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2 levels Critical Results Generic Performance Indicators De-linked from recognition

Old

5 levels Critical Elements Generic Standards which can be augmented Linked to recognition Requires strategic linkage

New

Employee participation encouraged Established within 60 days No more than 5 performance elements

Established by rating official no higher level review required


divisions MAY establish 2nd level supv review

All must be critical elements At least one element linked to a company goal Mandatory element for supervisors/managers

Focused on results Credible measures

Established at the Fully Successful level (minimum required) Benchmark (generic) standards provided at all levels
May be augmented with standards specific to the position

quality, quantity, timeliness, cost-effectiveness, etc.

Must allow for margin of error or deviation


Must be able to exceed the standard

Must clearly state measurement criteria Use benchmark as a guide

12 months Coincides with FY or CY


Divisions/departments must request variation from HR

May extend up to 90 days Progress reviews


Required mid-year Continuous feedback encouraged

Under signed performance plan for at least 90 days


In same position Supervised by same rating official

Includes details over 120 days


Rating official must consider ratings from details

Completed within 30 days of end of appraisal period

Employee on temporary assignment


May NOT use arbitrary distribution system (such as a bell curve) Presumptive ratings not allowed Include narratives (required for all)
Rating official is supervisor of record

Original submitted to HR within 60 days Copy to employee and supervisor

Rating Level Exceptional

Superior

Fully Successful

Standard Particularly excellent performance of such high quality that organizational goals have been achieved that would not have been otherwise Unusually good performance that exceeds expectations in critical areas and exhibits a sustained support of organizational goals Good, sound performance that meets organizational goals. Employee effectively applies technical skills and organizational knowledge to get the job done

Pts 5

Rating Level Minimally Successful

Standard

Pts

Unsatisfactory

Performance shows serious deficiencies 2 that require correction. Work is marginal and only meets the minimum requirements with close supervision Quality and quantity of work are not 0 adequate for the position. Work products do not meet the minimum requirements expected

Derived from numerical average of all elements


Summary Rating Points Summary Rating Exceptional Superior

4.60 - 5.00 AND No critical element lower than Superior 3.60 4.59 AND No critical element lower than Fully Successful 3.00 3.59 AND No critical element lower than Fully Successful 2.00 2.99 AND No critical element rated lower than Minimally Successful One or more Critical elements rated Unsatisfactory

Fully Successful

Minimally Successful

Unsatisfactory

Supervisor of record leaves in final 90 days of rating period


Employee does not have standards
Not eligible for rating Prepare summary rating to serve as rating of record

Employee not supervised by rating official for 90 days


Second level supervisor may rate

Interim appraisals
Upon completion of temp assignment over 120 days Employee or supervisor changes positions Document level of competence
Becomes rating of record

Copy to employee and new supervisor Used to determine annual summary rating

Not Rated
When employee does not have opportunity to perform a critical element

Discuss with employee AFTER rating completed If employee refuses to sign


Supplemental written comments
Document refusal on rating form May be submitted by employee May address element rating, overall rating, and/or narrative comments Forwarded to HR and filed in 201 file

Departments may develop their own process Criteria: Dissatisfaction with an element rating that would affect the Summary Rating CBA with reconsideration process governs Must notify all employees of the reconsideration process developed Reconsideration Process must include:
Informal and Formal procedures Reasonable timeframes Final decision must remain within department.

Informal discussion with rating official within 7 calendar days of receipt of the EPAP No agreement employee may request formal reconsideration through HR Rating Official provides decision
Verbal or written Provided within 7 calendar days after discussion

Written request to HR within 7 calendar days of receipt of informal decision HR reviews to determine if appropriate for acceptance
Not accepted return with explanation Accepted referred within 14 calendar days

Employee may be represented Review limited to reconsideration of rating on critical element(s)

Reconsideration Official
Reviews evidence Consults with necessary individuals Makes changes if appropriate Issues final written decision within 20 calendar days
Copy to employee and filed in 201 file

Decision is final no further right of review

Summary Rating

Narrative required?

Award Eligibility & Actions Required

Exceptional

YES

Eligible for a cash award up to 5% of base pay, Time-Off, up to 5% increase in base pay
Eligible for cash (up to 3% of base pay) or Time-Off award Eligible for career ladder promotion Not eligible for career ladder Requires formal corrective action (Performance Improvement Plan)

Superior Fully Successful Minimally Successful Unsatisfactory

No NO YES YES

DI-3100 November 2004

XYZ INCORPORATED Employee Performance Appraisal Plan


Employee Name and Social Security Number: Duty Station: Title/Series/Grade: Appraisal Period: From: To:

Part A: Notification of Standards: Signatures certify that critical elements and performance standards were discussed. Critical elements and performance standards are contained in Part E.
Employee: Rating Official: Reviewing Official (if applicable*):

Date:

Date:

Date:

*If determined by Bureau/Office

Part B: Progress Review: Signatures certify that performance was discussed.


Employee: Date: Rating Official: Date:

Part C: Summary Rating Determination: To determine a summary rating, assign one of the numerical rating levels that accurately reflects the employees performance for each of the critical elements (Use only whole numbers: Exceptional = 5 points; Superior = 4 points, Fully Successful = 3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points.) See reverse for complete instructions for assigning a Summary Rating.
Element Number 1 2 3 4 5
Total: Total Numerical Rating Number of Elements = Numeric Summary Rating

Numerical Rating

Part D: Overall Summary Rating: Use conversion chart below to determine Summary Rating. Check the
appropriate box:

Exceptional Superior Fully Successful Minimally Successful Unsatisfactory


Employee:

4.6 5.00 AND No critical element rated lower than Superior. 3.6 4.59 AND No critical element rated lower than Fully Successful. 3.0 3.59 AND No critical element rated lower than Fully Successful. 2.0 2.99 AND No critical element rated lower than Minimally Successful. One or more critical elements rated Unsatisfactory.
Rating Official: Reviewing Official: (if applicable):

Date:

Date:

Date:

Check here if Interim Rating: ______


Employees Signature above certifies that the overall summary rating was discussed. Reviewing Officials signature is required for Exceptional, Minimally Successful and Unsatisfactory ratings, and otherwise if determined by Bureau/Office.

XYZ INCORPORATED Employee Performance Appraisal Plan


Employee Name and Social Security Number: Title/Series/Grade: Appraisal Period: From:

Sally Sarte
Duty Station:

000-00-0000

Visitor Use Assistant, GS-303-05


To:

Quezon Plant

01/01/05

09/30/05

Part A: Notification of Standards: Signatures certify that critical elements and performance standards were discussed. Critical elements and performance standards are contained in Part E.
Employee:

Sally Sarte 010105

Rating Official:

Reviewing Official (if applicable*):

V. Good
Date:

Date:

01/01/05

Date:

*If determined by Bureau/Office

Part B: Progress Review: Signatures certify that performance was discussed.


Employee:

Sally Smart

Date:

Rating Official:

Date:

05/01/05

V. Good

05/01/05

Part C: Summary Rating Determination: To determine a summary rating, assign one of the numerical rating levels that accurately reflects the employees performance for each of the critical elements (Use only whole numbers: Exceptional = 5 points; Superior = 4 points, Fully Successful = 3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points.) See reverse for complete instructions for assigning a Summary Rating.
Element Number 1 2 3 4 5
Total: Total Numerical Rating

Numerical Rating
5
4 3 NR 5

17

17

Number of Elements

Numeric Summary Rating

4.25

Part D: Overall Summary Rating: Use conversion chart below to determine Summary Rating. Check the appropriate box: 4.6 5.00 AND No critical element rated lower than Superior. Exceptional 3.6 4.59 AND No critical element rated lower than Fully Superior X Successful. 3.0 3.59 AND No critical element rated lower than Fully Fully Successful Successful. 2.0 2.99 AND No critical element rated lower than Minimally Minimally Successful. Successful One or more critical elements rated Unsatisfactory. Unsatisfactory
Employee:

Sally Sarte 10/15/05

Rating Official:

Reviewing Official: (if applicable):

V. Good
Date:

Date:

10/15/05

Date:

Check Here If Interim Rating _____

Employee changes positions Employee completes temporary assignment or detail of more than 120 days The rating official leaves a supervisory position more than 90 days before the end of the rating cycle To document a level of competence determination for granting or denying a with-in-grade increase

Part E: Critical Elements and Performance Standards: List below each of the employees critical elements (at least one, but no more than 5) and their corresponding performance standards. If Benchmark Standards are used, indicate Benchmark Standards are attached in the space below, and ensure they are attached to this form. Critical Element 1:

Performance Standards Exceptional

Superior

Fully Successful

Minimally Successful

Unsatisfactory

Narrative Summary Describe the employees performance for each critical element. A narrative summary must be written for each element assigned a rating of Exceptional, Minimally Successful, or Unsatisfactory.

Rating for Critical Element 2: [ ] Exceptional-5 [ ] Superior-4 [ ] Fully Successful-3 [ ] Minimally Successful-2 [ ] Unsatisfactory-0

Were formerly the Critical Results

+1
2

Strategic Goals

Element #1

Element #2

Standard

Standard

Specific Measurable Achievable Realistic Timely

Performance indicators in the Pass/Fail System Exceptional Superior Fully Successful Minimally Successful Unsatisfactory

Fully Successful The employee demonstrates good, sound performance that meets organizational goals. All critical activities are generally completed in a timely manner and supervisor is kept informed of work issues, alterations and status.