MEMORANDUM
TO: Deans and Directors
FROM: Steven Weinberger, Assistant Vice President for Human Resources
RE: "Movement Through the Bands" for Cohort Three
DATE: February 27, 2009
________________________________________________________________________
I. INTRODUCTION
“Movement Through the Bands” is the name that has been given to a Program contained in the 2007-2009 UMPSA labor contract, which is intended to introduce the concept of merit pay to salaried, professional employees. Through Board of Trustees action, the Program has been extended to non-represented, professional, salaried employees as well. Both the BOT and UMPSA have expressed their commitment to a four year cycle for this Program.
For administrative purposes, salaried employees have been divided into four relatively equal cohorts based upon a negotiated formula, with two years constituting the minimum service threshold. In the University's case, this results in a population of approximately 110 employees in each cohort. The methodology by which cohort membership was determined is contained in the current UMPSA contract, which may be accessed through the "Collective Bargaining Agreement" link appearing on the Office of Human Resources web page: http://www.umaine.edu/hr. Note that employees at or above the maximum salary for their wage band are not eligible to participate in the Program.
This Memorandum sets forth the instructions to be followed in implementing the Program for salaried employees assigned to Cohort Three.
II. PROGRAM ADMINISTRATION FOR COHORT THREE
A. Salaried Employee Assessment Verification Form
The Program contains two components for each cohort. For Cohort Three: (1) a 3.0% salary adjustment, effective July 1, 2009, conditioned upon a pattern of satisfactory performance for the four year period concluding on June 30, 2009; and (2) a discretionary salary increase of up to an additional 3.0%, also effective July 1, 2009, for employees who have performed in an "extraordinary fashion" over the four year period concluding on June 30, 2009.
Attached to this Memorandum are two critical documents: (1) a list of employees assigned to Cohort Three, broken down by department; and (2) a "Salaried Employee Assessment Verification Form", which will be utilized in evaluating individual eligibility for the salary increases under the Program. Departments with Cohort Three employees ineligible to participate in the program under established guidelines will be contacted through a separate communication from the office of Human Resources. Do not complete or submit a Verification Form for any Cohort Three employee deemed ineligible.
B. Satisfactory Performance
Please prepare a Form for each eligible Cohort Three employee in your department and transmit it to the affected supervisor. The supervisor should then review the employee's record over the four year rating period concluding on June 30, 2009 and determine whether it reflects a "pattern" of satisfactory performance. In ascertaining whether such a pattern exists, performance evaluations administered during the rating period are intended to be binding; where a performance evaluation does not exist, the Program stipulates the presumption of satisfactory performance for the specific period in question. Where the performance record is mixed, the supervisor should make a reasoned decision as to the employee's body of work over time in an effort to produce a meaningful assessment. Where the record reflects a "pattern" of satisfactory performance, the supervisor should check the "Satisfactory" box on the Form.
Any supervisor who determines that an employee has not performed in a satisfactory fashion over the four year rating period should immediately contact the Human Resources Officer assigned to your department before proceeding further.
Cohort Three employees assessed as satisfactory under the Program will receive a base salary adjustment of 3.0% applied after any general pay increase effective July 1, 2009, in their paychecks dated July 31, 2009.
C. Extraordinary Performance
After making this initial determination, supervisors then need to ascertain whether the Cohort Three employee in question should receive a discretionary salary increase of up to an additional 3.0%, effective July 1, 2009, based upon performance in an "extraordinary fashion" over the four year rating period. By the Program's own terms, this assessment is intended to be an act of discretion; accordingly, it may not be reviewed through the contractual grievance and arbitration procedure. However, in implementing the Program, the University is intent upon establishing a substantive distinction between "satisfactory" and "extraordinary" performance; to that end, the guidelines which follow should be kept in mind.
A supervisor who believes that a salaried employee's performance has been extraordinary during the four year rating period should check the box so labeled on the Form and attach thereto a written justification which contains specific, tangible examples of extraordinary performance within the context of the construct set forth below. All determinations as to extraordinary performance must be initiated at the supervisory level.
Performance Guidelines
Satisfactory Performance refers to employees who are fully-skilled and knowledgeable in all areas of their responsibilities, and have consistently met the principal job objectives for the rating period. These employees are experienced and proficient in virtually all tasks related to their assigned positions. In addition to possessing the necessary technical skills, these employees also demonstrate strong interpersonal and organizational skills. The expected interpersonal skills include self-control, credibility, ability to influence, and a desire to learn. The organizational skills include strong communication, collaboration, and a good understanding of the relationships among all parts of the University. Their contributions to the University are typically recognized by supervisors and peers regardless of structural position. They need close direction only on new tasks; otherwise, they are known to be "self-starters". Assigned tasks and responsibilities are well done and on schedule. These employees are consistently seeking to improve organizational performance over a sustained period of time. This is the level of skill and performance expected of every University employee.
Extraordinary Performance refers to employees who consistently exceed expectations, surpass established goals, and regularly make special contributions to the University. These employees possess all of the skills and knowledge of the "satisfactory" performer, but also display a level of maturity, accomplishment, and leadership that distinguishes them as being among the best in the University. Communication, follow-through, and contribution to organizational improvement are exceptional. They are known as anticipators and innovators, and consistently bring about unexpected advances and gains in the University. The level of performance is clearly evident, both within and external to the University and, accordingly, perceived to be the normal pattern of accomplishment.
D. Routing Process
Once signed by the supervisor (whether or not the Extraordinary Performance Box has been checked), the Form should be routed through the employee's normal chain of command until it reaches the Dean/Director. At each succeeding level in the chain of command, the responsible official should review and sign the Form; a signature will be construed as an endorsement of the supervisor's recommendation unless a written objection, setting forth the rationale therefor, is attached; where a salary
increase for extraordinary performance is recommended by the supervisor, additional written justification is not required but will be accepted. Upon review and signature by the Dean/Director, the form must be submitted to the Assistant Vice President for Human Resources no later than April 15, 2009. Review above the level of Dean/Director is not required for purposes of processing the Form.
E. Discretionary Increases
The Program's terms require that the President delegate to a University official the authority to make determinations as to employee eligibility for discretionary increases and, for that purpose, this designation has been conferred on the AVP for HR. As the Program contains no limitation on the ability of the designee to obtain guidance in making these determinations, a three-member Implementation Committee will be established; further, as part of this process, the AVP for HR intends to consult with the Vice Presidents (or other University administrators) to whom Deans/Directors report.
Being that the authority has been conferred upon the AVP for HR to make decisions as to both eligibility for and magnitude of discretionary increases, the Form and its supporting materials should not contain a recommendation on monetary amounts for employees evaluated as extraordinary by the department. The designee's determinations as to eligibility and amount are scheduled to be completed in early July 2009 and, shortly thereafter, communicated to all impacted parties. Monetary awards for extraordinary performance conferred by the designee may not be supplemented by departmental resources. As in the case of increases for satisfactory performance, salary adjustments for extraordinary performance will be reflected in paychecks dated July 31, 2009.
F. Budgetary Implications
The Office of Budget and Business Services will augment departmental budgets to fund the cost of all resultant salary increases - both satisfactory and extraordinary - for Cohort Three employees under the Program; employees on soft money or funded through auxiliary services will be the financial responsibility of the affected department.
III. CONCLUSION
Questions, comments and concerns about administration of the Program for Cohort Three employees may be directed to the Human Resources Officer assigned to your department.
Finally, while every effort has been made to ensure that this Memorandum is being distributed comprehensively, intervention may be required on your part due to organizational idiosyncrasies that may exist.