Conducting Performance Appraisals

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Objective

The objective of this presentation is to provide ITA leaders with some

key principles in conducting performance appraisals using the

Department’s 5-Level performance management system.

The information in this presentation includes:

• How to determine whether an employee is ratable

• Interim Ratings

• Practical guidance on appraising performance

• An overview of the performance appraisal process

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Determining Whether an Employee is Ratable

An employee is ratable if he or she:

Worked at least 120 days in one or more covered positions during the

current performance rating cycle and

Occupied a covered position on the last day of the performance Rating cycle

An employee is not ratable if he or she:

• Did not work at least 120 in one or more covered positions during the

Rating cycle

• Was placed on a Performance Improvement Plan (PIP) during the Rating

cycle.

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Interim Ratings…

When an Interim Rating Must be Completed:

• After a detail, temporarily promotion, or assignment which lasts

at least 120 days

• When an employee leaves a position after serving at least 120

days

• When a supervisor leaves his/her position and an employee has

been under a performance plan for 120 days

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Interim Ratings continued

Benefits of Interim Ratings:

To provide input from a departing supervisor to assist a new

supervisor who is preparing a final Rating of record

To provide a final rating of record to an employee who changes

positions during the last 120 days of the Rating period

To provide a final rating of record to an employee who moves more

than once during the rating period

To provide appropriate performance credit for work performed on a

detail or temporary promotion or assignment

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Appraising Performance

INPUT

• Notes from progress reviews

• List of accomplishments supplied by employee

• Pre-appraisal meeting with employee

• Approving Official’s signature on appraisal

OUTPUT

• Completed Performance Appraisal

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The Appraisal Process

Supervisors and employees should start planning for the appraisal

process approximately 30 days before the end of the performance

appraisal cycle.

Both the employee and the supervisors have a role in the appraisal

cycle. It is recommend that the supervisor:

• Solicit a list of accomplishments aligned with critical elements and

performance measures and metrics from the employee before writing

the performance appraisal

• Conduct a pre-appraisal meeting with the employee prior to the

Rating Official presenting the appraisal to the Approving Official

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Pre-Appraisal Meeting

The purpose of the pre-appraisal meeting is to provide the

employee an opportunity to meet with the Rating Official prior to

the formal appraisal meeting. At this meeting, the employee

may:

• Present a self-assessment of his or her performance

• Inform the Rating Official of aspects of the work of which the

Rating Official may not be aware

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Drafting the Performance Appraisal

After the pre appraisal meeting with the employee the

Rating Official is prepared to draft the employee’s

performance appraisal and proposed award before

they solicit final approval of the rating from the

Approving Official.

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Level 3 Generic Performance Standards

from CD-430 Appendix A • Good, sound performance.

• Quality and quantity of work are those of a fully competent

employee.

• Performance level expected of the great majority of employees.

• Work product fully meet the requirements of the element.

• Work requires only minor revision.

• Tasks are completed in an accurate, through and timely way.

• Technical skills and knowledge are applied effectively to specific

job tasks.

• Employee adheres to procedures and format requirements and

follows necessary instructions from supervisors …

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Level 4 Generic Performance Standards from CD-430 Appendix A

• Unusually good performance.

• Work is consistently above average.

• Work products rarely require even minor revision.

• Thoroughness and accuracy of work are reliable.

• Knowledge and skill the employee applies to this element are

clearly above average, demonstrating problem-solving skills

and insight into work methods and techniques.

• Employee follows required procedures and supervisory

guidance so as to take full advantage of existing systems

for accomplishing the organization’s objectives …

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Level 5 Generic Performance Standards from CD-430 Appendix A

• A level of rare, high quality performance.

• The quantity and quality of the employee’s work substantially exceeds Level 3

standards and rarely leaves room for improvement.

• Impact of the employee’s work is of such significance that organizational

objectives were accomplished that otherwise would not have been.

• Accuracy and thoroughness of the employee's work on this element are

exceptionally reliable.

• Application of technical knowledge and skills goes beyond that expected for the

position.

• Employee significantly improves the work processes and products for which he

or she is responsible.

• Thoughtful adherence to procedures and formats, as well as suggestions for

improvement in these areas, increase the employee's usefulness …

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Level 2 Generic Performance Standards from CD-430 Appendix A

• Level of performance, while demonstrating some

positive contributions to the organization, shows

notable deficiencies.

• It is below the level expected for the position, and

requires corrective action.

• Quantity, quality or timeliness of the employee’s

work is less than Level 3, jeopardizing attainment of

the element’s objective ...

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Level 2 Generic Performance Standards from CD-430 Appendix A

Supervisor required to:

• Contact Employee Relations

• Develop a Plan to bring employee to Level 3

• PIP may be necessary in the future

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Level 1 Generic Performance Standards

from CD-430 Appendix A

• Quantity and quality of work are not adequate for the position.

• Work products fall short of the requirement of the element.

• They arrive late or often require major revision because they are

incomplete or inaccurate in content.

• Employee fails to apply adequate technical knowledge to complete

the work of this element.

• Either the knowledge applied cannot produce the needed

products, or it produces technically inadequate products or

results.

• Lack of adherence to required procedures, instructions, and formats

contributes to inadequate work products ...

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Level 1 Generic Performance Standards

from CD-430 Appendix A

Supervisor required to:

• If any critical element Level 1, Level 1 overall evaluation

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Performance Summary Rating

Performance

Element

Individual Weights

Element Rating

(5, 4, 3, 2, 1)

Score

Customer Service 30 3 90

Professional

Effectiveness

30 4 120

Program

Management

40 4 160

370 Total

Score

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Levels and Scoring Process Level 5

470-500

Level 4

380-469

Level 3

290-379

Level 2

200-289

Level 1

100-199

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The Performance Awards Process

Qualifying Summary

Rating Ranges

Rating Award Ranges (Percent of Base Pay Including Locality Payments)

470-500 points Level 5 Up to 10 percent

380-460 points Level 4 Up to 6 percent

290-379 points Level 3 Up to 3 percent

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Rating/Approving Official meeting

After the Rating Official obtains the Approving Official’s

signature on the performance appraisal and award (if

any) the rater is free to conduct the performance

appraisal meeting with their employee.

• Only after obtaining this approval may the Rating

Official conduct the formal Performance Appraisal

meeting.

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The Performance Appraisal Meeting

The formal performance appraisal meeting gives the Rating Official an

opportunity to communicate the final Rating to the employee.

• The employee and the Rating Official sign and date the

Performance Management Record

• The Rating Official gives the employee a copy of the signed Rating.

• Employees must be rated within 30 days of the end of the fiscal

year.

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If the employee is not satisfied with the Performance Appraisal

Informally: The employee provides written justification to

the supervisor on why they should be given a higher

rating.

Formally: if the informal process doesn’t work they may

file a grievance within 15 calendar days.

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Preparing for the New Performance Cycle

If you have a positive relationship with your subordinate, you can

prepare the new performance plan at the same time that you

complete the performance appraisal.

If the relationship is not positive, it would be wise to conduct the

appraisal and planning steps at two different times.

New performance plans must be in place and signed by the

approving official, rating official, and employee within 60 days of

the beginning of the Fiscal Year.

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Summary

This presentation provided you with:

• How to determine whether an employee is ratable

• Guidance on Interim Ratings

• An overview of performance appraisal and

• Practical guidance on appraising performance

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Summary: DOC 5-Level Performance Management System

DOC 5-Level System

Rating Officials must provide either an overall narrative justification of the summary Rating or a written justification for each element rated, and may do both.

An element rated Level at Level 2 or 1 requires a written justification.

Ratings are required when employee has spent 120 days in a position