> BONNEVILLE POWER ADMINISTRATION

**HUMAN RESOURCES**

**Portland, Oregon**

# 

# PERSONNEL LETTER NO. 430-2 DATE: September 17, 2004 

**SUBJECT:** Performance Appraisal Program for Managers

# I. PURPOSE OF ISSUANCE

> To describe the performance appraisal program used for managers in
> positions covered by the provisions of this issuance.

# II. PURPOSE OF REVISION

> The purpose of this revision is to: (A) revise Appendix B by including
> new information regarding "Reasonableness of Performance Standards"
> and deleting the information titled "Avoid Absolute Retention
> Standards;" and (B) revise Appendix C with respect to sample standards
> for performance element #4 to better ensure alignment with the BPA
> balanced scorecard. This issuance supersedes Personnel Letter 430-2,
> dated September 17, 2003.

# 

# III. PURPOSE OF APPRAISAL PROGRAM

The performance appraisal program provides the basis for:

A.  Holding managers accountable by establishing performance
    expectations that are tied to BPA's mission, business objectives,
    organizational Balanced Scorecards, or other organizational work
    plans, and leadership and managerial responsibilities in support of
    BPA's High Performance Organization (HPO) objectives;

B.  Monitoring managerial performance against established performance
    expectations during the appraisal period and revising such
    expectations as appropriate;

C.  Making official annual assessments of managerial performance in a
    manner that provides for meaningful distinctions among performers;
    and

D.  Linking official ratings of record to other personnel actions,
    including performance-based monetary rewards that ensure top
    performers are rewarded commensurately with their achievements.

# IV. REFERENCES AND RELATED INFORMATION

A.  5 U.S.C., Chapter 43, Performance Appraisal

B.  5 CFR, Parts 293 and 297, Personnel Records and Privacy Procedures
    for Personnel Records, respectively

C.  5 CFR, Part 430, Performance Management

D.  BPA Manual, Chapter 400/300, Employment

E.  BPA Manual, Chapter 400/430, Performance Appraisal

F.  BPA Manual, Chapter 400/451, BPA Recognition System

G.  BPA Manual, Chapter 400/700A, Employee Relations Program

H.  Personnel Letter No. 335-1, BPA Merit Promotion Plan and
    Implementation Procedures for Annual Positions

I.  Personnel Letter No. 351-1, Reduction-in-Force

J.  Personnel Letter No. 432-1, Taking Action Based on Unacceptable
    Performance

K.  Personnel Letter No. 451-1, BPA Recognition System

L.  Personnel Letter No. 531/451, Quality Step Increase

M.  Personnel Letter No. 531-1, Requirements for Granting and Denying
    Within-Grade Increases

# V. COVERAGE

A.  The provisions of this issuance apply to all BPA annual performance
    managers. This covers employees in positions with duties that meet
    the minimum requirements for application of the General Schedule
    Supervisory Guide (GSSG), which is published by the Office of
    Personnel Management (OPM). (The supervisory status code for such
    positions is coded as "2" in HRmis.) It does not apply to employees
    with SES appointments, in hourly Foreman or other hourly supervisory
    jobs, or in excepted service positions for which employment is not
    reasonably expected to exceed 120 days in a consecutive 12-month
    period.

B.  An employee who moves from a BPA position not covered by the
    provisions of this issuance into a position covered by this issuance
    between August 1 and September 30 will not be subject to the
    provisions of this issuance until a new appraisal period starts on
    October 1. Instead, for performance appraisal purposes (and other
    related personnel actions), the employee's BPA rating-of-record for
    the year will be based on the prior position and assigned in
    accordance with the provisions of the performance appraisal program
    covering the prior position. A new BPA employee who enters on duty
    with BPA between August 1 and September 30 (e.g., new appointee,
    transfer, or movement from another agency or component of DOE, etc.)
    will also not be subject to the provisions of this issuance until a
    new appraisal period starts on October 1.

# VI. DEFINITIONS

A.  [Advisory Rating]{.underline}. An unscheduled summary rating, which
    is completed under special circumstances and must be considered in
    assigning the next rating-of-record.

B.  [Appraisal]{.underline}. The act or process of reviewing and
    evaluating the performance of an employee against the described
    performance standard(s).

C.  [Appraisal Period]{.underline}. The period of time established in
    the appraisal program for which an employee's performance will be
    evaluated annually.

D.  [Critical Element]{.underline}. A performance requirement of a
    position consisting of one or more duties and responsibilities that
    so significantly contributes toward accomplishing organizational
    goals and objectives, and that is of such importance that
    "Unacceptable" performance on the element would result in a
    determination that an employee's overall performance in the position
    as a whole is "Unacceptable."

E.  [Days]{.underline}. All references to "days" in this issuance mean
    calendar days.

F.  [Element Rating]{.underline}. A rating assigned to an employee's
    performance in a critical performance element, as measured against
    the performance standards established for that element.

G.  [Employee]{.underline}. Unless otherwise noted, employee means a
    manager covered by the provisions of this issuance.

H.  [Manager or Supervisor]{.underline}. As used in this issuance, this
    refers to an annual employee in a position that requires the
    exercise of supervisory or managerial responsibilities that meet the
    minimum requirements for application of the General Schedule
    Supervisory Guide. (The supervisory status code for such positions
    is coded as "2" in HRmis.)

I.  [Minimum Appraisal Period]{.underline}. The minimum amount of time
    an employee must have served in a position with a written
    performance plan in order to receive a rating. BPA's minimum
    appraisal period is 90 days under a performance plan (that is
    established under the provisions of this issuance) under the same
    Rating Official.

J.  [Opportunity Period]{.underline}. An amount of time established in a
    performance improvement plan for an employee to improve
    "Unacceptable" performance.

K.  [Performance Pl]{.underline}an. The critical elements, sub-elements,
    and performance standards established for an employee's position for
    the purpose of assigning performance ratings.

L.  [Performance Improvement Plan (PIP]{.underline}). The plan provided
    to an employee whose performance in one or more critical elements
    has been determined to be "Unacceptable."

M.  [Performance Standard]{.underline}. The written expectations or
    requirements established by management that must be met to be
    appraised at a particular level of performance. A performance
    standard may include, but is not limited to, measures of quality,
    quantity, timeliness, and manner of performance.

N.  [Progress Review]{.underline}. The periodic review and communication
    with an employee of the employee's performance compared to the
    performance standards in the employee's performance plan.

O.  [Rating Official]{.underline}. The individual, normally the
    immediate manager, with the authority to appraise the performance of
    an employee.

P.  [Rating-of-Record]{.underline}. The summary rating:

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1.  Required at the time specified by the performance appraisal program
    (normally at the end of an employee's appraisal period); or

2.  At such other times specified by this Personnel Letter (e.g., to
    document an "acceptable-level-of competence" determination for
    within-grade increase purposes, at the end of the "opportunity to
    improve" period specified in a Performance Improvement Plan \[PIP\]
    if the PIP is issued close to the end of the appraisal period, at
    the end of an appraisal period that is extended to satisfy minimum
    appraisal period requirements, etc.).

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Q.  [Reviewing Official]{.underline}. A higher-level manager, normally
    the rated employee's second-level manager, who reviews and approves
    both performance plans developed by, and performance ratings
    assigned by, Rating Officials.

R.  [Summary Rating]{.underline}. The rating used to describe an
    employee's overall performance level in a position.

# VII. RESPONSIBILITIES

A.  [Vice Presidents and Higher-Level Executives]{.underline} are
    responsible for administering the performance appraisal program
    within their respective organizations in accordance with the
    provisions of this issuance. This includes responsibility for:

    1.  Ensuring that managers in their organizations attend needed
        training; and

    2.  Ensuring that performance plans are established at the beginning
        of appraisal periods and that performance is appraised and
        documented in a timely manner, consistent with the provisions of
        this issuance;

B.  The [Manager, Human Resources, Diversity and EEO,]{.underline} is
    responsible for:

    1.  Establishing and publishing local policy;

    2.  Monitoring the effectiveness of the performance appraisal
        program in meeting its purposes; and

    3.  Maintaining liaison with OPM and the Department on related
        policy and regulatory matters.

C.  The [Manager, Personnel Services,]{.underline} is responsible for:

> 1\. Providing technical and operational support and advice to Rating
> and Reviewing Officials to help them administer the performance
> appraisal program in a manner consistent with the provisions in this
> issuance and applicable laws, rules, and regulations;
>
> 2\. Arranging for necessary training and orientation on the
> performance appraisal program and related matters;
>
> 3\. Ensuring that performance appraisal documents are maintained in
> the Headquarters Personnel Services office in accordance with the
> requirements in 5 CFR, Parts 293 and 297; and
>
> 4\. Ensuring that ratings-of-record are entered into the Human
> Resource Management Information System (HRmis) in a timely and
> accurate manner.

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

> 1\. Approving the establishment of performance plans that are tied to
> BPA's mission, business objectives, organizational Balanced Scorecards
> or other organizational work plans, and leadership and managerial
> responsibilities in support of BPA's High Performance Organization
> (HPO) objectives;
>
> 2\. Approving performance appraisal ratings, with the purpose of
> ensuring that the ratings reflect actual performance and result in
> appropriate and meaningful distinctions among performers when
> warranted;
>
> 3\. Ensuring that Unacceptable performance is dealt with in a timely
> manner in accordance with Section XIV, and ensuring that Rating
> Officials provide assistance to employees whose performance is at the
> "Needs Improvement" level.

4.  Ensuring that the results of the performance appraisal program are
    linked appropriately to other personnel actions, including
    performance-based monetary rewards that ensure that top performers
    are rewarded commensurately with their achievements.

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E.  [Rating Officials]{.underline} are responsible for:

> 1\. Ensuring that performance plans are established and communicated
> to employees within 30 days of the beginning of employees' appraisal
> periods or assignment to a new position, as required in this issuance
> (except as provided for in paragraph V.B);
>
> 2\. Ensuring that performance plans are tied to BPA's mission,
> business objectives, organizational Balanced Scorecards and other
> organizational work plans, and leadership and managerial
> responsibilities in support of BPA's High Performance Organization
> (HPO) objectives;
>
> 3\. Monitoring employee performance against performance plan
> expectations throughout the appraisal period, periodically informing
> employees of how they are performing, and conducting at least one
> formal progress review at about the midpoint of the appraisal period;
>
> 4\. Providing assistance to employees whose performance is below the
> "Meets Expectations" level, including initiating action to deal with
> Unacceptable performance in a timely manner in accordance with Section
> XIV;
>
> 5\. Assigning advisory ratings and ratings-of-record on a timely
> basis, as required in this issuance, and ensuring that the ratings
> reflect actual performance and result in appropriate and meaningful
> distinctions among performers when warranted; and
>
> 6\. Ensuring that the results of the performance appraisal program are
> linked appropriately to other personnel actions, including
> performance-based monetary rewards that ensure that top performers are
> rewarded commensurately with their achievements.

# VIII. APPRAISAL PERIODS

A.  [Minimum Appraisal Period]{.underline}. The minimum appraisal period
    is 90 days under a performance plan (that is established under the
    provisions of this issuance) under the same Rating Official.

B.  [Official Appraisal Period]{.underline}. The appraisal period is
    from October 1 through September 30.

C.  [Time Requirements]{.underline}. Unless an extension of an appraisal
    period is needed under Section VIII.D., all ratings must be assigned
    and forwarded to Personnel Services not later than 30 days after the
    appraisal period ends. Ratings may be assigned up to 30 days in
    advance of the end of the appraisal period in order to balance
    workload. Ratings for employees who are on leave or extended
    training and are otherwise due, should be delayed until the employee
    returns unless a within-grade increase determination is due; in such
    a case, the employee's signature is not required but the Rating
    Official must discuss the rating with the employee orally, over the
    telephone.

D.  [Criteria for Extending Appraisal Periods]{.underline}.

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1.  Employees who have not been in the same position, under the same
    Rating Official, with established performance plans for 90 days,
    shall have their appraisal periods extended until the 90-day minimum
    appraisal period requirement is met (the ending date of the period
    covered will be indicated on the appraisal form). However, as
    indicated in paragraph XI.C.4., if an advisory rating has been
    issued, under the provisions of this issuance (as opposed to under a
    difference performance appraisal program) within 90 days of the end
    of the appraisal period, it may become the rating-of-record.

2.  An appraisal period may be extended until an opportunity period for
    improving "Unacceptable" performance has been completed. When the
    appraisal period is extended for this reason, the employee shall be
    notified in writing of the extension of the appraisal period to the
    end of the opportunity period, and that the current performance plan
    will remain in effect until that time. In such cases, the
    rating-of-record must be completed within 30 days after the
    completion of the extended appraisal period; the ending date of
    period covered will be indicated on the appraisal form and shall
    correspond to the end of the opportunity period.

# IX. NUMBER OF RATING LEVELS

A.  The following four rating levels are used: Significantly Exceeds
    Expectations (S), Meets Expectations (M), Needs Improvement (N), and
    Unacceptable (U). The rating levels are used to rate performance
    both on a critical element and to assign a summary rating to reflect
    overall performance in the position.

B.  The intent of these rating levels is described below:

> 1\. Significantly Exceeds Expectations is intended to reflect
> exceptional performance that clearly exceeds the expectations
> established in the underlying performance standards and is reserved
> for top-level performance.
>
> 2\. Meets Expectations is intended to reflect a broad range of
> performance that is considered successful, with the upper end
> reflecting performance that exceeds expectations in many respects but
> does not meet the definition of performance at the Significantly
> Exceeds Expectations level.
>
> 3\. Needs Improvement is intended to reflect performance that falls
> short of successful performance in one or more important respects but
> is above the level defined for Unacceptable performance.
>
> 4\. Unacceptable is intended to reflect performance that fails to meet
> expectations in one or more important respects to an extent that
> warrants consideration of removal from the position or reduction in
> grade if performance is not improved within a reasonable period of
> time with assistance.

# X. PERFORMANCE PLANS

A.  [Critical Elements]{.underline}. All performance plans shall be
    established by means of using BPA Form 3430.02e, a copy of which is
    attached as Appendix A. All performance plans shall contain four
    critical elements, which may not be amended or revised, as
    follows: (1) Stakeholder/Customer/Client; (2) Financial; (3)
    Internal Systems and Processes; and (4)
    Leadership/Management/Supervision.

> *[(Relationship to Balanced Scorecard]{.underline}. These four
> critical elements are linked (but not entirely identical in focus) to
> organizational Balanced Scorecards. Balanced Scorecards use four
> perspectives: Stakeholder (or Customer) perspective, Financial
> perspective, Internal (Systems and Processes) perspective, and
> Learning and Growth (or People and Culture) perspective. The first
> three critical elements in a manager's performance plan will overlap
> to a great extent (or completely) with the first three Balanced
> Scorecard perspectives and, collectively, reflect program
> accomplishments. However, there may be differences because critical
> elements (and accompanying performance standards) focus on the
> responsibilities of the manager being rated while the BSC focuses on
> organizational outcomes. The fourth critical element is different from
> the fourth Balanced Scorecard perspective, as it reflects personal
> responsibilities rather than organizational outcomes.)*
>
> 1\. [Stakeholder/Customer/Client Element]{.underline}. This element
> addresses key outcomes for the unit's or program's stakeholders, which
> could include external customers and constituencies and internal
> clients. At a minimum, this includes levels of satisfaction with the
> unit's or program's products and services. Rating Officials are
> encouraged to address other expected outcomes, provided they are
> measurable and it is reasonable to hold the manager accountable for
> such performance.
>
> 2\. [Financial Element]{.underline}. This element addresses key
> financial outcomes for the organizational unit or program(s) for which
> the manager is responsible. At a minimum, this includes use of
> budgetary resources. Rating Officials are encouraged to address other
> aspects of financial management, provided that they are measurable and
> it is reasonable to hold the manager accountable for such performance.
>
> 3\. [Internal Systems and Processes Element]{.underline}. This element
> addresses key outcomes for how the unit's or program's work is
> accomplished in an effective and/or improved manner (i.e., through
> operational systems, processes, policies, procedures, etc.). Such
> outcomes are to be measurable and address matters for which it is
> reasonable to hold the manager accountable.
>
> 4\. [Leadership/Management/Supervision Element]{.underline}. This
> element addresses key outcomes that address managerial duties and
> behavioral attributes that: (1) are focused solely on the management
> of people and the work environment within the manager's organization
> or program; and (2) successfully support BPA's High Performance
> Organization (HPO) objectives.

B.  [Weighting of Elements]{.underline}. As described elsewhere in this
    issuance, a point-based rating method is used. Each discrete
    performance standard is weighted by means of assigning a point value
    at the time the performance plan is established (and then assigning
    an "earned" point value when the appraisal is completed). While
    Rating and Reviewing Officials have complete discretion to weight
    each discrete performance standard under a particular element (or
    sub-element), there is more limited discretion to the
    [total]{.underline} weight assigned all performance standards under
    each of the four critical elements (refer to Section X.E. for a
    description of the parameters).

C.  [Sub-Elements]{.underline}. Using sub-elements may assist in
    organizing the substance of the underlying performance standards in
    a manner that groups related items together for concerted focus. The
    use of sub-elements for the first three critical elements is
    discretionary. For the fourth element
    (Leadership/Management/Supervision), four sub-elements are required
    and may not be amended or revised. These four sub-elements are
    listed on the appraisal form in Appendix A and are:

> 1\. [Leadership]{.underline} (covering setting direction and managing
> work).
>
> 2\. [Talent]{.underline} (covering building and fostering a talented
> workforce).
>
> 3\. [Motivation/Alignment]{.underline} (covering motivating and
> aligning staff around organizational purpose, goals, strategies, and
> results).
>
> 4\. [Positive Work Environment]{.underline} (workforce and workplace
> diversity, supportive work environment, communication, and conflict
> resolution).

D.  [Performance Standards]{.underline}. One or more discrete
    performance standards must be established under each critical
    element. If sub-elements are used (as they must be for the fourth
    element), the discrete performance standards are established under
    the relevant sub-elements. Performance standards are the measures or
    targets that reflect the performance expectations established by the
    Rating and Reviewing Officials for the employee being appraised.
    Performance standards reflect expected results and are based on such
    measures as quality, quantity, timeliness, and manner of
    performance. See Appendix B for additional guidance on how to avoid
    common errors in writing performance standards.

    1.  [Level of Difficulty]{.underline}. Performance standards are
        written at the "Meets Expectations" level of performance.

    2.  [Range of Performance]{.underline}. It is permissible, and often
        advisable, to describe a range of performance at the Meets
        Expectations level of performance. For example, a standard could
        state "an average of 3-5 days is needed to process requests."
        Other examples might be "customer satisfaction index is 7.2 to
        7.6;" "an average of 3-5 meetings per year are held separately
        with each employee to discuss the employee's developmental needs
        and progress;" and "a 65-80 percent positive response on
        employee survey question regarding satisfaction with recognition
        practices."

> (Note: These are illustrative measures and, like the content of all
> standards, should be written in a manner that is within the employee's
> control to achieve. "Control to achieve" is defined as a result that
> the employee is able to: \[a\] achieve directly through the employee's
> own personal efforts; or \[b\] significantly influence through the
> employee's actions, including leadership of other employees. Hence, in
> the case of a manager, "within the employee's control to achieve" can
> include being held accountable for the collective results of the group
> of employees working in the manager's organization.)

3.  ["Sample" Performance Standards for the
    Leadership/Management/Supervision Element]{.underline}. While the
    substance of performance standards is to be determined by the Rating
    and Reviewing Officials separately for each position, BPA does make
    available "sample" standards (see Appendix C) to assist such
    officials and to provide some alignment as to the types of measures
    that can be used to reinforce achievement of BPA's High Performance
    Organization objectives.

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E.  [Weighting of Elements and Performance Standards]{.underline}. Each
    discrete performance standard is assigned a point value (or a range
    of values if a range of performance at the Meets Expectations level
    is described in the standard; see paragraph X.D.2.) *at the time it
    is established* to reflect its relative weighting and importance.
    Whole-point values must be used; fractional values are not
    permitted. At the time performance is rated, the point value
    *earned* is determined. The maximum *earned* points that can be
    achieved by an employee under the entire performance plan (all four
    critical elements) is 100 points. Because performance standards are
    written at the "Meets Expectations" level, and because "room" must
    be left to document performance that exceeds that level *for each
    element (see paragraph X.E.3.)*, the combined "base-level" point
    value assigned to all performance standards *at the time of
    establishment* shall be 88 points. Rating and Reviewing Officials
    shall exercise their discretion to weight the elements and
    performance standards in accordance with the following rules.

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1.  [Weights Assigned to Each Critical Element When Standards Are
    Established]{.underline}. Rating and Reviewing Officials may, but
    are not required to, assign equal weight to each of the four
    critical elements (i.e., 22 base-level points each). The weights may
    be varied to take into account the relative importance of each of
    the four elements (and the underlying performance standards) for a
    particular manager within a particular appraisal period.

2.  [Minimum and Maximum Weights Assigned To Critical Elements When
    Standards Are Established]{.underline}. Except for the fourth
    element (Leadership/Management/Supervision), the combined base-level
    point values assigned to performance standards under each element
    must be at least 10 points. For the fourth element, the combined
    base-level point values assigned to performance standards under that
    element must equal at least 22 points. The maximum combined
    base-level point values that may be assigned to performance
    standards under any single element will, therefore, be either 46 or
    58 points (as shown in the examples below)

-   If the standards for the first three elements are each limited to
    the minimum 10 base-level points, then base-level 58 points (88-30)
    could be assigned to the standards for the fourth element.

-   If the standards for the fourth element are limited to 22 base-level
    points (its minimum), and the standards for two of the other
    elements are limited to their minimum of 10 base-level points, then
    base-level 46 points (88-42) could be assigned to the standards for
    the remaining element.

3.  [Maximum Earned Points for Each Element]{.underline}. As noted
    above, only 88 base-level points are assigned to the performance
    standards when they are established. A total of 100 points, however,
    can be earned. The extra 12 points that can be earned serve to
    provide for a quantitative means of determining performance that
    exceeds the expectations described in the performance standards to
    an extent that warrants a Significantly Exceeds Expectations rating
    for an element. The provisions of this appraisal program, including
    the method for determining a summary rating, provide that a
    Significantly Exceeds Expectations rating is intended to be
    achievable for each for the four elements. Therefore, at the time
    the performance plan is established, the Rating and Reviewing
    Officials shall allocate the entire extra 12 points among the four
    elements, using the appraisal form to do so in the appropriate space
    provided. One or more of the extra 12 points must be allocated to
    each of the elements; while not required, allocation of these extra
    points to the discrete performance standards under any of the
    elements is permitted.

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F.  [Employee Involvement]{.underline}. A performance plan is to be
    established by the Rating Official with the participation of the
    employee. The Rating Official has the final authority regarding the
    substance of the performance plan, subject only to the plan's
    approval by the Reviewing Official. In establishing the performance
    plan, the Rating Official is responsible for ensuring that the
    employee understands both the substance of the performance
    expectations and how the employee's performance results will be
    assessed.

G.  [Time Requirements]{.underline}. Performance plans are to be
    established (signed and dated by the employee, Rating Official, and
    Reviewing Official) within 30 days following the beginning of: (1)
    the annual appraisal period; (2) any work assignment expected to
    exceed 120 days (e.g., temporary promotion, detail, etc.); or (3)
    appointment or permanent assignment to a new position more than 90
    days in advance of the end of the appraisal period.

H.  [Changes In Performance Plans]{.underline}. Performance plans are
    not intended to necessarily be developed and left unchanged
    throughout the appraisal period. Instead, the performance plan
    should be reviewed during the appraisal period and should be revised
    whenever appropriate (e.g., a change in direction or strategy may
    trigger the need to amend, revise, or delete the performance
    standards, and/or to change their point-value weightings). (Note:
    Changes to point values \[base-level or extra points\] may be made
    for a particular performance standard, as well as to the total point
    values assigned to all standards under an element.) At a minimum,
    the appropriateness of the performance plan should be reviewed
    during the formal progress review that is required by this issuance.
    When a change is needed, the Rating Official should discuss the
    matter with the employee, both should initial any changes that are
    annotated on the appraisal form, and the Rating Official should
    share the changes with the Reviewing Official.

> XI\. MONITORING AND EVALUATING EMPLOYEE PERFORMANCE DURING THE
> APPRAISAL PERIOD

A.  [Progress Reviews]{.underline}. Performance evaluation is an ongoing
    process. Therefore, informal discussions of performance should be
    held periodically with employees. Frequent progress reviews are
    encouraged and are particularly appropriate when there are: (1)
    noteworthy accomplishments; (2) any conclusive indication of a
    performance problem; (3) any significant change in the nature or
    importance of an element, sub-element, or accompanying performance
    standard; and (4) and at the conclusion of a major project or
    assignment when the employee's performance can be recalled easily.
    At a minimum, Rating Officials shall conduct at least one formal
    progress review, usually at about the midpoint of the appraisal
    period, with each employee. For an employee's performance that spans
    the entire annual appraisal period, the midpoint review would occur
    on or around the beginning of April.

B.  [Performance Below the "Meets Expectations" Level]{.underline}. At
    any time during the appraisal period that an employee's performance
    is determined to be below the "Meets Expectations" level in any
    critical element, the Rating Official shall provide assistance to
    the employee to improve his/her performance. If performance is
    determined to be at the "Unacceptable" level, the Rating Official
    shall initiate formal efforts to bring about improvements in
    accordance with the requirements in Section XIV. In all instances of
    "Unacceptable" performance, managers must seek the advice and
    assistance of the Employee Relations staff in Personnel Services.

C.  [Advisory Ratings]{.underline}.

    1.  Advisory ratings are assigned when: (a) an employee completes a
        detail or temporary promotion over 120 days; (b) an employee has
        served 90 days under a performance plan and changes positions
        during the annual appraisal period; or (c) the employee's Rating
        Official leaves his/her position during the appraisal period,
        provided the employee has completed a minimum appraisal period.
        Advisory ratings are documented on the appraisal form in
        Appendix A. A copy of the rating must be provided to the new
        Rating Official and to the employee.

    2.  When an employee is detailed outside of BPA, a reasonable effort
        shall be made to obtain an advisory rating from the outside
        entity to which the employee has been detailed.

    3.  Advisory ratings shall be considered by the new Rating Official
        in assigning the rating-of-record.

    4.  An advisory rating issued under the provisions of this issuance
        (as opposed to under a different performance appraisal program)
        may become the rating-of-record if it is issued within 90 days
        of the annual appraisal period.

# XII. RATINGS-OF-RECORD

A.  [General Requirements]{.underline}.

> 1\. Ratings must be assigned in writing on the appraisal form (in
> Appendix A) and shall be discussed with employees. Rating Officials
> shall provide employees with the opportunity to present feedback on
> their performance (e.g., self appraisals, etc.) if requested by the
> employee.
>
> 2\. The employee's immediate manager normally serves as the Rating
> Official. If the immediate manager position of record is vacant or if
> the current manager has not supervised the employee for the minimum
> appraisal period, then the next higher-level manager may serve as the
> Rating Official, unless the prior manager of record assigned an
> advisory rating within 90 days of the end of the appraisal period and
> it is determined that the advisory rating should be treated as the
> rating of record.
>
> 3\. Ratings reflect performance during the appraisal period only. Such
> performance shall be considered carefully and thoroughly. This
> includes any feedback or other measurements used in determining the
> level of results achieved related to any applicable performance
> expectations.
>
> 4\. In rating performance against the
> Leadership/Management/Supervision element, Rating Officials shall
> obtain feedback from direct reports and take such feedback into
> consideration in assessing performance. The feedback should be
> assessed carefully in conjunction with an overview of any performance
> or conduct problems being addressed with such direct reports. In such
> cases, Rating Officials may want to contact Employee Relations staff
> to gain additional perspective of any possible correlation of negative
> feedback to problems that are being addressed by the manager.

B.  [Timing Requirements]{.underline}. Ratings-of-record are assigned at
    the end of an appraisal period, no later than 30 days after the
    period has ended. Under certain circumstances, such ratings are also
    assigned in connection with within-grade increase determinations and
    after employees have completed opportunity periods to improve
    performance.

C.  [Steps in Assigning Ratings]{.underline}. The following steps are
    followed to assign a summary rating:

> 1\. [Assess Performance]{.underline}. The employee's performance
> against each performance standard is assessed and the earned point
> value is entered on the appraisal form. Whole-point values must be
> used; fractional values are not permitted. If the performance standard
> is met, the employee receives credit for the full number of base-level
> points assigned to the performance standard if a single-point value
> was established for the performance standard. Partial credit (in
> whole-point values) for accomplishment of some portion of the standard
> may be granted by awarding less than the full number of base-level
> points available. If the performance standard was written to permit
> credit for a range of base-level point values, the appropriate
> base-level point value earned is noted. If performance exceeds the
> established performance standard, extra points may be assigned in the
> rating process, not to exceed the number of "extra points" (see
> paragraph X.E.3.) allocated to the element (or to the performance
> standard). The total number of *earned* points that can assigned under
> a performance element is limited to the number of points, including
> extra points, assigned to the element at the time that the performance
> plan was established.
>
> 2\. [Non-Rateable Standards]{.underline}. If any performance standard
> is considered non-rateable (e.g., no opportunity for the employee to
> achieve the desired results), it should be noted as non-rateable.
> Further, the base-level point value for one or more of the remaining
> performance standards must be adjusted accordingly.
>
> 3\. [Determine Element Ratings]{.underline}. The point values earned
> for performance against all performance standards under an element are
> totaled and converted to a rating level for the element using the
> scale contained in Appendix D. Each element rating is entered on the
> appraisal form.
>
> 4\. [Determine Summary Rating]{.underline}. Based on all
> element-rating levels, the summary rating is determined as follows,
> and entered on the appraisal form:

+-----------------------+----------------------------------------------+
| **Element Rating      | **Requirements**                             |
| Level**               |                                              |
+-----------------------+----------------------------------------------+
| Significantly Exceeds | 9 90 or more points are earned, at least two |
| Expectations          | elements are rated Significantly Exceeds     |
|                       | Expectations, and no element is rated either |
|                       | Needs Improvement or Unacceptable.           |
+-----------------------+----------------------------------------------+
| M Meets Expectations  | D Does not meet the requirements for a       |
|                       | Significantly Exceeds Expectations rating    |
|                       |                                              |
|                       | AND EITHER                                   |
|                       |                                              |
|                       | -   70 or more points are earned, no more    |
|                       |     than one element is rated as Needs       |
|                       |     Improvement, and no element is rated     |
|                       |     Unacceptable;                            |
|                       |                                              |
|                       | OR                                           |
|                       |                                              |
|                       | -   All four elements are rated Meets        |
|                       |     Expectations.                            |
+-----------------------+----------------------------------------------+
| N Needs Improvement   | -   Less than 70 points are earned, there is |
|                       |     at least one element rated Needs         |
|                       |     Improvement, and no element is rated     |
|                       |     Unacceptable;                            |
|                       |                                              |
|                       | OR                                           |
|                       |                                              |
|                       | -   Regardless of the number of points       |
|                       |     earned, two or more elements are rated   |
|                       |     Needs Improvement, and no element is     |
|                       |     rated Unacceptable.                      |
+-----------------------+----------------------------------------------+
| U Unacceptable        | O One or more elements is rated Unacceptable |
+-----------------------+----------------------------------------------+

> See Appendix E for examples of summary rating determinations.
>
> 5\. [Employee Signature Upon Receipt of Rating]{.underline}. An
> employee shall be requested to
>
> sign the appraisal form upon his/her receipt of the form. The
> employee's
>
> signature indicates only that he/she has seen the summary rating and
> was given
>
> the opportunity to discuss the element ratings. A performance rating
> is valid even
>
> when the employee refuses to sign the form. If the employee refuses to
> sign the
>
> form, the Rating Official will annotate the form accordingly. A copy
> of the
>
> completed form will be provided to the employee. Employees may comment
> on
>
> ratings, and written comments will be retained with the form as part
> of the formal
>
> record.

6\. [Review and Approval of Ratings]{.underline}. Reviewing Officials
approve performance

appraisal ratings, with the purpose of ensuring that the ratings reflect
actual

performance and result in appropriate and meaningful distinctions among

performers when warranted. If the Rating and Reviewing Officials do not
agree

on the employee's rating for any element, the Reviewing Official's
judgment will

prevail; if necessary, the Reviewing Official shall annotate the
appraisal form

accordingly, discuss the rating with the employee, and ensure that the
employee

> receives a copy. Reviewing Officials may require that Rating Officials
> confer
>
> with them on expected ratings before Rating Officials meet with
> employees to
>
> assign ratings.
>
> 7\. [Review and Submission of Completed Ratings]{.underline}.
> Completed ratings are forwarded,
>
> in accordance with the instructions established by each organization,
> to Personnel
>
> Services for official filing.

# XIII. PERFORMANCE APPRAISAL RECORDS

A.  [Types of Records]{.underline}. Official performance appraisal
    records consist of the Performance Plan and Appraisal Form (BPA Form
    3430.02e).

B.  [Maintenance]{.underline}.

    1.  Business Lines and equivalent organizations are responsible for
        sending completed ratings-of-record, including the performance
        plans on which the ratings are based, to the Personnel Services
        office as soon as possible after assigning ratings. If the
        documents are mailed, they must be sent in confidential, sealed
        envelopes. Completed performance ratings-of-record, including
        the performance plans on which the ratings are based, and other
        performance-related documents, are filed separate from the
        Official Personnel Folders (OPFs) in the Personnel Services
        office.

    2.  All advisory ratings should be sent to the gaining manager
        responsible for assigning the next rating-of-record.

    3.  The Personnel Services office is responsible for entering
        ratings-of-record into HRmis and generally will use common
        "effective" dates in doing so. However, for personnel purposes
        (e.g., RIF), the official date for a rating corresponds to the
        date that the appraisal was signed by the Reviewing Official.

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C.  [Availability]{.underline}. The Privacy Act covers performance
    appraisal records. The Personnel Services office shall provide
    access to any performance appraisal document to the employee, the
    employee's representative designated in writing, or other official
    having a need for the document. All requests for performance
    appraisal documents made to managers should be referred to the
    Personnel Services office.

D.  [Retention]{.underline}. Completed performance ratings-of-record,
    including performance plans on which they are based, and other
    performance-related documents are retained for 4 years.

# XIV. DEALING WITH "UNACCEPTABLE" PERFORMANCE

> At any time during the appraisal period that a Rating Official deems
> an employee's performance to be "Unacceptable" in any of the critical
> elements, the Rating Official shall promptly initiate special efforts
> to bring about improvements. See BPA Manual 400/432 for BPA's policy
> on unacceptable performance, and see Personnel Letter 432-1 for
> specific instructions for dealing with unacceptable performance,
> including issuing a performance-improvement plan (PIP), and providing
> the employee with an opportunity to improve his/her performance.

**XV. RELATIONSHIP OF PERFORMANCE APPRAISAL TO OTHER PERSONNEL ACTIONS**

A.  [Within-Grade Increases (WGIs]{.underline}).

> 1\. To receive a WGI, in addition to meeting other requirements listed
> in 5 CFR, Part 531, a current rating-of-record of "Meets Expectations"
> is required (i.e., performance at an Acceptable-Level-of-Competence
> \[ALOC\] or higher).
>
> 2\. If an employee's rating-of-record is "Meets Expectations" or
> higher but the employee's performance is not at an ALOC at the time a
> WGI is otherwise due, a new rating-of-record must be prepared to
> support the decision to withhold the WGI. However, if an employee is
> due to receive his/her WGI during an opportunity period for improving
> "Unacceptable" performance (see Personnel Letter 432-1, Unacceptable
> Performance), the ALOC determination may be postponed until the end of
> the opportunity period. In all cases of performance below the ALOC
> (i.e., the Meets Expectations level), managers must seek the advice
> and assistance of the Employee Relations staff in Personnel Services.
>
> 3\. If the current rating-of-record is below an ALOC, the Personnel
> Services office will not process an otherwise due WGI unless a new
> rating-of-record is assigned reflecting an ALOC. See Personnel Letter
> 531-1 for specific requirements and procedures for granting and
> denying WGIs.

B.  [Quality Step Increase (QSI]{.underline}). Employees are eligible
    for a QSI, provided that:

    1.  They receive a "Significantly Exceeds Expectations"
        rating-of-record; and

    2.  Are approved for a QSI by management, as documented in a
        justification statement that demonstrates sustained high quality
        performance that substantially and consistently exceeds the
        "Meets Expectations" level.

    3.  See Personnel Letter 531/451, Quality Step Increase, for
        specific instructions regarding awarding a QSI.

C.  [Performance Awards]{.underline}.

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1.  Except as noted in the paragraph XIV.C.3., all employees rated
    Significantly Exceeds Expectations shall receive a performance
    bonus, provided such awards are funded by BPA.

2.  Employees rated Meets Expectations are eligible to receive a
    performance bonus.

3.  Performance awards are discretionary for employees rated
    Significantly Exceeds Expectations if they receive a Quality Step
    Increase (QSI). In addressing such situations, managers should give
    consideration to both the ongoing value of the QSI and the amounts
    of performance bonuses given to other employees, including those
    rated Meets Expectations.

4.  Policy and procedures governing performance awards for employees
    covered by the provisions of this issuance are contained in
    Personnel Letter No. 451-1.

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D.  [Reduction-in-Force (RIF)]{.underline}. Entitlement to additional
    service credit and to assignment rights for RIF purposes is based,
    in whole or in part, on performance. Determinations of such credit
    shall be made in accordance with Personnel Letter 351-1. A
    rating-of-record shall not be assigned for the sole purpose of
    affecting an RIF standing. If a RIF becomes necessary, scheduled
    ratings-of-record may be postponed if all of the following
    conditions are met:

    1.  The BPA Chief Executive Officer determines that the RIF cannot
        be postponed for specific, related reasons;

    2.  The scheduled rating dates for employees in the competitive area
        are such that it will not be possible to process all ratings
        before the date that specific RIF notices are to be issued;

    3.  There are persuasive reasons why ratings cannot be processed
        prior to the scheduled rating date so that all ratings can be
        processed before the date that specific notices are issued; and

    4.  Issuance of general RIF notices, reducing the time required for
        specific notices (and, therefore, extending the time available
        to process ratings) will not resolve the problem.

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E.  [Promotions]{.underline}.

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1.  [Career Promotion]{.underline}. An employee must have a current
    rating-of-record of "Meets Expectations" to receive a career
    promotion.

2.  [Merit Promotion]{.underline}. Personnel Letter No. 335-1 requires
    that candidates be appraised on the knowledge, skills, and abilities
    required for the position to be filled, rather than performance in
    the candidate's present position. Thus, there is no direct link
    between the overall performance rating level and merit promotion
    actions; however, selecting officials should give due weight to the
    performance ratings of job applicants, as an indicator of the
    quality of prior experience in making selection decisions.

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F.  [Training]{.underline}. Subject to internal controls, Rating
    Officials may authorize training to improve an employee's
    performance in the employee's present job, as well as for
    developmental purposes. The performance appraisal process should
    identify areas where remedial training may be necessary for an
    employee to meet or surpass specified performance standards.

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G.  [Probationary Periods]{.underline}.

    1.  [New Employee Probationary Period]{.underline}. New employees
        must be carefully observed and appraised during their
        probationary periods to determine whether they can perform their
        duties acceptably and have the qualities needed to become
        successful career employees. Information generated during the
        performance appraisal process may provide a basis to determine
        progress during the probationary period and will assist Rating
        Officials in deciding whether to retain an employee in the
        Federal Service. (Additional information is provided in
        Personnel Letter 315-2, Probationary or Trial Periods for New
        Employees.) Managers must seek advice and assistance from the
        Employee Relations staff prior to removing an employee during
        his/her probationary period.

    2.  [Supervisory/Managerial Probationary Period]{.underline}. New
        managers and supervisors must be carefully observed and
        appraised during their probationary periods to determine whether
        they can perform their duties acceptably and have the qualities
        needed to become successful managers and supervisors.
        Information generated during the performance appraisal process
        may provide a basis for deciding whether to retain these
        employees in supervisory or managerial positions. Additional
        information is provided in Personnel Letter 315-1, Probationary
        Period for New Managers and Supervisors.

> Godfrey C. Beckett
>
> Manager, Human Resources, Diversity and EEO
>
> Appendix A -- Performance Plan and Appraisal Form
>
> Appendix B -- Avoiding Common Errors in Writing Performance Standards
>
> Appendix C -- Sample Managerial/Supervisory Performance Plan Standards
>
> Appendix D -- Conversion of Earned Point Values to Element Rating
> Levels
>
> Appendix E -- Examples of Summary Rating Determinations

APPENDIX A

+------------+--------------------------------------------+------------+
| *BPA F     | **U.S. DEPARTMENT OF ENERGY**              | *          |
| 3430.02e   |                                            | Electronic |
| (Page 1)*  | **BONNEVILLE POWER ADMINISTRATION**        | Form       |
|            |                                            | Approved*  |
| *(09-03)*  |                                            |            |
|            |                                            | *by CIEP   |
|            |                                            | --         |
|            |                                            | 0          |
|            |                                            | 9/16/2003* |
+------------+--------------------------------------------+------------+
| **MANA     |                                            |            |
| GERIAL/SUP |                                            |            |
| ERVISORY** |                                            |            |
|            |                                            |            |
| **P        |                                            |            |
| ERFORMANCE |                                            |            |
| PLAN AND   |                                            |            |
| A          |                                            |            |
| PPRAISAL** |                                            |            |
+------------+--------------------------------------------+------------+
| **PRIVACY  |                                            |            |
| ACT        |                                            |            |
| S          |                                            |            |
| TATEMENT** |                                            |            |
+------------+--------------------------------------------+------------+
| This form  |                                            |            |
| is subject |                                            |            |
| to the     |                                            |            |
| Privacy    |                                            |            |
| Act. The   |                                            |            |
| completed  |                                            |            |
| form will  |                                            |            |
| be filed   |                                            |            |
| in the     |                                            |            |
| personnel  |                                            |            |
| office and |                                            |            |
| will be    |                                            |            |
| available  |                                            |            |
| for review |                                            |            |
| to         |                                            |            |
| a          |                                            |            |
| ppropriate |                                            |            |
| management |                                            |            |
| levels     |                                            |            |
| having a   |                                            |            |
| need to    |                                            |            |
| know. The  |                                            |            |
| i          |                                            |            |
| nformation |                                            |            |
| will be    |                                            |            |
| used as a  |                                            |            |
| basis for  |                                            |            |
| various    |                                            |            |
| personnel  |                                            |            |
| actions    |                                            |            |
| such as    |                                            |            |
| training,  |                                            |            |
| reduction  |                                            |            |
| in force,  |                                            |            |
| pay        |                                            |            |
| deter      |                                            |            |
| minations, |                                            |            |
| rewarding, |                                            |            |
| and        |                                            |            |
| removing   |                                            |            |
| employees. |                                            |            |
| The        |                                            |            |
| authority  |                                            |            |
| to collect |                                            |            |
| this       |                                            |            |
| i          |                                            |            |
| nformation |                                            |            |
| is in      |                                            |            |
| Sections   |                                            |            |
| 1103 and   |                                            |            |
| 4305 of    |                                            |            |
| title 5,   |                                            |            |
| United     |                                            |            |
| States     |                                            |            |
| Code. The  |                                            |            |
| i          |                                            |            |
| nformation |                                            |            |
| will not   |                                            |            |
| be         |                                            |            |
| disclosed  |                                            |            |
| outside    |                                            |            |
| BPA        |                                            |            |
| without    |                                            |            |
| prior      |                                            |            |
| consent,   |                                            |            |
| except as  |                                            |            |
| required   |                                            |            |
| or         |                                            |            |
| permitted  |                                            |            |
| by law and |                                            |            |
| r          |                                            |            |
| egulation. |                                            |            |
+------------+--------------------------------------------+------------+

APPENDIX A

<table style="width:100%;">
<colgroup>
<col style="width: 4%" />
<col style="width: 0%" />
<col style="width: 12%" />
<col style="width: 21%" />
<col style="width: 16%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 5%" />
<col style="width: 0%" />
<col style="width: 4%" />
<col style="width: 2%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 9%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="3"><p><em>BPA F 3430.02e (Page 2)</em></p>
<p><em>(09-03)</em></p></td>
<td colspan="12"><p><strong>U.S. DEPARTMENT OF ENERGY</strong></p>
<p><strong>BONNEVILLE POWER ADMINISTRATION</strong></p></td>
<td colspan="5"><p><em>Electronic Form Approved</em></p>
<p><em>by CIEP 09/16/2003</em></p></td>
</tr>
<tr class="even">
<td colspan="3"></td>
<td colspan="12"><p><strong>MANAGERIAL/SUPERVISORY</strong></p>
<p><strong>PERFORMANCE PLAN AND APPRAISAL</strong></p></td>
<td colspan="5"></td>
</tr>
<tr class="odd">
<td colspan="8"></td>
<td colspan="12" rowspan="2">Period Covered</td>
</tr>
<tr class="even">
<td colspan="8"><strong>Reference should be made to Bonneville Power
Administration Personnel Letter</strong></td>
</tr>
<tr class="odd">
<td colspan="7"><strong>430-2 for policy guidance and further
information.</strong></td>
<td colspan="2">From:</td>
<td colspan="5"><strong>     </strong></td>
<td colspan="3">To:</td>
<td colspan="3"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="8">1. Name of Employee</td>
<td colspan="12">2. Employee ID (EmplID)</td>
</tr>
<tr class="odd">
<td colspan="7"><strong>     </strong></td>
<td colspan="13"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="20">3. Position Title, Series, and Grade</td>
</tr>
<tr class="odd">
<td colspan="20"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="20">5. Organization Title and Routing</td>
</tr>
<tr class="odd">
<td colspan="20"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="20"><strong>Certification of Discussion and Issuance of
Performance Plan</strong></td>
</tr>
<tr class="odd">
<td colspan="20">A copy of the elements, sub-elements and performance
standards has been provided to the employee and an opportunity to
discuss them with the Rating Official has been afforded to the
employee.</td>
</tr>
<tr class="even">
<td colspan="16">6. Employee’s Name <em>(Print or Type)</em> and
Signature</td>
<td colspan="4">Date</td>
</tr>
<tr class="odd">
<td colspan="16"><strong>     </strong></td>
<td colspan="4"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="16">7. Rating Official’s Name <em>(Print or Type)</em> and
Signature</td>
<td colspan="4">Date</td>
</tr>
<tr class="odd">
<td colspan="16"><strong>     </strong></td>
<td colspan="4"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="16">8. Reviewing Official’s Name <em>(Print or Type)</em>
and Signature</td>
<td colspan="4">Date</td>
</tr>
<tr class="odd">
<td colspan="16"><strong>     </strong></td>
<td colspan="4"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="11" rowspan="5"><p><strong>9. Progress Reviews</strong></p>
<p>Frequent progress reviews are recommended and should include both
interim assessment of performance and a review of the continuing
appropriateness of the performance plan’s standards, including the
weighting (points assigned) to each standard. At a minimum, one formal
progress review is required, usually at about the midpoint of the
appraisal period. The dates of progress reviews are to be recorded, and
both the employee and the Rating Official are to initial using the boxes
to the right.</p></td>
<td colspan="5"><p><strong>Employee’s</strong></p>
<p><strong>Initials</strong></p></td>
<td colspan="3"><p><strong>Rating</strong></p>
<p><strong>Official’s</strong></p>
<p><strong>Initials</strong></p></td>
<td><strong>Date</strong></td>
</tr>
<tr class="odd">
<td colspan="5"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="5"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="5"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="5"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="20"><strong>10. Reasons For Appraisal</strong> <em>(to
receive a rating, the employee must have served at least 90 days under
an established performance plan, under the same Rating
Official):</em></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="18">Annual Rating of Record</td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="4">Rating of Record for reasons other than Annual rating
<em>(specify reason).</em></td>
<td colspan="14"><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="18"><em>(You must contact the Employee Relations staff in
Personnel Services when you use this reason for appraisal.)</em></td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="18">Advisory Rating for detail or time limited of 120 days
or more.</td>
</tr>
<tr class="even">
<td colspan="2"></td>
<td colspan="18">Advisory Rating due to employee’s position change.</td>
</tr>
<tr class="odd">
<td colspan="2"></td>
<td colspan="18">Advisory Rating assigned due to Rating Official leaving
<em>(employee was supervised at least 90 days under an established
performance plan.)</em></td>
</tr>
<tr class="even">
<td colspan="4" rowspan="2"><strong>11. Critical Elements
Rating</strong></td>
<td rowspan="2"><h4 id="points-earned">Points Earned</h4></td>
<td colspan="15"><h4 id="rating-level">Rating Level</h4></td>
</tr>
<tr class="odd">
<td colspan="5"><h4 id="s">S</h4></td>
<td colspan="3"><h4 id="m">M</h4></td>
<td colspan="5"><h4 id="n">N</h4></td>
<td colspan="2"><h4 id="u">U</h4></td>
</tr>
<tr class="even">
<td colspan="4">1. Stakeholder/Customer/Client</td>
<td><h4 id="section-2">     </h4></td>
<td colspan="5"><h4 id="section-3"></h4></td>
<td colspan="3"><h4 id="section-4"></h4></td>
<td colspan="5"><h4 id="section-5"></h4></td>
<td colspan="2"><h4 id="section-6"></h4></td>
</tr>
<tr class="odd">
<td colspan="4">2. Financial</td>
<td><h4 id="section-7">     </h4></td>
<td colspan="5"><h4 id="section-8"></h4></td>
<td colspan="3"><h4 id="section-9"></h4></td>
<td colspan="5"><h4 id="section-10"></h4></td>
<td colspan="2"><h4 id="section-11"></h4></td>
</tr>
<tr class="even">
<td colspan="4">3. Internal Systems &amp; Processes</td>
<td><h4 id="section-12">     </h4></td>
<td colspan="5"><h4 id="section-13"></h4></td>
<td colspan="3"><h4 id="section-14"></h4></td>
<td colspan="5"><h4 id="section-15"></h4></td>
<td colspan="2"><h4 id="section-16"></h4></td>
</tr>
<tr class="odd">
<td colspan="4">4. Leadership/Management/Supervision</td>
<td><h4 id="section-17">     </h4></td>
<td colspan="5"><h4 id="section-18"></h4></td>
<td colspan="3"><h4 id="section-19"></h4></td>
<td colspan="5"><h4 id="section-20"></h4></td>
<td colspan="2"><h4 id="section-21"></h4></td>
</tr>
<tr class="even">
<td colspan="4"><strong>T</strong><strong>otal Points</strong></td>
<td><h4 id="section-22">     </h4></td>
<td colspan="15"><h4
id="elements-rating-level-mark-x-in-appropriate-boxes"><strong>Elements
Rating Level-mark (X) in appropriate boxes</strong></h4></td>
</tr>
<tr class="odd">
<td colspan="20"><h4 id="summary-rating">12. Summary Rating</h4></td>
</tr>
<tr class="even">
<td></td>
<td colspan="19"><h4
id="s---significantly-exceeds-expectations-90-or-more-points-earned-at-least-two-elements-rated-as-s-and">S
- SIGNIFICANTLY EXCEEDS EXPECTATIONS: <strong>90 or more points earned,
at least two elements rated as</strong> S<strong>, and</strong> </h4>
<h4 id="no-element-rated-as-n-or-u."><strong>no element rated
as</strong> N <strong>or</strong> U<strong>.</strong></h4></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="19"><h4
id="m---meets-expectations-does-not-meet-s-rating-requirements-and-either-1-70-or-more-points-earned-no-more">M
- MEETS EXPECTATIONS: <strong>Does not meet</strong> S <strong>rating
requirements and EITHER (1) 70 or more points earned, no more</strong>
</h4>
<h4
id="than-1-element-is-rated-as-n-and-none-at-u-or-2-all-4-elements-rated-as-m."><strong>than
1 element is rated as</strong> N <strong>and none at</strong>
U<strong>;</strong> <strong>OR (2) all 4 elements rated as
M.</strong></h4></td>
</tr>
<tr class="even">
<td></td>
<td colspan="19"><h4
id="n---needs-improvement-less-than-70-points-earned-at-least-one-element-rated-as-n-and-none-rated-as-u">N
- NEEDS IMPROVEMENT: <strong>Less than 70 points earned, at least one
element rated as</strong> N <strong>and none rated as</strong>
U<strong>;</strong> </h4>
<h4
id="or-2-or-more-elements-rated-as-n-and-none-rated-as-u-regardless-of-points-earned."><strong>OR
2 or more elements rated as</strong> N <strong>and none rated
as</strong> U <strong>(regardless of points earned).</strong></h4></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="19"><h4
id="u---unacceptable-one-or-more-elements-rated-as-u.">U -
UNACCEPTABLE<strong>: One or more elements rated as</strong>
U<strong>.</strong> </h4></td>
</tr>
<tr class="even">
<td colspan="20"><h4 id="certification-of-summary-rating">13.
Certification of Summary Rating</h4></td>
</tr>
<tr class="odd">
<td colspan="20"><h4
id="the-performance-rating-documented-on-this-form-has-been-discussed-with-the-employee-and-the-employee-has-been-given-a-copy."><strong>The
performance rating documented on this form has been discussed with the
employee and the employee has been given a copy.</strong></h4></td>
</tr>
<tr class="even">
<td colspan="12"><h4 id="employees-signature"><strong>Employee’s
Signature</strong></h4></td>
<td colspan="8"><h4 id="date"><strong>Date</strong></h4></td>
</tr>
<tr class="odd">
<td colspan="12"><h4 id="section-23"></h4></td>
<td colspan="8"><h4 id="section-24"></h4></td>
</tr>
<tr class="even">
<td colspan="12"><h4 id="rating-officials-signature"><strong>Rating
Official’s Signature</strong></h4></td>
<td colspan="8"><h4 id="date-1"><strong>Date</strong></h4></td>
</tr>
<tr class="odd">
<td colspan="12"><h4 id="section-25"></h4></td>
<td colspan="8"><h4 id="section-26"></h4></td>
</tr>
<tr class="even">
<td colspan="12"><h4
id="reviewing-officials-signature"><strong>Reviewing Official’s
Signature</strong></h4></td>
<td colspan="8"><h4 id="date-2"><strong>Date</strong></h4></td>
</tr>
<tr class="odd">
<td colspan="12"><h4 id="section-27"></h4></td>
<td colspan="8"><h4 id="section-28"></h4></td>
</tr>
</tbody>
</table>

  ------------ ------------------------------------------------------------
  **Employee   **     **
  Name:**      

  ------------ ------------------------------------------------------------

+-----------------------------------------------------+-----+-----+---+
| **[ELEMENT 1:]{.underline}                          |     |     |   |
| Stakeholder/Customer/Client:** Address key outcomes |     |     |   |
| for the unit's or program's stakeholder, which      |     |     |   |
| could include external customers                    |     |     |   |
|                                                     |     |     |   |
| and constituencies and internal clients. At a       |     |     |   |
| minimum, includes levels of satisfaction with the   |     |     |   |
| unit's or program's products and services.          |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
| **TOTAL POINTS FOR CRITICAL ELEMENT 1**             |     |     |   |
+-----------------------------------------------------+-----+-----+---+

+-----------------------------------------------------+-----+-----+---+
| **[ELEMENT 2:]{.underline} Financial:** Addresses   |     |     |   |
| key financial outcomes for the organizational unit  |     |     |   |
| or program(s) for which the manager is responsible. |     |     |   |
|                                                     |     |     |   |
| At minimum, this includes use of budgetary          |     |     |   |
| resources.                                          |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
| **TOTAL POINTS FOR CRITICAL ELEMENT 2**             |     |     |   |
+-----------------------------------------------------+-----+-----+---+

+-----------------------------------------------------+-----+-----+---+
| **[ELEMENT 3:]{.underline} Internal Systems &       |     |     |   |
| Processes:** Addresses key outcomes for how the     |     |     |   |
| unit's or program's work is accomplished in an      |     |     |   |
| effective and/or                                    |     |     |   |
|                                                     |     |     |   |
| improved manner (i.e., through operational systems, |     |     |   |
| processes, policies, procedures, etc.)              |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
|                                                     |     |     |   |
+-----------------------------------------------------+-----+-----+---+
| **TOTAL POINTS FOR CRITICAL ELEMENT 3**             |     |     |   |
+-----------------------------------------------------+-----+-----+---+

+--------+-------------------------------------------+-----+-----+---+
| **Em   | **     **                                 |     |     |   |
| ployee |                                           |     |     |   |
| N      |                                           |     |     |   |
| ame:** |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| **[E   |                                           |     |     |   |
| LEMENT |                                           |     |     |   |
| 4:]    |                                           |     |     |   |
| {.unde |                                           |     |     |   |
| rline} |                                           |     |     |   |
| Leader |                                           |     |     |   |
| ship/M |                                           |     |     |   |
| anagem |                                           |     |     |   |
| ent/Su |                                           |     |     |   |
| pervis |                                           |     |     |   |
| ion:** |                                           |     |     |   |
| Add    |                                           |     |     |   |
| resses |                                           |     |     |   |
| key    |                                           |     |     |   |
| ou     |                                           |     |     |   |
| tcomes |                                           |     |     |   |
| that   |                                           |     |     |   |
| a      |                                           |     |     |   |
| ddress |                                           |     |     |   |
| mana   |                                           |     |     |   |
| gerial |                                           |     |     |   |
| duties |                                           |     |     |   |
| and    |                                           |     |     |   |
| beha   |                                           |     |     |   |
| vioral |                                           |     |     |   |
| attr   |                                           |     |     |   |
| ibutes |                                           |     |     |   |
| that:  |                                           |     |     |   |
| (1)    |                                           |     |     |   |
|        |                                           |     |     |   |
| are    |                                           |     |     |   |
| f      |                                           |     |     |   |
| ocused |                                           |     |     |   |
| solely |                                           |     |     |   |
| on the |                                           |     |     |   |
| mana   |                                           |     |     |   |
| gement |                                           |     |     |   |
| of     |                                           |     |     |   |
| people |                                           |     |     |   |
| and    |                                           |     |     |   |
| the    |                                           |     |     |   |
| work   |                                           |     |     |   |
| envir  |                                           |     |     |   |
| onment |                                           |     |     |   |
| within |                                           |     |     |   |
| the    |                                           |     |     |   |
| man    |                                           |     |     |   |
| ager's |                                           |     |     |   |
| organi |                                           |     |     |   |
| zation |                                           |     |     |   |
| or     |                                           |     |     |   |
| pr     |                                           |     |     |   |
| ogram; |                                           |     |     |   |
| and    |                                           |     |     |   |
|        |                                           |     |     |   |
| \(2\)  |                                           |     |     |   |
| succes |                                           |     |     |   |
| sfully |                                           |     |     |   |
| s      |                                           |     |     |   |
| upport |                                           |     |     |   |
| BPA's  |                                           |     |     |   |
| HPO    |                                           |     |     |   |
| Objec  |                                           |     |     |   |
| tives. |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| **L    |                                           |     |     |   |
| eaders |                                           |     |     |   |
| hip**: |                                           |     |     |   |
| Add    |                                           |     |     |   |
| resses |                                           |     |     |   |
| s      |                                           |     |     |   |
| etting |                                           |     |     |   |
| dir    |                                           |     |     |   |
| ection |                                           |     |     |   |
| and    |                                           |     |     |   |
| ma     |                                           |     |     |   |
| naging |                                           |     |     |   |
| work.  |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| **Tal  |                                           |     |     |   |
| ent:** |                                           |     |     |   |
| Add    |                                           |     |     |   |
| resses |                                           |     |     |   |
| bu     |                                           |     |     |   |
| ilding |                                           |     |     |   |
| and    |                                           |     |     |   |
| fos    |                                           |     |     |   |
| tering |                                           |     |     |   |
| a      |                                           |     |     |   |
| ta     |                                           |     |     |   |
| lented |                                           |     |     |   |
| work   |                                           |     |     |   |
| force. |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| *      |                                           |     |     |   |
| *Motiv |                                           |     |     |   |
| ation/ |                                           |     |     |   |
| Alignm |                                           |     |     |   |
| ent:** |                                           |     |     |   |
| Add    |                                           |     |     |   |
| resses |                                           |     |     |   |
| moti   |                                           |     |     |   |
| vating |                                           |     |     |   |
| and    |                                           |     |     |   |
| al     |                                           |     |     |   |
| igning |                                           |     |     |   |
| staff  |                                           |     |     |   |
| around |                                           |     |     |   |
| or     |                                           |     |     |   |
| ganiza |                                           |     |     |   |
| tional |                                           |     |     |   |
| pu     |                                           |     |     |   |
| rpose, |                                           |     |     |   |
| goals, |                                           |     |     |   |
| strat  |                                           |     |     |   |
| egies, |                                           |     |     |   |
| and    |                                           |     |     |   |
| re     |                                           |     |     |   |
| sults. |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| **Po   |                                           |     |     |   |
| sitive |                                           |     |     |   |
| Work   |                                           |     |     |   |
| En     |                                           |     |     |   |
| vironm |                                           |     |     |   |
| ent:** |                                           |     |     |   |
| Add    |                                           |     |     |   |
| resses |                                           |     |     |   |
| wor    |                                           |     |     |   |
| kforce |                                           |     |     |   |
| and    |                                           |     |     |   |
| wor    |                                           |     |     |   |
| kplace |                                           |     |     |   |
| dive   |                                           |     |     |   |
| rsity, |                                           |     |     |   |
| supp   |                                           |     |     |   |
| ortive |                                           |     |     |   |
| work   |                                           |     |     |   |
| enviro |                                           |     |     |   |
| nment, |                                           |     |     |   |
| co     |                                           |     |     |   |
| mmunic |                                           |     |     |   |
| ation, |                                           |     |     |   |
| and    |                                           |     |     |   |
| co     |                                           |     |     |   |
| nflict |                                           |     |     |   |
| resol  |                                           |     |     |   |
| ution. |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
|        |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| *      |                                           |     |     |   |
| *TOTAL |                                           |     |     |   |
| POINTS |                                           |     |     |   |
| FOR    |                                           |     |     |   |
| CR     |                                           |     |     |   |
| ITICAL |                                           |     |     |   |
| E      |                                           |     |     |   |
| LEMENT |                                           |     |     |   |
| 4**    |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+
| *      |                                           |     |     |   |
| *TOTAL |                                           |     |     |   |
| P      |                                           |     |     |   |
| OINTS/ |                                           |     |     |   |
| RATING |                                           |     |     |   |
| FOR    |                                           |     |     |   |
| ALL    |                                           |     |     |   |
| CR     |                                           |     |     |   |
| ITICAL |                                           |     |     |   |
| ELEM   |                                           |     |     |   |
| ENTS** |                                           |     |     |   |
|        |                                           |     |     |   |
| *      |                                           |     |     |   |
| *(Base |                                           |     |     |   |
| Level  |                                           |     |     |   |
| Points |                                           |     |     |   |
| must   |                                           |     |     |   |
| equal  |                                           |     |     |   |
| 88;    |                                           |     |     |   |
| Extra  |                                           |     |     |   |
| Points |                                           |     |     |   |
| As     |                                           |     |     |   |
| signed |                                           |     |     |   |
| must   |                                           |     |     |   |
| equal  |                                           |     |     |   |
| 12)**  |                                           |     |     |   |
+--------+-------------------------------------------+-----+-----+---+

(**88) (12)**

> **Appendix B**

## AVOIDING COMMON ERRORS IN WRITING PERFORMANCE STANDARDS

# [Reasonableness of Performance Standards]{.underline}

Performance standards must be applied in a reasonable manner and should
be based on objective criteria, which is communicated to the employee in
advance. Standards that allow for no errors (i.e., absolute performance
standards) might not be considered reasonable, except when a single
failure to perform under a critical element would result in loss of
life, injury, or breach of national security, or great monetary loss.

### Avoid "Backwards" Standards

MSPB case law requires that an employee understand the level of
performance needed for retention in the position. A common error to
avoid is describing a performance standard in terms of work that does
not get done instead of what must be done to meet the standard for
retention. Describing such negative performance is considered by MSPB to
actually portray Unacceptable performance. For example, a standard that
states "fails to meet deadlines" or "performs work inaccurately" allow
an employee to do virtually no work or to do it poorly and still meet
the performance standard. Hence, MSPB considers such "backward"
standards to be invalid.

> Appendix C

####### [SAMPLE MANAGERIAL/SUPERVISORY]{.underline} 

####### [PERFORMANCE PLAN STANDARDS]{.underline} 

####### For Assessing Performance for Critical Element #4\--Leadership/Management/Supervision

This guidance will assist in aligning performance standards for this
element with the following People and Culture perspective targets in the
BPA Balanced Scorecard:

#######  {#section-29}

> P1: Leaders set clear direction and are accountable for results.
>
> P2: BPA invests in a talented workforce to achieve strategic results.
>
> P3: Effective feedback motivates and aligns employees around
> meaningful work.
>
> P4: BPA's positive work environment enables its people to do their
> best work.

The element includes four sub-elements, which are required and may not
be amended or revised. The sub-elements are numbered below, along with
their definitions and sample standards.

**[HOW TO CREATE YOUR ELEMENT #4\--PERFORMANCE PLAN
STANDARDS]{.underline}**

The combined base-level point value assigned to element #4 must equal at
least 22 points. However, Rating Officials are encouraged to allocate
more points to element #4, as appropriate, to correspond to the amount
of time that the manager is expected to devote towards accomplishing the
expected results. Many actions that lead to the successful
accomplishments of program objectives are done through the aspects of
performance defined in the four sub-elements. For example, when a
manager is successfully accomplishing the goals of a large program or
project, he/she is clearly exhibiting dimensions of leadership, planning
and managing work, motivating employees, communicating, and so on. Some
of the "credit" for goal accomplishment should be rightfully attributed
to those management/supervisory skills.

The sample standards that follow are presented as a "starting point" for
consideration to assist Rating Officials in developing standards that
reflect expected results for a particular manager in a particular year.
The purpose is to create and use measurable standards that are
reasonable indicators of performance in these four sub-elements. When
using Employee Survey Work Group scores, consider that continuous
improvement is not always appropriate.

Select **SMART** goals/standards with specific measures so that
expectations are clear and managers can assess progress on their own.

-   **SMART** goals are: **S**pecific, **M**easurable, **A**chievable,
    **R**elevant, and **T**ime phased. There should be mutual agreement.
    Specifics would typically include: quality, quantity, timeliness,
    budget or cost effectiveness, and customer and/or employee
    satisfaction, although all may not apply to all critical element #4
    standards.

**1. [LEADERSHIP:]{.underline}** Covers setting direction and managing
work.

> Manager communicates direction and strategies linked to agency vision,
> mission, and expectations so that employees can understand and align
> their energy, creativity, and individual contribution with that
> strategy. In doing so, the manager models high standards of integrity,
> trust, and respect. He/she provides a performance culture. The manager
> sets work group direction and standards, and is accountable for
> organizational results, accepting the risks and responsibilities
> associated with timely and difficult decisions. In some positions,
> translating strategy, clarifying goals and setting direction is
> appropriate for leadership among outside stakeholders (customers,
> constituents, partners, and suppliers).
>
> Manager creates strategy-linked performance standards with
> measurements, in partnership with employees. Employees are retained,
> rewarded, or separated on the basis of their performance against these
> standards. He/she manages resources, people, and budget so that
> targeted business results are achieved.
>
> Sample Standards:

-   Create, in collaboration with direct reports, a BPA aligned BSC for
    the workgroup by (*enter date*) including FY targets in each
    perspective, and meet with (*enter percentage*) of employees by
    (*enter date* *no later than end of the second month of the fiscal
    year*) to discuss the targets and their relationship to the agency
    BSC and assure understanding evidenced by documentation of the
    meetings.

-   Demonstrates sponsorship and support for (*enter name of higher
    level or agency initiative)* by delivering documented (*enter
    number*) personal presentations on the vision and need for the
    initiative to (*enter number*) stakeholder groups by (*enter date);*
    aligning the workgroup goals and processes to support the
    initiative/change, as evidenced by (*select frequency:
    monthly/quarterly*) review and feedback from (*enter name or
    position of initiative lead or sponsor).*

-   Consistently demonstrates support for the concept and culture of One
    BPA by communicating in writing and in conversation with direct
    reports by (*enter date*), the reasons and value to be gained from
    reducing/eliminating redundant services and finding efficiencies;
    and by engaging in relevant discussions until decisions are made and
    then consistently supporting initiative decisions, as evidenced by
    observation and (*enter frequency of request for*) requests for
    feedback on behavior from *(enter names or positions)* and their
    responses.

-   By *(enter date)* sets and communicates written long and short-term
    realistic program/workgroup objectives aligned with BPA goals and
    targets. Initial objectives/targets are in place for the workgroup
    by *(enter date*). Objectives/targets are reviewed and revised as
    needed *(enter frequency, e.g., quarterly).*

-   Creates strategy-linked written (*select individual or team*)
    performance expectations (which serve to supplement official
    performance plans) that include a description of targeted results,
    timelines, client or other satisfaction ratings and resource
    allocations with each employee by (*enter date*), evidenced by
    completed performance plan documents.

-   Establishes and uses a formal process for developing goals and
    updating performance plans by (*enter date*) for (*enter percentage
    or number)* direct reports, as evidenced by written performance
    plans and (*enter frequency*) reviews.

-   Routinely prepares budgets that are realistic and attainable, using
    cost control techniques effectively, evidenced by documentation,
    review, and discussion with manager, and/or by comparison of actual
    expenses to budgets, by *(enter date)* and reviewed *(enter
    frequency, e.g., monthly, bi-monthly, quarterly, etc.).*

-   Assures that the workgroup uses the adopted agency decision making
    framework for issues and recommendations within its scope, by
    explaining the criteria to (*enter percent*) of employees and
    identifying situations within the workgroup's scope,requiring use of
    the framework by (*enter date*) as evidenced by a documented list of
    applicable situations.

-   Routinely identifies and shares information on dependencies in
    initiatives and targets before finalizing performance plans so that
    plans are completed by *(enter date)* and interdependent
    organizations have no surprises evidenced by feedback from *(enter
    number)* peer managers by (*enter date before mid year*).

-   Establishes project teams, when appropriate, using a mutually
    developed written team charter that includes scope, expected
    results, milestones, decision authority, and timelines, evidenced by
    the written charter addressing all components and completed within
    *(enter time period*) of the team's creation.

-   Effectively establish and support the (*enter project name*) team's
    success by clearly defining the project scope, defining the
    timeframe, delegating responsibility, resources, and authority and
    running interference outside the team, as evidenced by *(enter
    frequency)* team feedback showing a 75% or higher degree of
    satisfaction with these tasks.

**2. [TALENT:]{.underline}** Covers building and fostering a talented
workforce.

Manager insures that the Business Unit workforce plan identifies current
and future staffing needs, based on mission, strategy, and customer
expectations. Succession plans, addressing mission critical occupations,
are implemented. To ensure high quality capability, he/she recruits,
selects, and advances, on the basis of merit, people with the right
skills and behaviors, that are learning agile, take initiative, and who
are results-oriented. Where appropriate, human resource tools and
flexible compensation strategies, such as recruitment and relocation
bonuses, retention allowances, student loan repayment, superior
qualifications appointments, special salary rates, etc., are utilized to
recruit and retain quality employees who have mission critical
knowledge, skills, abilities, and competencies.

Manager creates a culture of continuous learning and employee
development. He/she ensures employees have job-relevant knowledge and
the up-to-date skills necessary to accomplish organizational goals.
Manager ensures that employees make the best use of information
technology to perform their work and gather and share knowledge.

> Sample Standards:

## Attracts and Retains Employees Needed

-   A staffing plan, which effectively anticipates and addresses
    staffing challenges, is developed by *(enter date)* and reviewed
    and/or updated every *(enter either quarterly or semi-annually).*

-   Meets or exceeds a target of *(enter percentage)* in the 2004
    employee survey, Q#30 "The workforce has the job-relevant knowledge
    and skills necessary to accomplish organizational goals."

-   Effectively maintains a retention rate for *(select either all staff
    members or identify an occupation series)* of *(identify percentage
    of retention rate desired for each occupation series)*, evaluated at
    *(select either quarterly or mid-year)*.

-   Develops succession plans, addressing mission critical occupations
    *(identify which positions)*, by *(enter date),* and implemented by
    *(enter date)*, and reviewed *(enter frequency, e.g,. quarterly,
    semi-annually).*

# Development

-   A skill gap analysis is completed by *(enter date)* for *(select one
    of: all positions; identified key positions; \_\_\_\_\_\_ percentage
    of the workforce).*

-   Skill gap closure is reviewed *(select either quarterly or
    semi-annually)* by manager, workgroup skill gaps have been reduced
    by *(enter percentage)* at mid-year, and by *(enter percentage)* at
    end-of-year.

-   Individual Development Plans (IDPs) are in place and reviewed by
    *(enter date)* and updated *(select either quarterly* or
    *semi-annually)* for *(identified employees)* to monitor progress in
    gap closures, evidenced by a score of at least *(enter percentage)*
    on *(choose one or more of the following):*

    -   Q#4, "I am given a real opportunity to improve my skills in my
        organization."

    -   Q#9, "I receive the training I need to perform my job."

    -   Q#10, "I am provided with training that enhances my career
        advancement opportunities."

    -   Q#11, "Training and career development opportunities for
        employees are allocated fairly."

    -   Q#58, "My supervisor actively supports my career development."

-   "Lessons Learned" are regularly and effectively reinforced through
    discussing with employees how they will apply training at work,
    doing regular "post mortems" on major work group assignments, and
    sharing the lessons learned with other organizations, or by other
    mechanisms such as employee feedback on a *(select either monthly*
    or *quarterly)* basis, and documented by the manager.

-   Effective coaching and/or mentoring is generally provided to all
    employees as evidenced by mechanisms such as employee feedback, to
    be provided to the manager at least on a *(select either monthly,
    quarterly, or semi-annually)* basis, and documented.

-   Create a SMART personal development plan to improve (*enter
    competency\[ies\]*) by (*enter date*) and complete the plan by
    (*enter date*). Document feedback requested and received on progress
    from (*enter names or number of 2-4 colleagues*) at least (*select
    frequency\--monthly, quarterly, or semi-annually*) to track
    progress.

-   **For personal development:** consider these 18 competencies most
    connected to the execution of BPA's strategy and your high
    performance as a manager:

+-----------------------------------+-----------------------------------+
| Dealing with Ambiguity (#2)       | Organizing (#39)                  |
|                                   |                                   |
| Conflict Management (#12)         | Planning (#47)                    |
|                                   |                                   |
| Creativity (#14)                  | Priority Setting (#50)            |
|                                   |                                   |
| Developing Direct Reports (#19)   | Problem Solving (#51)             |
|                                   |                                   |
| Directing Others (#20)            | Process Management (#52)          |
|                                   |                                   |
| Innovation Management (#28)       | Drive for Results (#53)           |
|                                   |                                   |
| Managerial Courage (#34)          | Strategic Agility (#58)           |
|                                   |                                   |
| Managing and Measuring Work (#35) | Building Effective Teams (#60)    |
|                                   |                                   |
| Motivating Others (#36)           | Managing Vision and Purpose (#65) |
+-----------------------------------+-----------------------------------+

> Pick just one or two for development and use the corresponding chapter
> of [FYI, For Your Improvement,]{.underline} as a guide for personal
> development planning.

**3. [MOTIVATION/ALIGNMENT:]{.underline}** Covers motivating and
aligning staff around organizational goals, strategies, and results.

Manager insures that employees know how their work and the work of their
group supports and advances the accomplishment of BPA's mission and
holds them accountable for achieving targeted results. Employees are
engaged in work that makes good use of their skills and abilities. A
direct link exists between employee performance management and
recognition\--high performance is valued and recognized, while poor
performance is addressed.

Manager involves employees in improving the quality of products,
services, and work products. Creates an atmosphere of personal
accountability, empowerment and ownership of organizational results.
Delegates responsibility and authority where appropriate. Employees have
a sense of personal accomplishment.

######### Sample Standards

-   (*Select monthly/quarterly*) Asks for personal, direct, and specific
    feedback from (*enter number*) (*select clients and/or direct
    reports)* regarding their expectations, and reports back to the
    feedback sources with the same frequency on intended
    adjustments/changes, as evidenced by the reporting back
    documentation.

-   Develops a written individual FY work agreement defining the top
    priorities, due dates, and expected outcomes, by (*enter date*),
    with (*enter percentage from 75-95%)* of direct reports, and
    conducts (*select from monthly/bi-monthly/quarterly)* individual
    reviews/updates to track progress, coach, and provide feedback as
    evidenced by agreement documentation.

-   Conducts (*select from monthly/bi-monthly/quarterly)* reviews on
    target/work agreement progress with the workgroup, adjusting work
    assignments and resources as necessary to achieve identified
    targets, evidenced by work agreement documentation and employee
    attendance/participation at the reviews/updates.

-   Celebrates individual and team successes in alignment with their
    motivation as evidenced by a documented record of special
    recognition given over (*enter timeframe such as ten months*) and
    including the purpose and considered personal motivation.

-   Demonstrates an understanding of what motivates each direct report
    at work, evidenced by completion of (*select from survey or
    documented conversation*) with (*enter number or percentage*) of
    direct reports by (*enter date*) to learn or review what motivates
    that person at work.

-   Creates and maintains an environment that effectively involves and
    empowers employees (e.g., employee ideas are regularly solicited,
    employees are typically involved in decisions affecting their work,
    appropriate delegation occurs, and learning from mistakes, shared
    learning, and teamwork is regularly fostered), as evidenced by an
    employee survey score of at *(enter percentage for each questions
    selected)* on *(choose one or more of the following)*:

    -   Q#2, My supervisor lets me know how my work contributes to the
        organization's mission and goals"

    -   Q#22, "My supervisor provides an environment that supports
        employee involvement, contributions, and teamwork"

    -   Q#41, "My supervisor understands and supports my family/personal
        life responsibilities"

    -   Q#47, "How effective is your supervisor at motivating/inspiring
        others?"

    -   Q#59, "How would you rate your involvement in decisions that
        affect your work?"

-   Builds effective teams through training programs *(select attending
    one session either bi-monthly or quarterly)* that include:

    -   Motivating Others (#004051)

    -   Hook & Trigger\--Improving Communication (#004509)

    -   Having Difficult Conversations (#002981)

    -   Building Effective Teams (#004583)

    -   Coaching Inside Out for Teams (#002479)

    -   Managing & Measuring Work (#004281)

    -   Facilitated Dialogue (#004128)

    -   Managing Interpersonal Conflict (#00492)

    -   Kolbe Cognitive Index (#002770)

    -   Meyers-Briggs Overview (#002769)

    -   Collaborative Work Teams Refresher (#001361)

> As measured by *(options: a positive team feedback of (enter
> number/percentage)* that rates the work environment as positive
> *(select frequency, e.g., quarterly, semi-annually*); team
> productivity *(identify product)* increase of *(select number or
> percentage) (select frequency, e.g., quarterly, semi-annually);* an
> increase in customer service satisfaction *(identify service)* of
> *(identify percentage) (identify frequency, e.g., quarterly,
> semi-annually, etc.)*.

-   Team takes *(Select a percentage or number of people on the team)*
    Energy Online Courses on Building Effective Teams,
    [http://webip1/EBR/ODP/OnePager/Building%20Effective%20Teams%20%2360.doc](http://webip1/EBR/ODP/OnePager/Building Effective Teams %2360.doc)

-   Manager and team members jointly select one or more of the Team
    Building Exercises *(select either monthly, bi-monthly or
    quarterly)* from [http://webip1/EBR/ODP/Building effective teams
    links/Team Building
    Exercises.doc](http://webip1/EBR/ODP/Building effective teams links/Team Building Exercises.doc).

> (Team feedback evaluates exercise as effectively building their team
> with a rating of *(enter target percentage, e.g. 85%) at the
> conclusion of each exercise.*

-   Contact CHD to schedule one of the following programs *(selected
    quarterly or semi-annually).*

    -   360 Feedback for Teams

    -   Thomas-Kilmann Conflict Mode Instrument

    -   Leadership Architect Suite: Team Architect

**4. [POSITIVE WORK ENVIRONMENT:]{.underline}** Covers workforce and
workplace diversity, supportive work environment, workplace safety,
communication, and conflict resolution.

> Manager routinely communicates with staff, as a group and one-on-one,
> regarding agency, organization, and individual issues. Ensures systems
> are fair and open.
>
> Manager creates and supports an emotionally and psychologically
> healthy, harassment-free, workplace. Ensures a physically safe work
> environment. Manager fosters open dialogue. He/she seeks and responds
> to suggestions and ideas. Develops a workforce receptive to change.
> Resolves disputes and conflicts fairly. Holds self and employees
> accountable for appropriate conduct.
>
> Manager supports employees' efforts to balance work and personal life.
> Utilizes work/life flexibilities, facilities, services, and human
> resource programs, as appropriate, to make the organization a more
> attractive place to work and to build competitive advantage. Tools
> include flexi-time, flexi-place, leave, credit hours, compensatory,
> and overtime.

Manager develops teams diverse in areas of gender, race, culture,
talent, ideas, and experience to achieve organizational goals. Fosters
an environment that values diversity and promotes inclusiveness.

> **Sample Standards:**

-   Improve the quality of the work environment by collecting
    information from employees *(e.g., via exit interviews/forms, group
    meetings, or individuals)* (*select monthly, quarterly, annually)*
    to determine key data necessary that results in establishing
    *(select how many or identify specific initiatives)* quality
    improvement goals and implementing *(select how many or a
    percentage)* by *(when).*

-   Develops and improves skills, as evidenced by a positive employee
    feedback target of *(enter percentage target or range)*, in dealing
    with workplace stress by taking appropriate training courses *(how
    many) (by what date)* that include:

    -   Stress management (#000116)

    -   Managing Interpersonal Conflict (#004492)

    -   Having Difficult Conversations (#002981)

    -   Increasing Human Effectiveness (#00118)

    -   Intermediate Negotiation Skills (#002816)

    -   Negotiation Skills (#002409)

    -   Difficult Conversation Follow-up (#003181)

    -   Hook & Trigger\--Improving Communication (#004509)

-   Develops a security and emergency management plan for the
    organization that provides an appropriate level of security for
    people, property and facilities that identifies potential areas of
    concerns, during emergencies by *(what date).* An action plan for
    assessing and resolving the areas of concerns will be developed by
    *(what date)* and *(what percentage/number)* will be implemented by
    *(what date). Reviews will be conducted (semi-annually or
    annually*.*)*

-   Provides *(what percentage)* of employees an update *(how often)* on
    the Harassment Free Workplace policy, including discussions of
    employee issues as evidenced by documentation of discussion/training
    or documentation in HRMIS (Diversity & HFWP Refresher-004098).
    *Discussions include at least one hour annually on the topic of
    Sexual Harassment Prevention.*

-   Ensures employees are properly trained in their specific duties,
    consistent with information provided by the technical training
    center, the Accident Prevention Manual, Operating Bulletins, and
    other technical manuals, and provides necessary supplies and
    equipment to prevent foreseeable accidents. The end-of-year Lost
    Time Accident rate in the work unit is no greater than *(add
    percentage)*.

-   Applies knowledge of, and enforces, safe work rules, practices, and
    policies, supports employee safety awareness, and assures that
    employees participate in safety related programs, as evidenced by:

    -   Safety meetings and safety training are attended by *(add
        percentage)* of employees, as documented by attendance records.

    -   The end-of-year Lost Time Accident rate in the work unit is no
        greater than than *(add percentage)*.

-   Ensures advancement opportunities are available for all qualified
    individuals by fostering an environment of inclusiveness in which
    individuals feel valued and respected for their experience,
    expertise and performance as evidenced by workforce representation
    statistics or by a score of \_\_\_\_\_ on:

    -   Q#26, "Advancement opportunities are available for qualified
        individuals, regardless of gender, race, national origin,
        religion, age, cultural background or disability" and/or

    -   Q#24, "Differences among individuals (for example, gender, race,
        national origin, religion, age, cultural background, disability)
        are respected and valued."

-   Increase employees awareness of work/life programs as listed on the
    family friendly website
    <http://webip1/EBR/PersonnelServices/FamFriend.htm>: (choose one to
    all).

    -   Adoption

    -   Flexible Work Schedules

    -   Family and Medical Leave Act

    -   Family Friendly Leave Act

    -   Reasonable Accommodation

    -   Smoking Cessation

    -   Telecommuting

    -   Other *(Spell out what other is)*

> By discussing information *(how often)* at employee meetings,
> distributing brochures, as evidenced by employee questions,
> participation in the various programs or by a score of on:

-   Q#41, "My supervisor understands and supports my family/personal
    life responsibilities." and/or

-   Q#42, "Employees are given the opportunity to work at home or on
    flexible work schedule, when the job permits (for example flextime,
    Part-time, Flexiplace.).

```{=html}
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```
-   Communicates with employees *(how often)* regarding information on
    important issues and changes regarding the Agency's conditions and
    operations and significant decisions affecting the work unit as
    evidence by positive employee feedback *(enter percentage of
    positive feedback, and frequency of feedback)*, or by a score of
    \_\_\_ on:

    -   Q#27, "My supervisor keeps me informed about the Agency's
        conditions and operations, as well as the choices it faces (for
        example, budget cuts, downsizing, reorganizations)".

-   Demonstrates support for the following programs (*choose one or
    all*):

```{=html}
<!-- -->
```
-   Harassment Free Workplace policy,

-   Alternative Dispute Resolution

-   Reasonable Accommodation

-   Employee Assistance Program

-   EEO

> By informing employees verbally or in writing of programs or by
> presentation of program by Program Manager at employee meetings (*or
> by other means\--identify means)* on a *(select monthly, bi-monthly or
> quarterly)* basis.

-   Treats employees fairly and honestly when dealing with disagreements
    and workforce disputes by remaining calm, encouraging discussion of
    problem in a non-confrontational manner, sharing problem-solving
    processes, including alternative dispute resolution as evidenced by
    employee feedback *(select percentage of positive feedback) (select
    method and frequency of feedback)* or a score of \_\_\_\_\_\_on:

    -   Q#17, Disputes or conflicts (for example, between co-workers,
        management and employees) are resolved fairly, and/or

    -   Q#18, Disciplinary actions are applied fairly to employees

-   Improve quality of project teams by including employees who are
    diverse, including in knowledge, skills and experience that work
    together cooperatively and effectively to achieve organizational
    goals, openly addressing different perspectives and achieve
    productive resolutions as evidenced by team work product *(identify
    product and definition of productive resolutions)* and/or as
    evidenced by a score of \_\_\_\_\_\_\_ on: (Choose one or both)

    -   Q#24, "Differences among individuals (for example: gender, race,
        national origin, religion, age, cultural background, disability
        are respected and valued) or,

    -   Q#25, "People treat each other with respect."

### FURTHER INFORMATION AND ASSISTANCE

-   For related skills training support contact Marilyn Berti at
    503-230-5117 or your employee development specialist:

> Corporate: Karl Hunrick, 503-230-3002
>
> Power: Alisa Lemon, 503-230-3581
>
> Transmission: Bonita Clark, 360-418-8059

-   For guidance on taking action to improve performance, contact
    Employee Relations:

> Power/Corporate Family: Don Rubard, 503-230-3852
>
> Transmission: Diana McLain, 503-230-4446

**Appendix D**

## CONVERSION OF EARNED POINT VALUES 

## TO ELEMENT RATING LEVELS

The conversion scale below is to be used to convert earned point values
(reflecting actual performance against established performance standard)
to an element rating level for each critical element.

**[Table Key]{.underline}:**

[Column A]{.underline} = Total Base-Level Points Assigned To All
Performance Standards Under The Critical Element

> (Excludes "extra" points\--See paragraphs X.E. through X.E.2.)

[Column B]{.underline} = Element Rating Level Based On Earned Points
(Note: The lowest point values shown in

> Column B for rating levels "M" and "N" are 80% and 70% of Column A,
> respectively.)

  -------------- -------------- -------------- -------------- --------------
  **Column A**   **Column B**                                 

                 **S**          **M**          **N**          **U**

  **58**         **59 or        **46-58**      **41-45**      **40 or
                 higher**                                     lower**

  **57**         **58 or        **46-57**      **40-45**      **39 or
                 higher**                                     lower**

  **56**         **57 or        **45-56**      **39-44**      **38 or
                 higher**                                     lower**

  **55**         **56 or        **44-55**      **39-43**      **38 or
                 higher**                                     lower**

  **54**         **55 or        **43-54**      **38-42**      **37 or
                 higher**                                     lower**

  **53**         **54 or        **42-53**      **37-41**      **36 or
                 higher**                                     lower**

  **52**         **53 or        **42-52**      **36-41**      **35 or
                 higher**                                     lower**

  **51**         **52 or        **41-51**      **36-40**      **35 or
                 higher**                                     lower**

  **50**         **51 or        **40-50**      **35-39**      **34 or
                 higher**                                     lower**

  **49**         **50 or        **39-49**      **34-38**      **33 or
                 higher**                                     lower**

  **48**         **49 or        **38-48**      **34-37**      **33 or
                 higher**                                     lower**

  **47**         **48 or        **38-47**      **33-37**      **32 or
                 higher**                                     lower**

  **46**         **47 or        **37-46**      **32=36**      **31 or
                 higher**                                     lower**

  **45**         **46 or        **36-45**      **32-35**      **31 or
                 higher**                                     lower**

  **44**         **45 or        **35-44**      **31-34**      **30 or
                 higher**                                     lower**

  **43**         **44 or        **34-43**      **30-33**      **29 or
                 higher**                                     lower**

  **42**         **43 or        **34-42**      **29-33**      **28 or
                 higher**                                     lower**

  **41**         **42 or        **33-41**      **29-32**      **28 or
                 higher**                                     lower**

  **40**         **41 or        **32-40**      **28-31**      **27 or
                 higher**                                     lower**

  **39**         **40 or        **31-39**      **27-30**      **26 or
                 higher**                                     lower**

  **38**         **39 or        **30-38**      **27-29**      **26 or
                 higher**                                     lower**

  **37**         **38 or        **30-37**      **26-29**      **25 or
                 higher**                                     lower**

  **36**         **37 or        **29-36**      **25-28**      **24 or
                 higher**                                     lower**

  **35**         **36 or        **28-35**      **25-27**      **24 or
                 higher**                                     lower**

  **34**         **35 or        **27-34**      **24-26**      **23 or
                 higher**                                     lower**

  **33**         **34 or        **26-33**      **23-25**      **22 or
                 higher**                                     lower**

  **32**         **33 or        **26-32**      **22-25**      **21 or
                 higher**                                     lower**

  **31**         **32 or        **25-31**      **22-24**      **21 or
                 higher**                                     lower**

  **30**         **31 or        **24-30**      **21-23**      **20 or
                 higher**                                     lower**

  **29**         **30 or        **23-29**      **20-22**      **19 or
                 higher**                                     lower**

  **28**         **29 or        **22-28**      **20-21**      **19 or
                 higher**                                     lower**

  **27**         **28 or        **22-27**      **19-21**      **18 or
                 higher**                                     lower**

  **26**         **27 or        **21-26**      **18-20**      **17 or
                 higher**                                     lower**
  -------------- -------------- -------------- -------------- --------------

**Appendix D (Continued)**

**[Table Key]{.underline}:**

[Column A]{.underline} = Total Base-Level Points Assigned To All
Performance Standards Under The Critical Element

> (Excludes "extra" points\--See paragraphs X.E. through X.E.2.)

[Column B]{.underline} = Element Rating Level Based On Earned Points
(Note: The lowest point values shown in

> Column B for rating levels "M" and "N" are 80% and 70% of Column A,
> respectively.)

  -------------- -------------- -------------- -------------- --------------
  **Column A**   **Column B**                                 

                 **S**          **M**          **N**          **U**

  **25**         **26 or        **20-25**      **18-19**      **17 or
                 higher**                                     lower**

  **24**         **25 or        **19-24**      **17-18**      **16 or
                 higher**                                     lower**

  **23**         **24 or        **18-23**      **16-17**      **15 or
                 higher**                                     lower**

  **22**         **23 or        **18-22**      **15-17**      **14 or
                 higher**                                     lower**

  **21**         **22 or        **17-21**      **15-16**      **14 or
                 higher**                                     lower**

  **20**         **21 or        **16-20**      **14-15**      **13 or
                 higher**                                     lower**

  **19**         **20 or        **15-19**      **13-14**      **12 or
                 higher**                                     lower**

  **18**         **19 or        **14-18**      **13**         **12 or
                 higher**                                     lower**

  **17**         **18 or        **14-17**      **12-13**      **11 or
                 higher**                                     lower**

  **16**         **17 or        **13-16**      **11-12**      **10 or
                 higher**                                     lower**

  **15**         **16 or        **12-15**      **11**         **10 or
                 higher**                                     lower**

  **14**         **15 or        **11-14**      **10**         **9 or lower**
                 higher**                                     

  **13**         **14 or        **10-13**      **9**          **8 or lower**
                 higher**                                     

  **12**         **13 or        **10-12**      **8-9**        **7 or lower**
                 higher**                                     

  **11**         **12 or        **9-11**       **8**          **7 or lower**
                 higher**                                     

  **10**         **11 or        **8-10**       **7**          **6 or lower**
                 higher**                                     
  -------------- -------------- -------------- -------------- --------------

**Appendix E**

## EXAMPLES OF SUMMARY RATING DETERMINATIONS

The tables below provide examples of how element-rating levels are
correctly converted into a summary rating level.

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-30} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #1 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 20              | 2                 | 21     | S      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 28              | 4                 | 32     | S      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 2                 | 11     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 28              | 4                 | 30     | S      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 94     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "S"      |                   |        |        |
| ummary Rati | because 90 or   |                   |        |        |
| ng {#summar | more total      |                   |        |        |
| y-rating-1} | points were     |                   |        |        |
|             | earned, at      |                   |        |        |
|             | least 2         |                   |        |        |
|             | elements were   |                   |        |        |
|             | rated "S" and   |                   |        |        |
|             | no elements     |                   |        |        |
|             | were rated "N"  |                   |        |        |
|             | or "U."         |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-31} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #2 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 2                 | 14     | S      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 1                 | 10     | M      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 22              | 3                 | 20     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 42              | 6                 | 46     | S      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 90     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "S"      |                   |        |        |
| ummary Rati | because 90 or   |                   |        |        |
| ng {#summar | more total      |                   |        |        |
| y-rating-2} | points were     |                   |        |        |
|             | earned, at      |                   |        |        |
|             | least 2         |                   |        |        |
|             | elements were   |                   |        |        |
|             | rated "S" and   |                   |        |        |
|             | no elements     |                   |        |        |
|             | were rated "N"  |                   |        |        |
|             | or "U."         |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-32} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #3 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 30              | 4                 | 34     | S      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 10              | 2                 | 10     | M      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 26              | 3                 | 26     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 22              | 3                 | 22     | M      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 92     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "M"      |                   |        |        |
| ummary Rati | (               |                   |        |        |
| ng {#summar | notwithstanding |                   |        |        |
| y-rating-3} | total point     |                   |        |        |
|             | value earned)   |                   |        |        |
|             | because only 1  |                   |        |        |
|             | element was     |                   |        |        |
|             | rated "S."      |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-33} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #4 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 30              | 4                 | 26     | M      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 2                 | 13     | S      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 24              | 3                 | 20     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 22              | 3                 | 23     | S      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 82     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "M"      |                   |        |        |
| ummary Rati | (               |                   |        |        |
| ng {#summar | notwithstanding |                   |        |        |
| y-rating-4} | 2 elements      |                   |        |        |
|             | rated "S")      |                   |        |        |
|             | because less    |                   |        |        |
|             | than 90 total   |                   |        |        |
|             | points were     |                   |        |        |
|             | earned.         |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

**Appendix E (Continued)**

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-34} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #5 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 18              | 3                 | 14     | M      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 24              | 3                 | 19     | M      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 23              | 3                 | 18     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 23              | 3                 | 18     | M      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 69     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "M"      |                   |        |        |
| ummary Rati | (               |                   |        |        |
| ng {#summar | notwithstanding |                   |        |        |
| y-rating-5} | that total      |                   |        |        |
|             | points earned   |                   |        |        |
|             | was less than   |                   |        |        |
|             | 70) because all |                   |        |        |
|             | 4 elements were |                   |        |        |
|             | rated "M."      |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-35} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #6 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 10              | 2                 | 10     | M      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 26              | 3                 | 22     | M      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 22              | 3                 | 20     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 30              | 4                 | 20     | N      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 72     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "M"      |                   |        |        |
| ummary Rati | because at      |                   |        |        |
| ng {#summar | least 70 total  |                   |        |        |
| y-rating-6} | points were     |                   |        |        |
|             | earned and no   |                   |        |        |
|             | more than 1     |                   |        |        |
|             | element was     |                   |        |        |
|             | rated "N" and   |                   |        |        |
|             | no elements     |                   |        |        |
|             | were rated "U." |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-36} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #7 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 20              | 2                 | 14     | N      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 28              | 4                 | 30     | S      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 2                 | 9      | N      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 28              | 4                 | 28     | M      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 81     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "N"      |                   |        |        |
| ummary Rati | (               |                   |        |        |
| ng {#summar | notwithstanding |                   |        |        |
| y-rating-7} | total point     |                   |        |        |
|             | value earned)   |                   |        |        |
|             | because two or  |                   |        |        |
|             | more elements   |                   |        |        |
|             | were rated "N." |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+

+-------------+-----------------+-------------------+--------+--------+
| #  {#       | **Base-Level    | **Extra Points    | #      | **Ele  |
| section-37} | Points Assigned | Assigned (see     | #####  | ment** |
|             | (see IX.E.1.    | X.E.3.)**         | Points |        |
| #           | and 2.)**       |                   |        | **Ra   |
|  Example #8 |                 |                   | #      | ting** |
|             |                 |                   | #####  |        |
|             |                 |                   | Earned |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 30              | 4                 | 28     | M      |
| 1           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 12              | 2                 | 13     | S      |
| 2           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 24              | 3                 | 20     | M      |
| 3           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| Element No. | 22              | 3                 | 12     | U      |
| 4           |                 |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### Total | 88              | 12                | 73     |        |
+-------------+-----------------+-------------------+--------+--------+
| ##### S     | Equals "U"      |                   |        |        |
| ummary Rati | (               |                   |        |        |
| ng {#summar | notwithstanding |                   |        |        |
| y-rating-8} | total point     |                   |        |        |
|             | value earned)   |                   |        |        |
|             | because one or  |                   |        |        |
|             | more elements   |                   |        |        |
|             | were rated "U." |                   |        |        |
+-------------+-----------------+-------------------+--------+--------+