5-Level Performance Mgmt System b

8/3/2019 5-Level Performance Mgmt System b

1/32


2/32


3/32

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

All must be critical elements

At least one element linked to a company goal Mandatory element for supervisors/managers

Established by rating official no higher levelreview required

divisions MAY establish 2nd

level supv review


4/32

Focused on results Credible measures

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

Established at the Fully Successful level(minimum required) Benchmark (generic) standards provided at

all levels

May be augmented with standards specific tothe position


5/32

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


6/32

12 months Coincides with FY or CY

Divisions/departments must request variation fromHR

May extend up to 90 days

Progress reviews Required mid-year

Continuous feedback encouraged


7/32

Under signed performance plan for at least90 days In same position

Supervised by same rating official

Includes details over 120 days Rating official must consider ratings from details


8/32

Completed within 30 days of end ofappraisal period Original submitted to HR within 60 days Copy to employee and supervisor

Employee on temporary assignment Rating official is supervisor of record

May NOT use arbitrary distribution system(such as a bell curve)

Presumptive ratings not allowed Include narratives (required for all)


9/32

Rating Level Standard Pts

Exceptional Particularly excellent performance of

such high quality that organizational

goals have been achieved that would not

have been otherwise

5

Superior Unusually good performance that exceeds

expectations in critical areas and exhibits

a sustained support of organizational

goals

4

Fully

Successful

Good, sound performance that meets

organizational goals. Employee

effectively applies technical skills and

organizational knowledge to get the jobdone

3


10/32

Rating Level Standard Pts

Minimally

Successful

Performance shows serious deficiencies

that require correction. Work is marginal

and only meets the minimum requirements

with close supervision

2

Unsatisfactory Quality and quantity of work are not

adequate for the position. Work products

do not meet the minimum requirements

expected

0


11/32

Derived from numerical average of all elements

Summary Rating Points Summary Rating

4.60 - 5.00ANDNo critical

element lower than Superior

Exceptional

3.604.59ANDNo criticalelement lower than Fully

Successful

Superior

3.003.59ANDNo critical

element lower than Fully

Successful

Fully Successful

2.002.99ANDNo critical

element rated lower than

Minimally Successful


One or more Critical elements

rated Unsatisfactory

Unsatisfactory


12/32

Supervisor of record leaves in final 90 days ofrating period Prepare summary rating to serve as rating of record

Employee does not have standards

Not eligible for rating Employee not supervised by rating official for

90 days Second level supervisor may rate


13/32

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


14/32

Discuss with employee AFTER ratingcompleted

If employee refuses to sign Document refusal on rating form

Supplemental written comments May be submitted by employee May address element rating, overall rating,

and/or narrative comments

Forwarded to HR and filed in 201 file


15/32

Departments may develop their ownprocess

Criteria: Dissatisfaction with an elementrating 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.


16/32


17/32

Written request to HR within 7calendar days of receipt of informaldecision

HR reviews to determine ifappropriate 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)


18/32

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


19/32

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

Superior No Eligible for cash (up to 3% of base pay)

or Time-Off award

Fully Successful NO Eligible for career ladder promotion

Minimally

Successful

YES Not eligible for career ladder

Unsatisfactory YES Requires formal corrective action

(Performance Improvement Plan)


20/32

XYZ INCORPORATEDEmployee Performance Appraisal Plan

Employee Name and Social Security Number: Title/Se ries/Grade:

Duty Station: Appraisal Period: From: To:

Part A: Notification of Standards: Signatures certify that critical elements and performance standardswere 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 thenumerical rating levels that accurately reflects the employees performance for each of the criticalelements (Use only whole numbers:Exceptional = 5 points; Superior = 4 points, Fully Successful =3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points.) See reverse forcomplete instructions for assigning a Summary Rating.

Element Number Numerical Rating

1

2

3

4

5

Total:

Total Numerical Rating Number of Elements = Numeric Summary Rating

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

Exceptional4.65.00 AND No critical element rated lower than Superior.

Superior 3.64.59 AND No critical element rated lower than Fully Successful.

Fully Successful 3.03.59 AND No critical element rated lower than Fully Successful.

Minimally Successful 2.02.99 AND No critical element rated lower than Minimally Successful.Unsatisfactory One or more critical elements rated Unsatisfactory.

Employee: 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 byBureau/Office.


21/32

XYZ INCORPORATEDEmployee Performance Appraisal Plan

Employee Name and Social Security Number: Title/Series/Grade:

Duty Station: Appraisal Period: From: To:Sally Sarte 000-00-0000 Visitor Use Assistant, GS-303-05

Quezon Plant 01/01/05 09/30/05


22/32

Part A: Notification of Standards: Signatures certify that critical elements and performance standards werediscussed. 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

Sally Sarte

010105

V. Good

01/01/05


23/32

Part B: Progress Review: Signatures certify that performance was discussed.Employee: Date: Rating Official: Date:

Sally Smart V. Good 05/01/0505/01/05


24/32

Part C: Summary Rating Determination: To determine a summary rating, assign one of thenumerical rating levels that accurately reflects the employees performance for each of the criticalelements (Use only whole numbers:Exceptional = 5 points; Superior = 4 points, FullySuccessful = 3 points, Minimally Successful = 2 points, and Unsatisfactory = 0 points. ) Seereverse for complete instructions for assigning a Summary Rating.

Element Number Numerical Rating

12

3

4

5

Total:

Total Numerical

Rating

Number of Elements = Numeric Summary

Rating

5

4

3

NR

5

17

17 4.254


25/32

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

Exceptional 4.6 5.00 AND No critical element rated lower than Superior.

Superior 3.6 4.59 AND No critical element rated lower than FullySuccessful.

Fully Successful 3.0 3.59 AND No critical element rated lower than FullySuccessful.

MinimallySuccessful

2.0 2.99 AND No critical element rated lower than MinimallySuccessful.

Unsatisfactory One or more critical elements rated Unsatisfactory.

Employee: Rating Official: Reviewing Official: (if applicable):

Date: Date: Date:

X

Sally Sarte V. Good

10/15/05 10/15/05

Check Here If Interim Rating _____


26/32

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 endof the rating cycle

To document a level of competencedetermination for granting or denying a

with-in-grade increase


27/32

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 BenchmarkStandards areattached in the space below, and ensure they are attached to this form.

Critical Element 1:

Performance StandardsExceptional

Superior

Fully Successful


Unsatisfactory

Narrative Summary

Describe the employees performance for each critical element. A narrative summary must be written for eachelement 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


28/32

Were formerlythe CriticalResults

1+ 1

2


29/32

Standard

Element #1

Standard

Element #2

Strategic

Goals


30/32

Specific Measurable

Achievable

Realistic Timely


31/32

Performanceindicators in thePass/Fail System


32/32

The employee demonstrates good, sound

performance that meets organizational goals.All critical activities are generally completed

in a timely manner and supervisor is keptinformed of work issues, alterations andstatus.

Documents

5-Level Performance Mgmt System b