CHAPTER 10

PERFORMANCE PLANNING AND REVIEW

10.1  Performance Planning and Review System; Required Components.

(a)  Each department shall use a performance planning and review system that complies with this Chapter and consists of at least the following components:

1. a performance planning and review form approved by the Director;
2. a five-level rating system; and
3. a performance planning and review training manual that is reasonably accessible to Rating    Supervisors.

(b) A department may opt to make variations to the PPR form, system, or instructions with prior written approval from the Director.

(c) All classified employees are covered by this Chapter.

10.2 Rating Supervisor.

(a) The Appointing Authority shall designate a Rating Supervisor 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. Failure to designate a Rating Supervisor shall be a violation of these rules.

(b) The Rating Supervisor shall be responsible for administering the performance planning and review system for his designated employees in accordance with these Rules and agency policy. Failure of the Rating Supervisor to administer the performance management system in accordance with these Rules shall result in his not being eligible for a merit increase for that year.

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.

(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:

Outstanding - 5 points
Exceeds Requirements - 4 points
Meets Requirements - 3 points
Needs Improvement - 2 points
Poor - 1 point

(b) The performance factor ratings shall then be averaged and the employee's overall rating or re-rating shall be assigned based upon the following scale:

Outstanding - 4.50 - 5.00
Exceeds Requirements - 3.50 - 4.49
Meets Requirements - 2.50 - 3.49
Needs Improvement - 1.50 - 2.49
Poor - 1.00 - 1.49

(c) Ratings of "Un-rated" shall be created by default when the employee does not receive an official rating. Ratings of "Un-rated" shall be indicated on the final overall rating or re-rating form by the Rating Supervisor, Reviewer, or Human Resource officer. Employees shall be notified when a rating or re-rating of "Un-rated" has been given as an official overall rating or re-rating. Ratings of "Un-rated" shall be reported on the annual report to the Director of Civil Service in such manner as the Director requires.

10.5 Performance Planning Session.

(a) The Rating Supervisor shall conduct a performance planning session at least once per rating period, during which the Rating Supervisor shall discuss with the employee:

1. the factors upon which the employee will be rated and

2. the performance that will be expected during the coming rating period.

(b) The Rating Supervisor shall provide written expectations for all factors upon which the employee will be rated.

(c) The Rating Supervisor and the employee shall sign and date the performance planning form to document the session. The employee shall be given a copy of the planning document.

(d) A performance planning session shall be conducted no later than 30 calendar days after:

1. the appointment of a new employee;

2. or the anniversary date of a current employee;

3. or the movement of an employee into a position having a different position number and significantly different duties.

(e) A performance planning session may be conducted when an employee gets a new Rating Supervisor or when performance expectations change. Additional performance planning sessions may also be conducted as the Rating Supervisor deems appropriate.

10.6  Rating Session

(a) To create an official rating, the Rating Supervisor shall:

1. sign and date the completed document,

2. discuss the rating with the employee,

3. provide documentation to support any factor rated "Needs Improvement" or "Poor;"

4. present the form to the employee to be signed and dated, and

5. give the employee a copy of the completed form with his or her official overall rating noted.

(b) For a new employee, the rating session shall take place within the 60 calendar days before or on the employee’s first anniversary date as defined in Rule 6.14(b).

(c) For a current employee, the rating session shall take place within the 60 calendar days before or on the employee's anniversary date.

(d) When an employee is not available, the provisions of this rule shall be satisfied by mailing the completed document to the employee on or before the employee’s anniversary date.

10.7 Re-ratings.

1. An employee whose official OVERALL rating is "Needs Improvement" or "Poor" shall be re-rated. The re-rating shall 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.
2. 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.
3. Employees may receive unofficial reviews as the supervisor deems necessary to provide feedback and update expectations.

10.8 Creating an Official Rating or Re-Rating

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 or mailed to the employee.

10.9 Employee's Refusal to Sign Form.

An employee 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 Rating Supervisor shall note on the form that the employee refused to sign, and the date of the Planning or Rating session.

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