The Performance Review System is used to examine the effectiveness of employees and to ensure performance is consistent with basic principles and practices. The Employee Performance Review is an important tool in the overall performance management process and in the development of the employee's professional skills.
The Employee Performance Review System is required and to be used for all classified employees; the system is optional for unclassified professional employees.
The following is a listing of statutes, regulations and policies relevant to this chapter:
Kansas Statutes Annotated (K.S.A.) 75-2949e, Dismissals, Demotions and Suspensions
Policies and Procedures Manual, Chapter 4020, Disciplinary Action Procedures
It is expected that the Employee Performance Review System will be used quarterly, or as frequently as needed during the review period, to provide feedback to the employee. Ongoing communication throughout the entire review period between supervisors and the employees who report to them is encouraged.
The Employee Performance Review includes four components (forms). The Employee Performance Review (PER-47)(pdf) is the only required component. Optional components are: Employee's Annual Report of Activities (PER-48)(pdf), Professional Development and Growth Plan (PER-49)(pdf) and Performance on Goals and Projects (PER-50)(pdf). Optional components are selected by the supervisor based on which are best suited to the position.
An overall rating of consistently exceeds expectations, exceeds expectations, meets expectations, or below expectations is assigned upon completion of an annual, probationary, or special review. The rating shall be substantiated by overall performance criteria ratings and other documentation on the Employee Performance Review forms.
The Employee Performance Review components are:
Employee Performance Review (PER-47) (PDF)
Employee's Annual Report of Activities (PER-48)(PDF) (Optional)
Professional Development and Growth Plan (PER-49)(PDF) (Optional)
Performance Goals and Projects (PER-50)(PDF) (Optional)
In addition to the Employee Performance Review (PER-47), the supervisor and the employee may select one, two or all three optional components to be used during the employee's review period.
All completed components used during the employee's review period, must be submitted together through the department personnel specialist to the Division of Human Resources prior to the review end date.
The required Employee Performance Review (PER-47)(PDF), focuses on performance criteria.
Within the first 30 days of a review period, the supervisor and the employee meet to discuss the performance critieria that will be used to measure performance.
At this time other review components (forms) may be selected by the supervisor and the employee as part of the performance review.
At the end of the review period, the supervisor will assign a rating to each of the performance criteria that are applicable to the employee's position, provide overall employee performance comments, document special accomplishments, and document any performance recommendations. The performance criteria and other documentation on the form(s) will subtantiate the overall rating. All of the documentation made by the supervisor will be reviewed by that individual's immediate supervisor prior to the employee's comments and signature.
Any performance recommendations recorded on the Employee Performance Review (PER-47)(PDF) at the end of the review period may be recorded on the Performance Goals and Projects (PER-50)(PDF) or the Professional Development and Growth Plan (PER-49)(PDF) for the upcoming review period.
The Employee's Annual Report of Activities(pdf) is optional. If the supervisor wants the employee to complete the form, the form should be given to the employee thirty days prior to the review end date. The employee is responsible for completing the form and for returning it to the supervisor by a designated date (at least two weeks prior to review end date). Established goals and progress on established goals will be documented as well as other contributions and accomplishments during the rating period. If the form is not completed and returned by the specified date, the review may be completed without using this activities form.
The Professional Development and Growth Plan(pdf) component is optional. This form is used to establish a professional growth plan for the employee by listing and briefly describing performance objectives for the upcoming review period. The employee and the supervisor sign and date the form when the professional development and growth plan is established.
A performance objective should be written so that both parties understand its meaning and will know whether progress has been made or whether objective has been reached. A performance objective describes the specific areas in which the employee needs to focus and describes the specific actions that will be taken by the supervisor and/or the employee to develop and strengthen these areas, any training required, and the deadline for reaching the performance objective.
The Performance Goals and Projects(pdf) component is optional. This form is used to evaluate goals, special assignments, or committee involvement performed during the review period. Many goals or special assignments are regularly present in supervisory level positions. However, we encourage all employees to consider having at least one goal or project to focus on during the upcoming review period.
The goal or project should be written so that both parties understand its meaning and will know whether the goal or project has been completed. A goal or project describes the specific areas in which the employee needs to focus and may describe the specific actions that will be taken by the employee to accomplish the goal or the project.
Observations are documented by the supervisor throughout the review period. The employee and the supervisor sign and date the form when the goal or project is established and when the goal or project has been completed. If the goal or project has not been completed at the end of the review period, progress to date is documented. In this case, the supervisor may again wish to include this goal or project in the next review period for the employee.
Authority for deciding the overall rating ultimately rests with the supervisor. Once completed, the Employee Performance Review should be signed by the supervisor, the person to whom the supervisor reports or other designated reviewer and the employee. The employee's signature does not necessiarly signify agreement. For future reference, the supervisor and employee should retain a final copy.
General guidelines for the overall ratings are provided to help distinguish among the four levels of performance ratings.
Performance is consistently above the standards of performance required and defined and contributions are well beyond normal job expectations for the review period. Performance at this level leaves little, if anything to be desired and consistently and significantly performs at a commendable level. Other University personnel commonly seek out the employee for assistance in solving problems. The employee rarely, if ever, requires supervision or follow-up. The employee performs independently in planning, anticipating problems and taking appropriate action. Shows a good grasp of the "big picture" and thinks beyond the details of the job or project at hand.
Meets the key requirements of the job in all areas and far exceeded the requirements in more than half of the areas on which the employee is evaluated.
On the average, about 10% - 20% of the workforce performs at this level.
Performance is solid, effective and consistently meets the performance standards required and defined, exceeds expectations from time to time. Performance is what can be expected of a fully qualified and experienced person assigned to the position. Errors in judgment are rare and seldom repeated. Under normal supervision and follow-up, important jobs are completed on schedule and in keeping with expected results.
Meets the key requirements of the job in all areas and exceeded the requirements of the job in many areas. Performance is characterized by high achievement.
On the average, 20% - 30% of the workforce performs at this level.
Overall, the employee met the key requirements of the job. Performance consistently meets the standards of the job.
The employee demonstrates adequate performance in most areas of the job, but may need improvements in one or more areas. Initiative and outputs are generally adequate and the employee is generally competent and knowledgeable in most aspects of his/her work.
An overall Meets Expectations rating means that performance is adequate in most areas of the job. If there are any performance shortfalls, they may be attributable to newness on the job, missing or undeveloped skills or experience and a performance recommendation should be written to focus on performance deficiencies in designated area(s).
On the average, 40% or more of the workforce performs at this level.
Performance is consistently below the standards of performance required and is unsatisfactory. Seldom meets established standards; must improve to receive a higher performance rating. There are major shortfalls in meeting established performance criteria or objectives. The employee almost always requires close supervision, including step-by-step guidance.
Employee does not meet the key requirements of the job. Excessive direction and follow-up are needed. Immediate improvement required.
On the average, less than 10% of the workforce performs at this level.
Individual departments are responsible for tracking performance reviews and for ensuring their timely completion through the utilization of a standard report from the Human Resource Information System (HRIS). A suggested time-line follows:
Within 30 days of the beginning of the review period
During the review period
30 days prior to the closing date of the review period
Prior to the last day of the review period
The performance review shall be completed by the employee's supervisor and reviewed by that individual's immediate supervisor or other designated reviewer prior to the employee's comments and signature.
All completed forms used in the Employee's Performance Review, (including optional forms) must be submitted together through the department personnel specialist to the Division of Human Resources.
The supervisor and the employee should each retain a copy of the review form(s). (Note: No written comments or attachments may be submitted as part of a review if they have not been shared with the employee.)
All forms are to be typed or completed in black ink.
The Division of Human Resources will review the documents for completeness and then enter the data into the Human Resource Information System. The original review will be retained in the employee's personnel file. Performance reviews are due in the Division of Human Resources by the last day of the review period. Tardy submissions are to be avoided.
The type, length, and circumstances for performance reviews for classified employees vary ; however, the Performance Review process is to be used in all instances. There are three categories of performance reviews, each with its own characteristics: a) probationary, b) annual, and c) special reviews.
The probationary period is a test of an employee’s ability to meet expectations. Recommendations to enhance employee's performance should reflect the skills to be demonstrated, the training to be completed, and the knowledge to be acquired during the probation. One or more feedback sessions should be conducted during the probation period. Prior to the expiration of each employee's probationary period, a performance review shall be completed and submitted to the Division of Human Resources. Failure to notify the employee of the rating or an approved extension by the end of any probationary period shall mean that the employee has been granted permanent status. A request for any extension must also be submitted to the Director of Human Resources prior to the end of the probationary period.
When a probationary employee is on leave, with or without pay, for 30 consecutive calendar days or more, the probationary period will be adjusted to the extent of the leave. Temporary employees do not serve a probationary period; nor do those who are rehired following a lay off.
There are circumstances that require a probationary period and review.
This initial probationary period is six months, but it may be extended up to six additional months for valid reasons, such as completing specific training, attaining a specific skill level, or acquiring necessary credentials. An original probation period of up to 12 months may be established when specific training or certification requirements as documented in the position description cannot be completed within six months.
An extension of the probationary period requires prior approval by the Director of Human Resources. A better than "Below Expectations" rating qualifies an employee on an original appointment for permanent status, unless the probationary period has been extended. An employee who receives a "Below Expectations" rating will not be granted permanent status.
The department is responsible for notifying its supervisors approximately one month before probationary reviews are due. Completed probationary reviews are due in the Division of Human Resources prior to the last day of the review period.
Promotional employees are subject to a probationary period of not less than three months nor more than six months. However, a probationary period of up to 12 months may be established by the Director of the Division of Human Resources when specific training or certification requirements cannot be completed within six months. A promotional probationary period cannot be extended.
A probationary period and review is not required for a reclassification. However, the supervisor has the option to designate a probationary period and review of not less than three months nor more than six months for a reclassification. Reclassification is a change in an existing position from one classification to another. When a position is reclassified, an employee may be granted permanent status or may be subject to a probationary period of not less than three months nor more than six months. A probationary period of up to 12 months may be established if approved by the Director of the Division of Human Resources when specific training or certification requirements as documented in the position description cannot be completed within six months.
Reinstatement occurs when an employee returns to state service within a year of separation. Reinstated employees are subject to a probationary period of not less than three months nor more than six months.
A probationary employee may transfer from one position in a classification to another position in the same classification or to another classification in the same pay grade; whether in the same agency or from another agency, the transfer has no effect on the employee’s probationary period. However, the initial probationary period may be extended, with the approval of the Director, Division of Human Resources, up to six additional months.
When a permanent employee transfers from one position in a classification to another position in the same classification or to another classification in the same pay grade, in the same agency or from another agency, the transfer has no effect on the employee’s permanent status; the employee does not serve another probationary period.
Employees who transfer, demote or promote from a temporary position in the classified service or from any position in the unclassified service to a regular classified position shall serve a standard six month probation.
All police officers are required to attend and successfully complete a course at the Law Enforcement Training Center before receiving permanent status.
All classified employees in a supervisory position (i.e., those who evaluate other classified employees) are required to complete Basic Supervisory Training or its equivalent before receiving permanent status.
Annual reviews are required for each regular classified employee. Annual reviews are due one year from the end of the probationary period or the last special review, then annually thereafter. It is the department’s responsibility to ensure that performance reviews are submitted to the Division of Human Resources prior to the last date of the review period.
A special review may be made at any time to gauge the level of performance or to improve that performance. When appropriate, a special review may be conducted to increase a rating from "Below Expectations" to a higher rating, thus making an employee eligible for a promotion. The employee's annual review due date will become one year from the end of the special review.
If overall performance is rated "Below Expectations" at the end of any probation period, the employee shall not be granted permanent status.
The department may request that the Director of the Division of Human Resources dismiss a probationary employee on an original appointment for not meeting the work requirements or for other good cause, such as conduct, at any time. In addition to completing the Employee Performance Review, the supervisor shall notify the employee in writing, on or before the date of dismissal of a) the reason for the dismissal and b) the effective date. The notice shall give the employee the opportunity to respond in writing or to appear before the Director, Division of Human Resources or his/her representative. (For initial probationary employees, the department head is designated as the Director’s representative.) A copy of the dismissal notice and the completed Performance Review shall immediately be sent to the Director, Division of Human Resources. The opportunity given the employee to appear or to respond in writing shall not be construed as a limitation on the authority of the Division of Human Resources to dismiss the probationary employee.
When a permanent classified employee’s work performance deteriorates or does not meet the key requirements of the job, the supervisor will coach the employee with the stated objective of improving the employee's future performance. The steps below are to be followed to encourage improved performance:
Confer privately with the employee. Use the performance criteria listed on the Employee Peformance Review to guide the discussion. Communicate what level of performance is expected and document the recommendation to enchance employee performance.
Ask if mitigating circumstances may have affected work performance. Involve the employee in developing solutions, setting priorities, and establishing a timeline for improvement.
Within one week, provide the employee written recommendations to enhance employee performance that reflect the areas needing improvement. Include the goals, steps for improvement, and timelines. The recommendation must also state that without such improvement disciplinary action (suspension, demotion, or dismissal) may ultimately be recommended. The recommendation must be reviewed and approved by the department head prior to delivery to the employee.
If, after a reasonable period of time following the feedback session (normally 30 to 45 days), the work performance remains "Below Expectations," a "special" performance review shall be prepared. The supervisor will confer with the staff in Employee Relations and Training before discussing the "Below Expectations" rating with the employee. (Note: The employee’s signature acknowledges receipt of the review and the rating; it does not imply agreement. ) Recommendations may be extended and/or revised for the upcoming rating period.
A minimum of 30 calendar days must elapse before the next "special" performance review may be conducted. If the performance has improved, a rating other than "Below Expectations" will be reported; if performance has not improved, an "Below Expectations" rating will be given.
If the employee has received two "Below Expectations" performance ratings in the 180 calendar days immediately preceding the effective date of the proposed action, the department head may recommend suspension, demotion, or dismissal of a regular employee for deficiencies in work performance. The second "Below Expectations" performance review will be forwarded to the Director of Human Resources with the department’s written recommendation.
The following deficiencies in work performance may lead to a "Below Expectations" performance rating and subsequent suspension, demotion, or dismissal (K.S.A. 75-2949e):
Personal conduct detrimental to state service may also result in suspension, demotion, or dismissal. The grounds for such actions are discussed in PPM Chapter 4020, Positive Discipline of Classified Employees.
A probationary employee on an original appointment (i.e., a new hire) cannot appeal a review rating. However, an employee serving a probation as a result of a promotion, (including promotion from another state agency), a reclassification, or a reinstatement shall have the same appeal rights as an employee with permanent status if the employee had permanent status in the prior position.
A permanent classified employee may, within 7 calendar days after having the opportunity to sign the Performance Review, appeal an overall rating other than "Consistently Exceeds Expectations." That appeal should be submitted in writing to Employee Relations and Training, who will mediate the issue if both the employee and the rater are willing.
If mediation is refused or if it is unsuccessful, the appeal will be referred to the KSU Classified Peer Review Committee (PRC). That Committee is appointed by the Vice President for Administration and Finance to hear civil service employee appeals. The Committee will consider evidence offered by the employee and the rater, as well as any evidence the committee has requested. After deliberating, the PRC will assign a rating within 10 calendar days of the hearing date. The rating is final and not subject to further appeal.
Please refer to PPM Chapter 4030, Classified Employee Peer Review Committee Hearing Process, for further information about the appeal process.
Questions regarding the Employe Performance Review System should be directed to the Division of Human Resources at (785) 532-6277.
