9430.1 CPO P (Extended) GSA Associate Performance Plan and Appraisal System

  • Date: 12/31/2003
  • Status: Validated
  • Outdated on: 09/22/2017

GENERAL SERVICES ADMINISTRATION 
                 Washington, DC 20405





CPO P 9430.1
Extended
December 31, 2003; Extended on July 7, 2016

 

GSA ORDER

SUBJECT: GSA Associate Performance Plan and Appraisal System 

1.   Purpose. This Order issues and transmits the GSA Associate Performance Plan and Appraisal System (APPAS).  The Associate Performance Plan and Appraisal System is a critical component of GSA's overall Performance Management Process and its purpose is to improve GSA's performance results in achieving its mission while enhancing opportunities for career success of GSA associates appraisal. 

2.   Cancellation. OAD 9430.2, Performance Management System, dated September 20, 1996, is cancelled effective October 1, 2004.  This order replaces Chapter 6, Performance Appraisal System, of ADM P 9920.1, HB, Senior Executive Service. 

3.
  Policy. This Order provides a systematic approach to assist GSA associates in achieving organizational and individual performance goals by outlining a method to effectively develop, document and communicate individual performance goals, measures and expectations.  This associate performance plan and appraisal system is a critical component of GSA's overall Performance Management Process.  Executives, managers and supervisors must have performance plans for each associate in their area of responsibility.  These performance plans must contain performance goals, measures and expectations that cascade down from and link directly to the performance goals and measures in GSA's Strategic Plan, and in the associate's organizational unit performance plan.  Additionally, executives, managers and supervisors must communicate the performance plans and provide feedback to associates regarding their performance achievements.  Associate performance appraisal ratings will be linked to awards and other forms of recognition for associate performance.  All associates are required to participate actively and collaboratively in this process to ensure that the capabilities of GSA's team of associates are fully utilized and recognized; that there is a common understanding of performance goals, measures and expectations; and that there is a strong commitment to providing best value services to customer agencies and taxpayers while, at the same time, enhancing the opportunities for career success of GSA associates. 

4.
  Effective Date. For associates in the Senior Executive Service this Order is effective upon signing.  For associates who are not in the Senior Executive Service this Order is effective October 1, 2004.
 

5.
  Accountability. Executives, managers and supervisors will be held accountable for the effective and timely execution of their performance planning and appraisal responsibilities.  Executives, managers and supervisors must ensure that performance plans are properly developed and communicated, that performance reviews and feedback sessions are held, that performance appraisals and ratings are completed, and other performance plan and appraisal system actions are completed as prescribed.

6.
  Applicability. This GSA Associate Performance Plan and Appraisal System applies to all GSA associates with only the following required exceptions:
 

·        
Presidential Appointees requiring Senate confirmation; 
·        
Experts and Consultants, covered by 5 CFR 304; 
·        
Board of Contract Appeals Judges; and 
·        
Excepted service associates for whom employment is not reasonably expected to exceed 120 days in a consecutive 12-month period. 

7
.  Forms. This Order provides for the use of the following GSA forms:
 

     a.   Performance Plan and Appraisal Record for Associates in the Senior  Executive Service
 

      b.   Performance Plan and Appraisal Record for OIG Associates in the Senior Executive Service 

      c.   Performance Plan and Appraisal Record for Management and Supervisory Associates who are not in the Senior Executive Service 

      d.   Performance Plan and Appraisal Record for Non-Supervisory Associates.

      e.   Performance Appraisal - Associate Self-Assessment Summary 

8.
Labor organizations. Implementation of this Order with respect to associates represented by a labor organization is contingent upon completion of appropriate labor relations obligations.

 

Gail T. Lovelace 
Chief People Officer
 








GENERAL TABLE OF CONTENTS

CHAPTER 1.  SYSTEM OVERVIEW

CHAPTER 2.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES IN THE SENIOR EXECUTIVE SERVICE
 

CHAPTER 3.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES NOT IN THE SENIOR EXECUTIVE SERVICE
 

APPENDIX A. PERFORMANCE PLAN AND APPRAISAL RECORD FOR ASSOCIATES IN THE SENIOR EXECUTIVE SERVICE
 

APPENDIX B. PERFORMANCE PLAN AND APPRAISAL RECORD FOR OIG ASSOCIATES IN THE SENIOR EXECUTIVE SERVICE
 

APPENDIX C. PERFORMANCE PLAN AND APPRAISAL RECORD FOR MANAGEMENT AND SUPERVISORY ASSOCIATES WHO ARE                                                                                                                                                                                                                                                                                                              NOT IN THE SENIOR EXECUITVE SERVICE
 

APPENDIX D. PERFORMANCE PLAN AND APPRAISAL RECORD FOR NON-SUPERVISORY ASSOCIATES

APPENDIX E. PERFORMANCE APPRAISAL - ASSOCIATE SELF-ASSESSMENT SUMMARY








CHAPTER 1.  SYSTEM OVERVIEW


TABLE OF CONTENTS

Paragraph                                                                                          Paragraph
 Titles    
                                                                                            Numbers 

Purpose . . . . . . . ………. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .        1
Legal authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .        2
Responsibilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .        3
Performance levels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .        4
Rating time frames . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .        5






CHAPTER 1.  SYSTEM OVERVIEW

1.   Purpose. The Associate Performance Plan and Appraisal System is a critical component of GSA's overall Performance Management Process and its purpose is to improve GSA's performance results in achieving its mission while enhancing opportunities for career success of GSA associates.  This Associate Performance Plan and Appraisal System is consistent with the governing provisions of the law and the Office of Personnel Management's rules and regulations.  It is designed to achieve desired performance improvement and enhance associate career success by:

    a.   effectively communicating to all associates the purpose and procedures of this new approach to associate performance planning and appraisal;

    b.   development of associate performance plans with linkage to organizational plans attained by cascading the performance goals and measures from GSA's Strategic Plan, the relevant organizational performance plan(s), and other sources into the individual plans;

    c.   assessing individual associate performance with a systematic approach of regular reviews in order to provide feedback to associates regarding their performance achievements and to make timely determinations that expected performance results are being achieved or assistance/corrective action is needed;
 

    d.   assigning performance appraisal ratings to individual associate performance with meaningful distinctions between ratings for associates with significantly different levels of performance.  Ratings will be based upon the comparison of actual results to performance expectations after taking into account environmental factors and circumstances affecting the results; and

    e.   linking performance appraisal ratings with awards and other forms of recognition for associate performance. 

2.
  Legal authorities. This Order complies with:

    a.   Title 5, USC, Chapters 31, 35, 43, 45, 51,53, 75, and 77, which authorize agencies to establish performance plan and appraisal systems, which provide the basis for Federal pay and awards for associates.
 

    b.   5 CFR, Parts 293, 335, 351, 359, 430, 432, 451, 531, 532, 534, 752 and 771, which govern personnel records and files, promotion and internal placement, reduction-in-force, performance appraisals, awards, General Schedule pay, prevailing rate system, performance based actions, adverse actions, and grievance procedures.
 

3.   Responsibilities
.
 

    a.   The Administrator has responsibility for the overall direction of GSA's Associate Performance Plan and Appraisal System.

    b.   Heads of Services and Staff Offices and Regional Administrators will:
 

           (1)   communicate performance goals and measures to all associates within their respective organizations;

           (2)   set expectations for managers and supervisors to effectively use the performance plan and appraisal system;
 

           (3)   ensure that performance plans are properly developed and that performance reviews, performance appraisals, and other performance-plan and appraisal actions are completed as prescribed;
 

           (4)   ensure the opportunity exists for associates to receive feedback regarding their performance;

           (5)   ensure that performance appraisal results are used by managers and supervisors in making personnel decisions regarding training, awards, recognition, reassignments, details, promotions, reduction in grade, retention, removal associates, and/or executive bonuses;
 

           (6)   maintain appropriate records, submit required data and reports on the operation and effectiveness of the program, and take corrective action as warranted;

           (7)   ensure a consistent application of the performance plan and appraisal system within their area of responsibility; and
 

           (8)   take action consistent with this Order to resolve special problems or situations not specifically identified in this Order.
 

    c.   Inspector General. The Inspector General makes final decisions on the performance plan and appraisal system, for associates in that office, including the appraisal procedures and periods, performance expectations, pay rate adjustments, performance awards and other forms of recognition.
 

    d.   The Chief People Officer is responsible for overall administration of GSA's Associate Performance Plan and Appraisal System.

    e.   The Director of Human Capital Management is responsible for the development, implementation and evaluation of this System.

     f.   The Servicing Human Resources Office will:

           (1)   provide training to associates including communicating to supervisors and associates the purpose and procedures of the Associate Performance Plan and Appraisal System and its relationship to the overall performance management process;

           (2)   provide training to associates on how to identify critical elements and establish performance expectations;
 

           (3)   provide training to associates relative to their duties and responsibilities for administering the GSA Associate Performance Plan and Appraisal System;

           (4)   provide advice and guidance to associates on laws, regulations, and this Order related to associate performance plans and appraisals; and
 

           (5)   participate in the development and implementation of a monitoring and evaluation program to ensure the effectiveness of the system.
 

    g.   The Consolidated Processing Center will:

           (1)   enter performance ratings into GSA's Comprehensive Human Resources Integrated System (CHRIS) accurately and timely; and
 

           (2)   file and transfer ratings of record in accordance with the Office of Personnel Management guidance.

    h.   Supervisors will:
 

           (1)   communicate to all associates how their work links to the accomplishment of the business goals and objectives, and the agency’s strategic goals;

           (2)   encourage associate participation in developing critical elements and performance expectations;

           (3)   provide associates with a written performance plan, which identifies the critical elements and performance expectations that are based on organizational performance goals; and that reflect the types of  duties and responsibilities in their job descriptions;
 

           (4)   conduct and document at least one progress review for each associate at the mid-point of the rating period;

           (5)   ensure that performance appraisals, to the maximum extent possible, are objective and job-related, and that the rating is supported by actual accomplishments;

           (6)   complete a written appraisal, which includes evaluation of the associates' performance;

           (7)   discuss the final appraisal with the associate;
 

           (8)   provide feedback on specific accomplishments and suggestions for improvement;

           (9)   assist associates in developing to their full potential;
 

           (10)   discuss with and obtain concurrence from the reviewing official on ratings as required by this Order;
 

           (11)   create a work culture and environment that promotes a high-performance organization; and

           (12)   recommend and/or take appropriate personnel action(s) based on the associate's level of performance, including promotions, awards, recognition, reassignments, details, training, developmental assignments, reductions in grade, and/or removal.
 

    i.    Associates will:
 

          (1)   participate with supervisors in developing performance plans, critical elements, and clearly defined performance expectations;
 

          (2)   advise supervisors of any facts or circumstances that should be considered in establishing performance expectations or evaluating performance;
 

          (3)   request clarification from supervisors of any performance expectations that are not understood;

          (4)   participate in mid-year progress review(s);
 

          (5)   seek developmental opportunities to enhance performance;
 

          (6)   prepare written comments when disputing a rating; and

          (7)   participate actively with supervisors in any discussions relating to their performance.

4.   Performance levels
. GSA's Associate Performance Plan and Appraisal System provides a mechanism for making meaningful distinctions between ratings for associates with significantly different levels of performance.  Each critical element will be assessed and rated using the performance level definitions below:
 

       a.   Level 5. Meets and consistently exceeds performance expectations as described in Level 3.

       b.   Level 4. Meets and often exceeds performance expectations as described in Level 3.

       c.   Level 3. Meets performance expectations.
 

          ·        
Objectives, activities and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with the performance plan. 
          ·        
Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, and regulations. 

       d.   Level 2. Partially meets performance expectations as described in Level 3.

       e.   Level 1. Does not meet performance expectations as described in Level 3. 

5.   Rating time frames
.
 

       a.   Rating period. The rating period is normally 12 months. The established period of time for which performance will be reviewed and a performance appraisal (rating of record) will be prepared is October 1 through September 30 of the following year.  Performance appraisals must be submitted to the servicing Human Resources Office within 45 days after the end of the rating period.  The Administrator, Heads of Services and Staff Offices, or Regional Administrators may approve one 45-day extension to this period for organizations in the midst of reorganization or other comparable situations.

       b.   Minimum rating period. The minimum period of time on which a performance rating may be based is 120-days.  
 

       c.   Extending the rating period. If an associate has not served at least the minimum 120-day rating period in any one position by the end of the annual rating period, the rating period should be extended as long as is necessary to provide such service.  Service for the minimum rating period need not be continuous or under the same supervisor.  If circumstances beyond the control of the rating official or the associate prevent meeting the performance expectations, changes must be made to the performance plan.  Changes to the performance plan must be documented at least 120 calendar days before the end of the appraisal period.
 

       d.   Effective date of rating. Performance appraisals are effective the day that the appraisal is signed or approved by the highest-level official required by this Order.  Supervisors should complete these appraisals within 45 days of the end of the rating period.
 





CHAPTER 2.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES IN THE SENIOR EXECUTIVE SERVICE
 

(Please see Instructional Letter HRM IL-14-01 GSA Senior Executive Service (SES) Performance Plan and Appraisal System 

which transmits policy updates to this chapter).

TABLE OF CONTENTS

Paragraph                                                                                                      Paragraph 
  Titles    
                                                                                                        Numbers 

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                     1
 
Purpose. . . . . . … . . . . . . . . . ... . . . . . . . . . . . . . . . . . . . . . . . . . . . .                    2
 
Applicability. . . . . . . . . . . . . .  .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                   3
 
Roles and responsibilities. . . .  .. . . . . . . . . . . . . . . . . . . . . . . . . . . . .                 4
 
Performance plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                  5
 
Progress reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .                    6
 
Performance appraisals and ratings…. . . . . . . . . . . . . . . . . . . . . . .                 7
Performance Review Board (PRB) . . . . . . . . . . . . . . . . . . . . . . . . . .                8
Linking appraisal to performance bonuses and awards . . . . . . . . . . .            9
Interim appraisal period activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . .              10
Removals of non-probationary career executives. . . . . . . . . . . . . . . .            11
 

 


CHAPTER 2.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES
IN THE SENIOR EXECUTIVE SERVICE

1.   General. This chapter contains the program requirements and procedures for administering the GSA Associate Performance Plan and Appraisal System for Associates of the Senior Executive Service (SES). 

2.   Purpose
. The purpose of this system is to ensure that performance plans for senior executives are used to hold those executives accountable for their individual and organizational performance in order to improve the overall performance of GSA by:

       a.   setting expectations of excellence for all associates of the SES;

       b.   linking performance appraisals with the results-oriented goals of GSA's strategic planning initiatives;

       c.   setting and communicating individual and organizational business goals and expectations;

       d.   systematically appraising senior executive performance using measures that balance organizational results with customer, associate or other perspectives; and

       e.   using performance results as a basis for a wide range of human resource decisions such as adjustments to base pay, bonuses, awards, and other forms of recognition, training and development, reassignments and transfers within the SES, and retention in the SES.
 

3.   Applicability
. All GSA SES associates are covered by the provisions of this chapter regardless of type of appointment (i.e., career, non-career, limited term and limited emergency appointments in the SES).
 

4
.   Roles and responsibilities.

   a.   The Administrator has responsibility for overseeing all aspects of the Associate Performance Plan and Appraisal System for associates of the Senior Executive Service, including:

          (1)   establishing GSA policy and procedures;

          (2)   appointing a Performance Review Board, as required by, 5 CFR. Sec 430.310, to make recommendations on the performance of GSA’s senior executives;
 
 
 
          (3)   establishing agency-wide management goals in collaboration with senior leadership officials internal or external to GSA;

          (4)   integrating the performance plan and appraisal system with other agency management systems to ensure accountability, efficiency, effectiveness, and productivity in achieving GSA’s mission;

          (5)   using performance results as a basis for managerial decisions, especially human resource related decisions; and  
 

          (6)   making final decisions on executives’ annual summary ratings, pay rate adjustments, performance awards or other cash awards, and nominations for Presidential Rank Awards.  
 

   b.   The Performance Review Board (PRB) will:

          (1)   monitor the results of implementation of the Performance Plan and Appraisal System for associates in the  Senior Executive Service and serve in an advisory role to recommend policies and procedures to the Administrator;
 

          (2)   evaluate the Performance Plan and Appraisal System for associates in the Senior Executive Service periodically to make the program more effective;
 

          (3)   oversee procedures for the removal of executives from the SES for performance reasons, pay actions related to performance, and granting performance awards and Presidential Rank Awards;
 

          (4)   review and evaluate the initial summary performance rating determined by the senior executive's supervisor, and

          (5)   make a recommendation to the Administrator concerning each executive's annual summary performance appraisal.  
 

   c.   The Chief People Officer has responsibility for establishing and maintaining a GSA-wide SES system to evaluate executive performance and obtaining OPM approval of the system, as well as any significant modifications and/or changes.
 

   d.   The Director of Executive Resources will:

          (1)   provide support and establish administrative controls to manage the Performance Plan and Appraisal System for associates in the Senior Executive Service;
 

          (2)   provide information and, upon request, appropriate training for senior executives and rating officials on the performance plan and appraisal system for Executives;

          (3)   develop guidance for removing executives from the SES for performance reasons, pay actions related to performance, granting performance bonus, and recommending Executives for Presidential Rank Awards;
 

          (4)   ensure that each senior executive receives a copy of the appropriate performance appraisal rating documents;
 

          (5)   ensure that summary appraisal data and supporting documents, such as annual summary ratings, PRB records, etc., are collected and maintained for at least 5 years from the date they are issued; and
 

          (6)   support the Performance Review Board in evaluating the SES performance appraisal process periodically to determine its effectiveness, and making improvements, as needed.

   e.   Rating officials will:
 

         (1)   review the senior executive's position description with the senior executive and ensure that it describes present duties and responsibilities;
 

         (2)   consult with the executive to develop a performance plan that includes written critical elements with appropriate weights assigned, performance requirements, and other performance elements as necessary;

         (3)   communicate to the executive the level of resources and management support that can be expected in accomplishing the critical elements outlined in the performance plans;

         (4)   consult with the executive to establish the overall importance or weight of each critical element;

         (5)   conduct at least one formal progress review during the rating period in addition to monitoring performance and provide feedback to the senior executive on progress in accomplishing performance elements and requirements.  Document adjustments in critical elements and/or their assigned weight,  
 
performance requirements, or priorities on the performance plans, based on formal progress or monitoring reviews;

         (6)   assess the executive's performance at the end of the rating period and use the performance appraisal to document the executive’s achievements.  (Rating officials who leave to begin a new assignment or are leaving the Federal service prior to the end of the rating period will prepare summary performance appraisal of their subordinates.);

         (7)   after 120-days or more, but before the end of the rating period, determine whether any part of the executive's performance is less than Level 3 and decide whether his or her performance warrants a rating of less than Level 3, i.e., minimally satisfactory or Level 1;
 

         (8)   make recommendations to the next higher-level executive or the PRB regarding initial summary ratings, performances awards, and pay level adjustments, or other recommended actions; and
 

         (9)   establish executive individual development plans (IDP) in consultation with executives whose previous performance appraisal was less than Level 3 but whose retention in the SES is recommended.  The executive's IDP should identify the types of development (e.g. job assignments, rotations, or training) to be undertaken in the coming year.  
 

    f.   Reviewing officials will review an executive's request to have a higher-level review of the initial summary rating given by the rating official.  The executive must make the request within 15 days after receiving the initial summary rating or the interim rating.  The reviewing official should review the performance appraisal and any written comments provided by the executive and then provide his or her written comments, but may not change the rating.  Copies of comments made by the reviewing official are furnished to the senior executive, the rating official, and the Performance Review Board.

  g.   Senior executives will:  
 

         (1)   review their position descriptions for accuracy;
 

         (2)   assist in the development of critical elements and performance requirements, understanding their importance and actions required;
 

         (3)   discuss with the rating official important resources and managerial support needed to meet performance requirements;

         (4)   assist in establishing individual development plans and accomplishing planned developmental activities;

         (5)   participate in progress reviews as needed, including the required formal progress review at least once during the rating period; and
 

         (6)   accomplish critical elements, using an approach that balances organizational results with customer and associate perspectives.
 

   h.   Inspector General. For executives in the Office of Inspector General (OIG), the Inspector General is the appointing authority.  The Inspector General makes final decisions on performance appraisals, pay adjustments, performance awards and other forms of recognition.  The Inspector General establishes performance goals in accordance with the strategic goals and objectives of the OIG.  The Inspector General submits OIG nominations to the Administrator for Presidential Rank award consideration and appoints a Performance Review Board to make recommendations to the Inspector General on the performance of OIG senior executives.

5.   Performance plans
.
 

   a.   Establishment:
 

         (1)   The preparation of each senior executive's performance plan is a joint effort between the rating official and the subordinate senior executive.  Collaboration must also occur between or among other senior officials and/or organizations where there is shared responsibility or interdependence in achieving the outcomes identified in the executive’s performance plans.  Performance plans must be communicated to executives as close to the beginning of the rating period as possible.  At a minimum, performance requirements must be described for the rating of Level 3.  The absence of written performance requirements at other rating levels does not preclude the assignment of at rating those levels.  
 

         (2)   Each senior executive’s performance plan must be documented and attached to the forms provided in Appendix A or B to this Order.  Both the rating official and the executive must sign and date the performance plan when developed.

   b.   Content:
 

         (1)   Annually the Administrator establishes agency-wide goals for GSA.  Each major organizational component translates the agency-wide goals into organizational business goals and measures that cascade throughout each organization.  These organizational business goals are further refined for each organization in the hierarchy and for each individual associate so performance expectations are communicated and understood by everyone in the organization.  The Administrator's yearly assessment of organizational effectiveness is based primarily upon the degree to which each organization reaches its business goals in support of GSA's strategic goals.
 

         (2)   When establishing critical elements, the rating official and the executive should jointly examine the senior executive's duties and responsibilities, in line with the agency-wide goals, to identify both organizational and individual expectations for the rating period and establish the performance requirements against which performance will be evaluated.

                 (a)   Each senior executive’s performance plan includes critical elements and performance expectations.  All critical elements identified in the performance plan must have a corresponding performance requirement written at the “meets performance expectations” level and must be assigned an appropriate weight.
 

                 (b)   Critical elements and performance requirements must be established for both organizational performance and individual performance.  Each critical element will be identified in terms of the desired outcome, stated insofar as possible in specific quantifiable and/or qualitative terms.  Each critical element will take into account the resources that will be made available and the authority of the executive to effect actions to achieve the requirements.
 

                 (c)   Organizational critical elements and performance requirements will include such factors as accomplishment of major goals or portions of long-range goals of the organization managed by the senior executive.  These critical elements and performance requirements must be directly linked and aligned with GSA’s agency-wide strategic goals and annual performance plans, and the Administrator's designated priorities.  Organizational critical elements will include accomplishment of specific goals and/or objectives to increase efficiency, productivity, timeliness of performance, and quality of work or service – reduction of costs - or other effectiveness measures such as organizational results achievement, customer satisfaction, and associate perspectives.  
 

                 (d)   Individual critical elements and performance requirements will focus on appropriate leadership and managerial competencies required of the position (i.e., the Executive Core Qualifications and associated leadership competencies) and provide a framework for assessing the impact an individual executive has in achieving performance goals and providing effective leadership.

6.   Progress reviews
.  
 

   a.   All rating officials will conduct at least one progress review of their subordinate senior executives’ performance against the established performance plans and inform the executive of their level of performance by comparison with the performance elements and requirements established for the position no later than 120 days before the end of the appraisal period.  Each rating official must certify to the Performance Review Board that such a progress review has been completed.  As necessary, the Performance Review Board will advise the Administrator of problem areas related to the completion of progress reviews.  

   b.   The progress reviews are an opportunity to discuss progress in achieving goals and objectives; and provide interim assessments of performance.  Any problems experienced or expected should be discussed.  If circumstances beyond the control of the rating official or the senior executive prevent achieving the objectives, changes must be made to the performance plans.  If performance elements are changed, they must be documented on the performance plans.  Changes to the performance plans must be documented at least 120 calendar days before the end of the appraisal period.
 

   c.   Should a progress review identify performance below “Level 3”, the rating official must assist the executive in improving performance.  Such assistance may include but is not limited to formal training, on-the-job training, executive coaching, counseling, and/or closer supervision.  
 

7.   Performance appraisals and ratings
.

   a.   When an annual summary rating cannot be prepared as of the end of the scheduled rating period because the senior executive has not served in the position of record for the minimum rating period of 120 days, the senior executive’s rating period shall be extended for the amount of time necessary to meet the minimum rating period at which time an annual summary rating will be given.  However, that executive may not be included in the SES performance awards plan for the fiscal year covered by the scheduled appraisal period.
 

   b.   If the senior executive is reassigned during the final 120 days of the scheduled appraisal period and if the executive has been on a performance plans for the minimum period of 120 days, the performance appraisal period will be terminated for that executive on the effective date of the reassignment and an initial summary rating prepared in accordance with paragraph c below.
 

   c.   Initial summary rating:

         (1)   At the end of the rating period, the senior executive’s rating official shall complete a written initial summary rating of the executive’s performance.  The senior executive must be appraised on each critical element in his/her performance plans unless there has been insufficient opportunity to demonstrate performance on that element.  The appraisal of performance must be based on both individual and organizational performance, taking into account such factors as:
 

                 (a)   results achieved in accordance with organizational goals;

                 (b)   customer satisfaction;
 

                 (c)   associate input;
 

                 (d)   the effectiveness, productivity, and quality of performance of the associates for whom the executive is responsible;

                 (e)   success in meeting affirmative action, equal opportunity, and diversity goals; and

                  (f)   complying with merit principles in 5 U.S.C. 2301.
 

          (2)   The initial summary rating shall take into account interim assignment ratings and appraisal of performance while on details or other temporary assignments.  Such interim performance may be included along with the results in the current job on a similar or identical element or may be included by adjusting the summary rating.  
 

          (3)   Performance levels. GSA's Associate Performance Plan and Appraisal System provides a mechanism for making meaningful distinctions between ratings for associates with significantly different levels of performance.  Performance expectations must be described for the rating of Level 3.  The absence of written performance requirements at other rating levels does not preclude the assignment of a rating at those levels.  The rating official should provide a narrative description of performance in terms of results  achieved against the requirements to support the critical element rating level.  Each critical element will be assessed and rated using the performance level definitions below:
 

                  (a)   Level 5. Meets and consistently exceeds performance expectations as described in Level 3.

                  (b)   Level 4. Meets and often exceeds performance expectations as described in Level 3.
 

                  (c)   Level 3. Meets performance expectations.


                         ·    
Objectives, activities and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with the performance plan. 
                         ·    
Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, and regulations. 

                  (d)   Level 2. Partially meets performance expectations as described in Level 3.
 

                  (e)   Level 1. Does not meet performance expectations as described in Level 3.

          (4)   Deriving the Summary Rating. After assessing each critical element and assigning the appropriate rating level to each critical element a summary rating should be derived using the following guidance:
 

Summary Rating
Critical Elements
Level 5 Level 5 is assigned if 70% of the total critical element weights is rated at Level 5, and no critical element is rated below Level 3.
Level 4 Level 4 is assigned if 60% of the total critical element weights is rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.
Level 3 Level 3 is assigned if 50% of the total critical element weights is rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.
Level 2 Level 2 is assigned if one critical element is rated at Level 2
Level 1 Level 1 is assigned if one critical element is rated at Level 1




          (5)   Completing the rating. 

                  (a)   The rating official assesses each critical element, determines an initial summary rating, documents that rating on the forms provided in Appendix A or B and provides written comments, as appropriate.  

                  (b)   The rating official then discusses the performance appraisal with the executive.  On receiving the performance appraisal, the executive acknowledges receipt by signing the form, and indicates whether he or she wants to make a written response and/or request a review by a higher-level official.  Written responses must be completed within 15 days of receipt of the appraisal.
 

                  (c)   The initial summary ratings are forwarded to the Director of Executive Resources, Office of the Chief People Officer.
 

                  (d)   The performance appraisal of a career SES may not be completed within 120 days after the beginning of a new Presidential administration.

          (6)   The senior executive’s rating official shall provide a copy of the initial summary rating to the senior executive, or follow appropriate procedures as so prescribed by the Director of Executive Resources.  The senior executive will have an opportunity to respond in writing to the initial summary or final rating and to request a higher-level review of the summary rating by an executive at a higher level than that of the rating official within 15 days of receipt of the appraisal.  If there is a higher-level review, the reviewing official may make written recommendations, which must be provided to the senior executive, the rating official, and the Performance Review Board.  However, the reviewing official may not change the initial summary rating.
 

8.   Performance Review Board (PRB)
.

   a.   Membership. More than one-half of the members must be career SES members in order to review performance of other career Executives.  PRB members may not take part in any PRB deliberations involving their own performance appraisals.  The PRB usually operates by consensus, but if a vote is needed, the Board decides by a simple majority vote of those present.  In case of a tie, the Chairperson makes the final decision.  The PRB meets at least yearly but is subject to call by the Chairperson.  The membership of the PRB must be published in the Federal Register.
 

   b.   Operations of the Performance Review Board.

         (1)   The PRB reviews and evaluates the initial summary ratings determined by the senior executive's supervisor, the senior executive's written response, the written comments by a higher-level executive; and conduct any further review needed to make its recommendations.

         (2)   The PRB makes a written recommendation to the Administrator concerning each executive's annual summary rating.  If the PRB does not agree with the initial summary rating, or the record shows an associate or reviewing official disagrees with the rating official, the board may investigate the matter before recommending an annual summary rating, which should be supported by a written justification.  The PRB may make a recommendation different from that of the rating official if:

                 (a)   the executive or the higher-level reviewing official disagrees in writing with the initial summary rating and the PRB finds there is an error in the initial summary rating, or

                 (b)   the recommendation of the rating official would be inconsistent with the initial summary rating of executives in other organizational units.  In making its recommendations to the Administrator, the PRB should set forth in writing any reasons (including the accuracy, fairness, and consistency with other initial summary ratings of executives) differing from the views of the rating official.  If the PRB’s recommended annual summary rating differs from that of the rating official, the board should notify the rating official and give the official the chance to discuss the rating with the executive and reach a solution before a recommendation goes to the Administrator for final action.  
 
         (3)   The PRB reviews proposed performance awards and bonuses to ensure they are fairly and consistently distributed.  The PRB makes recommendations to the Administrator on granting individual performance awards to executives rated at Level 3 or above.
 

         (4)   The Administrator reviews the PRB's recommendations and approves final annual summary ratings and performance awards and bonuses.
 

         (5)   The PRB maintains the confidentiality of PRB proceedings and may not disclose information from performance appraisals to persons who do not have a legitimate need to know. Each member must sign a Pledge of Confidentiality.  
 

9.   Linking appraisal to performance bonuses and awards
.

   a.   The Administrator, Heads of Services and Staff Offices, and Regional Administrators must submit their initial summary ratings and recommendations for performance awards and recognition to the PRB through the Director of Executive Resources.  

   b.   Career Executives are eligible to receive performance bonuses if their most recent annual summary rating is at least Level 3.  This does not necessarily mean that a performance bonus will be granted.

   c.   On completing the review of performance ratings, the PRB summarizes the distribution of ratings and ranking by organization and recommends career senior executives for performance bonus.  The Administrator is the final deciding official on these recommendations.

10.   Interim appraisal period activity.


     a.   Revised performance plans may be required as the result of changes in organizational priorities or changes in assignments.  If a revised performance plan is required, the revised plan is subject to all requirements pertaining to the establishment of performance plans.  
 

           (1)   Reassignments. If the executive changes positions within GSA during the appraisal period and if the executive has served in his/her current position for the minimum appraisal period of 120 days, an interim performance appraisal must be prepared.  A performance appraisal is subject to review by a higher level official and by the Performance Review Board at the explicit request of the executive or if a written response is submitted by the executive.

           (2)   Transfers. If a senior executive transfers to another agency, an interim performance appraisal must be prepared and forwarded to the new agency along with the annual summary ratings covering the past 5 years.  An interim assignment rating received by GSA for a senior executive transferring into GSA must be taken into consideration when preparing the executive’s first initial summary rating.
 

     b.   Details and Temporary Reassignments:

           (1)   Within GSA. When a senior executive is detailed or temporarily reassigned within GSA for a period expected to last 120 days or longer, written critical elements and performance requirements will be developed no later than 30 days after the beginning of the new assignment.  Ratings on the critical elements must be prepared and considered in deriving the executive’s next initial summary rating.
 

           (2)   Outside GSA. When a senior executive is detailed outside GSA, a reasonable effort must be made to obtain performance appraisal information from the outside organization.  This information shall be used in deriving the executive’s next initial summary rating.  If the detailed executive has served in GSA for the minimum rating period, the executive must be rated, taking into consideration the information obtained from the outside organization.  If the detailed executive has not served in GSA for the minimum rating period but has served in the outside organization for the minimum period, every effort must be made to prepare a performance appraisal using information obtained from the outside agency.
 

11.   Removals of non-probationary career executives
.

     a.   An executive may be removed from the SES for the following performance reasons:
 

           (1)   an executive who receives a Level 1 annual performance appraisal must be reassigned or transferred within the SES, or may be removed from the SES;
 

           (2)   an executive who receives two Level 1 annual performance appraisals in any 5-year period must be removed from the SES; and
 

           (3)   an executive who receives less than a Level 3 annual performance appraisal twice in any 3-year period must be removed from the SES.
 

     b.   Procedures:
 

           (1)   The rating official shall propose removal from the SES to the Administrator, through the PRB, identifying the position to which the executive will be assigned.

           (2)   When removal from the SES is approved, the Administrator will provide at least 30 days advance written notice advising the executive of the basis for the action, the placement rights and the position to which he/she will be assigned, the right to request an informal hearing from the Merit Systems Protection Board, the effective date of the action, and eligibility for immediate retirement, if appropriate.
 

     c.   Restrictions: No removal action may be made effective within 120 days after the appointment of a new Administrator, or a new non-career supervisor.
 

     d.   Placement rights:

           (1)   Entitlement is to a continuing position at GS-15 for which the executive meets qualifications requirements.
 

           (2)   If the executive was appointed to the SES from a career or career-conditional appointment, the executive is entitled to a position of equivalent tenure unless the executive indicates a willingness to accept a position of different tenure.

           (3)   Placement cannot cause the separation or reduction in grade of any other associate.

           (4)   Basic pay will be set at the highest of:
 

                   (a)   the rate of basic pay in effect for the position in which the executive is being placed;
 

                   (b)   the rate of basic pay currently in effect for the position held immediately prior to appointment in the SES, or

                   (c)   the rate of basic pay in effect immediately prior to removal from the SES.
 








CHAPTER 3.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES NOT IN THE SENIOR EXECUTIVE SERVICE


TABLE OF CONTENTS



Paragraph                                                                                               Paragraph
Titles    
                                                                                                 Numbers 

Associate performance appraisal process . . . . . . . . . . . . . . . . . . . .         1
 
Unrateable/detailed/reassigned and/or transferred associates . . ..        2
 
Interim appraisals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .          3
Performance levels. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .          4
Rating period. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . …….           5
Performance needing improvement . . . . . . . . . . . . . . . . . . . . . . . . . . .      6
 
Probationary periods. .. .. . . . . . . . . . . . . . . . . . . . …………………...        7
 
Training and individual development plans ……… .. . . . . . . . . . . . ..        8
 
Awards …. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .              9
Relationship to within-grade increases  . . . . . . . . . . . . . .  . . . . . . . . .      10
 
Denying within-grade increases. . . . . . . . . . . . . . . . . . . . . . . . . . . . .         11
 
Quality step increases. . . . . . . . . . . . . . . . . . . . . . . . . . . . ……………      12
 
Promotions. . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . ……………       13
 
Reduction-in-force (RIF). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .          14
Distribution of ratings. . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . .         15
Savings provision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .          16
Grievances and appeals. . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .          17
Associate involvement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .          18
Official records   . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .          19







CHAPTER 3
.  PERFORMANCE PLAN AND APPRAISAL SYSTEM FOR ASSOCIATES
NOT IN THE SENIOR EXECUTIVE SERVICE



1.   Associate performance appraisal process. Performance expectations for all associates will be communicated through written performance plans.  All managerial and/or supervisory performance plans must also include leadership and organizational critical elements.  All associates will be assessed at five performance levels.  In addition to the performance expectations, a supervisor may provide copies of job specific standard operating procedures, processes, goals, and/or business objectives to the associate that will assist them in meeting performance requirements.   

   a.   Performance plans. All individual performance plans shall link to their organization’s business goals directly or through the agency's strategic goals through a cascading process.  This cascading process means that as goals are adopted at each organizational level, those goals are translated into individual performance expectations that show what each associate must accomplish to assure their unit can succeed and support the next level above.  Performance plans should identify the critical elements and performance expectations of a position.  Performance plans must be communicated to the associate on an annual basis.

         (1)   Associates will have a written performance plan, which documents expectations that are based on organizational mission and business goals and that reflect the types of duties and responsibilities in their job descriptions. Performance plans should:

                 (a)   align with GSA, business, office, work unit, team goals and objectives;

                 (b)   be attainable, but challenging;
 

                 (c)   be clearly worded and measurable; and
 

                 (d)   contain critical elements and performance expectations, which focus on expected results.

         (2)   Performance plans for all associates should be established at the beginning of the appraisal period.  When an associate enters a position or changes positions after the start of the annual appraisal period, a performance plan shall be developed and communicated to the associate as soon as feasible (normally within 30 days) after the appointment to the new position.

         (3)   Performance plans may be changed at any time.  It is important that a performance plan be changed as soon as practicable if the current plan is determined to be no longer appropriate.
 

         (4)   Performance plans will be documented as indicated on the appropriate forms included in this Order.  
 

         (5)   Associates and their supervisors should work together to develop performance plans. When supervisors and associates are unable to resolve differences on performance plans, the supervisor makes the final decisions.

         (6)   Performance plans must be updated and communicated at the start of each rating period to account for revised organization business goals.  Plans should be re-certified (signed) annually.
 

   b.   Critical elements and performance expectations.

         (1)   Critical elements are work assignments or responsibilities of such importance that Level 1 performance on the element would result in a determination that an associate's overall performance is unsatisfactory.
 

         (2)   There is no prescribed number of critical elements that a position should have.  Normally, a position should have three to five critical elements.  Many supervisory positions have both technical and managerial/supervisory responsibilities that could lead to a higher number of critical elements.
 

         (3)   Within GSA the term “performance expectations” has the same meaning as a “performance standard” under 5 CFR 430.203.  Performance expectations are the level of individual performance that must be met for an associate’s performance to be appraised at a particular level. Performance expectations must be developed to describe the expected level of performance on a critical element at Level 3.  Managers and supervisors may establish performance expectations for other levels if deemed appropriate.   The absence of a written performance requirement at other rating levels does not preclude the assignment of a rating at that level.  
 

         (4)   Performance expectations for managerial and supervisory positions should address such factors as the following:
 

                 (a)   organizational leadership and performance that cascades from and is directly linked to business goals and the agency's strategic goals;

                 (b)   improvements in effectiveness, productivity, and performance quality;

                 (c)   cost efficiency;
 

                 (d)   timeliness of performance;
 

                 (e)   supervision of subordinates; and
 

                  (f)   efforts to meet Human Capital goals.
 
 
    c.   Application to teams. Teams are a way of organizing people to support interdependence and cooperation, and require coordination. Team members often represent all levels of an organization.  Working in teams requires a change in perspective.  Instead of focusing solely on an individual, supervisors must assess, develop, and recognize the individual's contributions to teams and the effectiveness and accomplishments of the team as a whole.  Individual performance on a team involves measuring skills, behaviors, and the quality of products and services contributed to helping the team to achieve its goals.  It is not required that teams have formal performance plans, but supervisors should clearly outline goals and expectations of the team and establish a process to measure team success.
 

          (1)   Critical elements may be used to appraise individual performance on the team, but not team performance as a whole. A non-supervisory associate cannot be held individually accountable for the work of others unless serving in the role of a supervisor or team leader.  
 

          (2)   If a team approach is used, supervisors and team members should plan how the feedback will be conducted.  Since supervisors are often not present when team members are participating in the work of the team, in order to evaluate the associate's performance he/she will consider the associate's self assessment, results of the team's work and the team member's performance through the reports of others, evidence of the team's products, and customer reports.

          (3)   When a team approach is used, the focus should be on the accomplishments of the team and the individual's contribution to the team.
 

          (4)   The same principles may apply to developing team performance plans that apply to developing a performance plan for a position.  The plan may be a combination of activities and measures and goals, objectives and milestones.  The expectations should be realistic, clear, specific, consistent, measurable and/or verifiable, and set at an appropriate level.  Effective team performance expectations generally include goal or results-oriented elements that identify objectives and milestones.  
 

          (5)   The performance plan for the team (if utilized) should be developed collaboratively involving all of those to whom the plan will apply, or a representative group.  As a whole the team is evaluated based on its effectiveness, whether it achieved its goals and objectives, and the degree to which the goals and objectives were met or exceeded.
 

          (6)   Additionally, team performance does not eliminate the requirement for an individual performance appraisal.

   d.   Performance feedback. Collaboration, ongoing communication and continuous feedback between the supervisor and associate are the keys to an effective performance plan and appraisal system.  Rating officials may use feedback from other sources to appraise associate performance (e.g., customers, peers, subordinates, the associate themselves, etc).  If feedback is to be formally and systematically gathered from persons other than the first-line supervisor to appraise critical elements (e.g., through formal 360-degree programs), the sources of the feedback and how this feedback will be factored in with the appraisal should be communicated to associates at the beginning of the rating period.  (This requirement does not limit rating officials from acquiring informal feedback regarding associate performance from appropriate sources).  These formal, systematic feedback programs should be developed with input from associates.

   e.   Monitoring performance.

         (1)   The purpose of monitoring performance is to consistently measure individual and team performance, and to provide ongoing constructive feedback on progress toward reaching established expectations, goals and objectives.  The supervisor and associate use the associate's current performance plan to measure work accomplishments and activities.  Similarly, the team sponsor and the team measure the team's success and needs against the team charter.  

         (2)   Supervisors should provide continuing informal and/or formal feedback to associates throughout the rating period regarding their performance. Supervisors should review the associate’s performance compared to the performance expectations for each critical element.  Both the supervisor and the associate shall initial and date the appropriate appraisal record form.
 

         (3)   If an associate's performance in any critical element is considered less than Level 3, the rating official should take action to assist the associate in improving his or her performance and should document any discussion.  
 

    f.   Mandatory progress reviews. Periodic reviews are a part of an ongoing appraisal and associate development process.  Flexibility may be exercised regarding the timing and frequency.  At a minimum at least one formal progress review (in addition to the annual performance review) shall be conducted during the annual rating period at approximately the midpoint of the appraisal cycle, but no later than 120 days before the end of the rating period.  Associates may also request (or supervisors may schedule) additional progress reviews.  While progress reviews do not have to be written, the rating official and the associate shall initial and date the appropriate blocks on the associate performance plan to document that the review was conducted.
 

   g.   Annual performance appraisal. This is the annual written review of an associate’s performance compared to the performance expectations for each critical element. The annual performance review discussion must include a review of the associate's progress toward meeting performance expectations for each critical element.  It is also recommended that the discussion include a review of such things as the following:

         (1)   a discussion of any training or other development opportunities that the rating official or the associate believes is necessary to improve performance; and
 

         (2)   an updated performance plan linked to changing organization goals and priorities if required.

   h.   Written performance appraisals with overall performance ratings assigned will be completed and recorded on the appropriate GSA Performance Appraisal Record form.  Ratings for temporary promotions and/or details for 120 days or more require performance plans and should be documented by an interim appraisal.  Information about the performance of associates detailed or otherwise temporarily assigned to different positions must be obtained, if possible, and given appropriate consideration in determining the final rating of record.  A copy of the rating will be forwarded to the supervisor of the associate's official position to be considered when rating performance for the annual appraisal.
 

    i.   Performance Appraisal - Associate Self-Assessment Summary is a valuable tool for both the associate and the supervisor.  Associates should complete the Performance Appraisal - Associate Self-Assessment Summary form and provide the written documentation to their supervisor for consideration when completing their annual performance appraisal.  The Performance Appraisal - Associate Self-Assessment Summary form may also be used at mid-year to help facilitate discussions and document progress towards required accomplishments.
 

    j.   Rating and reviewing officials. An associate’s immediate supervisor is the associate's rating official, and the rating official's immediate supervisor is normally the reviewing official.  Service and Staff Office Heads and Regional Administrators may serve as both the rating and reviewing official for associates who report directly to them.  Rating officials should acquire relevant information from available sources to complete associate annual performance appraisals.

   k.   Required review. A summary rating of Level 5 or Level 1 must be reviewed and approved by the appropriate reviewing official prior to any discussion with the associate.

2.
  Unrateable/detailed/reassigned and/or transferred associates.

   a   Unrateable associates. Associates who are unrateable at the end of the rating period because they have not served in a position for at least 120 days must be rated after they have served the minimum rating period.  Associates who on the last day of the rating period are still under an opportunity period to improve performance to an acceptable level, will have their ratings deferred until the completion of the opportunity period.
 

   b.   Details and  temporary promotions of 120 days or more. When associates are detailed to another position within GSA, a performance plan should be communicated to the associate as soon as feasible (normally within 30 days) after the beginning of a detail or temporary promotion effected for 120 days or more.  Ratings on critical elements should be prepared for these details and temporary promotions within 30 calendar days following termination of the detail or temporary promotion and should be considered in determining the associate's next rating of record.  When associates are detailed outside of GSA, a reasonable effort will be made to obtain performance appraisal information from the outside organization to be considered in determining the associate's next performance appraisal.
 

   c.   Reassignments. If an associate is reassigned to a position within GSA that requires a new performance plan during the performance-rating period and if they have served in their position for the minimum rating period of 120 days, an interim appraisal should be prepared.  This interim appraisal should be considered when completing the annual performance appraisal.
 

   d.   Transferred associates. A performance appraisal must be completed for an associate who transfers to another agency after serving the minimum rating period.  When an associate transfers from another agency to GSA after serving a minimum performance-rating period in the other agency, a current performance appraisal should be obtained from the losing agency.  If by the end of the normal rating period the associate cannot serve a minimum rating period under this system, the transferred appraisal becomes the rating of record.

3.   Interim appraisals
.

   a.   Interim appraisals should be prepared during the course of the annual performance-rating period when an associate has spent the minimum performance-rating period (120 days) in one position and then changes to another position requiring a new performance plan.  This may happen more than once during the rating period.  These appraisals should be completed within 30 days of the change of position and are prepared just as you would prepare a final associate performance appraisal.  

   b.   To be eligible to receive an interim appraisal, an associate must have at least 120 calendar days under the associate's current performance plan and must be ratable on at least one critical element.  The 120-day period begins when the associate is issued the signed performance plan.  In applying the 120-day requirement, part-time service is considered as full-time.  An interim performance appraisal should be completed after a detail, temporary promotion or when an associate changes positions after serving the minimum 120-day period.

   c.   An interim appraisal that was completed for an associate for service in another position should be considered when the supervisor prepares the final summary appraisal.

   d.   When an associate changes positions toward the end of the performance appraisal period (i.e., where the time remaining in the appraisal cycle is less than the minimum appraisal period), the interim rating prepared becomes the rating of record for that rating period and becomes the final rating.  The time remaining in the rating period may be added on to the next rating period. 

4.   Performance levels
. GSA's Associate Performance Plan and Appraisal System provides a mechanism for making meaningful distinctions between ratings for associates with significantly different levels of performance.  Each critical element will be assessed and rated using the performance level definitions below:
 

   a.   Level 5. Meets and consistently exceeds performance expectations as described in Level 3.

   b.   Level 4. Meets and often exceeds performance expectations as described in Level 3.
 

   c.   Level 3. Meets performance expectations.


         ·    
Objectives, activities and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with the performance plan. 
         ·    
Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, and regulations. 

   d.   Level 2. Partially meets performance expectations as described in Level 3.
 

   e.   Level 1. Does not meet performance expectations as described in Level 3. 

5.   Deriving summary ratings
: Critical elements will be weighted for managers and supervisors and may be weighted for non supervisory associates.  After assessing each critical element and assigning the appropriate rating level to each critical element, a summary rating should be derived using  one of the two following methods:

   a.   Non weighted critical elements:

Summary Rating
Critical Elements
Level 5 70% of elements rated at Level 5 with none rated less than Level 3.  
Level 4 60% of elements rated at Level 4 with none rated less than Level 3.
Level 3 50% of the elements must be rated at Level 3 with none rated less than Level 3.
Level 2 One or more elements rated at Level 2, with none rated at Level 1.
Level 1 One or more elements at Level 1.




   b.   Weighted critical elements: 

Summary Rating
Critical Elements
Level 5 Level 5 is assigned if 70% of the total critical element weights is rated at Level 5, and no critical element is rated below Level 3.
Level 4 Level 4 is assigned if 60% of the total critical element weights is rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.
Level 3 Level 3 is assigned if 50% of the total critical element weights is rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.
Level 2 Level 2 is assigned if one critical element is rated at Level 2
Level 1 Level 1 is assigned if one critical element is rated at Level 1





6.   Performance needing improvement. At any time during the rating period that the associate is determined to need improvement in one or more critical elements, the supervisor should notify the associate and consider providing assistance.  Such assistance may include, but is not limited to, formal training, on-the-job training, counseling, and/or closer supervision.

   a.   Level 2 performance. Continued performance at the Level 2 by an associate jeopardizes the attainment of organizational business goals and directly affects an associate's eligibility for a within-grade increase and/or career promotion (see sections 10 and 13 of this Chapter) and should be corrected.  The supervisor should hold regular and frequent discussions with associates about their performance, particularly when the performance is problematic.  When an associate's performance is Level 2 in a critical element the supervisor and the associate should develop a plan of action the supervisor and the associate will take to help elevate the associate's performance to at least the Level 3.

   b.   Assisting associates in improving Level 1 performance. A supervisor must develop a performance improvement plan (PIP) for an associate who has completed a probationary period if his or her performance in one or more critical elements is Level 1.  For the purposes of this Order Level 1 is unsatisfactory performance.
 

         (1)   At any time during the rating period that performance of an associate who has completed the probationary period is Level 1 in one or more critical elements, the supervisor must provide the associate with a performance improvement plan (PIP).  A PIP should provide written information to the associate on specific deficiencies and necessary improvements and establish a reasonable timeframe in which the associate must improve before corrective action is initiated.  PIP notices should define assistance to be provided to help the associate meet expectations (e.g. formal training, on-the-job training, coaching and counseling, and/or closer supervision).  Associates who fail to improve or who improve but fail to sustain the improvements for at least a year from the beginning of the PIP will be reassigned, reduced in grade, or removed.  The PIP will contain:
 

                 (a)   specific description of the associate's unacceptable performance;

                 (b)   description of what the associate must do to demonstrate Level 3 performance;

                 (c)   reasonable and appropriate timeframes for the associate's improvement;

                 (d)   what assistance will be provided by management to help the associate improve, such as regularly scheduled meetings with the supervisor to discuss assignments; and

                 (e)   consequences of associate's failure to improve performance.

         (2)   When a supervisor observes that an associate's performance is Level 1 in one or more critical elements, the supervisor should contact his or her servicing Human Resources Office for assistance in helping the associate improve performance in accordance with the procedures at 5 CFR 432, as appropriate.  If performance continues at the Level 1, reduction in grade, or removal actions should be undertaken in accordance with the procedures at 5 CFR 432 or 5 CFR 752.  When dealing with performance problems, supervisors should be aware of the following requirements of the law and regulations pertaining to Part 432 actions:
 

                 (a)   Demotions or removals under Part 432 may be proposed only after the appropriate official has identified the critical element(s) for which performance is Level 1, notified the associate of the observed pattern of performance, and given the associate a reasonable opportunity to improve, including appropriate assistance.
 

                 (b)   The proposal to demote or remove must provide a 30-day advance notice period before a decision can be made.
 

                 (c)   The proposal must identify specific instances of Level 1 performance on which the proposal is based, identify the critical element(s) involved, and must advise the associate of representation and reply rights.

                 (d)   The decision to demote or remove should be made no sooner than 30 days after the end of the notice period and must be signed by or concurred in by an official at a higher level than the proposing official. If the decision is to demote or remove, it must notify the associate of applicable grievance and/or appeal rights.
 

                 (e)   If because of performance improvement during the notice period, the associate is not reduced in grade or removed, and the associate's performance continues to be satisfactory for one year from the date of the advance notice, any entry or other notation of the Level 1 performance for which the action was proposed shall be removed from any agency record relating to the associate.

          (3)   Before the determination of Level 1 rating of record is discussed with the associate, theperformance appraisal will be discussed and reviewed by the appropriate reviewing official. 

7.   Probationary periods
. Appraisal of the associate's performance, as well as other considerations such as conduct and reliability, will serve as a basis for the decision to retain or remove an associate from the Federal service during the initial probationary period.  

   a.   Decisions to remove probationary associates may be made at any time during the probationary period.  Supervisors must work closely with their servicing Human Resources Office to terminate the appointment of an associate during their probationary period.

   b.   Supervisors should begin monitoring new associates immediately to determine if they are willing and able to perform the work and are otherwise suited for retention in their positions.  Although formal performance improvement plans are not required for associates who are serving probationary appointments, rating officials should normally provide associates who are not meeting expectations with enough information to help them understand how they are failing and how they might improve.  Upon determination that a probationary associate either will not or cannot meet expectations, supervisors must begin action to terminate them from their positions and/or from the Federal service.  (Note: Appraisals of Level 3 or higher rendered early during probationary period does not preclude subsequent decisions that the associate is not performing at expected levels or otherwise suitable to be retained.  However, supervisors should be able to provide specific examples either of how performance and/or conduct deteriorated after the appraisal was assigned or how the conduct used to support the termination was unrelated to the performance appraisal.)
 

   c.   Associates serving probationary periods for initial appointments to managerial/supervisory positions who do not meet expectations set forth in their performance plans that relate to managerial/supervisory responsibilities will be returned to non-managerial/ non-supervisory positions.  That decision can be made at any time during the one-year probationary period.  Although formal notice and opportunity to improve are not required, supervisors generally should provide at least enough information so that the associate understands specific deficiencies in time to try to make corrections.  (Note: Appraisals of Level 3 or higher rendered early during managerial/supervisory probationary period do not preclude subsequent decisions that associate is not performing the managerial/supervisory aspects of their positions.  However, supervisors should be able to provide specific examples either of how performance and/or conduct deteriorated after the appraisal was assigned or how the conduct used to support the determination was unrelated to the performance appraisal.)

8.   Training and individual development plans
.

   a.   Planning for professional development is an integral part of the performance appraisal process. This process involves increasing an associate's capacity to perform through training, providing assignments that introduce new skills or greater responsibility, addressing performance deficiencies or performance counseling, and increasing talents through a variety of learning activities.

   b.   The performance appraisal process should identify areas where training may be necessary for an associate to meet or exceed specified performance expectations. Along with meaningful performance-related discussions that assist associates in reinforcing strengths and correcting weaknesses, professional development opportunities may include classroom training, on-the-job training, mentoring, special assignments, participation in professional and civic organizations, and publishing professional articles.  Supervisors should encourage associates to seek professional development opportunities.

   c.   Supervisors should counsel associates on these training needs during the development of performance plans and during mid-year reviews rather than at the time of the final performance appraisal.  See the policy governing training for GSA associates, which is available on Insite.
 

   d.   Individual development plans are required for associates in intern positions and for those not at the full performance level of the position.  Supervisors are encouraged to use individual development plans for other associate's.
 

9.   Awards
. It is GSA policy that an associate's performance as documented in the performance appraisal process should determine the major portion and frequency of an associate's award(s) and other forms of recognition.  Awards/recognition may be granted either at the end of the rating period, or throughout the appraisal period.  Awards/recognition should be used to acknowledge and motivate associates by rewarding significant individual, team, or organizational achievements and contributions that promote the achievement of Agency goals and objectives.  A variety of cash and non-cash award options are available.
 

10.   Relationship to within-grade increases
.

     a.   An associate under the General Schedule (GS) who is paid at less than step 10 of the grade of his or her position must be advanced in pay to the next higher step provided that the associate has completed the required waiting period, has not received an equivalent increase during the waiting period, and is performing at an acceptable level of competence.  An associate who performs at the Level 3 or higher level under GSA Associate Performance Plan and Appraisal System is considered to be performing at an acceptable level of competence.  

     b.   Federal Wage System associates advance automatically to the next pay step by receipt of a within-grade increase when the current rating of record is Level 3 or higher so long as they satisfy the time requirements.
 

11.   Denying within-grade increases
.

     a.   The periodic within-grade increase must be denied for an associate who is determined to be working below an Acceptable Level of Competence (ALOC).  To be at an acceptable level of competence, the associate's most recent rating of record must be Level 3 or better.  If the associate's most recent rating of record is less than Level 3 the within-grade increase must be denied.

     b.   The supervisor must prepare a new rating of record to support the denial of within-grade increase if the current rating of record is Level 3 or higher.  For example, an associate who has a current rating of Level 3, but has not performed at an acceptable level of competence for the past 120 days must receive an interim rating at Level 1 or level 2 before the within-grade may be denied.

     c.   Supervisors should contact their servicing Human Resources Office for procedures for denying within-grade increases 90-120 days prior to the effective date of the within-grade increase.

     d.    Delay in determination of the within-grade increase.  A delay of no more than 120 days may occur when an associate has not demonstrated Level 3 performance because of the following:

             (1)   The associate does not have written performance expectations for the current performance appraisal rating period.
 

             (2)   The associate has not had written performance expectations for the minimum 120-day period required for evaluating performance.
 

     e.   When an acceptable level of competence (ALOC) determination is delayed, the supervisor will inform the associate, in writing, and effect a 120-day performance period in which the associate will demonstrate acceptable performance.  If performance meets the Level 3, the supervisor will notify the associate, in writing, of the determination.

      f.   Request for reconsideration.  An associate may request reconsideration of a denial of a within-grade increase in writing within 15 calendar days after receiving the notice of denial.  Time frame for filing a grievance for bargaining unit associates is contained in the applicable negotiated agreement. 

12.   Quality step increases
.

     a.   A quality step increase is a faster than normal within-grade increase used to reward associates at all General Schedule grade levels that display Level 5 performance.  In a five level program, a quality step increase (QSI) may be granted only to an associate who receives a Level 5 summary performance appraisal.  A request for QSI should be submitted to the servicing Human Resources Office on the appropriate award nomination form and include a copy of the Level 5 performance appraisal. A QSI becomes effective on the first day of the first pay period following approval.
 

     b.   To be eligible for a QSI an associate must meet the following criteria:
 

           (1)   the associate must be below step 10 of their grade level;

           (2)   their current rating must be Level 5;

           (3)   must have demonstrated sustained performance of high quality;

           (4)   can not have received a QSI within the preceding 52 consecutive calendar weeks; and  

           (5)   should be granted only when there is a clear expectation that the associate's exceptional level of performance will continue.
 

13.   Promotions
. To be promoted within GSA, an associate's most recent rating of record must be at the Level 3 or higher.

14.   Reduction-in-force (RIF)
.

     a. Associates will receive the appropriate additional years of service credit allowable by law and regulation in the event of a reduction-in-force.
 

     b. The Chief People Officer may approve postponing the normal rating period  for up to 120 days for all associates in a competitive area to avoid disruption to retention registers during a RIF.
 

15.   Distribution of ratings
. Managers and/or supervisors may not prescribe a distribution of rating levels.  Associates must be rated against written, communicated performance expectations and not ranked among others. 

16.   Grievances and appeals
. Associates who are dissatisfied with their performance appraisal and cannot resolve their concerns informally may file a grievance.  Associates may raise issues relating to the performance appraisal process through the agency's administrative grievance process or the appropriate negotiated grievance procedure.  Appealable issues may be appealed to the Merit Systems Protection Board (MSPB).  Guidance on grievable and/or appealable matters is as follows:

      a. critical elements and expectations may not be grieved or appealed;
 

      b. critical element ratings and summary ratings are grievable; and
 

      c. performance-based demotions and removals may be grieved through the appropriate negotiated grievance procedure or appealed to the MSPB.
 

Supervisors should work with their servicing Human Resources Office to assure that appropriate procedures are followed.
 

17.   Official records
.
 

      a.   Performance appraisal records and related documents will be maintained in accordance with provisions of the Privacy Act, Freedom of Information Act, and other legislative and regulatory requirements.

      b.   The official signed copy of the rating for each associate shall be filed in the associate's Official Personnel File maintained by the Consolidated Processing Center in accordance with Office of Personnel Management "The Guide to Personnel Recordkeeping."  The guide is available at OPM's web site.

      c.   Notices of proposed reduction in grade or removal that are issued, but not effected must be destroyed after the associate has completed one year of satisfactory performance.

      d.   The immediate supervisor must provide the associate with a signed copy of his/her performance appraisal and may also retain additional copies.
 

      e.   The last four performance ratings will be transferred to the gaining agency when non-SES associates  transfer to another Federal agency.
 


                                        APPENDIX A  Performance Plan and Appraisal Record for Associates in the Senior Executive Service
 
 

Performance Plan and Appraisal Record for Associates in the Senior Executive Service
Part I  Administrative Data
a.  Associate Name (Last, First, MI)b.  SSNc.  Office Symbol
d.  Organizatione.  Rating Period Covered (MM/DD/YYYY – MM/DD/YYYYY)
Part II  Performance Plan and Appraisal Instructions
INSTRUCTIONS:
A performance plan must be developed for the executive on or before the beginning of each rating period.  The performance plan may be modified during the rating period, and the executive must perform in their position for a minimum of 120 days before their performance can be evaluated.  Development of the performance plan should be a collaborative endeavor between the supervisor and the executive and is divided into two parts: (1) Leadership in Support of GSA’s Mission, Values and Goals; and (2) Accomplishment of Organizational Performance Goals.  The two critical elements under Leadership in Support of GSA’s Mission, Values and Goals are mandatory and each must be assigned a weight to total 40%.  The number of critical elements evaluated under Accomplishment of Organizational Performance Goals will vary depending on the job; weights must be assigned to the selected critical elements so that they total 60%.


Performance will be measured against 5 levels, as follows:
Level 5 – Meets and consistently exceeds performance expectations as defined in Level 3

Level 4 – Meets and often exceeds performance expectations as defined in Level 3

Level 3 – Meets performance expectations.  Objectives, activities, and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with performance plan.  Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, rules and regulations.

Level 2 – Partially meets performance expectations as defined in Level 3

Level 1 – Does not meet performance expectations as defined in Level 3

Expectations for performance under each critical element must be described at the Level 3.  Once the performance plan is developed and a copy provided to the executive, both the supervisor and executive must certify issuance and receipt under Part VI.  Mid-year performance reviews are required; additional progress reviews are encouraged, but optional.  Both the supervisor and executive must certify that a mid-year performance review occurred under Part VI.


Within 45 days of the end of the rating period, the supervisor must evaluate the executive’s performance plan objectives, underlying activities and tasks, and assign a rating level to each critical element based on how well the executive met the performance expectations.  Document the rating level for each critical element and the summary rating on this form (see Part VII for instructions on deriving summary ratings).  Overall comments on performance and identification of training and/or developmental needs should be documented in Parts IV and V, respectively.

The supervisor and executive must certify under Part VII that a performance appraisal was documented, and a summary rating was issued to the executive.  Once both parties sign it, the original form, including the executive’s performance plan, must be submitted to the Office of Executive Resources for review by the Performance Review Board and the Administrator for a determination of the final summary rating.  Final summary ratings will be filed in the executive’s Official Personnel Folder and a copy provided to the executive.







 

Part III Performance Plan and Critical Element Appraisal

A. Leadership in Support of GSA’s Mission, Values, and Goals (40%)

Models behavior consistent with GSA’s values – Ethics and integrity in everything we do, Respect for fellow associates, Teamwork, Results orientation, and Professionalism.  Communicates GSA’s mission, values and goals to GSA associates.  Facilitates a positive and productive work environment that fosters innovation, initiative, diversity, fairness, teamwork and continual learning.  Provides effective leadership that motivates associates to achieve high performance.  Uses effective business practices including balanced measures.


Evaluate the performance plan objectives, underlying activities and tasks and assign a rating to each critical element.


1.        GSA-wide Leadership         (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

 2.    Program Area Leadership         (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1



B. Accomplishment of Organizational Performance Goals (60%)

Accountable for organizational objectives/initiatives that contribute to the overall success of GSA and effectively achieving results in alignment with GSA’s goals.  Successfully accomplishes interim milestones for long-term activities.


Evaluate the performance plan objectives, underlying activities and tasks and assign a rating to each critical element.


1.  Provide best value for customer agencies and taxpayers          (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

2.  Achieve responsible asset management          (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

3.  Operate efficiently and effectively          (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

4.  Ensure financial accountability          (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

5.  Maintain a worldclass workforce and a worldclass workplace          (____%)


                               Level 5   Level 4   Level 3   Level 2   Level 1

6.  Carry out social, environmental, and other responsibilities          (____%)


                        Level 5   Level 4   Level 3   Level 2   Level 1
Part IV  Comments
Comments on Overall Performance (attach additional pages as necessary)
Part V  Development and Training
Indicate professional growth needs and avenues to meet those needs (attach additional pages as necessary)
Part VI  Certification of Performance Plan and Mid-Year Review
Performance Plan Developed:
Signatures below certify that the supervisor and executive have developed a performance plan and discussed performance expectations.

________________________________       ______________
Supervisor/Rating Official                            Date

________________________________       ______________
Executive                                                     Date
Mid-Year Progress Review:
Signatures below certify that the supervisor and executive have discussed performance against the expectations and changes have been made to the performance plan as necessary.


________________________________      ______________
Supervisor/Rating Official                           Date


________________________________      ______________
Executive                                                    Date
Part VII Summary Rating
Guidance for deriving summary rating:
After assessing each critical element and assigning the appropriate rating level, the summary rating should be derived using the following methodology:

Level 5 is assigned if 70% of the total critical element weights are rated at Level 5, and no critical element is rated below Level 3.

Level 4 is assigned if 60% of the total critical element weights are rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.

Level 3 is assigned if 50% of the total critical element weights are rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.

Level 2 is assigned if one critical element is rated at Level 2.

Level 1 is assigned if one critical element is rated at Level 1.

Summary Rating:                               Interim          Annual  






Level 5   Level 4   Level 3   Level 2   Level 1








______________________________       _______________
Supervisor/Rating Official                         Date


______________________________       _______________
*Executive                                                  Date                
*Acknowledges consultation and receipt only.                                                                                                
Executive’s Options:           Will provide a written response        Yes  No
                                     Requests a higher level review           Yes  No
Part VIII Final Summary Rating
To be completed after Performance Review Board and Administrator review and approval:

                              Level 5   Level 4   Level 3   Level 2   Level 1


Certified by:


_____________________________        ________________

Director of Executive Resources               Date







                                              APPENDIX B, Performance Plan and Appraisal Record for OIG Associates in the Senior Executive Service
 
 


Performance Plan and Appraisal Record for OIG Associates in the Senior Executive Service
Part I Administrative Data
a. Associate Name (Last, First, MI)
b. SSN

c. Pay Plan and Series

d. Office
Symbol
e. Organization
f. Rating Period Covered (YYYY/MM/DD)
g. Type of Rating
                             Interim       Annual
Part II Performance Level Definitions
Rating LevelsDefinition
Level 5 Meets and consistently exceeds performance expectations as described in Level 3
Level 4 Meets and often exceeds performance expectations as described in Level 3
Level 3 Meets performance expectations.  Objectives, activities, and specific tasks associated with each critical element are carried out with expected levels of quantity and quality, timeliness and cost-effectiveness in accordance with performance plan.  Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, and regulations
Level 2Partially meets performance expectations as described in Level 3
Level 1Does not meet performance expectations as described in Level 3
Part III  Performance Appraisal
Individual Performance Requirements:  Expected to model behavior consistent with the OIG values of independence, relevance, teamwork, creativity, credibility and professionalism.  These values are reflected throughout the following individual performance requirements:

1.  Leadership (    %) – Demonstrates integrity, sound judgment and dedication to the highest standards of public service.  Strategies for achieving program goals and objectives are appropriate and reflect flexibility and initiative.  Successfully adapts program activities in response to new information, unexpected obstacles, changing conditions or initiatives.  Examines policy issues and strategic planning with long-term perspectives; anticipates potential opportunities and problems.  Influences others toward a spirit of service and meaningful contributions to the OIG mission.  Creates and sustains an organizational culture that encourages others to provide the quality of service essential to high performance.


Level 5         Level 4        Level 3        Level 2         Level 1  


2.  Managing Human Resources (      %)  -- Applies merit principles to develop, select and manage a professional, proficient and diverse workforce.  Makes employment decisions in areas such as hiring, performance management, promotion, training, and developmental assignments without regard to race, sex, national origin, religion, age, disability, or sexual orientation.  Promotes cooperation, flexibility, and teamwork among associates.  Promotes quality through effective use of the OIG’s performance appraisal policy, including continuous feedback, appropriate appraisals, and taking action to reward, counsel or discipline associates as appropriate.  Ensures that, to the extent possible, associates have the tools and training to do their jobs.  Develops associates so that they maximize their capabilities and contribute to the achievement of organizational goals.  Resolves conflicts in a positive and constructive manner.  Fully supports the agency’s equal opportunity policies and programs, promptly responds to allegations of discrimination, cooperates with EEO officials responsible for conducting EEO inquiries, and manages the work environment so as to prevent instances of prohibited discrimination or harassment.


Level 5         Level 4        Level 3        Level 2         Level 1  


3.  Building Coalitions/Communication (      %)  -- Effectively represents and speaks for the OIG to those within and outside the OIG.  Identifies and manages internal and external influences and dynamics that impact the OIG’s work; coordinates policy development with all appropriate parties within the OIG, and, as appropriate, with external groups.  Establishes cooperative and constructive working relationships with the other OIG components and within and outside of the Agency, including the IG community, so as to enhance the effectiveness of the OIG and the achievement of its mission and goals.  Fosters an atmosphere of open communication; encourages an open exchange of ideas; and facilitates input from a wide range of stakeholders.

Level 5         Level 4        Level 3        Level 2         Level 1  


4.  Managing Programs and Resources (      %) – Ensures that program activities and work products are timely, of the highest quality and professional standards, and support the mission and goals of the OIG.  Effectively balances the needs of a variety of customers; responds to improve program activities based on customer feedback.  Assesses current and future resource needs based on organizational goals and budget realities; adjusts priorities in response to changing circumstances.  Uses efficient and cost effective approaches to integrate technology into the workplace and improve program effectiveness.  Establishes and maintains effective management controls; ensures that appropriate reviews are conducted to identify weakness and that they are corrected in a timely manner.
Level 5         Level 4        Level 3        Level 2         Level 1  
Organizational Performance Requirement (   %)

Accountable for OIG performance goals in area of responsibility, effectively achieving results-oriented goals in alignment with the OIG’s strategic plan and its objectives under the Government Performance and Results Act.  Develops and executes plans to achieve OIG performance goals.  Acts to modify goals and other program standards to promote customer service and/or improve the quality of OIG programs and policies.  Effectively communicates the OIG mission and goals and their relationship to Agency programs and operations to associates and other critical stakeholders and engages them in the development of objectives that contribute to these goals. 

Level 5   Level 4   Level 3   Level 2   Level 1 

Individual Commitments for the Upcoming Year (    %)  [Optional]
Part IV  Comments
Comments on Overall Performance
Part V   Development and Training
Indicate professional growth needs and avenues to meet those needs.
Part VI   Certification of Performance Plan and Appraisal Activities
Performance Plan Developed and Attached:

_________________________        _______________
   Supervisor/Rating Official        Date        


_______________________           _______________
Executive        Date*






*Acknowledges consultation and receipt only.
Mid-Year Progress Review Occurred:

_________________________        _______________         
Supervisor/Rating Official        Date        
 


_________________________        _______________
Executive        Date*
 







*Acknowledges consultation and receipt only.
Summary Rating:  

Guidance for deriving summary rating:

After assessing each critical element and assigning the appropriate rating level, the summary rating should be derived using the following methodology: 

Level 5 is assigned if 70% of the total critical element weights is rated at Level 5, and no critical element is rated below Level 3. 

Level 4 is assigned if 60% of the total critical element weights is rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.

Level 3 is assigned if 50% of the total critical element weights is rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.

Level 2 is assigned if one critical element is rated at Level 2.

Level 1 is assigned if one critical element is rated at Level 1.

        Level 5   Level 4   Level 3   Level 2   Level 1 

_________________________  _______________    
   Supervisor/Rating Official        Date        
 

_________________________      _______________
Executive        Date*
 
           Options:        Written Response      Yes No
 

                                   Higher Level Review   Yes No 

*Acknowledges consultation and receipt only.

Final Summary Rating

Level 5   Level 4   Level 3   Level 2   Level 1 


 


 APPENDIX C.  Performance Plan and Appraisal Record for Management and Supervisory Associates Who Are Not in the Senior Executive Service

 

Performance Plan and Appraisal Record for Non-SES Management and Supervisory Associates
Part I  Administrative Data
a.  Associate Name (Last, First, MI)b.  SSNc.  Pay Plan and Seriesd.  Office Symbol
e.  Organizationf.  Rating Period Covered (MM/DD/YYYY – MM/DD/YYYY)
Part II Position Description Review Certification
I certify that I have reviewed the associate’s position description.  If I do not believe it is an accurate statement of the major duties and responsibilities of the position, I have initiated appropriate action.






Position Description has been reviewed                                   Initial and Date:__________________
Part III  Performance Plan and Appraisal Instructions
INSTRUCTIONS:
A performance plan must be issued to the associate at the beginning of each rating period.  These plans may be modified during the performance cycle, but associates must perform under a documented performance plan for a minimum of 120 days before they can be rated.  Development of the performance plan should be a collaborative endeavor between the supervisor and the associate. The performance plan for supervisors and managers is divided into two parts:  Managing Organizational Objectives and Leadership Competencies.  The number of critical elements under Managing Organizational Objectives will vary depending on the job, but on average, a manager or supervisor should have between three and five critical elements in this section.  The total of the percentages assigned to each critical element must equal 60%.  There are five categories identified under Leadership Competencies:  Leading Change, Leading People, Results Driven, Business Acumen, and Building Coalitions/Communication.  Not all of these competencies may be appropriate for every manager or supervisor.  The total of the percentages assigned to the competencies selected must equal 40%.

Performance will be measured against 5 levels, as follows:
Level 5 – Meets and consistently exceeds performance expectations as defined in Level 3

Level 4 – Meets and often exceeds performance expectations as defined in Level 3

Level 3 – Meets performance expectations.  Objectives, activities, and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with performance plan.  Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, rules and regulations.

Level 2 – Partially meets performance expectations as defined in Level 3

Level 1 – Does not meet performance expectations as defined in Level 3

Expectations for performance under each critical element should be set at the Level 3.  Once the performance plan is finalized and a copy provided to the associate, both the supervisor and associate must certify issuance and receipt under Part VII.  Mid-year performance reviews are required under GSA’s APPAS.  Both the supervisor and associate must certify the mid-year performance review under Part VII.

Within 45 days of the end of the rating cycle, evaluate the performance plan objectives, underlying activities and tasks, and assign a rating to each critical element based on how well the associate met the performance expectations.  Document the rating for each critical element and the derived summary on this form (see Part VIII for instructions on deriving summary ratings).  Overall comments on performance and identification of training and/or developmental needs should be documented in Parts V and VI, respectively.  If the summary rating is at the Level 5 or the Level 1, the associate’s appraisal must be reviewed and approved by the second level supervisor.


The supervisor and associate must certify under Part VIII that an annual performance appraisal was conducted, and a summary rating was issued to the associate.  Once both parties sign it, a copy of this form, including the performance plan, must be provided to the associate.  The original must be submitted to the servicing Human Resources Office for filing in the associate’s Official Personnel Folder.
Part IV  Performance Plan and Critical Element Appraisal
I.  Managing Organizational Objectives (60%)
Accountable for organizational objectives/initiatives that contribute to the overall success of GSA and effectively achieving results in alignment with GSA’s goals.  Successfully accomplishes interim milestones for long-term activities.
CRITICAL ELEMENTS  (Attach additional page if necessary)Critical Element Rating
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element: ____%Level 5
Level 4
Level 3
Level 2
Level 1
II.  Leadership Competencies (40%)
 I.  LEADING CHANGE ____%

Level 5    Level 4    Level 3    Level 2    Level 1  


Creativity and Innovation
– Develops new insights into situations and applies innovative solutions to make organizational improvements; creates a work environment that encourages creative thinking and innovation; designs and implements new or cutting-edge programs/processes.

Resilience
- Deals effectively with pres-sure; maintains focus and intensity and remains optimistic and persistent, even under adversity.  Recovers quickly from setbacks.  Effectively balances personal life and work.


Strategic Thinking
- Formulates effective strategies consistent with the business and competitive strategy of the organization in a global economy. Examines policy issues and strategic planning with a long- term perspective.  Determines objectives and sets priorities; anticipates potential threats or opportunities.


Vision
- Takes a long-term view and acts as a catalyst for organizational change; builds a shared vision with others. Influences others to translate vision into action.


II. LEADING PEOPLE: ____
%


Level 5    Level 4    Level 3    Level 2    Level 1  


Integrity/Honesty
- Instills mutual trust and confidence; creates a culture that fosters high standards of ethics; behaves in a fair and ethical manner toward others, and demonstrates a sense of corporate respon-sibility and commitment to public service.


Leveraging Diversity
- Recruits, develops, and retains a diverse high quality workforce in an equitable manner.  Leads and manages an inclusive workplace that maximizes the talents of each person to achieve sound business results.  Respects, understands, values and seeks out individual differences to achieve the vision and mission of the organization. Develops and uses measures and rewards to hold self and others accountable for achieving results that embody the principles of diversity (revised).

III. RESULTS DRIVEN: ____
%


Level 5    Level 4    Level 3    Level 2    Level 1  


Customer Service
- Balancing interests of a variety of clients; readily readjusts priorities to respond to pressing and changing client demands.  Anticipates and meets the needs of clients; achieves quality end products; is committed to continuous improvement of services.

Decisiveness
- Exercises good judgment by making sound and well-informed decisions; perceives the impact and implications of decisions; makes effective and timely decisions, even when data are limited or solutions produce unpleasant consequences; is proactive and achievement oriented.  IV. BUSINESS ACUMEN: ____%


Level 5    Level 4    Level 3    Level 2    Level 1  


Financial Management
- Demonstrates broad understanding of principles of financial management and marketing expertise necessary to ensure appropriate funding levels.  Prepares, justifies, and/or administers the budget for the program area; uses cost-benefit thinking to set priorities; monitors expenditures in support of programs and policies.  Identifies cost-effective approaches. Manages procurement and contracting.



Human Resources Management
- Assesses current and future staffing needs based on organizational goals and budget realities.  Using merit principles, ensures staff  are appropriately selected, developed, utilized, appraised, and rewarded; takes corrective action.


Technology Management
- Uses efficient and cost-effective approaches to integrate technology into the workplace and improve program effectiveness.  Develops strategies using new technology to enhance decision-making.  Understands the impact of technological changes on the organization.

V. BUILDING COALITIONS/COMMUNICATION: ____
%


Level 5    Level 4    Level 3    Level 2    Level 1  


Interpersonal Skills
- Considers and responds appropriately to the needs, feelings, and capabilities of different people in different situations; is tactful, compassionate and sensitive, and treats others with respect.

Political Savvy
- Identifies the internal and external politics that impact the work of the organization.  Approaches each problem situation with a clear perception of organizational and political reality; recognizes the impact of alternative courses of action.


Influencing/Negotiating
- Persuades others; builds consensus through give and take; gains cooperation from others to obtain information and accomplish goals; facilitates “win-win” situations.
Part V  Comments
Comments on Overall Performance (attach additional pages as necessary)
Part VI  Development and Training
Indicate professional growth needs and avenues to meet those needs (attach additional pages as necessary)
Part VII  Certification of Performance Plan and Mid-Year Review
Performance Plan Developed:
Signatures below certify that the supervisor and associate have discussed performance expectations, and the associate has been given a copy of their performance plan.


________________________________       ______________
Supervisor/Rating Official                            Date

________________________________       ______________
Associate                                                       Date
I understand my signature does not constitute agreement or disagreement with the plan, but merely verifies I have received the information.
Mid-Year Progress Review:
Signatures below certify that the supervisor and associate have discussed performance against the expectations and changes have been made to the performance plan as necessary.


________________________________      ______________
Supervisor/Rating Official                           Date


________________________________      ______________
Associate                                                      Date
Part VIII  Summary Rating
Guidance for deriving summary rating:
After assessing each critical element and assigning the appropriate rating level, the summary rating should be derived using the following methodology:

Level 5 is assigned if 70% of the total critical element weights are at Level 5, and no critical element is rated below Level 3.

Level 4 is assigned if 60% of the total critical element weights are rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.

Level 3 is assigned if 50% of the total critical element weights are rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.

Level 2 is assigned if one critical element is rated at Level 2.

Level 1 is assigned if one critical element is rated at Level 1.

Summary Rating:                               Interim          Annual  






Level 5   Level 4   Level 3   Level 2   Level 1







______________________________       _______________
Supervisor/Rating Official                         Date



______________________________       _______________
Reviewing Official                                     Date                

For summary ratings at Level 5 or Level 1



______________________________       _______________                
 
Associate                                                    Date
 
I understand my signature does not constitute agreement or disagreement with the rating, but verifies I have received the rating.

Privacy Act Statement: This form is subject to the provisions of the Privacy Act. Records will be processed and maintained by the associate's supervisor and the Consolidated Processing Center.  Information will be made available to the appropriate review authorities.  Disclosure of the social security number is mandatory to determine or verify eligibility for benefits accruing to associates such as additional tenure credit for reduction-in-force purposes, pay increases, within-grade increases and quality increases, which are directly linked to overall performance rating Levels.  The information gathered through the use of the number will be used only as necessary in personnel administration processes carried out in accordance with established regulations and published notices of systems of records.






APPENDIX D.  Performance Plan and Appraisal Record for Non-Supervisory Associates

Performance Plan and Appraisal Record for Non-supervisory Associates
Part I  Administrative Data
a.  Associate Name (Last, First, MI)b.  SSNc.  Pay Plan, Series & Graded.  Office Symbol
e.  Organizationf.  Rating Period Covered (MM/DD/YYYY – MM/DD/YYYY)
Part II Position Description Review Certification
I certify that I have reviewed the associate’s position description.  If I do not believe it is an accurate statement of the major duties and responsibilities of the position, I have initiated appropriate action.






Position Description has been reviewed                                   Initial and Date:__________________
Part III  Performance Plan and Appraisal Instructions
INSTRUCTIONS:
A performance plan must be issued to the associate at the beginning of each rating period.  These plans may be modified during the performance cycle, but associates must perform under a documented performance plan for a minimum of 120 days before they can be rated.

Development of the performance plan should be a collaborative endeavor between the supervisor and the associate.  The performance plan for each associate must contain critical elements, and may contain non-critical elements.  Critical elements are work assignments or responsibilities or such importance that unsatisfactory performance on the element would result in a determination that an associate’s overall performance is unsatisfactory.  Objectives, activities, and tasks should be identified under each critical element.


Performance will be measured against 5 levels, as follows:
Level 5 – Meets and consistently exceeds performance expectations as defined in Level 3

Level 4 – Meets and often exceeds performance expectations as defined in Level 3

Level 3 – Meets performance expectations.  Objectives, activities, and specific tasks associated with each critical element are carried out with expected levels of quantity, quality, timeliness and cost-effectiveness in accordance with performance plan.  Responsibilities are carried out in accordance with all official guidance, policies, and applicable laws, rules and regulations.

Level 2 – Partially meets performance expectations as defined in Level 3

Level 1 – Does not meet performance expectations as defined in Level 3

Expectations for performance under each critical element should be set at the Level 3.  Once the performance plan is finalized and a copy provided to the associate, both the supervisor and associate must certify issuance and receipt under Part VII.  Mid-year performance reviews are required under GSA’s APPAS.  Both the supervisor and associate must certify the mid-year performance review under Part VII.  

Within 45 days of the end of the rating cycle, evaluate the performance plan objectives, underlying activities and tasks, and assign a rating to each critical element based on how well the associate met the performance expectations.  Document the rating for each critical element and the derived summary rating on this form (see Part VIII for instructions on deriving summary ratings).  Overall comments on performance and identification of training and/or developmental needs should be documented in Parts V and VI, respectively.  If the summary rating is at the Level 5 or the Level 1, the associate’s appraisal must be reviewed and approved by the second level supervisor.


The supervisor and associate must certify under Part VIII that an annual performance appraisal was conducted, and a summary rating was issued to the associate.  Once both parties sign it, a copy of this form, including the performance plan, must be provided to the associate.  The original must be submitted to the servicing Human Resources Office for filing in the associate’s Official Personnel Folder.
Part IV  Performance Plan and Critical Element Appraisal
CRITICAL ELEMENTSCritical Element Rating
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Critical Element ____%:Level 5
Level 4
Level 3
Level 2
Level 1
Part V  Comments
Comments on Overall Performance (attach additional pages as necessary).
Part VI  Development and Training
Indicate professional growth needs and avenues to meet those needs (attach additional pages as necessary.)
Part VII  Certification of Performance Plan and Mid-Year Review
Performance Plan Developed:
Signatures below certify that the supervisor and associate have discussed performance expectations, and the associate has been given a copy of their performance plan.


________________________________       ______________
Supervisor/Rating Official                            Date

________________________________       ______________
Associate                                                       Date
I understand my signature does not constitute agreement or disagreement with the plan, but merely verifies I have received the information.
Mid-Year Progress Review:
Signatures below certify that the supervisor and associate have discussed performance against the expectations and changes have been made to the performance plan as necessary.


________________________________      ______________
Supervisor/Rating Official                           Date


________________________________      ______________
Associate                                                      Date
Part VIII  Summary Rating
Guidance for deriving summary rating:
After assessing each critical element and assigning the appropriate rating level, the summary rating should be derived using the following methodology:

Level 5 is assigned if 70% of the critical element weights are at Level 5, and no critical element is rated below Level 3.

Level 4 is assigned if 60% of the critical element weights are rated at Level 4 or above, but does not meet the 70% rule for assigning a Level 5 summary rating; and no critical element is rated below Level 3.

Level 3 is assigned if 50% of the critical element weights are rated at Level 3 or above, but does not meet the 60% rule for assigning a Level 4 summary rating; and none are rated below Level 3.

Level 2 is assigned if one critical element is rated at Level 2.

Level 1 is assigned if one critical element is rated at Level 1.

Summary Rating:                              Interim                Annual  







Level 5   Level 4   Level 3   Level 2   Level 1








______________________________       _______________
Supervisor/Rating Official                         Date



______________________________       _______________
Reviewing Official                                     Date                
For summary ratings at Level 5 or Level 1


______________________________       _______________                
 
Associate                                                    Date
 
I understand my signature does not constitute agreement or disagreement with the rating, but verifies I have received the rating.

Privacy Act Statement: This form is subject to the provisions of the Privacy Act. Records will be processed and maintained by the associate's supervisor and the Consolidated Processing Center.  Information will be made available to the appropriate review authorities.  Disclosure of the social security number is mandatory to determine or verify eligibility for benefits accruing to associates such as additional tenure credit for reduction-in-force purposes, pay increases, within-grade increases and quality increases, which are directly linked to overall performance rating Levels.  The information gathered through the use of the number will be used only as necessary in personnel administration processes carried out in accordance with established regulations and published notices of systems of records.






GSA                                                                                                                                                                      Form No. XXXX







GSA Performance Appraisal - Associate Self-Assessment Summary
Part I Administrative Data
a. Associate Name

b. Office Symbol


c. Date
d. Performance Period (MM/DD/YYYY) From:                                                To:
Part II Instructions
General Guidelines: Associates should complete and submit this form to their rating official for consideration in completing the annual performance appraisal.  The summary should represent accomplishments as related to the outcomes and expectations from the date the performance plan was communicated/signed to the end of the performance-rating period.  Base the summary on accomplishments during the performance period.  Summarize each outcome and expectation separately and write the summary as a past tense of the outcomes and expectations.

Specific Guidelines
:  List major accomplishments in bullet form as they relate to each critical element and the expectations detailed in your performance plan.  You may also list training and developmental accomplishments, including seminars and/or conferences; any recognition you received; recommended areas for future development; and specific training requests, if desired.
Part III Accomplishments
Major Accomplishments: In bullet format, identify the most important accomplishments achieved during this performance period that apply directly to your position. (Attach additional page if necessary).












Other Accomplishments
: Identify other accomplishments achieved during this performance period. (Attach additional page if necessary.)













Training and Developmental Needs:
Identify any training or developmental needs or opportunities for the coming year.  (Attach additional page if necessary.)










Associate Signature and Date
:______________________________________________________

General Services Administration                                                                                                                      Form No. XXXX







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