General Circular No 1279

General Circular No. 001279

To: Heads of State Agencies and Human Resource

Directors

Subject: Performance Planning And Review System Rules

Issue Date: April 14, 1997

The State Civil Service Commission will hold a public hearing

on May 7, 1997 to consider the following rule proposals. The

hearing will begin at 9:00 a.m. and will be held in the

Department of Civil Service Second Floor Hearing Room, DOTD

Annex Building, 1201 Capitol Access Road, Baton Rouge,

Louisiana.

The following will be considered at the meeting:

AMEND RULE 1.14.2

1.14.2 'Efficiency Rating' means the official overall

rating assigned to an employee in accordance with

Chapter 10 of these rules.

ADD NEW RULE 1.20.1.1

1.20.1.1 'New Employee,' only for purposes of the

performance planning and review system, means

any employee who receives a new anniversary

date upon entering or reentering the classified

service.

EXPLANATION

The proposed amendment to Civil Service Rule 1.14.2 and addition

of Civil Service Rule 1.20.1.1 result from the changes to

Chapter 10 described in the following paragraph. The amendment

causes the wording in the definition of "efficiency rating" to

be consistent with the wording in proposed Chapter 10. The

addition of 1.20.1.1 creates a definition for the term "new

employee" for the purposes of the performance planning and

review system described in proposed Chapter 10.

CHAPTER 10 IN ITS ENTIRETY IS RE-ENACTED TO READ AS FOLLOWS:

10.1 Performance Planning and Review System; Required

Components.

Each department shall use a performance planning

and review 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

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):

Work product; Dependability; Cooperativeness;

Adaptability; Communication; and Daily

decision making/problem solving.

(b) Additionally, each supervisory employee shall

be rated on the following performance factors

(or their equivalents): Work group management

and leadership; and Performance planning and

review.

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. Satisfactory = 3 points

4. Needs Improvement = 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. Satisfactory = 2.50 - 3.49

4. Needs Improvement = 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;

or the anniversary date of a current

employee; or the movement of an employee

into a position having a different position

number and significantly different duties.

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 the

performance planning and review form and shall

provide documentation to support any rating of

"Needs Improvement" or "Poor;" shall discuss

the rating with the employee; shall sign the

form; shall present the form to the employee

for his or her signature; and shall give the

employee a copy of the form. The reviewer

shall sign the form either after the rating

supervisor has completed it or after the

employee has signed it.

(b) For a new employee, the steps prescribed in

subsection (a) shall take place within the 45

calendar days before the employee first becomes

eligible for a merit increase.

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 "Needs

Improvement" 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 "Needs Improvement" or "Poor" Rating or

Re-rating.

(a) A rating or re-rating of "Needs Improvement" or

"Poor" is not a disciplinary action.

(b) Until he or she 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.

subsection (b), an employee whose official

overall rating or re-rating is "Needs

Improvement" or "Poor" may be separated or

disciplined under the rules applicable to the

employee's status.

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 "Satisfactory" 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, but it shall not be

accessible to the public.

(b) Each official overall rating of "Needs

Improvement" and "Poor" and each official re-rating shall be reported to the Director

promptly after a copy of the performance

planning and review form has been given to the

employee.

authority shall report to the Director, in such

form as the Director prescribes, information

about ratings given during the previous year

ending June 30.

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 only as follows:

(a) A permanent employee who disagrees with an

official overall rating or re-rating of

"Satisfactory" or better and a non-permanent

employee who disagrees with any rating or re-rating 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

official overall rating or re-rating of "Needs

Improvement" 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.

subsection (b) of this rule, upon timely

appeal, and absent compelling reasons, the

employee shall be considered as having no

rating and Rule 10.11 shall apply.

10.14 Appeal of Ratings and Re-ratings.

Notwithstanding Rule 13.10(c), ratings and re-ratings shall only be appealable to the Commission

as follows:

(a) A permanent employee whose official overall

rating or re-rating remains "Needs Improvement"

or "Poor" after the appointing authority's

review may appeal the rating or re-rating to

the Commission. To be timely, the appeal must

be filed within 30 calendar days after the date

on which the employee was given written notice

of the outcome of the review.

(b) Any other rating or re-rating is only

appealable to the Commission on the basis of

discrimination. To be timely , the appeal must

be filed within 30 calendar days after the date

on which the employee was given a copy of the

performance planning and review form.

10.15 Effective date.

This Chapter shall become effective on July 1,

1997.

10. 16 Transition.

The Director shall establish and publish procedures

to effect an orderly transition to the performance

planning and review system established in this

Chapter.

EXPLANATION

If approved, the proposed new rules will replace the current

Chapter 10 of the Civil Service Rules. The main purpose of the

proposed rules will be to establish a system to ensure

communication to classified employees of what will be required

and expected of them for the coming rating period and then

informing them at the end of the rating period how well they met

those requirements and expectations.

The proposed Chapter 10 will establish and mandate use of a

performance planning and review system under which each

classified state employee shall participate in at least an

annual planning session and an annual performance review session

tied to his anniversary date. The proposed rules will require

that the performance of each classified employee must be rated

on at least six required factors and that the performance of

each classified supervisor must be evaluated on at least two

specific additional factors. Under the proposed rules, the

rating supervisor must choose from one of five specified levels

on which to rate the employee's performance on each factor and

on which to calculate the employee's overall performance rating.

AMEND RULE 13.10(C) AND (J)

13.10 Appeals to the Commission.

An appeal may be made to this Commission by

. . .

in the Classified Service who alleges that he

has been adversely affected by the violation of

the Article or any Rule of this Commission.

. . .

(j) Any permanent employee whose official overall

rating remains "Needs Improvement" or "Poor"

after the appointing authority's review of the

rating under Rule 10.13.

. . .

REPEAL RULE 13.10(K)

AMEND RULE 13.20(A)

13.20 Referees.

(a) The Commission may appoint a referee to hear

and decide any appeal pending before the

Commission.

. . .

EXPLANATION

The proposed amendments to Civil Service Rules 13.10(c) and (j)

also result from the changes to Chapter 10 described in the

preceding paragraph. The amendments cause the wording in these

subsections of Rule 13.10 to be consistent with the wording in

the proposed Chapter 10. The proposed repeal of Rule 13.10(k)

results from clarified information in the proposed Chapter 10

eliminating the need for the subsection in Chapter 13. The

proposed amendment to Civil Service Rule 13.20(a) brings the

wording of the subsection in compliance with current practice of

the State Civil Service Commission.

Persons interested in making comments relative to these

proposals may do so at the public hearing or by writing to the

Director of State Civil Service at Post Office Box 94111, Baton

Rouge, Louisiana 70804-9111.

If any accommodations are needed, please notify us prior to this

meeting.

Sincerely,

Allen H. Reynolds

Director