Eligibility for progression to higher competency levels is based on attaining and demonstrating higher level competencies. Three skill dimensions have been identified which are critical to successful job performance in information technology: Technical Know-how, Critical Thinking and Interactive Skills. In general, competency progression is dependent on successful performance as measured on these three critical skill dimensions. These dimensions are closely linked to the performance process and are discussed in the Performance Management section of this manual.

Competency advancement occurs when an employee has met, or a position matches, the criteria for the higher level competency as described by the Competency Determination Criteria. Advancement to a higher competency level or a change in pay will not necessarily occur as a result of significant and permanent change in job function, additional job responsibilities, being assigned more complex work or performing a team leader role. In broadly defined classifications, these job changes are possible and appropriate. Performing more complex, more diverse or more highly integrated functions is useful for promoting career development and for providing opportunities to learn and demonstrate higher level competencies.

In order to maintain program integrity, a change in position or employee competency level requires the same review and approval process as is used to determine initial competency levels. Initial position competency level recommendation is made by the immediate supervisor, reviewed by the department manager or director, and finally approved by senior management. Management reserves the right to determine the need for positions at higher competency levels.

Competency changes are not permitted when an employee is probationary or during the first six months in a pilot position.

A salary structure must be designed to support the program’s broader concept of information technology work, as exemplified by the classification series, and the broader view of the job, as exemplified by the competency levels. The shift to broader classifications and levels in the information technology series requires a change to broader salary ranges.

The information technology pay structure is comprised of a broad pay range for each classification. Minimums and maximum pay rates are established for each classification pay range with no interim steps. Each competency level within an information technology classification has its own minimum and maximum internal range defined.

The pay ranges were developed and are maintained using salary survey data which includes public and private sector employers as well as universities with teaching hospitals. Market surveys will be conducted periodically, and other market data evaluated, to ensure that pay ranges remain market competitive.

The internal competency ranges are calculated the same for each classification pay range. The CL1 internal range is equal to 25% of the entire classification pay band. The CL2 internal range is equal to 80% of the entire classification pay band and is anchored around the range midpoint. And the CL3 internal range is equal to 30% of the entire classification pay band. The following representation shows the structure of each pay range:

No employee will be paid less than the pay range minimum for his or her classification.

The internal ranges corresponding to competency levels serve as a guide for pay decisions, such as annual equity adjustments and starting pay for new hires. They are not a guarantee of pay nor do they imply a minimum rate of pay.

The 80% internal pay range for CL2 has the advantage of giving most employees access to a large portion of the pay range with less likelihood of "capping out" in pay.

The internal salary ranges overlap adjoining internal ranges. The overlap with a lower competency range recognizes varying entry skills and capabilities and provides promotional opportunities. The overlap with a higher competency offers continued recognition for performance of increasingly complex or diverse work assignments at the lower competency level while advancement to the higher level might not yet be appropriate.

Progression through the pay ranges occurs primarily as a result of individual performance-based increases, acquiring and applying higher level competencies, and salary changes from technical certification.

Acquiring and applying higher level competencies can result in pay changes even without formal advancement to a higher competency level. The ability to perform higher level work can be demonstrated by being assigned more complex work, project coordination, or lead work functions.

Formal recognition of competency advancement occurs when an employee has met the criteria for the higher level competency as described by the Competency Determination Criteria. This is done as part of the annual performance in order to give the supervisor and employee a full performance cycle to ensure that the advancement to a higher competency level is appropriate. Management reserves the right to determine the need for positions at higher competency levels.

Progression through the pay ranges is affected by an employee’s competency level and salary placement within the pay range. Within each classification, the top of the competency level 2 internal pay range is a "control point." The use of control points in pay systems is common compensation practice and serves a number of purposes. In the information technology pilot, employees have access to almost all of their classification’s pay range before reaching the top of CL2 internal range. Above this point, it is more equitable and prudent to base salary increases on competency advancement to the CL3 level, both to encourage competency development and to reward employees who are performing the most complex work of the University.

On the annual performance evaluation, CL1 and CL2 employees are eligible to receive base pay increases up to the top of the CL2 internal range for their classification, and thereafter receive 100% equivalent lump sumawards. CL3 employees are eligible to receive base pay increases up to the maximum of their classification pay range, and thereafter are eligible to receive 100% equivalent lump sum awards.

Employees who cannot receive the full annual increase as a base pay adjustment—because their salary is too close to the top of the CL2 internal range or too close to the pay range maximum, whichever is applicable—will receive a base pay adjustment up to the control point and the remainder as a lump sumamount.

Managers also have the flexibility during the annual performance evaluation to increase salaries in order to correct internal and external pay inequity.

Because the pilot pay structure is developed and maintained at a market competitive rate, it is unaffected by changes that may be made to the classified salary structure, such as annual structure adjustments legislated by the General Assembly and the Governor.

The current information technology salary structure is found in the Appendix.

The Information Technology (IT) Work Plan is a combination position description, performance plan, and performance appraisal tool. See the Performance Management section for complete information about performance planning and appraisal using the Work Plan.

Position descriptions are used for both probationary and non-probationary IT pilot employees. The purpose of the position description portion of the Work Plan is to:

• communicate and document position function, classification and competency level
• communicate the minimum qualifications necessary to perform the job at entry level
• provide important information used to set employee performance expectations.

The immediate supervisor is responsible for:

• writing and/or updating position descriptions
• recommending a position classification and competency level
• discussing the completed position description with the employee.

Department managers/directors are responsible for:

• reviewing all Work Plans in their organization to ensure consistency in classification and competency level decision making. Human Resources also will review position classifications and competency levels during the pilot period for institutional consistency.

For administrative ease, supervisors may wish to use language in the class specifications to describe some job functions. If so, descriptions should be customized to position-specific requirements in order to clearly communicate position functions to incumbents. Supervisors also may wish to group similar functions together by the typical duties used in the class specifications.

After a position is established, position description updates are recommended whenever there are substantial and permanent changes in job, whether or not the result is a change in the overall position competency level.

The minimum qualifications play an important role in classification, position description development and competency determination. For these reasons, the Minimum Qualifications Guidelines were developed as a guide for supervisors and to ensure maximum consistency between departments. There are two sets of guidelines: one for the analyst classes and another for the specialist classes.

In the Guidelines, minimum qualifications are stated as functions of the classification and competency level. Education and experience are the primary variables presented in these Guidelines.

Minimum qualifications recorded in the position description are stated as either required or preferred. If stated as a requirement, certain limitations will apply with regard to applicant selection. Supervisors cannot hire an applicant with less than the required qualifications without re-posting the position.

Under state policy, work experience can substitute for educational minimum requirements. Specific educational levels or degrees can be required only if they are a bona fide occupational qualification, such as possessing a law degree for a position which practices law. Similarly, licensure or certification can be listed as required only if it is a bona fide occupational qualification, such as possessing a Virginia nursing licensure for nursing positions.

In the position description, major technical and/or supervisory job functions are documented as well as the percent of total working time spent on each function. Also included is the competency level for each function and the Americans with Disabilities Act (ADA) designations of essential or marginal. As defined by the ADA, essential functions are those considered basic, fundamental, critical, primary and necessary. The University ADA worksheet also must be completed and attached to the position description.

An example of a Work Plan is found in the Appendix.

The decision to recruit at a given competency level is based on the needs of the department and the position requirements. It is important to note that recruiting at the CL1 competency level requires that the supervisor be willing to accept an applicant meeting the stated minimum qualifications.

Competitive recruitment is required any time a new position is established. Competitive recruitment is encouraged whenever there is a sudden, significant and permanent change in job function, even though the classification may not change. More subtle or gradual job changes, where the employee remains in the same position and classification while assuming increased or more diverse job responsibilities does not require competitive recruitment.

Recruitment at either the CL1 or CL2 competency level is recommended. Recruiting at the CL3 competency level is by exception only and requires consultation with Human Resources.

Once an applicant is selected, the supervisor will then assess employee competency and determine pay. It should be noted that just as the recruitment competency level does not limit the supervisor's ability to hire the most qualified applicant, it also does not dictate or guarantee employee pay.

The Starting Pay Matrix is a tool used by supervisors to evaluate an applicant’s or employee’s qualifications against position requirements. Pay matrices serve as a guide for determining pay for new hires and for incumbent pay adjustments when competency levels change. They also may provide useful information to supervisors when determining annual performance and pay adjustment increases, by revealing internal and external pay equity issues.

The Starting Pay Matrix is a point system in which points are accumulated based on the applicant’s or employee’s educational level, work experience and other value added compensable factors, such as certification or additional course work.

• Points for education are a function of the employee’s highest relevant educational level achieved.
• Relevant experience is evaluated in terms of both the number of years (quantitative) and the quality of relevant work experience (qualitative). The qualitative assessment is based on the complexity, diversity and functional integration of the relevant work experience.
• Points for other value added compensable factors. Value added points can be given for possessing relevant certifications or licensure (e.g., CNE or DPME) and relevant course work.

The supervisor reserves the right to determine the relevance of education or experience to the position function.

Ultimately, total pay matrix points are converted to a range of pay on the salary structure. The total matrix points are one of several factors used to determine pay. Other factors that potentially impact a starting pay decision include:

• applicant’s or employee's current salary
• possession of unique, position-specific skills
• salaries of other work unit or department employees with similar responsibilities, qualifications and work history
• departmental budget
• the criticality of the position
• turnover rates and recruitment history

Consistency in starting pay decisions is always important. A sample Starting Pay Matrix is found in the Appendix.

The IT pilot program follows current state classified probationary policy and procedures with a few exceptions in the area of compensation and performance appraisal. Below is a summary of probationary requirements. Please refer to the current State "Probationary Period" Policy (1.45) for complete information.

There is no change from current State policy and procedure for the following:

• A probationary period is required for new employment, re-employment and employees who transfer from positions not covered under the Virginia Personnel Act.
• The length of probation is six months.
• Positions that require certification may have extended probationary periods to provide adequate opportunity to determine employee’s fitness following completion of required training courses. Probationary periods for such positions may be extended for up to six months following completion of the required training course.
• Position descriptions and performance plans are discussed with new employees when hired.
• A three month probationary performance review is given.
• There are special procedures for probationary employees with a three month performance review rating of "Does Not Meet Expectations."
• Probationary employees found to be not suitable for the job or those with unsatisfactory job performance are terminated or given the opportunity to resign.
• Probationary employees are discouraged from transferring to other IT pilot positions. Should there be a transfer of a probationary employee with an unsatisfactory performance rating, it will be coordinated by the Human Resources Employment Office so that potential managers may be made aware of performance problems.

Exceptions to the State probation policy include the following:

• The Work Plan replaces the position description and the performance evaluation form used for other classified employees. The Work Plan is discussed in greater detail later in this manual.
• Using peer or customer appraisals for probationary performance is prohibited.
• Probationary employees are not eligible to receive annual performance increases.
• Probationary employees with an evaluation rating of "Does Not Meet Expectations" on file in Human Resources will not be eligible to receive a market increase unless the increase is needed for the employee to be at the pay band minimum. Typically an employee with this rating will be terminated during probation.
• A four-level rating system is used to evaluate probationary performance. A sample is found in the Appendix. Supervisors needing to change the rating because of a change in performance may do so up to the work day before probation officially ends.
• There is no pay increase given upon completion of probation.
• Changes in competency level during the probationary period are prohibited unless an exception is approved by Human Resources.
• Employees completing probation during a performance cycle will have their annual performance increase prorated for that performance year. The amount prorated is based on the number of full months worked during the performance cycle in accordance with the following chart:

Since the information technology compensation program is competency-based, the performance management process is closely linked to competencies. Three skill dimensions have been identified which are critical to successful job performance in information technology: Technical Know-how, Critical Thinking and Interactive Skills. In general, performance planning, evaluation and rewards are tied to the extent to which employees demonstrate the acquisition and application of these key skills.

Annual performance increases are variable to provide the flexibility to reward individual performance, recognize incremental changes in work complexity, recognize formal competency level changes, and to meet other compensation needs.

The performance plan sets individual performance expectations and establishes the training and developmental plan for the performance cycle. The performance cycle begins November 25 and ends November 24. Performance expectations should be set for employees within 30 days of entering a position, and revised when there are substantial and permanent changes in job expectations. In fairness to employees, changes in expectations during the last three months of the performance cycle should be avoided.

Performance expectations are set by the immediate supervisor, approved by the next level supervisor—the reviewer—and then signed by the employee. Since the pilot philosophy emphasizes employee development, the training and development plan portion of the performance plan should be based on departmental needs with input from the employee.

Individual performance expectations are stated in terms of competencies using broad performance groupings, which are described in the Competency Guidelines found in the Appendix. The performance groupings include the three critical skill dimensions—Technical Know-how, Critical Thinking and Interactive Skills—as well as Universal Expectations. (Technical Know-how also includes supervisory skills for employees with supervisory responsibilities).

The performance groupings and their attributes are described in general as follows:

Each of these broad performance groupings is comprised of attributes, which are characteristics appropriate for technology workers. The Competency Guidelines lists and defines the differing attributes appropriate to each competency level. Since competency levels are progressive, attributes used as the basis for performance expectations will differ according to the assigned competency level. For example, at competency level 1 the Critical Thinking performance grouping includes the attributes

• problem-solving
• ability to organize, and
• ability to acquire knowledge.

At competency level 3, the attributes expand to

• problem-solving and reasoning
• ability to organize
• future thinking, and
• ability to acquire knowledge.

In addition, as the competency level increases so will the attributes’ definitions. For example, at competency level 1 ability to organize is defined as

At competency level 3 ability to organize broadens to

Supervisors use the attributes appropriate to the assigned competency level as the basis for performance expectations and customize them to position-specific requirements. To the extent possible, performance expectations also should be written in a manner that measures quality, quantity and timeliness.

The use of the Competency Guidelines assists supervisors in setting performance expectations and using the performance groupings. These guidelines also provide consistency between departments.

Performance expectations are weighted to communicate the importance of each performance expectation relative to all others in the performance plan. Weights are assigned to each performance grouping.

As part of the performance plan, there is an annual review of employee training and development goals and objectives. Supervisors are encouraged to involve employees in making these plans. This is particularly important given the role that competencies plays in employee career development.

Supervisors may choose to use feedback from peers and customers as part of the performance evaluation process. Authorization to use multisource assessments is given by each Executive Director or designated University administrator for his or her pilot departments.

If this optional program feature is used, Human Resources should be consulted to assist in assessment design. At a minimum, departmental multisource assessment plans should include:

• a description of the assessment program and all associated administrative processes
• the method by which peer or customers will be selected
• the evaluation tool
• the plan for communicating the program to affected employees, and
• the administrative procedures for distributing, collecting and analyzing the evaluations.

Based on the contents of the performance plan, the non-probationary pilot employee’s performance is evaluated at the end of the performance cycle. The evaluation compares actual performance to the performance expectations established at the beginning of the cycle.

The pilot performance model is quantitative. The same five rating levels used for classified employees at the University are employed by the pilot.

The supervisor rates the performance of the pilot employee on each performance grouping. To determine the numerical score for each performance grouping, multiply the weight by the value of the performance rating. After each performance grouping is rated and a numerical score calculated, the total score for all performance groupings is summed. Using a chart that converts the total numerical score to a range of increases, the supervisor recommends a performance increase percentage to be awarded the employee. The conversion chart is determined each year by the Steering Committee. An example is shown below.