OPM.gov / Agency Services / Performance Management / Performance Appraisals

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# Performance Appraisals

# Appraisal Review

Results-oriented performance appraisal plans are central to linking individual accountability to organizational outcomes to build a high performance organization. OPM Consultants can provide internal reviews to help agencies ensure that their performance management plans are compliant with Human Capital Accountability Assessment Framework (HCAAF) and Performance Appraisal Assessment Tool (PAAT ) requirements. These plan reviews encompass SES, SL/ST, and GS or equivalent performance appraisal plans. The performance plan appraisal review process includes three “pass” reviews of individual performance plans with specific feedback on criteria specified in the PAAT, general briefings to managers and human resources officials, and one-on-one consultation with appraisal plan holders if needed.

## First-Pass Performance Plan Review

OPM Consultants evaluate performance plans against criteria specified in the PAAT and indicate a rating of met/not met for each requirement. For items rated ‘not met,’ OPM Consultants provide specific commentary describing why requirements were not met so that the agency’s SES, SL/ST, or GS or equivalent and HR personnel can revise the plans appropriately.

## General Briefings

Following the first-pass review, OPM Consultants can provide general briefings to the agency’s HR and SES, SL/ST, or GS or equivalent personnel to discuss the general themes found during the review. Briefings focus on overall findings of the group’s collective results, include a review of trends/themes for ‘met’/‘not met’ requirements and contain a discussion surrounding ‘not met’ requirements.

## Second-Pass and Third-Pass Performance Plan Review

The agency makes corrections to Performance Plans based on the feedback from the first-pass review/briefing and re-submit to OPM for a second-pass review. The agency corrects second-pass plans rated ‘not-met’ on any requirement and re-submits corrected plans for a final, third-pass review. OPM Consultants utilize the same methodology for the second and third pass reviews as described in the First-Pass Performance Plan Review. OPM Consultants compare revised plans to the originals and provide specific commentary describing why requirements were not met based on changes from previous feedback.

## Exemplary Performance Plan Review

After reviewing the Performance Plans OPM Consultants provide the top 10-15 exemplary plans. These exemplary plans will be chosen from the Performance Plans that pass review.

## One-on-One Consultation

OPM Consultants provide one-on-one consultation with rating officials, executives, and supervisors regarding individual performance plans, with particular focus on writing results-focused measurable standards. Consultants go step-by-step through individual plans discussing HCAAF and PAAT requirements and make recommendations based on compliance criteria.

## Related Information

                      - Watch GovExec's Performance Management Viewcast

## Get More Information

For additional information on this topic, or to learn more about implementing the best strategies today for the best workforce tomorrow, contact us via email at HRStrategy@opm.gov.

# Appraisal Program Development

Performance Appraisal Programs and Systems can be developed based on a variety of designs, from behavioral-based to objective and results-oriented.  OPM Consultants can help agencies identify the right performance appraisal strategy to ensure accountability, fairness, and alignment with the function and strategy of the agency.  OPM Consultants guide the development and implementation of a performance appraisal program/system in accordance with Title 5 United States Code, Chapter 43 and ensure the system adequately addresses the requirements of the Human Capital Assessment and Accountability Framework (HCAAF) and the criteria specified in the Performance Appraisal Assessment Tool (PAAT). When developing a performance appraisal program/system, elements can include:
                - Performance appraisal system requirements, procedures, forms, and cycles that comply with law and OPM regulations
                - Performance-based job elements that are linked to the agency’s strategic plan and metrics in annual reports to Congress
                - A  valid, weighted derivation formula to create summary ratings for performance (SES and SL/ST only)
                - Identify broad program/office goals for performance plans
                - For competency-based performance plans, OPM can develop a Competency Rating Tool - tool that facilitates the standardization of rating generic core competencies
                - OPM Consultants can work with agency HR Specialists, officials, union representatives, employees and stakeholders to develop the program or system. OPM Consultants can also provide a general briefing to agency officials and personnel on the new performance appraisal program/system. OPM Consultants provide training so that agency officials will be knowledgeable and able to use the system independently.
                - Identify broad program/office goals for performance plans
                - For competency-based performance plans, OPM can develop a Competency Rating Tool - tool that facilitates the standardization of rating generic core competencies

## Related Information

                      - Watch GovExec's Performance Management Viewcast

## Get More Information

For additional information on this topic, or to learn more about implementing the best strategies today for the best workforce tomorrow, contact us via email at HRStrategy@opm.gov.

# Appraisal System Evaluation

The performance appraisal program/system is a fundamental tool managers have to maximize performance effectiveness in their unit, division, or agency.  How effective is your performance management program or system in helping employees understand their roles and how their roles relate to the goals of the agency, setting expectations, and holding employees and managers accountable?  OPM Consultants can evaluate performance management program/system in accordance with Title 5 United States Code, Chapter 43 and recommend areas for improvement.  OPM Consultants ensure the program/system adequately addresses the requirements of the Human Capital Assessment and Accountability Framework (HCAAF) and the criteria specified in the Performance Appraisal Assessment Tool (PAAT). Evaluation of a performance appraisal program/system includes:
                - Ensure performance appraisal system requirements, procedures, forms, and cycles that comply with law and OPM regulations
                - Ensure performance-based job elements are linked to the agency’s strategic plan and metrics in annual reports to Congress
                - Ensure a valid, weighted derivation formula is in place to create summary ratings for performance (SES and SL/ST only)
                - Ensure goals are consistent across programs/offices; )
                - OPM Consultants can also provide a general briefing to agency officials and human resources personnel on the performance appraisal program/system evaluation results and provide recommendations on how to better comply with the PAAT criteria.

## Related Information

                      - Watch GovExec's Performance Management Viewcast

## Get More Information

For additional information on this topic, or to learn more about implementing the best strategies today for the best workforce tomorrow, contact us via email at HRStrategy@opm.gov.

# Plan Development

An effective performance appraisal program should be designed to hold individuals accountable for organizational results. Often the breakdown in this linkage occurs at the individual level.  Individual performance appraisal plans do not have adequate elements, standards, and performance measures to ensure an individual is appropriately being held accountable for results. OPM Consultants can help guide : the development of performance appraisal plans in accordance with policy and OPM requirements. OPM Consultants can help:
                - identify cross-cutting performance goals
                - develop elements and standards aligned with an agency’s strategic plan and organizational measures
                - develop standardized measures.

Comprehensive performance appraisal plans can help employees understand their roles and how their roles relate to the goals of the organization, set expectations, and define clear outcomes.

## Individual Development Plan Development

To be effective in their positions, employees need to have the requisite knowledge, skills, abilities and competencies to perform work tasks. Individual Development Plans (IDP) are a tool to help identify development and training needs necessary for individual career development and work accomplishment. Like the annual performance appraisal plan, IDPs should be developed at the beginning of the fiscal year (or rating period) and establish individual training and development expectations. OPM Consultants can help guide the development of IDP forms and procedures and train managers and employees on its use.  OPM Consultants can customize the process and forms to meet the specific requirements of the agency or office.

## Related Information

                      - Watch GovExec's Performance Management Viewcast

## Get More Information

For additional information on this topic, or to learn more about implementing the best strategies today for the best workforce tomorrow, contact us via email at HRStrategy@opm.gov.