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Performance Evaluation System (PES) – Classified Employees

The Performance Evaluation System is a tool used to measure individual performance and to develop employees into high-performing individuals. It applies to all classified employees and the current system was made effective July 1, 2012.

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.

The PES Form can be found here.

Important Dates

Performance Evaluation Session: July 1 – Aug. 31
Performance Planning Session: July 1 – Sept. 30

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 months of the effective date.

All evaluation ratings must be submitted to the Human Resources Department no later than Aug. 31 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.

In an effort to have the Performance Evaluations done in a timely manner, UL-Lafayette Human Resources Staff has developed the following plan of action:

July 1 of each year: Performance Evaluations will be sent to Department Head/Supervisors advising them it is time for Evaluations to be done and a new planning prepared for the upcoming performance evaluation period.
Aug. 1 of each year: a reminder email will be sent to Department Head/Supervisor as a reminder of the due date and will include the names of all classified employees whose PES Evaluations have not yet been completed.
Aug. 31 of each year: All PES evaluations due in HR office.
Sept. 1 of each year: HR staff member will advise the appropriate Vice President of an delinquent evaluations and request the Vice President’s assistance in getting Supervisor to completed the required PES evaluations.
Sept. 15 of each year: The University’s President will be advised of all delinquent PES evaluations.
Sept. 30 of each year: All PES plannings for the next performance evaluation year must be complete.

Performance Planning Session

July 1 – Sept. 30

Planning sessions shall be conducted during the first three 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 Sept. 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 – Aug. 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 Aug. 31.

Rating values

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
Not Evaluated – Employee is active as of June 30 and the employee has worked less than three 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 Sept. 30 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.

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

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.

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 Second 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, Sept. 30, 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 Oct. 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 Sept. 30, as evidenced by official proof of mailing. The Human Resources Department shall maintain documentation the employee was notified on or before Sept. 30.

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.

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

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

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.

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

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 30 calendar days following the date the request for review was received.

Performance Evaluation Tools

The Louisiana Department of State Civil Service website has the following tools available for use with the Performance Evaluation System:

Online Training for Supervisors
Web-based Bank of Expectations
PES Planning and Evaluation form (please use the form on the UL website)
PES Request for Review form
PES Performance Development Tool
PES Performance Notes

Link to PES section of Civil Service website: http://www.civilservice.louisiana.gov/Divisions/EmployeeRelations/pes.aspx

Frequently asked questions