FY 2013-2014 Staff Performance Evaluation and Merit Increase Guidelines For Central Administration, Academic and Research Units

Provided below is general information regarding the preparation and submission of annual overall performance ratings and merit increase recommendations for eligible staff for FY 2014.

Duke’s Performance Management Program should provide each employee a written evaluation as part of the annual Performance Evaluation and Planning discussion. This evaluation should be based upon their performance of duties set forth in the job description, established behavioral guidelines, and achievement of annual goals set last spring/summer. The streamlined performance evaluation form (PEP) is recommended for documenting performance contributions. Evaluations should include an overall performance rating (OPR) reflecting performance contributions over the last year. The recommended overall performance rating should be entered into the Salary Setting Tool no later than Friday, May 31st. An analysis of overall performance ratings and proposed salary increases will be reviewed by each Management Center to assess compliance with the Guidelines before approvals are communicated to staff.

Following Management Center approval in June, each supervisor should communicate the overall performance evaluation rating and merit increase to the staff member.

Schools and units will have flexibility to provide salary increases within a budgeted merit pool of 2.0%. Hiring managers and budgeting officials need to carefully plan and coordinate how to invest limited salary increase resources, both to confirm the performance message and to stay within the total salary pool target. 

In general, larger increases should be awarded to the best performers, and care should be taken not to adjust evaluations for the purpose of providing higher increases or defaulting to a Successful rating when an evaluation has not been completed.

Each individual should be evaluated based on his or her achievements with respect to established goals and standards. Typically, performance distributions will reflect the majority of staff rated at the Successful level, with a limited number achieving the Exceptional and Needs Improvement ratings. Small departments that result in highly skewed distributions are advised to consult with the appropriate Dean, Vice President, or Management Center.

Factors that hiring managers and supervisors should consider in determining salary increase recommendations for each performance range include:

  • Sustained Performance:
    Performance levels consistently sustained throughout the entire evaluation period would be eligible for a higher increase than more episodic performance.

  • Skill and Competency Mastery:
    Those with full/complete skill and competency mastery would be eligible for a larger increase than those at an earlier point of mastery.

  • Other Objective Departmental Criteria
    To the extent that objective performance criteria have been established as a priority (examples: professional development training, improved attendance, customer service, etc.) pay increases throughout the range could be used to distinguish contributions.

Merit Increase Ranges

Provided below are merit increase guidelines based upon an overall performance rating for each staff member:

  • For performance contributions assessed as Needs Improvement (NI), no increase may be the appropriate action. This category could, however, be applicable to those at an early point in their Duke career, or as result of new and expanded duties which may have included a promotion.. 
  • For performance contributions assessed as Successful (S), an increase from 1.0 % to 2.0% may be recommended.
  • For performance contributions assessed as Exceptional (E), an increase greater than 2% may be recommended (while adhering to the 2.0% overall total expenditure pool).
  • Increases outside of the parameters for each performance level must be reviewed and approved in advance by the Management Center.

Additional Guidelines

Pay Ranges

  • Minimums and Maximums for all pay ranges will be increased by 1%, effective July 1, 2013 to maintain a competitive position in the marketplace.

New Staff

  • Newly employed staff members who have been at Duke for at least 90 days but less than six months (as of July 1, 2013) would be eligible for one-half the full increase, based on the merit increase guidelines above. Recent hires (April – June) would not be eligible for a salary increase unless their rate is below the new minimum for the pay range associated with their position.

Minimum Salary or Hourly Rate

  • Following the July salary increase, staff should be paid no less than the minimum of the pay level for the job.

Maximum Salary or Hourly Rate

  • In general, staff should not be paid beyond the new maximum of the pay level. 
  • Staff members with salaries at or near the current maximum may receive a base rate increase to the new maximum with the remainder of the earned merit increase percentage awarded as a lump sum payment.
  • Those whose salaries are already above the FY 2014 maximum should not receive a rate increase but may receive the lump sum amount consistent with their performance.
  • In certain circumstances, (e.g. in the case of long service and exceptional performance contributions), an individual may receive a rate increase beyond the pay level maximum with the advance review and approval of the Management Center.

Salary increases for eligible staff should be submitted using the SAP R/3 salary setting tool, which will open on Monday April 29, 2013. Please note that all performance ratings must be entered by 5 p.m. on Friday, May 31, 2013. Further information and instructions regarding the preparation and submission of increases will be provided by each Management Center.

Additional resources regarding the evaluation process are available online from Human Resources > Compensation.