**Department of the Interior**

**Departmental Manual**

**Effective Date:** September 10, 2006

**Series**: Personnel Management

**Part 370**: Departmental Personnel Program

**Chapter 430**: Performance Management System -- DOI Beta Site

**Originating Office**: Office of Human Resources

**370 DM 430**

1.1 **Purpose**. This chapter establishes the policy, procedures, and
authority/responsibility for performance management within the
Department of the Interior (Department) Beta Site, and implements a
5-level Performance Management System, consisting of the following
levels of performance: Exceptional (Level 5), Superior (Level 4), Fully
Successful (Level 3), Minimally Successful (Level 2), and Unsatisfactory
(Level 1).

1.2 **Authority**. Chapter 43 of Title 5, United States Code and Part
430 of Title 5, Code of Federal Regulation.

1.3 **Coverage.**

A. This system applies to all Bureau of Land Management (BLM) employees
within the Department. BLM will not issue supplemental performance
management policy, except where otherwise prescribed in this policy.
Bureaus may issue supplemental implementing guidance which has been
reviewed and approved by the Department's Office of Human Resources.

B. The provisions of this system apply to all employees except:

\(1\) Presidential appointees, Senior Executive Service (SES) members,
Senior Level and Scientific or Professional (SL/ST) employees;

\(2\) Temporary and/or Excepted service employees whose employment is
not expected to exceed 120 days in a consecutive 12-month period;

\(3\) Employees outside the United States who are paid in accordance
with local prevailing wage rates, administrative law judges appointed
under 5 U.S.C. 3105, Board of Contract Appeals judges appointed under 41
U.S.C. 607, and employees occupying positions excluded by Office of
Personnel Management regulations.

1.4 **Definitions.**

A. [Appraisal]{.underline}. The process of reviewing and evaluating
work, and assessing achievement of established objectives.

#  B. Appraisal Period. Also called the appraisal or rating cycle, this is the established 12-month period of time during which performance is reviewed and a rating of record prepared. The DOI Beta Site appraisal period will coincide with the fiscal year. 

# 

#  C. Benchmark/Generic Standards. Generically defined performance standards at each of the 5 levels, which may be used in combination with individually developed performance standards. The benchmark standards are applied to each critical job element, and if used, MUST be augmented with specific, measurable criteria that describe the Fully Successful and Exceptional levels. Separate benchmark standards have been developed for the mandatory supervisory element, and those standards do not need to be augmented with specific measurable criteria.

# 

#  D. Critical Element. A work assignment or responsibility of such importance that unsatisfactory performance on the element would result in a determination that an employee's overall performance is unsatisfactory.

# 

#  E. Employee Performance Appraisal Plan (EPAP). A written plan consisting of identified critical elements and the performance standards that identify levels of performance. 

# 

#  F. Human Capital Performance Fund (HCPF). A fund administered by the Office of Personnel Management to be used by federal agencies to give performance-based salary increases to their highest-performing employees. 

# 

#  G. Interim Appraisal. A written appraisal that includes a summary rating, prepared when an employee, who has been under an EPAP for at least 90 days, changes position or when the rating official leaves the supervisory position prior to the end of the appraisal period.

# 

H. [Mandatory Supervisory Critical Element.]{.underline} The generic
critical element that must be used in all supervisory performance plans.
This mandatory element must be applied as written and cannot be
modified.

#  I. Minimum Appraisal Period. The length of time, 90 calendar days, that the employee must be performing in a position supervised by the rating official and under an approved performance plan in order to be eligible for an interim or annual appraisal. 

# 

#  J. Performance. The manner in which the employee accomplishes work assignments or responsibilities.

# 

#  K. Performance Award. A Quality Step Increase, performance-based cash award, or time-off award based on an employee's rating of record.

# 

#  L. Performance Element. A primary function or work assignment/responsibility, which is results-oriented, represents a significant amount of the employee's time, and successful performance of which is essential to overall success in the position. At least one, and not more than five (5) performance elements, all of which must be critical elements, will be identified in the performance plan. (There are no non-critical elements). At least one, and preferably all, of the performance elements must identify the specific GPRA or other strategic goal of the organization to which the element is linked.

#  

#  M. Performance Improvement Plan (PIP). A written plan that identifies the critical element(s) in which the employee is failing, addresses what is needed to bring performance up to an acceptable level, identifies assistance that will be provided, and the consequences of failing to improve during the specific period of time provided.

# 

#  N. Performance Plan. A written plan consisting of identified performance elements and the performance standards that identify levels of performance.

# 

#  O. Performance Rating. The written appraisal of performance compared to the performance standard(s) for each critical element for which there has been an opportunity to perform during the minimum rating period. It includes a rating for each performance element, as well as a summary rating which will be used as a rating of record. Also, referred to as a summary rating.

# 

#  P. Performance Standard. The expression of the performance threshold(s), requirement(s), or expectation(s) that must be met to be appraised on a critical element at a particular level of performance. The Fully Successful and Exceptional standards must be described, for each element, in terms of specific, measurable criteria.

# 

#  Q. Progress Review. Discussion with the employee, which must occur at least once during the appraisal period to review the employee's progress and communicate performance on the identified elements as compared to the standards established; to make any recommended revisions to critical elements/performance standards; and to consider/identify any developmental needs or performance improvements required. The results of the progress review must be documented on the EPAP.

# 

#  R. Rating Official. The supervising official, ordinarily the employee's immediate supervisor, who evaluates the employee's performance and assigns the rating of record.

# 

#  S. Rating of Record. The performance rating prepared at the end of an appraisal period for overall performance over the entire period and the assignment of a summary rating as specified in section 430.208(d) of Title 5, Code of Federal Regulations. The Rating of Record, also called a summary rating, will be one of the five available ratings (i.e., Exceptional, Superior, Fully successful, Minimally Successful, or Unsatisfactory). 

# 

#  T. Reviewing Official. The individual, generally the second-level supervisor, with authority to review and approve ratings at the Exceptional, Minimally Successful, and Unsatisfactory levels.

# 

1.5 **Responsibilities.**

#  A. Heads of Bureaus and Offices are Responsible for:

# 

#  (1) Implementing, supporting and communicating information to employees about the Departmental performance management program;

# 

#  (2) Establishing a method for an employee not covered by a collective bargaining agreement to request reconsideration of a performance appraisal decision; and

# 

#  (3) Establishing any additional roles and responsibilities for reviewing officials within the bureau/office other than those outlined in this policy.

# 

#  B. Director, Office of Human Resources is Responsible for:

# 

#  (1) Developing Departmental performance management policy; and issuing guidance in the Performance Appraisal Handbook.

# 

#  (2) Monitoring, evaluating and revising the performance management program as necessary;

# 

#  (3) Providing advice and assistance to bureaus/offices in administering the program; and

# 

#  (4) Evaluating the Departmental performance management program.

# 

#  C. Servicing Human Resources Offices (HRO) are Responsible for:

# 

#  (1) Providing assistance to supervisors and employees in identifying critical elements and developing performance standards;

\(2\) Providing guidance to supervisors so they can effectively carry
out their responsibilities for managing performance;

\(3\) Providing information to employees to ensure they understand the
provisions of the performance management system;

\(4\) Providing assistance to supervisors/managers in dealing with the
reconsideration process;

\(5\) Providing assistance to supervisors on procedures for dealing with
performance that falls below the Fully Successful level;

> \(6\) Developing a process for monitoring and tracking progress
> reviews and end-of-year ratings; and

\(7\) Providing guidance and assistance to supervisors/managers on
annual mandatory training of all supervisors and employees in
performance management.

D. [Reviewing Officials are Responsible for]{.underline}:

\(1\) Reviewing and approving ratings of 'Exceptional,' 'Minimally
Successful,' and 'Unsatisfactory;' and

\(2\) Carrying out any other responsibilities as outlined by the
Bureau/Office Head.

#  E. Rating Officials are Responsible for:

\(1\) Engaging the employee in the process of determining critical
elements and performance standards, documenting the elements and
performance standards in a performance plan within 60 days of the
beginning of the appraisal period, the employee's entrance on duty, the
assignment of an employee to a detail or temporary promotion scheduled
to exceed 120 days, the assignment of an employee to a new position, or
their assignment to a new or different supervisory position;

\(2\) Ensuring that each employee's performance plan has at least one
critical element, and preferably all, that link to strategic goal(s) of
the organization. Rating officials should determine which appropriate
Government Performance Results Act (GPRA)/mission strategic goal(s), end
outcome goal(s), end outcome performance measure(s), strategies, or
strategy performance measure(s) to utilize for developing the critical
element and standards in each employee's performance plan.

\(3\) Monitoring employee performance during the appraisal period and
communicating with employees on an ongoing basis about the status of
their performance as compared to the performance standards;

\(4\) Monitoring their subordinate supervisors throughout the
performance year to ensure that they are effectively managing the
performance of their staffs (e.g., setting performance and conducting
progress reviews by established deadlines), and taking immediate
corrective action when subordinate supervisors fail to fulfill their
supervisory obligations.

\(4\) Conducting at least one progress review for each employee at
approximately the midpoint of the rating period to assess progress and
communicate performance;

\(5\) As appropriate, obtaining and utilizing feedback from internal and
external customers, team members, coworkers, suppliers, or other
appropriate individuals, concerning the employee's performance;

\(6\) Assisting the employee throughout the appraisal period in
improving aspects of performance identified as needing improvement;

\(7\) Preparing interim ratings, as necessary;

\(8\) Preparing the rating of record and meeting with the employee to
discuss the rating and employee developmental needs;

\(9\) Recognizing employees who demonstrate noteworthy performance and
ensuring equity and consistency in consideration for awards within their
organization;

\(10\) Advising the Reviewing Official and seeking advice from the
servicing human resources office when an employee's performance is
Minimally Successful or Unsatisfactory (i.e., Minimally Successful
results in denial of within-grade increase, Unsatisfactory initiates
Performance Improvement Plan and opportunity period); and

\(11\) Initiating prompt action when Minimally Successful or
Unsatisfactory performance does not improve to the Fully Successful
level.

\(12\) Ensuring that every employee receives performance management
training annually.

#  F. Employees are Responsible for:

# 

\(1\) Participating with their rating official in determining critical
elements;

\(2\) Assuring that they have a clear understanding of their rating
official's expectations, and of how the critical elements relate to the
mission of the organization; and requesting clarification if necessary;

\(3\) Signing for receipt of the performance standards and completed
performance appraisal (signature indicates receipt only, not necessarily
agreement);

\(4\) Managing their performance to achieve at least fully successful
performance on critical elements and bringing to their rating official's
attention circumstances that may affect achievement of fully successful
performance;

\(5\) Seeking performance feedback from their rating official and
internal and external customers as appropriate;

\(6\) Participating in discussions of their performance; and

\(7\) Taking action to improve aspects of performance identified as
needing improvement.

1.6 **Policy.**

#  A. General. It is Department of the Interior policy that the objective of performance management is to articulate the expectations of individual and organizational performance, to provide a meaningful process by which employees can be rewarded for noteworthy contributions to the organization and its mission, and provide a mechanism to improve individual/organizational performance as necessary. In accomplishing these objectives, individual and organizational goals will be communicated to employees, such that the individual understands how his/her job responsibilities and requirements support the overall strategic mission and GPRA goals of the Department, bureau/office, and/or work unit. The individual's responsibility for accomplishing organizational goals will be identified, performance will be monitored and evaluated, and the results of the performance rating will be used as a basis for appropriate personnel actions, including rewarding noteworthy performance and taking action to improve poor performance. 

#  

B. [Development of Employee Performance Appraisal Plans
(EPAP)]{.underline}.

\(1\) [Employee Participation]{.underline}. Rating officials must
solicit and facilitate employee participation in establishing the
critical elements and performance standards for their positions in order
to give them a clearer understanding of their performance expectations,
as well as the role their positions play in meeting the mission, goals
and objectives of their organization. However, the final decision
regarding critical elements and standards always rests with the
management official.

\(2\) [Timing]{.underline}. Employee performance appraisal plans should
be established and put in place within 60 days of the beginning of the
appraisal period, the employee's entrance on duty, the assignment of an
employee to a detail or temporary promotion scheduled to exceed 120
days, the assignment of an employee to a new position, or their
assignment to a new or different supervisory position.

\(3\) [Number of Elements]{.underline}. At least one and not more than
five (5) critical elements will be identified in the performance plan.

\(4\) [Mandatory Elements]{.underline}.

\(a\) [Supervisors/Managers]{.underline}: Performance plans for all
supervisors and managers shall include the following critical element
(one of the maximum of 5 elements)**: *Management Excellence:
****Performance of supervisory/managerial duties will be carried out in
accordance with regulatory requirements governing the following areas:*

*(i) Diversity/EEO Obligations;*

*(ii) Internal management controls;*

*(iii) Merit Systems Principles;*

*(iv) Safety and Occupational Health obligations;*

*(v) Effective performance management; and*

*(vi) Effective management of ethics, conduct & discipline issues.*

[Employee and Customer Perspective:]{.underline} Performance plans for
supervisors/managers must also include measures of employee and customer
perspectives. Measures for both employee and customer perspectives have
been incorporated into the supervisory benchmark standards. This
mandatory supervisory critical element and the benchmark standards
(attached) are to be used as developed without any further augmentation.

*(1)* (b) [Strategic Mission Goals]{.underline}: Performance plans shall
have at least one performance element, and preferably all, that link to
strategic goal(s) of the organization. Critical element(s) and
standard(s) will be developed based on the appropriate GPRA/mission
strategic goal(s), end outcome goal(s), end outcome performance
measure(s), strategies, or strategy performance measure(s) as they
relate to the job responsibilities of the individual employee.

\(c\) [Other]{.underline}: Some positions, because of the unique nature
of their job responsibilities, have specific mandates from higher
regulatory authority for critical elements to be included in the
performance plan (i.e., FISMA). Supervisors should be aware of those
regulatory requirements and ensure that the mandatory criterion is
adequately addressed as a critical element in the employee's performance
plan. No mandatory critical elements for the general workforce can be
prescribed other than those described herein. Additionally, caution
should be taken to avoid including in performance plans issues that are
conduct in nature, such as credit card misuse and adhering to safety
rules. These issues should be dealt with by utilizing the conduct and
discipline instruction, 370DM752.

\(5\) [Standards]{.underline}: Performance standards must be focused on
results and must include credible measures such as quality, quantity,
timeliness, cost effectiveness, etc. Benchmark standards for each of the
5 possible levels of performance are described in detail in the DOI
Performance Appraisal Handbook. These benchmark standards can be applied
to every position, but must be augmented at the Fully Successful and
Exceptional levels with specific, measurable standards that describe the
results expected.

\(6\) [.Review and Approval]{.underline}: Critical elements and
performance standards are established and approved by the employee's
rating official, and no higher level review is required. BLM
[may]{.underline} establish second-level review/approval procedures at
their discretion.

\(f\) [Training:]{.underline} All supervisors, managers and employees
will be required to receive training annually in performance management.
Servicing HROs will assist supervisors and managers in accomplishing
this requirement.

# 

#  C. Appraisal Period. The appraisal period is 12 months in length and based on the Fiscal Year - October 1 to September 30. Bureaus/offices must request approval from the Department's Office of Human Resources if a different appraisal period is required. The appraisal period may be extended up to 90 days past the normal end date for an employee if, on the normal end date of the appraisal period, the employee has not been under standards for at least 90 days, or is on a Performance Improvement Plan that will end within 90 days of the end of the normal period.

D. [Progress Reviews]{.underline}. While it is expected that Rating
Officials will provide employees with continuous informal feedback on
their performance as compared to the expectations set forth in the
performance plan, at least one mid-year performance review discussion is
required as defined in section 1.4.P. This review should be completed at
approximately the mid point of the appraisal year, but no later than 90
days prior to its end, and must be documented as provided on Part B of
the EPAP. More frequent progress reviews may be required by specific
policy (i.e., FISMA)

E. [Basis for Appraisal]{.underline}. A performance appraisal will be
based on individual employee performance for the 12-month period of the
rating cycle, including any details over 120 days. The rating official
may seek input from all appropriate sources to assist in determining the
appropriate rating to assign the employee. The rating official should
make a reasonable effort to obtain written input for details/temporary
assignments over 120 days.

F. [Minimum Rating Period]{.underline}. The minimum length of time that
an employee must be in a position supervised by the rating official and
under signed performance standards in order to receive a performance
rating is 90 calendar days.

G. [Ratings]{.underline}.

\(1\) [Organizational Assessment:]{.underline} Supervisors/managers will
consider their organizational accomplishments toward their identified
strategic, mission, and/or GPRA goals when evaluating each individual
employee's yearly performance. There should be a correlation between the
organization's accomplishment, as identified in the organizational
assessment, and the rating given to the employee on those critical
elements that are linked to strategic, mission or GPRA goals.

\(2\) [Numerical Levels for Critical Elements]{.underline}: A numerical
rating level is required for each critical element. Only one numerical
rating level is assigned for each critical element, regardless of the
number of sub-elements described. The rating assigned reflects the level
of the employee's performance as compared to the standards established.
The ratings assigned for each level are as follows:

  ---------------- --------------------------------------------- -------------
  ***Rating        ***Standard***                                ***Points
  Level***                                                       Assigned***

  Exceptional      Particularly excellent performance in all     5 points
                   aspects of the position that is of such high  
                   quality that organizational goals have been   
                   achieved that would not have been otherwise.  
                   (Refer to the Performance Appraisal Handbook  
                   for additional criteria.)                     

  Superior         Unusually good performance that exceeds       4 points
                   expectations in critical areas and exhibits a 
                   sustained support of organizational goals.    
                   (Refer to the Performance Appraisal Handbook  
                   for additional criteria.)                     

  Fully Successful Good, sound performance that meets            3 points
                   organizational goals. Employee effectively    
                   applies technical skills and organizational   
                   knowledge to get the job done. (Refer to the  
                   Performance Appraisal Handbook for additional 
                   criteria.)                                    

  Minimally        Performance shows serious deficiencies that   2 points
  Successful       require correction. Work is marginal and only 
                   meets the minimum requirements with close     
                   supervision. (Refer to the Performance        
                   Appraisal Handbook for additional criteria.)  

  Unsatisfactory   Quality and quantity of work are not adequate 0 points
                   for the position. Work products do not meet   
                   the minimum requirements expected. (Refer to  
                   the Performance Appraisal Handbook for        
                   additional criteria.)                         
  ---------------- --------------------------------------------- -------------

#  

\(3\) [Annual Summary Ratings]{.underline}:

\(a\) Numerical ratings for each critical element will be added
together, and the total will be divided by the number of critical
elements to get an average score. The summary rating will then be
assigned based on the following:

+---------------------------------------------+------------------------+
| ***Summary Rating Points***                 | ***Summary Rating***   |
+---------------------------------------------+------------------------+
| 4.6 -- 5.00 AND                             | Exceptional            |
|                                             |                        |
| No critical element rated lower than        |                        |
| 'Superior'                                  |                        |
+---------------------------------------------+------------------------+
| 3.6 -- 4.59 AND                             | Superior               |
|                                             |                        |
| No critical element rated lower than 'Fully |                        |
| Successful'                                 |                        |
+---------------------------------------------+------------------------+
| 3.0 -- 3.59 AND                             | Fully Successful       |
|                                             |                        |
| No critical element rated lower than 'Fully |                        |
| Successful'                                 |                        |
+---------------------------------------------+------------------------+
| 2.0 -- 2.99 AND                             | Minimally Successful   |
|                                             |                        |
| No critical element rated lower than        |                        |
| 'Minimally Successful'                      |                        |
+---------------------------------------------+------------------------+
| One or more critical elements rated         | Unsatisfactory         |
| 'Unsatisfactory'                            |                        |
+---------------------------------------------+------------------------+

\(b\) Each eligible employee on board as of the end of the rating cycle
each year will receive an annual summary rating which will become the
official rating of record for personnel decisions.

\(c\) The annual summary rating will be derived from an average of the
ratings from each of the critical elements making up the performance
plan. However, it should be noted that if an employee is rated
"Minimally Successful" on or more elements, the overall rating may NOT
be higher than "Minimally Successful" regardless of total points.
Similarly, if the employee is rated "Unsatisfactory" on one element, the
overall rating must be "Unsatisfactory" regardless of total points.

\(d\) If an employee is on detail or temporary assignment of less than
90 days at the time the annual rating is due, the rating official shall
be the employee's permanent supervisor of record. In the absence of that
official, the reviewing official will prepare the summary rating.

\(e\) Within 30 days following completion of the appraisal period
(including extensions, if applicable), the rating official **MUST**
review the performance of each employee based on previously communicated
critical elements and performance standards and prepare the annual
summary rating.

\(f\) Rating officials shall not assign employee ratings under any
pre-determined distribution system (such as bell curve). This is
contrary to the intent of the appraisal system and would interfere with
assigning ratings based on actual performance.

\(g\) If the rating official does not place an employee under standards
for at least 90 days during a rating period, the employee will not be
eligible for a rating. A presumptive rating may not be assigned. (5 CFR
§ 430.208(a);p(2)).

\(h\) If the supervisor of record leaves in the final 90 days of the
rating period, and the employee otherwise meets the criteria for rating,
the departing supervisor will prepare a summary rating for his/her
employees, which will serve as the rating of record for that rating
period.

\(i\) If an employee has not been supervised by the rating official for
90 days, the second-level supervisor may perform the rating.

\(4\) [Due Date of Annual Summary Ratings]{.underline}: Annual summary
ratings are to be completed and presented to the employee no later than
30 days after the completion of the annual appraisal period, or upon
completion of the 90-day rating extension period. The original ratings
will be submitted to the servicing HRO within 60 days following the end
of the rating period.

#  (5) Eligibility for Ratings: All permanent full-time and permanent part-time employees who for the last 90 days have been under established standards, and all temporary employees who have worked more than 120 days during the annual appraisal period ending on September 30 and for the last 90 days have been supervised by the same supervisor and covered by a performance plan are eligible for ratings. The annual appraisal period may be extended for up to a maximum of 90 days past the end of the appraisal period to allow for rating of employees who have not been in the same position, under the same supervisor, or under written performance plan for the full 90 days at the end of the appraisal year.

# 

#  (6) Interim Appraisals: 

#  

#  (a) Interim appraisals are assigned when an employee completes a detail or temporary promotion over 120 days or when an employee has served 90 days under a performance plan and changes positions during the annual appraisal period. Interim appraisals are also completed when the employee has been under the performance plan for at least 90 days and the supervisor leaves his/her supervisory position during the annual appraisal period. 

# 

#  (b) Interim appraisals are also used to document a level of competence determination for within-grade-increase purposes when the employee's most recent rating of record is not consistent with the level of competence determination. A rating for this purpose becomes the rating of record. 

# 

#  (c) A copy of the interim appraisal must be provided to the employee and, if applicable, to the new supervisor. Any interim appraisals are then used by the new supervisor in assigning an official annual summary rating. The weight given to interim appraisals in deriving the annual summary rating shall be proportional to their share of the appraisal period. If an employee does not have an opportunity to perform a critical element, no rating will be assigned and the words 'Not Rated' should be written on the rating form.

# 

#  (7) Narrative Summaries: A narrative summary must be written for each critical element assigned a rating of Exceptional, Minimally Successful, or Unsatisfactory, and are encouraged for ratings at all levels. This summary should contain examples of the employee's performance that substantiate and explain how the employee's performance falls within the levels assigned. The narrative summaries are recorded on the Employee Performance Appraisal Plan (EPAP).

#  (8) Discussion with Employee: 

# 

#  (a) After the rating is completed and approved/signed by the reviewing official, as required for Exceptional, Minimally Successful and Unsatisfactory ratings, the summary rating and narratives shall be discussed with the employee. A copy of the completed and signed appraisal will be provided to the employee and the original shall be forwarded to the servicing Human Resources Office (HRO) to be filed in the Employee Performance Folder (EPF).

\(b\) If the employee refuses to sign the rating, the supervisor
documents the refusal on the rating form. The supervisor retains a copy
of the rating and forwards the original to the servicing HRO for filing
in the EPF.

\(c\) An employee may submit written comments to the overall rating of
record, the element ratings and/or the narrative comments if they
desire. This may occur if an employee wishes to provide specific
information on noteworthy accomplishments that the rating official did
not mention, or if they have other comments that they wish to include as
part of the performance appraisal plan, if they disagree with a given
element rating that would not affect the outcome of the rating of
record, etc. This process may be utilized **ONLY WHEN THE EMPLOYEE IS
NOT CONTESTING THE RATING RECEIVED ON A GIVEN ELEMENT THAT, IF CHANGED,
WOULD AFFECT THE OUTCOME OF THE OVERALL RATING OF RECORD.** These
comments must be submitted within 30 days of receipt of the rating, and
will be filed with the completed performance appraisal in the EPF. They
will not change the rating of record as determined by the rating
official

\(9\) [Reconsideration of Summary Rating]{.underline}: When employees
have a concern about the rating given on a particular element that, if
changed, will affect the outcome of the rating of record, they are
entitled to request reconsideration of this rating through their
bureaus/offices reconsideration process. Employees covered by a
Collective Bargaining Agreement that includes a reconsideration
procedure will be governed by that procedure as the exclusive method to
request reconsideration. Additional information regarding the
reconsideration process is contained in the Performance Appraisal
Handbook.

\(10\) [Disposition of Records]{.underline}: Performance appraisals that
document ratings of record will be maintained in the EPF, in accordance
with 5 CFR § 293.405. The performance appraisals will be retained for 4
years. When an employee transfers to another agency, the employee's
performance appraisals for the last 4 years will be transferred to the
gaining agency.

## 1.7 Link to Other Personnel Actions.

## 

A. [Awards]{.underline}. An employee must be rated at Level 4 (Superior)
or Level 5 (Exceptional) to be eligible for a Performance-Based Cash
Award for sustained superior performance. Employees rated at Level 5
(Exceptional) must be considered for an award and are eligible for a
Quality Step Increase, a cash award for sustained superior performance,
an increase in base pay from the Human Capital Performance Fund, a
time-off award, or other appropriate recognition. Employees rated at
Level 4 (Superior) are eligible for a cash award for sustained superior
performance, a time-off award, or other appropriate recognition.

B. [Career-Ladder Promotions]{.underline}. An employee must be rated at
Level 3 (Fully Successful) or higher to receive a non­competitive
promotion to the next level in the career ladder.

C. [Within-in Grade Increases]{.underline}. An employee's rating of
record must be no lower than Level 3 (Fully Successful) for an employee
to receive a within-grade increase (WGI). This may require a supervisor
to prepare a new rating of record before the end of the appraisal period
to document the appropriate level of performance at the time the WGI is
due. Assistance must be requested from the servicing HRO.

D. [Probationary/Trial Periods]{.underline}. New employees must be
carefully observed during the probationary/trial period to determine
whether they have the qualities needed to become satisfactory career
employees. Proper use of periodic progress reviews to determine progress
during the probationary/trial period can do much to assure that these
employees have adequately demonstrated their qualifications and fitness.
However, an employee may be removed at any time during the
probationary/trial period if his/her performance is less than 'Fully
Successful' on any critical element.

E. [Performance That is Less Than Fully Successful]{.underline}.

\(1\) Whenever supervisors observe employee performance that is
'Unsatisfactory' on any critical element after the minimum appraisal
period, they must promptly initiate special efforts to bring about
improvements. Action must not be postponed until the end of the annual
rating period. The supervisor must initiate and document frank
discussions with the employee to identify the problems and to assist the
employee in correcting deficiencies. Additionally, supervisors are
encouraged to make efforts to help employees with 'Minimally Successful'
performance raise their performance to a 'Fully Successful' level.
Minimally Successful performance may result in withholding of an
employee's within-grade-increase. Further guidance on this subject is
provided in the Performance Appraisal Handbook, 370DM430.

\(2\) During these discussions, the performance plan should be reviewed
and the employee specifically informed of how he/she failed to meet the
established standards. These discussions should outline specific efforts
that both the supervisor and the employee will take to assist the
employee in overcoming problems. (3) In all instances of 'Minimally
Successful' or 'Unsatisfactory' performance, supervisors and managers
must seek the advice and assistance of their servicing HRO.

\(3\) [Supervisory Performance that is less than fully
successful.]{.underline} Supervisors and Managers must monitor the
performance of their subordinate supervisors to ensure that they are
adequately fulfilling their responsibilities as a supervisor. When it is
determined, **at any point in the yearly performance cycle,** that a
supervisor fails to adhere to the requirements for effective performance
management of subordinate employees, immediate corrective action must be
taken. The Servicing HR Specialist should be contacted for assistance in
determining the appropriate corrective action, which may include
training, counseling, mentoring, and/or formal performance-based action.
If the supervisor is on a supervisory probationary period, and fails to
exhibit effective performance management, action should be taken under
the provisions available for dealing with supervisory probationary
periods.

F. [Unsatisfactory Performance]{.underline}. In order to initiate
demotion or removal action for 'Unsatisfactory' performance under 5 CFR
Part 432, the employee must first be afforded a reasonable opportunity
to demonstrate at least 'Minimally Successful' performance in the form
of a PIP. A performance evaluation is conducted again at the end of the
PIP period, and if the employee's performance is again evaluated as
'Unsatisfactory,' appropriate action must be initiated. In accordance
with 5 U.S.C. § 4302(b) (6), appropriate actions for employees who
continue to perform unsatisfactorily after a PIP include reduction in
grade, removal or reassignment. In addition, supervisors may deal with
'Unsatisfactory' performance using adverse action procedures under 5 CFR
Part 752 for such cause as will promote the efficiency of the service.
(5 CFR §§ 752.403 and 432.101) In all cases of 'Unsatisfactory'
performance, immediate contact with the servicing HRO must be made.

G. [Reductions-In-Force]{.underline}. An employee's performance rating
of record is used to determine the employee's assignment rights during a
Reduction-in-Force (RIF). An employee is given performance credit for
RIF retention when the performance meets certain criteria. Credit is
given by adjusting an employee's service date for RIF purposes.
Employees will receive service credit in accordance with 5 CFR Part 351.