53ER13-65. Performance Management Program (Replaced by 53ER13-77  

Effective on Wednesday, September 18, 2013
  • 1(1) 2Purpose. This rule sets forth the provisions governing the Florida Lottery’s Performance Management Program (“Program”). The Program provides for 21the 22review 23a24n25d 26appraisal 27of the work performance of all 33Florida 34Lottery 35Exempt Service and Executive Management 40employees 41at least once per year46.

    47(48a49) An employee’s performance measures will be based on the performance goals for that employee’s work unit.

    66(67b68) The Florida Lottery’s Performance 73Management 74Program serves the following purposes:

    791. 80Provides all employees with the opportunity to clearly understand and focus upon annual performance expectations.

    952. 96Identifies improvement needs to enhance future individual, and ultimately organizational, performance.

    1073108. 109Documents and tracks an employee’s performance against the strategic goals of the employee’s work unit and ultimatel126y 127the strategic goals of the 132Lottery133.

    1344135. 136Documents an employee’s eligibility for salary adjustments or one-time lump sum payments 148upon the availability of such funding154.

    1555156. 157Provides a basis for monitoring and improving the overall performance and productivity of the Florida Lottery’s work force.

    175(1762177) 178Definitions. 179For the purpose of administering this 185rule, 186the following definitions shall apply:

    191(192a193) 194Appraisal 195Period – The period of time covered by the performance plan206. 207T208h209e Florida Lottery 212will 213select more than one 217appraisal 218period per year 221if necessary 223to accommodate operational needs.

    227(228b229) Overall Rating – The employee’s level of performance for the 240appraisal 241period, which is derived as follows:

    2471. 248Calculate the average of all of the individually-rated performance expectations. In calculating this average, all digits three or more places to the right of the decimal shall be dropped. No rounding shall be used in this calculation.

    2852. 286Locate the numeric range in which the calculated average falls on the below chart and assign the corresponding overall rating.




    3134.50 – 5.00


    3173.50 – 4.49


    3213.00 – 3.49


    3252.50 – 2.99

    328Needs Improvement

    3302.49 and below


    334(335c336) Performance 338Appraisal 339– A written assessment of an employee’s performance of assigned duties and responsibilities as reflected in the employee’s performance expectations and documented on a performance 364appraisal 365form.

    366(367d368) Performance Expectation – A statement that describes satisfactory performance of an essential duty or responsibility as listed in the position description or satisfactory demonstration of an attribute, 396value, 397or competency 399that the agency deems necessary for the accomplishment of its core missions. For purposes of this rule, a duty or responsibility is essential if it must be successfully performed in order to fulfill the requirements of the position. 437The performance expectations listed 441o442n the appraisal do not account for all of the employee’s assignments and work expectations, only those identified as critical or of a higher priority.

    467(468e469) 470Work 471Plan – A written notification prepared by the 479supervisor 480that identifies 482the performance expectations by which the employee will be evaluated during the 494appraisal 495period.

    496(497f498) Performance Improvement Plan (PIP) 503 504The Performance Improvement Plan allows the supervisor to provide the employee with a structured met519hod to correct performance deficiencies, by allowing an employee to improve performance based on a rating of 536“Below Expectation” or “Unacceptable540.541

    542(543g544) 545Supervisor 546– The employee’s current immediate supervisor or a designated managerial employee who has knowledge of the employee’s duties, responsibilities and job performance.

    568(5693570) 571Procedures.

    572(573a574) 575Supervisor 576D577uties.

    5781. 579F580or the initial phase of the ne587w Performance Management System, 591a work plan shall be developed by the immediate supervisor 601for the 6032013-2014 604fiscal year606. The work plan sh611all 612identify the employee’s 615performance expectations, 617key work activities and responsibilities, and be prioritized in accordance with the Lottery’s strategic objectives. The work plan s636hall 637correspond to the employee’s position description in terms of functional accountability, knowledge, experience, 650skills 651and ability653. 654Thereafter, new work plans shall be developed only for new hires, or when there is a change 671in the 673performance 674expectations675.

    6762. 677Upon development of a new work plan, 684the 685supervisor shall conduct a689n oral 691performance planning session with the employee to 698review 699the 700work plan 702and discuss 704the performance expectations and rating scale. The supervisor shall also provide the employee an opportunity for feedback regarding the expectations724. 725The work plan shall be signed by the supervisor and the employee, 737indicating that the 740work plan has 743been discussed. A copy of the signed 750work 751plan shall be 754made available to the employee.

    7593760. 761The supervisor shall 764p765rovide employees with coaching and meaningful feedback regarding job performance throughout the appraisal period and timely inform the employee in writing of any performance deficiencies that could result in a “Below Expectation” or “Unacceptable” rating and the necessary corrective action(s) to be taken prior to the end of the appraisal period.

    8164817. 818The supervisor shall conduct 822a 823meeting 824with 825each of his/her employees 829in which a 832written and oral performance 836appraisal 837is provided839. 840Performance appraisals must be completed within sixty (60) calendar days following the end of the appraisal period. 857The 858supervisor shall provide the employee with a final rating for each performance expectation. Both the supervisor and the employee shall sign and date 881the performance appraisal 884and a copy 887shall be provided to the employee and the original placed 897in 898the employee’s personnel file in the 904Florida Lottery’s Office of Human Resources. 910The signature of the employee shall indicate only that the employee’s job performance has been discussed with the employee and does not imply that the employee agrees or disagrees with the supervisor’s assessment of his/her performance. The employee may attach written comments to the performance appraisal form in response to the appraisal962.

    963(964b965) At a minimum, a written performance 972appraisal 973shall include:

    9751. 976A rating of the employee’s job performance during the 985appraisal 986period for each performance expectation identified in the 994work 995plan. Each performance expectation shall be 1001rated using 1003the following scale.






    1019Employee consistently exceeds the performance expectation. This employee requires little or no supervision from management regarding productivity and accomplishing his/her tasks and seeks opportunities to enhance the organization. The employee’s performance shows highly advanced job knowledge and outstanding initiative. The employee is relied upon to solve complex problems and applies creativity and innovative approaches in formulating solutions.

    1076Above Expectation


    1079Employee consistently meets and often exceeds the performance expectation. This employee requires minimal supervision from management regarding productivity and accomplishing his/her tasks and seeks opportunities to enhance the organization. The employee possesses a thorough knowledge of the job, shows a high level of initiative, and often solves or assists in solving complex problems.

    1132Meets Expectation


    1135Employee consistently meets and may occasionally exceed the performance expectation. This employee requires moderate supervision from management regarding productivity and accomplishing his/her tasks and seeks opportunities to enhance the organization. The employee possesses sufficient knowledge and/or initiative to execute his/her duties and responsibilities1178.

    1179Below Expectation


    1182Employee exhibits inconsistent job performance, but has the capacity to improve to mee1195t the performance expectation. 1199At times the employee requires close supervision when he/she shou1209ld be operating on his/her own. 1215The employee is sometimes unproductive, and sometimes lacks the 1224initiative and1226/or the necessary job knowledge to execute his/her duties and responsibilities.



    1239Employee consistently fails to meet the desi1246gnated performance expectation. 1249This employee is often unproductive, requires close supervision and his/her work requires continual correction. The employee’s job knowledge and initiative is 1270lacking 1271and is insufficient to meet daily requirements.


    1279None given

    1281No longer applicable or unable to determine.

    12882. 1289Supervisory c1291omments relating to the employee’s job performance for each performance expectation 1302and any response by the employee1308.

    1309(c) A description of training and educational opportunities for the employee may be included as part of the performance planning/appraisal process.

    1330(d) 1331The overall rating of the employee’s job performance during the 1341appraisal 1342period shall not be adjusted or affected by the ratings of any other employees being rated.

    1358(e) 1359At the Lottery’s discretion, 1363work plans 1365and 1366appraisal1367s may be reviewed by a higher level authority and comments may be provided. However, completed 1383work 1384plans and 1386appraisal1387s shall not be changed by a higher level authority.

    1397(1398f1399) Employees with an overall rating of either “Needs Improvement” or “Unsatisfactory” shall be considered 1414not 1415to have met their performance expectations for the position during that 1426appraisal 1427period. 1428In some cases, a supervisor might find it necessary to develop and implement a Performance Improvement Plan (PIP) for an employee. 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 any 1477time that a PIP is in effect an employee may be separated or demoted at the discretion of the Lottery Secretary.

    1498(1499g1500) 1501E1502mployees 1503for 1504who1505m 1506a1507n 1508performance 1509appraisal 1510has not been completed 1514within sixty (60) calendar days following the 1521end of the 1524designated 1525appraisal 1526period 1527shall be considered to have met their performance expectations as documented on their 1540work 1541plan, and will receive a rating of “Meets Expectation” for each performance expectation and an overall rating of “Satisfactory.1560

    1561(h) New Hire Procedures. For new hires, work plans shall be completed within approximately one month of the employee’s hire date. If the employee’s hire date is at least four (4) months prior to the end of the appraisal period, the appraisal shall be conducted for that appraisal period. If there are less than four (4) months remaining in the appraisal period, the appraisal shall not be conducted for the current appraisal period, and will begin with the next appraisal period.

    1642(1643i1644) A performance 1647appraisal 1648is considered to be complete when it has been 1657reviewed 1658with the employee 1661and the employee has signed 1666or refused to sign 1670the 1671appraisal1672. 1673In the event an employee refuses to sign the performance 1683appraisal, 1684the supervisor shall make a notation on the appraisal that the employee refused to sign. 1699The 1700appraisal, 1701and any employee response, 1705shall 1706be included in the employee’s personnel file, and a copy shall be made available to the employee.

    1723Rulemaking 1724Authority 172524.109(1) FS. 1727Law Implemented 172924.105(9)1730(1731i1732), 173324.115(1) FS. 1735History17361737New 9-1739181740-13, 1741Replaces 53ER13-45, 1743Replaced by 53ER13-77.