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

(1) Purpose. This rule sets forth the provisions governing the Florida Lottery’s Performance Management Program (“Program”). The Program provides for the review and appraisal of the work performance of all Florida Lottery Exempt Service and Executive Management employees at least once per year.

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

(b) The Florida Lottery’s Performance Management 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. Documents and tracks an employee’s performance against the strategic goals of the employee’s work unit and ultimately the strategic goals of the Lottery.

4. Documents an employee’s eligibility for salary adjustments or one-time lump sum payments upon the availability of such funding.

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

(2) Definitions. For the purpose of administering this rule, the following definitions shall apply:

(a) Appraisal Period – The period of time covered by the performance plan. The Florida Lottery will select more than one appraisal period per year if necessary to accommodate operational needs.

(b) Overall Rating – The employee’s level of performance for the appraisal period, which is derived as follows:

1. Calculate 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.

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

OVERALL RATING SCALE
NUMERIC RANGE	OVERALL RATING
4.50 – 5.00	Outstanding
3.50 – 4.49	Commendable
3.00 – 3.49	Satisfactory
2.50 – 2.99	Needs Improvement
2.49 and below	Unsatisfactory

(c) Performance Appraisal – 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 appraisal form.

(d) 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, value, or competency that 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. The performance expectations listed on 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.

(e) Work Plan – A written notification prepared by the supervisor that identifies the performance expectations by which the employee will be evaluated during the appraisal period.

(f) Performance Improvement Plan (PIP) ‒ The Performance Improvement Plan allows the supervisor to provide the employee with a structured method to correct performance deficiencies, by allowing an employee to improve performance based on a rating of “Below Expectation” or “Unacceptable.”

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

(3) Procedures.

(a) Supervisor Duties.

1. For the initial phase of the new Performance Management System, a work plan shall be developed by the immediate supervisor for the 2013-2014 fiscal year. The work plan shall identify the employee’s performance expectations, key work activities and responsibilities, and be prioritized in accordance with the Lottery’s strategic objectives. The work plan shall correspond to the employee’s position description in terms of functional accountability, knowledge, experience, skills and ability. Thereafter, new work plans shall be developed only for new hires, or when there is a change in the performance expectations.

2. Upon development of a new work plan, the supervisor shall conduct an oral performance planning session with the employee to review the work plan and discuss the performance expectations and rating scale. The supervisor shall also provide the employee an opportunity for feedback regarding the expectations. The work plan shall be signed by the supervisor and the employee, indicating that the work plan has been discussed. A copy of the signed work plan shall be made available to the employee.

3. The supervisor shall provide 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.

4. The supervisor shall conduct a meeting with each of his/her employees in which a written and oral performance appraisal is provided. Performance appraisals must be completed within sixty (60) calendar days following the end of the appraisal period. The supervisor shall provide the employee with a final rating for each performance expectation. Both the supervisor and the employee shall sign and date the performance appraisal and a copy shall be provided to the employee and the original placed in the employee’s personnel file in the Florida Lottery’s Office of Human Resources. The 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 appraisal.

(b) At a minimum, a written performance appraisal shall include:

1. A rating of the employee’s job performance during the appraisal period for each performance expectation identified in the work plan. Each performance expectation shall be rated using the following scale.

RATING	NUMERIC SCALE	INDIVIDUAL PERFORMANCE EXPECTATIONS RATING SCALE DEFINITION AND EXAMPLES
Exceptional	5	Employee 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.
Above Expectation	4	Employee 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.
Meets Expectation	3	Employee 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 responsibilities.
Below Expectation	2	Employee exhibits inconsistent job performance, but has the capacity to improve to meet the performance expectation. At times the employee requires close supervision when he/she should be operating on his/her own. The employee is sometimes unproductive, and sometimes lacks the initiative and/or the necessary job knowledge to execute his/her duties and responsibilities.
Unacceptable	1	Employee consistently fails to meet the designated performance expectation. This employee is often unproductive, requires close supervision and his/her work requires continual correction. The employee’s job knowledge and initiative is lacking and is insufficient to meet daily requirements.
N	None given	No longer applicable or unable to determine.

2. Supervisory comments relating to the employee’s job performance for each performance expectation and any response by the employee.

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

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

(e) At the Lottery’s discretion, work plans and appraisals may be reviewed by a higher level authority and comments may be provided. However, completed work plans and appraisals shall not be changed by a higher level authority.

(f) Employees with an overall rating of either “Needs Improvement” or “Unsatisfactory” shall be considered not to have met their performance expectations for the position during that appraisal period. In 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 time that a PIP is in effect an employee may be separated or demoted at the discretion of the Lottery Secretary.

(g) Employees for whom an performance appraisal has not been completed within sixty (60) calendar days following the end of the designated appraisal period shall be considered to have met their performance expectations as documented on their work plan, and will receive a rating of “Meets Expectation” for each performance expectation and an overall rating of “Satisfactory.”

(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.

(i) A performance appraisal is considered to be complete when it has been reviewed with the employee and the employee has signed or refused to sign the appraisal. In the event an employee refuses to sign the performance appraisal, the supervisor shall make a notation on the appraisal that the employee refused to sign. The appraisal, and any employee response, shall be included in the employee’s personnel file, and a copy shall be made available to the employee.

Rulemaking Authority 24.109(1) FS. Law Implemented 24.105(9)(i), 24.115(1) FS. History–New 9-18-13, Replaces 53ER13-45, Replaced by 53ER13-77.