InBand Adjustment Policies and Procedures for Classified and Wage Employees

1
In-Band AdjustmentPolicies and Proceduresfor
Classified and Wage Employees

• University of Mary Washington
• Office of Human Resources
• Refresher Training for Supervisors

Updated January 2007
2
Course Objectives

• Definition of an In-Band Adjustment
• UMW and State Policy
• General eligibility criteria
• Change in Duties (new higher level duties)
• Application of new knowledge from
  licensure/certification
• Process and Timelines
• Supervisors Approach to the Process
• Questions and Answers

3
What is an In-band Adjustment?

• An in-band salary adjustment is a non-competitive
  pay practice which allows supervisors the
  flexibility to adjust individual salaries within
  their current pay band based on a change in
  duties (higher level) and/or application of
  knowledge, skills, and abilities from licensure,
  certification, and education.

4
State Pay Band Crossover (effective 11/25/05)
5
The In-Band Process

• The In-Band Process
• Provides management with flexibility to adjust
  individual employees salaries based on a change
  in duties (higher level) and/or application of
  knowledge, skills, and abilities due to
  licensure, certification, and education
• Provides individual employees with potential
  salary growth by recognizing career progression
• Provides management with tools to resolve
  specific salary issues

6
Keep in mind

• In-Band adjustments are different from
  performance awards
• Not across the board increases
• Operational factors will be considered
• Agency Business Need - Duties and
  Responsibilities
• Internal Salary Alignment - Knowledge, Skills,
  and Abilities
• Performance - Training, Certification, Licensure
• Budget Implications - Long Term impact
• Current Salary - Total Compensation
• Market Availability - Work Experience Education
• Salary Reference Data

7
Key Points of Policy ELIGIBILITY

• Non Probationary Classified Employees
• Must have a current Contributor performance
  evaluation rating
• Must not have received Written Notice within six
  months of effective date
• Probationary Classified Employees
• Eligible after 9 months of continuous employment
• Received an interim Contributor performance
  evaluation rating
• Wage Employees
• Eligible after 9 months of continuous employment

8
Maximum Adjustment Allowed

• Employees at maximum of pay band are not eligible
  for in-band adjustments or bonuses.
• Employee may receive more than one in-band
  adjustment or bonus within a fiscal year but
  combined in-band bonuses and in-band salary
  increases can not exceed 10

9
Reasons for In-Band Salary Adjustments
Job changes involving higher level duties

• Application of new knowledge, skills, and
  abilities
• from licensure, certification, or education

10
Change in Duties Adjustments(new, higher level)
Eligibility Criteria

• Higher level duties assigned on or after
  9/25/2000
• Performed higher level duties for at least 6
  months
• Possible Result Up to 10 base pay adjustment
  from original salary

11
Indicators of Higher Level Duties

• Greater independence in duties
• More responsibility for complex components of a
  process
• New decision-making authority
• Higher level of complexity (problem-solving,
  policy development)
• Taking work from supervisor
• Substantial amount of change
• New Supervision
• Additional supervisory responsibility within
  same scope of duties
• Substantial amount of time dedicated to higher
  level duties

Utilizing new tools to perform the same
function does not qualify
12
Application of new KSAs from Licensure,
Certification, or Education

• Eligibility Requirements
• Based on license, degree, or certification from
  an official accreditation program
• Source pre-approved by university management
• Must include copy of license, certification, or
  transcript
• Newly acquired KSAs must be applied in
  performance of duties
• Applied for a minimum of 6 months
• Possible Result
• Non-base pay bonus or
• In-band salary adjustment if application of KSAs
  results in higher level duties (addressed through
  guidelines of Change in Duties adjustments)

13
Examples of Eligible and Non-Eligible Education,
Licensure, Certification

• Eligible
• Completion of degree programs
• Professional certification programs
• Comprehensive Supervisory program or institute
• Technical certifications
• Not Eligible
• Courses used for remediation purposes
• Individual classes
• Knowledge learned in the course of a job
• Training on new tools to perform the same function

14
Your Role

• Your role is to determine whether
• This is the most effective management tool to
  address the issue
• The effect of this request on all employees in
  area has been considered and
• Decision is based on agency operational needs
  (optional business plan)

15
The Request Review Process
16
Request Process

• How can a request be initiated?
• Area supervisors who conduct classified employee
  evaluations and/or have authority to
  hire/terminate wage employees may submit requests
  to a designated supervisor in their area on HR
  Form R-1 (with signature).
• A designated supervisor from your area and the
  GLC member from your area must review, approve,
  and sign the request form (R-1).
• Designated supervisor submits the request to HR
  for compliance review before the request is
  submitted for official GLC decision.

17
HR Area Consultants
18
Supervisors Worksheet/PAW forIn-Band Adjustment
Requests
HR Form R-1
19
Employee Work Profile (EWP)Supervisor Request
Process

• Make Sure
• Previous EWP and current EWP are included, with
  duties and changes highlighted
• of time devoted to change in duties is noted
• EWPs showing current duties are initialed and
  dated by supervisor and reviewer verifying that
  EWP accurately reflects all changes from previous
  EWP.

20
Supervisor Worksheet (Form R-1)Supervisor
Request Process

• Supervisors Worksheet (see handout)
• Complete thoroughly
• Provide details and supporting facts where
  applicable
• Emphasize higher level changes
• Provide education documentation if applicable
• Relate to UMW Business needs
• Completed request must be received by established
  deadline

21
HR Compliance Review

• Review for appropriate signatures and
  documentation by deadline
• Incomplete requests will be returned to
  supervisor for completion
• Only completed requests submitted by the deadline
  will be forwarded to GLC for review

22
Green Light Committee
23
Green Light Committee (GLC)

• Review requests twice in a fiscal year
• Decision based on agency need and funding

24
Communication of Results

• GLC makes decision
• HR sends GLC decision to designated supervisor
• HR sends pay increase letters to employee
  receiving an adjustment with a copy to immediate
  supervisor

25
Denial Follow-up Options
26
Key Dates

• Spring 2007 Review
• Supervisor Refresher Training January 16, 2007
• Spring Review Submission February 9, 2007
• Adjustment Effective Date April 25, 2007

27
Summary of Fall 06 In-Band Process
Salary Adjustment Summary
28
Supervisors Approach to the Process
29
Supervisors Approach

• Determine if any of your employees positions
  have evolved.
• Analyze role of compensation in meeting your
  areas business needs.
• Communicate with employees about the process.
• Utilize recognition tools.
• Periodically assess internal procedures.

30
Determine if any of your positions have evolved

• Review your employees EWPs to see if they
  accurately reflect their current duties
• Apply departmental guidelines (with designated
  supervisor) considering the following
• Longevity of assignment (More than 6 months?
  Temporary?)
• Criticality to operations (past/present)
• Relative value of higher level indicators (i.e.
  Is independent decision-making in your operation
  more important than more complex components of a
  process?
• Other department specific considerations

31
Plan for the Future

• Analyze the current situation.
• Assess immediate and future need.
• Look for the gap.
• Determine how/if compensation tools can meet
  these needs.
• If compensation is the tool to meet the
  operational need, develop a compensation plan.

32
Is Compensation the right tool?

• Should this issue be addressed through other
  means? For example, through
• Restructuring
• Training
• Employee Relations
• If compensation becomes a relevant tool, then
  which compensation tool would be most effective?

33
Compensation Tools

• Temporary Pay
• Competitive Offers
• Retention Bonuses
• In-Band Salary Adjustments

34
Communicate with Employees
35
Internal Guidelines

• Work with your designated supervisor to establish
  and revise internal guidelines as needed.
• Communicate general guidance to employees about
  your internal process before and during the
  submission period.

36
When an employee requests to be recommended
Be prepared

• Set an appointment to meet with the employee
• Prior to the meeting
• Become familiar with the employees EWP.
• Be sure you understand the in-band guidelines for
  higher level duties and application of new KSAs.
• Be familiar with your internal departmental
  application of these guidelines.

37
Tips in a Dialogue

• Listen, listen, listen (there may be other
  non-salary issues)
• Communicate your understanding of the employees
  concern
• Be able to explain how the definition of higher
  level duties and application of KSAs applies to
  the situation.
• Explain the criteria in terms of agency business
  need.
• Be able to distinguish between performance and
  in-band adjustment criteria
• Give an appropriate and honest response (dont
  pass the buck)

38
Possible Responses

• That you will be mindful of what you learned in
  your discussion with him or her as you decide
  which recommendations to forward.
• That you intend to forward a recommendation, and
  that university wide priorities will determine
  which are awarded.
• That based on your understanding of the policy,
  this does not meet the criteria for an in-band
  adjustment.
• If it is a non-salary issue, begin to address it
  at that time.

39
If all else fails

• If necessary, remind the employee of other ways
  to address his/her concerns about the process
• Discuss with others in chain of command
• Consult with HR
• Consult with Department of Employee Dispute
  Resolution (EDR)
• Mediation and Grievance Process

40
4. Utilize Recognition Tools
41
Informal Recognition Ideas

• Personal thank you
• Thank you note
• Make an informal award
• Acknowledgement of Extraordinary Contribution
• Create a Hall of Fame wall
• Office Appreciation box

Other tips in online Supervisors
Handbook www.umw.edu/employeedevelopment/supervis
or_handbook
42
Tips on how to give Recognition

• Be
• Timely
• Specific
• Sincere
• Personal
• Proportional

Other tips in online Supervisors
Handbook www.umw.edu/employeedevelopment/supervis
or_handbook
43
UMW Recognition Awards

• WOW Cards
• 25 (classified and wage)
• Leave cards (classified only)
• VPSW
• Charles Coleman Service Memorial
• State Service Awards
• UMW 30 Year Service Award

44
5. Periodically Assess Internal Process

• Work with designated supervisor to evaluate
• How criteria are applied in your area
• the effectiveness of internal request procedures
• Other relevant topics

45
Summary of Key Points

• Make in-band requests based on agency business
  needs
• Consider overall impact of individual decisions
  and internal procedures
• Follow process requirements carefully
• Supervisor Worksheet
• Old and New EWPs
• Prepare yourself to address concerns of employees

46
Questions and Answers