WSR 04-13-189

PROPOSED RULES

DEPARTMENT OF PERSONNEL


[ Filed June 23, 2004, 11:39 a.m. ]

Original Notice.

Exempt from preproposal statement of inquiry under RCW 34.05.310(4).

Title of Rule and Other Identifying Information: New sections WAC 357-37-010 What is the purpose of an employee performance management [process]?, 357-37-015 What is the employer's responsibility for an employee performance management process?, 357-37-020 What objectives must an employee performance management process satisfy?, 357-37-025 What is the employee's responsibility within the performance management process?, 357-37-030 When and how often must performance feedback be provided to an employee through the formal evaluation process?, 357-37-035 How should an employee be notified of unsatisfactory performance?, 357-37-040 What forms and procedures must employers use to plan for and evaluate employee performance?, 357-37-045 Can an employer supplement the standardized employee performance evaluation procedures and forms?, 357-37-050 Can an employer factor performance into compensation and layoff decisions?, 357-37-055 How does an employer receive performance management confirmation which enables them to factor performance into compensation and layoff decisions?, 357-37-060 What elements will the director evaluate to determine if an employer should be granted performance management confirmation?, 357-37-065 May employers develop employee recognition programs?, 357-37-070 What factors should employers consider in developing employee recognition programs?, 357-37-075 Can an employee request the employer to review the performance evaluation process or procedure used for the employee's evaluation?, and 357-37-080 Can an employee request the director to review the performance evaluation process or procedure used for the employee's evaluation?

Hearing Location(s): Department of Personnel, 521 Capitol Way South, Olympia, WA, on July 29, 2004, at 10:00 a.m.

Date of Intended Adoption: July 29, 2004.

Submit Written Comments to: Sharon Whitehead, Department of Personnel, P.O. Box 47500, FOR DOP TRACKING PURPOSES PLEASE NOTE ON SUBMITTED COMMENTS "FORMAL COMMENT," fax (360) 586-4694, by July 23, 2004.

Assistance for Persons with Disabilities: Contact Department of Personnel by July 23, 2004, TTY (360) 753-4107 or (360) 586-8260.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: The proposed rules address performance management for state employees.

Statutory Authority for Adoption: Chapter 41.06 RCW.

Statute Being Implemented: RCW 41.06.150.

Rule is not necessitated by federal law, federal or state court decision.

Agency Comments or Recommendations, if any, as to Statutory Language, Implementation, Enforcement, and Fiscal Matters: Due to the passage of SHB 1268 the director of the Department of Personnel has rule-making authority regarding performance management. The proposed rules implement this provision of the Personnel System Reform Act.

Name of Proponent: Department of Personnel, governmental.

Name of Agency Personnel Responsible for Drafting: Sharon Whitehead, 521 Capitol Way South, Olympia, WA, (360) 664-6348; Implementation and Enforcement: Department of Personnel.

No small business economic impact statement has been prepared under chapter 19.85 RCW. Not required.

A cost-benefit analysis is not required under RCW 34.05.328.

June 23, 2004

E. C. Matt

Director


NEW SECTION
WAC 357-37-010   What is the purpose of an employee performance management process?   An employee performance management process is part of a positive, performance-based culture. It fosters employee competence and productivity, supports achievement of organizational goals and objectives, and provides documentation of employee's strengths and areas in need of improvement.

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NEW SECTION
WAC 357-37-015   What is the employer's responsibility for an employee performance management process?   Each employer must develop and implement an employee performance management process. Employers must also develop policies and procedures for how the process works within the employer's organization.

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NEW SECTION
WAC 357-37-020   What objectives must an employee performance management process satisfy?   The employee performance management process must:

(1) Explain the employee's responsibility for successfully performing assigned job duties and responsibilities;

(2) Assess how well the employee has contributed to efficiency and effectiveness in fulfilling the objectives of the organization and the position; and

(3) Recognize an employee's successful job performance and identify any necessary changes in job performance.

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NEW SECTION
WAC 357-37-025   What is the employee's responsibility within the performance management process?   The employee has the responsibility to:

(1) Request clarification of any job duty, standard, or expectation that is unclear;

(2) Perform work as assigned and meet job standards and expectations;

(3) Participate in the performance evaluation process; and

(4) Communicate with supervisor and share successes and problems so the supervisor can better measure progress and provide assistance.

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NEW SECTION
WAC 357-37-030   When and how often must performance feedback be provided to an employee through the formal evaluation process?   Employers must provide feedback and formally evaluate the performance of:

(1) A probationary employee or a permanent employee serving a trial service period or transition review period before the employee attains permanent status in the position; and

(2) A permanent employee on an annual basis.

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NEW SECTION
WAC 357-37-035   How should an employee be notified of unsatisfactory performance?   A probationary or permanent employee whose work performance is determined to be unsatisfactory must be notified in writing of the deficiency(ies). Unless the deficiency is extreme, the employee must be given an opportunity to demonstrate improvement.

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NEW SECTION
WAC 357-37-040   What forms and procedures must employers use to plan for and evaluate employee performance?   Employers must use standardized employee performance planning and evaluation procedures and forms developed by the director or alternate procedures and forms approved by the director.

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NEW SECTION
WAC 357-37-045   Can an employer supplement the standardized employee performance evaluation procedures and forms?   Employers may supplement the standardized planning and evaluation forms and procedures with special performance factors and assessment approaches that are specific to organizational needs. Employers do not need approval to supplement the standardized forms or procedures.

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NEW SECTION
WAC 357-37-050   Can an employer factor performance into compensation and layoff decisions?   An employer may factor an employee's performance into compensation and layoff decisions if the employer has received performance management confirmation.

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NEW SECTION
WAC 357-37-055   How does an employer receive performance management confirmation which enables them to factor performance into compensation and layoff decisions?   Employers may request performance management confirmation from the director. The director will use the elements listed in WAC 357-37-060 to assess and evaluate an employer's readiness to fairly and objectively factor performance into compensation and layoff decisions. If the director determines that the employer has developed a performance management program that encompasses the necessary elements, the employer will be granted performance management confirmation.

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NEW SECTION
WAC 357-37-060   What elements will the director evaluate to determine if an employer should be granted performance management confirmation?   The director will evaluate the following elements to determine if an employer should receive performance management confirmation:

(1) Executive commitment to a performance-based culture;

(2) Present status of performance management in the organization;

(3) Defined roles and responsibilities for implementing and sustaining a performance management system;

(4) Policy and process for holding managers accountable for properly carrying out their roles and responsibilities in performance management;

(5) Internal policies and procedures for a performance management system;

(6) Strategy for communicating to employees regarding policies, procedures, and timelines for performance management;

(7) Performance management orientation and training for managers and supervisors;

(8) Internal mechanisms for managing funding for performance-based compensation;

(9) Implementation of a performance and development plan for all employees subject to performance factor decisions; and

(10) Process for monitoring and measuring success.

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NEW SECTION
WAC 357-37-065   May employers develop employee recognition programs?   Employers may develop employee recognition and reward programs, utilizing tools available in RCW 41.60.150 and chapter 357-28 WAC.

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NEW SECTION
WAC 357-37-070   What factors should employers consider in developing employee recognition programs?   Employee recognition programs must be designed to recognize verifiable accomplishments. Programs may be linked to individual or group accomplishments as described in RCW 41.60.150 or to accomplishments that further the employer's mission, strategic goals or objectives.

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NEW SECTION
WAC 357-37-075   Can an employee request the employer to review the performance evaluation process or procedure used for the employee's evaluation?   If the employer has developed an internal review procedure, an employee may request the employer to review alleged irregularities in the use of the approved performance evaluation form and/or procedures. Employees must be notified in writing of the results of the employer's review.

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NEW SECTION
WAC 357-37-080   Can an employee request the director to review the performance evaluation process or procedure used for the employee's evaluation?   As provided in WAC 357-49-010, and within thirty days of receipt of a completed and signed performance evaluation or the results of an employer review as provided in WAC 357-37-075, an employee may request a director's review of alleged irregularities in the use of the approved performance evaluation form and/or procedures outlined in the civil service rules. The content of an evaluation is not subject to review.

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