WSR 05-01-194PERMANENT RULES
DEPARTMENT OF PERSONNEL
[
Filed December 21, 2004,
3:17 p.m.
, effective July 1, 2005
]
Purpose: This chapter of rules address[es] performance
management for state employees.
Statutory Authority for Adoption: Chapter 41.06 RCW.
Adopted under notice filed as WSR 04-13-189
on June 23,
2004.
Changes Other than Editing from Proposed to Adopted Version: WAC 357-37-015, as a result of discussion with
stakeholders, it was determined that the language be changed
in this WAC number to address developing a performance
management policy that documents the key points of the
process.
Number of Sections Adopted in Order to Comply with Federal Statute:
New 0,
Amended 0,
Repealed 0;
Federal Rules or Standards:
New 0,
Amended 0,
Repealed 0;
or Recently Enacted State Statutes:
New 15,
Amended 0,
Repealed 0.
Number of Sections Adopted at Request of a Nongovernmental Entity:
New 0,
Amended 0,
Repealed 0.
Number of Sections Adopted on the Agency's Own Initiative:
New 0,
Amended 0,
Repealed 0.
Number of Sections Adopted in Order to Clarify, Streamline, or Reform Agency Procedures:
New 0,
Amended 0,
Repealed 0.
Number of Sections Adopted Using Negotiated Rule Making:
New 0,
Amended 0,
Repealed 0;
Pilot Rule Making:
New 0,
Amended 0,
Repealed 0;
or Other Alternative Rule Making:
New 15,
Amended 0,
Repealed 0.
Date Adopted: July 29, 2004.
E. C. Matt
Director
Chapter 357-37 WACPerformance Management
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 develop a performance management
policy that documents the key points of the process.
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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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