To establish minimum requirements and procedures for evaluating the performance of Career Service, Selected Exempt Service and Senior Management Service employees pursuant to Sections 110.224, 110.403 and 110.603, Florida Statutes.

DEPARTMENT OF MANAGEMENT SERVICES
Personnel Management System

RULE NO: RULE TITLE
60L-35.001: Scope and Purpose
60L-35.002: Definitions.
60L-35.003: Minimum Requirements.
60L-35.004: Career Service.
60L-35.005: Selected Exempt Service.
60L-35.006: Senior Management Service.
PURPOSE AND EFFECT: To establish minimum requirements and procedures for evaluating the performance of Career Service, Selected Exempt Service and Senior Management Service employees pursuant to Sections 110.224, 110.403 and 110.603, Florida Statutes.
SUMMARY: The rules outline the policies and procedures for employing agencies to use when assessing the performance of employees in the Career Service, Selected Exempt Service and Senior Management Service.
SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS: No Statement of Estimated Regulatory Cost was prepared.
Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.
SPECIFIC AUTHORITY: 110.1055, 110.224(3), 110.403(1), 110.605(3) FS.
LAW IMPLEMENTED: 110.1055. 110.224, 110.403(1)(b), 110.605(1)(b) FS.
IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE HELD AT THE DATE,TIME AND PLACE SHOWN BELOW(IF NOT REQUESTED, THIS HEARING WILL NOT BE HELD):
DATE AND TIME: Tuesday, July 31, 2007, 10:00 a.m.
PLACE: Department of Management Services, Room 101, 4050 Esplanade Way, Tallahassee, Florida 32399-0950
Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 5 days before the workshop/meeting by contacting: see below. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Kimberly Kemp, Human Resource Consultant, Division of Human Resource Management, 4050 Esplanade Way, Tallahassee, Florida 32399-0950

THE FULL TEXT OF THE PROPOSED RULE IS:

60L-35.001 Scope and Purpose.

This chapter sets forth the rules governing the Performance Management System, which is the basis for reviewing and evaluating the job performance of employees in the state’s Career Service, Selected Exempt Service, and Senior Management Service. The Performance Management System enables employees to receive feedback concerning performance of assigned duties and responsibilities. It informs them of their strengths and areas of needed improvement in job performance, identifies current and future training needs, and provides documentation for awarding discretionary merit increases, and lump sum bonuses in accordance with Section 110.1245(2), Florida Statutes.

Specific Authority 110.1055, 110.224(3), 110.403, 110.605 FS. Law Implemented 110.1245(2)(b)5., 110.224 FS. History–New________.

 

60L-35.002 Definitions.

For the purpose of administering this chapter, the following definitions shall apply:

(1) Agency Designated Evaluation Date – The date selected by an agency which begins the 60-day period within which all annual evaluations shall be conducted.

(2) Evaluation Period – The period of time covered by the performance plan, not to exceed one year.

(3) Overall Rating – The average of the individual ratings for each performance expectation reviewed that shall indicate the employee’s level of performance for the evaluation period. In calculating this average, all digits four or more places to the right of the decimal shall be dropped.

(4) Performance Evaluation – An oral and 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 evaluation form.

(5) Performance Expectation – A statement that describes satisfactory performance of a specific duty or responsibility as listed in the position description and the core missions of the agency.

(6) Performance Plan – An oral and written notification prepared by the rater in conjunction with the employee that identifies the performance expectations by which the employee will be evaluated at the end of the designated evaluation period.

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

Specific Authority 110.1055, 110.224(3) FS. Law Implemented 110.1245(2)(b)5., 110.224 FS. History–New________.

 

60L-35.003 Minimum Requirements.

(1) The rater shall conduct a performance planning session with the employee to identify the performance expectations by which an employee shall be evaluated and to review the performance expectations and rating scale. The rater shall also provide an opportunity for employee feedback regarding what is expected in the position. A performance plan shall be signed by the rater and the employee, indicating that the performance expectations have been discussed. A copy of the signed performance plan shall be made available to the employee. In the event an employee refuses to sign the performance plan, the rater shall make a signed and dated notation on the plan that the employee refused to sign.

(2) The rater shall manage performance by:

(a) Conducting written and oral performance evaluations of his/her employees at least annually. Such evaluations must be completed within sixty (60) calendar days following the agency designated evaluation date

(b) Providing employees with coaching and meaningful feedback regarding job performance throughout the evaluation period.

(c) Informing the employee orally and in writing, of performance deficiencies or areas where improvement is needed.

(3) At a minimum, a written performance evaluation shall include:

(a) A rating of the employee’s job performance during the evaluation period for each performance expectation identified in the performance plan. The performance expectations shall be measured using the following scale:

 

PERFORMANCE MANAGEMENT SYSTEM RATING SCALE

RATING	numeric scale	definition and examples
Exceptional	5	Employee consistently exceeds the performance expectation(s) of the position. For example: The employee requires little or no supervision from management in accomplishing his/her tasks and seeks opportunities to enhance the organization. The employee possesses highly advanced job knowledge. The employee is relied upon to solve complex problems and applies creativity and innovative approaches in formulating solutions.
Above Expectations	4	Employee consistently meets and often exceeds the performance expectation(s) of the position. For example: The employee requires minimal supervision from management in accomplishing his/her tasks. The employee possesses a thorough knowledge of the job, and often solves or assists in solving complex problems.
Meets Expectations	3	Employee consistently meets and may occasionally exceed the performance expectation(s) of the position. For example: The employee requires moderate supervision from management in accomplishing his/her tasks. The employee possesses sufficient knowledge and/or initiative to execute his/her duties and responsibilities.
Below Expectations	2	Employee exhibits inconsistent job performance, but has the capacity to improve to meet the performance expectation(s) of the position. For example: At times the employee requires close supervision where he/she should be operating on his/her own. The employee sometimes lacks the initiative, and/or job knowledge to execute his/her duties and responsibilities.
Unacceptable	1	Employee consistently fails to meet the designated performance expectation(s). For example: the employee requires close supervision and his/her work requires continual correction. The employee’s job knowledge is insufficient to meet daily requirements.
N	None given	No longer applicable or unable to determine.

 

(b) Comments relating to the employee’s job performance for each performance expectation rating of “Exceptional” and “Above Expectations”.

(c) Comments relating to the employee’s job performance for each performance expectation rating of “Below Expectations” and “Unacceptable”, as well as prescribed developmental activities and corrective action(s) for areas where improvement is required.

(d) An overall rating of the employee’s job performance during the evaluation period.

(e) At the agency’s discretion, performance plans and evaluations may be reviewed by a higher level authority. Completed performance plans and evaluations shall not be changed by a higher level authority.

(4) Employees with an overall rating of either “Below Expectations” or “Unacceptable” shall be considered to have not met their performance expectations for the position during that evaluation period.

(5) Employees who do not receive a performance evaluation within sixty (60) calendar days following the agency designated evaluation date shall be considered to have met their performance expectations as documented on their performance plan, and will receive a rating of “Meets Expectations” for each performance expectation and for the overall rating.

(6) A description of training and educational opportunities for the employee may be included as part of the performance planning/evaluation process. Training opportunities may include those available under Sections 110.1099 and 110.235, F.S.

(7) The performance evaluation shall be signed by the rater and the employee. 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 rater’s assessment of his/her performance. The employee may attach written comments to the performance evaluation form in response to the evaluation. In the event an employee refuses to sign the performance evaluation, the rater shall make a signed and dated notation on the evaluation that the employee refused to sign.

(8) A performance evaluation is considered to be complete when it has been discussed with the employee and the employee has signed or refused to sign the evaluation. The evaluation shall then be included in the employee's personnel file, and a copy shall be made available to the employee.

(9) Agencies may develop additional internal performance evaluation policies that comply with this performance management rule. These policies may include:

(a) Provisions for conducting performance evaluations more frequently than designated in the rule.

(b) Instructions regarding when supervisors should take documented corrective action needed to improve an employee’s performance level, and when to take further action in accordance with Rule 60L-36.005, F.A.C.

(10) An agency may use forms developed by the Department of Management Services or forms developed by their agency to evaluate and document their employee’s performance.

Specific Authority 110.1055, 110.224(3) FS. Law Implemented 110.1245(2)(b), 110.224 FS. History–New________.

 

60L-35.004 Career Service.

(1) Agencies shall comply with this performance management rule when reviewing and evaluating the performance of Career Service employees.

(2) Upon original appointment, promotion, demotion, or reassignment to a position with different job duties or responsibilities, and at the beginning of each evaluation period, the rater shall conduct a performance planning session with the employee.

(3) Career Service employees in probationary status shall have a performance evaluation completed within thirty (30) calendar days prior to the end of the probationary period provided that, if the probationary period is extended pursuant to agency policy, the extension shall be noted on the evaluation form and the employee shall have another performance evaluation completed within thirty (30) calendar days prior to the end of the extended probationary period.

Specific Authority 110.1055, 110.224(3) FS. Law Implemented 110.1245(2)(b), 110.224 FS. History–New________.

 

60L-35.005 Selected Exempt Service.

(1) Agencies shall comply with this performance management rule when reviewing and evaluating the performance of Selected Exempt Service employees covered by collective bargaining agreements.

(a) Upon original appointment and at the beginning of each evaluation period, the rater shall conduct a performance planning session with the employee.

(b) Agencies may also incorporate any elements that the agency head deems appropriate for evaluating performance in relationship to the requirements of the position filled by the employee, so long as such elements do not conflict with this rule.

(2) Agencies shall develop their own respective performance management system for reviewing and evaluating the performance of all other Selected Exempt Service employees. Such agency performance management system shall incorporate performance expectations that, at a minimum, address the following:

(a) The efficiency, productivity and effectiveness of the individual employee; and

(b) The efficiency, productivity and effectiveness of the organizational unit(s) under the employee’s direction, if applicable.

(3) An agency head may propose for Department approval an alternative performance management system for Selected Exempt Service employees. Provided, however, that performance plans developed for Selected Exempt Service employees who are covered by a collective bargaining agreement shall incorporate performance expectations that, at a minimum, address the following:

(a) The efficiency, productivity and effectiveness of the individual employee; and

(b) The efficiency, productivity and effectiveness of the organizational unit(s) under the employee’s direction if applicable.

Specific Authority 110.1055, 110.605 FS. Law Implemented 110.1245(2)(b), 110.605 FS. History–New________.

 

60L-35.006 Senior Management Service.

(1) Agencies shall comply with this performance management rule when reviewing and evaluating the performance of Senior Management Service employees.

(a) Upon original appointment and at the beginning of each evaluation period, the rater shall conduct a performance planning session with the employee.

(b) The performance plan of Senior Management Service employees shall incorporate performance expectations that, at a minimum, address the following:

1. The efficiency, productivity and effectiveness of the individual employee; and

2. The efficiency, productivity and effectiveness of the organizational unit(s) under the employee’s direction.

(c) Agencies may also incorporate any elements that the agency head deems appropriate for evaluating performance in relationship to the requirements of the position filled by the employee, so long as such elements do not conflict with this rule.

(2) An agency head may propose for Department approval an alternative performance management system for Senior Management Service employees. Such agency systems shall incorporate, at a minimum, performance expectations that address the following:

(a) The efficiency, productivity and effectiveness of the individual employee; and

(b) The efficiency, productivity and effectiveness of the organizational unit(s) under the employee’s direction.

Specific Authority 110.1055, 110.1099(5), 110.201, 110.224(3), 110.403, 110.605 FS. Law Implemented 110.1245(2)(b)5., 110.224, 110.227 FS. History–New________.

NAME OF PERSON ORIGINATING PROPOSED RULE: Sharon D. Larson, Director, Human Resource Management, Department of Management Services
NAME OF SUPERVISOR OR PERSON WHO APPROVED THE PROPOSED RULE: David Faulkenberry, Deputy Secretary, Department of Management Services
DATE PROPOSED RULE APPROVED BY AGENCY HEAD: May 30, 2007
DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAW: June 8, 2007