Performance Planning & Review - Classified Employees
Policy and Procedures
PERFORMANCE PLANNING AND REVIEW POLICY AND PROCEDURES
APPLICATION: Classified Employees
In accordance with Chapter 10 of the Louisiana Department of Civil Service rules,
classified employees will be evaluated on the following performance factors: work product,
dependability, cooperativeness, adaptability, communication, and daily decision
making/problem solving. Employees in supervisory positions will be rated on these factors
and additional factors to include work group management and leadership, and Performance
and Planning system. There are also additional factors that the employee may be rated on
if they apply to the position. The performance appraisal system is developed with the
intent of providing a clear means 1) for the supervisor to define the major job functions of
the position to the employee, 2) for the supervisor and employee to develop a shared
understanding of the work to be done, and 3) the factors that will be evaluated. The
supervisor and the employee will jointly establish performance objectives that will
improve, sustain, or increase the employee’s effectiveness.
TIMELINE
The Performance Planning and Review process begins with a formal planning session that must
be conducted by the following timeline, using the Employee Work Profile (Job Description) and
Positions Requirement Form:
1. New hires-within 30 days of the hire date
2. Current employees-within 30 days of the anniversary date
3. Transfer of current employee into department through position change-within 30 days of
the movement into department
4. Reallocations or position changes of current employees within same department-within
30 days of the position change
5. Optional-a new planning session when a change in supervision occurs to the rated
employee within the same department
6. Optional-a new planning session if performance expectations change or if supervisor
deems necessary
Note: Planning sessions can occur at any time the supervisor deems necessary. For
example, if the needs of the position change at any time, the supervisor can meet with the
employee and conduct a planning session, using a revised job description.
Note: Civil Service Rules allow for the appraisal of an employee no sooner than 60 days
before the employee’s anniversary date and no later than the anniversary date.
Note: Civil Service Rules allow for the planning session to take place no later than 30 days
after the anniversary date. However, if you rate your employee 60 days before the
employee’s anniversary date, you are allowed to conduct the planning immediately after
the rating date.
The Rating Supervisor is the supervisor who is assigned to conduct the annual Performance Planning and Evaluation session and shall herein be referred to as the Supervisor. The Rating
Supervisor is designated by the Director of Human Resources and cannot be changed
without consultation by the Director of Human Resources as per Civil Service rules. The
Rating Supervisor is the only person allowed to conduct a Performance Planning and/or
Review session.
PLANNING SESSION
Prior to conducting the formal planning session with the employee, the Supervisor will complete
Page 1 and include employee name, ID# (located on timesheet – do NOT use Social Security Number), anniversary date, agency name, job title, and indication of whether or not this employee is a Supervisor (Supervisor of full-time workers only).
The Supervisor will check the box marked Planning Session and fill in the reason for and date of the planning session. The Supervisor will be conducting either a first planning session with the new hire of an employee or movement by a current employee into the department, or the Supervisor will be
conducting an updated session due to changes in the position.
The Supervisor will fill out the Performance Expectations section for all factors on which they will rate the employee, including Performance Expectations sections for Supervisors they supervise. This is a Civil Service Requirement and can not be excluded for anyone you supervise.
The Supervisor will meet with the employee to conduct the formal planning session. During the formal planning session, the Supervisor and the employee will review 1) the Employee Work Profile (Job Description and Position Requirements form, 2) the performance expectations, in order to develop a shared understanding of the duties and responsibilities that are required for the
position, 3) Supervisor’s expectations, and 4) the performance factors on which the employee
will be evaluated during the upcoming year.
When the session is complete, the Supervisor and the employee will sign on Page 7-Performance Planning Session-Signatures.
The Supervisor will provide a copy for the employee to use as reference throughout the upcoming year. The Supervisor will hand deliver a copy of the Planning Session to Human Resources and file the original document in a confidential supervisory file maintained on the employee for later
retrieval. The planning session is complete.
During the upcoming year, the Supervisor will provide feedback to the employee on
performance. The Supervisor will maintain documentation and notes on accomplishments and
proficiencies and also maintain Counseling Letters and employee responses, Written Notices,
or Work Improvement Plans that address deficiencies in work performance. The Supervisor
will counsel employees on ways to improve performance, giving them specific tools for
improvement. Employees will be allowed a chance to respond to all counseling and an
opportunity to change. The Performance Planning and Review system cannot be used as the
only means of counseling an employee. Poor performance noted by a Supervisor begins
with progressive discipline. You should contact the Director of Human Resources for guidance
before initiating progressive discipline.
FORMAL EVALUATION
The Performance Planning and Review session ends with a formal evaluation and rating session
that must be conducted no sooner than sixty (60) days prior, but no later than, the anniversary
date of the employee. The Supervisor will retrieve the Performance Planning and Review form from their supervisory file.
Prior to conducting the rating session with employees, the Supervisor will 1) go back to Page 1 and check the box marked Rating Session, 2) check the box applicable to the rating session, and 3) fill in the Performance Rating from and to period of time.
The Supervisor will fill out the Performance Comments section on each performance factor
that had Performance Expectations. The Supervisor will meet with the employee to conduct the
formal rating session. During the formal rating session, the Supervisor and the employee will
discuss the performance comments, allowing employee feedback throughout the session. Documentation must be provided for any factor with a rating of [1] Poor or [2] Needs Improvement.
The Supervisor and employee will sign on Page 1-Required signatures. The Supervisor will ensure
that the employee reads the Employee Statement prior to allowing the employee to sign. If
employees are in disagreement with the rating, they are allowed to make comments in the section
provided, or they may attach an additional statement if more space is needed.
If employees are requesting a review, they must submit the review within 15 days of the rating or re-rating to the Director of Human Resources as indicated in the Employee Statement. The Supervisor will provide a copy of the Performance Planning and Evaluation form to employees, and the Supervisor will hand deliver the original document to Human Resources no later than five (5)
business days prior to the anniversary date.
THE CYCLE WOULD THEN BEGIN AGAIN.
ANNIVERSARY DATE
The anniversary date of the employee is exactly six months from the hire date, provided that there is not a break in service of one or more working days, and does not change at any time during the
employee’s career.
NOTICE
It is the Supervisor’s responsibility to keep up with the anniversary date of the employee; however, as a courtesy Human Resources will send the Supervisor a reminder 30 to 60 days prior to the anniversary date.
MERIT INCREASES
When employees have been continuously employed, without a break in service of one or more
working days for a period of six months, they become eligible for and may be granted merit
increases provided that the Supervisor has determined that the performance merits such an
award, and the appointing authority has approved the merit increases.
At the end of each subsequent 12 month period of such continuous employment, employees may
be granted additional merit increases if the appointing authority has determined that their
performance merits such an award. This date of eligibility shall be known as an anniversary date
and will not change through such continuous employment within the classified service.
The amount of each merit increase will be 4 percent of the employee's individual pay rate.
The Appointing Authority may, at any time within 3 years from the date an employee gained
eligibility, grant an employee all or any one of the merit increases for which he has attained
eligibility provided the employee has not received an official overall Poor or Needs
Improvement Performance Planning and Review rating for the applicable year(s). A part-time
employee will receive the same credit he would receive if he were employed on a full-time basis.
All increases authorized are subject to the requirement that no employee's pay will exceed the
maximum rate of pay established for the job or the highest rate within the base supplement
authorized for the position occupied.
An employee's eligibility for the increases will not be interrupted by time served in the military
service if he is reemployed under the provisions of Rule 8.19 of the Civil Service rules.
Former employees who are reemployed following a break in service of one or more working
days, except those appointed from a department preferred reemployment list and except those
who are restored to duty, under the provisions of Rule 8.19 upon return from military service,
will be considered a "new" employee within the meaning of this rule. Any adjustment or increase that employees receive under the provisions of other pay rules of the Civil Service rules, unless otherwise indicated, will not affect such employees’ eligibility to receive merit increases.
Employees who have a current official overall Performance Planning and Review rating of Poor
or Needs Improvement shall not be eligible for a merit increase.
Former employees who are reemployed following certification from a department preferred reemployment list within a year of the layoff date shall retain the anniversary dates and merit
increase eligibilities earned by the Civil Service rules for which they have not been granted an
increase. If re-employed from a preferred list after one year, the employee will be considered a
new employee with regard to the establishment of anniversary date and merit increase eligibility.
An employee on detail to a position in a higher grade may be eligible for a merit increase in the
higher job calculated on his individual pay rate in the higher job.
The Supervisor should use discretionary judgment in granting a merit increase to an employee
who has a “meets requirements” or better overall rating but has a “poor” or “needs
improvement” in one or more factors. The merit increase is an eligibility based on job
performance and is not automatic due to the fact that an employee has a “meets requirements” or
better overall rating.
EFFECTS OF OVERALL “NEEDS IMPROVEMENT” OR “POOR” RATINGS/RERATINGS
Employees whose official overall rating or re-rating are "Needs Improvement" or "Poor" will
not receive a merit increase, a promotion or permanent status as indicated by the rules of the
Department of Civil Service. An employee whose official overall rating or re-rating is "Needs
Improvement" or "Poor" will not be detailed to a higher level position except as approved in
advance by the Director of Civil Service.
An employee whose official overall rating is "Needs Improvement" or "Poor" will be re-rated.
The re-rating will 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. Human
Resources will notify the Supervisor and employee of the re-rating date.
Employees who are re-rated as "Meets Requirements" or better may be considered for a merit
increase, promotion, upward detail, or permanent status as of the date of the official re-rating.
WORK IMPROVEMENT PLAN
When employees receive a “needs improvement” or “poor” in one or more factors, the Supervisor must have
documentation to prove the deficient rating for each factor. The Supervisor must discuss the deficient areas
with the employee. The Supervisor must contact the Director of Human Resources to develop a Work
Improvement Plan. The Work Improvement Plan will list deficiencies in each performance factor applicable
and set specific tools or means for improvement in deficient area or areas. The Supervisor will be required to
evaluate the employee in writing on an on-going basis, allow the employee a response, and provide a copy of the evaluation to the employee. The Work Improvement Plan, evaluations, and employee responses to
evaluations are kept in the supervisory file.
PROFESSIONAL DEVELOPMENT PLAN
If a professional development plan has been developed due to an entry level position or development needs, an original copy of the plan should be placed in the supervisor’s file and a copy given to the employee. The job description should also be updated.
EFFECTS OF UNRATED RATINGS OR RE-RATINGS
An employee who is not rated in accordance with the provisions of Chapter 10 of the Civil
Service rules shall have an official rating of "Un-rated" on the day after the employee's
anniversary date.
Employees who are not re-rated in accordance with the provisions of Chapter 10 of the Civil
Service rules will have an official re-rating of "Un-rated" on the day after the date that falls 6
months after the employee's anniversary date.
If a rating is found to be non-compliant, the official rating will be changed to Un-rated by the
Director of Human Resources. A copy of Page 1 will be sent to the Supervisor to show that the
rating was changed to Un-rated. The Supervisor and the employee must both initial the new
rating in the space provided. The Supervisor will keep a copy and provide a copy to the
employee. The copy of Page 1 that was sent by the Director of Human Resources must be
returned immediately.
Examples of reasons a rating should be considered Un-rated:
1. Employee on extended sick leave
2. Transfer in from another agency within 90 days of anniversary date
Examples of reasons a rating may be changed from a rating to Un-rated or given a rating of Unrated:
1. Rating is not turned in on or before the anniversary date
2. Rating is not signed properly
3. Copy not provided to employee
4. Rating never rendered
If a rating is not turned in to Human Resources on or prior to the anniversary date of the
employee, the Director of Human Resources, on the next working day, 1) will complete Page 1
of the Performance Planning and Review form, 2) check the Un-rated reason of Untimeliness
and, 3) fax to the Rating Supervisor, and the employee. The employee will be advised of their
right to have the rating reviewed, and will be provided paperwork to request a Review from the
Director of Human Resources.
CLOSEOUT RATINGS
A closeout rating can be either an informal rating or a formal rating. The Supervisor conducts a closeout
rating when either (1) an employee is leaving the supervisor’s supervision or (2) the Supervisor is leaving the
work group and will no longer supervise the employee(s.) This informs the employee what the supervisor’s
assessment of his/her performance has been for the portion of the rating period he/she has supervised the
employee, but is also invaluable to the new Supervisor when he/she prepares to conduct the next official
rating for the employee. The Supervisor must provide a copy of the closeout rating to the employee and keep
a copy in the supervisory file of the employee. If the employee separates employment with a department at the university to move to another department or leaves the university entirely, and the separation date is within the window of opportunity (60 days) of the anniversary date, the closeout rating will be considered a formal rating, and is due in Human Resources no later than the anniversary date.
If the employee separates employment with a department at the university to move to another department, or
leaves the university entirely, and the separation date is not within the window of opportunity (60 days) of the anniversary date, the closeout rating will be considered an informal rating, and is due in Human Resources on the last day of employment.
If a Supervisor is leaving the work group and will no longer supervise the employee, the closeout rating will
be considered an informal rating, and is due in Human Resources on the last day of supervision.
The new Supervisor should request a copy of the Closeout Rating from Human Resources.
REVIEW OF RATINGS
A permanent employee who disagrees with any official rating or re-rating has a right to have the
rating reviewed by the Appointing Authority or his/her designee.
The Designated Reviewer at
McNeese State University is the Director of Human Resources. The Director of Human
Resources 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.
A written request for review must be postmarked or received in Human Resources 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 higher rating is warranted,
and must attach whatever supporting documentation he or she wants the reviewer to consider. If
the request for review is a result of an Un-rated reason, the employee may attach a copy of Page
1 showing the rating as Un-rated. This is all of the documentation required for this reason. A
Request for Review form may be downloaded from the Civil Service website or a hard copy may
be obtained in Human Resources.
If the request for the review is timely, the reviewer must review 1) the rating, 2) the request for
review, and 3) any documentation supporting either. The reviewer must also discuss the
contested rating(s) with the employee and the Supervisor.
The reviewer shall notify the employee and the 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 Human Resources.
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. 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 OF RATINGS
A permanent employee who disagrees with the Reviewer’s decision has a right to appeal the
decision to the Director of Civil Service and have his Performance Planning and Review file
reviewed.
An appeal under this Rule must be postmarked or received by the Director of Civil Service
within 30 calendar days following the date 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.
If the appeal is timely, the Director of Civil Service or his designee will obtain and review the
employee’s Performance Planning and Review file. When the Director of Civil Service or his
designee finds that the agency violated any rule in this Chapter or that there was no documented,
rational basis for a rating, the Director of Civil Service may order any contested rating changed,
as he deems appropriate. Insofar as practicable, the Director of Civil Service shall provide a
written decision to 1) the employee, 2) the rating Supervisor, and 3) the reviewer within 30
calendar days following the date the appeal was filed.
EMPLOYEE REFUSAL TO SIGN FORMS
Employees cannot prevent a planning session, 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 Supervisor shall note on the form the employees, refusal to sign and the date
of the planning or rating session.
UNAVAILABILITY OF EMPLOYEE
When an employee is not available to sign the Performance Planning and Review form due to
extended sick leave or other applicable occurrences, the provisions of this rule will be satisfied
by mailing the completed document to the employee on or before the employee’s anniversary
date. This will be done by certified mail with return receipt requested. The Supervisor will keep
the return receipt in the supervisory file.
FORM AND RECORDKEEPING
The Performance Planning and Review form can be found on the Human Resources website at
www.mcneese.edu/hr under Rating Supervisor.
Human Resources will maintain a list of all employees who are evaluated, a list of rating supervisors, and the
anniversary dates of all employees. Human Resources will file the PPR forms in confidential files separate from the employee’s individual file. |
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