United States Department of Agriculture
Research, Education, and Economics
ARS * CSREES * ERS * NASS
Policies and Procedures
Title: | Performance Planning and Appraisal |
Number: | 435.1-CSREES |
Date: | May 26, 1999 |
Originating Office: | Human Resources Division; REE Policy Branch; AFM, ARS |
This Replaces: | |
Distribution: | All CSREES Employees |
This P&P outlines procedures for establishing performance elements and standards and for rating employee performance. It applies to all employees in the CSREES except members of the Senior Executive Service and employees holding certain temporary and/or excepted service appointments. |
Table of Contents
1. Introduction
2. Coverage
3. Annual Appraisal Period
4. Minimum Appraisal Period
5. Establishing and Communicating Performance Plans
6. Performance Elements and Standards
Performance Elements
Performance Standards
7. Progress Reviews
8. Annual Appraisals
Element Rating Levels
Appraisal Units
Summary Levels
Discussing the Appraisal
Document Distribution and
Retention
9. Special Situations
Advisory Performance Ratings
Inability to Rate/Extension of
Appraisal Period
Assisting Employees in Improving
Performance
Employee Dissatisfactions
Grievances
10. Impact on Other Personnel Actions
11. Savings Provision
12. Communications/Training
13. Recognizing Performance
14. Evaluation
15. Summary of Responsibilities
16. Glossary
Appendix A
Appendix B
Appendix C
Performance appraisal is a management tool designed to encourage communications in the
office, improve the quality of work produced, and promote individual accountability. This
is the concept underpinning the legal requirement that all agencies evaluate employee
performance. 1 Just how a supervisor
is expected to do this is addressed in some detail below.
The information applies to all employees assigned to the Cooperative State
Research, Education, and Extension Service (CSREES) except the following:
In addition to these three general exceptions which are covered by law, 3 USDA's Office of Human Resource
Management (OHRM) has also obtained exemptions for a number of specific positions, among
them:
For further information on these and other exempted positions, see USDA's Performance
Management System, issued via memorandum dated June 12, 1996.
The fact that certain employees are excepted from the formal aspects of the appraisal
process does not mean they are, therefore, exempt from performance related scrutiny,
criticism, and praise. The supervisor should still maintain records of performance for all
non-ratable employees and recommend and take administrative action as required.
In most cases, the supervisor will evaluate each employee once every 12 months. The annual
appraisal period may begin and end on any date convenient for the
agency, but the dates must be communicated to employees in writing.
An employee must have been in the position with elements and standards in place for at
least 90 days before an advisory rating or rating of
record may be completed.
Upon an employee's assignment to a position (normally within 30 days) and at the beginning
of the appraisal period thereafter (again within 30 days), the rating
official will meet with the employee to discuss and develop a written performance
plan (elements and standards). Remember, elements and standards are required for
details and temporary promotions in excess of 120 days.
If one or more major duties and/or responsibilities of a position change, the performance
plan should be reviewed. Changes to performance plans must be in writing and must be
approved by the rating and reviewing officials prior to implementation.
If changes are made during the last 90 days of the annual appraisal period, the employee
must be given an opportunity to perform in the element(s) before being rated. In these
cases, the rating period is extended for the length of time necessary to meet the minimum
appraisal period (90 days), after which the employee may be rated.
A performance plan is considered to be in place (e.g., effective) when the
employee and the rating and reviewing officials have signed and dated the plan. Signature
by the employee indicates receipt of the performance plan. Final authority for
establishing performance plans rests with the rating and reviewing officials.
Preparation and receipt of the performance plan is documented on form AD-435A and B.
The supervisor will record the proposed elements and standards on form AD-435A,
Performance Plan, Progress Review and Appraisal Worksheet (see Appendix
A), and its Continuation Sheet, form AD-435B (see Appendix B), and will discuss them with
the employee occupying the position. The supervisor and the employee will then sign the
AD-435A, and the supervisor will forward the documents to the reviewing official for
approval and signature. Once the documents have been approved and signed, the supervisor
will forward a copy to the employee. The supervisor keeps the original.
Standardized elements and standards that adopt similar elements for similar positions will
be used wherever logical. However, this does not preclude the use of nonstandard elements
and/or standards. Employees, employee groups, and/or employee representatives will
participate in the development of performance plans. All performance plans must align
performance expectations with strategic plans and the Department's customer service
philosophy.
Performance Elements
General. Departmental guidance requires that the rating/reviewing official(s)
identify no fewer than three, but not more than ten, performance elements
for each position . at least one of which must be identified as non-critical.
Performance plans may include both individual and team performance; however, at least
one critical element must address individual performance. The
agency Administrator may determine the number of critical and non-critical
elements, within these parameters. The rating/reviewing official(s) will consult with
the employee (or employee groups) in developing the performance plan and in determining
which elements are critical and which are non-critical. The rating/reviewing officials are
ultimately responsible for the decisions made. To simplify the process, the supervisor
should attempt to standardize the elements as much as possible, adopting similar elements
for similar positions.
Appraisal Units (or Point Value). In the rating process, critical elements are
double weighted; that is, they are assigned two points (referred to as appraisal units),
while non-critical elements are assigned one point (see Section 8 for further details on
appraisal units).
Civil Rights. At least one critical element must give the supervisor an
opportunity to assess the employee's performance in the area of civil rights.
For supervisory positions, a separate critical element must be established to
specifically and exclusively address civil rights responsibilities.
For non-supervisory positions, a separate civil rights element is not required.
However, civil rights goals and responsibilities must be included within the context of at
least one element; and any element in which civil rights goals and objectives occur must
be a critical element. Including civil rights responsibilities with an element that
describes customer service functions or an element that focuses on internal working
relationships are excellent examples of opportunities to measure an employee's support for
diversity and ability to interact with coworkers from different backgrounds and ethnic
groups.
In certain unusual instances, the elements established for the duties of a
non-supervisory position may not lend themselves to a discussion of civil rights issues.
This may occur if the work is extremely technical or scientific in nature and if the work
is performed in a very independent or isolated manner (i.e., without opportunity to
interact with other people). Certain research positions might fall into this category. In
such cases, the supervisor and the employee may formulate a separate element addressing
the position's civil rights responsibilities.
In the rarest of cases, the supervisor and the employee may determine that the duties
of a non- supervisory position simply do not provide a reasonable opportunity to
demonstrate a commitment to civil rights or work force diversity. Should this occur--and
it should seldom, if ever, occur in CSREES--the Department requires that the second-level
supervisor review the case. If the second-level supervisor agrees that civil rights goals
cannot be addressed within the context of the position, the second-level supervisor will
forward a written request for an exception to Administrative and Financial
Management's (AFM) Human Resources Director, who will appoint an ad hoc panel to study the
request. The panel will be composed of at least three members: (1) the agency's Civil
Rights Director (or designee), (2) AFM's Human Resources Director (or designee), and (3) a
representative of the mission or program area of the position under review. The panel will
forward a recommendation to the Administrator, who will either grant or deny an exemption.
All exemptions will be reported to the Department's Office of Civil Rights Enforcement
within 30 days following approval.
Supervision. Performance plans for all supervisors and managers must include a
critical element(s) that measures these attributes.
For each performance element, the supervisor--again soliciting comments from the
employee occupying the position--will prepare a statement describing how a reasonably
effective employee would perform the work, addressing, as appropriate, the quantity and
quality of the work produced, its timeliness, any customer service expectations, and the
amount of supervision required. This description will become the performance
standard for that particular element at the Fully Successful rating level (see Section
8 for more information on rating levels). The supervisor will use this standard as a
yardstick for measuring employee performance.
At some point during the appraisal period, usually at the midpoint of the rating year, the
supervisor must meet with each employee to discuss performance and performance-related
issues. This meeting, officially labeled a progress review, but frequently referred to as
an interim appraisal or mid-year review, is intended to assess the
employee's current level of performance as measured against the standards established for
the work and to offer advice. As necessary, this review will identify problems and
formulate remedies. It urges the supervisor and the employee to confront performance
deficiencies in their early stages, when treatment is easier and before formal action
becomes necessary. For marginal employees, it would be wise to conduct these reviews on a
quarterly (or more frequent) basis.
While trouble-shooting is perhaps its primary purpose, the progress review should not
be seen in a negative light. For the successful, effective employee, it should provide an
occasion for positive reinforcement, the supervisor encouraging the employee to keep up
the good work or to accept increasingly ambitious challenges.
The progress review also provides an opportunity to review the performance elements and
standards and make any necessary adjustments. (Note: Changes cannot be made within 90 days
of the end of the appraisal period. If changes are proposed within that window, the length
of the appraisal period must be extended to give the employee a minimum of 90 days to
perform under the revised elements and standards.)
Progress reviews do not require written, narrative comments by the supervisor. If
desired, the supervisor may attach a memorandum to the AD-435A, but this is entirely
optional. The only written requirement is for the employee and the supervisor to initial
and date the block at the bottom of the form verifying that the progress review
discussion(s) did take place. 4
At the end of the rating period, the supervisor will evaluate each performance element
and determine which of the following three rating levels is most appropriate. In each
case, the supervisor will compare the employee's performance with the Fully Successful
performance standard established for that element.
After determining the level for each element, the supervisor will record the decision
by checking the appropriate block on the AD-435A and B (i.e., block 4, Element Rating).
Appraisal Units
As noted above, all performance elements are not of comparable nature: some of them are
critical; some are non-critical. To recognize the difference--and give extra credit where
extra credit is due--the supervisor will assign points: two points (usually referred to as
appraisal units) for critical elements and one point (i.e., one appraisal unit) for
non-critical elements.
To calculate the number of appraisal units for each employee and thereby arrive at a
total score and a final rating, the supervisor will transfer the individual element
ratings (see preceding section) from the AD-435A or B to the final rating document, form
AD-435P, Performance Appraisal (see Appendix C). The supervisor will record either one or
two points in the appropriate blocks (i.e., block 15B, 15C, or 15D) and add up the points
(i.e., appraisal units) awarded at each level. The supervisor will then translate this
total score into the summary rating level for the employee.
Summary Levels
The number of appraisal units earned for each element will determine the summary
level for the employee. The summary level reflects the appraisal (rating) of each
element and the associated (adjective) rating level that summarizes the employee's overall
performance. There are five such adjectives (or summary levels) that the supervisor may
use which are based on specific criteria:
The supervisor will identify the summary level for each employee by checking the
appropriate block on the AD-435P.
Once the summary level has been identified, the supervisor will sign and date the AD-435P and forward it to the reviewing official for signature. It is important that this review take place before the employee sees the rating or is engaged in any discussions concerning the rating. After the reviewing official has signed and returned the form, the supervisor will discuss the rating with the employee. The employee will then sign the form. Should the employee refuse to sign for whatever reason, the supervisor will annotate the form with the following statement: Employee received rating, but chose not to sign.
Document Distribution and Retention
The supervisor will distribute copies of the completed appraisal (forms AD-435A, AD-435B,
and AD-435P) as follows:
|
Employee |
|
HRD for data input and filing in Employee Performance File (EPF) |
|
Extra copy (discard, retain, or distribute in accordance with individual preferences |
|
Supervisor |
|
Extra copy (discard, retain, or distribute in accordance with individual preferences) |
The official EPF includes all documents relating to performance appraisal and is under
the control of the Office of Personnel Management (OPM). 5 The EPF includes all forms AD-435P, AD- 435A, and
AD-435-B for the most recent 4 years and any other supporting documentation. When
an employee transfers, resigns, or separates, supervisors must forward advisory ratings to
HRD for inclusion in the EPF prior to transfer of the Official Personnel Folder (OPF). If
an employee moves to another position within CSREES or if there is a change in
supervisors, the advisory ratings from the losing supervisor must be forwarded to the
gaining supervisor.
Advisory Performance Ratings
In unusual circumstances, an employee may receive one or more advisory
performance ratings during a given rating year. Each advisory performance rating must be
in writing and it must address performance in each element. It need not be accompanied by
form AD-435P, nor must it include the identification of a summary level (i.e., adjective
rating). The employee should be given a copy of all advisory ratings. The gaining (or new)
supervisor must consider these advisory ratings when preparing the employee's final rating
of record. The supervisor may exercise individual discretion in reviewing these advisory
documents, providing the supervisor is able, to explain how the final rating was achieved
and how the advisory rating was factored in, should the question ever be asked. Advisory
ratings are called for in the following situations:
Inability to Rate/Extension of
Appraisal Period
When the rating year ends before an employee has been in the position for the minimum 90
days or before an employee has been on standards for the minimum 90 days for any other
reason, the supervisor will normally extend the appraisal period for the length of time
needed to meet the
90-day requirement. When the new target date is reached, the supervisor will prepare a
rating of record for the employee.
Assisting Employees in Improving Performance
When serious performance deficiencies develop, the supervisor should not be bound by
the normal appraisal schedule. Rather than wait for the regularly scheduled progress
review or final appraisal, the supervisor should immediately contact an employee relations
specialist in HRD and take appropriate action whenever an employee's performance in one or
more critical elements slips below the Fully Successful level.
If at any time the supervisor determines that an employee's performance in any critical
element or the overall performance is less than fully successful, the employee
should be counseled by the supervisor and specific deficiencies identified. Performance
elements and standards and performance expectations must be thoroughly explained to the
employee. Assistance provided may include closer supervision, on-the-job training, formal
training, etc. All counseling sessions should be documented.
At any time the supervisor identifies any critical element(s) for which performance is
at the unacceptable level, the employee must be informed in a timely manner of the
performance standards that must be reached in order to attain fully successful
performance. The supervisor should work with the employee relations specialist to develop
a Performance Improvement Plan (PIP). Although the employee does not receive an Unacceptable
rating of record at this time, the supervisor must issue the PIP (documenting unacceptable
performance) in writing and the memorandum must:
If an employee is dissatisfied with the critical elements, non-critical elements, and/or performance standards to include the number or type of critical and non-critical elements, the designation of an element as either critical or non-critical, or the substance of their standards (including the criteria against which performance will be measured), the issue must initially be raised and discussed with the rating official. If the issue(s) cannot be resolved with the rating official, the employee may informally discuss the concern(s) with the reviewing official. If the issue(s) remain unresolved after discussion with the rating and reviewing officials, the employee has no other avenue of review or redress. Final authority for establishing performance plans rests with the rating and reviewing officials.
If the dissatisfaction is due to performance (or summary) ratings or ratings of record, the issue(s) must initially be raised with the rating official, and if unresolved, with the reviewing official. If, after discussion with both the rating and reviewing officials the employee fails to resolve the issue(s), the employee may file a grievance.
Grievances
An employee may not grieve the substance of the performance elements and
standards established for the position. Since management assigns work, management may
determine the manner in which it should be performed. In other words, an employee may not
grieve the content of the performance plan; i.e., the assignment of an element, whether or
not the element is critical or non-critical, or the manner in which the work is to be
performed (the expectations or performance standard).
The employee may, however, grieve the improper application of those standards (i.e., the element and/or performance rating, the method by which the rating/reviewing official derived the element and/or performance rating, or violations of this P&P).
Should a grievance or potential grievance situation arise, the employee and the
supervisor should immediately contact an employee relations specialist in HRD for
assistance. All grievances will be handled in accordance with administrative grievance
procedures.
An employee must receive a rating of record of Fully Successful or better to be
eligible for a within-grade increase, a performance award, or a promotion. Performance
ratings may also affect the employee's selection for specialized or competitive training
opportunities and will help determine service credit in the event of a reduction in force.
Administrative actions (e.g., action against unacceptable employees under 5 U.S.C. 4303)
initiated prior to the effective date of this issuance must continue to be processed
consistent with the procedures and requirements that were in place at the time that the
action was initiated.
To ensure effective implementation, the essential provisions of this program will be
communicated to all covered employees through formal and/or informal training. The HRD
will provide guidance and assistance in developing these programs.
Criteria that establishes eligibility for performance awards and other forms of
performance recognition are included in the USDA Guide for Employee
Recognition and in guidance issued by the REE Policy Branch, HRD. The Administrator
may direct the development of awards programs within CSREES in keeping with this guidance.
This performance program will be periodically evaluated by CSREES and HRD officials to
determine the effectiveness of the program including, but not limited to, such issues as
improvement of organizational performance or employee satisfaction with the process.
Modifications may be made in accordance with the parameters of the USDA Performance
Management System. However, any modifications to coverage, length of appraisal period, or
summary level pattern require departmental approval. Information about the program, as
well as related reports, will be provided to the Department upon request.
Administrator
Reviewing Officials
Rating Officials (Supervisors)
Human Resources Division, AFM
Employees
Advisory Rating. A rating which addresses work performed for 90
days or more, but not the entire rating period. An advisory rating applies to an employee
on detail or who has changed jobs or supervisors during the rating year. The supervisor
must consider these ratings in preparing the final rating of record. An employee may have
more than one advisory rating in a given appraisal period.
Appraisal Period. Normally, a 12-month timeframe during which an
employee's performance is evaluated; frequently referred to as the rating year.
Critical Element. A work assignment or responsibility of such importance that unacceptable performance (or a rating of Does Not Meet Fully Successful) on the element would result in a determination that an employee's overall performance is unacceptable.
Element Rating. The rating level assigned to each performance element, determined by comparing the employee's accomplishments with the established performance standard. There are three element rating levels: Exceeds Fully Successful, Fully Successful, and Does Not Meet Fully Successful.
Non-Critical Element. A dimension or aspect of individual, team, or organizational performance, exclusive of a critical element, that is used in assigning a summary level. Such elements may include, but are not limited to, objectives, goals, program plans, work plans, and other means of expressing expected performance.
Performance Plan. A written (or otherwise recorded) document
indicating all of the performance elements that set forth expected performance. The
performance plan includes all critical and non- critical elements and associated
performance standards. A performance plan is documented on forms AD-435A and B.
Performance Standard. A statement describing the performance
threshold(s), requirement(s), or expectation(s) that must be met to be rated at a
particular level of performance. Standards are usually written at the fully successful
level; however, they may also be written at other levels. (See Element Rating.)
Progress Review. A meeting with an employee to discuss actual performance compared to the performance standards. This communication is generally held at the mid-point of the rating year. Interim appraisal and mid-year review are frequently used as informal synonyms.
Rating of Record. The final official rating of employee performance for a given rating year. The annual performance rating of record must consider performance over the entire period and is the only appraisal document filed in the employee's EPF. It is used as the basis for various other personnel actions (e.g., performance awards, the calculation of service credit during reduction in force, training opportunities, etc.).
Rating Official. Usually the employee's immediate supervisor.
Reviewing Official. An individual senior to the rating official (i.e., senior to the employee's supervisor) in the organizational chain of command who reviews and approves both the proposed elements and standards and the employee's final rating. In most cases, the reviewing official is the employee's second level supervisor.
Summary Level. The record of the appraisal of each critical
element and the assignment of an overall rating level.
-Sd-
W. G. HORNER
Deputy Administrator
Administrative and Financial Management
Footnote: 1
Title 5, United States Code, Chapter 43.Footnote: 2
The Senior Executive Service is covered by a separate performance appraisal system which will not beFootnote: 3
Title 5, United States Code, Section 4301 (1) and (2).Footnote: 4
Since the AD-435A also functions as a worksheet used in determining the employee's final rating of record, it will, at this point, be returned to the supervisor's working files. Once the final appraisal has been completed, the form will be filed and retained along with other documentation pertinent to the rating process. See Section 8 for further information on document handling and retention.Footnote: 5
5 CFR, Part 293, and OPM Operating Manual, The Guide to Human Resources Record Keeping, include instructions relative to distribution of performance appraisal documents.