Title 9 Part 151

On December 7, 1979, the State of New York and the Public Employees Federation, AFL-CIO, signed a collective bargaining agreement for the period April 1, 1979 through March 31, 1982, covering employees in the Professional, Scientific and Technical Services Negotiating Unit, which provides, in part, that the parties develop a work performance evaluation system to improve job performance and recognize employee achievement. Because the State and the union did not have an opportunity to fully develop a performance evaluation system, interim rules and regulations were established to cover the period April 1, 1979 through September 30, 1980. However, final agreement for such system has been reached for the remainder of the 1979-82 contract period and these rules, which implement and govern this performance evaluation system, replace former Part 151 which governed the interim period.

This Part shall apply to all annual salaried employees in the Professional, Scientific and Technical Services Negotiating Unit in the competitive, noncompetitive, exempt and labor classes whose positions have been allocated to a salary grade (other than grade 38), and other employees whose positions are unallocated but are equated to salary grades by the Director of the Budget. Excluded from coverage for the purpose of performance advances are those employees whose positions are both unallocated and not equated to a salary grade, those employees in positions allocated to grade 38 and those employees paid on other than an annual salary basis.

For the purpose of this Part, certain terms are defined as follows:

The minimum salary stated in the appropriate salary schedule for each of the salary grades applicable to employees covered by this Part.

The maximum salary stated in the appropriate salary schedule for each of the salary grades applicable to employees covered by this Part.

The dollar difference between the hiring rate and the job rate of a salary grade on the appropriate salary schedule.

An increase in the basic annual salary rate for an employee who is below the job rate of the salary grade on the appropriate salary schedule, based on an assessment of the employee's performance as provided for in this Part.

One of three terms used to describe an employee's performance. These terms are outstanding, effective and below minimum.

The immediate supervisor of the employee to be rated. This individual is directly responsible for evaluating the performance of an employee.

The member of management (i.e., an employee who has been designated as managerial pursuant to article 14 of the Civil Service Law) to whom the evaluator reports or who is immediately responsible for the functions which are under the evaluator's supervision.

The specific tasks, assignments, activities or objectives to be accomplished by an employee during the period of evaluation, the standards by which the employee's performance will be evaluated, the training and development activities to be accomplished by the employee during the period of evaluation, and the standards by which the employee's progress in those developmental activities will be determined.

A written evaluation of an employee's performance, including a narrative which relates the employee's performance to the performance standards specified in the performance program, a rating of the employee's performance to the performance standards specified in the performance program, a rating of the employee's performance as effective, outstanding or below minimum, and recommendations concerning personnel actions, performance advances, training and development activities, and other actions deemed appropriate by the evaluator based on the employee's performance.

A system which permits variable dollar performance advances based on the eligible employee's performance rating. Employees whose performance is rated effective shall receive no less than 12.5 nor more than 20 percent of the salary range of their grade on the appropriate salary schedule as a performance advance. Employees whose performance is rated outstanding shall receive no less than 25 percent nor more than 40 percent of the salary range of their grade on the appropriate salary schedule as a performance advance. In no case may a performance advance result in a basic annual salary above the job rate for the position which was used to calculate the salary adjustment made.

Positions equated to a grade as shown on the certificate of approval for the position, a Budget Director's approval form signed by the Director of the Budget or his designee, or the appropriate classification form (CC-4) signed by the Director of the Budget or his designee.

The employee has successfully achieved the objectives or performed the tasks specified in the performance program. It is only when the employee's performance clearly shows accomplishments above or below this expected performance level that a rating other than effective should be considered. In the upper range of this category, the employee always meets and sometimes exceeds performance standards. In the middle range, which is the expected and usual level of performance for most employees, the employee meets all performance standards effectively and efficiently. In the lower range, the employee meets performance standards at a minimally acceptable level; some assignments may require extra direction by the supervisor, or the supervisor may find it necessary to avoid assigning the more difficult tasks or responsibilities to the employee.

The employee's performance is clearly exceptional in comparison with performance standards specified in the performance program. The performance consistently exceeds the requirements for all the tasks, assignments or activities, and the objectives which were to be accomplished during the evaluation period. The employee can be relied upon to perform the most difficult assignments and has made exceptional contributions to the work of the unit.

The employee has failed to meet one or more of the performance standards specified in the performance program. The employee cannot be relied upon to carry out critical assignments in a timely or effective fashion. There is a need for immediate and significant improvement in performance.

The evaluation report must be reviewed and approved by the reviewer before it is given to the employee. Upon approval of the reviewer, the evaluation report is final, except for recommended performance advances for employees subject to the variable rate payment system.

Any resulting performance advance in the graded position shall be effective no earlier than the employee's return to the annual salaried graded position.

effective or outstanding shall receive a performance advance equal to one third of the salary range for his/her grade on April 1, 1981. Such payment shall be effective at the start of the payroll period closest to July 1, 1981 except that, for 10-month institution teachers and other employees in positions subject to the provisions of section 136 of the Civil Service Law, such payment shall be effective September 1, 1981.

effective shall receive a performance advance which shall not be less than 12.5 percent nor more than 20 percent of the salary range for his/her grade (variable rate payment system for employees rated effective ). Such employees in grades 24 and above whose performance is summarized as outstanding shall receive a performance advance which shall not be less than 25 percent nor more than 40 percent of the salary range for his/her grade (variable rate payment system for employees rated outstanding ). Such payments shall be based on the April 1, 1981 salary schedule and shall be effective at the start of the payroll period closest to April 1, 1981.

below minimum for the evaluation period ending March 31, 1981 but whose performance is summarized as effective or outstanding for the evaluation period ending September 30, 1981, shall receive a performance advance equal to one third of the salary range for their grades in effect on October 1, 1981. Such payment shall be effective at the start of the payroll period closest to January 1, 1982.

outstanding for the evaluation period ending March 31, 1981, and whose performance is summarized as outstanding for the evaluation period ending September 30, 1981, shall receive a performance advance equal to one third of the salary range for their grades in effect on October 1, 1981. Such payment shall be effective at the start of the payroll period closest to January 1, 1982.

below minimum shall not receive a performance advance. In no case may a performance advance result in a basic annual salary above the job rate for the employee's position. Only that portion of the performance advance which would bring the employee's salary up to the job rate shall be paid. In no case shall an employee receive an additional performance advance within six months of having received a performance advance or a performance advancement payment pursuant to these rules or Parts 147 through 150 of this Title.

This provision shall not apply to increases resulting from recomputed promotion salaries made pursuant to such rules. Eligible part-time employees shall be paid on a prorated basis depending on the fractional equivalent of the time worked during each payroll period.

The statewide performance evaluation review board is a three-member panel established for the purpose of reviewing determinations of the agency head or his/her designee in instances where an employee's performance continues to be summarized as below minimum and the employee requests a review of that decision. One member is appointed by the president of PEF, or his designee; one member is appointed by the Director of the Governor's Office of Employee Relations, or his designee; and a third member, appointed by mutual agreement of the president of PEF and the Director of the Governor's Office of Employee Relations, or their designees.

Employees who are not on probation and who are rated below minimum may seek to raise their summary rating through the review process.

Employees may use the review process only to request a review of their summary rating. Disputes of such issues as the individual performance program and the rating and review process are not reviewable. Also, ratings of effective and dollar amounts of performance advances are not subject to review.

The agency and statewide review boards' consideration of a request for review will consist primarily of a review of the record. Generally, the record will consist of the performance evaluation report and any written statements presented by the employee and on behalf of management.

Employees serving in unallocated trainee positions shall be subject to the performance evaluation system described in section 151.4 of this Part. Such employees shall be eligible to receive performance advances in accordance with the terms of plans developed by the Director of Classification and Compensation and approved by the Director of the Budget.

Upon the request of the Director of the Budget, each agency shall provide timely statistical reports of performance ratings and advances in a manner prescribed by the director. Such reports shall be filed simultaneously in a timely fashion with the Director of the Budget and the Director of Employee Relations.

The specific provisions and limitations contained in this Part may be waived pursuant to provisions of law by the Director of the Budget whenever he determines that strict adherence to the rules would be detrimental to the sound and orderly administration of State government.

Employees who as of March 31, 1984 have completed five years or more of full-time service at an annual salary rate equal to or higher than the job rate of their salary grades, and whose summary performance evaluations for the two evaluation periods ending in the 1983-84 fiscal year were effective or higher, shall be eligible to receive a performance award. Such performance award shall be a lump-sum nonrecurring payment in the amount of $1,000 paid during the month of April 1984.

Employees who as of March 31, 1985 have completed five years or more of full-time service at an annual salary rate equal to or higher than the job rate of their salary grades, and whose summary performance evaluations for the two evaluation periods ending in the 1984-85 fiscal year were effective or higher, shall be eligible to receive a performance award. Such performance award shall be a lump-sum, nonrecurring payment in the amount of $1,000 paid during the month of April 1985.

Such performance award shall be a lump-sum, nonrecurring payment in the amount of $1,250 paid during the month of April, 1991.

Employees who were serving at an annual salary rate equal to or in excess of the job rate of the salary grade for their position, whose position is reallocated to a higher salary grade, shall be entitled to have service at the job rate of the lower salary grade deemed to be service at the job rate of the higher salary grade and considered as eligible service in determining fulfillment of the service requirement for a performance award, provided that the actual annual salary rate of such employees is equal to or in excess of the job rate on March 31, 1984, March 31, 1985, March 31, 1986, March 31, 1987 or March 31, 1988, March 31, 1989, March 31, 1990, or March 31, 1991, as appropriate.

Employees who return to the lower grade as a result of disciplinary action, or voluntarily after completion of the probationary period, or who have received a performance award or longevity salary increase in the higher salary grade during the fiscal year are not eligible for an award in the lower salary grade.

The specific provisions and limitations contained in this Part may be waived pursuant to provisions of law by the Director of the Budget whenever he determines that strict adherence to the rules would be detrimental to the sound and orderly administration of State government.