File No. 33609
This rule was published in the May 15, 2010, issue (Vol. 2010, No. 10) of the Utah State Bulletin.
Human Resource Management, Administration
Notice of Proposed Rule
DAR File No.: 33609
Filed: 04/30/2010 12:15:16 AM
Purpose of the rule or reason for the change:
Amendments attempt to place greater distinguishing characteristics between discipline and the former term "corrective action" by replacing terminology. Amendments also establish Utah Performance Management system as a statewide requirement. Employee training and development is articulated in greater detail to clarify requirements and roles of the Department of Human Resource Management (DHRM) and agencies.
Summary of the rule or change:
Section R477-10-1 adds requirements for use of the Utah Performance Management system. Subsection R477-10-1(1) simplifies language concerning performance management. Section R477-10-2 replaces the term "corrective action" with "performance improvement" in the title and throughout the body. Written warnings are also placed in this section. Sections R477-10-3 and R477-10-4 are combined into one and given more clarifying detail.
State statutory or constitutional authorization for this rule:
- Section 67-19-6
- Section 67-19-12.4
Anticipated cost or savings to:
the state budget:
These changes are administrative and do not directly impact state budgets.
This rule only affects the executive branch of state government and will have no impact on local governments.
This rule only affects the executive branch of state government and will have no impact on small businesses.
persons other than small businesses, businesses, or local governmental entities:
This rule only affects the executive branch 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 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
450 N MAIN ST
SALT LAKE CITY, UT 84114-1201
Direct questions regarding this rule to:
- J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at email@example.com
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:
This rule may become effective on:
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
this rule consistent with Section
R477-2-2. For this rule, the word employee refers to a career
service employee, unless otherwise indicated.
An acceptable p]erformance management system shall satisfy the following criteria:
Performance standards and expectations for each employee shall be specifically written in a performance plan.
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)] An employee shall have the right to include written
comments pertaining to the evaluation with the employee's
performance evaluation.[ (e) Agency management shall select a performance management
(2) Each fiscal year a state employee shall receive a performance evaluation.
(a) A probationary employee shall receive an additional performance evaluation at the end of the probationary period.[
(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
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
(1) The supervisor shall discuss the
substandard performance with the employee and determine appropriate
(2) An employee shall have the right to
submit written comment to accompany the [
corrective action] plan.
Corrective action] plans shall identify or provide
(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.
Corrective action] plans may also identify or
provide for the following based on the nature of the performance
(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.
R477-10-3. Employee Development and Training.
Agency management may establish [
a ]program for training and staff development [ consistent with these rules.][ (1) All agency sponsored training] shall be agency
specific or designed for highly specialized or technical jobs and
(2) Agency management shall consult with the Executive Director, DHRM, when proposed training and development activities may have statewide impact or may be offered more cost effectively on a statewide basis. The Executive Director, DHRM, shall determine whether DHRM will be responsible for the training standards.
(3) The Executive Director, DHRM, shall work with agency management to establish standards to guide the development of statewide activities and to facilitate sharing of resources statewide.
(4) When an agency directs an employee to participate in an educational program, the agency shall pay full costs.
(5) Agencies are required to provide refresher training and make reasonable efforts to requalify veterans reemployed under USERRA, as long as it does not cause an undue hardship to the employing agency.
Liability Prevention Training. Agencies shall provide liability prevention training to
their employees. The curriculum shall be approved by DHRM and the
Division of Risk Management. Topics shall include: prevention of
workplace harassment, discrimination and violence.
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 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 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.
KEY: educational tuition, employee performance evaluations, employee productivity, training programs
Date of Enactment or Last Substantive Amendment: [
July 1, 2009]
Notice of Continuation: June 9, 2007
Authorizing, and Implemented or Interpreted Law: 67-19-6; 67-19-12.4
The Portable Document Format (PDF) version of the Bulletin is the official version. The PDF version of this issue is available at https://rules.utah.gov/publicat/bull-pdf/2010/b20100515.pdf. The HTML edition of the Bulletin is a convenience copy. Any discrepancy between the PDF version and HTML version is resolved in favor of the PDF version.
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For questions regarding the content or application of this rule, please contact J.J. Acker at the above address, by phone at 801-537-9096, by FAX at 801-538-3081, or by Internet E-mail at firstname.lastname@example.org.