PERFORMANCE EVALUATION 2003-2004

Staff Name: Godrej Unique ID:

FORM
Org Key (pay point): Org Unit:

Job Title : Job Code: _________________________________________________________________________________________________

PERFORMANCE EVALUATION PROCESS

PLEASE REFER TO THE SUPERVISORY PROCEDURAL INSTRUCTIONS PRIOR TO COMPLETION OF THIS FORM.

1. Define job. 2. Define performance standards. 3. Evaluate performance. 4. Communicate with employee. _________________________________________________________________________________________________

PERFORMANCE LEVEL DEFINITIONS

PERFORMANCE EXCEEDS EXPECTATIONS: Performance consistently exceeds the requirements of the job, extending well beyond expectations. The employee contributes unique and innovative solutions to problems and achievements are obvious to faculty, staff, students and customers. This rating is reserved for the highest achievements at an unusual and exceptional level. PERFORMANCE FULLY ACHIEVES EXPECTATIONS: Performance consistently achieved or exceeded standards for the major duties and responsibilities. Overall performance was consistently satisfactory or better in all aspects of the position. PERFORMANCE NEEDS IMPROVEMENT: Performance was either consistently below standards for some major duties and responsibilities, or only occasionally achieved standards for most duties and responsibilities. Overall, some improvement is needed to achieve a consistent level of fully satisfactory performance. PERFORMANCE UNSATISFACTORY: Performance was below standards for most of the major duties and responsibilities. Overall performance was not satisfactory. Considerable and rapid improvement is necessary for the employee to remain in the position. _________________________________________________________________________________________________

OVERALL

PERFORMANCE

EVALUATION

If the employee has an active disciplinary action, refer to the Work Rule Compliance Guide in the Supervisory Instructions. Indicate overall performance level by circling the appropriate zone. Regardless of the zone rating, document key considerations used in making the evaluation in the comment section below. PERFORMANCE EVALUATION: EXCEEDS FULLY ACHIEVES (Please circle appropriate evaluation.) NEEDS IMPROVEMENT UNSATISFACTORY

_______________________________________________________________________________________________ COMMENTS:

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(Continue on separate sheet if necessary.) ______________________________________________________________________________________________________________________

____________________________________________
EMPLOYEE

__________________________
DATE

____________________________________________
REVIEWER

__________________________
DATE

____________________________________________
REVIEWERS SUPERVISOR

__________________________
DATE

DUKE UNIVERSITY
REWARDS AND RECOGNITION
Job Analysis Questionnaire INSTRUCTIONS: This questionnaire is designed to assist in describing a new position or a position that has significantly (more than 20%) changed since it was established. Please answer the questions so that those reading the questionnaire will be provided a clear and complete understanding of the specific duties and overall responsibility level. Explain any abbreviations or acronyms. The questionnaire should describe the duties and responsibilities of the position and not the performance or qualifications of the incumbent. A job evaluation review is appropriate when the duties and responsibilities of a position have changed significantly (20% or more) either through expanded, reduced or different responsibilities. After completing the questionnaire, please sign it, make a copy, and forward it to the Rewards and Recognition Department of Human Resources. Thank you.

DEPARTMENT INFORMATION
Code Organizational Unit Company Code Cost Center Present Component JOB EVALUATION REQUEST TO: Check and complete the appropriate blocks: Create New Position (complete Section II of the questionnaire) Reclassify Existing Position (complete Section I and II of the questionnaire) The position is Vacant PRESENT Job Title Job Code Job Title Filled SAP Position Mgmt # Incumbents name And DUID# PROPOSED Name

POSITION STATUS
Full-Time Part-Time Sunday From
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Hours per week Hours per week Monday Scheduled Days and Hours Tuesday Wednesday Thursday Friday Saturday

To Total Hours Worked Per Pay Period: Additional Comments: Position Effective Date: If Temporary, End Date:

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SECTION I
If you are requesting a job evaluation review because of changed position duties and responsibilities of an existing position, please complete the following: I. Briefly describe what caused and/or contributed to the change in job duties and responsibilities. (For example, through reorganization we reviewed positions and combined jobs or duties and responsibilities have been restructured to support a new grant or a new patient treatment protocol).

II.

Please describe the new or additional tasks that will be performed, listing the most important duty first, and estimate the percentage of time that will be devoted. NEW OR ADDITIONAL TASKS % OF TIME

III.

Please describe those duties or responsibilities that will no longer be performed and are being replaced by the new or additional duties and responsibilities listed above.

SECTION II
I. PRIMARY PURPOSE: Summarize the primary role (reason this position exists) in two or three sentences. For example: The position is responsible for analyzing body fluids for chemical make-up or This position provides customer reception services in person and by telephone.

II. ORGANIZATIONAL STRUCTURE: Provide a description of your organizational structure which outlines the Relationships of this position above, below and at the same level. For example, This position reports to This position supervises .

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III. DESCRIPTION OF WORK Describe the essential and most important duties and responsibilities of this position. Begin each statement with an action word. After listing all duties and responsibilities, indicate the approximate time spent as a percent of the total job based on the past year. The total percent of time does not have to add up to 100 percent but the total should be no less than 80 percent. Rank each task in order of importance, beginning with #1 as the most important.

TASK DESCRIPTION

% OF TIME

COMPLEXITY Please indicate the typical nature and diversity of work performed as well as the level of judgement and analysis necessary to resolve typical problems encountered. Work is: Routine with detailed rules or procedures Standardized and governed by procedures, instructions, and standard practices Diversified, requiring judgement in applying established practices and procedures

Governed by broad instructions, objectives and policies. Requires considerable judgement in developing approaches and techniques
Varied and requires analysis of major University issues and problems Provide two typical example(s) of the nature of diversity and work.

IV.

INDEPENDENCE OR LATITUDE Please indicate the typical level of independence in organizing and prioritizing the work of this position. Select the number of the matching description. Select the number between two levels if position requirements fall between two descriptions. Assignments are:

Are planned and scheduled by others Take individual initiative in planning and performing work each day Take individual initiative in planning and performing for weeks at a time Take individual initiative in planning and performing for months at a time

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V.

IMPACT Please indicate the organization level typically affected by decisions made in this position. Decisions typically impact:

Only this position The immediate work group Multiple work groups An entire function or a sizable unit Multiple functions or multiple large units
VI. SCOPE Assume in answering that all normal care and judgment are exercised, and that normal work guidelines and rules are allowed. Indicate the typical consequence of errors in carrying out the actual work of this position. Errors cause delays or affect:

Specific to this position The work of others in the positions immediate work group A number of work groups An entire function of a sizable unit Multiple functions and/or multiple large units
Provide example(s) of errors that could have or did occur, what the impact would be and costs, if possible.

VII. PERSONAL INTERACTION How often would a person in this position have recurring contact with any of the following groups or levels and what is the primary reason for and nature of these contacts? Please use the final column of the box to state the business purpose of each contact Purpose (deliver messages, negotiate, Department, Division Group or Frequency (frequently, staff meetings, telephone exchange organization occasionally) information, advise, consult, etc. Board of Trustees Institutional Vice Presidents & Offices Other institutions, hospitals, colleges, companies Government officials Patients, alumnae, general public Government officials Other work groups, employees, administrative offices Students Other (please describe)
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Please indicate what role or responsibility this position has for working in and/or with teams (check all that apply)

Works individually and is self-sufficient Frequently works with others in a cooperative, collaborative manner Works routinely requires team work and cooperation with individuals and groups
Briefly describe how and why you work with teams:

VIII. COMMUNICATION Review the list of communication skills provided below and check the boxes that best describe the communication skills required to perform this job. A. Interpersonal communication Occasionally One-on-One communication Participate in meetings Conduct meetings or lead group discussions Conduct training sessions Make formal presentations/public speaking Advise, consult, provide counsel Persuade, negotiate, influence Other___________________________ B. Written communication Occasionally General correspondence/letters/memoranda Contracts Technical documents Procedures/manuals/guidelines Proposals/Requests for proposals Reports Articles Manuscripts Press releases Regulatory filing Translating technical documents Other ___________________________________ Regularly Regularly

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IX.

FINANCIAL RESPONSIBILITY Indicate approximate dollar amounts this position handles or is responsible for: Annual Operating Budgets: Purchase Explain: Payroll Supplies Other TOTAL In what ways are you responsible for managing operating budgets, grants, or capital budgets? Develop budget recommendations? Yes No Prepare budget requests and written narrative? Yes No Review expenses against budget? Yes No If you answered yes to any of the questions, please list the type and amount of the budget.

X.

TECHNOLOGY USED A. Depending upon the amount of usage, indicate the estimated time used daily, weekly, or monthly. Examples: PCs, laptops, typewriter, adding machine, camera, telephone, etc. B. For PC users, please list below all of the software packages you frequently utilize. Examples: Windows NT, Word, Excel, Access, PowerPoint, Netscape Navigator, Exchange, Scheduler+, File Manager Type of Equipment/Software Skill Level Needed (advanced/intermediate/basic) Time Used (per day/week/year)

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XI.

SUPERVISORY DUTIES A. Does the position supervise regular or student employees? Yes No If the answer is No, please skip to question 13. If the answer is Yes, please complete the rest of section XII. B. How many employees does the position supervise either directly or through other supervisors? C. List the titles of those supervised by this position. Number of Employees Supervised Title of Position Supervised Full Time Part Time Students

D. Check each of the phrases below that describe the kind of supervision this position is required to exercise. Plan work Assign work Instruct and train in methods and procedures Check and approve work Recommend salary adjustments Maintain staff records Make promotional recommendations Make final decision on promotion Make hiring recommendations Make final decision in hiring Carry out performance evaluations Handle complaints and grievances Make recommendations regarding unsatisfactory employees Set departmental goals and objectives Make final decision to terminate unsatisfactory employees XII. JOB CONDITIONS

A. Indicate the surroundings or working conditions under which the job is performed. Usual office-type working conditions Some disagreeable factors present in working conditions such as necessarily poor ventilation, uneven temperature or the possibility of damage to clothing. Occasional disagreeable elements present in the working conditions part of the time such as heat, cold, dampness, fumes, dust, noise, or vibrations or exposure to disease-bearing specimens or odorous chemicals and specimens. Continuous exposure to several disagreeable elements of factors B. Indicate the Physical Skills required to perform the job. Please check all of the following activities which routinely apply to the job: Walking Carrying Sitting Grasping Stooping Climbing Kneeling Stooping/Crouching Lifting, maximum weight Crawling Standing Other (specify): Reaching Hearing/Listening

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XIII. AGE SPECIFIC COMPETENCIES Individuals interacting with patients or providing patient care must be able to demonstrate the knowledge and skills necessary to provide care and/or interact appropriately to the ages of the patients served by his/her assigned unit as specified below. They must also demonstrate knowledge of the principles of growth and development over the life span and possess the ability to assess data reflective of the patients status and interpret the appropriate information needed to identify each patients requirements relative to his/her age specific needs and to provide the care needs as described in the departments policy and procedures. Please check the appropriate categories for age-specific competencies. Birth to1 year 1+ year to 4 years 4+ years to 12 years 12+ years to 18 years 18+ years to 65 years 65+ years All Ages Not applicable

XIV. MINIMUM POSITION QUALIFICATIONS REQUIRED: Describe only the minimum requirements for performing the job, not the qualifications of the incumbent or the desired qualifications of a new hire. What minimum education, training or special courses are required for performing duties of the position. Circle appropriate education level. High School Undergraduate Graduate 9 10 11 12 13 14 15 16 17 18 19 20

What is the minimum related work experience required for doing this job, not the maximum experience of the incumbent or the desired level of a new hire. none 3 to 12 mo. 13 - 24 mo. 25 mo. 5 yrs. 5+ yrs. Please describe licenses, certifications or specialized training required:

I have reviewed the contents of this questionnaire and confirm that it is an accurate and complete description of the duties and responsibilities: Immediate Supervisor: Title: Signature: Department Head Title: Signature: Salary Administration Tool Kit Market Adjustments
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Phone #: Date: Phone #: Date:

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Annually, and more frequently for certain classifications, Human Resources, Rewards & Recognition, receives and analyzes relevant market data to compare the competitiveness of Dukes salaries against the market. As a general philosophy, Duke targets 95% to 105% market index of average salaries in the market. In other words, Duke targets its average salaries to be within 5% of market average. The market is defined by the industry(s) and region(s) in which we compete for talent. Market adjustments generally are recommended when our average salaries fall below 95% of market index. Market adjustments are not always applied to all employees in the classifications or job families receiving the adjustments. For example, employees who are high in the range or employees who are low in the range based on performance difficulties may be excluded. For more detail about factors to be considered regarding range placement, please see the range placement guidelines below. Starting Salaries/Promotions In determining starting salary offers, the following factors should be considered: Relevant education and experience as compared to minimum qualifications Specific knowledge, skills and experience as related to minimum qualifications Internal equity relevant to others in the classification Budget resources Equal opportunity These same considerations also apply when determining pay adjustments for promotions. Performance Increases There are several performance management systems in place throughout the institution, which differ in terms of compensable factors, frequency, and method of distributing pay. However, all of the performance management systems are designed to reward employees for achieving levels of performance. There is no such thing as a cost-of-living-adjustment at Duke, and performance increases should not be treated as such. Differentiation in pay should be tied to documented performance, and performance expectations and accomplishments should be regularly reviewed with and communicated to employees. Equity Adjustments There should be some relative consistency in terms of where employees fall within pay ranges relative to other peers. Using the salary range guidelines in salary decisions should promote pay equity. However, if there are inequities that result from historic inconsistencies, individual salaries should be adjusted as appropriate. There may also be situations where the external market requires the department to hire new employees at salaries higher than more experienced current employees. Given these situations, current employee salaries should be reviewed and adjusted to avoid pay compression problems. Typically, equity adjustments are based on relative experience, relative education, skills and performance. Please refer to the salary range guidelines for more details. Salary Range Guidelines Range Placement

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Although employees do not have established earning limits, jobs at Duke do have limits in terms of their minimum and maximum worth. Education, experience, performance, and proficiency drive where an individual employee should generally fall with a range. Generally, an employee who meets minimum requirements and is at or near minimum qualifications would be paid at or near range minimum. On the other hand, an employee with significant experience and expertise in a position who has a fully satisfactory performance record should be paid in the upper portion of the range. The midpoint (middle) of the range is designed for an employee who has developed to be fully proficient at the given job.

Maximu m

Midpoint

Employees with a significant amount of experience and full expertise in the position. Have reached Employees who are fully proficient in position with solid and demonstrable Employees who meet minimum requirements of position but need to develop towards

Performance Since the performance management systems at Duke are designed to reward performance, stronger performers have the opportunity to move more quickly and higher within the range. Alternately, individuals that do not meet performance standards should progress at a slower rate. Generally, our stronger performers (and/or very long-term employees) should move to the upper end of the range. Knowledge, Skills and Abilities Another factor in salary range placement is individual knowledge, skills and abilities (KSAs). KSAs often referred to as competencies, may distinguish employees ability to perform a job. When these KSAs are in high demand in the market, they may demand a premium. Therefore, individuals with these hot skills may need to be placed higher in the range than other employees without such skills. This special consideration should not be considered if the skills represent minimum requirements for the classification; in this case, the range would take the market demands for the skill(s) into account. Market Competitiveness The supply and demand for labor and skills can fluctuate significantly. Rewards & Recognition periodically reviews and analyzes external competitiveness to capture information about the degree of this fluctuation and to identify what classifications need their ranges to be moved consistent with the market movements. As managers make decisions about new salary offers, it is important to understand the market value or worth of a particular job. It is also critical to know how market movements can
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Salary Range

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hinder the ability to retain talent. Managers are encouraged to use Rewards & Recognition as a resource for market salary information. Internal Equity When determining salary decisions, managers should look not only at individuals salaries, but also at the salaries of the employees peers. There should be a correlation between pay and experience, education, performance and skills of employees. Inequities should be resolved when identified. Rewards & Recognition is available to assist with and support reviews of internal relationships. Budget & Legal Considerations Managers are very familiar with the challenge of managing to a budget, and compensation is no exception. Budget resources need to be considered with all compensation decisions. Working with your budgetary officials, managers need to be able to weigh the available resources against the factors of range placement. Other factors that cannot be avoided are legal implications. The primary legal consideration in terms of compensation is ensuring that protected classes are not discriminated against. Although these groups may not be intentionally discriminated against, the institution is legally liable if they are adversely impacted by salary decisions. Protected classes include sex, color, ethnicity, religion and age (for those over 40 years of age.) For specific information and guidance, you should contact your HR representative. Balancing the Factors All of the preceding factors should be considered when making salary decisions. However, not all of the elements should be given equal weight in all circumstances. The manager should understand that a given situation and environment may make one or more of these elements particularly important. The salary range guidelines require managers to use judgment and assume accountability in salary decisions. HR is a resource to advise and provide information to assist in these decisions. May 2004 DUKE UNIVERSITY SUPERVISORY PROCEDURAL INSTRUCTIONS FY 04-05 PERFORMANCE EVALUATION PROCESS (NOTE: Supervisors in departments where a formal performance evaluation program has been implemented should refer to guidelines published with that program in the completion of employee evaluations.) 1. Define the Job. Take time to review each employee's job and outline all major duties and responsibilities. Ensure that performance is evaluated only on those duties and responsibilities which employees know are part of their jobs. 2. Define Performance Standards. Using the outline of major job duties and responsibilities developed in Step1, define specifically what is expected in terms of satisfactory levels of performance using the performance criteria stated on the Performance Evaluation Form. If
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more than one employee is performing the same job, the performance standards should be the same. 3. Evaluate Performance a. Using the standards developed in Step 2 to measure performance, evaluate each employee's achievement of the standards using the performance level definitions listed below. Indicate the overall evaluation of the employee's performance on the Performance Evaluation Form and document key considerations used in making the evaluation. b. Performance Level Definitions: 1) Performance Exceeds Expectations Performance consistently exceeds the requirements of the job, extending well beyond expectations. The employee contributes unique and innovative solutions to problems and achievements are obvious to faculty, staff, students and customers. This rating is reserved for the highest achievements at an unusual and exceptional level. Performance Fully Achieves Expectations Performance consistently achieved standards for the major duties and responsibilities. Overall performance was consistently satisfactory in all aspects of the position. Performance Needs Improvement Performance was either consistently below standards for some of the major duties and responsibilities, or only occasionally achieved standards for most of the duties and responsibilities. Overall, some improvement is needed to achieve a consistent level of fully satisfactory performance. Performance Unsatisfactory Performance was below standards for most of the major duties and responsibilities. Overall performance was not satisfactory. Considerable and rapid improvement is necessary for the employee to remain in the position.

2)

3)

4)

c. Work Rule Compliance Guide. A department may opt to use the work rule compliance guide. If used, for an employee who has an active disciplinary action in his/her file, the level of evaluation is limited as follows: Action Oral Warning First Written Warning Final Written Warning Disciplinary Suspension Highest Assessment Allowed Fully achieves expectations Needs improvement Needs improvement Unsatisfactory

If the Work Rule Compliance Guide is used, supervisors should be consistent in applying it to all employees to limit overall evaluations.
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If an employee receives a disciplinary action, which changes the performance evaluation subsequent to the completion of the Performance Evaluation Form, the supervisor may complete a new Performance Evaluation Form 4. Communicate. Supervisors should meet privately with each employee to review the evaluation process and explain how his/her performance was measured with respect to the steps above. Positive ways in which performance can be strengthened or improved should be discussed and a specific time period established when performance will be reviewed and discussed again. The employee should sign the Performance Evaluation Form to indicate that the review was held. The employee's signature does not necessarily indicate agreement with the assessment. Supervisors should sign the Performance Evaluation Form as the reviewer; a second level of authority should also sign the Performance Evaluation Form. 5. Follow up. During the next review period, meet with your employees individually on a regular basis to provide feedback on their performance relative to the established job standards. 6. Finalize. The original copy of the Performance Evaluation form should be retained in the employee's departmental personnel file and a copy should be given to the employee. If you have any questions, please contact a member of the Human Resources Information Center (HRIC) at 6845600.

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COMPENSATION Paychecks
Staff members are paid on the 25th of each month for that month. If the 25th falls on a Saturday or Sunday, paychecks are issued on the preceding Friday. If the 25th falls on a University holiday, paychecks are issued on the preceding workday. Paychecks are sent to your Duke address, or you can have your paycheck deposited directly to your bank account. (See Direct Deposit of Paychecks). Duke automatically deducts federal, state, and Social Security taxes from your paycheck. Regular payroll deductions will also be made for the benefits in which you are enrolled. The types and amounts of your deductions, as well as your number of federal and state tax exemptions, are printed on your paycheck stub. If you have questions about your deductions, please call Benefits. For information on how to change your deductions or tax exemptions, see Changes in Tax Withholding or Paycheck Deductions.

Policies
All staff positions are subject to Duke's rewards and recognition system. Rewards and Recognition assigns a job title, job family, and job level to each position based on an evaluation of the duties and responsibilities of the position. Job families are groupings of occupationally similar jobs. Within each job family, each job level has established pay ranges. Job levels range from 09 to 15 for most staff positions. Senior administrative/professional positions are assigned to job level 98. Pay ranges are reviewed annually and adjusted as appropriate based on job market trends and Duke needs. It is the policy of Duke to pay salaries which are equitable in relation to the level of work performed within each occupational group. The salary for a particular position is established within the assigned pay range. Salaries are reviewed annually and may be adjusted based on job performance and other departmental considerations. As a result of your position as an exempt employee, your salary is not directly related to the actual hours you spend at work, but rather to the fulfillment of the requirements of the job regardless of the number of hours worked. Time worked beyond your normal workday or workweek does not affect the amount of your salary.

Benefit Categories
Benefits are determined by work schedule and job level. A benefit category number is assigned according to job level as follows: Job Level Benefit Category 16 and above* 1 14-15 2 11-13 3 10 and below 4 *Jobs in level 16 and above are actually designated as job level 98. Other sections of this Staff Benefits Guide will frequently refer to your benefit category regarding eligibility for benefits and other benefit policies.

BENEFITS FOR CURRENTLY EMPLOYED STAFF MEMBERS

This section summarizes the benefits available to currently employed staff members. For most benefit programs, booklets are available at Benefits Administration to help answer more specific questions. Duke reserves the right in its sole discretion to amend, modify, suspend, discontinue, or terminate any or all of the provisions of these programs.

Annual Benefits Statements

Duke provides each full-time staff member a comprehensive and customized annual summary of benefits. This statement is provided at no charge to the employee. It is entitled "Your Personal Statement of Benefits" and is sent to your home address in the spring. Call Benefits at 684-5600 if you have questions about your benefits coverage or wish to make any changes.

Dental Insurance
Duke offers an optional Group Dental Insurance Plan with two options, Plan A and Plan B, to all regular employees who work at least 20 hours per week. Plan A provides a benefit based on the usual, customary and reasonable charges that prevail in a given geographic area, while Plan B pays benefits based on a more limited schedule of benefits. Both plans allow participants to visit the dentist of their choice, the differences are in the premiums, deductibles and the amount of coverage. Coverage can be selected for the employee only, employee and spouse (or same-sex spousal equivalent), employee and child, or full family. Monthly premiums are payroll deducted on a pre-tax basis. However, premiums for spousal equivalents and the dependents of spousal equivalents are taken on an after-tax basis. Employees must enroll in the Plan within 60 days of employment or within 30 days of any change in family status (birth, marriage, divorce, death). Those who do not enroll within this period must wait until the annual open enrollment period and are subject to restrictions as late entrants. Changes in coverage or cancellation of the Plan are subject to the same limitations. Children are eligible for coverage until age 19, or age 24 as an unmarried, full-time student. Enrollment forms, claim forms, and brochures describing the Plan in more detail are available at Benefits.

Educational Assistance
In order to enable you and your spouse or same-sex spousal equivalent to take advantage of the educational opportunities available at Duke, educational assistance benefits that pay part of the cost of tuition will be granted to eligible individuals who take college courses at Duke University. Eligibility and Amount To be eligible for this benefit, you must work at least 20 hours per week and must have completed at least one year of service contiguous with your current employment. The amount of the benefit is 50% of tuition for non-degree studies and for audits. Those eligible include full-time employees with one year of service, employees who work from 20 to 30 hours per week, spouses and same-

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