Title 9 Part 156

On May 14, 1985 New York State and District Council 37 signed a collective bargaining agreement for the period April 1, 1985 through March 31, 1988 covering employees in the Rent Regulation Services Negotiating Unit, which provides in part that the State develop a performance evaluation system.

This Part shall apply to all annual salaried employees in the Rent Regulation Services Unit in the competitive, noncompetitive, exempt and labor classes whose positions have been allocated to a salary grade other than grade 38 and such 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 the salary grade on the appropriate salary schedule.

An increase in the basic annual salary rate of 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.

A term as defined in the performance evaluation system developed and administered by the State and used to describe an employee's performance.

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 and 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 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 provides for movement from step-to-step of the salary schedule at the rate of one step upon completion of each year of service in grade where performance was evaluated as higher than unsatisfactory or the equivalent.

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 date of appointment or promotion to employee's current salary grade.

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 unsatisfactory or an equivalent rating and the employee requests a review of that decision. One member is appointed by the President of District Council 37 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 District Council 37 and the Director of the Governor's Office of Employee Relations or their designees.

Employees who are not on probation and who are rated unsatisfactory or an equivalent rating 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 other than an unsatisfactory or equivalent rating and dollar amounts of performance advances are not subject to review.

The agency and statewide review board's 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 156.4 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.

Each agency may be required, upon the request of the Director of the Budget, to provide timely statistical reports of performance ratings and advances in a manner prescribed by him. 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.