DAR File No. 31195

Human Resource Management, Administration

R477-10

Employee Development

NOTICE OF PROPOSED RULE

DAR File No.: 31195
Filed: 04/25/2008, 09:37
Received by: NL

RULE ANALYSIS

Purpose of the rule or reason for the change:

Amendments clarify intent and simplify language regarding required time frames for employee performance evaluations. Amendments also eliminate the need for employees to sign performance plans, corrective action plans, or written warnings, also removing the discipline penalty for refusal to sign. Changes expand the conditions under which agencies can require employees to repay educational assistance in order to prevent lost investment. Unnecessary language is also removed. Nonsubstantive changes are also made to comply with rulemaking style.

Summary of the rule or change:

In Subsection R477-10-1(1)(a), the date intended to be the last day of August is changed from 30 to 31. Subsection R477-10-1(2) is reworded to clarify which dates a performance plan is due. Subsection R477-10-1(3) is deleted, no longer requiring employees to sign evaluations. In Subsection R477-10-2(1), the requirement for employees to sign a corrective action plan or written warning is removed along with the associated penalty. In Subsection R477-10-5(1)(c), a new subsection is added to permit agencies to require employees to repay educational assistance if they transfer to another state agency within one year of completing educational work. Subsection R477-10-5(3) is deleted because it pertains only to law enforcement and is best articulated by agency policy rather than rule.

State statutory or constitutional authorization for this rule:

Sections 67-19-6 and 67-19-12.4

Anticipated cost or savings to:

the state budget:

Changes to educational assistance rules permit agencies to recoup funds they may have invested in employees who leave agency employment within one year following their studies. This may be a significant cost containment for some agencies who suffer post-education turn over from employees who transfer to other agencies. All other changes are administrative and do not significantly impact state budgets.

local governments:

This rule only affects the executive branch of state government and will have no impact on local governments.

small businesses and persons other than businesses:

This rule only affects the executive brand of state government and will have no impact on other persons.

Compliance costs for affected persons:

This rule only affects agencies of the executive branch of state government.

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

Rules published by the Department of Human Resource Management (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. This act 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 savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business. 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:

Tina Sweet or J.J. Acker at the above address, by phone at 801-538-3761 or 801-537-9096, by FAX at 801-538-3081 or 801-538-3081, or by Internet E-mail at tinasweet@utah.gov or jacker@utah.gov

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:

06/16/2008

This rule may become effective on:

06/23/2008

Authorized by:

Jeff Herring, Executive Director

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 Section 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 3[0]1 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 31 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) Each fiscal year a state employee shall receive a performance evaluation effective on or before the beginning of the first pay period of [each fiscal year ]the following fiscal year.

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

[(3) 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]b) The evaluation form shall include a space for the employee's comments. 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, and after consulting with DHRM, agency management may take appropriate, and documented corrective action in accordance with the following rules:

(1) The supervisor shall discuss the substandard performance with the employee and determine appropriate corrective action.[ If a formal corrective action plan is developed or a written warning issued, the employee shall sign the plan or the warning to certify that it has been reviewed. Refusal to sign the corrective action plan or warning shall constitute insubordination subject to discipline.]

(2) An employee shall have the right to submit written comment to accompany the corrective action plan.

(3) Corrective action plans shall identify or provide for:

(a) a designated period of time for improvement;

(b) an opportunity for remediation;

(c) performance expectations;

(d) closer supervision to include regular feedback of the employee's progress;

(e) notice of disciplinary action for failure to improve; and,

(f) written performance evaluation at the conclusion of the corrective action plan.

(4) Corrective action plans may also identify or provide for the following based on the nature of the performance issue:

(a) training;

(b) reassignment;

(c) use of appropriate leave;

(5) Following successful completion of corrective action, the supervisor shall notify the employee of disciplinary consequences for a recurrence of the deficient work performance.

 

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]one year of completing educational work.

(i) Agencies may require the employee to repay any assistance received if the employee transfers to another agency within one year of completing educational work.

(d) Education assistance [shall]may 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 scholarships, subsidies and grant monies provided to the employee 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 sources in Subsection R477-10-5(1)(e).

(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 Subsections 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

Date of Enactment or Last Substantive Amendment: [July 1, 2007]2008

Notice of Continuation: June 9, 2007

Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-12.4