Performance Evaluation System

1. Performance Evaluation System Introduction and Overview

2. Handouts • PowerPoint • Civil Service chapter 10 rules • Planning and evaluation form • Performance notes • Request for review

3. Purpose of PES • Align individual performance with agency goals and objectives • Encourage employees and supervisors to routinely discuss performance • Evaluate employee performance on objective, written documentation

4. Significant Changes from PPR to PES • Focused evaluation date that is FY based • No numerical points • No Re-ratings for unsatisfactory ratings • Option for new hires of not evaluated • Only permanent employees with Unrated or Needs Improvement/Unsuccessful may request an agency review

5. Performance Adjustment Eligibility • An employee who is in active status as of June 30 of the performance year shall receive a performance evaluation • The rating on the evaluation shall have an effective date of July 1 • An employee who receives an overall ‘Exceptional’ or ‘Successful’ on their rating attains eligibility for a performance adjustment with an effective date of October 1 • Supervisors and Second Level Evaluators who do not properly administer the PES system components shall not attain eligibility for a performance adjustment

6. Adjustments for New Hires • An appointing authority may grant a 2% base pay increase to an employee appointed at the minimum of the pay range after that employee has served at least six months. When an appointing authority elects to grant such pay adjustments, they must be granted in a uniform manner (based on criteria set forth in policy) to all employees in the same job title who are hired at the minimum of the range. Such pay adjustments may only be granted within twelve months of the effective date of the appointment. • The agency must have a policy on file with Civil Service prior to implementation

7. Important Dates in 2012 • 7/1/12 FY 12/13 PES Planning begins • 9/30/12 FY 12/13 PES Planning ends • 12/31/12 PES Supervisor’s mandatory training deadline • PES Basics • PES Planning Process • PES Evaluation Process

8. Important Dates in 2013 • 7/1/13 FY 12/13 PES Evaluation begins FY 13/14 PES Planning begins • 8/31/13 FY 12/13 PES Evaluation ends • 9/30/13 FY 13/14 PES Planning ends • Dates will follow the same pattern for future years

9. Planning Process • Supervisor will prepare planning • 2nd level evaluator (the supervisor’s supervisor or other designee chosen by the Appointing Authority) will review the planning, suggest changes if necessary, and sign the final document • Supervisor will meet with employee to discuss performance expectations • Supervisor and employee will sign the planning document • The supervisor shall note on the form if an employee declines to sign the planning document. It still becomes an official performance plan.

10. Planning continued • The supervisor should give a copy to the employee, keep a copy and forward the original to HR • Planning should be conducted: • During the planning period: July 1 – September 30 • Within 3 months following the appointment of a new employee • Within 3 months of moving an employee to a position with significantly different duties.

11. More about Planning • Planning may also be conducted when: • The employee gets a new supervisor • Performance expectations change • The evaluating supervisor deems it appropriate • Copies of additional planning documents should be given to the employee, kept by the supervisor and originals should be forwarded to Human Resources • All planning documents with original signatures should be forwarded to Human Resources

12. Performance Evaluation • Beginning 2013, employees who are active on June 30 shall be evaluated between July 1 and August 31 • No evaluation should be rendered prior to July 1 or after August 31 • Remember to rate any employee who is on a leave of absence but holds a classified position such as those serving in an unclassified capacity

13. Official Evaluations • Must be conducted timely • Documentation is required to support an evaluation of “Needs Improvement/Unsuccessful” or “Exceptional” • Second level evaluator’s signed approval is required prior to discussion with employee • Discussion of the evaluation with the employee • Supervisor and employee should sign and date

14. Evaluation Documents • If employee declines to sign the evaluation, the supervisor shall note this on the form. This does not prevent the evaluation from becoming official. • When an employee is not available, the evaluation can be mailed on or before August 31 with a certificate of mailing. This should only be done in rare circumstances. • Copies of the evaluation should be kept by the supervisor and employee • Supervisor’s are required to keep all documents related to the PES in a secure location not accessible to the public or other employees.

15. Ratings to be Used Overall Evaluation: The level that reflects performance compared to the defined expectations • Exceptional • Successful • Needs Improvement/Unsuccessful • Not Evaluated • Unrated

16. 3 Tier Evaluation System • Exceptional: Work and behavior consistently exceeded the performance criteria • Successful: Work and behavior met the performance criteria • Needs Improvement/Unsuccessful: Work and/or behavior did not meet the performance criteria

17. Evaluations of “Unrated” Unrated: Rating rendered when a violation of Chapter 10 Rules occur (Ex: Evaluation rendered after August 31) Permanent employees have the right to request a review in accordance with the provisions of C.S. Rule 10.11 and 10.12 The rating of “Unrated” shall have the same effect as an evaluation of Successful

18. Not Evaluated Not Evaluateddefault ratings can only be given when: • Employee is active as of June 30th, and • the employee has worked less than 3 calendar months within the Performance Evaluation Year, and • the appointing authority determines that not enough time has elapsed to create an Evaluation for the employee The rating of “Not Evaluated” shall have the same effect as an evaluation of Successful

19. Toolbox • Fillable Word PES Planning/Evaluation Form • Web based Bank of Expectations • PES Request for Review • PES Development and Documenting Tools • Performance Notes • Performance Development Tool • HR Handbook • C.S. Website

22. Bank of Expectations • Access by clicking on link in the PES form • Ability to customize to incorporate agency’s goals and objectives • Wide range of job specific expectations organized by job categories • Samples of work and behavior expectations for all levels of employees • Easy to use features; cut & paste, edit to PES form

23. Bank of Expectations cont. • Required to have at least one work expectation and one behavioral expectation • Supervisory employees must also be rated on their administration of the PES • You may use as many expectations as you like even if the form goes on multiple pages. • You can formulate your own expectations. There is no requirement to use the bank of expectation.

25. Request for Review – Agency Level • Request for agency review can only be requested by a Permanent employee for ratings of Needs Improvement/Unsuccessful or Unrated • Request for Agency Review shall be considered timely if received in HR by 9/15 • Agency Review shall be completed and employee notified of decision by 10/15

26. Request for Review – Director Level • CS Director Review can only be requested when an employee is not satisfied with the Agency Review for a rating of Needs Improvement/Unsuccessful • Request for Review is considered timely if it is received from the employee within 10 calendar days of receipt of Agency Reviewer’s decision • CS Director Review shall consist of reviewing only the Employee’s PES file from the agency and the request as submitted by the employee

27. Director’s Review cont. • CS Director Review shall be completed within 30 calendar days after receipt of employee’s PES file • Director’s decision shall either affirm the Evaluation rendered by Agency Review or change to Unrated • CS Director Review shall be final

28. PES Training • Classified supervisors are required to complete the three Performance Evaluation System courses offered in LEO by December 31, 2012. • PES Basics (15-20 minutes) • PES Planning Process (45-60 minutes) • PES Evaluation Process (45-60 minutes) – highest level • PES Forms is an optional course that provides detailed instructions on how to complete the PES form. • It would be beneficial to supervisors to complete the PES training prior to conducting planning sessions. • For all training in LEO, Internet Explorer 8 must be set as the default browser on the computer.

29. PES BASIC • Web-based training program that builds the foundation for employees to understand what a performance evaluation system is, what are its features and benefits and why organizations use such systems • Time needed to complete: 20 minutes

30. PES SUPERVISOR • Web-based training program covers the specifics of the State’s PES Planning and PES Evaluation process from three different perspectives: • Employees • Supervisors • 2nd Level Evaluators • Time needed to complete: 1 hour per process

31. PES FORMS • This course is a quick reference tool available for anyone who needs to complete all or a portion of the PES form. The course covers each section of the form and what is expected to be included and/or attached to the form.

32. Questions? • If you have questions while preparing your planning or evaluation documents, please call: • Lacey Hue at (225) 342-0559 • Mimi Vidrine at (225) 342-4522