BONNEVILLE POWER ADMINISTRATION

**HUMAN CAPITAL MANAGEMENT**

**Portland, Oregon**

**PERSONNEL LETTER NO. 430-1 (Revised) DATE:** May 28, 2008

**SUBJECT:** Performance Appraisal

##### PURPOSE

This Personnel Letter -

-   Serves as a tool for supervisor/managers and employees to give and
    receive feedback in improving their ability to perform mission
    related work.

-   Provides a basis for performance-based actions, as specified by law,
    regulation, and Bonneville Power Administration (BPA) policy.

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-   Describes BPA's three tier performance appraisal system for
    non-supervisory and non-managerial annual positions, all hourly
    positions, and hourly supervisors within BPA.

-   Incorporates a Departmental requirement to establish a critical
    safety element in the performance plans of all employees.

-   Reflects changes that will take effect at the start of the FY08
    performance appraisal period.

-   Replaces Personnel Letter 430-1, dated November 7, 2005.

**POLICY SUMMARY**[]{#__RefHeading___Toc199899047 .anchor}

> This performance appraisal system applies to all paid civil service
> employees except those excluded under the Coverage section. This
> system serves as the basis for formally assessing employee
> performance. At least once a year an employee will receive a progress
> review evaluating his or her performance against established
> performance standards. If performance on a critical element is deemed
> unacceptable at any time during the performance appraisal period, the
> employee's Rating Official shall initiate formal efforts to assist the
> employee to improve performance. Performance ratings are linked to
> other personnel actions, including performance-based monetary awards
> that ensure top performers are rewarded in proportion to their
> achievements.

**Table of Contents**

[**PURPOSE 1**](#purpose)

[**POLICY SUMMARY 1**](#__RefHeading___Toc199899047)

[**I. DEFINITIONS 3**](#__RefHeading___Toc199899048)

[**II. COVERAGE 5**](#coverage)

[**III. RESPONSIBILITIES/AUTHORITY 6**](#__RefHeading___Toc199899050)

[**IV. APPRAISAL PERIODS 8**](#__RefHeading___Toc199899051)

[**V. NUMBER OF RATING LEVELS 8**](#__RefHeading___Toc199899052)

[**VI. PERFORMANCE PLANS 9**](#performance-plans)

[**VII. MONITORING AND EVALUATING EMPLOYEE PERFORMANCE DURING THE
APPRAISAL PERIOD 12**](#__RefHeading___Toc199899054)

[**VIII. RATING OF RECORD 13**](#rating-of-record)

[**IX. PERFORMANCE APPRAISAL RECORDS 15**](#__RefHeading___Toc199899056)

[**X. DEALING WITH \"UNACCEPTABLE\" PERFORMANCE
16**](#__RefHeading___Toc199899057)

[**XI. RELATIONSHIP OF PERFORMANCE APPRAISAL TO OTHER PERSONNEL ACTIONS
16**](#__RefHeading___Toc199899058)

[**XII. ORIENTATION AND TRAINING 19**](#__RefHeading___Toc199899059)

[**XIII. PROGRAM EVALUATION 19**](#program-evaluation)

[**XIV. REFERENCES AND RELATED INFORMATION
19**](#__RefHeading___Toc199899061)

[**APPENDIX A: Performance Plan and Appraisal Form
21**](#__RefHeading___Toc199899062)

[**APPENDIX B: Avoiding Common Errors in Writing Performance Standards
24**](#__RefHeading___Toc199899063)

[**APPENDIX C: Sample Results Based Behavioral Elements and Standards
25**](#__RefHeading___Toc199899064)

I.  **DEFINITIONS**[]{#__RefHeading___Toc199899048 .anchor}

> **Advisory Rating**
>
> An unscheduled summary rating which is completed under special
> circumstances and must be considered in assigning the next
> rating-of-record.
>
> **Appraisal**
>
> The act or process of reviewing and evaluating the performance of an
> employee against the described performance standard(s).
>
> **Appraisal Period**
>
> The period of time established in the appraisal program for which an
> employee's performance will be evaluated annually. BPA's appraisal
> period for employees covered under this issuance is specified in
> Section VII.
>
> **Control to achieve**
>
> A performance result that the employee is able to achieve directly
> through the employee's own personal efforts or significantly influence
> through the employee's actions, including leadership of other
> employees.
>
> **Critical Element**
>
> A work assignment or responsibility of such importance that
> **"Unacceptable"** performance in this area would result in
> **"Unacceptable"** performance in the position as a whole.

**Days**

> All references to "days" in these procedures mean consecutive calendar
> days.
>
> **Element Rating**
>
> A rating assigned to an employee's performance in an individual
> critical or non-critical performance element as measured against the
> performance standards established for that element.
>
> **Employee**
>
> Unless otherwise noted, employee means all employees who are covered
> by the provisions of this Personnel Letter.
>
> **Generic Safety Element**.
>
> A critical element with specified performance standards appropriate to
> employees who do not execute safety responsibilities in their daily
> work. This element is rated as "Meets Expectations" or "Unacceptable"
> only. (Note: Some employees will not have this generic element.
> Employees who execute safety responsibilities as part of their day-to
> day work assignments will have a more substantial critical safety
> element in their performance plans and rated at one of the three
> rating levels specified in this Personnel Letter)
>
> **Minimum Appraisal Period**
>
> The minimum amount of time an employee must serve in a position with a
> written performance plan in order to receive an advisory rating or a
> rating of record. BPA's minimum rating period is 90 days under an
> established performance plan with the same Rating Official.
>
> **Non-Critical Element**
>
> A dimension or aspect of performance, which while important, does not
> have the same impact on overall performance as does a Critical
> Element. Non-Critical Elements are used in determining Summary Rating
> levels at or above **"Meets Expectations"** performance levels (see
> Section VIII. A & B). An employee rated as "Unacceptable" on a
> Non-Critical Element cannot receive a Summary Rating of "Unacceptable"
> unless one or more Critical Elements are also rated as "Unacceptable".
>
> **Opportunity Period**
>
> An amount of time established in a Performance Improvement Plan for an
> employee to improve **"Unacceptable"** performance.
>
> **Performance Plan**
>
> The critical elements, sub-elements, and performance standards
> established for a position, against which an employee's performance is
> evaluated.
>
> **Performance Improvement Plan (PIP)**
>
> A plan for improvement provided to an employee whose performance in
> one or more critical elements has been determined to be
> **"Unacceptable"**.
>
> **Performance Standard**
>
> The written expectations or requirements established for a position 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.
>
> **Progress Review**
>
> A periodic review and communication with an employee on his/her
> performance as compared to the employee's performance plan.
>
> **Rating Official**
>
> The individual, normally the immediate supervisor or manager, with the
> authority to appraise the performance of an employee.
>
> **Rating-of-Record**
>
> The summary rating:

A.  Required at the time specified by the performance appraisal system
    (normally at the end of an employee's annual rating period); or,

B.  At other times specified by this Personnel Letter, such as for
    documenting an "acceptable level of competence" determination for
    within-range increase purposes, at the end of the "opportunity to
    improve" period specified in a Performance Improvement Plan, and at
    the end of an annual rating period that is extended to satisfy
    minimum rating period requirements.

> **Reviewing Official**
>
> A higher-level manager, normally the rated employee's second-level
> manager, who reviews and approves performance plans and performance
> ratings in keeping with the provisions of this Personnel Letter.
>
> **Summary Rating**
>
> The rating used to describe an employee's overall performance level.

# COVERAGE

> This performance appraisal system applies to all paid employees
> except:

A.  Annual 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). \[See Personnel Letter 430-2, September 17,
    2004, for BPA policy regarding assessing performance of these BPA
    employees\]);

B.  Employees covered by the Departmental SES performance appraisal
    system;

C.  Presidential appointees;

D.  Experts and consultants;

E.  Employees in non-career executive assignments under 5 CFR, Part 305;

F.  Employees whose employment is not reasonably expected to exceed 120
    days in a consecutive 12-month period;

G.  Employees that move from a BPA position not covered by the
    provisions of this Personnel Letter (PL) into a position covered
    between September 1 and October 31 (until a new appraisal period
    starts on November 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 keeping with the provisions of the performance
    appraisal program covering the prior position; and,

H.  A new BPA employee who enters on duty with BPA between September 1
    and October 31, such as new appointee, transfer or movement from
    another Federal agency or component of DOE, etc., until a new
    appraisal period starts on November 1.

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II. **RESPONSIBILITIES/AUTHORITY**[]{#__RefHeading___Toc199899050
    .anchor}

    A.  The **Chief Executive Officer** shall ensure that subordinate
        executives are aware of their responsibilities under these
        procedures.

    B.  The **Chief Operating Officer** and **Vice Presidents** are
        responsible for administering the performance appraisal system
        within their respective organizations in accordance with this
        Personnel Letter and shall:

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1.  Ensure managers and supervisors under their jurisdiction attend
    needed training;

2.  Ensure performance plans are approved at the beginning of the rating
    period and employees' performance is appraised and documented in a
    timely manner;

3.  Ensure performance appraisals are fair, objective, and collectively
    reflect the organization's performance; and,

4.  Ensure "Unacceptable" performance is dealt with on a timely basis in
    accordance with the section "Dealing with 'Unacceptable'
    Performance," below (also see Personnel Letter 432-1).

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C.  The Chief **Human Capital Officer** is responsible for:

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1.  Establishing and publishing local policy.

2.  Monitoring the effectiveness of the performance appraisal program in
    meeting intended purposes.

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

4.  Ensuring appropriate coordination with BPA's recognized bargaining
    units.

5.  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
    Personnel Letter (PL) and applicable laws, rules, and regulations.

6.  Arranging for necessary training and orientation on the performance
    appraisal program and related matters.

7.  Ensuring performance appraisal documentation is maintained in the
    Headquarters Human Capital Management office as required within 5
    CFR, Parts 293 and 297.

8.  Ensuring ratings-of-record are entered into the Human Resource
    Management Information System (HRMIS) in a timely and accurate
    manner.

    D.  **Reviewing Officials** are responsible for:

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1.  Ensuring established performance plans are tied to BPA's mission,
    business objectives, organizational Balanced Scorecards or other
    organizational work plans, and leadership and supervisory
    responsibilities in support of BPA's People and Culture 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 **"Unacceptable"** performance is dealt with in a timely
    manner.

4.  Ensuring performance appraisal program results are linked
    appropriately to other personnel actions, including rating-based
    monetary awards that ensure top performers are rewarded commensurate
    to their achievements.

    D.  **Rating Officials** are responsible for:

        1.  Ensuring performance plans are established and communicated
            to employees within 30 days of the beginning of employees'
            appraisal periods or their assignment to a new position, as
            required in this PL (except as provided for in Section II.G
            & H);

        2.  Ensuring performance plans are tied to BPA's mission,
            business objectives, organizational Balanced Scorecards and
            other organizational work plans, and leadership and
            supervisory responsibilities in support of BPA's People and
            Culture 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.  Initiating action to deal with **Unacceptable** performance
            in a timely manner.

        5.  Assigning advisory ratings and ratings-of-record on a timely
            basis as required in this PL and ensuring the ratings
            reflect actual performance and result in meaningful
            distinctions among performers, as appropriate;

        6.  Ensuring performance appraisal program results are linked
            appropriately to other personnel actions, including
            performance-based monetary awards that ensure top performers
            are rewarded commensurately with their achievements; and,

        7.  Ensuring their employees are given an opportunity to
            participate in the establishment of their performance plans,
            as described in paragraph VI.E.

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III. **APPRAISAL PERIODS**[]{#__RefHeading___Toc199899051 .anchor}

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A.  **Minimum Appraisal Period**: The minimum appraisal period is 90
    days under a performance plan (established under the provisions of
    this PL) with the same Rating Official.

B.  **Official Appraisal Period**: The appraisal period is from November
    1 through October 31.

C.  **Time Requirements**: Unless an extension of an appraisal period is
    needed under paragraph D below, all ratings must be assigned and
    forwarded to Human Capital Management (HCM) 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-range increase determination is due. If the
    decision is to deny within-range, the employee's signature is not
    required but the Rating Official must discuss the rating with the
    employee orally, that is via telephone.

D.  **Criteria for Extending Appraisal Periods**:

    1.  Employees who have not been in the same position, under the same
        Rating Official with established performance plans for at least
        90 days, will have their appraisal periods extended until the
        90-day minimum appraisal period requirement is met (i.e., the
        end date of the period covered will be indicated on the
        appraisal form). However, as indicated in Section X.C., if an
        advisory rating has been issued, under the provisions of this
        issuance (as opposed to under a different 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 shall be completed
        within 30 days after the completion of the extended appraisal
        period. The ending date of the extended appraisal period covered
        will be indicated on the appraisal form and shall correspond to
        the end of the opportunity period.

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IV. **NUMBER OF RATING LEVELS**[]{#__RefHeading___Toc199899052 .anchor}

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A.  The following three rating levels are used for all performance
    elements: "**Significantly Exceeds Expectations**" (S), "**Meets
    Expectations**" (M), and "**Unacceptable**" (U). The generic safety
    element is rated only at the "Meets Expectations" or "Unacceptable"
    levels and is not factored into the summary rating unless it is
    Unacceptable. The rating levels are used to rate performance both on
    a critical/non-critical element and to assign a summary rating to
    reflect overall performance in the position.

B.  The intent of these rating levels are 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.  **"Unacceptable"** is intended to reflect performance that fails
        to meet expectations in one or more important respects. For a
        Critical Element only, such performance also warrants
        consideration of removal from the position (i.e., federal
        service) or reduction in grade if performance is not improved
        within a reasonable period of time with assistance.

# PERFORMANCE PLANS

A.  **Documentation**: All performance plans shall be established and
    documented on BPA Form 3430.03e, a copy of which is attached as
    Appendix A. The generic safety element, where used, must be
    established and documented on BPA Form 3430.03e.

B.  **Minimum Content of Performance Plans:**

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1.  **All Non-supervisory Annual and Hourly Employees**: All performance
    plans shall contain at least three Critical Elements. One Critical
    Element must cover critical technical performance expectations of an
    employee's position. The other Critical Element must cover critical
    behavioral performance expectations of an employee's position. A
    third required Critical Element covers working safely(see below).

2.  **Supervisory Hourly Employees**: In addition to the three Critical
    Elements covering technical, behavioral performance expectations,
    and safety, performance plans for BPA hourly supervisory employees
    must also contain an additional Critical Element covering
    leadership, management and supervision. This Critical Element
    requires performance assessment under four sub-elements:

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a.  **Leadership**: Covering setting direction and managing work.

b.  **Talent:** Covering building and fostering a talented workforce.

c.  **Motivation/Alignment:** Covering motivating and aligning staff
    around organizational purpose, goals, strategies, and results.

d.  **Positive Work Environment:** Workforce and workplace diversity,
    supportive work environment, communication, and conflict resolution.

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3.  **Critical Safety Element:** Each employee's performance plan must
    contain at least one critical safety element. Employees who execute
    safety responsibilities on a daily basis (such as hourly workers, as
    well as some annual employees, must have an element that reflects
    the complexity of those responsibilities to be rated as
    "Significantly Exceeds Expectations," "Meets Expectations," or
    "Unacceptable." These employees will not use the generic safety
    element.

> Employees who do not execute safety responsibilities on a daily basis,
> such as accountants or human capital management specialists, must use
> a generic safety element. This generic safety element will be rated
> only at either the "Meets Expectations" or "Unacceptable" Levels. The
> generic safety element for non-supervisory annual and hourly employees
> has been incorporated into the performance plan and appraisal form.

C.  **Additional Elements:** Other Critical or Non-Critical Elements may
    be established as part of an employee's performance plan to
    appropriately address performance expectations associated with the
    employee's assigned responsibilities.

D.  **Performance Standards:** One or more discrete performance
    standards will be established under each critical and non-critical
    element in an employee's performance plan. If sub-elements are used,
    (as they must be for the leadership, management and supervision
    critical element for hourly supervisors), the discrete performance
    standards are established for each of 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.

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1.  **Level of Difficulty:** Performance standards are written at the
    **"Meets Expectations"** level of performance. If necessary or
    desirable, standards may also be written for the **"Significantly
    Exceeds Expectations"** and/or "**Unacceptable**" levels (except
    that the generic performance standards for the generic safety
    element are written only at the "Meets Expectations" level.

2.  **Range of Performance:** 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", "an average of
    3-5 meetings per year are held separately with each employee to
    discuss the employee's developmental needs and progress," etc.

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

3.  **"Sample" Behavioral Performance Standards (see Appendix C):**
    While not dictating the content of performance standards, BPA does
    make available some "sample" standards to assist managers and
    supervisors in understanding the types of measures to be covered
    under this element. The actual content of performance standards is
    determined by Rating and Reviewing Officials.

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E.  **Employee Involvement:** A performance plan is to be established by
    the Rating Official with the participation and input 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. **\[Note**: For hourly employees (and in some cases annual
    employees who are in [identical]{.underline} positions in which
    duties, responsibilities, and performance expectations are the
    same), common performance plans may be centrally developed and used
    for each separate craft/function. Employee involvement in such cases
    will occur by means of providing affected employees an opportunity
    to provide comments when such plans are developed or revised**.\]**

F.  **Time Requirements:** 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, for example, 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.

G.  **Changes in Performance Plans:** Performance plans are not intended
    to be set in place and never changed. Instead, the performance plan
    should be reviewed during the appraisal period and should be revised
    whenever appropriate, such as a change in direction or strategy may
    trigger the need to amend, revise, or delete performance standards.
    At a minimum, the appropriateness of the performance plan should be
    reviewed during the formal progress review that is required by this
    PL. 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.

H.  **Relationship to Balanced Scorecard and Core Values:** Elements
    within each individual employee's performance plan are linked to
    organizational Balanced Scorecards because each employee's work
    efforts are to be supportive of the overall efforts of an
    organization to accomplish its goals and objectives. 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. These perspectives are used to define
    **organizational** performance expectations. Individual performance
    plans focus on the responsibilities of the employee being rated and
    may not have a one-to-one correlation with Balanced Scorecard
    perspectives. Performance plans are, nevertheless, supportive of an
    organization's overall accomplishments. Additionally, whenever
    possible, performance standards should reflect BPA's core values of
    operational excellence, collaborative relationships, and trustworthy
    stewardship.

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V.  **MONITORING AND EVALUATING EMPLOYEE PERFORMANCE DURING THE
    APPRAISAL PERIOD**[]{#__RefHeading___Toc199899054 .anchor}

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A.  **Progress Reviews:** 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) 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 May.

B.  **Performance at the "Unacceptable" Level:** If performance is
    determined to be at the **"Unacceptable"** level, the Rating
    Official will initiate formal efforts to bring about improvements in
    keeping with the requirements in Section X. In all instances of
    **"Unacceptable"** performance in a critical element, managers must
    seek the advice and assistance of the Employee Relations staff in
    Human Capital Management.

C.  **Performance that Falls Short of Meeting All Expectations at the
    "Meets Expectations" Level:** Although this system does not provide
    for a rating level between the **"Meets Expectations"** and the
    **"Unacceptable"** levels, Rating Officials should pay attention to
    performance that may be somewhat less than that envisioned in all
    aspects of a particular performance standard but is not deemed to be
    actionable at the **"Unacceptable"** level. In such cases, it is
    important for the Rating Official to provide informal guidance to
    the employee by means of suggesting actions that the employee could
    take in order to avoid further deterioration in their performance
    that could lead to an **"Unacceptable"** performance rating.

D.  **Advisory Ratings:**

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1.  Advisory ratings are assigned when: (a) an employee completes a
    detail or temporary promotion over 120 days; (b) an employee has
    served at least 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 the minimum 90-day appraisal
    period. Advisory ratings are documented on the appraisal form in
    Appendix A (specifically, in item 10 of the appraisal form). 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 policy (as
    opposed to under a different performance appraisal program) may
    become the rating-of-record if it is issued within 90 days of the
    end of the annual appraisal period.

# RATING-OF-RECORD

A.  **General Requirements:**

    1.  Ratings must be assigned in writing on the appraisal form
        (Appendix A) and must be discussed with employees. Rating
        Officials shall provide employees with the opportunity to
        present feedback on their performance, such as self-appraisals,
        if requested by the employee.

    2.  The employee's immediate manager or supervisor normally serves
        as the Rating Official. If the immediate manager or supervisor
        position of record is vacant or if the current manager or
        supervisor 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 or supervisor
        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.  For hourly supervisors, in rating performance against the
        Leadership, Management and Supervision element, Rating Officials
        will obtain feedback from direct reports and take such feedback
        into consideration in assessing performance. (BPA F 3430.05e,
        Hourly Supervisor Performance Feedback form is available for
        this purpose.) 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 insight into a possible correlation of negative
        employee feedback to performance/conduct problems that are being
        addressed within the unit by the supervisor.

B.  **Timing Requirements:** Ratings-of-record are assigned at the end
    of an appraisal period and not later than 30 days after the period
    has ended. Under certain circumstances such ratings are also
    assigned in connection with within-range increase determinations and
    after employees have completed opportunity periods to improve
    performance.

C.  **Steps in Assigning Ratings:** The following steps are followed to
    assign a summary rating:

    1.  **Assess Performance:** The employee's performance under each
        separate element's (critical and non-critical) performance
        standard is assessed and the individual element rating of
        **"Significantly Exceeds Expectations" (S), "Meets Expectations"
        (M),** or **"Unacceptable" (U)** is entered on the appraisal
        form for that element (*except the generic safety element, for
        which only the **"Meets Expectations"** and **"Unacceptable"
        Levels are used).***

    2.  **Non-Ratable Standards:** If any performance standard is
        considered non-ratable, for example no opportunity for the
        employee to achieve the desired results, it should be noted as
        non-ratable on the appraisal form, with the initials of the
        Rating Official and the employee and the date of such
        determination.

    3.  **Determine Summary Rating:** The summary rating is based on all
        element ratings and entered in item 11 on the appraisal form:

        a.  **"Significantly Exceeds Expectations" (S):** Highest
            summary rating level is assigned only if all Critical
            Elements are rated **"Significantly Exceeds Expectations"
            (S)** and no non-Critical Element is rated below the
            **"Meets Expectations" (M)** level. In the event that the
            generic safety element is used, it must be rated at the
            "Meets Expectations" level.

        b.  **"Unacceptable" (U):** This rating level is only assigned
            if one or more Critical Elements are rated as
            **"Unacceptable" (U)** (According to Federal personnel law,
            no number of non-Critical Elements rated below the **"Meets
            Expectations" \[M\]** level can result in a summary rating
            of **"Unacceptable" \[U\]** unless one or more Critical
            Elements is also rated as **"Unacceptable" \[U**\]).

        c.  **"Meets Expectations" (M):** All other combinations of
            Critical and non-Critical element ratings will result in a
            summary rating of **"Meets Expectations" (M)**.

        d.  BPA does not require Rating Officials to provide narrative
            documentation of employee's specific accomplishments to
            support individual element ratings or the overall summary
            rating.

D.  **Employee Signature on Receipt of Rating:** An employee shall be
    requested to sign the appraisal form when s/he receives the form.
    The employee's signature indicates only that s/he 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
    provide written comments on element rating(s), and such comments
    will be retained with the appraisal form as part of the formal
    record.

E.  **Review and Approval of Ratings:** Reviewing Officials approve
    performance appraisal ratings to ensure 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 an 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.

F.  **Review and Submission of Completed Ratings:** Completed ratings
    are forwarded in keeping with the process established by each
    organization to HCM for official filing.

    IX. **PERFORMANCE APPRAISAL RECORDS**[]{#__RefHeading___Toc199899056
        .anchor}

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A.  **Types of Records:** Official performance appraisal records consist
    of the Performance Plan and Appraisal Form (BPA Form 3430.03e).

B.  **Maintenance:**

    1.  Managers and/or supervisors are responsible for sending
        completed ratings-of-record, to include the performance plans on
        which the ratings are based, to the HCM office in a confidential
        and sealed envelope. 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 HCM office.

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

    3.  The HCM office is responsible for entering ratings-of-record
        into HRMIS and generally will use common "effective" dates in
        doing so. However, for purposes of a Reduction In Force (RIF),
        the official date for a rating will correspond to the date that
        the appraisal was signed by the Reviewing Official.

C.  **Availability:** The Privacy Act covers performance appraisal
    records. The HCM office shall provide access to any performance
    appraisal document to the employee, the employee's representative
    designated in writing, or another official having a need for the
    document. All requests for performance appraisal documents made to
    managers or supervisors should be referred to the HCM office.

D.  **Retention:** Completed performance ratings-of-record, including
    performance plans on which they are based and other
    performance-related documents are retained for four (4) years.

    IX. **DEALING WITH "UNACCEPTABLE"
        PERFORMANCE**[]{#__RefHeading___Toc199899057 .anchor}

> At such time during the rating period that a Rating Official regards
> an employee's performance to be **"Unacceptable"** in one or more
> critical elements in his/her performance plan, the Rating Official
> will, in consultation with the Employee Relations staff, promptly
> initiate special efforts to assist the employee in improving
> performance. See BPA Manual 400/700 for BPA's policy on unacceptable
> performance, and see Personnel Letter 432-1 for specific instructions
> on dealing with unacceptable performance, including issuing a
> performance-improvement plan (PIP) and providing the employee with an
> opportunity to improve his/her performance.

X.  **RELATIONSHIP OF PERFORMANCE APPRAISAL TO OTHER PERSONNEL
    ACTIONS**[]{#__RefHeading___Toc199899058 .anchor}

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A.  **Within-Range Increases** **(WRIs -- formerly referred to as
    "with-in grade increase" (WGI))**

    1.  To receive a WRI, in addition to meeting other requirements
        listed in 5 CFR, Part 531, a current rating-of-record of
        **"Meets Expectations" (M)** 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"
        (M)** or higher but the employee's performance is not at an ALOC
        at the time a WRI is otherwise due, a new rating-of-record must
        be prepared to support the decision to withhold the WRI.
        However, if an employee is due to receive his/her WRI during an
        opportunity period for improving **"Unacceptable" (U)**
        performance (see Personnel Letter 432-1, Taking Action Based on
        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"
        \[M\]** level), managers must seek the advice and assistance of
        the Employee Relations staff in HCM.

    3.  If the current rating-of-record is below an ALOC, the HCM office
        will not process a WRI that is otherwise due 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 WRIs.

B.  **Quality Step Increase (QSI):** Employees are eligible for a QSI,
    provided that:

    1.  They receive **"Significantly Exceeds Expectations" (S)**
        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" (M)** level.

> (See PL 531/451, Quality Step Increase, for specific instructions
> regarding awarding a QSI.)

C.  **Performance Awards:**

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```
1.  Subject to funding availability, except as noted in paragraph C. 4
    below, all employees receiving a summary rating of **"Significantly
    Exceeds Expectations" (S)** shall receive a performance award,
    provided such awards are funded by BPA.

2.  Subject to funding availability, employees receiving a summary
    rating of **"Meets Expectations" (M)** are eligible to receive a
    performance award under the following conditions:

    a.  At least 50% of all Critical Elements in the employee's
        performance plan, exclusive of the generic safety element, if
        used, are rated at the **"Significantly Exceeds Expectations"
        (S)** level; and,

    b.  No performance element in the employee's performance plan is
        rated below the **"Meets Expectations" (M)** level.

3.  Performance Award Payout By Summary Rating Level - The average
    Performance Award amount (expressed as a percentage of the
    recipient's base pay) for those who receive a Significantly Exceeds
    Expectations rating must be at least double the corresponding
    average award amount for those rated Meets Expectations. In making
    Performance Award decisions and ensuring compliance with this
    requirement, award amounts for employees who receive Significantly
    Exceeds Expectations ratings, and are also granted (or will be
    granted) Quality Step Increases on the basis of those ratings, are
    not included. Refer to PL 451-1, BPA Recognition System for more
    information on how this requirement is administered.

4.  Performance awards are discretionary for employees rated
    **"Significantly Exceeds Expectations" (S)** 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" (M)**.

5.  Policy and procedures governing performance awards for employees
    covered by the provisions of this issuance are contained in PL
    451-1.

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D.  **Reduction-in-Force (RIF):** 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 are to be
    made consistent with PL 351-1. A rating-of-record will not be
    assigned for the sole purpose of affecting competitive standing in a
    RIF. In the event of a RIF, 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.

E.  **Promotions:**

    1.  **Career Promotion:** An employee must have a current
        rating-of-record of **"Meets Expectations"** to receive a career
        promotion.

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    ```
    2.  **Merit Promotion:** PL 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 a candidate's overall performance rating level in their
        position of record and the merit promotion position for which
        they have applied; however, selecting officials should give due
        weight to current performance ratings of job applicants as an
        indicator of the quality of prior experience in making selection
        decisions.

F.  **Training:** 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.

G.  **Probationary Periods:**

    1.  **New Employee Probationary Period:** New employees must be
        carefully observed and appraised during their probationary
        periods to determine whether they can perform their assigned
        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 PL
        315-2, Probationary or Trial Periods for New Employees.)
        Managers and supervisors must seek advice and assistance from
        the Employee Relations staff prior to removing an employee
        during his/her probationary period.

    2.  **Supervisory Probationary Period for Hourly Supervisors:** New
        supervisors must be carefully observed and appraised during
        their probationary periods to determine if they can perform
        their duties acceptably and have the qualities needed to become
        successful supervisors. Information generated during the
        performance appraisal process will provide a basis for deciding
        whether to retain these employees in supervisory positions.
        Additional information is provided in PL 315-1, Probationary
        Period for New Managers and Supervisors.

        XII. **ORIENTATION** []{#__RefHeading___Toc199899059 .anchor}

During initial orientation, all new BPA annual and hourly employees will
be presented with a copy of this Personnel Letter and be informed about
supervisory and employee participation in, responsibilities under, and
the impact(s) of the Performance Appraisal process.

####### 

####### PROGRAM EVALUATION

> The application of the policy contained in this Personnel Letter
> should be reviewed annually. The Executive Vice President for Internal
> Business Services is responsible for issuing a report prior to
> February 1 of each year to the Chief Operating Officer. The report may
> contain statistical information regarding the previous year's
> application of this policy throughout BPA, an analysis of any
> identified problems, and recommendations for changes in the policy
> and/or implementation/application processes associated with the
> policy.

XIII. **REFERENCES AND RELATED
      INFORMATION**[]{#__RefHeading___Toc199899061 .anchor}

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

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

-   5 CFR, Part 430, Performance Management

-   BPA Manual, Chapter 400/300, Employment

-   BPA Manual, Chapter 400/430, Performance Appraisal

-   BPA Manual, Chapter 400/451, BPA Recognition System

-   BPA Manual, Chapter 400/700A, Employee Relations Program

-   Personnel Letters No. 335-1 and No. 335-2, regarding BPA Merit
    Promotion Plans for Annual and Hourly Jobs

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

-   Personnel Letter No. 430-2, Performance Appraisal Program for
    Managers

-   Personnel Letter No. 432-1, Unacceptable Performance

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

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

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

-   DOE Memorandum dated November 30, 2006, subject: Safety Performance
    Standards for All Employees

Guy Kyle

Acting Chief Human Capital Officer

Appendix A - Performance Plan and Appraisal Form

Appendix B - Avoiding Common Errors in Writing Performance Standards

Appendix C - Sample Behavioral Performance Standards

[]{#__RefHeading___Toc199899062 .anchor}

+------------+-------------------------------------------+-------------+
| *BPA F     | **U.S. DEPARTMENT OF ENERGY**             | *Electronic |
| 3430.03e*  |                                           | Form        |
|            | **BONNEVILLE POWER ADMINISTRATION**       | Approved*   |
| *(10-07)*  |                                           |             |
|            |                                           | *by Forms   |
| *(Prior    |                                           | Mgmt.       |
| editions   |                                           | 10/xx/2007* |
| unusable)* |                                           |             |
+------------+-------------------------------------------+-------------+
| **P        |                                           |             |
| ERFORMANCE |                                           |             |
| PLAN AND   |                                           |             |
| A          |                                           |             |
| PPRAISAL** |                                           |             |
+------------+-------------------------------------------+-------------+

**INSTRUCTIONS**

Beginning on page 3, parts of this form is protected. The unprotected
areas provide more flexibility to paste information from other
documents. Note, pasting information with different formatting, may
alter the design of the form.

This form in its basic layout contains "**CRITICAL PERFORMANCE ELEMENT
\# 1** --Technical Performance Expectations" and "**CRITICAL PERFORMANCE
ELEMENT \# 2** -- Behavioral Performance Expectations".

The following elements can be added by positioning the cursor where you
want to insert the element and pressing the appropriate Insert button
located on the menu bar:

1.  **Critical Performance Element #3 -- For Hourly Supervisors Only**
    with all sub-elements.

2.  **Performance Element #?**

3.  **Critical Element -- Works Safely.**

  -----------------------------------------------------------------------
  **PRIVACY ACT STATEMENT**

  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
  appropriate management levels having a need to know. The information
  will be used as a basis for various personnel actions such as training,
  reduction in force, pay determinations, rewarding, and removing
  employees. The authority to collect this information is in Sections
  1103 and 4305, of title 5, United States Code. The information will not
  be disclosed outside BPA without prior consent, except as required or
  permitted by law and regulation.
  -----------------------------------------------------------------------

<table>
<colgroup>
<col style="width: 4%" />
<col style="width: 13%" />
<col style="width: 33%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 4%" />
<col style="width: 8%" />
<col style="width: 1%" />
<col style="width: 0%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 10%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2"><p><em>BPA F 3430.03e</em></p>
<p><em>(10-07)</em></p>
<p><em>(Prior editions unusable)</em></p></td>
<td colspan="7"><p><strong>U.S. DEPARTMENT OF ENERGY</strong></p>
<p><strong>BONNEVILLE POWER ADMINISTRATION</strong></p></td>
<td colspan="4"><p><em>Electronic Form Approved</em></p>
<p><em>by Forms Mgmt. 10/xx/2007</em></p></td>
</tr>
<tr class="even">
<td colspan="13"><strong>PERFORMANCE PLAN AND APPRAISAL</strong></td>
</tr>
<tr class="odd">
<td colspan="4" rowspan="2"><strong>Reference should be made to
Bonneville Power Administration Personnel Letter 430-1 for policy
guidance and further information.</strong></td>
<td colspan="9">Period Covered</td>
</tr>
<tr class="even">
<td>From:</td>
<td colspan="3"><strong>     </strong></td>
<td colspan="3">To:</td>
<td colspan="2"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="4">1. Name of Employee</td>
<td colspan="9">2. Employee ID (EmpllD)</td>
</tr>
<tr class="even">
<td colspan="4"><strong>     </strong></td>
<td colspan="9"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="4">3. Position Title, Series, and Grade</td>
<td colspan="9">4. Position Number</td>
</tr>
<tr class="even">
<td colspan="4"><strong>     </strong></td>
<td colspan="9"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="13">5. Organization Title, Code, and Routing</td>
</tr>
<tr class="even">
<td colspan="13"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="13"><strong>Certification of Discussion and Issuance of
Performance Plan</strong></td>
</tr>
<tr class="even">
<td colspan="13">A copy of the elements and 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="odd">
<td colspan="10">6. Employee’s Name <em>(Print or Type)</em> and
Signature</td>
<td colspan="3">Date</td>
</tr>
<tr class="even">
<td colspan="10"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="10">7. Rating Official’s Name <em>(Print or Type)</em> and
Signature</td>
<td colspan="3">Date</td>
</tr>
<tr class="even">
<td colspan="10"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="10">8. Reviewing Official’s Name <em>(Print or Type)</em>
and Signature</td>
<td colspan="3">Date</td>
</tr>
<tr class="even">
<td colspan="10"><strong>     </strong></td>
<td colspan="3"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="6" 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="4"><p><strong>Employee’s</strong></p>
<p><strong>Initials</strong></p></td>
<td colspan="2"><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="even">
<td colspan="4"><strong>     </strong></td>
<td colspan="2"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="4"><strong>     </strong></td>
<td colspan="2"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="4"><strong>     </strong></td>
<td colspan="2"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="4"><strong>     </strong></td>
<td colspan="2"><strong>     </strong></td>
<td><strong>     </strong></td>
</tr>
<tr class="even">
<td colspan="13"><strong>10. Reasons For Appraisal</strong> <em>(to
receive rating, employee must have served at least 90 days under
performance plan):</em></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12">Annual Rating</td>
</tr>
<tr class="even">
<td></td>
<td colspan="2">Rating of Record for reasons other than Annual rating
<em>(specify reason).</em></td>
<td colspan="10"><strong>     </strong></td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12"><em>(You must contact the Employee Relations staff in
Personnel Services when you use this reason for appraisal.)</em></td>
</tr>
<tr class="even">
<td></td>
<td colspan="12">Advisory Rating for detail or time-limited promotion of
120 days or more.</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12">Advisory Rating due to position change.</td>
</tr>
<tr class="even">
<td></td>
<td colspan="12">Advisory Rating assigned due to Rating Official leaving
<em>(employee was supervised at least 90 days under performance
elements.)</em></td>
</tr>
<tr class="odd">
<td colspan="13"><strong>11. Summary Rating</strong></td>
</tr>
<tr class="even">
<td></td>
<td colspan="12"><strong>S - Significantly Exceeds
Expectations:</strong> All critical elements are rated at least at the
<strong>Significantly Exceeds Expectations</strong> level and no
non-critical element is rated at the Unacceptable level (in the event
that the generic critical Safety element is used, it must be rated at
the “Meets Expectations Level”).</td>
</tr>
<tr class="odd">
<td></td>
<td colspan="12"><strong>M - Meets Expectations:</strong> Does not meet
S rating requirements and all critical elements are rated at
<strong>M</strong> or <strong>S</strong> levels.</td>
</tr>
<tr class="even">
<td></td>
<td colspan="12"><strong>U - Unacceptable:</strong> At least one
critical element is rated as <strong>“Unacceptable”.</strong></td>
</tr>
<tr class="odd">
<td colspan="13"><strong>12. Certification Of Summary
Rating</strong></td>
</tr>
<tr class="even">
<td colspan="13">The Performance Rating documented on this form has been
discussed with the employee and the employee has been given a copy.</td>
</tr>
<tr class="odd">
<td colspan="7">Employee’s Signature</td>
<td colspan="6">Date</td>
</tr>
<tr class="even">
<td colspan="7"><strong>     </strong></td>
<td colspan="6"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="7">Rating Official’s Signature</td>
<td colspan="6">Date</td>
</tr>
<tr class="even">
<td colspan="7"><strong>     </strong></td>
<td colspan="6"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="7">Reviewing Official’s Signature</td>
<td colspan="6">Date</td>
</tr>
<tr class="even">
<td colspan="7"><strong>     </strong></td>
<td colspan="6"><strong>     </strong></td>
</tr>
<tr class="odd">
<td colspan="13"><p><strong>13. Critical Performance Elements</strong>
The employee and Rating Official will discuss how each of these elements
will apply to performance during the rating period; however, the Rating
Official is authorized to make the final determination regarding how the
expectations will apply. Rating Officials are encouraged to obtain
voluntary feedback from co-workers and customers/clients. Only one of
the following rating levels shall be assigned for each element,
regardless of the number of components in that element:</p>
<p><strong>“Significantly Exceeds Expectations”</strong> is intended to
reflect exceptional performance that clearly exceeds the expectations
established in the underlying performance standards and is reserved for
top-level performance.</p>
<p><strong>“Meets Expectations”</strong> 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.</p>
<p><strong>“Unacceptable”</strong> is intended to reflect performance
that fails to meet expectations in one or more important respects. For
Critical Elements only, such performance also warrants consideration of
removal from the position or reduction in grade if performance is not
improved within a reasonable period of time with assistance.</p></td>
</tr>
</tbody>
</table>

+-----------+---+---------------------------------------------+---+---+---+
| *BPA F    |   | **U.S. DEPARTMENT OF ENERGY**               | > | > | > |
| 3430.03e* |   |                                             |   |   |   |
|           |   | **BONNEVILLE POWER ADMINISTRATION**         | * | * | * |
| *(10-07)* |   |                                             | * | * | * |
|           |   | **PERFORMANCE PLAN AND APPRAISAL**          | S | M | U |
| *(Prior   |   |                                             | I | E | N |
| editions  |   |                                             | G | E | A |
| u         |   |                                             | N | T | C |
| nusable)* |   |                                             | I | S | C |
|           |   |                                             | F | > | E |
|           |   |                                             | I |   | P |
|           |   |                                             | C | E | T |
|           |   |                                             | A | X | A |
|           |   |                                             | N | P | B |
|           |   |                                             | T | E | L |
|           |   |                                             | L | C | E |
|           |   |                                             | Y | T | * |
|           |   |                                             | > | A | * |
|           |   |                                             |   | T |   |
|           |   |                                             | E | I |   |
|           |   |                                             | X | O |   |
|           |   |                                             | C | N |   |
|           |   |                                             | E | S |   |
|           |   |                                             | E | * |   |
|           |   |                                             | D | * |   |
|           |   |                                             | S |   |   |
|           |   |                                             | > |   |   |
|           |   |                                             |   |   |   |
|           |   |                                             | E |   |   |
|           |   |                                             | X |   |   |
|           |   |                                             | P |   |   |
|           |   |                                             | E |   |   |
|           |   |                                             | C |   |   |
|           |   |                                             | T |   |   |
|           |   |                                             | A |   |   |
|           |   |                                             | T |   |   |
|           |   |                                             | I |   |   |
|           |   |                                             | O |   |   |
|           |   |                                             | N |   |   |
|           |   |                                             | S |   |   |
|           |   |                                             | * |   |   |
|           |   |                                             | * |   |   |
+-----------+---+---------------------------------------------+---+---+---+
| Name of   | * |                                             |   |   |   |
| Employee: | * |                                             |   |   |   |
|           |   |                                             |   |   |   |
|           |   |                                             |   |   |   |
|           |   |                                             |   |   |   |
|           |   |                                             |   |   |   |
|           |   |                                             |   |   |   |
|           | * |                                             |   |   |   |
|           | * |                                             |   |   |   |
+-----------+---+---------------------------------------------+---+---+---+
| *         |   |                                             |   |   |   |
| *CRITICAL |   |                                             |   |   |   |
| PE        |   |                                             |   |   |   |
| RFORMANCE |   |                                             |   |   |   |
| ELEMENT   |   |                                             |   |   |   |
| \# 1      |   |                                             |   |   |   |
| Technical |   |                                             |   |   |   |
| Pe        |   |                                             |   |   |   |
| rformance |   |                                             |   |   |   |
| Expect    |   |                                             |   |   |   |
| ations:** |   |                                             |   |   |   |
|           |   |                                             |   |   |   |
| *(Define  |   |                                             |   |   |   |
| this      |   |                                             |   |   |   |
| element   |   |                                             |   |   |   |
| at the    |   |                                             |   |   |   |
| "Meets    |   |                                             |   |   |   |
| Expe      |   |                                             |   |   |   |
| ctations" |   |                                             |   |   |   |
| pe        |   |                                             |   |   |   |
| rformance |   |                                             |   |   |   |
| level,    |   |                                             |   |   |   |
| d         |   |                                             |   |   |   |
| escribing |   |                                             |   |   |   |
| the       |   |                                             |   |   |   |
| technical |   |                                             |   |   |   |
| work      |   |                                             |   |   |   |
| exp       |   |                                             |   |   |   |
| ectations |   |                                             |   |   |   |
| of this   |   |                                             |   |   |   |
| e         |   |                                             |   |   |   |
| mployee's |   |                                             |   |   |   |
| po        |   |                                             |   |   |   |
| sition.)* |   |                                             |   |   |   |
+-----------+---+---------------------------------------------+---+---+---+

+----------------------------------------------------------+---+---+---+
| **CRITICAL PERFORMANCE ELEMENT \# 2 -- Behavioral        |   |   |   |
| Performance Expectations:**                              |   |   |   |
|                                                          |   |   |   |
| *(Define this element at the "Meets Expectations"        |   |   |   |
| performance level describing the behavioral work         |   |   |   |
| expectations of this employee's position {e.g.,          |   |   |   |
| teamwork, customer focus, coaching/mentoring, etc.)*     |   |   |   |
+----------------------------------------------------------+---+---+---+

## 

## 

## 

## 

##  

##  {#section-6 .unnumbered}

## AVOIDING COMMON ERRORS IN WRITING PERFORMANCE STANDARDS

[]{#__RefHeading___Toc199899063 .anchor}

# [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.

**Sample Results-Based Behavioral Elements and Standards**

[]{#__RefHeading___Toc199899064 .anchor}

Please note that the following are samples, not finished products, and
will not pertain to every job. These samples are meant to be a starting
point and stimulate thinking about behaviors that are critical in your
organization, and will need to be altered to fit your situation if you
choose to make use of them. As with all standards written for your
employees, these are to be written [with the input of the
employee]{.underline}. You should begin by effectively communicating and
discussing your performance expectations with your staff, then coaching
throughout the year.

[Performance Element Title]{.underline}: Effective relations with land
owners

[Performance Standard Description]{.underline}: Supervisors would
measure the success of this standard by tracking logged complaints, and
reviewing comments received from landowners.

-   Meets: No more than \_\_\_valid and avoidable landowner complaints.

-   Exceeds: Favorable comments from landowners, colleagues and others
    with knowledge of employee's relationships.

[Performance Element Title]{.underline}: Emergency situations are
handled in a calm manner.

[Performance Standard Description]{.underline}: Supervisor is satisfied
that emergency situations are handled

-   In a calm and safe manner

-   In accordance with regulations and established procedures.

[Performance Element Title]{.underline}: Engaged employees.

[Performance Standard Description]{.underline}: The supervisor observes
and receives feedback from the team that the employee regularly solicits
ideas and suggestions

-   from the rest of the team, when appropriate,

-   when others are involved in the project and/or

-   when the employee needs additional information.

[Performance Element Title]{.underline}: Self-directed employee

[Performance Standard Description]{.underline}: The supervisor observes
that

-   The employee works effectively with minimum supervision

-   Supervisory instructions rarely need to be repeated.

[Performance Element Title]{.underline}: Well-planned projects

[Performance Standard Description]{.underline}: The supervisor observes
that the employee uses

-   Appropriate project management techniques

-   The employee regularly checks with others on deliverables

-   An up-front analysis of the project is completed before undertaking
    project/assignment.

[Performance Element Title]{.underline}: High priority jobs are
accomplished before lower priority jobs

[Performance Standard Description]{.underline}: The supervisor observes
that the employee

-   Solicits information regarding priority of project, if necessary

-   Discusses priority of jobs with supervisor, as circumstances change

[Performance Element Title]{.underline}: Effective crew member

[Performance Standard Description]{.underline}: The supervisor observes
that the employee

> Meets:

-   Shares technical knowledge with co-workers

-   Regularly attends team meetings regularly

-   Volunteers useful ideas and information;

-   Demonstrates clear purpose and a positive approach on work
    assignments, even on undesirable and/or difficult jobs;

-   Fosters a positive work environment by ensuring that any criticism
    is constructive and is focused on an individual's behavior, not
    personalities.

> Exceeds:

-   Is sought out by others as a resource due to willingness to share
    technical knowledge and expertise.

-   Volunteers to take on tasks for the team. Delivers what is promised.

[Performance Element Title]{.underline}: Customer focus and satisfaction

[Performance Standard Description]{.underline}: The supervisor observes
and receives feedback from customers, Account Specialists and field
staff that the employee

-   Resolves customer inquiries and problems, taking ownership of the
    situation on initial call or within agree-upon time, meeting
    commitments, using professional and proper telephone etiquette.

-   Keeps field staff updated and informed of pertinent information
    relating to agreement renewal and solicits their involvement when
    needed.

-   Provides Account specialists with clear, concise and accurate
    information regarding agreements on their accounts and transmits the
    appropriate reports weekly or monthly, depending on requirements

[Performance Element Title]{.underline}: Informed Supervisor

[Performance Standard Description]{.underline}: Supervisor:

-   Is kept informed by the employee of major problems, issues and
    status of projects

-   Can locate the employee when necessary and in a reasonable timeframe

[Performance Element Title]{.underline}: Responsibility and
Accountability

[Performance Standard Description]{.underline}: Supervisor observes or
receives feedback that employee

-   Sets well-defined and realistic professional goals; displays
    initiative, effort and commitment towards completing assignments in
    a timely manner while maintaining the integrity of the organization

-   Identifies problems; determines accuracy and relevance of
    information; uses sound judgment to generate and evaluate
    alternatives and to make recommendations.

-   Willingly accepts personal responsibility and accountability for
    individual contributions and those made as a member of a team

-   Completes professional development requirements and opportunities to
    maintain state-or-the-art skills.

-   Adheres to relevant government and organization policies and
    regulations

[Performance Element Title]{.underline}: Effective Communication

[Performance Standard Description]{.underline}: Supervisor observes or
receives feedback that employee

-   Shares information openly and regularly with others

-   Presents complex/technical information in a logical, understandable
    and persuasive manner, where appropriate.

-   Written/oral communications are clear, accurate, concise, and
    well-organized.

-   Listens to other's ideas and points-of-view, and seeks to clarify
    for understanding.

[Performance Element Title]{.underline}: Effective Teamwork

[Performance Standard Description]{.underline}: Supervisor observes or
receives feedback that employee

-   Builds and maintains collegial, effective relationships that
    facilitate achieving desired goals

-   Uses collaborative decision making techniques to facilitate teamwork

-   Exhibits willingness to support others in the accomplishment of
    their assignments

-   Actively contributes to accomplishment of organizational goals.

-   Supports organizational decisions once they are made

-   Shares knowledge, expertise, information and credit freely across
    levels and functions

[Performance Element Title]{.underline}: Innovation/Quality Improvements

[Performance Standard Description]{.underline}: Supervisor observes or
receives feedback that employee

-   Initiates and/or supports quality improvements in systems, services,
    or work processes

-   Recommends alternatives to established thinking, policies,
    practices, methods and approaches designed to achieve organizational
    efficiency, cost savings/avoidance, etc.

-   Is cooperative, constructive, and adaptable in response to new
    ideas, to changing situations, and to technological innovations.

[Performance Element Title]{.underline}: Effective Customer Service

[Performance Standard Description]{.underline}: Supervisor observes or
receives feedback that employee

-   Responds appropriately and in a timely fashion to
    customers/stakeholders concerns and requests, reacting
    constructively to changes in needs and priorities

-   Consistently helps customers and partners overcome problems or
    difficulties

-   Keeps customers and partners up to date on progress

-   Designs and adapts products and services to meet customer needs

-   Meets schedules and commitments