No. 27887 (Amendment): R477-10. Employee Development

DAR File No.: 27887
Filed: 05/13/2005, 11:31
Received by: NL

 

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this amendment is to remove an employee requirement from the performance management program, implement a shift in policy on corrective action and close a potential loophole in the education assistance program.

 

Summary of the rule or change:

In Subsection R477-10-1(4), the sentence deleted by this amendment is done so on the urging of legal counsel who advise that this clause is almost impossible to enforce and may place the state in a difficult legal situation if challenged. In Subsections R477-10-2(3) and (4), this amendment is a policy shift for the Department of Human Resource Management (DHRM) on corrective action. It will now be mandatory that the corrective plan be documented in the official personnel record and that the plan be completed prior to any disciplinary action. Prior policy left this for agencies to control through agency policy. This should help eliminate some troublesome disciplinary situations for the state. In Subsection R477-10-5(1), the additional language places the requirement on the employee to disclose all sources of funding for an educational program he is pursuing. This closes a potential loophole that could allow an employee to receive more than 100% reimbursement from a variety of sources.

 

State statutory or constitutional authorization for this rule:

Section 67-19-6

 

Anticipated cost or savings to:

the state budget:

There is potential for some savings in agency budgets resulting from the amendment to the educational assistance program. In FY 2004, the state recorded expenditures of $60,647 for educational assistance. If 5% of those receiving this assistance were taking advantage of this loophole, the savings to the state would be less than $3,000.

 

local governments:

This rule only applies to the executive branch of state government and will have no affect on local governments.

 

other persons:

This rule applies only to the executive branch of state government and will hove no affect on other persons.

 

Compliance costs for affected persons:

No additional resources will be required to comply with these amendments.

 

Comments by the department head on the fiscal impact the rule may have on businesses:

Rules published by DHRM have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. Section 67-19-15 limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or saving on to businesses through fees. However, the possible minuscule savings that may accrue with this amendment will stay with the agency. Jeff Herring, Executive Director

 

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Human Resource Management
Administration
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY UT 84114-1201

 

Direct questions regarding this rule to:

May Vang or Conroy Whipple at the above address, by phone at 801-537-3081 or 801-538-3067, by FAX at 801-538-3377 or 801-538-3081, or by Internet E-mail at [e-mail] or [e-mail]

 

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

07/01/2005

 

This rule may become effective on:

07/02/2005

 

Authorized by:

Jeff Herring, Executive Director

 

 

RULE TEXT

R477. Human Resource Management, Administration.

R477-10. Employee Development.

R477-10-1. Performance Evaluation.

Agency management shall develop an employee performance management system consistent with these rules and subject to approval by the Executive Director, DHRM. The Executive Director, DHRM, may authorize exceptions to provisions of this rule consistent with R477-2-2. For this rule, the word employee refers to a career service employee, unless otherwise indicated.

(1) An acceptable performance management system shall satisfy the following criteria:

(a) Performance standards and expectations for each employee shall be specifically written in a performance plan by August 30 of each fiscal year.

(b) Managers or supervisors provide employees with regular verbal and written feedback based on the standards of performance and conduct outlined in the performance plan.

(c) Each employee shall be informed concerning the actions to be taken, time frames, and the supervisor's role in providing assistance to improve performance and increase the value of service.

(d) Each employee shall have the right to include written comment with his performance evaluation.

(e) Agency management shall select a performance management rating system or a combination of systems by August 30 to be effective for the entire fiscal year. The rating system shall be one or more of the following:

 

TABLE

SYSTEM      # RATING               POINTS

  1           Pass                   2

              Fail                   0

  2           Exceptional            3

              Successful             2

              Unsuccessful           0

  3           Exceptional            3

              Highly Successful      2.5

              Successful             2

              Unsuccessful           0

  4           Exceptional            3

              Highly Successful      2.5

              Successful             2

              Marginal               1

              Unsuccessful           0

 

(2) In addition to the above ratings, agency management may establish a rating category for highest level performers under the following conditions:

(a) Each employee who receives this rating shall receive a performance rating of 4.

(b) Agencies shall devise and publish the criteria they will use to select the highest level performers by August 30 of each year. Selection criteria for non-supervisory employees shall be comparable to the Utah Code 67-19c-101(3)(c). Selection criteria for supervisory or management employees shall be comparable to "The Manager of the Year Award."

(3) Each state employee shall receive a performance evaluation effective on or before the beginning of the first pay period of each fiscal year.

(a) A probationary employee shall receive a performance evaluation at the end of the probationary period and again prior to the beginning of the first pay period of the fiscal year.

(4) The employee shall sign the evaluation. Signing the evaluation only means that the employee has reviewed the evaluation. Refusal to sign the evaluation shall constitute insubordination, subject to discipline.

(a) The evaluation form shall include a space for the employee's comments. [The employee shall check a space indicating either agreement or disagreement with the evaluation. ]The employee may comment in writing, either in the space provided or on a separate attachment.

 

R477-10-2. Corrective Action.

When an employee's performance does not meet established standards due to failure to maintain skills, incompetence, or inefficiency, agency management shall take appropriate, documented, and clearly labeled corrective action in accordance with the following rules:

(1) The supervisor shall discuss the substandard performance with the employee to discover the reasons and to develop an appropriate written corrective action plan. The employee shall sign the written corrective action plan to certify that it has been reviewed. Refusal to sign the corrective action shall constitute insubordination subject to discipline. An employee shall have the right to submit written comment to accompany the corrective action plan.

(a) Corrective actions shall include one or more of the following:

(i) closer supervision;

(ii) training;

(iii) referral for personal counseling by an agency head's approved designee;

(iv) reassignment;

(v) use of appropriate leave;

(vi) career counseling and outplacement;

(vii) period of constant review;

(viii) opportunity for remediation;

(ix) written warnings.

(2) The supervisor shall designate an appropriate corrective action period and shall provide periodic evaluation of the employee's progress.

(3) At the conclusion of corrective action, a formal performance evaluation shall be written and documented in the personnel record.

(4) [If, after reasonable effort, the corrective action taken does not result in]When the corrective action plan is completed and the employee has not demonstrated improved performance that is satisfactory, the employee shall be disciplined according to R477-11. The written record of the corrective action shall satisfy the requirement of Section 67-19-18(1).

(5) DHRM shall provide assistance to agency management upon request.

 

R477-10-5. Education Assistance.

State agencies may assist an employee in the pursuit of educational goals by granting administrative leave to attend classes, a subsidy of educational expenses, or both.

(1) Prior to granting education assistance, agencies shall establish policies which shall include the following conditions:

(a) The educational program will provide a benefit to the state.

(b) The employee shall successfully complete the required course work or the educational requirements of a program.

(c) The employee shall agree to repay any assistance received if the employee resigns from state employment within 12 months of completing educational work.

(d) Education assistance shall not exceed $5,250 per employee in any one calendar year unless approved in advance by the agency head.

(e) The employee shall disclose all sources of funding being received for the educational program.

(i) Except for funding that must be repaid by the employee, the amount reimbursed by the State may not include funding received from other sources.

(2) Agency management shall be responsible for determining the taxable or nontaxable status of educational assistance reimbursements.

(3) Agencies may offer educational assistance to law enforcement and correctional officers consistent with section 67-19-12.2 and with these criteria:

(a) The program shall comply with R477-10-5(1) and R477-10-5(2).

(b) The program shall be published and available to all qualified employees. To qualify:

(i) The employee's job duties shall satisfy the conditions of subsection 67-19-12.2 (1).

(ii) The employee shall have completed probation.

(iii) The employee shall maintain a grade point average of at least 3.0 or equivalent from an accredited college or university.

(c) The program may provide additional compensation for an employee who completes a higher degree on or after April 30, 2001, in a subject area directly related to the employee's duties. If this policy is adopted, then:

(i) Two steps shall be given for an associate's degree.

(ii) Two steps shall be given for a bachelor's degree.

(iii) Two steps shall be given for a master's degree.

 

KEY: educational tuition, employee performance evaluations, employee productivity, training programs

[July 1, 2003]July 2, 2005

Notice of Continuation June 11, 2002

67-19-6

67-19-12.4