General Circular No. 001268

To: Heads of State Agencies and Human Resource

Directors

Subject: Comments On Performance Management System

Issue Date: December 19, 1996

We are seeking comments regarding the proposed Civil Service

Rules for the new Performance Management System; these Rules

would replace Chapter 10 of the current Rules with a proposed

effective date of July 1, 1997. If you wish to comment or

address the Civil Service Commission at its next regular

business meeting scheduled for Wednesday, January 8, 1997, on

the proposed Rules, please write (P.O. Box 94111, Baton Rouge,

Louisiana, 70804-9111) or call Anne Soileau, Acting Deputy

Director, at (504) 342-8536. The January 8, 1997 meeting will

begin at 9:00 a.m. in the Department of Civil Service Second

Floor Hearing Room, DOTD Annex Building, 1201 Capitol Access

Road, Baton Rouge, Louisiana.

REPEAL CHAPTER 10 AND REPLACE WITH PROPOSED RULES 10.1 THROUGH

10.15.

10.1 Performance Management System; Required Components.

Each department shall use a performance management system

that complies with this Chapter and consists of at least the

following components:

(a) a performance planning and review form approved by the

Director;

(b) a five-level rating system; and

(c) a performance management training manual that is

reasonably accessible to rating supervisors.

10.2 Rating Supervisor; Reviewer.

The appointing authority shall designate a rating supervisor

and a reviewer for each employee. Generally, the rating

supervisor should be the person who, in the appointing

authority's judgment, is in the best position to observe and

document the employee's performance. The reviewer should be

someone in the rating supervisor's supervisory chain of

command.

10.3 Performance Factors to be Rated.

(a) Each employee shall be rated on the following

performance factors (or their equivalents): Quality of

Work; Quantity of Work; Dependability; Cooperativeness;

Adaptability; Communication; and Initiative/Innovation.

(b) Additionally, each supervisory employee shall be rated

on the following performance factors (or their

equivalents): Performance Management; Performance of

Subordinate Work Group; and Leadership.

(c) An employee may be rated on any additional performance

factor(s) that the appointing authority considers

applicable to the employee's job.

10.4 Ratings.

(a) 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

2. Very Good = 4 points

3. Meets Expectations = 3 points

4. Below Expectations = 2 points

5. Poor = 1 point.

(b) The performance factor ratings shall then be averaged

and the employee's overall rating shall be assigned

based upon the following scale:

1. Outstanding = 4.50 - 5.00

2. Very Good = 3.50 - 4.49

3. Meets Expectations = 2.50 - 3.49

4. Below Expectations = 1.50 - 2.49

5. Poor = 1.00 - 1.49

10.5 Performance Planning Session.

(a) The rating supervisor shall conduct a performance

planning session, during which the rating supervisor

shall discuss with the employee the factors upon which

the employee will be rated and the performance that will

be expected during the coming rating period. Thereafter,

the rating supervisor and the employee shall sign and

date the performance planning and review form to

document the session.

(b) A performance planning session shall be conducted

no later than 30 calendar days after: the

appointment of a new employee (as defined in Rules

6.14 and 8.27); or the anniversary date of a

current employee; or the movement of an employee

into a position having a different position number.

(c) A performance planning session may be conducted when an

employee gets a new rating supervisor or when

performance expectations change due to changes in work.

10.6 Rating Process.

(a) The rating supervisor shall complete and sign the

approved performance planning and review form;

obtain the reviewer's approval of the rating; discuss

the rating with the employee; present the form to the

employee for his or her signature; and give the employee

a copy of the form. Documentation must be attached to

support any rating of "Below Expectations" or "Poor."

(b) For a new employee (as defined in Rules 6.14 and 8.27),

the steps prescribed in subsection (a) shall take place

within the 45 calendar days before the employee first

becomes eligible for a merit increase.

(c) For a current employee, the steps prescribed in

subsection (a) shall take place within the 45 calendar

days before the employee's anniversary date.

10.7 Re-ratings.

An employee whose official overall rating is "Below

Expectations" or "Poor" shall be re-rated. Unless the

employee has already been separated, the steps prescribed in

Rule 10.6(a) shall take place between 3 and 6 months after

the employee's anniversary date.

10.8 When a Rating or Re-rating Becomes Official.

A rating or re-rating that complies with Rules 10.6 and 10.7

becomes official when a copy of the performance planning and

review form is given to the employee. A copy is considered

given under the circumstances listed in Rule 12.8(d).

10.9 Employee's Refusal to Sign Form.

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.

10.10 Effects of "Below Expectations" or "Poor" Rating or Re-rating.

(a) Until he or she achieves at least a "Meets Expectations"

rating or re-rating, an employee whose official rating

or re-rating is "Below Expectations" or "Poor" is

ineligible for merit increases, promotion, and in the

case of a probational employee, permanent status.

(b) Apart from the ineligibilities provided for in

subsection (a), an employee whose official rating or re-rating is "Below Expectations" or "Poor" may be

separated under Rule 9.1(e), or disciplined or removed

in accordance with Chapter 12 of these Rules.

10.11 Effects of Absence of Official Rating or Re-rating.

An employee who is not rated in accordance with the

provisions of this Chapter shall be considered as having a

"Meets Expectations" rating on the employee's anniversary

date, or in the case of a re-rating, on the date that falls

6 months after the employee's anniversary date.

10.12 Record-keeping and Reporting Requirements.

(a) Each completed performance planning and review form

shall be kept in the department's personnel office.

(b) Each official rating and re-rating of "Below

Expectations" and "Poor" shall be reported to the

Director promptly after a copy of the performance

planning and review form has been given to the employee.

(c) By July 31 of each year, each department shall report to

the Director the number of official ratings and re-ratings, broken down by rating category, that were

given during the previous year ending June 30. The

report shall also include the number of "Meets

Expectations" ratings and re-ratings that were assigned

due to the absence of an official rating.

10.13 Review of Ratings and Re-ratings.

The grievance process shall not be used to review ratings.

Instead, ratings and re-ratings are subject to review as

follows:

(a) An employee who disagrees with a rating or re-rating of

"Meets Expectations" or better may present a written

response to the rating supervisor. A copy of the

response shall be attached to each copy of the

performance planning and review form that is maintained

by the department. The rating supervisor and the

reviewer shall consider the response and may raise a

rating, if they deem it appropriate.

(b) A permanent employee who disagrees with an overall

rating or re-rating of "Below Expectations" or "Poor"

may present a written request to the appointing

authority for a review of the rating or re-rating, as

follows:

1. The request for review must be postmarked or

received by the appointing authority within 30

calendar days following the day the employee

received a copy of the performance planning and

review form. In the request, the employee must list

the performance factor ratings that are in dispute

and, for each factor listed, must explain why he or

she contends a higher rating was earned. The

employee may attach written documentation to

support his or her contentions.

2. Upon receipt of a timely request for review, the

appointing authority shall review the employee's

request (including any attachments) and the

official performance planning and review form

(including the documentation that was attached to

it). The appointing authority may reach a decision

based on this review or may schedule an informal

meeting at which the employee and the rating

supervisor and any other people the appointing

authority deems appropriate may be heard.

3. No later than 60 calendar days after receiving a

request for review, the appointing authority shall

give the employee written notice of the outcome of

the review. Notice is considered given under the

circumstances listed in Rule 12.8(d).

4. The appointing authority may designate another

person or persons to conduct the review, so long as

the person has not participated in the rating or

re-rating in dispute.

(c) A permanent employee whose overall rating or re-rating

remains "Below Expectations" or "Poor" after the

appointing authority's review may appeal the rating or

re-rating to the Commission.

10.14 Effective date.

This Chapter shall become effective on July 1, 1997.

10.15 Transition.

The Director shall establish and publish procedures to

effect an orderly transition to the performance management

system established in this Chapter.

If any accommodations are needed, please notify us prior to

this meeting.

Sincerely,

Allen H. Reynolds

Acting Director