Questions & Answers

Would someone who IS on leave, but has worked at least 1 day be eligible to be evaluated?

Yes. They can only be evaluated on the time they actually worked. If they are on leave (FMLA, Sick, Military, Voting, or Jury Leave) their supervisor cannot hold it against them when completing the evaluation.

Will Janitors be evaluated?

If they are a full time merit employee with status on January 1 of the performance year and maintain continuous status throughout the performance year, they will need to be evaluated.

If a state employee is on promotional probation as of 01/01/00 would that employee be eligible to receive an evaluation under the new evaluation system?

Yes. Employees on promotional probation are eligible to be evaluated as they still hold status. If the employee was on initial probation, the answer would be no.

If someone goes off of probation January 1, 2001 they need an evaluation done on them for 2001, correct?

Yes, provided they remain in continuous merit status throughout the performance year.

If someone is non-merit, do they receive an evaluation and handbook?

No, as they are not legally eligible for evaluation under the new system.

Why don't we evaluate non-merit employees or employees on initial probation?

The new evaluation system law and regulation only apply to classified (merit) employees not unclassified (non-merit) employees. As relates to initial probation employees we are concerned about NOT providing CAUSE for why an employee did not successfully complete probation. An initial probationary employee does not have to be given cause for why they did not successfully complete probation. The new statute and regulations for the evaluation system only cover classified (merit) employees with status who have remained in continuous status throughout the performance year. If a supervisor did use the new system to evaluate initial probationary employees they would not be able to use the legal appeal process and would not be eligible for performance reward. Nothing prevents an agency/supervisor from planning, and coaching, the performance of an employee who has completed the initial probation, but is not yet eligible for the legally required evaluations.

Can a supervisor with a new employee on initial probation do the planning portion of the evaluation process and also conduct interim meetings? Is there anything in the new system that prevents this from being done?

Yes, a supervisor can choose to develop a performance plan and conduct interim reviews with employees on initial probation; however, as they are not eligible to be evaluated under this system, the information should not be documented on the official evaluation form. The biggest concern with conducting these evaluation meetings with an employee on initial probation is whether a supervisor might be providing written documentation that may be construed by the employee as cause for not completing initial probation. There is nothing legally preventing or requiring a supervisor to conduct either of these meetings in the case of an employee on initial probation.

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Where on-line is the Employee Handbook for the new evaluation system?

http://personnel.ky.gov/info/empeval/01evalhb.pdf (PDF - 890 KB)

Can an employee receive orientation to the new system by simply being given an employee evaluation handbook and told to sign the acknowledgement form?

Yes. How agencies give the employee orientation is up to them as long as each employee receives an employee evaluation handbook and signs the orientation acknowledgement form. It is good to go over the system with the employees in order to answer any questions that may arise.

All eligible employees should receive orientation to the new system at the beginning of the performance period as it is new to everyone. As other employees become eligible, when should they receive orientation?

101 KAR 2:180, Section 1, subsection 9 states: "Employees shall complete orientation to the performance evaluation system no later than thirty (30) calendar days after completion of initial probation."

The regulation states that "employees shall complete orientation to the performance evaluation system no later than 30 calendar days after completion of initial probation." Can we give new employees the employee handbook and an overview of the performance evaluation system during our new employee orientation which occurs at the beginning of their initial probation period?

Yes.

Should staff that are not eligible to participate in the process sign the employee orientation acknowledgement form?

Ineligible employees do not sign the employee orientation acknowledgement form.

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If the first line supervisor is unable to develop a performance plan on employees due to the absence of the supervisor, can the next line supervisor ask for exemption to this process?

There is no exemption to completing performance planning within thirty (30) days in January. The next line supervisor can develop a plan to meet the legal requirements of planning the employee's performance if the first line supervisor is unable to do so. If upon return to the office the first line supervisor needs to modify the plan they may do so later provided any changes are shared with the employee and next line supervisor and initialed and dated by both.

Can an agency ask for an exception to the signature of the next line supervisor on the performance plan?

There is no provision to request an exception to the next line supervisor's review and signature on performance plans. Also the Personnel Cabinet does not have the authority to grant any agency such an exception. However, the next line supervisor may give his/her designee the approval to place the next line supervisor's signature on employee performance plans. In this case the next line supervisor maintains the responsibility for ensuring that the plans are completed and that such plans are fair and equitable.

After the supervisor and employee develop the duties and expectations, they sign off that the plan has been discussed. It is then signed by the next line supervisor. What if the next line supervisor does not agree? Do they pull rank over the supervisor and employee?

Yes. The next line supervisor can pull rank over the evaluator and employee when it comes to the performance plan. Keep in mind the performance plan does not technically have to be agreed upon by the employee. The evaluator initially decides upon the contents of the plan. The next line supervisor must review the plan to determine if the duties and expectations are reasonable and equitable considering duties of other employees in the same classification and consistent with the goals of the department, division and section. If the next line supervisor determines that the plan is not acceptable he/she has the authority to request that the plan be modified. Please remember a performance plan can be modified at any point during the performance year as long as changes are documented on the form and communicated to the employee and both employee and supervisor initial the changes.

On the evaluation form, in the Job Tasks section which should have a minimum of 50 points, is the evaluator section to be included in the minimum of 50 points or should we be sure that section is in addition to the 50 points?

If the individual who is being evaluated is a supervisor who is responsible for evaluating others, the points assigned to this area are included in the 50 points. If the employee is not responsible for evaluating others, nothing needs to be placed in this area.

If an employee disagrees with the planning section of the evaluation, and if the next line supervisor can't resolve it, do they go through the reconsideration process at that point?

No. The next line supervisor must resolve any disagreements relating to performance planning by making a final decision as to what will be included on the evaluation form. If the employee still disagrees after the next line supervisor has made the final decision the employee will have to wait until the annual evaluation to appeal. If the employee disagrees so strongly they refuse to sign the planning section the supervisor should simply document that the employee refused to sign and initial and date this section. Keep in mind the employee can appeal any aspect of the evaluation internally (reconsideration). On the other hand they can only appeal to the Personnel Board if they receive an overall rating of one of the two lowest ratings.

Will a supervisor be held accountable for not complying with the law in regards to the performance plan and meetings required by the new employee performance evaluation system?

Yes. All supervisors must be evaluated on timely and proper completion of all meetings required in the evaluation process; fair and equitable treatment of all employees as relates to the evaluation of performance. An agency may choose to take disciplinary action on supervisors who fail to complete any of the meetings required in the process. Finally, the agency may have to deal with an employee appeal internally and to the Personnel Board.

Can the agency set its own parameters, as to what percentage an employee has to achieve on his/her competencies (job duties/expectations) established for that position in order to receive a specific rating?

Yes. It is entirely up to the agency and/or supervisor as to what performance expectations (standards) they wish to set. An agency that utilizes employees within the same job classification, who are responsible for similar job duties/expectations within the same district, facility and/or office, may wish to develop a standardized description of both job duties/responsibilities, expectations and points for all employees within the class. PD's of all employees within the same classification should be reviewed to determine if a standardized job description would be most appropriate.

After the performance plan is completed and signed, where is it sent or stored until the interim meetings?

Each supervisor will keep the original performance plan and other evaluation materials for each of their employees. After the annual evaluation is completed all evaluation documents will be placed in the employee's personnel file maintained by the agency.

Who makes the final decision regarding disputes over performance plans?

Technically, the final decision on the performance plan will be determined by the next line supervisor since they are required to review and sign off on the plan. The signature of the next line supervisor certifies they have reviewed the duties and expectations and find them to be reasonable and equitable. If the next line supervisor thinks the duties and expectations are not reasonable and equitable he/she may change them.

Can a brand new manager who is on initial probation do the planning performance part of this evaluation?

Yes.

Does my supervisor have to supervise an employee for 90 days in order to complete a Performance Plan or an Interim Review?

No. A supervisor does not have to supervise an employee for 90 days in order to complete a Performance Plan or an Interim Review. The 90 day requirement is only required for the supervisor to complete the Annual Evaluation.

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What if an employee works for one supervisor from January through March, and the first of April he/she is promoted? When the interim meeting is conducted, should the new supervisor handle this, with input from the old one?

Yes. The new supervisor would conduct the interim review meeting with input from the original supervisor. In the case that the employee's promotion involves a transfer to a new agency or work location and input from the original supervisor is not available the new supervisor can only discuss the performance he is aware of and any performance that is documented in the employee's performance evaluation file that transfers with the employee.

What if the employee refuses to sign the interim review meeting section?

The evaluator should note in the place for the employee's signature in this section that the employee refused to sign the form, and the evaluator should initial and date the notation and if possible, get another supervisor to initial and date.

If an employee received a "bad" first interim review, but improved after the second, should the year end rating take into consideration the two reviews?

The supervisor should definitely take the two interim reviews into consideration as the annual evaluation covers the performance of the whole year and not just four months.

May the supervisor provide written comments regarding the work performance of the employee in the Interim Review section of the evaluation form?

Yes. The supervisor shall provide written comments in the Interim Review section of the evaluation form for each of the four performance categories in which the employee will be evaluated. The law requires that Interim Review documentation shall be used to justify the annual performance rating.

May the supervisor attach comments regarding employees’ work performance relating to the time period from September 1 to December 31 of the performance period?

Yes. The supervisor may attach comments relating to this time frame of the performance period. These comments may be placed on an additional sheet of paper including the time period along with employees’ name and social security number. The work performance comments must be attached to the annual evaluation.

If additional comments are attached, should they be signed and dated?

Yes. If additional comments are attached to the evaluation form, they should be discussed with the employee and signed and dated by both employee and supervisor.

May a supervisor choose to attach additional comments on some of their employees rather than all of them?

Yes. A supervisor may choose to attach additional comments for the time period from September 1 to December 31 when they feel additional information is required to justify the annual rating. NOTE: Job related comments regarding employee performance during the last four (4) months of the year may be of critical importance when performance has changed since the First and Second Interim Reviews were completed.

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After the first meeting in January and the interim meetings in April and August, when is the final evaluation to be completed?

The final evaluation must be completed no later than 30 days (by January 30^th) after the end of the performance period.

At our agency, we are working on teams for various projects and our staff have expressed a desire to evaluate their team members on their effectiveness in the team and to be able to use that in our evaluation process. Can we incorporate peer evaluations as part of the supervisor's evaluation of the individuals?

Yes. It is appropriate to include peer feedback as one source of information to help a supervisor determine evaluation ratings particularly when the employee works on a team. Of course it is important that the employee be informed up front at the planning session that feedback from other team members will be considered by the supervisor.

If an employee refuses to sign the evaluation and the supervisor documents this, signs and dates the form, can an employee then retract the refusal the next day?

The employee cannot retract their refusal to sign unless the agency decides to allow it.

Can a supervisor who is a "contract" employee perform the evaluations since they are the ones who actually supervise the employees instead of a "state" supervisor?

Yes.

Since an employee doesn't have to sign the evaluation right on the spot, how long do they have or is that up to the supervisor?

They have five working days from the date of the evaluation. If the employee does not sign the form during this time, they cannot request reconsideration.

If my first line supervisor has not completed the initial probationary period as of January 1, 2001, and therefore will not be evaluated themselves, will that supervisor still perform evaluations on their employees?

Yes. The first line supervisor will be the evaluator even though they are on initial probation.

If an employee that qualifies to be evaluated, terminates employment (leaving state government) during the calendar year before 12-31-01, does the supervisor complete the evaluation up to the point of termination? What if the employee that is terminating, requests a completed evaluation, are we obligated to provide the evaluation?

No, an evaluation is not required due to termination, but any interim reviews that were completed along with the performance plan would be placed in the employee's personnel file. If the employee that is terminating employment asks to be evaluated there is no legal obligation of the supervisor to complete the evaluation. Please remember however that if an employee goes to another agency after October 1 the old supervisor must complete the evaluation prior to the employee leaving as the new supervisor will not have the employee for the required 90 days.

If an employee received a rating of (2) "Barely Meets" or (1)"Fails to Meet" on a specific duty, is there any underlying assumption disciplinary action was received by the employee to justify the low rating?

No. However, there should be supporting documentation that may include the following: 1) the employee failed to improve after coaching, 2) failed to progress after the implementation of an "Improvement Plan", and 3) other problems or concerns identified during the interim reviews. While disciplinary action received by an employee should have some bearing on the rating received, justification for the low rating does not have to include an employee receiving disciplinary action.

If an employee receives the lowest possible overall rating during the annual evaluation must he/she be demoted if no position is available?

No, if the agency has no position available in which to demote the employee, termination must occur.

Who is responsible for the evaluations in a self-directed team?

"Self-directed team" is a term unknown to personnel law. Somebody, somewhere is the legal first line supervisor. That's who conducts the evaluation. The decision as to who is the first line supervisor is a function of the Appointing Authority.

Can a next line supervisor change a rating after the employee and supervisor have signed off on the evaluation?

The only time a next line supervisor can change a rating is when the employee requests reconsideration from the next line.

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If an employee checks the box requesting reconsideration, do they also have to send in a written request?

No. To request reconsideration the employee is only required to check the 3^rd box in the Employee Response Section (D) of the evaluation form.

After initial reconsideration is conducted, how does the employee request further reconsideration by the next line supervisor?

By checking the box that indicates "Disagree with results of initial reconsideration and request reconsideration by next line supervisor". This box is included in the Reconsideration Section (E) of the evaluation form.

Can an employee request reconsideration of any rating?

Yes, an employee can request reconsideration on any aspect of his/her evaluation.

Does an employee have the right to request reconsideration on a specific category even if their overall rating is "Good or Above"?

An employee may request reconsideration on any part of the evaluation regardless of the overall rating received.

Can reconsideration be requested and resolved during the annual performance evaluation meeting?

If the supervisor and employee can come to an agreement on any employee problems with the evaluation during the actual annual evaluation meeting an official reconsideration request is not necessary. Any changes or modifications made to the form must be initialed and dated by both the employee and evaluator.

If an employee refuses to sign any part of the evaluation, are they waiving their rights?

No. An employee will waive their right of appeal by not signing the employee response section of the form at the annual evaluation. If they don't sign the performance planning section at the start of the year they may still appeal at the end of the year their disagreement with the performance plan. When an employee refuses to sign the performance planning section the supervisor must document in the space for employee's signature that the employee refused to sign. The supervisor must include their initials and the date. The employee will always have rights to the internal appeal if they check the 3^rd box in the employee response section within the 5 days required and they sign this section of the form.

During the reconsideration process, can the next line supervisor change the evaluation in areas which were not points of disagreement expressed by the employee?

Yes. Once the employee gets into the reconsideration process the entire evaluation is open to changes by the next line supervisor.

When does the reconsideration process begin?

When the employee checks the 3^rd box in the Employee Response Section of the form the evaluator must begin the reconsideration process by meeting with the employee and must respond in writing within Section III, subsection E under Results of Initial Reconsideration within five (5) days of the date the employee signed the evaluation.

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During the performance period, who maintains the evaluation form?

The evaluation form is maintained by the first line supervisor (evaluator) until the annual evaluation is completed. The supervisor should give the employee copies of each section of the form as the meetings take place (i.e. performance planning, interim meeting, annual evaluation).

If an employee makes a habit of taking sick leave on Fridays/Mondays or the one sick day they earn each month and their absence affects their work performance, can the employee be held responsible?

An employee cannot be penalized for taking sick leave if they request it as required and/or provide appropriate documentation.

In the Employee Handbook (page 11), the "Unacceptable" rating is defined as "less than 150 points" while the form says "149 or less" which is right?

Both statements are correct as "less than 150 points" is "149 or less."

Can a contract supervisor be the next line supervisor?

Yes. The fact that a supervisor is a contract employee does not absolve him/her of this responsibility. The Personnel Cabinet general counsel has indicated that there have been personnel board decisions that support a contract employee completing performance evaluations.