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Division of Business Affairs
Human Resources

Performance Evaluation System

PES Handbook

The Performance Evaluation System is a tool used to measure individual performance and to develop employees into high-performing individuals. The Performance Evaluation System is effective July 1, 2012 and applies to all classified employees: restricted, job appointment, probational and permanent. The performance evaluation year shall be July 1 through June 30 of each fiscal year.

Performance evaluations are maintained in the Human Resource Department in employee confidential personnel files. Completed forms must be available upon request to the Department of Civil Service for auditing purposes. The Appointing Authority will annually report to the Director of Civil Service, in such manner as the Director prescribes, information about evaluations given during the previous year ending June 30. The Director of Civil Service may require more frequent reporting as needed.


Important Dates

Performance Evaluation Session: July 1 – August 31*

Performance Planning Session: July 1 – September 30*

Mandatory Training Deadline: December 31, 2012*

Planning sessions for new hires and those employees being moved to a position having a different position number with significantly different duties should be conducted within three (3) months of the effective date.

*All planning sessions and evaluation ratings must be submitted to the Human Resources Department no later than August 31 (evaluations) and September 30 (planning sessions) of each fiscal year. If the deadline falls on a weekend, Holiday or University Closure, all forms are due in Human Resources the workday before.


Performance Planning Session
July 1 – September 30

Planning sessions shall be conducted during the first three (3) calendar months following:

•  the appointment of a new employee;

•  the permanent movement of an employee into a position having a different position number with significantly different duties;

•  the beginning of the new performance evaluation year (no later than 9/30).

Planning sessions may be conducted when:

•  the employee has a new Evaluating Supervisor,

•  performance expectations change, or

•  the Evaluating Supervisor deems a performance planning session is appropriate.

Should the employee decline to sign the performance planning form, the Evaluating Supervisor shall note this on the form and record the date the planning session occurred. An employee cannot prevent the planning session from becoming official by refusing to sign the form.

An Evaluating Supervisor or Second Level Evaluator who fails to administer the performance evaluation system in accordance with Civil Service Rule 10.2-3 shall not be eligible for a performance adjustment (merit increase) for that year.


Performance Evaluation Session
July 1 – August 31

Performance evaluations are required for all classified employees. The Evaluating Supervisor shall base the official evaluation of the employee’s performance on the work tasks and behavior standards as stated on the performance planning form.

At the end of the performance evaluation period, the Evaluating Supervisor shall assign one of the three values listed below based upon the work tasks and behavior standards established in the performance planning session.

Performance evaluations shall be conducted no later than August 31.

Exceptional: Work and behavior consistently exceeded the performance criteria.

Successful: Work and behavior meets the performance criteria.

Needs Improvement/Unsuccessful: Work and/or behavior did not meet the performance criteria.

Exceptional and Needs Improvement/Unsuccessful evaluations must have attached documentation to justify the rating.

Not Evaluated: Employee is active as of June 30 and the employee has worked less than three (3) calendar months. An Evaluating Supervisor may elect to assign an employee who worked less than three calendar months within the performance evaluation year a default overall evaluation of “Not Evaluated.” A performance rating of “Not Evaluated” shall have the same effect as a “Successful” performance rating.

Unrated: When an evaluation is in violation of these rules (untimely). Performance evaluations received after August 31 are considered untimely and violates Civil Service rules. “Unrated” performance evaluations shall have the same effect as “Successful” and are reported to Civil Service Commission.

Should the employee decline to sign the performance evaluation form, the Evaluating Supervisor shall note this on the form and record the date the session occurred. An employee cannot prevent the evaluation from becoming official by refusing to sign the form.

An Evaluating Supervisor or Second Level Evaluator who fails to administer the performance evaluation system in accordance with Civil Service Rule 10.2-3 shall not be eligible for a performance adjustment (merit increase) for that year.


Evaluating Supervisors

The Evaluating Supervisor is the person who is in the best position to observe and document an employee’s performance. As a supervisor, it is your responsibility to develop your employees. Planning and reviewing the work of your employees will enable you to make sure your staff is doing their part to carry out all of the goals and the mission of the University.

Expectations are written to do two things—to reinforce positive performance, and to change or improve performance that is less than acceptable; that is, to encourage the employee to continue to do well or even better, what he or she is already doing well. Also, to point out how you wish the employee to improve in those areas he or she needs to improve.

Documentation of employee performance is a very important aspect of a supervisor’s job.

•  Consistently observe and document your employees’ performance

•  Keep a supervisory folder for all of your employees

•  Document year-round

•  Document for all of your employees

•  Document both good and bad things

•  Communicate with your employees about their performance

•  Encourage your employees to keep their own folders regarding their accomplishments

You decide how you want to document performance. Be sure to provide your employees with continuous feedback. Communication is vitally important. Document communication took place. In many cases, it will be important to document not only the employee’s performance, but also the fact that you discussed the performance with the employee. In other words, make a note that communication did occur. There is no requirement that you provide a copy of your notes to your employee, though many supervisors do.


Evaluating Supervisors Checklist:

_____ Schedule the performance evaluation or planning session in advance. Make sure you have a private place to meet as well as enough time for the meeting. Do not wait until the last minute to rate an employee in the event there are problems with your forms. Human Resources should have enough time to return them to you for correction before the deadline.

_____ The Evaluating Supervisor shall obtain the Second Level Evaluator’s signature approval of the performance planning prior to presenting to the employee for discussion.

_____ After obtaining the Second Level Evaluator’s signature approval of the performance plan, the Evaluating Supervisor will conduct the performance planning session or evaluation with the employee.

_____ During the session, the Evaluating Supervisor shall present the performance plan form to the employee and discuss the work tasks and behavior standards on which he or she will be evaluated and the performance that will be expected during the coming evaluation period.

_____ The Evaluating Supervisor and the employee shall sign and date the performance planning/evaluation form to document the performance plan session. The employee shall be given a copy of the form.


Suggestions for Evaluating Supervisors

•  Open the meeting in a positive way; be friendly and sincere.

•  Remember that the employee is being rated for the entire rating period. Don’t lose sight of this and only consider the performance of the past few months prior to rating time.

•  Focus on the job rather than the individual.

•  Talk about behaviors and performance, not attitudes and personality.

•  Try not to be positively or negatively influenced by your personal feelings about the employee.

•  Stress areas of strength and areas that need improvement.

•  Be honest about problems; nothing is accomplished by avoiding the issues.

•  Discuss your employee’s responsibilities and clear up any misunderstanding about those responsibilities.

•  Let the employee talk; actively listen to the employee.

•  Listen carefully if the employee has complaints or requests.

•  Ask the employee if there are resources he or she needs or obstacles keeping him or her from performing as well as possible, especially, if performance is below the level you had expected. 

•  Summarize and paraphrase to make sure you both understand what has been discussed.

•  Make a commitment to yourself that you will follow up on the plan of action that the two of you have discussed.

•  Use follow up discussions when necessary.

•  Communicate, Communicate, Communicate.


Second Level Evaluators

The primary goal of the 2nd Level Evaluator is to ensure the evaluations supervisors present to their employees are appropriate.

For example, it is inappropriate to rate an employee as “Exceptional” when the employee has only met his or her work expectations. Meeting expectations is something a “Successful” employee does. It is appropriate to rate an employee as “Exceptional” when the employee consistently surpasses work expectations. Similarly, it is inappropriate to rate as “Unsuccessful/Needs Improvement” an employee who was five minutes late one time during the evaluation period but otherwise performed well.

Second Level Evaluator ensures that employees with similar job duties with similar job performance receive similar ratings. Second Level Evaluator may need to meet with the evaluating supervisor and guide them in making fair, accurate and uniform ratings for their employees, making sure agency policies are followed and timelines are adhered to.

Second Level Evaluator should review documentation and must sign and date the Performance Evaluation System form along with the evaluating supervisor.


Classified Employees

Performance evaluations are required for all classified employees: restricted, job appointment, probational and permanent.

Request informal feedback throughout the year from your supervisor, especially if there are areas in which you personally are trying to improve.

If your Evaluating Supervisor has asked you to remind him or her of your planning or evaluation deadline, please do so.

If you do not receive an evaluation by the deadline, August 31, your official performance rating will be “Unrated.” You do not have to wait to be notified that you earned an “Unrated;” you can go on and request a review if you wish to by completing the PES Request for Review Form. Your Request for Review must be submitted in writing and be postmarked or received in the Human Resources Department no later than September 15.

Permanent employees have a right to request a review in accordance with the provisions of Civil Service Rule 10.11. See REQUEST FOR REVIEW BY AGENCY.


EFFECTS OF “NEEDS IMPROVEMENT/UNSUCCESSFUL” RATINGS 

An evaluation of “Needs Improvement/Unsuccessful” is not a disciplinary action. Any employee whose performance evaluation is “Needs Improvement/Unsuccessful” shall not be:

•  eligible for a performance adjustment (merit increase), a promotion or permanent status, or

•  detailed to a higher level position unless approved in advance by the Director of Civil Service.

An employee whose performance evaluation is “Needs Improvement/Unsuccessful” may be separated or disciplined in accordance with the rules applicable to the employee’s status

Permanent employees have a right to request a review in accordance with the provisions of Civil Service Rules 10.11 and 10.12. See REQUEST FOR REVIEW BY AGENCY.


EFFECTS OF THE ABSENCE OF AN OFFICIAL RATING

When an employee is not available (extended sick leave), the performance evaluation form should be mailed to the employee. If the employee is notified by mail, the notification shall be deemed timely if mailed to the employee’s most recent address on or before August 31, as evidenced by official proof of mailing. The Human Resources Department shall maintain documentation the employee was notified on or before August 31.

When an employee refuses to sign the performance evaluation form, the Evaluating Supervisor shall note this on the form and record the date that the evaluation session occurred. An employee cannot prevent the evaluation from becoming official by refusing to sign the form.

When an employee is not evaluated due to untimeliness, the official performance evaluation is “Unrated.” Evaluations of “Unrated” shall be indicated on the performance evaluation form by the Evaluating Supervisor, Second Level Evaluator or Human Resources. The employee shall be notified when assigned an official performance evaluation of “Unrated.”

Permanent employees have a right to request a review in accordance with the provisions of Civil Service Rules 10.11. See REQUEST FOR REVIEW BY AGENCY.


REQUEST FOR REVIEW BY AGENCY

A permanent employee who receives a performance evaluation of “Unrated” or “Needs Improvement/Unsuccessful” may request an official review by the Designated Reviewer in Human Resources. The Director of Human Resources will serve as the official Agency Reviewer.

1.     The official overall evaluation may only be changed by the Agency Reviewer.

2.     A request for review must be submitted in writing and be postmarked or received in Human Resources no later than September 15.

3.     In the request for review, the employee must provide supporting documentation for the request for review, explain specifically which factors/expectations he or she disagrees with and what rating he or she is requesting.

4.     The Agency Reviewer shall give the employee and the Evaluating Supervisor written notice of a decision no later than October 15.

5.     Any change in the performance evaluation from the request for review shall be retroactive to July 1.


REQUEST FOR REVIEW BY DIRECTOR OF CIVIL SERVICE

A permanent employee who receives a performance evaluation of “Unrated” or “Needs Improvement/Unsuccessful” following an Agency review may request to have the performance evaluation reviewed by the Director of Civil Service or the Director’s designee. A request for review under this rule must be postmarked or received by the Director no later than 10 calendar days following the date the employee received the Agency Review decision.

In the request, the employee must explain why he or she is contesting the decision of the Agency Reviewer(s). If the request for review is timely, the Director or designee shall obtain and review the employee’s performance file. The Director may either affirm the overall evaluation or change the overall evaluation to “Unrated.” The Director’s decision shall be final.

The Director shall provide a written decision to the employee, the Evaluating Supervisor and the Director of Human Resources no later than thirty (30) calendar days following the date the request for review was received. 


PERFORMANCE EVALUATION TOOLS 

Performance Evaluation System – Bank of Expectations (web-based)

•  Samples of Work and Behavior Expectations for all levels of employees

•  Easy to use features, cut and paste, edit to PES form

•  Ability to customize and incorporate individualized goals and objectives

•  Accessible through Civil Service website

PES Planning and Evaluation Form doc -fillable form

PES Request for Review Form doc -fillable form

PES Performance Development Tool doc -fillable form

PES Performance Notes doc -fillable form

PES Online Training

•  PES Basic Training: Web-based training program 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 

•  PES Supervisor Training: 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 

•  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.

Civil Service Rules – Chapter 10 Performance Evaluation System 

http://www.civilservice.louisiana.gov/CSRules/Chapter10.aspx


Performance Evaluation Systems FAQs

What is the time period for the start of the PES system?

•  Plannings are to be completed between 7/1/12 – 9/30/12 of each year

•  Evaluations are to be completed between 7/1/13 – 8/31/13 of each year

•  Effective date of overall evaluations 7/1/13

•  Disbursement date of performance adjustments 10/1/13

Are planning sessions required for employees on detail to special duty?

No, per C.S. Rule 10.5(f)(2) states only permanent movement into a position having a different position number with significantly different duties. The supervisor may choose to do a planning.

Can an employee who receives an “Unrated” request a (Civil Service) Director’s review?

No, the Director’s review is only for those employees who received an overall evaluation of “Needs Improvement/Unsuccessful” following an (ULM) Agency Review.

Who is considered the 2nd level evaluator?

The Appointing Authority of each agency designates an evaluating supervisor for each employee.

Who is considered the Agency Reviewer?

The Appointing Authority of each agency designates the Agency Reviewer. The Reviewer shall not be either the evaluating supervisor or 2nd level evaluator who signed the evaluation being reviewed.

Are you required to provide supporting documentation when evaluating an employee?

Documentation is always good to have to support any evaluation (attached or documented on the PES form) but when rating an employee “Needs Improvement/Unsuccessful” documentation must be included/attached.

Can you be re-rated in the PES system?

There are no provisions for re-rating in the PES System.

If a supervisor feels during any point in the evaluation year that a new planning needs to be done can they?

Yes, we encourage the supervisor when significant duties or new projects that will affect the employee’s day to day operations change to meet with the employee and communicate those new expectations with them.

Do both the evaluating supervisor and the 2nd level evaluator have to meet with the employee for the planning/evaluation?

No, the rule only requires that the supervisor meet with the employee but both must sign off on the planning and evaluation prior to the employee receiving the evaluation.

When should you use the rating of “Not Evaluated?”

The rating of Not Evaluated is given when an employee is active as of June 30th, the end of the performance year, and the employee has worked less than 3 months at the evaluating agency within the performance year, and the appointment authority determines that not enough time has elapsed to create an evaluation for the employee.

When does an employee become eligible for a performance adjustment?

An employee who receives an overall Exceptional or Successful evaluation will become eligible for a performance adjustment on July 1st.

When supervisors and 2nd level evaluators don’t comply with ALL components of the Chapter 10 rules, are they eligible for a performance adjustment?

No, C.S. rule 10.2(b) and 10.3(b) indicates they are responsible for administering the performance evaluation system for his/her designated employees in accordance with these Rules and if they fail to do so they shall not be eligible for a performance adjustment for that year.

When supervisors don’t establish a performance plan for employees, does that make the evaluation rendered a fatal flaw and it should be changed to “Unrated?”

No, while the rules say the supervisor “shall” establish a performance plan and the plan “shall” be signed by the 2nd level evaluator, the employee can still be given an evaluation based on observation of work and position description duties. The supervisor should establish a plan as soon as it is discovered that none was done and evaluate based on that plan. In this scenario, the supervisor and 2nd level evaluator loses eligibility for a performance adjustment because the plan was not established timely and the system was not administered as required by rule.

If a supervisor establishes a plan but the 2nd level evaluator does not sign, does this make the evaluation at the end of the year a fatal flaw and should the rating be changed to “Unrated?”

No, the supervisor is in compliance with the rule. However, the supervisor should remain in contact with the 2nd level evaluator to get signature prior to the planning deadline. If the 2nd level evaluator refuses to comply, the supervisor should report this to HR for further action. The Appointing Authority would then determine next steps (assign a different 2nd level evaluator, instruct the 2nd level evaluator to comply with his responsibilities, etc.). In this scenario, the supervisor would be considered in compliance but the 2nd level evaluator may not and may risk performance adjustment eligibility.


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