53ER04-41. Personnel Performance Excellence Program (Replaced by 53ER09-71)

(1) The Personnel Performance Excellence Program shall be conducted in accordance with the provisions set forth in this emergency rule.

(2) Statement of Policy.

(a) Performance Excellence is the Florida Lottery’s annual performance evaluation program. It functions as an annual review of the work performance of all Lottery employees in the areas of technical expertise, professional excellence and customer satisfaction. This program connects an employee’s work performance to the implementation of the Lottery’s strategic business plan, and subsequent achievement of the agency’s business goals.

(b) An employee’s performance measures will be based on the performance goals for that employee’s work unit, as specified in the strategic business plan.

(c) The Florida Lottery’s Performance Excellence Program serves the following purposes:

1. Provides all employees with the opportunity to clearly understand and focus upon annual performance expectations.

2. Identifies improvement needs to enhance future individual, and ultimately organizational, performance.

3. Motivates all employees to improve skills and job knowledge to ensure consistent professional and technical expertise.

4. Documents and tracks an employee’s performance against the strategic goals of the employee’s work unit and ultimately, the strategic goals of the agency.

5. Documents an employee’s eligibility for salary adjustments or one-time lump sum payments.

6. Provides a basis for monitoring and improving the overall performance and productivity of the Florida Lottery’s work force.

(3) Procedures.

(a) Performance Evaluation Cycle.

1. Phase I – Work Planning – During this initial phase, following consultation with executive management, a work plan shall be developed by the immediate supervisor. The work plan should identify the employee’s key work activities and responsibilities, and be prioritized in accordance with the agency’s strategic objectives. The work plan should correspond to the employee’s position description in terms of functional accountability, knowledge, experience and skills. Both the supervisor and the employee must sign and date the work plan.

2. Phase II – Mid-Year Review – Approximately midway through the fiscal year, the supervisor and employee meet to review the employee’s progress on his/her work activities and responsibilities to date including an indication of what ratings the employee has earned at this point in the fiscal year. If applicable, the meeting shall include any necessary changes to work activities and related responsibilities and/or performance measures.

3. Phase III – Annual Review – This last phase is the fiscal year-end performance review and feedback session between the supervisor and the employee. The following items are included in Phase III:

a. An employee gathers input from three peers which are:

i. Work Unit Peer – A peer that works within an employee’s work unit.

ii. Partner Peer – A peer that closely partners with an employee in the performance of work activities. A Partner Peer can be an employee of the Lottery or of a third party who is affiliated in some way with the Lottery, i.e., another state agency, contractor or vendor.

iii. Customer Peer – A peer that is from the employee’s customer group, i.e., Retailer Contracting serves the retailer as customer, or Information Resources serves various Lottery divisions as customer.

b. The supervisor provides the employee with a final rating for each work activity and related responsibility. Both the supervisor and the employee sign and date the final rating. A copy of the final rating is provided to the employee and the original is placed within the employee’s personnel file in Human Resource Management.

4. Interim Review – Following consultation with executive management, a supervisor may create an Interim Review at any time deemed appropriate within the fiscal year. Such review shall not include peer reviews.

5. New-Hire Procedures.

For new hires, Phase I work plans will be completed within approximately one month of the employee’s hire date. A Phase II interim review shall be conducted provided the employee was hired prior to October 1. A Phase III annual review shall be conducted provided the employee was hired prior to March 1. The initial work plan shall cover the period from the hire date through June 30. Thereafter, the employee shall be appraised on the fiscal year cycle as set forth above in subparagraphs (3)(a)1., 2. and 3.

(b) Performance Categories.

1. Ratings will be given based on activity outcome, and the process by which an activity is implemented.

2. It is assumed and expected that in order to be in the employ of the Florida Lottery, one must maintain and demonstrate, at a minimum, specific characteristics and behaviors that are non-negotiable such as integrity, honesty, courtesy, professional demeanor, and product/process knowledge, in providing public service. While a performance rating cannot be improved by regularly meeting these minimum “non-negotiable” standards, failure to do so will result in a reduction in an employee’s overall performance rating.

3. Outlined below are the three levels of assessment and required performance characteristics and behaviors for each performance role.

a. Technical Expertise – How well an employee knows and performs the specific tasks associated with his/her work activities and responsibilities in terms of knowledge, skill, experience, and ability.

b. Professional Excellence – The manner in which an employee implements or carries out his/her work activities and responsibilities in terms of attitude, behavior, character.

c. Customer Appreciation – How well an employee provides service and value to his/her customer via the daily implementation of an employee’s work activities and responsibilities, in terms of customer needs, interaction, and responsiveness. Additional consideration will be given to the level of appreciation, value, and importance a customer has for the employee.

(c) Rating Scale.

1. Clearly Outstanding (C) = 3 Points – This score is given to an employee who consistently exceeds performance expectations in technical expertise, and has also assumed additional activities and work responsibilities and exceeded those. This employee also demonstrates on a daily basis a “beyond-the-call-of-duty” attitude, team spirit, and a high level of professional excellence. Consideration may be given for a salary increase and/or career advancement should an advanced position be available.

2. Meets Expectations (M) = 2 Points – An employee meets performance expectations (minimum acceptable standard) in all performance categories. This employee is performing as requested.

3. Does Not Meet Expectations (D) = 1 Point – An employee does not meet performance expectations. A retention decision will be considered and, if the employee is retained, a Performance Improvement Plan will be required.

(d) Performance Improvement Plan (PIP).

In some cases, a supervisor might find it necessary to develop and implement a Performance Improvement Plan (PIP) for an employee. The purpose of a PIP is to provide immediate attention to performance deficiencies, by allowing an employee to improve performance based on a rating that was at or below minimum standard. A PIP is created at the discretion of the supervisor following consultation with executive management. A PIP may be up to 90 days in duration, however, at anytime that a PIP is in effect an employee may be separated or demoted at the discretion of the Lottery Secretary.

(4) This emergency rule supersedes Chapter 53-17, Personnel Employee Performance Evaluations, Florida Administrative Code, and replaces Emergency Rule 53ER04-36, Personnel Performance Excellence Program, Florida Administrative Code.

Specific Authority 24.105(9)(j), 24.109(1) FS. Law Implemented 24.105(19)(d) FS. History–New 7-30-04, Replaces 53ER04-36, F.A.C.