DOI 5-Level Performance Management System

November 2004

Coverage

All DOI Bureaus & Offices Non-SES employeesTemporary/Excepted service employees

in appointments of 120 days or more

ImplementationPolicy effective October 4, 200490-day transition period

Training of HR, Managers, EmployeesE-training available through DOI University. E-training

mandatory for managers and supervisors Full implementation -- January 1, 2005

Transition

Bureaus on October 1 – September 30 cycleClose out 2-levelMay re-establish 2-level during training phaseEstablish 5-level as soon as managers trained, and

NLT December 31, 2004

Bureaus on April 1 – March 31 cycleTrain managersEarly close out and establish 5-level by December

31, 2004

Comparison

Old2 levelsCritical ResultsGeneric

Performance Indicators

De-linked from recognition

New5 levelsCritical ElementsGeneric Standards

which can be augmented

Linked to recognitionRequires strategic

linkage

Development of EPAP(Employee Performance Appraisal Plan)

Employee participation encouragedEstablished within 60 daysNo more than 5 performance elements

All must be critical elementsAt least one element linked to a GPRA goalMandatory element for supervisors/managers

Established by rating official – no higher level review requiredBureaus MAY establish 2nd level supv review

Performance StandardsFocused on resultsCredible measures

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

Established at the Fully Successful level (minimum required)

Benchmark (generic) standards provided at all levelsMay be augmented with standards specific to

the position

Performance Standards

Must allow for margin of error or deviation Must be able to exceed the standard

Must clearly state measurement criteriaUse benchmark as a guide

Appraisal Period

12 monthsCoincides with FY

Bureaus must request variation from DOI OHR

May extend up to 90 days Progress reviews

Required mid-yearContinuous feedback encouraged

Basis for Appraisal

Under signed performance plan for at least 90 daysIn same positionSupervised by same rating official

Includes details over 120 daysRating official must consider ratings from

details

Annual Rating

Completed within 30 days of end of appraisal periodOriginal submitted to HRO within 60 daysCopy to employee and supervisor

Employee on temporary assignmentRating official is supervisor of record

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

Presumptive ratings not allowedInclude narratives (required for E, MS & U)

Rating Individual ElementsRating 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 job done…

3

Rating Individual ElementsRating 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

Annual Summary Rating Derived from numerical average of all elements

Summary Rating Points Summary Rating

4.60 - 5.00 AND No critical element lower than ‘Superior’

Exceptional

3.60 – 4.59 AND No critical element lower than ‘Fully

Successful’

Superior

3.00 – 3.59 AND No critical element lower than ‘Fully

Successful’

Fully Successful

2.00 – 2.99 AND No critical element rated lower than “Minimally Successful’

Minimally Successful

One or more Critical elements rated ‘Unsatisfactory’

Unsatisfactory

Special Circumstances

Supervisor of record leaves in final 90 days of rating periodPrepare summary rating to serve as rating of

recordEmployee does not have standards

Not eligible for ratingEmployee not supervised by rating official

for 90 daysSecond level supervisor may rate

Special Circumstances (cont’d)

Interim appraisalsUpon completion of temp assignment over 120 daysEmployee or supervisor changes positionsDocument level of competence for WIGI

Becomes rating of record

Copy to employee and new supervisorUsed to determine annual summary rating

“Not Rated”When employee does not have opportunity to perform

a critical element

Finalizing Ratings

Discuss with employee AFTER rating completed (and approved if E, MS or U)

If employee refuses to signDocument refusal on rating form

Supplemental written commentsMay be submitted by employeeMay address element rating, overall rating, and/or

narrative commentsOnly when not contesting rating that would change RoRForwarded to HRO and filed in EPF

Reconsideration ProcessBureaus/Offices may develop their own processCriteria: Dissatisfaction with an element rating that

would affect the Summary Rating CBA with reconsideration process governsMust notify all employees of the reconsideration

process developedReconsideration Process must include:

Informal and Formal procedures Reasonable timeframesFinal decision must remain within Bureau/Office

DOI PROPOSEDInformal Reconsideration Process

Informal discussion with rating official within 7 calendar days of receipt of the EPAP

No agreement – employee may request formal reconsideration through HRO

Rating Official provides decision Verbal or writtenProvided within 7 calendar days after

discussion

DOI PROPOSEDFormal Reconsideration Process

Written request to HRO within 7 calendar days of receipt of informal decision

HRO reviews to determine if appropriate for acceptanceNot accepted – return with explanationAccepted – referred within 14 calendar days

Employee may be representedReview limited to reconsideration of rating on

critical element(s) that will impact the RoR

DOI ProposedFormal Reconsideration Process

Reconsideration OfficialReviews evidenceConsults with necessary individualsMakes changes if appropriateIssues final written decision within 20 calendar

daysCopy to employee and filed in EPF

Decision is final – no further right of review

Results of the PerformanceRating Process

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 (QSI or HCPF)

Superior No Eligible for cash (up to 3% of base pay) or Time-Off award

Fully Successful NO Eligible for WIGI or career ladder promotion

Minimally Successful

YES Not eligible for WIGI

Unsatisfactory YES Requires formal corrective action (Performance Improvement Plan)

Guidance

370 DM 430, Performance Management System

Performance Appraisal Handbook Any questions should be directed to your

servicing HRO. Policy, Handbook and Form available at http://www.doi.gov/hrm/guidance/curronly.htm

ACCESSING THE PERFORMANCE MANAGEMENT SYSTEM COURSE

THROUGH THE INTERNET

Log into the DOI University Learning Management System (LMS)

  Go to http://www.doiu.nbc.gov Click on “DOIU Login”

Questions???

Employee Performance Appraisal Plan (EPAP)

U.S. DEPARTMENT OF THE INTERIOR Employee Performance Appraisal Plan

Employee Name and Social Security Number:

Title/Series/Grade:

Duty Station:

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 employee’s 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 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 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 “Fully Successful”.

Fully Successful 3.0 – 3.59 AND No critical element rated lower than “Fully Successful”.

Minimally Successful 2.0 – 2.99 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: ______ Employee’s Signature above certifies that the overall summary rating was discussed. Reviewing Official’s signature is required for Exceptional, Minimally Successful and Unsatisfactory ratings, and otherwise if determined by Bureau/Office.

Performance Standards FormU.S. DEPARTMENT OF THE INTERIOR Employee Performance Appraisal Plan

Employee Name and Social Security Number:

Title/Series/Grade:

Duty Station:

Appraisal Period: From: To:

Sally Smart 000-00-0000 Visitor Use Assistant, GS-303-05

Grand Canyon NP 01/01/05 09/30/05

Part A

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

Sally Smart

010105V. Good

01/01/05

Part B

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

Date: Rating Official: Date:

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

Part CPart C: Summary Rating Determination: To determine a summary rating, assign one of the numerical rating levels that accurately reflects the employee’s 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 Numerical Rating 1 2 3 4 5

Total:

Total Numerical Rating

÷ Number of Elements = Numeric Summary Rating

5

4

3

NR

5

17

17 4.254

Part DPart 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 “Fully Successful”.

Fully Successful 3.0 – 3.59 AND No critical element rated lower than “Fully Successful”.

Minimally Successful

2.0 – 2.99 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:

X

Sally Smart V. Good

10/15/05 10/15/05

Check Here If Interim Rating _____

Interim Ratings

Employee changes positionsEmployee completes temporary assignment or

detail of more than 120 daysThe 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 employee’s 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 employee’s 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

Critical Elements

Were formerly the Critical Results

1

+ 1

2

Standard

Element #1

Standard

Element #2

Strategic Goals

(GPRA)

SMART TECHNIQUE

SpecificMeasurableAchievableRealisticTimely

Part E: Critical Elements and Performance Standards: List below each of the employee’s 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:

____________________________________________________________________

Park restrooms are maintained in a clean, sanitary and well-stocked manner. Facilities are in compliance health and safety standards, which contributes to visitor satisfaction. NPS Strategic Plan Goals IIa1A Visitor Satisfaction with Facilities, Services and Recreation, and IVa10A&B Facility Condition of Historic and Non-Historic Buildings.

Performance Standards

Performance indicators in the Pass/Fail System

Exceptional Superior Fully Successful Minimally Successful Unsatisfactory

Standard

Element #1

Standard

Element #2

Strategic Goals

(GPRA)

Standards - Benchmarks

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.

Performance Standards

______________________________________________________________________Exceptional

______________________________________________________________________Superior

______________________________________________________________________Fully Successful

______________________________________________________________________Minimally Successful

______________________________________________________________________Unsatisfactory

______________________________________________________________________

Refer to attached benchmark and in addition: Employee generally keeps to cleaning schedules in a manner that avoids obvious deterioration of facilities or allows the cleaning schedule to fall obviously behind. Overall appearance of facilities very seldom reflects adversely on the park.

Exercise 1

In your participant handbook on pages 7-10. There are 4 examples with the critical element and the standard at the fully successful level. Your task is to write a level description at either the exceptional, or unsatisfactory level as assigned below.

Your task is to write a level description at either the exceptional, or unsatisfactory level as assigned below.

Alaska Region – Custodial Worker - Exceptional Pacific West Region – Custodial Worker - Unsatisfactory Intermountain Region – Visitor Use Assistant - Exceptional Midwest Region – Visitor Use Assistant - Unsatisfactory Southeast Region – Interpreter - Exceptional Northeast – Interpreter - Unsatisfactory National Capital Region & WASO – Program Assistant -

Exceptional The Centers (DSC, HFC) - Program Assistant -

Unsatisfactory BLM – Program Assistant - Exceptional FWS – Custodial Worker - Exceptional

Custodial Worker

Level 5 Standard - Refer to benchmark and in addition: Employee sets standard for excellence in maintaining restrooms. Continually keeps abreast of heavy use periods and adjusts schedules as necessary to keep facilities in a sanitary and well-stocked manner. Anticipates problems relative to the conditions of the restrooms and either resolves the problem independently or alerts higher levels of management and offers workable solutions. Overall appearance of facilities consistently reflects favorably on the park. 

Custodial Worker

Level 1 Standard – Refer to benchmark and in addition: May fail to keep to established cleaning schedules, resulting in obvious deterioration of facilities and an inability to catch up. Overall appearance of facilities may frequently reflect negatively on the park.

Level 5 Standard - Refer to benchmark and in addition: Employee sets the standard for excellence in delivering formal interpretive programs. Programs are thoroughly researched and are based on the most current sound scholarship available to the park. Research encompasses a number of viewpoints (3 or more) to accommodate a wide variety of audiences. Program development is derived from park primary themes, is consistently successful as a catalyst in creating opportunities for the audience to form their own connections with the meanings and significance inherent in the resource, and demonstrates a fully developed theme. All programs fully utilize professional techniques in public speaking and presentation and exhibit excellence in the delivery of formal interpretive programs

Interpreter

Interpreter

Level 1 Standard - Refer to benchmark and in addition: Programs reflect little research and only some of the current sound scholarship available to the park; no in-depth research is completed. Research encompasses only one viewpoint and does not accommodate a wider audience. Program development derives little from park primary themes, is generally not successful as a catalyst in creating opportunities for the audience to form their own connections with the meanings and significance inherent in the resource, and does not demonstrate a developed theme. Few programs exhibit professional techniques in public speaking and presentation.

Program Assistant

Level 5 Standard – Refer to benchmark and in addition: Employee sets standard for excellence in time and attendance processing and maintenance. Coding of time and attendance sheets is nearly perfect and corrections due to timekeeper error are seldom, if ever, necessary. Timesheets are consistently submitted to the payroll office early. Time and attendance records are maintained in strict accordance with FPPS guidelines, with appropriate documentation for leave taken. Employee proactively addresses timekeeping issues with employees serviced or brings to supervisor’s attention for resolution. Employee is the “recognized” expert and is the person other timekeepers go to for advice and assistance. In these situations, employee is very responsive and helpful to their requests without neglecting his/her own duties and responsibilities.

Program Assistant

Level 1 Standard - Refer to benchmark and in addition: Coding of time and attendance sheets may frequently be inaccurate due to errors in coding or failure to ensure accuracy of data, resulting in the need for corrections due to timekeeper error. Employee may often require help with processing and maintaining time and attendance records. Time and attendance records may frequently be maintained in contradiction to FPPS guidelines. Deadlines for timesheet submission may commonly be missed. May fail to assure that leave taken is recorded in time to assure acceptable accuracy or facilitate reporting. Situations may frequently occur in which the normal workflow and routine processing of time and attendance sheets is interrupted or employees are adversely affected as a result of improper or ineffective maintenance of timesheets.

Visitor Use Assistant Level 5 Standard - Refer to benchmark and in addition:

Employee sets standard for excellence in fee collection activities. Within scope of authority and within the limitations of the specific situations encountered, assures that individuals required to pay entrance fees do so. Tactfully handles difficult communication issues with angry or frustrated visitors and consistently finds workable solutions to defuse tense situations. Consistently issues and records park passes at time of issuance in accordance with NPS policies and guidelines. Without fail handles monies, passports and records with adequate security to avoid theft or misplacement. Maintains reports and passport accountability records in accordance with NPS guidelines and policies.

Visitor Use Assistant

Level 1 Standard – Refer to benchmark and in addition: May frequently fail to assure that individuals required to pay entrance fees do so. May communicate poorly in difficult situations, often becoming angry, rude or non-communicative when confronted by angry or frustrated visitors. May often fail to handle park passes in accordance with NPS guidelines and policies. May fail to provide adequate security for monies, passports and records to avoid theft or misplacement. May frequently fail to maintain reports and passport accountability records in accordance with NPS guidelines and policies. May routinely experience shortages, overages, or unnecessary voids after attempts at correction have failed.

Narrative Summary

Must be completed for Exceptional, Minimally Successful and Unsatisfactory Level

May be completed for the Superior and Fully Successful level

Narrative Summary

Describe the employee’s 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: [X ] Exceptional-5 [ ] Superior-4 [ ] Fully Successful-3 [ ] Minimally Successful-2 [ ] Unsatisfactory-0

Questions?

Next StepsComplete DOI’s web-based training on EPAPComplete Employee Performance Plan and Results

Report for Rating Period of 10/1/03-12/31/04 Establish Critical Elements for new Performance

Plan (EPAP)Define at a minimum the fully successful level of

each Critical ElementShare draft with employee and get feedback Finalize and implement EPAP by

January 1, 2005