Chapter 14 Performance Management ... - State of Wyoming

CHAPTER 14PERFORMANCE APPRAISAL MANAGEMENTSection 1. Performance Appraisal System Management Program.The performance appraisal system is administered by the HumanResources Division.(a) The performance management program provides agencies andemployees with opportunities for performance planning, coaching and evaluation.The program provides for the establishment of job expectations, themeasurement of job performance, the identification of employee developmentand taking corrective action as necessary.(b) The Human Resources Division shall be responsible foradministering the performance management program to include:(i) The development and interpretation of rules, policiesand procedures specific to performance management.(ii) The development and implementation of componentsof the program as necessary (such as forms, on-line evaluation system andtraining).(iii) The monitoring of agency compliance and(iv) Reporting to state agencies, the Governor and theLegislature as necessary.Section 2. Coverage Applicability.(a) All employees, including probationary and permanent , must beappraised with the exception of the following:(a) All employees shall be evaluated as provided in this chapter with theexception of:(i) Elected State Officials and their Deputies(ii) Directors, Deputies, At-Will Agency Heads, andDivision Administrators who statutorily serve as at-will employees14-1Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

Administrator.(iii) Provisional and cContractual eEmployees(iv) Emergency(v) Temporary(vi) Interns(vii) Intermittent and(viii) Other positions as approved by the Human ResourcesSection 3. Responsibility of Agency Heads.Each aAgency heads is shall be responsible for ensuring that utilization ofthe performance management within their agencies in accordance with theestablished personnel rules and policies. appraisal system complies with theseprovisions and appraisal objectives, and that deadlines and internal equity aremet. Agency heads shall ensure that each employees are evaluated isappraised using on job-related performance criteria.Section 4. Probation and At-Will Status.(a) Conducting performance evaluations on probationary employees willin no way alter or change their probationary status during their probationaryperiod.(i) The probationary periodshall end upon completion of three hundred andsixty five (365) days of service from the date theemployee was given a probationary appointment.Time served in student intern, emergency,temporary, intermittent status and at-willappointments shall not be counted towards theprobationary period. Additionally, leave withoutpay, or donated sick leave, shall not count towardsthe probationary period.(ii) Conducting performanceevaluations on at-will status employees will in noway alter or change their at-will status.A probationaryemployee is anat-will employeewho has noexpectation ofcontinuedemployment andmay be dismissedat any timeduring theprobationaryperiod withoutcause or reason.14-2Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

Section 4. 5. Appraisal DatesPerformance Management EvaluationPeriod.(a) The performance evaluation period for all employees shall be fromOctober 1 through September 30 th , except as set forth in subsection (b).(b) For employees hired after October 1, 2011, the first evaluation periodshall be from the date of hire until the evaluation date described below.(i) Employees with a hire date between October 1 st andJune 30 th shall have a performance evaluation conducted by the end ofSeptember following hiring.(ii) Employees with a hire date between July 1 st andSeptember 30 th , shall have a performance evaluation conducted by the end ofthe second September following hiring.(iii) Upon the completion of the first evaluation, thereafter,as a permanent employee, the evaluation period shall revert to October 1stthrough September 30th.Section 6. Evaluation Date.(a) ) All covered employees hired on or before July 31, 1989, shall havean appraisal date of July 1. All employees’ performance evaluations shall becompleted by September 30th.(b) ) All covered employees hired after July 31, 1989, shall have thefollowing appraisal dates: Exceptions to the evaluation completion date and theevaluation period may be granted by the Human Resources Administrator uponwritten request.(c) Additional performance evaluations may be conducted at any timeduring the evaluation period at the discretion of the evaluator or the agency head.(i) Probationary Employees. The date the employee received aprobationary appointment.(ii) Permanent Employees. The first day of the month theemployee was given a permanent appointment.14-3Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

(c) Employees appointed to two (2) positions. The appraisal date of eachposition is the first day of the month that the employee was given a permanentappointment.(d) Reduction in force employee. A permanent employee separated dueto a reduction in force who has been reinstated within (24) months shall have thesame appraisal date as prior to the reduction in force.(e) Employee on leave of absence. Probationary employees taking aleave of absence without pay shall have their appraisal date extended by thenumber of days they are absent. Permanent employees shall have theirappraisal date extended for each calendar month they were absent. Thefollowing exceptions apply to permanent employees covered by the performanceappraisal system:(i) Workers' compensation. The appraisal date of an employee onleave of absence without pay due to a workers' compensation injury shall not beextended.(ii) Family and Medical Leave. The appraisal date of an employeeon leave of absence without pay due to Family and Medical Leave shall not beextended.Section 5. Frequency of Appraisals.A probationary employee is an at-will employee who has no expectation ofcontinued employment and may be dismissed at anytime during theprobationary period without cause or reason.(a) Probationary Employees. Employees shall be appraised twice duringtheir probationary period. The first appraisal shall be completed within thirty (30)days before the beginning of the sixth month. The second appraisal shall becompleted within thirty (30) days before the employee's appraisal date.Conducting performance appraisals on probationary employees will in no wayalter or change their at-will status during their probationary period. Uponcompletion of the probationary period the employee shall receive a permanentappointment. This appointment shall be documented on the PerformanceAppraisal Report.(b) Permanent Employees. Permanent employees shall be appraised atleast annually within ninety (90) days before their appraisal date.(c) All employees shall receive an appraisal prior to a change inevaluators or moving to a position in another agency if their performanceappraisal date is within ninety (90) days of the change. The PerformanceAppraisal Report shall be sent immediately to the Human Resources Division.14-4Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

(d) Whenever concerns over an employee's performance arise, additionalappraisals along with a work improvement plan may be conducted at any timeduring the performance appraisal period at the discretion of the evaluator or theagency head.Section 6 7. Evaluators Qualifications.(a) ) Primary evaluator. The primary evaluator shall be the immediatesupervisor of the employee. An evaluator shall have at least ninety (90) days ofdirect supervision of the employee prior to conducting an evaluation. If this is notpossible due to extenuating circumstances, the agency head shall determine theappropriate evaluator.(i) If an evaluator changes positions after July 1 st , theevaluator shall complete all evaluations on employees they have supervised forat least 90 days prior to the change of position.(b) ) Qualification. The evaluator shall have received training on theperformance appraisal system management program as prescribed by theHuman Resources Division. Evaluators shall be trained on the performanceevaluation program prior to assessing the performance of any employee.Evaluators shall be required to attend continuing performance evaluationeducation programs as deemed necessary by the Human Resources Division.(c) Multiple evaluators may be used where designated by the agency.Each evaluator shall meet the requirements above. All evaluators shallcooperate in completing one (1) annual Performance Appraisal Report for theemployee.(i) When there is no qualified evaluator for an employee,the agency head shall determine the appropriate evaluator for that employee andshall notify the Human Resources Division prior to conducting performanceevaluations.Section 7 8. Performance Evaluation Forms Standards.The employee shall be appraised on a Performance Appraisal Reportdeveloped by the Human Resources Division. The evaluator shall use the formsdeveloped by the Human Resources Division to conduct and complete theplanning, coaching and evaluation for each employee.14-5Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

Section 8 9. Performance Planning.At the beginning of the performance appraisal period, the evaluator shallclarify to the employee the performance standards, priorities, expectations andestablish specific goals, special projects, and work activities for the appraisalperiod. Employee participation shall be encouraged in establishing theperformance plan. Any significant changes in the performance plan that occurduring an evaluation period shall be documented and discussed with theemployee. The employee and evaluator shall initial the Performance AppraisalReport.(a) The evaluator shall conduct a performance planning, goal setting andreveiew meeting with the employee by October 30 th or within 30 days ofappointment to a position.(b)During this meeting the evaluator shall:standards and(i)Define and review the core competencies, workplace(ii) Develop goals for the performance evaluation periodand identify a target range for each applicable competency.Section 9 10. Mid-TermYear Performance Review.The evaluator shall provide the employee with performance feedback.(a) The evaluator shall conduct at least one (1) mid-termyearperformance review with the employee. The mid-termyear performance reviewshall be documented on the approved Performance Management forms. andkept on file by the evaluator. The evaluator and employee shall initial thePerformance Appraisal Report.(b) The mid-year review provides an opportunity for the evaluator andemployee to review the employee’s previously established performance plan andfocus on employee performance to date. The evaluator may adjust theemployee’s goals, competency target ranges and workplace standards for theevaluation period. If necessary, the evaluator shall determine appropriateemployee development.Section 10 11. Appraisal Interview Performance Evaluation.14-6Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

The evaluator shall complete and document the employee’s performanceevaluation on the appropriate forms. The evaluator’s supervisor and the agencyHuman Resources representative or their designee shall review the performanceevaluation for procedural compliance as specified in this chapter, how theemployee’s rating was determined, and written justification with supportingdocumentation. The evaluator shall meet and discuss the final ratings with theemployee. The appraisal shall be documented on a Performance AppraisalReport. The employee shall be given the opportunity to attach written providewritten comments regarding the appraisal performance evaluation. A writtensummary justifying the employee=s overall performance rating shall be attachedto the Performance Appraisal Report. Any disputes concerning the review of theperformance evaluation and the performance management program shall beresolved by the agency head or designee.Section 11 12. Work Performance Improvement Plan For PermanentEmployees.(a) If the permanent employee's overall performance is rated as "needsimprovement unsatisfactory," the evaluator shall discuss and document with theemployee the areas needing performance deficiencies requiring improvementand immediately provide the permanent employee with a written workperformance improvement plan. which shall be considered a written letter ofexpectation in accordance with Chapter 11. The written work improvement planshall be on the Work Improvement Plan form developed by the HumanResources Division. The duration of the first Performance Improvement Planshall be forty-five (45) days. At the conclusion of the work performanceimprovement plan, the permanent employee shall be reappraised reevaluated onthe Performance Appraisal Evaluation FormReport. A written work improvementplan shall be developed every ninety (90) days until the employee's overallperformance rating "meets expectations," or other action is taken. A copy of thework improvement plan shall be forwarded along with the reappraisal to theHuman Resources Division. In accordance with Chapter 11 of the PersonnelRules, disciplinary action may begin or continue during any PerformanceImprovement Plan period.(b) Upon the reevaluation and an overall rating of “unsatisfactory”, asecond Performance Improvement Plan shall be developed within the evaluationperiod. The second Performance Improvement Plan shall not exceed forty-five(45) days in duration and may be closed at any time prior to the expiration of theforty-five (45) days if other action is taken unless a change of evaluator hasoccurred in accordance with subsection (e). At the conclusion of the secondperformance improvement plan, the permanent employee shall be reevaluatedon the Performance Evaluation Forms. Disciplinary action in accordance withChapter 11 of the Personnel Rules shall be taken at the conclusion of the second14-7Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

Performance Improvement Plan upon a permanent employee’s reevaluationoverall rating of “unsatisfactory”.(c) No permanent employee shall be provided more than two (2)consecutive Performance Improvement Plans within a year of the overallunsatisfactory rating. Any changes in the permanent employee’s positionnecessitating changes in the Performance Improvement Plan that occur duringthe evaluation period shall be discussed between the evaluator and thepermanent employee and documented on the Performance Evaluation Forms.(d) A Performance Improvement Plan shall be documented on theappropriate forms as approved by the Human Resources Division. Theperformance improvement plan shall inform the permanent employee, through adetailed explanation; of the permanent employee’s job performance deficiencieswhich have resulted in an overall rating of “unsatisfactory” job performance. Theplan shall address behaviors and/or performance deficiencies identified duringthe performance evaluation to include:(i) A description of the impact of behaviors or performancedeficiencies on others, and if applicable, a statement of any policies,procedures, or rule violations and how to address the problem;(ii) A description of the permanent employee’sperformance in areas that are rated as “growth/improvement needed” and“unsatisfactory”;(iii) A description of the expectations for improvement inareas that are rated as “growth/improvement needed” and “unsatisfactory”;(iv) An explanation of the consequences if the permanentemployee’s performance does not improve and(v) Offering the permanent employee any appropriateassistance in achieving satisfactory job performance.(e) Change of Evaluator. If a permanent employee currently on aPerformance Improvement Plan has a change of evaluator, the new evaluatorshall immediately review the performance improvement plan with the permanentemployee. Upon the completion of a minimum of forty-five (45) days of directsupervision, the new supervisor shall reevaluate the permanent employee’sperformance on the performance evaluation forms in accordance with Section 12(a) and (b).Section 12. Reappraisal of "Needs Improvement."14-8Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

(a) The evaluator shall reappraise the employee after a written workimprovement plan has been prepared and not more than ninety (90) days afterthe overall work performance has been determined as "needs improvement."(b) Change of evaluator or position. If the employee's overallperformance is "needs improvement" prior to changing positions or evaluators,the new evaluator shall immediately establish a performance plan for theemployee. After the new evaluator has had a minimum of ninety (90) days ofdirect supervision, the new evaluator shall re-evaluate the employee'sperformance on a Performance Appraisal Report.Section 13. Copies of Records.The original Performance Appraisal Report shall be submitted in a timelymanner to the Human Resources Division. A copy shall be placed in theemployee's agency personnel file. The evaluator shall give the employee a copyof the Performance Appraisal Report.Section 143. Time Periods.(a) ) In computing any period of time prescribed or allowed by thischapter, the day of the act, event or default from which the designated period oftime begins shall not be included. The last day of the period so computed shallbe included, unless that day is a Saturday, Sunday or legal holiday. When theperiod of time prescribed or allowed is seven (7) days or less, intermediateSaturdays, Sundays or legal holidays shall be excluded from the computation.(b) ) Any time period prescribed by this chapter may be waived by mutualwritten agreement between the parties involved, provided such writtenagreement specifies the step in the procedure being extended and for whatlength of time, and provided that the agreement is signed by acknowledged byboth parties within the prescribed time period being waived. A copy of thisagreement shall be forwarded to the State Human Resources Administrator.(c) The Human Resources Administrator may upon written applicationand for good cause extend any time period set forth in this chapter.Section 15. Compliance with Procedure.If an employee does not properly comply with the procedural stepsrequired by this chapter, the employee shall have forfeited rights granted bythese provisions for the appeal. If the agency does not properly comply with theprocedural steps, the employee may proceed to the next step in the appealprocedure within five (5) days of the agency's noncompliance.14-9Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

Section 1614. Performance Appraisal Evaluation Review and AppealFor Permanent Employees.(a) Notice of performance appraisal rating. The performance evaluatorshall provide an employee receiving an overall rating of "needs improvement" acopy of the employee's Performance Appraisal Report. Receipt of this copy shallconstitute notice to the employee of the employee's performance appraisal rating.(a) At any time during the review and/or appeal process, documentationmay be included in support of a request for review or appeal or in support to anyresponse thereto.(b) Any disputes involving the performance management program shallnot be subject to the grievance procedures pursuant to Chapter 12 of the State ofWyoming Personnel Rules.(bc) ) Request for reappraisalevaluation review. An permanent employeereceiving an overall rating of "needs improvement unsatisfactory" shall havetwentyten (2010) days from receipt of the performance appraisal evaluationrating to submit a written "request for reappraisalreview" to the permanentemployees's performance evaluator. The "request" shall contain a brief, concise,and specific statement of the permanent employee's contentions as to why therating is inaccurate. The request shall be limited to the areas of "needsimprovement unsatisfactory" as identified in the Performance AppraisalEvaluationReport.(i) The permanent employee has receipt of the evaluationwhen the employee acknowledges and signs or declines to sign the evaluationform.(cd) ) Response to rRequest for reappraisal Review. Within ten (10) daysof receipt of the permanent employee's "request for reappraisal review," theperformance evaluator shall conduct a reappraisal of the employee'sperformance. The reappraisal shall be provide a written response to thepermanent employee that includes and shall include a brief, concise and specificstatement from the performance evaluator responding to the specific contentionsof the permanent employee.(i) Based on the review the evaluator may revise ormaintain the employee’s rating(s).(i) Failure to respond to the request for reappraisal. The employeeshall proceed to the request for review by the agency head if the evaluator failedto respond to the request for reappraisal.14-10Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

(de) ) Request for rReview. Upon receipt of the performance evaluator'sreappraisal response, and if the permanent employee's overall performanceappraisal evaluation rating remains as "needs improvement unsatisfactory," or ifno response is received from the evaluator, or the lack of the evaluator=sreappraisal the permanent employee shall have ten (10) days to submit, inwriting, a request for review to the agency head. The permanent employee shallinclude in the request for review a brief, concise, and specific statement of thepermanent employee's contentions. The request for review shall be directedspecifically at to the performance evaluator's evaluation and any reappraisalresponse. The request for review shall include specific facts which establish that:1(i) the evaluator violated procedural requirementsestablished for or under the performance appraisal system managementprogram; and/or2(ii) the overall "needs improvement unsatisfactory" ratinglacks supporting documentation; and/or3(iii) the evaluator disregarded factors and circumstanceswhich substantially support a higher rating and thereby deprived the employee ofa performance evaluation rating based on a rational basis job-relatedperformance criteria.(ef) ) Response to rRequest for rReview. If the employee has filed atimely request for review, the agency head shall respond to the request within ten(10) days of receipt of the request. If the agency head delegates thisresponsibility, a letter indicating the recipient of the delegation shall be submittedto the Human Resources Division. The agency head may delegate this authorityin accordance with Chapter 1, Section 4(b)(i), of the State of Wyoming PersonnelRules. Before making a determination,, the agency head or designee, shallreview the appraisal evaluation, the reappraisaland the evaluator’s response, ifany or the lack of the evaluator=s reappraisal, and all documentation submittedby the performance evaluator and the employee. The agency head or designeeshall then make a determination as to whether the performance evaluator:1(i) ) violated procedural requirements established for orunder the performance appraisal system management program; and/or2(ii) ) the overall "needs improvement unsatisfactory" ratinglacks supporting documentation; and/or3(iii) ) the evaluator disregarded factors or circumstanceswhich substantially support the permanent employee's position and therebydeprived the employee of a performance evaluation rating based on a rationalbasis job-related performance criteria.14-11Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012

(iv) Tthe determination shall be in writtening response shallinclude the agency head's determination and may direct the evaluator to makeany appropriate adjustment(s) to the employee’s evaluation. any action taken bythe agency head.(f) If the agency head determines any of the above violations haveoccurred, the agency head shall take action to address and, to the extentpossible, correct the violation. The action taken may include, but is not limited to,amending the performance reappraisal rating. The agency head shall respond inwriting to the employee of how the violation will be corrected and provide themwith a revised Performance Appraisal Report signed by the agency head ordesignee. A copy of the written response and the revised Performance AppraisalReport shall be forwarded to the Human Resources Division.(gfg) ) Appeal to State Human Resources Administrator. Within ten (10)days of receipt of the agency head's response to the employee's request forreview, the employee may appeal, in writing, the agency head's response to theState Human Resources Administrator. If the agency head does not respond tothe request for review within ten (10) days of the request, the employee shallhave fifteen (15) days from the date that the request was submitted to the agencyhead to appeal, in writing, to the State Human Resources Administrator. TheState Human Resources Administrator shall have forty-five (45) thirty (30) daysafter receipt of all written documents and necessary information to make adetermination on the employee's appeal. The State Human ResourcesAdministrator shall review the appraisal evaluation, the reappraisal evaluator’sresponse, if any, and all documentation submitted by the performance evaluator,the employee and the agency head. If the State Human ResourcesAdministrator determines that the agency head's response was contrary to theState Personnel Rules, policies, or law, purpose and intent of the performanceappraisal system, or was contrary to the procedural requirements of the appraisalsystem, the State Human Resources Administrator shall require the agency headto correct the reappraisal evaluation, or to conduct another appraisal evaluation,or withdraw the evaluation. to take whatever action the Human ResourcesAdministrator deems appropriate to correct the violation. Should the StateHuman Resources Administrator determine that there is a conflict of interest, adesignee shall be appointed by the Governor to review the appeal.(gh) Compliance with Procedure. If an employee does not comply withChapter 14 deadlines, the employee shall forfeit rights granted by this section forfurther review and/or appeal.14-12Wyoming State Personnel Rules - Chapter 14NOTICE OF INTENT TO ADOPT RULES AND REGULATIONSMarch 2, 2012