X-30 Classified Staff Performance Planning & Review

NORTHWESTERN STATE UNIVERSITY
Classified Staff Performance Planning and Review

I Purpose and Scope: This procedure outlines the procedure/process to be followed in processing the "State Employee Performance Planning and Review Form" for classified employees.

II Reference: Civil Service Rules and Regulations Louisiana State Constitution

Authority

The provisions of the Part are based on the authority contained in Article X, Part I, Section 10, Paragraph (A) (1) of the State Constitution and Chapter 10 of the Civil Service Rules. The Civil Service Law provides for a Performance Planning and Review System for the purpose of recognizing merit of employees and their contributions to the efficiency and economy in State Service. The rating is an over-all evaluation of the performance factors and their specific goals, objective, etc., in effect during the rating period.

Each classified employee must have a planning session no later than 30 days after the anniversary date of a current employee or after the appointment of a new classified employee. The review/rating session shall take place within 60 calendar days before the employee's anniversary date or in the case of a new classified employee, 60 calendar days prior new employee's first anniversary date.

General Conditions

By July 31 of each year, the University, through the Director of Human Resources, shall report to the Director of Civil Service, information about ratings given during the previous year ending June 30 as per Civil Service Rule 10.12(c).

Annual Performance Ratings are to be given important consideration in effecting pay increases, promotions, and layoffs, and particular emphasis is given to training all employees who supervise classified employees, in the proper procedure and utilization of the Performance Planning and Review System.

Rating Supervisor: The responsibility for Performance Planning and Review should normally be delegated to the supervisor who assigns and is responsible for the work of the employee being reviewed. However, Civil Service Rule 10.2 permits the University the discretion to designate the supervisory personnel who will conduct the Planning and Review Sessions. In some instances where there have been more than one supervisor over the employee being reviewed, the supervisors should cooperate in order to obtain the proper rating for the rating period. The immediate supervisor's responsibility, throughout the Performance Planning and Review Period includes:
1. Identify important performance factors for the employee's job and help the employee set performance expectations to improve performance.

2. Discussing performance with the employee on a continuing basis throughout the review period and at the time of review of rating with the employee, be frank and honest about ratings.

3. Rendering reasonable assistance when needed to improve employee performance, and otherwise strengthening supervisor-employee working relationships.

4. Giving recognition of rating in evaluating employee performance fairly and accurately in relation to the performance factors established during the planning sessions.

Performance Factors to be Rated: All classified employees are rated on six (6) required rating factors, and may be rated on three (3) additional factors if they apply to an employee's job. Classified employees who are in a supervisory position are rated on eight (8) factors, the required six (6) factors and two (2) mandatory factors for supervisors. Also position specific factors may be added if they apply to an employee's job. The performance factors are:

Required Factors:
1. Work Product - The quality and quantity of work produced by the employee.
2. Dependability - Being where the employee should be and doing what they are supposed to do.
3. Cooperativeness - Working with people.
4. Adaptability - Adjusting to change.
5. Communication - Giving and receiving information.
6. Daily Decision - Making/Problem-Solving - Thinking on the job.

Additional Factors (may or may not apply to all jobs):
7. Service to Clients/Public - Providing effective and courteous service.
8. Use of Equipment and Materials - Caring for an during the State's property and supplies.
9. Project Planning and Implementation - Creating and successfully following through with projects.

Supervisory Factors (mandatory for supervisors):
10. Work Group Management and Leadership - Directing the activity of subordinates.
11. Performance Planning and Review - Counseling and rating.

Performance Planning Sessions:

The rating supervisor shall conduct a performance planning session at least once per rating period, during which the rating supervisor shall discuss with the employee:
1. the factors upon which the employee will be rated and
2. the performance that will be expected during the coming rating period.

The rating supervisor shall provide written expectations for all factors upon which the employee will be rated.

The rating supervisor and the employee shall sign and date the performance planning form to document the session. The employee shall be given a copy of the planning document.

A performance planning session shall be conducted no later than 30 calendar days after:
1. the appointment of a new employee;
2. or the anniversary date of a current employee;
3. or the movement of an employee into a position having different position number and significantly different duties.

A performance planning session may be conducted when an employee gets a new rating supervisor or when performance expectations change. Additional performance planning sessions may also be conducted as the rating supervisor deems appropriate.

Ratings: The Civil Service Rules establishes 5 ratings and corresponding point values. The rating supervisor shall rate the employee on each applicable performance factor, using the following ratings (or their equivalents) and points:

1. Outstanding (5 points) - Exceeds requirements consistently and/or by a wide margin; nearly ideal.

2. Exceeds Requirements (4 points) - Consistently meets and sometimes exceeds requirements; very
well done.

3. Meets Requirements (3 points) - Normally meets requirements; generally well done, has performed
as expected.

4. Needs Improvement (2 points) - Fails to meet requirements, has not performed as expected, improvement is needed.

5. Poor (1 point) - Fails to meet requirements consistently and/or by a wide margin.

The performance factor ratings shall be averaged and the employee's overall rating shall be assigned based upon the following scale:

1. Outstanding =                       4.50 - 5.00
2. Exceeds Requirements =       3.50 - 4.49
3. Meets Requirements =           2.50 - 3.49
4. Needs Improvement =           1.50 - 2.49
5. Poor =                                    1.00 - 1.49

Rating Process: The rating supervisor completes the performance planning and review form and provides any necessary information to support any rating of "Needs Improvement" or "Poor"; discuss the rating with the employee; signs the for; presents the form to the employee for signature; and gives the employee a copy of the form. Send the original Form to the Business Affairs - Human Resource Section and keeps copy for rating supervisor's file.

Employees who receive either a "Needs Improvement" or "Poor" rating (both unsatisfactory ratings) shall not be eligible for merit increase, promotions, or permanent status. An employee who is not rated in accordance with the provisions of Chapter 10, Civil Service Rules, shall be considered as having a "Un-rated" rating on the employee's anniversary date.

Re-Rating: An employee whose official overall rating is "Needs Improvement" or "Poor" shall be re-rated. Unless the employee has already been separated, the re-rating process shall be due on the date that is 6 months after the employee's anniversary date. The re-rating may be given up to 60 calendar days prior to or on the re-rating due date. An employee who is not re-rated in accordance with the provision of Chapter 10, Civil Service Rules, shall be considered as having a "Un-rated" rating on the date that falls 6 months after the employee's anniversary date.

Effects of "Needs Improvement" or "Poor" Rating: A rating or re-rating of "Needs Improvement" or "Poor" is not a disciplinary action. Until the employee achieves an official overall rating or re-rating of "Satisfactory" or better, an employee whose official overall rating or re-rating is "Needs Improvement" or "Poor" is ineligible for merit increases, promotion, and in the case of a probational employee, permanent status. In addition employees with ratings of "Need Improvement" or "Poor" shall not be detailed to a higher level position except as approved in advance by the Director of Civil Services. Apart from the in-eligibilities provided by the unsatisfactory ratings, an employee may be separated or disciplined under the rules applicable to the employee's status.

When a Rating or Re-rating Becomes Official: A rating or re-rating becomes official when a copy of the performance planning and review form is given to the employee. An employee cannot prevent a rating or re-rating from becoming official by refusing to sign the performance planning and review form. If an employee refuses to sign any part of the form, the rating supervisor shall note on the form that the employee refused to sign and the date of refusal.

Review/Appeal of Ratings and Re-ratings: Ratings and re-ratings are subject to review only as follows:

A. A permanent employee who disagrees with any official rating or re-rating including "Un-rated" and a non-permanent employee who disagrees with the rating or re-rating has the right to have the rating reviewed by the Appointing Authority or his/her designee. The designated Reviewer is the only person within the employing agency who may change an official rating. The designated Reviewer shall not be the Rating Supervisor who conducted the rating.

B. A written request for review must be postmarked or received in the employing agency's Human Resource office no later than 15 calendar days after the employee's anniversary date, or for a re-rating, no later than 15 calendar days after the day that falls six months after the employee's anniversary date. In the request for review, the employee must explain why he/she believes a high rating is warranted and must attach whatever supporting documentation he or she wants the Reviewer to consider.

C. If the request for review is timely, the Reviewer must review the rating, the request for review, and any documentation supporting either. The reviewer must also discuss the contested rating(s) with the employee and the Rating Supervisor.

D. The Reviewer shall notify the employee and the Rating Supervisor, in writing, of the results of the review. Insofar as practicable, this notification shall be provided within 30 calendar days following the date the request for review was received in the Human Resource Office. Any change in rating shall be retroactive to the anniversary date or in the case of a contested re-rating, on the day that falls six months after the employee's anniversary date.

E. The initial PPR form, the request for review, the Reviewer's response, and all supporting documentation shall be maintained in the employee's PPR file.

Appeal to the Director of Civil Service:
Ratings and re-ratings shall only be appealable to Civil Service as follows:

A. A permanent employee who disagrees with the Reviewer's decision has a right to have his/her PPR file reviewed by the Director of Civil Service or the Director's designee.

B. An appeal under this Section must be postmarked or received by the Director of Civil Service within 30 calendar days following the dare the employee received a copy of the Reviewer's decision. In the appeal, the employee must explain why there was no basis for the contested rating.

C. If the appeal is timely, the Director of Civil Service or his designee shall obtain and review the employee's PPR file. When the Director or his designee finds that the agency violated any rule in Civil Service Rules Chapter 10 or that there was no documented, rational basis for a rating, the Director may order any contested rating changed as he deems appropriate. Insofar as practicable, the Director shall provide a written decision to the employee, the Rating Supervisor, and the Reviewer within 30 calendar days following the date the appeal was filed with Civil Service.

III Procedure:

Business Affairs-Human Resource Section

1. Business Affairs - Human Resource Section issues memorandum and sends Performance Planning and Review Form (Attachment #1) to Supervisor.

Supervisor or Designated Rating Official

2. Receives memorandum and the Performance Planning and Review Form for classified employees under their supervision. Schedules planning session with respective employee.

NOTE: Each classified employee must have a planning session no later than 30 days after the anniversary date of a current employee or after the appointment of a new classified employee.

3. Conducts Planning Session with employee. At the conclusion of the Planning Session, both employee and rating official sign and date the form. (Page 7 of Attachment #1). Provides copy of Planning Session to respective employee and send original to Human Resource Office for distribution at designated time for Rating Review Sessions.

Business Affairs - Human Resource

4. Issues memo to Supervisor that the Rating Section Review Session has to be completed on respective employee.

NOTE: The Review/Rating Session has to be done on each classified employee within 60 calendar days before the employee's anniversary date or in the case of a new classified employee, 60 calendar days prior to becoming eligible for a merit increase.

Supervisor or Designated Rating Supervisor

5. Receives memorandum indicating Rating Review Session is due for respective classified employee. At this time, rating official reviews the results of the earlier Planning Session and rates the employee. Schedules Rating Review meeting with respective employee.

6. Review rating with the employee and discusses as necessary. Upon completion of Rating Review Session, have the employee sign and then you sign as designated (Page 1 of Attachment #1). Provides copy of completed Form to the employee, make copy for Rating Official's files and sends original to Business Affairs-Human Resource Section.

7. Supervisor conducts planning session for next year. Employee and Supervisor sign page 7. Provide copy of planning session to employee. Send original from to Business Affairs - Human Resource Office, to be held until time for next rating session.

NOTE: If employee refuses to sign the Performance Planning and Review Form, the rating supervisor shall note on the Form that the employee refused to sign and the date of refusal.

Business Affairs-Human Resource Section

8. Receives completed Performance Planning and Review Form from Supervisor or Designated Rating Official. Files original Form in file kept in Business Affairs - Human Resource Section. Process merit increase if rating meets requirements, exceeds requirements, or outstanding.

9. Prior to July 31 of each year, report to the Director of Civil Service, information about ratings given during the previous year ending June 30 as per Civil Service Rule 10.12(c).