# Presentation: 549562

## Conducting Performance Appraisals 

##  Objective

* **Objective*

-      The objective of this presentation is to provide ITA leaders with some key principles in conducting performance appraisals using the Department’s 5-Level performance management system.
- The information in this presentation includes:
- How to determine whether an employee is ratable
- Interim Ratings
- Practical guidance on appraising performance
- An overview of the performance appraisal process

## Determining Whether an Employee is Ratable

*Determining Whether an Employee is Ratable*

- An employee is _ratable_ if he or she:
- Worked at least 120 days in one or more covered positions during the current performance rating cycle and
- Occupied a covered position on the last day of the performance Rating cycle
- An employee is _not ratable_ if he or she:
- Did not work at least 120 in one or more covered positions during the Rating cycle
- Was placed on a Performance Improvement Plan (PIP) during the Rating cycle.

## Interim Ratings... 

*Interim Ratings... *

- _When an Interim Rating Must be Completed:_
- After a detail, temporarily promotion, or assignment which lasts at least 120 days
- When an employee leaves a position after serving at least 120 days
- When a supervisor leaves his/her position and an employee has been under a performance plan for 120 days

## Interim Ratings continued 

*Interim Ratings continued *

- _Benefits of Interim Ratings:_
- To provide input from a departing supervisor to assist a new supervisor who is preparing a final Rating of record
- To provide a final rating of record to an employee who changes positions during the last 120 days of the Rating period
- To provide a final rating of record to an employee who moves more than once during the rating period
- To provide appropriate performance credit for work performed on a detail or temporary promotion or assignment

## Appraising Performance

*Appraising Performance*

- INPUT
- Notes from progress reviews
- List of accomplishments supplied by employee
- Pre-appraisal meeting with employee
- Approving Official’s signature on appraisal
- OUTPUT
- Completed Performance Appraisal

## The Appraisal Process 

*The Appraisal Process *

- Supervisors and employees should start planning for the appraisal process approximately 30 days before the end of the performance appraisal cycle.
- Both the employee and the supervisors have a role in the appraisal cycle.  It is recommend that the supervisor:
- Solicit a list of accomplishments aligned with critical elements and performance measures and metrics from the employee before writing the performance appraisal
- Conduct a pre-appraisal meeting with the employee prior to the Rating Official presenting the appraisal to the Approving Official

## Pre-Appraisal Meeting 

*Pre-Appraisal Meeting *

- The purpose of the pre-appraisal meeting is to provide the employee an opportunity to meet with the Rating Official prior to the formal appraisal meeting.  At this meeting, the employee may:
- Present a **self-assessment** of his or her performance
- Inform the Rating Official of **aspects of the work of which the Rating Official may not be aware**

## Drafting the Performance Appraisal

*Drafting the Performance Appraisal*

- After the pre appraisal meeting with the employee the Rating Official is prepared to draft the employee’s performance appraisal and proposed award before they solicit final approval of the rating from the Approving Official.

## Level 3 Generic Performance Standards  from CD-430 Appendix A  

*Level 3 Generic Performance Standards  from CD-430 Appendix A**  *

**Good, sound performance**.
**Quality and quantity of work** are those of a **fully** **competent employee.**
**Performance** level **expected of the great majority of employees.   **
- W**ork product fully meet the requirements** of the element.
- W**ork requires only minor revision**.
- Tasks are completed in an accurate, through and timely way.
- T**echnical skills and knowledge are applied effectively** to specific job tasks.
- Employee **adheres to procedures and format requirements** and follows necessary instructions from supervisors ...

## Level 4 Generic Performance Standards  from CD-430 Appendix A

*Level 4 Generic Performance Standards  from CD-430 Appendix A*

**Unusually good performance**.
- Work is **consistently above  average.  **
- Work products **rarely require even minor revision**.
**Thoroughness and accuracy of work are reliable**.
- Knowledge and skill the employee applies to this element are clearly above average, **demonstrating problem-solving skills and insight into work methods and techniques**.
- Employee **follows required procedures and supervisory guidance so as to take full advantage of existing systems** for accomplishing the organization’s objectives ...

## Level 5 Generic Performance Standards  from CD-430 Appendix A

*Level 5 Generic Performance Standards  from CD-430 Appendix A*

- A level of **rare, high quality performance**.
- The quantity and quality of the employee’s work **substantially exceeds Level 3** standards and **rarely leaves room for improvement**.
- Impact of the employee’s work is of such significance that **organizational objectives were accomplished that otherwise would not have been**.
**Accuracy and thoroughness** of the employee's work on this element are **exceptionally reliable**.
- Application of technical knowledge and skills goes **beyond that expected for the position.  **
- Employee **significantly improves the work processes** and products for which he or she is responsible.
**Thoughtful adherence to procedures and formats, as well as suggestions for improvement in these areas**, increase the employee's usefulness ...

## Level 2 Generic Performance Standards  from CD-430 Appendix A

*Level 2 Generic Performance Standards  from CD-430 Appendix A*

- Level of performance, while demonstrating **some positive contributions** to the organization, **shows notable deficiencies.  **
- It is **below the level expected for the position**, and **requires corrective action**.
**Quantity, quality or timeliness of the employee’s work is less than Level 3**, jeopardizing attainment of the element’s objective ...

## Level 2 Generic Performance Standards  from CD-430 Appendix A

*Level 2 Generic Performance Standards  from CD-430 Appendix A*

**Supervisor required to:**
- Contact Employee Relations
- Develop a Plan to bring employee to Level 3
- PIP may be necessary in the future

## Level 1 Generic Performance Standards  from CD-430 Appendix A  

*Level 1 Generic Performance Standards  from CD-430 Appendix A**  *

- Quantity and quality of work are **not adequate** for the position.
- Work products **fall short of the requirement** of the element.
- They arrive **late **or often **require major revision** because they are incomplete or inaccurate in content.
- Employee **fails to apply adequate technical knowledge** to complete the work of this element.
- Either the **knowledge applied cannot produce the needed products**, or it **produces technically inadequate products or results**.
- Lack of adherence to required procedures, instructions, and formats contributes to **inadequate work products** ...

## Level 1 Generic Performance Standards  from CD-430 Appendix A  

*Level 1 Generic Performance Standards  from CD-430 Appendix A**  *

- Supervisor required to:
- If any critical element Level 1, Level 1 overall evaluation

## Performance Summary Rating  

*Performance Summary Rating  *

| Performance  Element  		 | Individual Weights  | Element  Rating 
(5, 4, 3, 2, 1)   | Score  |
| --- | --- | --- | --- |
| Customer Service 		 | 30 | 3 |  90
 |
| Professional Effectiveness | 30 | 4 | 120 |
| Program Management | 40
 | 4
 | 160
370 Total Score |

## Levels and Scoring Process 

*Levels and Scoring Process *

| Level 5 

470-500		 | Level 4 

380-469 | Level 3 

290-379 | Level 2

200-289
 | Level 1

100-199  |
| --- | --- | --- | --- | --- |

## The Performance Awards Process 

*The Performance Awards Process *

| Qualifying Summary Rating Ranges  | Rating  | Award Ranges (Percent of Base Pay Including Locality Payments)    |
| --- | --- | --- |
| 470-500 points 
 | Level 5
 | Up to 10 percent  |
| 380-460 points | Level 4
 | Up to 6 percent 
 |
| 290-379 points | Level 3
 | Up to 3 percent  |

## Rating/Approving Official meeting 

*Rating/Approving Official meeting *

- After the Rating Official obtains the Approving Official’s signature on the performance appraisal and award (if any) the rater is free to conduct the performance appraisal meeting with their employee.
- Only after obtaining this approval may the Rating Official conduct the formal Performance Appraisal meeting.

## The Performance Appraisal Meeting 

*The Performance Appraisal Meeting *

- The formal performance appraisal meeting gives the Rating Official an opportunity to communicate the final Rating to the employee.
- The employee and the Rating Official sign and date the Performance Management Record
- The Rating Official gives the employee a copy of the signed Rating.
- Employees must be rated within 30 days of the end of the fiscal year.

## If the employee is not satisfied with the Performance Appraisal 

*If the employee is not satisfied with the Performance Appraisal *

- Informally: The employee provides written justification to the supervisor on why they should be given a higher rating.
- Formally: if the informal process doesn’t work they may file a grievance within 15 calendar days.

## Preparing for the New Performance Cycle 

*Preparing for the New Performance Cycle *

- If you have a positive relationship with your subordinate, you can prepare the new performance plan at the same time that you complete the performance appraisal.
- If the relationship is not positive, it would be wise to conduct the appraisal and planning  steps at two different times.
- New performance plans must be in place and signed by the approving official, rating official, and employee within 60 days of the beginning of the Fiscal Year.

## Summary

*Summary*

- This presentation provided you with:
- How to determine whether an employee is ratable
- Guidance on Interim Ratings
- An overview of performance appraisal and
- Practical guidance on appraising performance

## Summary: DOC 5-Level Performance Management System   

*Summary: DOC 5-Level Performance Management System **  *

|  | DOC 5-Level System |
| --- | --- |
|  | Rating Officials must provide either an overall narrative justification of the summary Rating or a written justification for each element rated, and may do both.  

An element rated Level at Level 2 or 1 requires a written justification.  
   |
|  | Ratings are required when employee has spent 120 days in a position  |