**UNITED STATES DEPARTMENT OF AGRICULTURE**

Farm Service Agency

Washington, DC 20250

**For:** FSA Employees

**FSA Performance Management Program**

**Approved by:** Deputy Administrator, Management

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**1 Overview**

**A Background**

> In 1993, the Government Performance and Results Act established the
> idea of strategic planning and performance measurement in the Federal
> government. Building on this, the President's Management Agenda,
> issued in 2002, focused on improving government performance and budget
> and performance integration. Also in 2002, Congress passed the Chief
> Human Capital Officer's Act that requires OPM to design a set of
> systems for assessing the management of human capital by Federal
> agencies. This requirement resulted in the development of the Human
> Capital Assessment and Accountability Framework (HCAAF). A key
> implementing system of HCAAF is a results-oriented performance
> culture. According to OPM, a performance management program must
> effectively differentiate between high and low performance and develop
> employee performance plans that are aligned with and support
> organizational goals.
>
> **Note:** For sites **not** using EmpowHR, performance plans are
> documented on AD-435A and AD-435B.
>
> During FY 2005, when FSA was under a pass/fail performance management
> program, all employees, starting with senior managers, developed and
> implemented new performance plans that aligned with and supported
> FSA's mission and goals. During FY 2006, FSA implemented a new,
> 5-tiered performance management program that effectively
> differentiated between high and low performance.
>
> It is FSA's policy to maintain a performance management program for
> improving individual and organizational effectiveness in accomplishing
> FSA's mission and goals. Beginning with the FY 2007 appraisal period,
> FSA implemented a performance management program that builds on our
> former program, and develops and maintains a results-oriented
> performance culture in FSA.

+-----------------------------------+-----------------------------------+
| Disposal Date                     | Distribution                      |
|                                   |                                   |
| October 1, 2008                   | All FSA employees; State Offices  |
|                                   | relay to County Offices.          |
+-----------------------------------+-----------------------------------+

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Notice PM-2606

**1 Overview (Continued)**

B Purpose

> This notice:

-   announces the FY 2008 FSA performance management program

-   obsoletes Notices PM-2584 and PM-2589.

> **C Authorities**
>
> The FSA performance management program is based on the following:

-   5 U.S.C. Chapter 43

-   5 CFR Part 430

-   USDA Performance Management DR 4040-430.

> **D Coverage**
>
> FSA's performance management program applies to all FSA employees
> nationwide, except for:

-   individuals in the Senior Executive Service (SES)

-   individuals for which employment is not reasonably expected to
    exceed the minimum appraisal period (90 calendar days) in a
    consecutive 12 month period

> **Note:** Temporary intermittent employees would only be subject to
> the performance management system if they actually work a continuous
> 90-calendar day period regardless of the length of their appointment.

-   STC and COC members

-   individuals excluded from coverage by statute or by OPM regulation.

> **E Effective Date**
>
> The FY 2008 FSA performance management program is effective October 1,
> 2007.
>
> **F Action**
>
> All supervisors shall ensure that all of their employee's performance
> plans comply with the provisions of this notice. Any changes that need
> to be made to bring an employee's performance plan into compliance
> with this notice shall be completed no later than
> **October 30, 2007**.

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Notice PM-2606

**1 Overview (Continued)**

> **G** **EmpowHR**
>
> EmpowHR, formerly known as I\*CAMS, is a computer-based management
> tool used for various programs, 1 of which is performance management.
> All FSA Field Offices currently access EmpowHR using self-service
> EmpowHR. All other FSA offices will adopt EmpowHR at some point in the
> future.

**2 Responsibilities**

**A Administrator Responsibilities**

> The Administrator is responsible for the following:

-   monitoring program compliance with applicable laws and regulations,
    Department policies, and collective bargaining agreements

-   ensuring program compliance with policy and program direction and
    administration

-   developing and communicating FSA's mission, strategic goals, and
    objectives to all levels, to assist supervisors and managers in
    developing employee performance plans.

**B Rating Official Responsibilities**

Rating officials are responsible for the following:

-   determining and communicating the appropriate FSA and USDA mission,
    goals, objectives, priorities, and relative performance measures and
    results to employees

-   communicating performance expectations clearly and holding employees
    responsible by establishing individual performance plans and
    creating a performance culture and environment that promotes a high
    performing work unit

-   engaging the employee in the process of establishing and documenting
    performance plans and providing a written copy of performance plan
    at the beginning of each appraisal period or no later than 30
    calendar days after the beginning of each appraisal period or
    assignment of an employee to a position, or when performance plans
    are revised during the appraisal period

-   ensuring that each employee's performance plan has at least 1
    critical element that is aligned to the mission, goals, and outcomes
    of FSA and USDA

-   monitoring performance during the rating period and providing
    feedback to employees on their performance, developing employees,
    and conducting 1 or more progress reviews as provided for in this
    notice

-   preparing performance ratings in a timely manner, making meaningful
    distinctions among employees based on performance, and fostering and
    rewarding excellent performance and addressing poor performance.

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Notice PM-2606

**2 Responsibilities (Continued)**

> **C Reviewing Official Responsibilities**

Reviewing officials are responsible for the following:

-   managing individual and organizational performance and creating a
    work culture and environment that promotes a high-performing work
    unit

-   implementing the principles, policies, procedures, and requirements
    of the performance management program within their span of control

-   ensuring that rating officials carry out their performance
    management responsibilities and assessing the rating official's
    performance in fulfilling these responsibilities

-   reviewing and approving performance plans and ratings of their
    subordinate rating officials for consistency, fairness, objectivity,
    completeness, and to ensure that performance plans reflect the
    larger organization's overall needs and goals

-   ensuring equity and consistency in consideration for awards within
    their organization

-   resolving disagreements between the rating officials and employees.

> **Note:** In all discussions, the reviewing official shall make the
> final decision.

**D Employee Responsibilities**

Employees are responsible for the following:

-   participating in discussions and documentation of their performance
    plan, with their rating official for developing performance
    elements, standards and measures; progress reviews; and summary
    ratings

-   ensuring that they have a clear understanding of their performance
    expectations and how performance relates to the mission of the
    organization, and requesting clarification if necessary

-   taking responsibility to continuously improve performance, support
    team endeavors, develop professionally, and perform at their full
    potential

-   identifying work problems and cooperating with rating officials to
    resolve them

-   seeking performance feedback from their rating official and internal
    and external customers as appropriate.

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Notice PM-2606

**2 Responsibilities (Continued)**

> **E Director, HRD Responsibilities**

Director, HRD is responsible for the following:

-   overseeing the performance management program and its results

-   periodically evaluating the effectiveness and efficiency of the
    performance management program.

**F Servicing Personnel Office (SPO's)**

> SPO's are responsible for the following:

-   providing technical and operational support and advice to the rating
    and reviewing officials in administering the performance management
    program in a manner consistent with applicable laws, rules, and
    regulations

-   ensuring that performance plans and ratings of record are maintained
    in SPO according to 5 CFR Parts 293 and 297

-   providing training on the performance management program to all
    employees.

**3 Rating and Reviewing Official Exceptions**

**A General Rule**

> Unless otherwise specified, the rating official is the employee's
> first-line supervisor and the reviewing official is the employee's
> second-line supervisor. The exceptions to this rule are:

-   CED's

-   program technicians (PT's).

> For CED's, the:

-   rating official is COC chairperson

-   reviewing official is DD, who serves as STC designee.

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Notice PM-2606

**3 Rating and Reviewing Official Exceptions (Continued)**

**B** **CED Rating and Reviewing Official**

> CED performance plans, mid-year reviews, or performance appraisal
> shall be handled according to the following. DD shall:

-   work with COC chairperson to prepare a draft document for each CED

> **Note:** If CED has FLP duties as part of his/her performance
> agreement, the credit official for that area should be consulted when
> developing the rating/review.

-   present draft document to CED for review and comment

-   work with COC chairperson to finalize document

-   present final document to CED

-   enter information on CED into EmpowHR

> **Note:** DD will enter information into EmpowHR as CED's rating
> official. The information will flow in EmpowHR to SED, who will act as
> the reviewing official. Once SED has approved the document, it will
> flow back to DD for review of any changes/updates made by the
> reviewing official and then to CED who will view and certify the
> document. The information will then flow back to DD.

-   print a hard copy of document from EmpowHR

-   give printed document to COC chairperson to sign as the rating
    official

-   sign printed document as the reviewing official

-   give printed document to CED for signature

> **Note:** Provide a copy of the printed document to CED for their
> records.

-   submit printed document to the State Office for review, if required

-   if working on performance plan or mid-year review, keep the original
    printed performance plan or mid-year review in a secure file for
    later review/rating

-   follow through with completing the process in EmpowHR, so that the
    summary rating can be entered and transmitted to NFC electronically
    at the end of FY.

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Notice PM-2606

**3 Rating and Reviewing Official Exceptions (Continued)**

> **C PT Rating and Reviewing Official**
>
> The following are the rating and reviewing official for PT's working
> in County Offices with various workloads.

  -------------------------- -------------------------- -----------------
  **IF PT is a...**          **THEN the rating official **AND reviewing
                             is...**                    official is...**

  GS employee performing     the Farm Loan Manager      DD.
  both farm program (FP) and (FLM) in collaboration     
  FLP work                   with CED                   

  GS employee performing     FLM                        
  only FLP work                                         

  CO employee performing     CED                        DD, in
  only FP work                                          collaboration
                                                        with COC
                                                        chairperson.

  CO employee performing     CED in collaboration with  
  both FP and FLP work       FLM                        
  -------------------------- -------------------------- -----------------

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Notice PM-2606

**3 Rating and Reviewing Official Exceptions (Continued)**

> **C PT Rating and Reviewing Official (Continued)**

+-----------+----------------------------------------------+-----------+
| **IF PT   | **THEN the rating official is...**           | **AND     |
| is a...** |                                              | reviewing |
|           |                                              | official  |
|           |                                              | is...**   |
+-----------+----------------------------------------------+-----------+
| CO        | FLM                                          | DD.       |
| employee  |                                              |           |
| p         | **Note:** Since CED is the supervisor of     |           |
| erforming | record for CO‑PT, performance plan, mid-year |           |
| only FLP  | review, and performance appraisal will need  |           |
| work      | to be signed on hard copy by FLM for CO‑PT's |           |
|           | who perform FLP work. CED will enter         |           |
|           | information into EmpowHR as PT's (performing |           |
|           | FLP work only) rating official. The          |           |
|           | information will flow in EmpowHR to DD (the  |           |
|           | reviewing official). After DD has approved   |           |
|           | the document, it will flow to CED for review |           |
|           | of any changes/updates by the reviewing      |           |
|           | official and on to PT for view and           |           |
|           | certification. The information will then     |           |
|           | flow back to CED. CED shall:                 |           |
|           |                                              |           |
|           | -   print hard copy of the document from     |           |
|           |     EmpowHR                                  |           |
|           |                                              |           |
|           | -   sign printed document as rating official |           |
|           |                                              |           |
|           | -   give printed document to COC chairperson |           |
|           |     to sign off as reviewing official        |           |
|           |                                              |           |
|           | -   present printed document to PT for       |           |
|           |     signature                                |           |
|           |                                              |           |
|           | -   give a copy of the printed document to   |           |
|           |     PT                                       |           |
|           |                                              |           |
|           | -   submit printed document to State Office  |           |
|           |     for review, if required by State Office  |           |
|           |                                              |           |
|           | -   if working on a performance plan or      |           |
|           |     mid-year review, keep the original       |           |
|           |     printed document in a secure file for    |           |
|           |     later review/rating                      |           |
|           |                                              |           |
|           | -   follow through with completing the       |           |
|           |     process in EmpowHR, so the summary       |           |
|           |     rating can be entered and transmitted to |           |
|           |     NFC electronically at the end of FY.     |           |
+-----------+----------------------------------------------+-----------+

> **Notes:** In any instance where the rating or review is a
> collaborative process, the parties involved should discuss their
> positions. The "official" rating/reviewing official will then input
> all information for both parties.
>
> The current workflow in EmpowHR shows CED as the rating official for
> CO-PT with DD as the reviewing official. For all instances where CO-PT
> performs both FP and FLP work or FLP work only, signatures of both FLM
> and CED are required. Hard copy documents will be necessary in dual
> signature situations until EmpowHR can be modified.

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Notice PM-2606

**3 Rating and Reviewing Official Exceptions (Continued)**

**D Specific Field Office Situations**

> All discussions on CED and CO-PT performance plans, mid-year reviews,
> or performance appraisals shall be documented in COC executive
> minutes.
>
> DD's who do **not** yet have loan approval authority and are rating
> officials for FLM's should collaborate with the Farm Loan Chief (FLC)
> on any elements that require knowledge of FLP. DD's and FLC's should
> discuss their positions and then DD will input all information for
> both parties.
>
> If SED is the rating official for an employee, then DAFO is the
> reviewing official for that employee.
>
> In any shared management operation lasting at least 90 calendar days,
> the non-headquarter COC should provide input on the employee's
> performance to the headquarter COC, who will take this into account
> when preparing the final performance appraisal.
>
> All final ratings for CO employees may be grieved to the State
> Grievance Board according to 22‑PM. GS employees may grieve a final
> rating according to 15-PM or applicable collective bargaining
> agreement.

4 Establishing Performance Plans

> **A Appraisal Period and Documentation**

> The appraisal period starts October 1 of each year and ends September
> 30 of the following year.
>
> Performance plans should be:

-   established within 30 calendar days of the start of the appraisal
    period or of an employee's assignment to a position

-   reviewed and, if necessary, amended each time a work assignment
    changes significantly, up to 90 calendar days before the end of the
    appraisal period.

> Employees **must** be informed of and participate in any changes made
> to their performance plans.

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> **A Appraisal Period and Documentation (Continued)**
>
> Performance plans are documented:

-   in EmpowHR for offices **using EmpowHR** (with the exception of
    situations listed in paragraph 3 which would be created and
    finalized on the hard copy of AD-435A and AD‑435B and then
    dataloaded with follow through in EmpowHR)

-   on AD-435A and AD-435B for offices **not** **using EmpowHR**.

> **Note:** AD-435A and AD-435B are available from FFAS Employee Forms
> Online web site at
> [**http://165.221.16.90/dam/ffasforms/currentforms.asp**](http://165.221.16.90/dam/ffasforms/currentforms.asp).
>
> See:

-   Exhibit 1 for example AD-435A's and AD-435B's for Field Office
    positions

-   Exhibit 2 for an example AD-435A and AD-435B's for a National Office
    position.

> B Employee Participation
>
> Employee participation is **required** in establishing or revising
> performance plans. This can be accomplished by whatever method works
> best for the parties concerned.
>
> **Example:** The supervisor could ask the employee to develop draft
> performance plans for discussion or the supervisor himself/herself
> could develop draft performance plans for discussion. If there are
> differences between the employee and the supervisor, the final
> decision shall be made by the reviewing official.
>
> C Elements
>
> The basis for elements are the requirements of the employee's
> position. Applicable sources for developing elements include position
> descriptions, work plans, organizational goals and objectives, and any
> other source that assigns or fixes responsibility for accomplishing
> work.
>
> D Number of Elements
>
> Supervisors shall establish at least 3 but no more than 7 performance
> elements. See Exhibit 3 for a list of elements from which the 3 to 7
> elements can be selected. Other job specific elements may be created,
> if necessary, in addition to those elements listed in Exhibit 3.
>
> **Note:** For State and County Office employees, see:

-   Exhibit 4 for possible elements for each position

-   Exhibit 5 for possible standards for each element.

> Using these elements and standards is not mandatory. They are meant
> merely to assist supervisors in developing performance plans.

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> E Required Elements
>
> The following critical elements in Exhibit 3 are mandatory for all
> supervisors and managers:

-   "Supervision" element

-   "Customer Service" element

-   "Supervisory Equal Opportunity and Civil Rights" element.

> The following noncritical element and associated standards are
> mandatory for Farm Loan Officer Trainee (FLOT) trainers:

-   Element. "FLOT trainer provides direct instruction and oversees
    hands-on work experiences that facilitate mastery of the key
    concepts, regulations, and practices related to performing the
    duties of a Farm Loan Officer."

```{=html}
<!-- -->
```
-   Standards.

    -   "Gives clear directions; lays out assignments in a well-planned
        and organized manner with no more than 2-3 exceptions as
        determined by the FLOT coordinator and FLC."

    -   "Provides timely feedback and coaching for improvement with no
        more than 2 legitimate complaints, as determined by FLOT
        coordinator and FLC, received from the trainee that feedback is
        not provided."

    -   "Maintains 2-way dialogue with FLOT on work/results with no more
        than 2 legitimate complaints as determined by the FLOT
        coordinator and FLC. Any communications problems are brought to
        FLOT trainer's attention within 24 to 30 hours."

    -   "Ensures that monthly, quarterly, or interim reports are
        submitted within established deadlines with no more than 1
        exception."

> The following element and associated standards are mandatory for
> employees assigned Consent Decree Action Team (CDAT):

-   Element. "Special projects: Detailed to Washington, DC, with the
    *Pigford v. Johanns* class action lawsuit project, commonly known as
    Consent Decree and/or Consent Decree Action Team (CDAT)".

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> E Required Elements (Continued)

-   Standard. "Completes assignments in a competent, accurate, and
    thorough manner. Assignments completed comply with regulations and
    procedures; completed assignments reflect research and collaboration
    with others, as required. Works closely with contractors, DOJ, OIG,
    OGC, Monitor of Consent Decree, Finance Office personnel, DAFO, LMD,
    LSPMD, FLC, State Office personnel, County Office personnel, and
    peers to ensure that all aspects of the Consent Decree are met.
    Completes claim and petition reviews, processes implementations of
    debt relief, and provides research in priority cases. Ensures that
    all requirements of the Consent Decree are completed within the
    timeframes established by the court order. Works closely with and
    reports to DAFLP and CDAT Project Manager. Performs CDAT functions a
    minimum of \_\_\_\_% of the time."

> Note: CDAT supervisors will develop measures to address this part of
> the employee's responsibilities."
>
> F Critical and Noncritical Elements
>
> Supervisors shall determine what elements shall be critical and
> noncritical. Critical elements cover duties that are essential to the
> successful performance of the position. Elements aligned with FSA
> mission and goals, and, for supervisors and managers, the "Supervisory
> Equal Opportunity and Civil Rights" and the "Supervision" elements
> must be critical. At least 1 element must be critical and 1 element
> must be noncritical. On the summary rating:

-   critical elements will be scored as 2 points

-   noncritical elements will be scored as 1 point.

G Equal Opportunity and Civil Rights (EO/CR) and Customer Service (CS)
Elements for

Nonsupervisors

> Separate EO/CR and CS elements are **not** required for
> nonsupervisors. The elements may be kept separate or built into other
> critical elements. If the supervisor decides that there will **not**
> be separate EO/CR and CS elements, the following EO/CR and CS language
> **must** be built into the **element description** piece of another
> critical element.
>
> For EO/CR:
>
> "Performs all duties in a manner which consistently demonstrates
> fairness, cooperation, and respect toward coworkers, office visitors,
> and all others in the performance of official business. Demonstrates
> an awareness of EO/CR policies and responsibilities of FSA and
> Departmental goals of valuing a diverse, yet unified workforce."

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> G Equal Opportunity and Civil Rights (EO/CR) and Customer Service (CS)
> Elements for Nonsupervisors (Continued)
>
> For Customer Service:
>
> "Routinely displays courteous and tactful behavior. Projects a
> positive and professional image of USDA. Provides advice that is
> timely, responsive, and accurate. Maintains appropriate rapport with
> internal and external customers. Develops and establishes working
> relationships with external organizations as required. Keeps
> supervisor and/or team leader informed of difficult and/or
> controversial issues and unique problems. Takes action to effectively
> solve problems before they have an adverse impact on the organization
> or other employees."
>
> Supervisors will choose the appropriate element and develop at least 1
> standard to address EO/CR component and at least 1 standard to address
> CS component.
>
> **Note:** If EO/CR or CS elements are kept separate, they **must** be
> critical.
>
> H Standards
>
> For each element selected, there must be at least 3 written standards
> for measuring performance of the element. Standards must be
> observable, measurable, and attainable by the employee. Standards need
> only be written at the "Meets Fully Successful" level in the
> performance plans. However, rating officials should be prepared to
> explain performance at the "Does Not Meet Fully Successful" and
> "Exceeds Fully Successful" levels. Do not include phrases like "other
> duties as assigned".
>
> I Performance Management Standard
>
> All employees with the "Supervision" element shall have the following
> standard in the "Supervision" element:
>
> "Employee performance plans focus on results achieved, contain at
> least one element that is aligned with FSA and USDA mission, goals,
> and objectives, and are in place within 30 calendar days of the
> beginning of the appraisal period. Mid-year reviews are conducted
> according to Agency guidelines. Ratings are accurate and issued within
> 30 calendar days of the end of the appraisal period."
>
> J Customer and Employee Perspective Standard
>
> performance plans for supervisors and managers must take into
> consideration customer and employee perspective; therefore,
> supervisors and managers shall have the following standards in their
> "Customer Service" element:
>
> "Customer needs and expectations are identified and are considered
> when making decisions, identifying solutions, and resolving
> conflicts."

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> J Customer and Employee Perspective Standard (Continued)
>
> "Internal and external customers' requirements and expectations for
> high quality products or results are met with almost no exceptions.
>
> Employee's written feedback is solicited to develop individual
> performance plans that support the goals and objectives of FSA.
>
> Employee feedback accepted by the Rating Official is written into
> performance plans at the beginning of the performance cycle."
>
> K Health and Safety Standard
>
> All performance plans shall contain the following health and safety
> standard. For:

-   supervisors, the following standard is required under any
    appropriate critical or noncritical element:

> "Adheres to Safety and Occupational Health practices and procedures in
> order to promote and maintain a safe and healthful work environment
> for all employees. Upon report of unsafe/unhealthful condition,
> notifies appropriate office within 48 hours, and follows up and/or
> takes appropriate action until condition is resolved."

-   nonsupervisors, the following standard is required under any
    appropriate critical or noncritical element:

> "Demonstrates a basic understanding of the Agency's Safety and Health
> Program. Complies with safety and health rules and regulations that
> apply to all employees. Ensures all reports of unsafe and unhealthful
> conditions are reported to supervisor or designated official within 48
> hours."
>
> L Privacy Act Standard
>
> All performance plans shall contain the following Privacy Act
> standard. For:

-   supervisors, the following standard is required under any
    appropriate critical or noncritical element:

> "Demonstrates an understanding of the Privacy Act and applies the Act
> correctly when exercising controls and safeguards to preserve the
> integrity and confidentiality of protected information. In addition,
> ensures all employees comply with this standard."

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Notice PM-2606

4 Establishing Performance Plans (Continued)

> L Privacy Act Standard (Continued)

-   nonsupervisors, the following standard is required under any
    appropriate critical or noncritical element:

> "Demonstrates an understanding of the Privacy Act and applies the Act
> correctly when exercising controls and safeguards to preserve the
> integrity and confidentiality of protected information."
>
> M Loan Approval Authority Standard
>
> FLC's, DD's, CED\'s with loan approval authorities, FLM's, and Farm
> Loan Officers (FLO's) at a grade 11 are required to have and maintain
> loan approval authorities. The following standard shall be added to
> the "Program Management" or "Execution of Duties" (or similar) element
> of their performance plans:
>
> "Acquires and meets FSA's standards necessary for maintaining loan
> approval authority and loan servicing authority."
>
> Grade 7/9 FLO's with loan approval authority. The following standard
> shall be added to the "Program Management" or "Execution of Duties"
> (or similar) element of grade 7/9 FLO\'s with loan approval authority
> performance plans:
>
> "Acquires and meets FSA's standards necessary for maintaining loan
> approval authority and loan servicing authority."
>
> Grade 5/7/9 FLO's without loan approval authority and FLOT\'s. The
> following standard shall be added to the "Program Management" or
> "Execution of Duties" (or similar) element of grade 5/7/9 FLO\'s and
> FLOT\'s performance plans:
>
> "Successfully completes assigned training and training activities
> within established timeframes."
>
> N Improper Payments Standard
>
> All Field Office employees who work with FP payments shall have the
> following standard in the "Program Management", "Execution of Duties"
> or similar element:
>
> **"**Ensures that payment amounts are accurate, that necessary
> supporting documents are up‑to‑date and on file, and that applications
> are complete with no more than 1-2 exceptions."

9-19-07 Page 15

Notice PM-2606

4 Establishing Performance Plans (Continued)

> O Cascading Alignment
>
> Performance plan alignment is an ongoing process and offices must
> continue this process into FY 2008 and beyond. Supervisors should
> develop performance plans for their employees that include at least 1
> critical element with standards that identify clear and measurable
> tasks and results that are aligned to organizational goals.
> Supervisors and employees are encouraged to align more than 1 element,
> where possible. Alignment should be clear and transparent so that
> employees can see how their performance plans support organizational
> goal achievement. Merely including a generic statement in performance
> plans that employees support organizational goals is not adequate for
> communicating alignment. Simply restating organizational goals without
> including the metrics for determining performance against those goals
> is not adequate. It should be possible to map the responsibility for
> specific organizational goals through the performance plans of the
> chain of responsibility (SES member, to manager, to supervisor) to the
> front-line employee.
>
> Example: An SED might be aligned to Objectives 1.1, 1.2, and the
> Cross-Cutting Management Objectives in the FSA Strategic Plan, the DD
> aligned to Objectives 1.1 and 1.2, the CED and CO-PT to Objective 1.2,
> and the FLM to Objective 1.1.
>
> In preparing for performance plans, supervisors shall:

-   ensure that all employees are aware of FSA's and USDA's current
    Strategic Plan or organizational goals

> **Note:** FSA's Strategic Plan can be found at
> [**http://bpms.wdc.usda.gov/zoneSP_jump.htm**](http://bpms.wdc.usda.gov/zoneSP_jump.htm)
>
> USDA's Strategic Plan can be found at
> [**http://www.ocfo.usda.gov/usdasp/usdasp.htm**](http://www.ocfo.usda.gov/usdasp/usdasp.htm).

-   communicate how organizational goals are linked and cascaded to
    individual performance, and how the employee's accomplishments
    support organizational goals within their organizations, through:

-   staff meetings

-   individual or team meetings

-   electronic and internal correspondence

-   develop performance plans that include at least 1 critical element
    with standards that identify clear and measurable (quality,
    quantity, cost, and/or timely) tasks and results that are aligned to
    organizational goals for each individual.

9-19-07 Page 16

Notice PM-2606

4 Establishing Performance Plans (Continued)

> O Cascading Alignment (Continued)
>
> **Notes:** State and County Office employees shall see Exhibit 6 for
> examples of performance standards that may be aligned.
>
> Alignment should be made to the appropriate bullet in SED's
> performance plans. See Exhibit 7 for element 5 of SED's performance
> plan, "Program Management". See Exhibit 1 for an example of how this
> alignment can be accomplished.
>
> Aligned standards may be preceded by either of the following
> paragraphs, modified as applicable, based on the part of the strategic
> plan the alignment standard is addressing:

-   "The following results-focused standards align with USDA Strategic
    Goal (\_), "(title of goal)", Strategic Objective (\_.\_), "(title
    of objective)" in the USDA Strategic Plan, and with FSA Strategic
    Goal (\_), "(title of goal)", Strategic Objective (\_.\_), "(title
    of objective)" in the FSA Strategic Plan:"

-   "The following results-focused standards align with the "Improve
    Human Capital Management" Objective in the USDA "Management
    Initiatives" part of the USDA Strategic Plan, and with FSA
    Cross-Cutting Management Objective (\_), "(title of Objective)" in
    the Cross-Cutting Management Objectives part of the FSA Strategic
    Plan:".

> P Results
>
> Each element in performance plans must include language that holds the
> employee accountable for achieving expected results. This must be
> shown by explaining the results gained by the employee achieving their
> standards.
>
> Example 1: "Receives and deposits payments within 18 to 24 hours of
> receipt. The result is a faster processing of customer payments. This
> is aligned to the organizational goal of supporting productive farms
> and ranches."
>
> Example 2: "Budget contains well-justified descriptions of budget
> requests, is accurate, and is completed by the established deadline.
> The result is a complete budget document. This is aligned to the
> organizational goal of improving strategic accountability."

Results must be appropriate to the employee's level of responsibility.

9-19-07 Page 17

Notice PM-2606

4 Establishing Performance Plans (Continued)

> Q Balanced, Credible Measures
>
> All performance plans must include balanced, credible measures;
> balanced, so that in addition to measuring expected results,
> performance plans include appropriate measures, such as:

-   quality, quantity, timeliness, and/or cost-effectiveness

-   indicators of competencies.

To be credible, performance expectations must be:

-   based on job analysis

-   clear, specific, and understandable

-   reasonable and attainable

-   measurable, observable, or verifiable

-   communicated in a timely manner

-   foster continual improvement in productivity.

> R Individual Development Plans (IDP's)
>
> As part of the performance planning process, employees are encouraged
> to discuss their short- and long-term learning and developmental goals
> with their supervisor and develop an IDP. IDP's contain elective
> training, education, and developmental activities in which employees
> may engage to acquire the competencies to meet IDP goals. Rating
> officials retain sole discretion to determine the extent of
> implementation for IDP and will do so after considering operational
> requirements and budgetary limitations.

9-19-07 Page 18

Notice PM-2606

5 Processing Performance Plan Responsibilities

> A Rating Officials Using EmpowHR Responsibilities
>
> Rating officials using EmpowHR shall process performance plans
> according to the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Enter the appropriate performance plans information through     |
|    | Manager Self-Service portion of EmpowHR. For each element       |
|    | selected, there must be at least 3 standards for measuring      |
|    | performance of the element.                                     |
|    |                                                                 |
|    | Note: See                                                       |
|    | <http:                                                          |
|    | //www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm> |
|    | for an example of the rating official actions in EmpowHR.       |
+----+-----------------------------------------------------------------+
| 2  | Review performance plans for accuracy.                          |
+----+-----------------------------------------------------------------+
| 3  | Send performance plans to reviewing official so the reviewing   |
|    | official can enter a check () next to "Reviewed".               |
+----+-----------------------------------------------------------------+
| 4  | Upon receiving performance plans from the reviewing official,   |
|    | send to the employee.                                           |
|    |                                                                 |
|    | After discussing each element and standard with the employee,   |
|    | ensure that the employee has entered a check () next to "Viewed |
|    | Discussed".                                                     |
|    |                                                                 |
|    | Note: Rating officials should attempt to resolve concerns the   |
|    | employee may have about their performance plans. If the         |
|    | employee refuses to sign their performance plan, the employee   |
|    | shall be advised that they will still be:                       |
|    |                                                                 |
|    | -   placed under the performance plan                           |
|    |                                                                 |
|    | -   held accountable for the elements and standards as          |
|    |     described in the performance plan.                          |
+----+-----------------------------------------------------------------+
| 5  | If the employee refuses to agree to performance plan, print out |
|    | a hard copy of the screen and annotate the copy as follows.     |
|    |                                                                 |
|    | > "The performance plan was presented to, and discussed with,   |
|    | > the employee. The employee refused to agree to the            |
|    | > performance plan".                                            |
+----+-----------------------------------------------------------------+
| 6  | The finalized performance plan will flow to the employee        |
|    | electronically. Hard copies are not required.                   |
+----+-----------------------------------------------------------------+

9-19-07 Page 19

Notice PM-2606

5 Processing Performance Plan Responsibilities (Continued)

> B Rating Officials Not Using EmpowHR Responsibilities
>
> Rating officials not using EmpowHR shall process performance plans
> according to the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Establish AD-435A and AD-435B. For each element selected, there |
|    | must be at least 3 standards for measuring performance of the   |
|    | element.                                                        |
+----+-----------------------------------------------------------------+
| 2  | Review AD-435A and AD-435B for accuracy.                        |
+----+-----------------------------------------------------------------+
| 3  | Give AD-435A and AD-435B to reviewing official for signature.   |
+----+-----------------------------------------------------------------+
| 4  | Sign and date AD-435A.                                          |
+----+-----------------------------------------------------------------+
| 5  | Give AD-435A and AD-435B to the employee.                       |
|    |                                                                 |
|    | After discussing each element and standard with the employee,   |
|    | request that the employee sign and date AD-435A.                |
|    |                                                                 |
|    | Note: Rating officials should attempt to resolve concerns the   |
|    | employee may have about their AD-435A and AD-435B. If the       |
|    | employee refuses to sign their AD‑435A, the employee shall be   |
|    | advised that they will still be placed under AD‑435A and        |
|    | AD-435B and be held accountable for the elements and standards, |
|    | as described in AD-435A and AD-435B.                            |
+----+-----------------------------------------------------------------+
| 6  | If the employee refuses to sign AD-435A, annotate AD-435A and   |
|    | AD-435B as follows.                                             |
|    |                                                                 |
|    | > "The performance plan was presented to, and discussed with,   |
|    | > the employee. The employee refused to sign AD-435A".          |
+----+-----------------------------------------------------------------+
| 7  | Give a copy of the signed or unsigned AD-435A and AD-435B to    |
|    | the employee.                                                   |
+----+-----------------------------------------------------------------+

> C Reviewing Officials Using EmpowHR Responsibilities
>
> Reviewing officials using EmpowHR shall process performance plans
> according to the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Review employee's elements and standards, as submitted by the   |
|    | rating official, to ensure that performance plan:               |
|    |                                                                 |
|    | -   conforms with FSA policy and guidelines                     |
|    |                                                                 |
|    | -   is consistent with other performance plans in the work      |
|    |     unit.                                                       |
|    |                                                                 |
|    | Note: See                                                       |
|    | <http:                                                          |
|    | //www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm> |
|    | for an example of the reviewing official actions in EmpowHR.    |
+----+-----------------------------------------------------------------+
| 2  | Enter a check () next to "Reviewed".                            |
+----+-----------------------------------------------------------------+

9-19-07 Page 20

Notice PM-2606

5 Processing Performance Plan Responsibilities (Continued)

> D Reviewing Officials Not Using EmpowHR Responsibilities
>
> Reviewing officials not using EmpowHR shall process AD-435A and
> AD-435B according to the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Review employee's elements and standards, as submitted by the   |
|    | rating official, to ensure that AD-435A and AD-435B:            |
|    |                                                                 |
|    | -   conform with FSA policy and guidelines                      |
|    |                                                                 |
|    | -   are consistent with other AD-435A's and AD-435B's in the    |
|    |     work unit.                                                  |
+----+-----------------------------------------------------------------+
| 2  | Sign and date AD-435A.                                          |
+----+-----------------------------------------------------------------+

E Employees Using EmpowHR Responsibilities

> Employees using EmpowHR shall process performance plans according to
> the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Review presented performance plan with rating official.         |
+----+-----------------------------------------------------------------+
| 2  | Discuss elements and standards needing clarification.           |
+----+-----------------------------------------------------------------+
| 3  | Enter a check () next to "Viewed Discussed". This action        |
|    | certifies that:                                                 |
|    |                                                                 |
|    | -   a discussion took place with the rating official about      |
|    |     performance plan                                            |
|    |                                                                 |
|    | -   the employee has seen performance plan                      |
|    |                                                                 |
|    | -   the employee has viewed the standards of conduct and has    |
|    |     had any questions answered to their satisfaction.           |
|    |                                                                 |
|    | Notes: If the employee refuses to agree to the performance      |
|    | plan, they will still be held accountable for the elements and  |
|    | standards within performance plans.                             |
|    |                                                                 |
|    | See                                                             |
|    | <http:                                                          |
|    | //www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm> |
|    | for an example of the employee actions in EmpowHR.              |
+----+-----------------------------------------------------------------+

9-19-07 Page 21

Notice PM-2606

5 Processing Performance Plan Responsibilities (Continued)

> F Employee Not Using EmpowHR Responsibilities
>
> Employees not using EmpowHR shall process performance plans according
> to the following.

+----+-----------------------------------------------------------------+
| St | Action                                                          |
| ep |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Review presented AD-435A and AD-435B with rating official.      |
+----+-----------------------------------------------------------------+
| 2  | Discuss elements and standards needing clarification.           |
+----+-----------------------------------------------------------------+
| 3  | Sign and date AD-435A. The employee's signature certifies that: |
|    |                                                                 |
|    | -   a discussion took place with the supervisor about AD-435A   |
|    |     and AD-435B                                                 |
|    |                                                                 |
|    | -   the employee has seen AD-435A and AD-435B                   |
|    |                                                                 |
|    | -   the employee has viewed the standards of conduct and has    |
|    |     had any questions answered to their satisfaction.           |
|    |                                                                 |
|    | Note: If the employee refuses to sign AD-435A, the employee     |
|    | will still be held accountable for the elements and standards   |
|    | on AD-435A and AD-435B.                                         |
+----+-----------------------------------------------------------------+

**6 Performance Reviews**

**A Mandatory Performance Reviews**

The rating official shall:

-   conduct at least 1 performance review during the 12-month appraisal
    period between the 5th and 8th month

-   inform the employee of their level of performance as it relates to
    their performance elements and standards

-   within 30 calendar days of the performance review, document on the
    employee's performance plans that the performance review took place.

> **Note:** See
> [**http://www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm**](http://www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm)
> for an example of the rating official\'s actions using EmpowHR.

9-19-07 Page 22

Notice PM-2606

**6 Performance Reviews (Continued)**

> **B Periodic Optional Performance Reviews**
>
> Even though only a mid-year performance review is required, it is in
> the best interest of the rating official and employee to periodically
> hold performance discussions. An employee may request a meeting for
> this review. Periodic performance reviews with the employee will:

-   provide regular feedback

-   keep the channels of communication open

-   assist in identifying strengths and weaknesses

-   help avoid an unexpected performance rating at the end of the
    appraisal period.

**7 Documenting Performance**

> **A Rating of Record**
>
> The Rating of Record is the performance appraisal that is issued at
> the end of the appraisal period and becomes part of the employee's
> performance file. Rating officials and reviewing officials **must**:

-   rate appropriately against the standards in the employee's
    performance plan

-   make distinctions in levels of performance.

> Rating shall be based only on actual employee accomplishments.
> Presumptive ratings (that is, ratings that are **not** based on actual
> accomplishments) are prohibited. Rating officials and reviewing
> officials will be held accountable for rating appropriately against
> the standards in the employee's performance plan and making
> distinctions in levels of performance.
>
> Artificial targets, such as quotas, for performance appraisals should
> never be used to evaluate employee performance. Performance appraisals
> must be based on the individual accomplishments of the employee being
> rated.
>
> **B Reduction-in-Force (RIF)**
>
> For:

-   Federal employees, annual Ratings of Record are used to establish
    service credit and retention standing in the event of RIF's

-   CO employees, best qualifications, skills, and abilities available
    to handle program responsibilities are used in the event of RIF's;
    **not** length of service.

> **Note:** For CO employees, service computation dates are only used as
> a tiebreaker, **not** as a ranking factor. Annual ratings of record
> are **not** used in the event of RIF's.

9-19-07 Page 23

Notice PM-2606

**7 Documenting Performance (Continued)**

**C Minimum Appraisal Period**

To rate an employee:

-   a performance plan must have been established either:

-   on AD-435A and AD-435B

-   in EmpowHR

-   the employee **must** be under a **performance plan** for at least
    90 calendar days.

> **Note:** If it has not been 90 calendar days by the end of the
> appraisal period, the period may be extended to allow for a rating to
> be given. If no plan has been put into place by the end of the
> appraisal period, no rating can be given.
>
> **D Obtaining and Completing Performance Appraisals Using EmpowHR**
>
> Rating officials **using EmpowHR** shall:

-   enter summary ratings in the "Manager Self-Service" portion of
    EmpowHR

-   review/respond to written comments entered by employees, as
    applicable

-   verify the employee entered a check () next to "Employee
    Viewed/Discussed Rating".

> **E Obtaining and Completing AD-435 Not Using EmpowHR**
>
> Rating officials **not** using **EmpowHR** shall:

-   use Microsoft Word versions of AD-435 (see Exhibit 8)

-   complete AD-435 according to the instructions on AD-435.

> **Note:** AD-435 is available from FFAS Employee Forms Online web site
> at
> [**http://165.221.16.90/dam/ffasforms/currentforms.asp**](http://165.221.16.90/dam/ffasforms/currentforms.asp).

9-19-07 Page 24

Notice PM-2606

**7 Documenting Performance (Continued)**

> **F Appraising Elements**
>
> The rating official will evaluate each performance element and
> determine which 1 of the following 3 rating levels is most appropriate
> when comparing the employee's performance with the "Fully Successful"
> performance standard established for that element.

-   "**Exceeds Fully Successful**"; describes performance that exceeds
    the "Fully Successful" standard for the element being evaluated.
    Employees performing at this level may display initiative,
    ownership, and/or unusual independence.

-   "**Meets Fully Successful**"; describes performance of the solid,
    effective employee whose work meets normal expectations in terms of
    quality, quantity, and timelines, as outlined in the "Fully
    Successful" standard.

-   "**Does Not Meet Fully Successful**"; describes performance that has
    failed to fulfill the basic expectation for the work.

> **Note:** Rating officials shall provide additional documentation to
> substantiate the rating for each element for each rating level given
> (such as, "Exceeds Fully Successful", "Fully Successful", and "Does
> Not Meet Fully Successful"). However, with assistance from SPO, the
> rating official **must** prepare a comprehensive written statement
> describing the employee's deficiencies for all elements rated at the
> "Does Not Meet Fully Successful" level. Early identification and
> correction of poor performance is strongly recommended.
>
> **G Summary Ratings**
>
> A 5-level summary rating system summarizes the employee's overall
> performance and is calculated using the description on AD-435. The
> following are the 5 summary levels.

-   "**Outstanding**", all appraisal units are rated "Exceeds Fully
    Successful".

-   "**Superior**", more appraisal units are rated "Exceeds Fully
    Successful" than are rated "Meets Fully Successful", and **no**
    elements are rated "Does Not Meet Fully Successful".

-   "**Fully Successful**", as many or more appraisal units are rated
    "Meets Fully Successful" than are rated "Exceeds Fully Successful".

-   "**Marginal**" **(Minimally Satisfactory)**, more appraisal units
    are rated "Does Not Meet Fully Successful" than are rated "Exceeds
    Fully Successful".

> **Note:** If a critical element is rated "Does Not Meet Fully
> Successful", then the summary rating is automatically "Unacceptable".

9-19-07 Page 25

Notice PM-2606

**7 Documenting Performance (Continued)**

> **G Summary Ratings (Continued)**

-   "**Unacceptable**", 1 or more critical elements are rated "Does Not
    Meet Fully Successful".

> **Note:** If the "Unacceptable" level occurs, the rating official
> shall contact their SPO for guidance.
>
> **H Due Date**
>
> EmpowHR processing or AD-435's, AD-435A's, and AD-435B's shall be
> completed and distributed:

-   by **October 30**

-   according to subparagraph 9 A.

**8 Reviewing Performance**

> **A Rating Official Using EmpowHR Action**
>
> Rating officials **using EmpowHR** shall review the performance of
> their employees by:

-   comparing the employee's performance of each element with the
    standards established in EmpowHR

-   checking the appropriate rating level for each element

-   if necessary, obtaining interim ratings from the employee's prior
    supervisors or detail supervisors. Rating official shall review and
    process in EmpowHR.

> **Note: For CED**, the rating official is COC chairperson. Hard copies
> of CED performance plans entered in EmpowHR **must** be signed by COC
> chairperson. After a meeting between COC, DD, and CED, DD may then
> enter the CED's summary appraisal in EmpowHR and print out a hard copy
> for COC chairperson's signature as supervisor. DD shall sign the hard
> copy as reviewing official, and CED shall sign the hard copy as
> employee. This will complete the official action on the hard copy. The
> review of summary ratings will be documented in the Executive Session
> of COC meeting minutes. Follow through with completing the appraisal
> process based on reports to set up in EmpowHR so that appraisal will
> transmit to NFC.

9-19-07 Page 26

Notice PM-2606

**8 Reviewing Performance (Continued)**

> **B Rating Official Not Using EmpowHR Action**
>
> Rating officials **not** **using EmpowHR** shall review the
> performance of their employees by:

-   comparing the employee's performance of each element with the
    standards established on AD-435A and AD-435B

-   checking the appropriate rating level for each element

-   if necessary, obtaining interim ratings from the employee's prior
    supervisors

-   reviewing and signing AD-435.

> **Note:** Supervisory employees detailed from their positions of
> record before the end of the appraisal period shall:

-   provide input to the incoming supervisor of record about an
    employee's performance

-   include a recommended rating for each performance element.

**C Accountability for Performance Appraisals**

> Rating officials:

-   shall ensure that the performance appraisal:

```{=html}
<!-- -->
```
-   contains all elements

-   designates critical and noncritical elements

-   points are properly assigned, that is 2 points for critical elements
    and 1 point for noncritical elements

-   totals are added correctly

-   summary rating is properly designated

-   employee has checked "Yes" or "No" on AD-435, item 17

-   contains the required signatures

-   **using EmpowHR**, shall ensure the correct boxes have been checked

-   **not** **using EmpowHR**, shall ensure the required signatures are
    entered on AD-435.

9-19-07 Page 27

Notice PM-2606

**8 Reviewing Performance (Continued)**

**D Providing Additional Documentation**

> Rating officials shall provide additional documentation to
> substantiate the rating for each element for each rating level given
> (such as, "Exceeds Fully Successful", "Fully Successful", and "Does
> Not Meet Fully Successful"):

-   for offices **using EmpowHR**, enter an accomplishment statement in
    the "Reviewer Comments" block

-   for offices **not** **using EmpowHR**, complete AD-435A, item 10 and
    AD-435B, item 10.

> **Note:** If more space is needed than is provided on AD-435A and
> AD-435B, additional documentation may be provided on a piece of paper
> and attached to the rating.

For each element, the additional documentation should explain how the
employee's

accomplishments match up against each of their standards.

> See Exhibit 9 for examples of what kind of additional documentation
> should be provided for each element.

**E Completing the Performance Appraisal Using EmpowHR**

> Rating officials **using EmpowHR** shall complete the performance
> appraisal according to the following.

+----+-----------------------------------------------------------------+
| ** | **Action**                                                      |
| St |                                                                 |
| ep |                                                                 |
| ** |                                                                 |
+----+-----------------------------------------------------------------+
| 1  | Enter the appropriate rating information through "Manager       |
|    | Self-Service" portion of EmpowHR.                               |
|    |                                                                 |
|    | **Note:** See                                                   |
|    | [**http://www.fs                                                |
|    | a.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm**](http: |
|    | //www.fsa.usda.gov/FSA/hrdapp?area=home&subject=erpm&topic=prm) |
|    | for an example of the supervisor, reviewing official, and       |
|    | employee actions in EmpowHR.                                    |
+----+-----------------------------------------------------------------+
| 2  | Obtain the reviewing official's approval.                       |
|    |                                                                 |
|    | **Note:** It is strongly recommended that the discussion        |
|    | between the supervisor and the reviewer be on a face-to-face    |
|    | basis. Alternative methods of communication, such as            |
|    | teleconference, may be used if face-to-face communication is    |
|    | not possible.                                                   |
+----+-----------------------------------------------------------------+
| 3  | Discuss the approved rating and basis for the rating with the   |
|    | employee.                                                       |
+----+-----------------------------------------------------------------+
| 4  | Verify the employee has entered a check () next to "Employee    |
|    | Viewed/Discussed Rating".                                       |
+----+-----------------------------------------------------------------+
| 5  | Forward the performance plan and the appraisal according to     |
|    | subparagraph 9 A. Hard copies are not required, except for      |
|    | CED's, but can be printed by the employee or supervisor         |
|    | whenever needed.                                                |
+----+-----------------------------------------------------------------+

9-19-07 Page 28

Notice PM-2606

**8 Reviewing Performance (Continued)**

**F Completing AD-435 Not Using EmpowHR**

> Rating officials **not using EmpowHR** shall complete AD-435 according
> to the following.

  ---------- -----------------------------------------------------------------
  **Step**   **Action**

  1          Complete AD-435 by transferring the performance elements and
             appropriate rating level information from AD-435A and AD-435B.

  2          Obtain the reviewing official's approval on AD-435.

  3          Discuss the approved rating and basis for the rating with the
             employee.

  4          Forward AD-435, AD-435A, and AD-435B to HRD or KCHRO according to
             subparagraph 9 A.
  ---------- -----------------------------------------------------------------

> **G Reviewing Officials' Action**

Reviewing officials:

-   shall discuss the performance and rating of employees with rating
    officials

-   shall change the ratings, if appropriate

-   **using EmpowHR**, shall check () the "Review Completed" box

-   **not** **using EmpowHR**, shall sign AD-435, item 21 certifying
    approval of original or revised ratings

-   shall return rating to the rating official for distribution
    according to subparagraph 9 A.

> **Note:** In EmpowHR, the rating will flow electronically back to the
> supervisor.

9-19-07 Page 29

Notice PM-2606

**8 Reviewing Performance (Continued)**

> **H Employee Action**
>
> Employees:

-   **using EmpowHR**, shall check () the following:

-   "Employee Viewed/Discussed Rating" box

-   appropriate box for USDA regulations about employees'
    responsibilities and conduct

-   **not** **using EmpowHR**, shall:

-   complete AD-435, item 17

-   sign AD-435, item 18.

> **Note:** If the employee refuses to sign/accept the rating, rating
> officials:

-   **using EmpowHR**, shall indicate the refusal in the "Reviewer
    Comments" box

-   **not** **using EmpowHR**, shall indicate the refusal on AD-435,
    item 18

-   forward the rating to the appropriate SPO according to subparagraph
    9 A.

**9 Distributing Appraisals and Multiple Appraisals**

**A Distributing Performance Appraisals**

> The completed performance plan and performance appraisal shall be
> forwarded to the appropriate SPO by **October 30**. For offices:

-   **using EmpowHR**, hard copies of documents are **not** required

> **Note:** Employees and supervisors can print a copy of their
> performance appraisal at any time.

-   **not** **using EmpowHR**, supervisors shall distribute the
    completed AD-435 according to the following.

  ---------- -----------------------------------------------------------------
  **Step**   **Action**

  1          Forward the original, completed copies of AD-435, AD-435A, and
             AD-435B to the appropriate SPO by **October 30**.

  2          Provide the employee with 1 copy of AD-435, AD-435A, and AD-435B.

  3          Retain 1 copy of AD-435, AD-435A, and AD-435B for the
             supervisor's files.
  ---------- -----------------------------------------------------------------

9-19-07 Page 30

Notice PM-2606

**9 Distributing Performance Appraisals, Rating Requirements, and
Multiple Appraisals (Continued)**

**B Multiple Performance Appraisals**

> The following provides instructions for performance plans for
> employees detailed or temporarily promoted.

+----------------------+-----------------------------------------------+
| **IF the             | **THEN...**                                   |
| employee...**        |                                               |
+----------------------+-----------------------------------------------+
| is detailed or has a | performance plans shall be established. The   |
| temporary promotion  | supervisor responsible for the detail or      |
| to other positions   | temporary promotion shall prepare the         |
| in FSA or USDA for   | performance plan and communicate it, in       |
| 90 calendar days or  | writing, to the employee within 30 calendar   |
| more                 | days of the start of the assignment. At the   |
|                      | end of the assignment, an interim assessment  |
|                      | shall be prepared detailing the employee's    |
|                      | accomplishments and forwarded to the          |
|                      | supervisor of record. This shall be           |
|                      | considered in deriving the employee's annual  |
|                      | rating of record.                             |
|                      |                                               |
|                      | **Note:** When employees are detailed outside |
|                      | USDA, the employing agency must make a        |
|                      | reasonable effort to obtain information on    |
|                      | the employee's accomplishments from the       |
|                      | outside organization.                         |
+----------------------+-----------------------------------------------+
| is detailed or has a | performance plans are **not** required.       |
| temporary promotion  | However, a narrative document shall be        |
| to another position  | prepared detailing the employee's             |
| in FSA or USDA for   | accomplishments and forwarded to the          |
| 90 calendar days or  | supervisor of record. This shall be           |
| less                 | considered in deriving the employee's annual  |
|                      | rating of record.                             |
|                      |                                               |
|                      | **Note:** When employees are detailed outside |
|                      | USDA, the employing agency **must** make a    |
|                      | reasonable effort to obtain information on    |
|                      | the employee's accomplishments from the       |
|                      | outside organization.                         |
+----------------------+-----------------------------------------------+
| has a change in      | each supervisor of 90 calendar days or more   |
| supervisors during   | shall prepare an interim assessment detailing |
| the appraisal period | the employee's accomplishments, and forward   |
| including while on   | to the supervisor of record. This shall be    |
| detail               | considered in deriving the employee's annual  |
|                      | rating of record.                             |
+----------------------+-----------------------------------------------+
| has position changes | the supervisor shall prepare an interim       |
| during the appraisal | assessment detailing the employee's           |
| period and has       | accomplishments. This shall be considered in  |
| served for           | deriving the employee's annual rating of      |
| 90 calendar days or  | record.                                       |
| more in the position |                                               |
+----------------------+-----------------------------------------------+
| has a transfer of    | the supervisor shall prepare an interim       |
| rating (moves to     | assessment detailing the employee's           |
| another agency or    | accomplishments. This shall be sent to the    |
| Department) and has  | gaining organization to be considered in      |
| served for 90        | deriving the employee's annual rating of      |
| calendar days or     | record.                                       |
| more in the position |                                               |
+----------------------+-----------------------------------------------+

Note: Interim assessments do not need to be on any particular form nor
entered into EmpowHR, but should be written on a sheet of paper.

9-19-07 Page 31

Notice PM-2606

**10 Monitoring Poor Performance**

> **A Marginal Performance**
>
> If the employee's summary rating is "Marginal", the rating official
> **must** contact their SPO for guidance. The rating official shall:

-   assist employee in improving less than "Fully Successful"
    performance in a noncritical element

-   inform the employee as soon as the less than "Fully Successful"
    performance is apparent and give the employee a chance to
    demonstrate "Fully Successful" performance

-   assist the employee by:

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-   determining if training is needed

-   providing closer supervisory review of work

-   holding discussions and providing correction of work products

-   advising the employee when they have achieved "Fully Successful"
    performance.

> A "Marginal" rating will result in the denial of a Within-Grade
> Increase.

**B Unacceptable Performance**

> If the employee's summary rating is "Unacceptable", the rating
> official **must** contact their SPO for guidance. Rating officials
> shall:

-   assist employee in improving less than "Fully Successful"
    performance in a critical element

-   inform the employee in writing as soon as the less than "Fully
    Successful" performance is apparent and give a reasonable
    opportunity to demonstrate "Fully Successful" performance through an
    Opportunity To Improve (OTI).

> OTI:

-   provides formal notice to the employee that performance is
    unacceptable and provides the employee the opportunity to
    demonstrate "Fully Successful" performance

-   may include activities like developmental assignments, structured
    employee assistance or counseling, formal or on-the-job training,
    and mentoring.

9-19-07 Page 32

Notice PM-2606

**10 Monitoring Poor Performance (Continued)**

> B Unacceptable Performance (Continued)
>
> Careful records **must** be kept of the assistance offered and results
> achieved under OTI. Rating officials should provide the following:

-   notification of elements in which performance is unacceptable

-   specific examples of the unacceptable performance

-   performance requirements or standards that **must** be attained to
    demonstrate "Fully Successful" performance

-   a reasonable opportunity period, usually at least 90 calendar days,
    to demonstrate "Fully Successful" performance on the elements at
    issue

-   notice that the employee **must** improve to the "Fully Successful"
    level by the conclusion of the opportunity period and **must**
    sustain that level of performance for at least 1 year from the start
    of OTI.

> Should an employee's performance again become unacceptable in 1 or
> more of these critical elements, a performance-based adverse action or
> other alternative action may be proposed without the benefit of an
> additional OTI.
>
> An "Unacceptable" rating will result in the denial of Within-Grade
> Increase.
>
> **C Prior Administrative Actions**
>
> Administrative actions initiated against employees whose performance
> is "Unacceptable" under 5 U.S.C. 4303 or 5 U.S.C. 752 involving a
> performance management program in existence before the effective date
> of this program, shall continue to be processed consistent with that
> pre-established set of procedures and requirements.

11 Performance

A Organizational Performance Assessment

> Organizational unit performance will be assessed and communicated
> throughout the organization. Rating officials will be provided
> guidance on how unit performance should be considered when deciding
> ratings and awards.

9-19-07 Page 33

Notice PM-2606

11 Performance (Continued)

B Performance Management Program Training

> Each year, supervisors, managers, and employees will receive mandatory
> training and retraining on the requirements and operation of the
> performance management program. All supervisors, managers, and
> employees must know how the performance management program operates.
> Training courses are available for both supervisory and nonsupervisory
> employees in AgLearn.

C Performance Management Accountability

> According to paragraphs 4 and 7, managers and supervisors will be held
> accountable for the performance management of their subordinates and
> **must** communicate with their employees continuously from the
> beginning to the end of the rating cycle, **not** just at certain
> times within it. At the end of the rating cycle, they must
> **accurately** rate their employee's performance. Corrective action
> will be taken against supervisors who fail to address performance
> deficiencies.

D Recognizing Performance

> Employees receiving summary ratings of "Outstanding" or "Superior"
> should be considered for recognition. This recognition may be any of
> the following:

-   quality step increases (can only be granted if the summary rating is
    "Outstanding")

-   performance bonus

-   time off award

-   any other form of recognition.

> Note: Recognition is never automatic. External factors, such as
> budgetary constraints, may affect the availability of certain types of
> recognition.

9-19-07 **Page 34**

**Notice PM-2606**

12 Evaluation and Additional Information

> A Evaluation of the Performance Management Program
>
> The performance management program will be evaluated for its
> effectiveness on an annual basis within 90 calendar days of the end of
> each appraisal period. This evaluation will include such issues as the
> correlation between the:

-   performance management program and any improvement of organizational
    performance

-   employee/managerial satisfaction with the performance management
    program.

> B Additional Information
>
> If there are any questions about rating employees, supervisors may
> contact the appropriate SPO according to the following.

+---------------------------+------------------------------------------+
| IF the supervisor is      | THEN contact...                          |
| located in...             |                                          |
+---------------------------+------------------------------------------+
| the National Office       | Employee Programs Branch, HRD at         |
|                           | 202-401-0679,                            |
|                           |                                          |
|                           | 202-401-0694, or TTY at 202-205-9057.    |
+---------------------------+------------------------------------------+
| 1 of the following:       | KCHRO, Human Capital Management Section  |
|                           | at                                       |
| -   APFO                  |                                          |
|                           | 816‑926-1630 or TTY at 800-735-2966.     |
| -   Kansas City           |                                          |
|                           |                                          |
| -   St. Louis             |                                          |
|                           |                                          |
| -   State Office          |                                          |
+---------------------------+------------------------------------------+
| County Office             | State Office                             |
+---------------------------+------------------------------------------+

9-19-07 **Page 35**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans**

> This Exhibit consists of 8 Field Office performance plans, as follow:

-   Example 1 provides AD-435A and AD-435B's for an administrative
    specialist with EO/CR as a separate performance element and Customer
    Service built in another performance element

> ![](media/image2.png){width="6.250694444444444in"
> height="7.713888888888889in"}

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image3.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image4.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image5.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 4**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 2 provides AD-435A and AD-435B's for an administrative
    specialist with Customer Service a separate performance element and
    EO/CR built in another performance element

> ![](media/image6.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 5**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image7.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 6**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image8.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 7**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image5.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 8**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 3 provides AD-435A and AD-435B's for a CED

> ![](media/image9.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 9**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image10.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 10**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image11.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 11**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image12.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 12**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image13.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 13**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 4 provides AD-435A and AD-435B's for a DD

> ![](media/image14.png){width="6.497222222222222in"
> height="8.176388888888889in"}

9-19-07 **Page 14**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image15.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 15**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image16.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 16**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image17.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 17**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image18.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 18**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 5 provides AD-435A and AD-435B's for an FLO with EO/CR as a
    separate performance element and Customer Service built in another
    performance element

> ![](media/image19.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 19**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image20.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 20**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image21.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 21**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image22.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 22**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 6 provides AD-435A and AD-435B's for an FLO with Customer
    Service a separate performance element and EO/CR built in another
    performance element

> ![](media/image23.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 23**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image24.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 24**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image25.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 25**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image26.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 26**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 7 provides AD-435A and AD-435B's for a PT with EO/CR as a
    separate performance element and Customer Service built in another
    performance element

> ![](media/image27.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 27**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image28.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 28**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image29.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 29**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image30.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 30**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

-   Example 8 provides AD-435A and AD-435B's for a PT with Customer
    Service a separate performance element and EO/CR built in another
    performance element

> ![](media/image31.png){width="6.497222222222222in"
> height="8.022222222222222in"}

9-19-07 **Page 31**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image32.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 32**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image33.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 33**

**Notice PM-2606 Exhibit 1**

**Example Field Office Performance Plans (Continued)**

> ![](media/image30.png){width="6.497222222222222in"
> height="8.407638888888888in"}

9-19-07 **Page 34**

**Notice PM-2606 Exhibit 2**

**Example National Office Performance Plan**

> This is an example AD-435A and AD-435B's for a National Office
> employee.
>
> ![](media/image34.png){width="6.752777777777778in"
> height="8.330555555555556in"}

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 2**

**Example National Office Performance Plan (Continued)**

> ![](media/image35.png){width="6.752777777777778in"
> height="8.72638888888889in"}

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 2**

**Example National Office Performance Plan (Continued)**

> ![](media/image36.png){width="6.752777777777778in"
> height="8.72638888888889in"}

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 2**

**Example National Office Performance Plan (Continued)**

> ![](media/image37.png){width="6.752777777777778in"
> height="8.72638888888889in"}

9-19-07 **Page 4**

**Notice PM-2606 Exhibit 3**

**Possible Elements**

> The following is a list of elements that 3 to 7 performance elements
> shall be selected and included in performance plans. Supervisors shall
> designate which elements are critical and noncritical. See Exhibit 4
> for suggested elements for most Field Office positions.

+---------------------+------------------------------------------------+
| **Elements**        | **Description**                                |
+---------------------+------------------------------------------------+
| Execution of Duties | Completed work assignments are performed in a  |
|                     | timely manner, assuring a quality of work that |
|                     | meets the needs of the organization.           |
|                     | Appropriate work methods are selected for the  |
|                     | development of work products. Work products do |
|                     | not require substantive revisions. Assignments |
|                     | are completed in accordance with applicable    |
|                     | FSA guidelines, including timeframes.          |
+---------------------+------------------------------------------------+
| Communications      | Oral and written communications are clear,     |
|                     | correct, timely, and presented in an           |
|                     | understandable manner. Supervisor and          |
|                     | coworkers are informed of issues and problems  |
|                     | when necessary. Information and guidance       |
|                     | provided is timely and correct.                |
+---------------------+------------------------------------------------+
| Supervision         | Work is assigned in a fair and effective       |
|                     | manner. Technical guidance to subordinate      |
| **Important:        | staff is given in a timely manner. Performance |
| Mandatory for all   | management is implemented in accordance with   |
| supervisors and     | procedure. Issues, concerns, or problems are   |
| managers**.         | handled promptly and fairly. To the extent     |
|                     | possible, staff is properly trained and        |
|                     | complies with occupational health and safety   |
|                     | programs. Management decisions are supported   |
|                     | and implemented within appropriate timeframes. |
+---------------------+------------------------------------------------+
| Team Leadership     | Routinely leads individuals and team members   |
|                     | toward specific goals and accomplishments.     |
|                     | Provides encouragement, guidance, and          |
|                     | direction as needed. Adjusts style to fit      |
|                     | situation. Delegates appropriate authority in  |
|                     | an effective manner. Coordinates functions of  |
|                     | the team members. Demonstrates a sincere       |
|                     | interest in employees\' activities, abilities, |
|                     | etc.                                           |
+---------------------+------------------------------------------------+
| Program Management  | Manages program(s), resolving issues and       |
|                     | problems within the employee\'s control.       |
|                     | Monitors all aspects of program(s) for         |
|                     | quality, effectiveness, and consistency.       |
|                     | Program plans and guidance are responsive to   |
|                     | objectives and requirements of FSA. Policy     |
|                     | instructions are appropriately issued and are  |
|                     | accurate. Evaluates effectiveness of work and  |
|                     | adjusts plans accordingly.                     |
+---------------------+------------------------------------------------+
| Special Projects    | Special projects are regularly completed on    |
|                     | time in a competent, accurate, and thorough    |
|                     | manner. Completed projects comply with         |
|                     | regulations and procedures. Special projects   |
|                     | are completed independently, or reflect        |
|                     | research and collaboration with others as      |
|                     | required.                                      |
+---------------------+------------------------------------------------+
| Research and        | Thoroughly and accurately researches issues in |
| Analysis            | a timely manner, using available reference     |
|                     | sources (e.g., USDA manuals, or applicable law |
|                     | or regulations. Makes reasonable               |
|                     | recommendations or decisions based on          |
|                     | available guidance.                            |
+---------------------+------------------------------------------------+

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 3**

**Possible Elements (Continued)**

+----------------------+-----------------------------------------------+
| **Elements**         | **Description**                               |
+----------------------+-----------------------------------------------+
| Customer Service     | Routinely displays courteous and tactful      |
|                      | behavior. Projects a positive and             |
| **Important:         | professional image of USDA. Provides advice   |
| Mandatory for all    | that is timely, responsive and accurate.      |
| supervisors and      | Maintains appropriate rapport with internal   |
| managers**.          | and external customers. Develops and          |
|                      | establishes working relationships with        |
|                      | external organizations as required. Keeps     |
|                      | supervisor and/or team leader informed of     |
|                      | difficult and/or controversial issues and     |
|                      | unique problems. Takes action to effectively  |
|                      | solve problems before they have an adverse    |
|                      | impact on the organization or other           |
|                      | employees.                                    |
+----------------------+-----------------------------------------------+
| Supervisory Equal    | Performs all duties in a manner which         |
| Opportunity and      | consistently demonstrates fairness,           |
| Civil Rights         | cooperation, and respect toward coworkers,    |
|                      | office visitors, and all others in the        |
| **Important:         | performance of official business.             |
| Mandatory for all    | Demonstrates an awareness of EO/CR policies   |
| supervisors and      | and responsibilities of FSA and USDA goals of |
| managers**.          | working to employ and develop a diverse, yet  |
|                      | unified workforce.                            |
+----------------------+-----------------------------------------------+
| Nonsupervisory Equal | Performs all duties in a manner which         |
| Opportunity and      | consistently demonstrates fairness,           |
| Civil Rights         | cooperation, and respect toward coworkers,    |
|                      | office visitors, and all others in the        |
|                      | performance of official business.             |
|                      | Demonstrates an awareness of EO/CR policies   |
|                      | and responsibilities of FSA and USDA goals of |
|                      | valuing a diverse, yet unified workforce.     |
+----------------------+-----------------------------------------------+
| Resource Management  | Monitors allocated funds and maintains        |
|                      | complete and accurate records of              |
|                      | expenditures. Routinely utilizes resources in |
|                      | an efficient and effective manner. Ensures    |
|                      | that funds, property and other resources are  |
|                      | guarded against waste, loss, unauthorized     |
|                      | use, and misappropriation.                    |
+----------------------+-----------------------------------------------+
| Individual           | Ordinarily displays dependability and         |
| Contributions to the | reliability. Promotes open communication.     |
| Team                 | Contributes creative ideas and actively       |
|                      | participates in team meetings resulting in    |
|                      | added value to the team\'s products and       |
|                      | services. When problems arise, explores       |
|                      | causes and assists in resolving them. Works   |
|                      | with team members to appropriately implement  |
|                      | decisions. Is usually open‑minded to new      |
|                      | ideas and approaches in implementing the      |
|                      | team\'s goals. Willingly accepts and acts on  |
|                      | constructive criticism.                       |
+----------------------+-----------------------------------------------+

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 4**

**Possible Elements for Field Office Positions**

> The following provides suggestions for elements for each field office
> position.

+-----------+------------------------+---------------------------------+
| Cluster   | Positions              | Elements                        |
+-----------+------------------------+---------------------------------+
| Ma        | County Executive       | 4 critical (choose at least 1): |
| nagement: | Director               |                                 |
|           |                        | -   program management          |
| County    | CO-7, 9, 11, 12        |                                 |
| Office    |                        | -   customer service            |
|           |                        |                                 |
|           |                        | -   civil rights                |
|           |                        |                                 |
|           |                        | -   supervision.                |
|           |                        |                                 |
|           |                        | 1 noncritical (choose at least  |
|           |                        | 1):                             |
|           |                        |                                 |
|           |                        | -   communication               |
|           |                        |                                 |
|           |                        | -   research and analysis       |
|           |                        |                                 |
|           |                        | -   resource management.        |
+-----------+------------------------+---------------------------------+
|           | Farm Loan Manager      |                                 |
|           |                        |                                 |
|           | GS-11, 12              |                                 |
+-----------+------------------------+---------------------------------+
| Program   | Program Technician     | 4 critical (choose at least 1): |
| Te        |                        |                                 |
| chnician: | CO/GS-3, 4, 5, 6, 7    | -   execution of duties         |
|           |                        |                                 |
| County    |                        | -   civil rights                |
| Office    |                        |                                 |
|           |                        | -   customer service            |
|           |                        |                                 |
|           |                        | -   communications.             |
|           |                        |                                 |
|           |                        | 1 noncritical (choose at least  |
|           |                        | 1):                             |
|           |                        |                                 |
|           |                        | -   individual contributions to |
|           |                        |     the team/team leadership    |
|           |                        |                                 |
|           |                        | -   resource management         |
|           |                        |                                 |
|           |                        | -   research and analysis.      |
+-----------+------------------------+---------------------------------+
|           | Lead Program           |                                 |
|           | Technician             |                                 |
|           |                        |                                 |
|           | CO-8: Shared           |                                 |
|           | Management             |                                 |
+-----------+------------------------+---------------------------------+
|           | Chief Program          |                                 |
|           | Technician             |                                 |
|           |                        |                                 |
|           | CO-9: Supervisor       |                                 |
+-----------+------------------------+---------------------------------+
|           | Program                |                                 |
|           | Technician-In-Charge   |                                 |
|           | CO-7, 8, 9, 11         |                                 |
+-----------+------------------------+---------------------------------+
| Farm      | Farm Loan Officer      | 4 critical (choose at least 1): |
| Loan:     |                        |                                 |
|           | GS-7, 9, 11            | -   execution of duties         |
| County    |                        |                                 |
| Office    |                        | -   civil rights                |
|           |                        |                                 |
|           |                        | -   customer service            |
|           |                        |                                 |
|           |                        | -   communications.             |
|           |                        |                                 |
|           |                        | 1 noncritical (choose at least  |
|           |                        | 1):                             |
|           |                        |                                 |
|           |                        | -   research and analysis       |
|           |                        |                                 |
|           |                        | -   individual contributions to |
|           |                        |     the team/team leadership.   |
+-----------+------------------------+---------------------------------+
|           | Farm Loan Program      |                                 |
|           | Technician             |                                 |
|           |                        |                                 |
|           | GS-3, 4, 5, 6, 7       |                                 |
+-----------+------------------------+---------------------------------+

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 4**

**Possible Elements for Field Office Positions (Continued)**

+-----------+------------------------+--------------------------------+
| Cluster   | Positions              | Elements                       |
+-----------+------------------------+--------------------------------+
| Admini    | Ag Program Specialist  | 4 critical (choose at least    |
| strative/ |                        | 1):                            |
|           | GS-9, 11 ,12           |                                |
| Sp        |                        | -   execution of duties        |
| ecialist/ |                        |                                |
|           |                        | -   civil rights               |
| A         |                        |                                |
| ppraiser: |                        | -   customer service           |
|           |                        |                                |
| State     |                        | -   communications.            |
| Office    |                        |                                |
|           |                        | 1 noncritical (choose at least |
|           |                        | 1):                            |
|           |                        |                                |
|           |                        | -   research and analysis      |
|           |                        |                                |
|           |                        | -   individual contributions   |
|           |                        |     to the team (use team      |
|           |                        |     leadership if appropriate) |
|           |                        |                                |
|           |                        | -   resource management.       |
+-----------+------------------------+--------------------------------+
|           | Farm Loan Specialist   |                                |
|           |                        |                                |
|           | GS-11, 12              |                                |
+-----------+------------------------+--------------------------------+
|           | Appraiser              |                                |
|           |                        |                                |
|           | GS-9, 11, 12           |                                |
+-----------+------------------------+--------------------------------+
|           | Assistant AO/HR        |                                |
|           | Specialist/Admin       |                                |
|           | Specialist             |                                |
|           |                        |                                |
|           | GS-9, 11, 12           |                                |
+-----------+------------------------+--------------------------------+
|           | Ou                     |                                |
|           | treach/Information/EEO |                                |
|           |                        |                                |
|           | GS-11, 12              |                                |
+-----------+------------------------+--------------------------------+
|           | County Operations      |                                |
|           | Reviewer GS-7, 9, 11,  |                                |
|           | 12                     |                                |
+-----------+------------------------+--------------------------------+
|           | GIS                    |                                |
|           | Specialist/Coordinator |                                |
|           |                        |                                |
|           | GS-9, 11, 12           |                                |
+-----------+------------------------+--------------------------------+
| S         | SED Secretary          | 4 critical (choose at least    |
| ecretary/ |                        | 1):                            |
| A         | GS-7                   |                                |
| ssistant: |                        | -   execution of duties        |
|           |                        |                                |
| State     |                        | -   civil rights               |
| Office    |                        |                                |
|           |                        | -   customer service           |
|           |                        |                                |
|           |                        | -   communication.             |
|           |                        |                                |
|           |                        | 1 noncritical (choose at least |
|           |                        | 1):                            |
|           |                        |                                |
|           |                        | -   research and analysis      |
|           |                        |                                |
|           |                        | -   individual contributions   |
|           |                        |     to the team                |
|           |                        |                                |
|           |                        | -   resource management.       |
+-----------+------------------------+--------------------------------+
|           | Program Assistant      |                                |
|           |                        |                                |
|           | GS-7                   |                                |
+-----------+------------------------+--------------------------------+
|           | Program Technicians    |                                |
|           |                        |                                |
|           | GS-3, 4, 5, 6, 7       |                                |
+-----------+------------------------+--------------------------------+
|           | Print Shop             |                                |
|           | Operator/Mail Clerk    |                                |
|           |                        |                                |
|           | GS-3, 5, 7             |                                |
+-----------+------------------------+--------------------------------+
| Ma        | District Director      | 4 critical (choose at least    |
| nagement: |                        | 1):                            |
|           | GS-12, 13              |                                |
| State     |                        | -   program management         |
| Office    |                        |                                |
|           |                        | -   customer service           |
|           |                        |                                |
|           |                        | -   civil rights               |
|           |                        |                                |
|           |                        | -   supervision.               |
|           |                        |                                |
|           |                        | 1 noncritical (choose at least |
|           |                        | 1):                            |
|           |                        |                                |
|           |                        | -   communication              |
|           |                        |                                |
|           |                        | -   resource management        |
|           |                        |                                |
|           |                        | -   research and analysis.     |
+-----------+------------------------+--------------------------------+
|           | Farm Program Chief     |                                |
|           |                        |                                |
|           | GS-13                  |                                |
+-----------+------------------------+--------------------------------+
|           | Farm Loan Program      |                                |
|           | Chief                  |                                |
|           |                        |                                |
|           | GS-13                  |                                |
+-----------+------------------------+--------------------------------+
|           | Chief Administrative   |                                |
|           | Officer                |                                |
|           |                        |                                |
|           | GS-13                  |                                |
+-----------+------------------------+--------------------------------+
|           | Executive Officer      |                                |
|           |                        |                                |
|           | GS-13, 14              |                                |
+-----------+------------------------+--------------------------------+

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 4**

**Possible Elements for Field Office Positions (Continued)**

+-----------+------------------------+--------------------------------+
| Cluster   | Positions              | Elements                       |
+-----------+------------------------+--------------------------------+
| Co        | Contracting            | 4 critical (choose at least    |
| ntracting |                        | 1):                            |
| and       | GS-7, 9, 11            |                                |
| Pro       |                        | -   execution of duties        |
| curement: |                        |                                |
|           |                        | -   civil rights               |
| State     |                        |                                |
| Office    |                        | -   customer service           |
|           |                        |                                |
|           |                        | -   communication.             |
|           |                        |                                |
|           |                        | 1 noncritical (choose at least |
|           |                        | 1):                            |
|           |                        |                                |
|           |                        | -   resource management        |
|           |                        |                                |
|           |                        | -   research and analysis.     |
+-----------+------------------------+--------------------------------+
|           | Procurement            |                                |
|           |                        |                                |
|           | GS-7, 9, 11            |                                |
+-----------+------------------------+--------------------------------+
| Trainee   | County Operations      | 4 critical (choose at least    |
|           | Trainee                | 1):                            |
|           |                        |                                |
|           | CO-5, 7, 9             | -   execution of duties        |
|           |                        |                                |
|           |                        | -   civil rights               |
|           |                        |                                |
|           |                        | -   customer service           |
|           |                        |                                |
|           |                        | -   communication.             |
|           |                        |                                |
|           |                        | 1 noncritical; research and    |
|           |                        | analysis.                      |
+-----------+------------------------+--------------------------------+
|           | Farm Loan Officer      |                                |
|           | Trainee                |                                |
|           |                        |                                |
|           | GS-7, 9, 11            |                                |
+-----------+------------------------+--------------------------------+

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element**

> **Important:** The following are examples of standards that can be
> used. They do **not** have to be used verbatim. Supervisors can
> changes percentages, numbers, etc., depending on the individual
> situation.

**A Nonsupervisory Equal Opportunity and Civil Rights**

> Attends 2-4 optional EEO/AA/Diversity information sessions
> provided/scheduled by supervisor.
>
> Assists supervisor or responsible individual with planning, preparing
> for, or presenting EEO/AA/Diversity information sessions 2-4 times per
> year.
>
> Consistently treats coworkers with respect, fairness, and politeness
> including socially‑disadvantaged (SDA), females, and persons with
> disabilities with no more than 1‑2 complaints. Relates well to people
> from various backgrounds and situations with no more than 1-2
> complaints.
>
> Consistently treats customers/producers with respect, fairness, and
> politeness including SDA, females, and persons with disabilities with
> no more than 1-2 complaints.
>
> Brings discriminatory issues or actions to the attention of the
> supervisor or other appropriate official as soon as possible but no
> later than 24 hours after occurrence.
>
> Ensures that the Civil Rights/EO actions and correspondence file is
> up-to-date and complete throughout the year, within the timeframes
> established by management, with only
>
> 1-3 exceptions.
>
> Applies the same eligibility criteria to applicants including SDA,
> females, and persons with disabilities to increase participation by
> these groups with no more than 1-2 exceptions.
>
> Ensures that customers are provided with the information required;
> that is, appeal rights, program information, deadlines, etc.,
> including SDA, females, and persons with disabilities within
> established timeframes with no more than 1-2 exceptions.
>
> Participates in available training or other EEO/AA/Diversity related
> activities 2-4 times a year.
>
> Completes required Civil Rights/EEO/Sexual Harassment training within
> established timeframes with no more than 1-2 exceptions.
>
> Reviews and meets requirements established in Notice AO-1351 with no
> more than 1-2 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**B Supervisory Equal Opportunity and Civil Rights**

> Ensures that 95-99 percent of employees have measurable civil rights
> performance standards in their annual performance plans within
> established timeframes.
>
> Provides Civil Rights/EEO/Sexual Harassment/Diversity information
> (USDA material) to employees through information sessions, staff
> meetings, etc. 2-4 times a year.
>
> Ensures that employees receive required Civil Rights, EEO, and Sexual
> Harassment training within established timeframes with no more than
> 1-2 exceptions.
>
> Responds to issues/actions/allegations according to FSA procedures and
> within established timeframes with only 1-3 approved exceptions.
>
> Takes action to reduce the number of valid employee complaints by
> actions such as increasing information provided for interpersonal
> skills training to employees, etc. 2-4 times annually.
>
> Reviews the USDA's Civil Rights policy with employees 2-4 times a year
> to ensure that customers and employees are treated according to the
> policy
>
> Increases awareness of all FSA programs with all SDA groups of the
> following activities:

-   provides information to SDA high schools

-   establishes partnerships with SDA institutions and community-based
    groups

-   provides articles and success stories to newsletters and newspapers

-   uses COC and/or SDA advisor to identify all SDA organizations

-   places informational posters in public facilities and churches or
    businesses serving SDA members by holding 1-3 outreach meetings per
    year with SDA groups.

> Develops an election outreach plan to increase the number of SDA
> producers on COC within established timeframe that includes actively
> soliciting and accepting nominations from producers and groups
> representing SDA producers and holds 1-3 informational meetings in
> advance of the nomination period.
>
> Is available to meet with SDA groups to fully explain COC nomination
> and election procedures 90-95 percent of the time and provides all
> election information to all SDA groups in the county annually and
> timely with no more than 1-2 exceptions.
>
> Increases the number of SDA candidates by 1-3 percent for COC based on
> election outreach plan.

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**B Supervisory Equal Opportunity and Civil Rights (Continued)**

> Encourages employees to attend training to increase interpersonal
> skills; such as cross-cultural communication, negotiation, dispute
> resolution, problem solving, active listening, etc. by including the
> recommended training on a timely established IDP followed by
> discussion and by following up with employees about the status of
> training 2-4 times during the year.
>
> Provides pro-active assistance to employees to help with problem
> solving and resolving conflicts. Results based on employee feedback,
> surveys, random oral surveys from 2^nd^ level supervisor, and
> providing employee skills training in related topics by providing
> information at
>
> 1-3 staff meetings.
>
> Meets USDA-established Civil Rights/EEO goals for recruitment,
> selection, promotion, training, awards, and other personnel activities
> with no more than 1-2 exceptions.
>
> Models appropriate behavior by treating employees, peers, supervisors,
> and customers with respect, fairness, and politeness with no more than
> 1-2 complaints.
>
> Ensures requirements of Notice AO-1351 are met with no more than 1-2
> exceptions.
>
> Ensures that complete application materials are provided to all
> customers or potential customers of FSA, ensuring that all SDA and
> persons with disabilities receive complete applications within
> established timeframes with no more than 1-2 exceptions.
>
> Ensures that all SDA and persons with disabilities are provided
> guidance and instructions for completing applications for loans or
> farm program benefits within established timeframes with no more than
> 1-2 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**C Communications**

> Communicates clearly with producers and shares accurate information
> with only 3-5 exceptions.
>
> Responds to general program questions within 24 hours with only 4-6
> exceptions. Elevates more complex questions to supervisor, team
> leader, or other individual responsible within 2 hours of inquiry.
>
> Schedules staff meetings on a regular basis, at least monthly and
> after major program conferences and meetings or more often if required
> by management. (**Supervisors only**)
>
> Prepares written documents that are clear, concise, and understandable
> as well as following prescribed procedures within established
> timeframes with only 1-3 exceptions.
>
> Responds in writing, when appropriate, to customer inquiries within
> established timeframes with only 1-3 exceptions.
>
> Regularly shares program information the employee is responsible for
> with co-workers to increase staff awareness of all program areas
> within timeframes established by management (cross-training,
> collaboration, reports at staff meetings, etc.) with only 1-3
> exceptions.
>
> Resolves disputes and problems with others through use of problem
> solving, conflict resolution, and negotiation with no more than 1-2
> exceptions. Must respond to disputes and problems within 24 hours of
> becoming aware.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 4**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**D Customer Service**

> Responds to customer questions accurately and according to procedures
> with only 2-4 valid complaints. Responds by at least acknowledging
> receipt of an inquiry as soon as possible, but within 24 hours with
> only 4-6 exceptions.
>
> Provides internal training that is accurate and given within
> established timeframes 85-95 percent of the time.
>
> Completes assigned program training within established timeframes
> 85-95 percent of the time.
>
> Ensures external customers are acknowledged within 3 minutes of the
> time they enter the office with only 6-10 exceptions.
>
> Uses a customer transaction checklist to ensure all required
> information is obtained and applications are completed and accurate
> with only 3-5 exceptions.
>
> Provides program benefit information to producers and other customers;
> such as, newsletters, counter information, producer meetings, producer
> organizations, newspaper articles, and radio announcements within
> established timeframes with only 1-3 exceptions.
>
> Ensures that customer applications are accurate and processed within
> established timeframes with only 1-3 exceptions.
>
> Ensures that payments are processed within timeframes with only 1-3
> exceptions.
>
> Responds to other agencies (NRCS, RMS, Conservation Districts,
> Extension Services, etc.) about shared programs within established
> timeframes with only 1-5 exceptions.
>
> Receives only 4-6 valid customer complaints.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 5**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**E Execution of Duties**

> Ensures that payment amounts are accurate, that necessary supporting
> documents are up to date and on file, and that applications are
> complete with no more than 1-2 exceptions.
>
> **Note**: This standard is required for Farm Program staff.
>
> Prepares reports required with duties that are accurate and complete
> within established timeframes with only 1-3 exceptions.
>
> Achieves use of electronic funds transfer (EFT) for 85-95 percent of
> loan obligations.
>
> Achieves use of EFT for 90-98 percent of payments.
>
> Deposits and processes payments within 24 hours of receipt according
> to FSA policy with only 1-3 exceptions.
>
> Achieves or demonstrates progress toward ensuring that no late payment
> interest accrues with no more than 1-2 exceptions.
>
> Achieves or demonstrates progress towards working to provide
> information about program benefits to producers to ensure that they
> can make informed decisions; by publishing 6‑10 newsletters, providing
> 1-3 handouts as counter information, attending 1-3 producer meetings,
> meeting with producer organizations 1-3 times, etc.
>
> Achieves or makes progress toward ensuring payment amounts are
> accurate with no more than 1‑2 exceptions.
>
> Ensures applications are completed accurately to minimize inaccurate
> payments with only 3‑5 exceptions.
>
> Completes all actions required on an application within established
> timeframes with only 1‑3 exceptions.
>
> Achieves or makes progress toward ensuring farm loan transactions or
> other assigned work is accurate and complete with no more than 1-2
> exceptions.
>
> Loads software within 2 workdays of receipt with only 3-5 exceptions.

9-19-07 **Page 6**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

**E Execution of Duties (Continued)**

> Achieves or makes progress toward delinquency rates within the States
> established goals with no more than 1-2 exceptions.
>
> Ensures that operations occur in an efficient manner to support the
> program areas; like, printing and distributing materials, creating
> regulations and guidance, etc., with only 1-3 exceptions.
>
> Meets Federal contracting regulations with respect to processing,
> follow through, and life span with only 1-3 exceptions.
>
> Processes requests in a timely manner with only 1-3 complaints.
>
> Files notices and amendments within 2 workdays of posted receipt with
> only 3-5 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 7**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **F Individual Contributions to the Team (All Positions Except Team
> Leaders and Supervisors)**
>
> Demonstrates collaborative efforts between farm programs and FLP by
> regularly sharing information and providing other support. Attends and
> participates in joint staff meetings with only 1-2 exceptions (unless
> excused because of scheduled leave).
>
> Regularly cooperates with coworkers and others in meeting commitments
> and accomplishing assigned work on time; such as, sharing information
> freely with only 1-3 exceptions.
>
> Responds constructively to feedback within 24 hours, seeking ways to
> improve with no more than 1-2 exceptions.
>
> Consistently raises concerns in constructive manner and offers
> potential solutions with no more than 1-2 exceptions.
>
> Fosters productive and cooperative working relationships by showing
> understanding, courtesy, tact, and politeness to others with no more
> than 4-6 valid complaints.
>
> Updates records that affect other programs in the office within
> timeframes established by management with no more than 1-2 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 8**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **G Program Management**
>
> Ensures that payment amounts are accurate, that necessary supporting
> documents are up to date and on file, and that applications are
> complete with no more than 1-2 exceptions.
>
> **Note:** This standard is required for Farm Program staff.
>
> Processes loans within the States established goals with only 1-3
> exceptions.
>
> Achieves or demonstrates progress on a monthly basis toward ensuring
> that no late payment interest accrues with no more than 1-2
> exceptions.
>
> Ensures that reviews are conducted and reports are filed and submitted
> within established timeframes with no more than 1-2 exceptions.
>
> Achieves or makes progress on a monthly basis toward delinquency rates
> within the States established goals with no more than 1-2 exceptions.
>
> Ensures that applications for benefits are processed within required
> timeframes with no more than 1-2 exceptions.
>
> Ensures that producer payments are made within required timeframes
> with no more than 3‑4 exceptions.
>
> Ensures that staff is fully trained in the program areas for which
> each employee is responsible within at least 5 days of being assigned
> the program or within at least 3 days of learning of changes in the
> program.
>
> Ensures that compliance checks are made within established timeframes.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 9**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **H Research and Analysis**
>
> Reviews and analyzes temporary directive notices and handbook
> procedure on a daily basis 90‑98 percent of the time.
>
> Takes actions required by temporary directive notices or handbook
> procedure within the timeframes required with only 2-4 exceptions.
>
> Asks questions for clarification and makes suggestions for
> implementation within the timeframes established by management with no
> more than 2-4 exceptions.
>
> Writes State temporary directive notices required by the supervisor
> that are clear, concise, and understandable within established
> timeframes 90-98 percent of the time. \[**State Office Only**\]
>
> Conducts research and gathers data in response to legal issues and
> other assignments that are complete, accurate, and relevant within
> established timeframes with only 1-3 exceptions.
>
> Assembles, indexes, and organizes work papers to expedite analysis and
> develop quality summaries and report segments with only 1-3 revisions
> by supervisor 85-95 percent of the time.
>
> Analyzes data to identify weaknesses, patterns, and trends that are
> communicated to supervisor and other required staff within established
> timeframes with no more than 1-2 exceptions.
>
> Prepares case files that are complete and accurate within established
> timeframes for use in legal or administrative forums with only 1-3
> exceptions.
>
> Prepares case files for program appeals that are complete and accurate
> within established timeframes with only 1-3 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 10**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **I Resource Management**
>
> Manages within the established budget for program, function, or work
> assigned; notifies appropriate individual of potential budget
> shortfalls at least 30 calendar days in advance with no more than 1-2
> exceptions.
>
> Ensures that budget object codes are correctly entered with only 1-3
> exceptions.
>
> Ensures that travel, training, and other administrative forms are
> properly completed, timely, and followed-up to ensure proper
> processing with only 1-3 exceptions.
>
> Plans resource needs accurately with only 1-3 exceptions.
>
> Ensures bills are paid by established deadlines to avoid late payment
> interest with only 1‑2 exceptions.
>
> Plans projects or other assignments, monitors, and completes projects
> or assignments within schedule and quality goals 90-98 percent of the
> time.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 11**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **J Supervision (Supervisors Only)**
>
> Schedules staff meetings at least monthly and after major program
> conferences or meetings or more frequently if required by management
> with no more than 1-2 exceptions.
>
> Prioritizes work of staff to deal with workload shifts and to ensure
> that mission-critical work is accomplished with 90-98 percent
> accuracy.
>
> Ensures that all new employees receive training on operational and
> procedural requirements within timeframes required by management with
> no more than 1-2 exceptions.
>
> Ensures that all employees are assessed and training needs are
> identified, communicated to employees, and planned on an annual basis
> with no more than 1-2 exceptions.
>
> Ensures that all employees receive required training within
> established timeframes with no more than 1-2 exceptions.
>
> Ensures issues and problems are identified, documented, and dealt with
> in a timely manner (immediately for minor issues, usually within 1
> week for others, or within agency established timeframes as
> applicable) 85-95 percent of the time.
>
> Ensures that all individual performance plans are linked to SED goals
> and that the links are explained to employees by the required deadline
> with no more than 1-2 exceptions.
>
> Conducts all requirements of the performance management cycle
> including encouraging 2‑way discussions of planning, reviews,
> evaluations, and career development, setting goals and conducting
> reviews and evaluations within established timeframes, encouraging and
> implementing on-going feedback throughout the year, 95-99 percent of
> the time.
>
> Ensures fair treatment of staff by dealing with issues such as
> absenteeism, tardiness, and other chronic problems within 1 week of
> identification of problem with no more than 1-2 exceptions.
>
> Prepares required reports that are accurate, according to stated
> requirements, and within established timeframes with only 1-3
> exceptions.
>
> Ensures that all personnel responsibilities (recruitment, staffing,
> promotion, training, evaluation, and discipline) are conducted fairly,
> meet established procedures, and within established timeframes with no
> more than 1-2 exceptions.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 12**

**Notice PM-2606 Exhibit 5**

**Examples of Standards for Each Element (Continued)**

> **K Team Leadership**
>
> Provides leadership or oversees subordinate or co-workers' work and
> achieves desired results 85‑95 percent of the time.
>
> Plans projects and monitors or reviews work within schedule and
> quality goals for assigned program or functional work 85-95 percent of
> the time.
>
> Demonstrates collaborative efforts between farm programs and farm loan
> programs by ensuring team regularly shares information and provides
> other support on a daily basis with no more than 5-7 exceptions. Joint
> staff meetings will be held on a regular basis as established by
> management with no more than 1-2 exceptions, frequency of the meetings
> must be established in writing.
>
> Informs coworkers and backup employee of work in progress or issues
> before taking leave 85‑95 percent of the time.

**Note:** Each element must have at least 3 standards.

9-19-07 **Page 13**

**Notice PM-2606 Exhibit 6**

Matrix of Possible Aligned Standards

> The following are positions that directly support FP's and FLP's.
> Other standards may be selected, if appropriate.

<table style="width:100%;">
<colgroup>
<col style="width: 20%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 6%" />
<col style="width: 6%" />
</colgroup>
<thead>
<tr class="header">
<th><strong>Standard</strong></th>
<th><strong>DD</strong></th>
<th><p><strong>FLP</strong></p>
<p><strong>Chief</strong></p></th>
<th><p><strong>FP</strong></p>
<p><strong>Chief</strong></p></th>
<th><strong>CED</strong></th>
<th><strong>FLM</strong></th>
<th><strong>PT</strong></th>
<th><p><strong>AO/</strong></p>
<p><strong>Admin Spec</strong></p></th>
<th><p><strong>FP</strong></p>
<p><strong>Spec</strong></p></th>
<th><p><strong>FLP</strong></p>
<p><strong>Spec</strong></p></th>
<th><strong>FLO</strong></th>
<th><strong>FLOT*</strong></th>
<th><strong>COT*</strong></th>
<th><strong>COR</strong></th>
</tr>
</thead>
<tbody>
<tr class="odd">
<td>Ensure using EFT for 90‑95 percent of loan obligations.</td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Ensure using EFT for 90‑95 percent of payments.</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td>According to FSA policy [<strong>insert policy #</strong>], deposit
and process payments within 24 hours of receipt with no more than 1-2
exceptions.</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
</tr>
<tr class="even">
<td>Ensure processing of loans within the State’s established goals with
no more than 2-3 exceptions.</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td>Ensure UCC continuations are filed before the expiration date with
no more than 2-3 exceptions.</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
</tr>
<tr class="even">
<td>Ensure that no late payment interests accrue.</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td>Provide information about program benefits to producers to ensure
that they can make an informed decision [<strong>insert outcome measures
here</strong>] such as, 6-8 newsletters, 2-3 counter fliers information,
1-2 producer meetings, 1-2 meeting with producer organizations,
etc.</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td>X</td>
<td></td>
</tr>
</tbody>
</table>

> **\***The objectives for FLOT's, COT's, and SCEP's should:

-   describe the training programs being participated in

-   **not** be the same as FLO and CED objectives.

> **Note:** See page 2 for examples.

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 6**

Matrix of Possible Aligned Standards (Continued)

<table style="width:100%;">
<colgroup>
<col style="width: 20%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 6%" />
<col style="width: 6%" />
</colgroup>
<tbody>
<tr class="odd">
<td><strong>Standard</strong></td>
<td><strong>DD</strong></td>
<td><p><strong>FLP</strong></p>
<p><strong>Chief</strong></p></td>
<td><p><strong>FP</strong></p>
<p><strong>Chief</strong></p></td>
<td><strong>CED</strong></td>
<td><strong>FLM</strong></td>
<td><strong>PT</strong></td>
<td><p><strong>AO/</strong></p>
<p><strong>Admin Spec</strong></p></td>
<td><p><strong>FP</strong></p>
<p><strong>Spec</strong></p></td>
<td><p><strong>FLP</strong></p>
<p><strong>Spec</strong></p></td>
<td><strong>FLO</strong></td>
<td><strong>FLOT*</strong></td>
<td><strong>COT*</strong></td>
<td><strong>COR</strong></td>
</tr>
<tr class="even">
<td>Ensure that payment amounts are accurate and applications are
complete with no more than 2‑3 exceptions.</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td>X</td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td>X</td>
<td></td>
</tr>
<tr class="odd">
<td>Ensure transactions or other assigned work is accurate and complete
with no more than 1-2 exceptions.</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Ensure that reviews are conducted and reports are filed and
submitted within established timeframes with no more than 1-2
exceptions.</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
</tr>
<tr class="odd">
<td>Ensure that IDP’s are linked to SED goals within established
timeframes with no more than 1-2 exceptions.</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
<tr class="even">
<td>Ensure payment amounts received are accurately applied to the
correct accounts within established timeframes with no more than
1‑2 exceptions.</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td>X</td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
</tr>
</tbody>
</table>

> **\***The objectives for FLOT's, COT's, and SCEP's should:

-   describe the training programs being participated in

-   **not** be the same as FLO and CED objectives.

> **Examples:**

-   COT's shall ensure payment amounts are accurate and applications are
    complete in trainee status with no more than 5-6 exceptions.

-   FLOT's shall ensure processing of loans within the State's
    established goals in trainee status with no more than 5-6
    exceptions.

-   SCEP (FLP's) shall ensure processing of loans within the State's
    established goals in trainee status with no more than 5-6
    exceptions.

-   SCEP (FP's) shall ensure that payment amounts are accurate and
    applications are complete in trainee status with no more than
    5‑6 exceptions.

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 6**

Matrix of Possible Aligned Standards (Continued)

The following are administrative positions.

+-----------------------------------+----------------------------------+
| -   Administrative Officers       | -   Contracting and Procurement: |
|     (AO's)/ Administrative        |                                  |
|     Specialists (see Page 1)      | -   Contracting Specialists      |
|                                   |                                  |
| -   Administrative/Management     | -   Procurement Specialists      |
|     Services:                     |                                  |
|                                   | -   Purchasing Agents            |
| ```{=html}                        |                                  |
| <!-- -->                          | -   EEO/Diversity Specialists,   |
| ```                               |     such as Outreach Coordinator |
| -   Mail Clerks                   |                                  |
|                                   | ```{=html}                       |
| -   Print Shop Technicians        | <!-- -->                         |
|                                   | ```                              |
| -   Program Managers              | -   Human Resource Specialists   |
|                                   |                                  |
| -   Public Relations Specialists  | ```{=html}                       |
|                                   | <!-- -->                         |
| -   SED Secretary                 | ```                              |
|                                   | -   Real Estate Appraisers.      |
+-----------------------------------+----------------------------------+

+----------------+----------+-----+-----+----------+--------+-------+
| Standard       | Human    | E   | Bud | Adminis  | Contr  | Real  |
|                |          | EO/ | get | trative/ | acting | E     |
|                | R        | Div |     | Ma       | and    | state |
|                | esources | ers |     | nagement |        |       |
|                | (i       | ity |     | Services | Procu  | Appra |
|                | ncluding |     |     |          | rement | isals |
|                | Admini   |     |     |          |        |       |
|                | strative |     |     |          |        |       |
|                | Tech     |     |     |          |        |       |
|                | nicians) |     |     |          |        |       |
+================+==========+=====+=====+==========+========+=======+
| Ensure that    | X        |     |     |          |        |       |
| individual     |          |     |     |          |        |       |
| AD‑435A's and  |          |     |     |          |        |       |
| AD‑435B's are  |          |     |     |          |        |       |
| linked to SED  |          |     |     |          |        |       |
| goals within   |          |     |     |          |        |       |
| established    |          |     |     |          |        |       |
| timeframes     |          |     |     |          |        |       |
| with no more   |          |     |     |          |        |       |
| than 1-2       |          |     |     |          |        |       |
| exceptions.    |          |     |     |          |        |       |
+----------------+----------+-----+-----+----------+--------+-------+
| Ensure that    | X        |     |     |          |        |       |
| all personnel  |          |     |     |          |        |       |
| actions are    |          |     |     |          |        |       |
| processed      |          |     |     |          |        |       |
| accurately and |          |     |     |          |        |       |
| within         |          |     |     |          |        |       |
| established    |          |     |     |          |        |       |
| timeframes     |          |     |     |          |        |       |
| with no more   |          |     |     |          |        |       |
| than 1-2       |          |     |     |          |        |       |
| exceptions.    |          |     |     |          |        |       |
+----------------+----------+-----+-----+----------+--------+-------+
| Ensure that    | X        |     |     |          |        |       |
| staffing       |          |     |     |          |        |       |
| levels support |          |     |     |          |        |       |
| the mission    |          |     |     |          |        |       |
| and are within |          |     |     |          |        |       |
| the given      |          |     |     |          |        |       |
| staffing       |          |     |     |          |        |       |
| ceilings with  |          |     |     |          |        |       |
| no more than   |          |     |     |          |        |       |
| 1-2            |          |     |     |          |        |       |
| exceptions.    |          |     |     |          |        |       |
+----------------+----------+-----+-----+----------+--------+-------+
| Increasing the |          | X   |     |          |        |       |
| number of      |          |     |     |          |        |       |
| outreach       |          |     |     |          |        |       |
| meetings by    |          |     |     |          |        |       |
| 10 percent to  |          |     |     |          |        |       |
| enhance        |          |     |     |          |        |       |
| awareness.     |          |     |     |          |        |       |
+----------------+----------+-----+-----+----------+--------+-------+

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 6**

Matrix of Possible Aligned Standards (Continued)

<table>
<colgroup>
<col style="width: 24%" />
<col style="width: 0%" />
<col style="width: 16%" />
<col style="width: 0%" />
<col style="width: 9%" />
<col style="width: 0%" />
<col style="width: 7%" />
<col style="width: 0%" />
<col style="width: 16%" />
<col style="width: 0%" />
<col style="width: 14%" />
<col style="width: 11%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2">Standard</td>
<td colspan="2"><p>Human</p>
<p>Resources (including Administrative Technicians)</p></td>
<td colspan="2">EEO/ Diversity</td>
<td colspan="2">Budget</td>
<td colspan="2">Administrative/ Management Services</td>
<td><p>Contracting and</p>
<p>Procurement</p></td>
<td><p>Real Estate</p>
<p>Appraisals</p></td>
</tr>
<tr class="even">
<td>Ensure that budget expenditures are within approved allocation with
no more than 1-2 exceptions.</td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2">X</td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td>Process requests within established timeframes with no more than
2‑3 exceptions.</td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2">X</td>
<td colspan="2">X</td>
<td></td>
</tr>
<tr class="even">
<td>Contracting. Meet Federal contracting regulations with respect to
processing, follow-through, and life span with no more than
1‑2 exceptions.</td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2">X</td>
<td></td>
</tr>
<tr class="odd">
<td>Ensure that high quality appraisals get done within established
timeframes with no more than 1‑2 exceptions.</td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td>X</td>
</tr>
</tbody>
</table>

9-19-07 **Page 4**

**Notice PM-2606 Exhibit 7**

**SED Performance Plan - Program Management - Element 5**

**Alignment:**

> The following results-focused standards align with USDA Strategic Goal
> 2, \"Enhance the Competitiveness and Sustainability of Rural and Farm
> Economies\", Strategic Objective 2.3, \"Provide Risk Management and
> Financial Tools to Farmers and Ranchers\" and/or with USDA Goal
> \"Management Initiatives\", USDA Objective \"Improve Human Capital
> Management\" in the USDA Strategic Plan, and with FSA Strategic Goal
> 1, \"Supporting Productive Farms and Ranches\", Strategic Objective
> 1.1, \"Improving Access to Capital\" and/or Strategic Objective 1.2,
> \"Mitigating Market Losses\" and/or FSA Goal \"Cross-cutting
> Management Objectives\", Objective 2, Strategically Managing Human
> Capital\" in the FSA Strategic Plan:

**Standards:**

A. Farm Loan Program

> Loan Making (Detailed goals are attached)
>
> 1\. Reduces first year delinquency rates on new loans.
>
> 2\. Increases lending to minorities, women and beginning farmers.
>
> 3\. Reduces direct loan processing time.
>
> 4\. Reduces guaranteed loan processing time.
>
> Loan Servicing (Detailed goals are attached)
>
> 1\. Reduce direct loan delinquency rate.
>
> 2\. Reduce direct loan loss rate.
>
> 3\. Reduce guaranteed loan loss rate.
>
> 4\. Reduce guaranteed loan delinquency rate.

B. Farm Programs (Also see attachment)

> 1\. Ensures that software deployed to field will be loaded within 3
> days of receipt.
>
> 2\. Meets reporting deadlines, with accurate information, for reports
> established by Deputy Administrator for Farm Programs (DAFP). Deputy
> Administrator for Field Operations (DAFO) or the Administrator (AO).
>
> 3\. Submits complete case files when making requests to DAFP.
>
> Ensures that State Committees receive proper guidance from State
> Office personnel in program appeal cases.
>
> **Result:**
>
> The acheivement of these standards will result in more competitive,
> sustainable and productive farms and ranches, and a more efficient and
> effective management of the agency\'s human capital.

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 8**

**Example AD-435**

> The following is an example of AD-435.
>
> ![](media/image38.png){width="6.14375in" height="8.001388888888888in"}

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element**

**A Nonsupervisory Equal Opportunity and Civil Rights**

**Standard:**

> Attends 2-4 optional EEO/AA/Diversity information sessions
> provided/scheduled by supervisor.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Attended 6 optional EEO/AA/Diversity information sessions. Also, after
> each session, gave a voluntary briefing to colleagues on the content
> of each session.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Attended 3 optional EEO/AA/Diversity information sessions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not attend any optional EEO/AA/Diversity information sessions.

**Standard:**

> Consistently treats customers/producers with respect, fairness, and
> politeness including SDA, females, and persons with disabilities with
> no more than 1-2 complaints.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Consistently treated customers/producers with respect, fairness, and
> politeness, receiving no complaints. In addition, received 3
> compliments from customers on fairness of treatment.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Consistently treated customers/producers with respect, fairness, and
> politeness including SDA, females, and persons with disabilities with
> only 2 complaints, 1 of which was not substantiated.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Received 4 substantiated complaints about not treating customers with
> respect, fairness, and politeness.

9-19-07 **Page 1**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

**B Supervisory Equal Opportunity and Civil Rights**

**Standard:**

> Ensures that 95-99 percent of employees have measurable civil rights
> performance standards in their annual performance plans within
> established timeframes.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Ensured that all employees had measurable civil rights performance
> standards in their annual performance plans. This was accomplished 4
> days ahead of the established timeframes.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> 95 percent of employees had measurable civil rights performance
> standards in their annual performance plans within the established
> timeframes.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Only 75 percent of employees had measurable civil rights performance
> standards in their annual performance plans within established
> timeframes.

**Standard:**

> Responds to issues/actions/allegations according to FSA procedures and
> within established timeframes with only 1-3 approved exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Responded to issues/actions/allegations according to FSA procedures
> and within established timeframes every time. In addition, received 3
> compliments from customers on handling of issues.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Responded to issues/actions/allegations according to FSA procedures
> and within established timeframes with only 1 approved exception.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not respond to any of the 6 issues/actions/allegations which were
> raised according to FSA procedures and within established timeframes.

9-19-07 **Page 2**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

**C Communications**

**Standard:**

> Communicates clearly with producers and shares accurate information
> with only 3-5 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Communicated clearly with producers and shared accurate information
> every time. In addition, 3 compliments were received from producers on
> clarity of communications.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Communicated clearly with producers and shared accurate information
> with only 4 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not communicate clearly with producers nor share accurate
> information. Received 7 complaints and no compliments on clarity of
> communications and accuracy of information shared.

**Standard:**

> Prepares written documents that are clear, concise, and understandable
> as well as following prescribed procedures within established
> timeframes with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Prepared written documents that were clear, concise, and
> understandable every time. In addition, more than half of documents
> submitted were a week or more ahead of the established timeframes.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Prepared written documents that were clear, concise, and
> understandable as well as following prescribed procedures within
> established timeframes with only 1 exception.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not prepare written documents that were clear, concise, and
> understandable as well as following prescribed procedures 15 times.
> Also, 12 documents were not within established timeframes.

9-19-07 **Page 3**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

**D Customer Service**

**Standard:**

> Responds to customer questions accurately and according to procedures
> with only 2-4 valid complaints. Responds by at least acknowledging
> receipt of an inquiry as soon as possible, but within 24 hours with
> only 4-6 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Responded to customer questions accurately and according to procedures
> every time. Responded by at least acknowledging receipt of an inquiry
> within 24 hours every time. In addition, received 4 positive comments
> from customers on quality of service provided.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Responded to customer questions accurately and according to procedures
> with only 2 valid complaints. Responded by at least acknowledging
> receipt of an inquiry as soon as possible, but within 24 hours with
> only 4 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Responded to customer questions accurately and according to procedures
> with 6 valid complaints. Responded by at least acknowledging receipt
> of an inquiry within 24 hours with 8 exceptions.

**Standard:**

> Provides program benefit information to producers and other customers;
> such as, newsletters, counter information, producer meetings, producer
> organizations, newspaper articles, and radio announcements within
> established timeframes with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Provided program benefit information to producers and other customers;
> such as, newsletters, counter information, producer meetings, producer
> organizations, newspaper articles, and radio announcements within
> established timeframes every time. In addition, received 6 positive
> comments from customers on relevance and quality of information
> provided.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Provided program benefit information to producers and other customers;
> such as, newsletters, counter information, producer meetings, producer
> organizations, newspaper articles, and radio announcements within
> established timeframes with only 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Provided program benefit information to producers and other customers;
> such as, newsletters, counter information, producer meetings, producer
> organizations, newspaper articles, and radio announcements within
> established timeframes with 6 documented exceptions.

9-19-07 **Page 4**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

**E Execution of Duties**

**Standard:**

> Prepares reports required with duties that are accurate and complete
> within established timeframes with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Prepared reports required with duties that were accurate and complete
> every time. In addition, almost half of reports were submitted 4 days
> or more ahead of established timeframes.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Prepared reports required with duties that were accurate and complete
> within established timeframes with only 3 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not prepare any reports required with duties that were accurate
> and complete within established timeframes.

**Standard:**

> Deposits and processes payments within 24 hours of receipt according
> to FSA policy with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Deposited and processed payments within 24 hours of receipt according
> to FSA policy without exception. Most deposits were made within 12
> hours of receipt.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Deposited and processed payments within 24 hours of receipt according
> to FSA policy with only 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Deposited and processed payments within 24 hours of receipt according
> to FSA policy with 6 exceptions.

9-19-07 **Page 5**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **F Individual Contributions to the Team**

**Standard:**

> Regularly cooperates with coworkers and others in meeting commitments
> and accomplishing assigned work on time; such as, sharing information
> freely with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Without exception, regularly cooperated with coworkers and others in
> meeting commitments and accomplishing assigned work on time; such as,
> sharing information freely. Also, numerous comments received from
> coworkers on quality of cooperation.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Regularly cooperated with coworkers and others in meeting commitments
> and accomplishing assigned work on time; such as, sharing information
> freely with only 1 exception.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Cooperated with coworkers and others in meeting commitments and
> accomplishing assigned work on time; such as, sharing information
> freely with 5 exceptions. Also, received 4 complaints from coworkers
> on quality of cooperation.

**Standard:**

> Responds constructively to feedback within 24 hours, seeking ways to
> improve with no more than 1-2 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Responded constructively to feedback within 24 hours, seeking ways to
> improve without exception. In addition, actively worked with those
> providing feedback to improve self.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Responded constructively to feedback within 24 hours, seeking ways to
> improve with 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not respond constructively to feedback on any occasion. On 3
> occasions, acted in a negative manner to person giving feedback.

9-19-07 **Page 6**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **G Program Management**

**Standard:**

> Ensures that reviews are conducted and reports are filed and submitted
> within established timeframes with no more than 1-2 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Ensured that reviews were conducted and reports were filed and
> submitted within established timeframes with no exceptions. More than
> half of reviews were submitted 2 days or more before the established
> timeframe.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Ensured that reviews were conducted and reports were filed and
> submitted within established timeframes with 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Ensured that reviews were conducted and reports were filed and
> submitted within established timeframes with 8 exceptions.

**Standard:**

> Ensures that applications for benefits are processed within required
> timeframes with no more than 1-2 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Ensured that applications for benefits were processed within required
> timeframes every time. Three quarters of applications were processed
> well within established timeframes.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Ensured that applications for benefits were processed within required
> timeframes with 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Applications for benefits were processed within required timeframes
> with 6exceptions.

9-19-07 **Page 7**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **H Research and Analysis**

**Standard:**

> Asks questions for clarification and makes suggestions for
> implementation within the timeframes established by management with no
> more than 2-4 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Always asked questions for clarification and made suggestions for
> implementation within the timeframes established by management. Often
> made suggestions for improvement ahead of time.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Asked questions for clarification and made suggestions for
> implementation within the timeframes established by management with 3
> exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Rarely asked questions for clarification and never made suggestions
> for implementation within the timeframes established by management.

**Standard:**

> Conducts research and gathers data in response to legal issues and
> other assignments that are complete, accurate, and relevant within
> established timeframes with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Conducted research and gathered data in response to legal issues and
> other assignments that were complete, accurate, and relevant within
> established timeframes without exception. On 4 occasions, data
> provided was outstanding in nature.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Conducted research and gathered data in response to legal issues and
> other assignments that were complete, accurate, and relevant within
> established timeframes with 2 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Research conducted and data gathered in response to legal issues and
> other assignments was almost never complete, accurate, and relevant.
> More than half of work was submitted after established timeframes.

9-19-07 **Page 8**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **I Resource Management**

**Standard:**

> Ensures that travel, training, and other administrative forms are
> properly completed, timely, and followed-up to ensure proper
> processing with only 1-3 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Ensured that travel, training, and other administrative forms were
> properly completed, timely, and followed-up to ensure proper
> processing without exception. Almost half of administrative forms were
> submitted for processing well ahead of deadlines.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Ensured that travel, training, and other administrative forms were
> properly completed, timely, and followed-up to ensure proper
> processing with 3 exceptions.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Rarely ensured that travel, training, and other administrative forms
> were properly completed, timely, and never followed-up to ensure
> proper processing. In addition, received 4 complaints about quality
> and/or timeliness of forms delivered.

**Standard:**

> Plans projects or other assignments, monitors, and completes projects
> or assignments within schedule and quality goals 90-98 percent of the
> time.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Planned projects or other assignments, monitored, and completed
> projects or assignments within schedule and quality goals 99 percent
> of the time.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Planned projects or other assignments, monitored, and completed
> projects or assignments within schedule and quality goals 92 percent
> of the time.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Planned projects or other assignments, monitored, and completed
> projects or assignments within schedule and quality goals 80 percent
> of the time.

9-19-07 **Page 9**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **J Supervision**

**Standard:**

> Prioritizes work of staff to deal with workload shifts and to ensure
> that mission-critical work is accomplished with 90-98 percent
> accuracy.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Prioritized work of staff to deal with workload shifts and to ensure
> that mission-critical work was accomplished with 99 percent accuracy.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Prioritized work of staff to deal with workload shifts and to ensure
> that mission-critical work was accomplished with 94 percent accuracy.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Prioritized work of staff to deal with workload shifts and to ensure
> that mission-critical work was accomplished with 85 percent accuracy.

**Standard:**

> Ensures that all employees receive required training within
> established timeframes with no more than 1-2 exceptions.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Ensured that all employees receive required training within
> established timeframes without exception. All but 1 employee received
> required training 1 month or more ahead of established timeframes.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Ensured that all employees receive required training within
> established timeframes with 1 exception.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Did not ensure that all employees received required training within
> established timeframes with no more than 1-2 exceptions. No employees
> received required training.

9-19-07 **Page 10**

**Notice PM-2606 Exhibit 9**

**Examples of Additional Documentation for Each Element (Continued)**

> **K Team Leadership**

**Standard:**

> Provides leadership or oversees subordinate or co-workers' work and
> achieves desired results 85‑95 percent of the time.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Provided leadership or oversaw subordinate or co-workers' work and
> achieved desired results 99 percent of the time.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Provided leadership or oversaw subordinate or co-workers' work and
> achieved desired results 90 percent of the time.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Provided leadership or oversaw subordinate or co-workers' work and
> achieved desired results 75 percent of the time.

**Standard:**

> Demonstrates collaborative efforts between farm programs and farm loan
> programs by ensuring team regularly shares information and provides
> other support on a daily basis with no more than 5‑7 exceptions. Joint
> staff meetings will be held on a regular basis as established by
> management with no more than 1-2 exceptions, frequency of the meetings
> must be established in writing.
>
> **Documentation to justify an Exceeds Fully Successful rating:**
>
> Demonstrated collaborative efforts between farm programs and farm loan
> programs by ensuring team regularly shared information and provided
> other support on a daily basis without exception. Joint staff meetings
> were held on a regular basis as established by management without
> exception, and frequency of the meetings was established in writing.
>
> **Documentation to justify a Meets Fully Successful rating:**
>
> Demonstrated collaborative efforts between farm programs and farm loan
> programs by ensuring team regularly shared information and provided
> other support on a daily basis with 6 exceptions. Joint staff meetings
> were held on a regular basis as established by management with 1
> exception, and frequency of the meetings was established in writing.
>
> **Documentation to justify a Does Not Meet Fully Successful rating:**
>
> Demonstrated collaborative efforts between farm programs and farm loan
> programs by ensuring team regularly shared information and provided
> other support on a daily basis with 12 exceptions. Joint staff
> meetings were not held on a regular basis as established by
> management, and frequency of the meetings was not established in
> writing.

9-19-07 **Page 11**