Continuous Performance Management (CPM) Frequently Asked Questions Guide
Continuous Performance Management (CPM) FAQ Guide
Continuous Performance Management (CPM) SCS Rules & Topics Covered
2 Rule 10.1 Continuous Performance Management
6 Rule 10.5 Performance Planning Form and Session 7 Rule 10.6 Performance Evaluation Ratings 3 Rule 10.2 Continuous Performance Management Required Components Rules 10.3 and 10.4 Evaluating Supervisor and Second Level Evaluator Roles 4
9 Rule 10.7 Performance Evaluation Sessions
11 DOCUMENTATION 13 Rule 10.8 Effects of a “Needs Improvement” Rating 14 Rule 10.9 Effects of an “Unsuccessful” Rating 15 Rule 10.10 Agency Review 17 Rule 10.11 Planning and Evaluation Notification 18 Rule 10.13 Record Keeping and Reporting
19 Rule 10.14 Agency Appointing Authority Responsibilities
20 TRANSFERS/APPOINTMENTS
1
MISCELLANEOUS 21
Rule 10.1
Continuous Performance Management
CPM stands for Continuous Performance Management. This is a tool used to measure performance and to continuously develop individuals into high-performing employees. What is CPM?
All classified employees except for those in a WAE appointment shall have a CPM planning and evaluation session each performance evaluation year. A CPM performance evaluation year is from January 1 through December 31 of each year. Fast Facts
2
Rule 10.2
Continuous Performance Management Required Components
A performance plan is comprised of a minimum of two performance-based goals and one behavior-based goal along with a performance planning session during which the Evaluating Supervisor and the employee discuss the employee’s planned goals for the performance evaluation year. What are the required components of a performance plan? What is the difference between a performance-based goal and a behavior-based goal? A performance-based goal targets a measurable result or outcome. It includes a specific metric. This goal describes the "what" you want an employee to achieve; i.e., the end result. Use performance-based goals when clear, quantifiable results are needed. A behavioral-based goal describes the "how" you want the employee to achieve goals. Behavioral-based goals focus on specific actions and habits someone needs to adopt to increase or improve performance. Use behavioral-based goals to develop soft skills or correct unsuitable behaviors.
see examples
3
Can an agency modify CPM forms? Yes, provided that the minimum requirements of Chapter 10 Rules are satisfied and approved by the Director.
Evaluating Supervisor and Second Level Evaluator Roles Rules 10.3 & 10.4
The Appointing Authority designates both the Evaluating Supervisor and Second Level Evaluator for each employee based on their position to observe and document the employee's performance. For SuccessFactors System users (LaGov HCM agencies), these roles are determined based on the org management relationships entered into the system for each position. For agencies using the CPM paper forms, these roles are designated by the Appointing Authority. How are an employee’s Evaluating Supervisor and Second Level Evaluator determined?
4
How is the performance planning and/or evaluation period handled in the absence of the Evaluating Supervisor or Second Level Evaluator? Depending on the duration of the absence of the Evaluating Supervisor, the Appointing Authority shall designate a person who could observe and document the employee's performance in the supervisor's absence. For SuccessFactors System users (LaGov HCM agencies), these roles are determined based on the org management relationships entered into the system for each position. In the absence of the Evaluating Supervisor, the system will route the performance plan to the next position in the hierarchy based on the position’s org management. For agencies using the CPM paper forms, these roles are designated by the Appointing Authority. What is the role of the Second Level Evaluator? The Second Level Evaluator shall periodically meet with his/her subordinates and maintain a general familiarity with the employees for whom they will serve as the Second Level Evaluator so that they can fulfill their responsibilities in a fair and impartial manner.
5
Performance Planning Form and Session Rule 10.5
The Second Level Evaluator and the Evaluating Supervisor shall sign and date the performance planning session. The employee acknowledges the performance planning session; however, an employee cannot prevent the performance planning form or session from becoming official. Who is required to sign and/or acknowledge the performance planning session? When is a performance planning session required? A performance planning session is required to be conducted during the first two (2) 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; or The beginning of the new performance evaluation year (no later than March 1). * Alternative form will be launched by the Agency’s HR Department
6
see note
Can an Evaluating Supervisor determine that a new performance planning is necessary? Yes, performance planning sessions may be conducted at any time during the performance year when: The Evaluating Supervisor of an employee changes; or The Evaluating Supervisor deems a new performance planning session is appropriate.
Performance Evaluation Ratings Rule 10.6
An employee may be assigned one of the five following performance evaluation ratings: Exceptional: Consistently exceeds position requirements Exceeds Expectations: Occasionally exceeds position requirements Successful: Meets position requirements Needs Improvement: Occasionally fails to meet position requirements Unsuccessful: Consistently fails to meet position requirements What performance evaluation ratings can an Evaluating Supervisor assign to an employee?
7
What are the circumstances under which an employee should be rated as "Not Evaluated"? The performance evaluation rating of “Not Evaluated” shall only be given to an employee when: An employee is appointed on or after October 1 of the performance evaluation year; or
An employee transfers between January 1 and March 1 and does not receive a performance evaluation rating from the losing agency.
What are the circumstances under which an employee is assigned a rating of “Unrated”? The performance evaluation rating of “Unrated” can only be assigned by Human Resources and shall only be used when: There is a violation of Chapter 10 Rules; or There is an absence of a performance evaluation. What are the effects of a “Not Evaluated” or “Unrated” performance evaluation rating? Both “Not Evaluated” and “Unrated” ratings shall have the same effect as a “Successful” performance evaluation rating.
8
Performance Evaluation Sessions Rule 10.7
Performance evaluation sessions shall be conducted between January 1 and March 1 for the rating period ending December 31. When are performance evaluation sessions required to be conducted? What is the effective date of the performance evaluation rating? All performance evaluation ratings shall be recorded with an effective date of January 1. What does an Evaluating Supervisor use to determine an employee’s performance evaluation rating? Each employee is to be rated on the goals stated on the performance planning form. This shall be comprised of a minimum of two performance-based goals and one behavior-based goal.
BANK OF GOALS
9
Does the Evaluating Supervisor have to meet with the employee to discuss the performance evaluation? Yes, the Evaluating Supervisor is required to meet with their employee to discuss their performance evaluation. In-person meetings are best practice; however, when not feasible, virtual meetings are allowed.
10
DOCUMENTATION
Are supervisors required to provide supporting documentation when evaluating an employee? While documentation is encouraged for any performance evaluation rating, SCS Rule 10.7(c)2 specifically requires documentation to support and defend a performance evaluation rating of “Unsuccessful.” Agency-specific policies may require documentation for other performance evaluation ratings in addition to those required by rule.
What type of documentation is needed to support a performance evaluation rating of “Unsuccessful”?
Evaluating Supervisors may elect to use various documents to support and defend the performance evaluation rating. The documentation used must clearly identify deficiencies in the employee’s overall performance, adherence to rules, policies, procedures, etc., and/or failure to meet their planned goals.
11
How can an Evaluating Supervisor provide documentation when using either the CPM SuccessFactors System or the CPM paper forms? It is up to the Evaluating Supervisor and/or appointing authority to determine how documentation is provided. For SuccessFactors System users, the employee’s performance is documented in the available space within the system to provide sufficient feedback to support and defend the performance evaluation rating rendered. However, if more space is needed, the Evaluating Supervisor shall provide the additional documentation to the employee. For agencies using the CPM paper forms, the employee’s performance is documented on the paper form to provide sufficient feedback to support and defend the performance evaluation rating rendered. If more space is needed, the Evaluating Supervisor shall attach the additional documentation.
12
Rule 10.8
Effects of a “Needs Improvement” Performance Evaluation Rating
What are the effects of a “Needs Improvement” performance evaluation rating? A performance evaluation rating of “Needs Improvement” is not a disciplinary action. However, an employee shall not be eligible for the following: Promotion Detail to special duty to a higher-level position Attainment of permanent status Placement on a DPRL Can an employee receive consecutive performance evaluation ratings of “Needs Improvement”? No, an employee who received a performance evaluation rating of “Needs Improvement” in the
previous year shall not receive a consecutive performance evaluation rating of “Needs Improvement.”
13
Effects of an “Unsuccessful” Performance Evaluation Rating Rule 10.9
A performance evaluation rating of “Unsuccessful” is not a disciplinary action. However, an employee shall not be eligible for the following: Promotion Detail to special duty to a higher-level position Attainment of permanent status Placement on a DPRL Market Adjustment What are the effects of an “Unsuccessful” performance evaluation rating? Can an employee who receives an “Unsuccessful” performance evaluation rating be disciplined? Yes, an employee with a confirmed performance evaluation rating of “Unsuccessful” may be disciplined based on their behavior and/or performance documented in accordance
with the rules applicable to the employee’s status. When is a performance evaluation rating considered confirmed? A rating is considered confirmed after the Agency Review has been completed or the time to request an Agency Review has expired.
14
Agency Review Rule 10.10
Who can request an Agency Review? Only a permanent classified employee who receives a performance evaluation rating of “Unsuccessful” may request an Agency Review. Who should the Agency Review Panel consist of? The Appointing Authority shall designate an Agency Review Panel comprised of at least three members who include anyone other than the employee’s Evaluating Supervisor and Second Level Evaluator. What is the latest date an employee who received an “Unsuccessful” performance evaluation rating can request an Agency Review? A permanent classified employee who has received an “Unsuccessful” performance evaluation rating can request an Agency Review no later than March 16 following the performance evaluation year.
15
Yes, the Agency Review Panel’s decision shall be final. Is the Agency Review Panel’s decision considered final? What if the Agency Review Panel identifies a rule violation? Any rule violation shall result in a performance evaluation rating of “Unrated.” What options are available to the Agency Review Panel at the conclusion of the Agency Review? The Agency Review Panel by a majority vote shall have the option, based on the merits of the review, to uphold the performance evaluation rating or assign a performance evaluation rating of “Needs Improvement.” When does the Agency Review Panel have to give written notice of the review results and who should receive a copy of the results? Notification of the review results shall be provided to the employee, the Evaluating Supervisor, the Second Level Evaluator, and the Human Resources Office no later than April 16.
16
Who ensures that the Agency Review process is conducted in accordance with Chapter 10 of SCS Rules? The agency’s Human Resources Office ensures the Agency Review process was conducted per Chapter 10. Can an employee who receives an “Unsuccessful” performance evaluation rating request an Agency Review if the employee separates from state service during the evaluation period? Yes, a permanent classified employee who has separated from state service and received an “Unsuccessful” performance evaluation rating is allowed to request an Agency Review no later than March 16 following the evaluation year. Planning and Evaluation Notification Rule 10.11
If an employee is on extended leave during the performance evaluation rating period, how should the employee be notified? The agency can notify the employee by mail or email. The evaluation will be deemed timely if it is mailed to the employee’s most recent address, as evidenced by official proof of mailing, or emailed to the employee’s state-issued email address, as evidenced by a copy of the dated email with a “read” receipt, reply email, or other affirmative proof of receipt on or before March 1.
17
Record Keeping and Reporting Rule 10.13
The following CPM records are required to be kept in the agency's Human Resources Office or other designated, secure location not accessible to the public. What CPM records are maintained by the agency?
Completed performance planning forms Completed performance evaluation forms
For SuccessFactors system users, what is considered the system of record? If applicable, the employee’s request for Agency Review under Rule 10.10, including the completed review by the Agency Review Panel and all supporting documentation considered during the Agency Review.
The system of record for the performance evaluation rating will be LaGov HCM. The system of record for the performance evaluation will be SuccessFactors.
18
Are CPM performance plans or evaluations considered public records? Performance plans and the overall performance evaluation ratings are considered public record. The performance evaluation forms and documents are considered confidential. Who can request CPM records from an agency? All CPM records shall be available upon request to the employee and to State Civil Service for auditing purposes.
Agency Appointing Authority Responsibilities Rule 10.14
What are the responsibilities of the Appointing Authority with regard to the CPM process? The Appointing Authority plays a pivotal role in the CPM process, ensuring that CPM is implemented consistently and fairly across the organization. Additionally, after receiving from their Human Resources Office a listing of employees with confirmed “Unsuccessful” performance evaluation ratings no later than April 30, the Appointing
Authority is responsible for determining whether disciplinary action, up to and including dismissal, or other corrective measures are appropriate. Any proposed disciplinary action must be warranted and supported by documentation in accordance with Rule 12.2.
19
TRANSFERS/APPOINTMENTS
What agency is responsible for the Agency Review if the employee transfers to another agency during the review process? What happens when an employee transfers between January 1 and March 1? Rule 10.6(b)2 states a performance evaluation rating of “Not Evaluated” shall be assigned by the gaining agency to an employee who didn’t receive a performance evaluation rating by the losing agency as of the effective date of the transfer. If the employee is appointed/transferred on or after October 1, Rule 10.6(b)1 states the employee shall be assigned a “Not Evaluated” performance evaluation rating. What happens when an employee is appointed/transferred on or after October 1 of the performance evaluation year?
The losing agency (where the “Unsuccessful” performance evaluation rating was rendered) is responsible for completing the Agency Review when an employee transfers to another agency.
20
MISCELLANEOUS
Can an employee request to add a comment/note to their official CPM rating? Yes, an employee can add a document commenting or making notes about what is stated in the performance evaluation. This doesn’t change the effect of the performance evaluation rating but allows an employee a mechanism to express their concern or difference of opinion to a statement made in the evaluation.
CPM RESOURCES
TRAINING CENTER
DOCUMENTS & FORMS
CHAPTER 10: CPM RULES
21
Page 1 Page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Page 8 Page 9 Page 10 Page 11 Page 12 Page 13 Page 14 Page 15 Page 16 Page 17 Page 18 Page 19 Page 20 Page 21 Page 22Made with FlippingBook flipbook maker