EMPLOYEE PERFORMANCE MANAGEMENT SYSTEM (EPMS) POLICY

Subject: Laws/Regulations: Performance Evaluations Employee Performance Evaluation Systems, S.C. Code Ann. Reg. 19-715 et seq. S.C. Code Ann. Regs.19-700 EMPLOYEE PERFORMANCE MANAGEMENT SYSTEM (EPMS) POLICY (revised 1/26/2016) THE LANGUAGE USED IN THIS DOCUMENT DOES NOT CREATE AN EMPLOYMENT CONTRACT BETWEEN THE EMPLOYEE AND THE AGENCY. THIS DOCUMENT DOES NOT CREATE ANY CONTRACTUAL RIGHTS OR ENTITLEMENTS. THE AGENCY RESERVES THE RIGHT TO REVISE THE CONTENT OF THIS DOCUMENT, IN WHOLE OR IN PART. NO PROMISES OR ASSURANCES, WHETHER WRITTEN OR ORAL, WHICH ARE CONTRARY TO OR INCONSISTENT WITH THE TERMS OF THIS PARAGRAPH CREATE ANY CONTRACT OF EMPLOYMENT. The Employee Performance Management System (EPMS) policy was developed in accordance with Department of Administration policies and procedures and State Human Resources Regulations. The provisions of this policy address the appraisal process of both probationary and covered employees. Although not mentioned specifically in this policy, employees exempt from coverage under the State Employee Grievance Procedure Act must also be given annual performance appraisals. PURPOSE The purpose of the EPMS is to increase efficiency/productivity of the agency by maximizing work performance of each employee. This policy applies to all probationary and covered employees that occupy full time equivalent positions. Objectives include but are not limited to: A. Providing documentation for salary increases, promotions, reassignments, demotions, dismissals and reductions in force. B. Assisting management in assigning work and delegating responsibilities based on a mutual understanding of the employee's knowledge, skills and abilities. C. Identifying training needs within the department. D. Allowing employees to discuss career goals with supervisors. 1/26/2016 A.508 1

GENERAL INFORMATION All performance evaluations must be made by the employee's supervisor (The Rating Officer) who has direct experience or knowledge of the work being performed. The evaluation must be reviewed by the next higher level supervisor (the Reviewing Officer), unless the Rating Officer or Reviewing Officer is the agency head, prior to the evaluation being discussed with the employee. The Reviewing Officer may attach additional comments to the evaluation, and in the attachment may take exception to any of the Rating Officer s evaluation points. The Reviewing Officer does not have the authority to change the evaluation completed by the Rating Officer. The final evaluation must bear the signature of the Rating Officer, the Reviewing Officer and the employee, if possible. If the employee refuses to sign the evaluation, the Rating Officer must note the employee's refusal to sign on the evaluation document. If possible, a witness should also sign the evaluation acknowledging the employee's refusal to sign. All performance evaluations shall become a permanent part of the employee's official personnel file. Upon request, the agency shall furnish the employee with a copy of the performance evaluation with copies of all pertinent attachments including the form completed at the time of the planning stage and the final evaluation form. TRAINING Training shall be mandatory for all employees regarding the EPMS. New employees shall be briefed on the EPMS during orientation sessions. Definitions 1. Established Review Date - The employee s review date as established in accordance with State Human Resources Regulations. 2. Universal Review Date The mandatory review date of JULY 1 established by DHEC. (Exceptions: probationary employees and trial employees.) 3. Midpoint Review Date - The mandatory midpoint review date of JANUARY 1 established by DHEC. The Midpoint review for an employee in a Trial Period will be the first three months of the Trial Period. (Exceptions: probationary employees and trial employees.) 4. Short Year Review - Any performance evaluation that evaluates an employee s performance for a period of time less than twelve (12) months. (Exceptions: trial period reviews and warning notice reviews.) 5. Short Year Planning Stage - Any EPMS planning stage document covering a period of time less than twelve (12) months. (Exception: trial period planning stages.) 6. Covered Employee - A full-time or part-time employee occupying a part or all of an FTE position who has completed the probationary period and has a "meets" or 1/26/2016 A.508 2

higher overall rating on the employee s performance evaluation and who has grievance rights. Instructional personnel are covered upon the completion of one academic year except for faculty at State technical colleges upon the completion of not more than two full academic year s duration. If an employee does not receive an evaluation before the performance review date, the employee must be considered to have performed in a satisfactory manner and be a covered employee. This definition does not include employees in positions such as temporary, temporary grant, or time-limited employees who do not have grievance rights. 7. Probationary Period - An initial working test period of employment in an FTE position with the State of not more than 12 months duration for non-instructional personnel or the academic year duration for instructional personnel except for those at State technical colleges, or of not more than 2 full academic years' duration for faculty at State technical colleges. An employee who receives an unsatisfactory performance evaluation during the probationary period must be terminated before becoming a covered employee. 8. Trial Period - The initial working test period of six months required of a covered employee upon movement to any class or an unclassified State title in which the employee has not held permanent status. 9. Demotion - The assignment of an employee by the appointing authority from one established position to a different established position having a lower State salary range or, for employees in positions without a State salary range, assignment of a lower rate of pay to the employee except when the employee s job duties also are decreased for non-punitive reasons. 10. Promotion - The assignment of an employee by the appointing authority from one established position to a different established position having a higher State salary range or, for positions without a State salary range, having a higher rate of pay. Failure to be selected for a promotion is not an adverse employment action that can be considered as a grievance or appeal. 11. Reassignment - The movement within an agency of an employee from one position to another position having the same State salary range, or the movement of a position within an agency which does not require reclassification. Reclassification - For classified positions, the assignment of a position in one class to another class which is the result of a natural or an organizational change in duties or responsibilities of the position. 1/26/2016 A.508 3

IMPLEMENTATION These Procedures govern the appraisal process to be used for DHEC employees as set forth in the Employee Performance Management System Policy. The agency will phase in the Universal Review Date. As of the effective date of this policy, once an employee reaches his/her Established Review Date the employee will receive a Short Year Planning Stage and Short Year Review in order to move the employee from the Established Review Date to the Universal Review Date. DHEC S CORE VALUES 1. Pursuing Excellence We are steadfast in our commitment to the highest achievable standards of quality and professionalism in our pursuit of healthy people living in healthy communities. 2. Inspiring Innovation We encourage and empower our teams to find forward-looking, creative solutions to promote and protect the health of the public and the environment. 3. Promoting Teamwork We foster an inclusive and collaborative environment, valuing the diversity of thoughts, experience and expertise of every team member, our partners, and our communities. 4. Embracing Service We embrace our responsibility to reliably serve our communities, our customers, and each other in a respectful manner, relying upon clear and uncompromised commitments to integrity, trust, dependability, and responsiveness THREE LEVELS OF PERFORMANCE All employees will be rated based on their success supporting the Agency s Core Values, Performance Characteristics, Job Duties and Overall Performance. The rating will be based on three levels of performance: 1. Exceeds Performance Expectations is work that is above the success criteria for the job throughout the rating period. 2. Meets Performance Expectations is work that meets the success criteria for the job. 3. Does not Meet Performance Expectations is work that fails to meet the success criteria of the job. PLANNING STAGE Each employee shall have a planning stage conducted at the beginning of each rating period. The employee's job functions (which include job duties and success criteria) and performance characteristics for the next rating period will be discussed at this time. The Reviewing Officer 1/26/2016 A.508 4

and the Rating Officer must discuss the requirements for the coming year prior to the planning stage. The Rating Officer and employee must participate in drafting the planning stage document. It is recommended that the Rating Officer and the employee draft the planning stage at the same time as the performance review to select job duties, develop standards for meets performance and discuss performance characteristics and values to be evaluated during the upcoming rating period. Managers will also be rated on how well they implement the DHEC Strategic Plan. JOB DUTIES The Rating Officer and the employee shall determine the job functions (which include job duties and success criteria) by reviewing the employee's position description. If the position description is not up-to-date, or if there is no position description, a position description must be prepared and submitted for approval. In those instances where the Rating Officer and employee cannot agree upon the job duties, the Rating Officer's decision shall be final. The statement outlining the job function must include descriptive information about the performance expectations (success criteria) of The Rating Officer. The descriptive statement must specify the expectations of The Rating Officer for the employee to meet performance requirements. Each job function shall be rated in the evaluation stage based on the three levels of performance. All Rating Officers shall be evaluated on the timely completion of each employee s performance evaluation. PERFORMANCE CHARACTERISTICS The Office of Human Resources will provide a list of suggested performance characteristics and their definitions. Each performance characteristic must be defined in the planning stage and rated based on the three levels of performance in the evaluation stage. All managers and supervisors must be rated on the performance characteristic of "promoting equal opportunity." (Promoting equal opportunity includes such areas as hiring, promotion, or placement; level of personal and organizational commitment to equal opportunity; progress toward achieving a fully integrated and representative work force; and contribution toward minority programs and other social/economic equal opportunity goals.) ONGOING PERFORMANCE MANAGEMENT Rating Officers must continue to provide performance feedback to employees throughout the review period. A Midpoint Evaluation is required to facilitate this communication between raters and employees. In addition, various options are available to the Rating Officer in conducting performance management. Rating Officers may gather feedback to prepare the evaluation document and/or conduct unofficial evaluations more frequently than required in this policy. PROBATIONARY PERIODS 1/26/2016 A.508 5

Each new employee in probationary status shall be rated prior to the completion of their twelve month probationary period. The performance review date marks the beginning of a new review period. If that employee does not receive a performance evaluation prior to the performance review date, the employee will receive a "Meets Performance Expectations rating by default and obtain covered status as a State employee and permanent status in the class. The probationary period may not be extended. After satisfactory completion of the probationary period, an employee may receive a short year planning stage and a short year review in order to move the employee to the universal review date. If an employee is not performing satisfactorily during the probationary period, the employee shall be terminated before becoming a covered employee. Until an employee has completed the probationary period and has a "Meets Performance Expectations or higher overall rating on the employee s evaluation, the employee has no grievance rights under the State Employee Grievance Procedure Act; therefore, an agency is not required to follow the Substandard Performance Process to terminate a probationary employee. The "Meets Performance Expectations rating is the equivalent to the meets performance rating referenced in the State Employee Grievance Procedure Act. ANNUAL PERFORMANCE REVIEWS All employees must be given an annual evaluation. The evaluation may be completed any time during the 90 days before the conclusion of the employee s review period and must be completed prior to JULY 1 to be timely. An employee on approved leave with or without pay for more than 30 consecutive workdays may have the performance review date advanced up to 90 days after those first 30 workdays. A covered employee who within 30 calendar days of his performance review date receives a Warning of Substandard Performance shall have the performance review date advanced up to 90 days. The performance review date marks the beginning of a new review period. If an employee does not receive an evaluation prior to the performance review date, the employee shall receive a "Meets Performance Expectations rating by default. A covered employee may not be issued an overall Does not Meet Performance Expectations evaluation at any time during the annual review period without following the Substandard Performance Process. Should the review date advance, the employee may require a short year planning stage and a short year review period in order to move the employee back to the universal review date. MIDPOINT PERFORMANCE REVIEWS The Rating Officer must meet with the employee prior to JANUARY 1 to discuss the employee's performance for the first six months of the Evaluation Period. The supervisor must meet with a New Hire approximately six months after the New Hire s date of hire to discuss the employee's performance for the first six months of the 12-month probationary period. The Midpoint Review for an employee in a Trial Period would be the first three months of the Trial Period. 1/26/2016 A.508 6

TRIAL PERIODS Each covered employee who has been demoted, promoted or reclassified shall be evaluated prior to the completion of a six month trial period in the position. The performance review date marks the beginning of a new review period. If an employee does not receive a performance evaluation prior to the performance review date, the employee will receive a "Meets Performance Expectations rating by default and obtain permanent status in the new classification. Once an employee has completed a successful trial period and obtained permanent status in a class, the employee retains permanent status in the class throughout the employee s continuous service. The six month trial period may be extended up to 90 calendar days upon written notice to the employee prior to the end of the six month trial period. The employee s performance review date shall be advanced for the time period such extension is in effect. After satisfactory completion of the trial period, the employee may require a short year planning stage and a short year review in order to move the employee back to the universal review date. The Substandard Performance Process is not required to demote or reclassify downward an employee in trial status to the same class from which promoted, if the demotion or reclassification occurs within the trial period. The Substandard Performance Process is also not required to demote or reclassify downward an employee in trial status to a class in an equal or higher pay band from which promoted, if the demotion or reclassification occurs within the trial period. The employee in trial status may not grieve such demotion. The employee in trial status may not be terminated or demoted to a class in a lower pay band than that from which promoted for performance reasons without following the Substandard Performance Process. SUBSTANDARD PERFORMANCE PROCESS FOR COVERED EMPLOYEES A covered employee is entitled to adequate Warning of Substandard Performance (WOSP) and the opportunity to improve the substandard performance before receiving a Does not Meet Performance Expectations rating and being removed from the position. To ensure this occurs, the following procedures shall be followed: a. Rating Officers shall issue a WOSP prior to issuing a Does not Meet Performance Expectations rating to a covered employee. If during the performance period an employee is considered Does not Meet Performance Expectations, in any essential job function or objective which significantly impacts overall performance, The Rating Officer must provide the employee with a written WOSP. The WOSP must provide for an improvement period of no less than 30 days and no more than 120 days. The WOSP may be issued at any time during the review period. Ordinarily, the warning period may not extend beyond the employee s review date. However, if the WOSP is issued less than 30 days from the employee's review date, the performance review date shall be advanced up to 90 days. Should the performance review date be advanced and the employee receives a "Meets Performance Expectations or above rating on all essential job functions/objectives, which significantly impact performance, noted in the WOSP, the employee may require a short year planning stage and a short year review in order to move the employee back to the universal review date. 1/26/2016 A.508 7

b. The Rating Officer and Employee Relations participate in drafting a work improvement plan of the WOSP. The work improvement plan must include a list of ways to improve the deficiencies and other appropriate performance related recommendations. c. During the WOSP period, the employee and the Rating Officer shall have regularly scheduled meetings during which they shall discuss the employee's progress. Documentation is required to verify that these counseling sessions were held. Copies of this documentation shall be placed in the employee's official personnel file and given to the employee upon request. d. If the employee's performance is rated "Meets Performance Expectations or above, on all essential job functions/objectives, which significantly impact performance, noted in the WOSP by the end of the WOSP period, employment shall continue. If the employee is rated Does not Meet Performance Expectations, on any essential job function or objective which significantly impacts performance as noted in the WOSP by the end of the WOSP period, the employee shall be removed from the position immediately (i.e., terminated, reassigned, demoted). e. Once a time frame for improving substandard performance has been given, the employee must receive a written evaluation prior to the end of the WOSP period or the employee will receive a "Meets Performance Expectations rating by default. Human Resources must be notified at least 7 working days prior to the end of the employee's WOSP period if the employee will not receive a Meets Performance Expectation on all essential job function/objectives which significantly impact performance. f. If an employee has been issued two WOSPs within a 365 day period and performance drops to a substandard level on any essential job function/objective, which significantly impacts performance for a third time within a 365 day period, the employee shall be removed from the position upon the third recurrence of such substandard performance by issuing a Does not Meet Performance Expectations evaluation. A WOSP is not required on the third occurrence. WARNING OF SUBSTANDARD PERFORMANCE (WOSP) The requirements of a Warning of Substandard Performance are: a. It shall be in writing, addressed to the employee, labeled as a Warning of Substandard Performance, and signed by the employee (witnessed, if employee will not sign). b. It shall list the job function(s) and/or objective(s) included on the employee s planning document that are considered unsuccessful performance requirements, with an explanation of the deficiencies for each job function and/or objective. c. It shall include the time period for improvement and the consequences if no improvement is noted (i.e., terminated, demotion, reassignment). 1/26/2016 A.508 8

d. It shall include a plan for meetings to discuss employee progress during the warning period. A copy of the Warning of Substandard Performance shall be given to the employee and the original placed in the employee s official personnel file. 1/26/2016 A.508 9