The ETA Performance Management Appraisal Guide 1997

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The ETA Performance Management Appraisal Guide

The Performance Management Appraisal Guide

Contents

Page

Preface iii

The Performance Appraisal Process iii

Chapter One

Introduction
1

An Ongoing Process
1

A Tool to Guide Performance
2

The Purpose of the Performance Evaluation
2

Chapter Two

Developing and Writing Performance Elements and Standards
4

Establishing Performance Standards
5

Discussion of Performance Expectations
6

Chapter Three

Evaluating Work Habits Which Affect Overall Job Performance
8

Team Work
8

Chapter Four

Observing Performance
10

Documenting - Keeping a Log
11

Information Reviewed by the Supervisor
11

Preparing the Report
12

Chapter Five

The Performance Appraisal Discussion
13

Employee Input
14

The Performance Appraisal Discussion
15

Follow-Up After the Performance Appraisal Discussion
17

Glossary 18

*Appendices*
Performance Log	20
Team Participation Assessment	21
*References*
Regulations	24
Performance Standards and Rating for Employees in the Local 12 Bargaining Unit (form)	26
*PA$-Team Members*	28

Preface

(Note to users of this guide)

The information in this desk aid has been based on the Local 12 contract, OPM and DOL requirements. However, to keep the guide brief and easy to use, some of the information has been excerpted from these resource documents and is not complete. For complete information, refer to the full regulatory documents or the Local 12 contract and partnership agreements.

Performance Appraisal Process

1. Initiation of Performance Plans:

written critical and noncritical elements and performance standards

prepared by the supervisor for each employee

reviewed by a higher level official and communicated to the employee at the beginning of the appraisal period (normally within 10 days)

copy to employee and original retained by the supervisor

Development of Performance Plans With Employee Participation:

employees encouraged to participate with the supervising official in developing performance plans
final authority for establishing plans rests with the supervising official

Employee participation may be accomplished by:

employee and supervisor discuss and develop the performance plan together
employee provides the supervisor with a draft performance plan and the supervisor responds
employee comments on a draft performance plan prepared by the supervisor and the supervisor responds
performance plan is drafted by a group of employees occupying similar positions and supervisor responds

iii

guidance prepared by the agency on common elements and standards for similar positions (revised based on the employee's assigned duties by the supervisor with the participation of the employee)

3. Requirements of Performance Plans:

must consist of critical elements, at least one critical element is required, noncritical as appropriate, and corresponding standards
performance standards will be related to the employee's assigned work and employee's position
each critical and noncritical element will be stated in terms of a desired outcome or work product
performance standards will be described in qualitative, observable terms
core areas: included where appropriate to the job (The Secretary of DOL may mandate areas for inclusion in performance plans)
accomplishment of organizational objectives should be included where appropriate by incorporating objectives, goals, program plans, and results

4. Level of Performance Standards:

Performance Standards must be written at the satisfactory (meets) level for all critical and noncritical elements
New or revised performance plans are required if duties, responsibilities, resources or priorities change significantly
The new or revised plans will become effective at the time the revisions are approved by the reviewing official

5. Appraisal of Performance:

The minimum appraisal period is 90 calendar days
Each agency will have an assigned yearly scheduled appraisal period

Each agency will establish a system for progress reviews which ensures that regular performance feedback is provided to each employee during the appraisal process; (during the progress review employees should be informed orally of their level of performance)
Employees must be appraised by the rating official against the standard on each critical and noncritical element of the performance plan
A written rating of record must be completed by the rating official as required by the DLS within 30 days after the DOL agency fixed rating date.
An employee who HAS NOT been under stsndards for the minimum 90-days appraisal period by the fixed rating date, must have their appraisal period extended and the employee will be rated after 90 days under standards.

6. Narrative and Element Ratings:

Four rating levels are provided for each element and the employee must be rated on each element at one of the four levels:

(1) Exceeds
(2) Meets
(3) Needs to Improve
(4) Fails to Meet

7. Summary Ratings:

Each appraisal will include a summary rating at one of the five rating levels derived from the element ratings:

(1) Outstanding
(2) Highly Effective
(3) Fully Successful
(4) Minimally Satisfactory
(5) Unacceptable

Chapter 1
Chapter
One

1. Introduction

Appraising an employee's performance is one of a supervisor's most important activities. The rating is important to the employee. This guide is designed to assist the supervisor and the employee to understand the performance appraisal process and to apply performance appraisal techniques on a continuous basis. Supervisors and employees are strongly urged to regularly and routinely apply the concepts discussed in this guide.

2. An Ongoing Process

Performance appraisal is an ongoing process which happens when a supervisor discusses a job to be done with an employee, observes the employee's performance on the job, and determines how well he or she accomplishes the various aspects of the job. How the employee's performance meets the requirements of the job is the supervisor's judgement. An employee can positively influence that judgement by understanding the process and performing at or above expectations. Employees may also find it helpful to keep a log of key accomplishments throughout the year so that they will be remembered and considered at appraisal time. (See Appendix No. 1)

Appraisal happens each time the supervisor and employee discuss work in progress, each time the supervisor observes the employees work, the methods used and such factors as the quality, quantity and manner of performance. Appraisal also occurs whenever a supervisor selects an employee to handle a particular assignment or invites the employee to participate in planning work or developing procedures. In addition, performance management should have measurement attributes, such as quantity, quality, timeliness, manner of performance and cost-benefit.

There are no differences in the appraisal processes for probationary (first year of service), career conditional (first three years of service) and career employees. However, newer employees may require more supervision and training than the longer term employee. No matter what the tenure of the employee, the duties and responsibilities of the position, as well as appropriate expectations, should be fully discussed by the supervisor and the employee. In the case of the probationary employee, he/she should understand that meeting those expectations is a final condition of selection into the position.

3. A Tool to Guide Performance

A successful performance appraisal process involves explaining the job, communicating expectations, observing and documenting behavior and providing frequent informal feedback. It means getting the job done through people! The continual process of evaluating an employees performance helps the supervisor and the employee to:

Understand individual strengths and weaknesses of performance;

Mutually understand expectations for performance;

Form a basis for personnel action; and

Determine training and development needs of employees.

The Purpose of the Performance Evaluation

The purpose of an evaluation system is to provide employees and the organization with information on performance and to improve work performance through a regular and careful appraisal process. When evaluation is done thoughtfully and skillfully, it achieves several important purposes:

Informational Purposes

To let employees know how their performance compares with job standards;
To provide a written record of employee performance;
To assist in identifying special talents and abilities;
To identify employees whose performance must improve or face disciplinary action, and make this a matter of record.

Motivational Purposes

To establish closer supervisor-employee relationships and communicate to the employee the job requirements and standards of performance;
To provide recognition for a job well done;
To establish plans to solve performance problems; and
To encourage initiative and develop a sense of responsibility.

Developmental Purposes

To identify individual employee training needs;
To help the employee strengthen current performance and prepare for promotional opportunities; and
To identify situations in which reassignment can be used to develop potential or skill enhancement weaknesses.

Chapter
Two

Developing and Writing Performance Elements and Standards

When drafting elements, think of the following:

An element is a task, a specific work activity assigned to and performed by an individual employee.
Supervisors can start a task statement list simply by asking their employees to write down everything they do.
When supervisors ask employees to assist them in developing task statements they should explain that a task statement describes a work activity.

(Helpful tips for determining job elements)

List job tasks
Group/Cluster tasks into "elements"
Separate recurring elements from non-recurring
No more than six elements
Distinguish critical from noncritical elements
Provide documents such as agency goals and employee Individual Development Plans (IDPs)

Examples :

1.    WHAT DOES THE EMPLOYEE DO? - Use an action verb to introduce the statement. (Types and edits Letters and Memoranda for division chief.)
2.    WHY DOES THE EMPLOYEE DO IT? - State why the task is done. (When editing memoranda, consults style manual to ensure documents are presented in appropriate formats.)
3.    WHAT IS PRODUCED? - Describe what will result from the task. (Final reports, letters and memoranda.)

4. WHAT ARE THE MATERIALS, TOOLS, PROCEDURES, OR EQUIPMENT USED?
(Operates a computer using a variety of software programs for word processing.)

Establishing Performance Standards:

Once the element task statements have been drafted for a job, the next step is to prepare written performance standards for each major task assigned to that job. Performance standards help the employee understand how well an element (specific task) is to be done . The standards must be explained to and discussed with the employee.

A supervisor should establish standards which are fair, accurate, precise, and provide a basis for measuring how well a job is performed.

(Helpful tips to follow)

Set standards at the "meets expectations" level which is a reasonable level of achievement - not perfection.
Develop standards for the specific and significant elements (tasks) of each position or group of positions performing the same tasks.
Where possible, use measurable work units.
Change standards as the job changes, or as better standards are devised.
Put standards in writing.
Give a copy of the standards to the employee.

Examples :

(1) Element: Communicating in Writing (Grade Level - GS-9)

Standard:

Performance is satisfactory when routine correspondence, documents, and reports are prepared in accordance with existing policies and procedures and within the prescribed deadlines, finished documents are clear, concise, and accurate, and have no more than one revision.

Rating:

Exceeds

Narrative:

______________, has consistently prepared correspondence, documents and reports significantly before deadline. Finished documents were not only clear, concise, and accurate, but required almost no revisions during the rating period. Because of these efficiencies in doing routine correspondence, ______________ was able to respond to nonroutine correspondence requiring research which has also been submitted without need for revision.

______________, has exceeded the requirements of this element.

*Rating: Meets (Using the same element above)

Narrative:

______________, has completed correspondence, documents and reports that have been clear, concise, and accurate, requiring no more than one revision. They have been prepared in accordance with formats found in the approved style manual and within the prescribed deadlines.

______________has met the standard.

Discussion of Performance Expectations

After the elements and standards have been developed: (the following steps need to occur )

Employee and supervisor should discuss each element (task) along with the duties and responsibilities of the job and the levels of expectation.

Supervisor should discuss performance measures that will be used to determine how well the employee is meeting his/her job responsibilities.

Supervisor should discuss with employee the overall objectives of the organizational unit and how the employee's contribution to achieving the objectives will be evaluated.
Employee and supervisor should discuss how performance will be monitored.
Supervisor should provide feedback to the employee about specific incidents or occurrences that meet, exceed or failed to meet performance expectations.

Chapter
Three

Evaluating Work Habits Which Affect Overall Job Performance

The performance appraisal system focuses on the accomplishment of tasks. Frequently how long it takes to accomplish a task and how well an employee interacts with others including attention to detail to complete the task are as important in the success or failure of that task. Therefore, attending team meetings regularly and timely can influence work outcomes, and the performance appraisal.

Team Work

Offices are often organized into teams. In such cases, the supervisor has to be sure that team members clearly understand the work to be done, duties involved, and results that are expected, not just from the individual team members, but also the results expected from the team as a unit, if applicable. Team elements and standards must list specific tasks and expectations.

(Helpful tips to consider for an effective team element)

Involving yourself in group-directed work activity

Assisting the group in the accomplishment of its objectives

Contributing to improve communications

Fostering or maintaining positive working relationships

Supporting teamwork or teambuilding

Improving group process skills

Also, staff members are often members of teams outside the office. In such a case, a "Team Participation Sheet" (See Appendix No. 2) that assesses the employee's input should be completed by the team leader or team (as decided by the team) and submitted to the team member, if participation was less than 120 days or to the supervisor if the participation was 120 days or more. If the participation of the team member was 120 days or more and the supervisor has not received the team participation form, at the end of an appraisal period, the supervisor should request it.

Team members should be formally informed as to what is expected from them at the start of the team and about the use of the team evaluation sheet (a suggested tool not mandated).

Chapter
Four

Observing Performance

Observation is an essential key to successful performance management and appraisal.

It is very helpful if each supervisor and employee maintains a record of observed incidents of performance that clearly illustrate whether the employee is performing above, at, or below the performance standards previously discussed and usually agreed upon (refer to Chapter Two).

Examples :

The following are examples of "OBSERVED" incidents of employee performance which can be documented:

An employee typically responds to grantee requests promptly, e.g., within several workdays (based on grantee feedback) and is timely about processing vouchers (document checks). The employee is meeting that performance standard.
An Employee is often careless or slow in responding to a grantee's request for guidance (based on the grantee's complaints) or generally takes over a month to process a grantee's vouchers (based on a review of documents). He or she is not meeting the performance standard of "providing timely responses to grantee requests." This behavior is observable and should be documented.
An employee not only responds in a timely and accurate manner to grantee requests, but also on his or her own initiative alerts the grantee to possible problems, or sends an item of interest to the grantee's operations, or otherwise is usually pro-active in working with the grantee. This person is exceeding the standard.

Documenting -- Keeping a Log

(Helpful Tips for Log Keeping)

It is a good idea to document or keep track of observations and assignments by keeping a log.

Both the supervisor and the employee should keep a performance log. (It is a good idea for the supervisor to maintain a log for each employee).

The log should include observations, assignments, and examples of written work and critical incidents, if applicable.

Both positive accomplishments and negative incidents should be fully recorded in the log as they occur.

Accomplishments/incidents noted should have a direct impact on the meeting of job responsibilities in terms of quality, quantity, timeliness and manner of performance.

Supervisors should counsel employees if negative incidents occur and note this on the log.

Employees should make note of negative incidents pointed out to them including any extenuating circumstances.

Accomplishments that exceed expectations should be recognized (and the supervisor should remember to compliment the employee).

Information Reviewed by the Supervisor

The supervisor should:

gather all documents pertaining to the employee's performance (work samples, employee performance log, attendance records, any other observations).
review the employee's last evaluation, especially if it was prepared by someone else. (Previous appraisals should not influence current appraisals, but they can provide a point of reference to report any improvement or deterioration of performance.)
review the entire evaluation period, not just the last month or weeks.
discuss with the employee, his/her work during the rating period.

Preparing the Report

When the supervisor prepares the rating report, he or she should REMEMBER TO:

--Deal only with the facts. State comments in terms of observable behaviors.

--Support ratings with specific comments. Please note that comments are optional for a rating of "Meets Standards", but are strongly recommended.

--Comment on specific, positive aspects of performance.

--If an unfavorable rating is called for, give it and provide the required narrative description to support the rating.

--Identify specific problems and areas needing improvement.

--Use the comments section to recognize good performance by describing specific examples.

--Review the entire report for consistency between sections.

When the supervisor prepares the rating report, he or she SHOULD NOT:

--Comment on personality traits which are not related to job performance.
--Generalize.

Chapter
Five

The Performance Appraisal Discussion

(Preparing For The Performance Appraisal Discussion)

The Performance appraisal process must:

Reflect the input of both the Supervisor and the Employee.
Be based on the elements and standards established at the beginning of the rating period;
Be understood by the Employee;
Call attention to the Employee's strong points and accomplishments during the rating period;
Provide a basis for helping the Employee improve where needed; and

Again, one required step in the process, and a key to its success, is the discussion at the end of the performance appraisal period. The purpose of a performance appraisal discussion is for both the employee and the supervisor to --

Ask and answer questions about performance and the performance appraisal.
Complete and sign the Performance Appraisal form.
Discuss performance goals for the coming year.
Identify what needs to be done differently.

The following suggestions are designed to help the Supervisor and the Employee prepare for the discussion:

The supervisor should arrange a time and a place for the performance appraisal discussion, allowing enough time to "talk it out" in a place without interruptions.

The employee should prepare for the performance appraisal discussion by reviewing his or her activities and accomplishments during the rating period, and being ready to discuss job performance according to the elements and standards.
After the supervisor and higher level review have discussed the appraisal, the supervisor should give the employee a copy of the performance appraisal for review prior to the arranged time for the appraisal discussion.
The supervisor should have a copy of the employee's job description, elements and standards, and examples of the employee's performance (such as the Performance Log described in Chapter Four.)
The supervisior should set an appropriate atmosphere with the active participation of the employee by:

1. Being relaxed, and helping the other person to relax.
2. Starting on a positive note.
3. Avoiding becoming defensive or getting into an argument.

Employee Input

The employee should be ready to discuss his or her performance. The employee should be prepared to discuss key performance factors during this performance appraisal discussion. Written factors during this performance appraisal discussion. Written notes can be very important, and when possible, they should be provided to the supervisor prior to the performance appraisal discussion. This will help ensure employee participation in the process, and help the supervisor plan for the discussion.

There is no required form, but the Employee may find it helpful to use the following suggested topic areas as a guide when collecting and organizing information for the performance appraisal discussion:

Strengths in the main job responsibilities.
The most important accomplishments since the last performance appraisal.

Awards and recognition received since the last performance appraisal.
The teams the Employee has participated on during this appraisal period (the Team Participation Sheet(s) described in described in Chapter III should be completed and forwarded to the Supervisor).
Other points that should be included/considered when reviewing the Employee's performance.

The Performance Appraisal Discussion

Conducting the performance appraisal discussion and providing feedback is often difficult for the supervisor. Being the subject of a performance appraisal is often stressful for the employee. However, if both the employee and the supervisor have prepared for this meeting, the discussion can be effective and constructive. The following Tips may be helpful.

(Helpful tips for the supervisor)

Begin by stating why you are there and what you hope to accomplish.
The supervisor should model the proper way to give and receive performance feedback and give the employee the opportunity to discuss his or her own performance.
Discuss, emphasize, and express appreciation for areas of good performance. Offer praise for accomplishments since the last appraisal.
Discuss performance in an objective manner; avoid personal criticism.
Give constructive, specific feedback on performance problems. This feedback may be integrated with positive feedback to present a balanced picture of observed pluses and minuses in performance.
Attempt to identify, discuss and where possible solve environmental factors external to the job which may be hampering performance.
Be prepared to suggest what the employee can do to correct weaknesses, but encourage the employee to come up with his or her own suggestions. Get a commitment.
Ask open-ended and problem-solving questions.

Practice active listening (paraphrase, avoid defensiveness, let the employee know you understand his or her point of view).
Seek input about what you can do as a supervisor to help improve performance.
Resolve disagreements by returning to review the general issue or problem.
Use elements and standards to point out job requirements.
Listen.

(Helpful tips for the employee)

Try to make the discussion a "two-way" conversation.
Identify examples of strengths and accomplishments that relate to your elements and standards.
Discuss the appraisal in an objective manner; avoid personal criticism.
Make sure you understand the job requirements and the expectations for meeting the elements and standards.
Be prepared to suggest ways to solve general job-related problems which may be hampering performance.
Ask questions.
Listen.

(Helpful tips for both the employee and the supervisor)

Summarize overall performance and the performance rating and make sure you both have the same understanding.
Try to agree on ways to correct any performance shortcomings as well as strategies to reinforce superior performance.
Mutually set targets for next appraisal period, with action plans.
Discuss training needs and development opportunities.
End the discussion on a helpful, positive note.
Both the supervisor and the employee should sign the Performance Appraisal report.

Following-Up After the Performance Appraisal Discussion

As discussed earlier, evaluating performance is an on-going activity. Thus, while the annual performance appraisal discussion marks the end of the old rating period, it also marks the beginning of a new one. This means that the Employee and the Supervisor must follow up on any misunderstandings, questions, needs, suggestions, etc. which were raised but not received during the discussion. It also means that the Supervisor must start again to OBSERVE, DOCUMENT, and COMMUNICATE!

Remember! The purpose of this unending process is to ensure effective job performance. When the Supervisor and the Employee both commit to that purpose, performance evaluation can be a rewarding process.

Glossary

BEHAVIOR	Action or Activity undertaken by an employee in carrying out his or her job.
PERFORMANCE LOG	A written log in which the supervisor/employee records his/her observations and examples of performance. It should include dates of occurrences and descriptions of incidents as well as any counseling sessions that may have taken place.
TEAM BUILDING	A conscious effort to develop effective work groups throughout the organization. Team building utilizes self-directed teams of a group of employees responsible for an entire work process or segment.
PERFORMANCE APPRAISAL	Employees are evaluated to determine How well they are performing their assigned tasks. A performance appraisal affords employees the opportunity to capitalize on their strengths and overcome identified deficiencies, thereby becoming more satidfied and productive employees.
OPEN COMMUNICATION	Employees have a strong need to know how well they are performing. A good appraisal system provides highly desired feedback on a continuing basis.

EVALUATION
DISCUSSION A meeting with employee to discuss performance ratings and to develop goals for the coming year.

EVALUATION
PERIOD A period of time during which a supervisor observes and records/documents an employee's behaviors on the job.

ELEMENTS A grouping of related tasks that describe what an employee is to do.

PERFORMANCE
STANDARDS A reasonable expectation of how a job should be performed and competencies required; statements of criteria by which behavior will be measured. Performance standards help the employee understand how a specific task will be done.

RATER First level supervisor responsible for assigning tasks and observing employee's performance.

Performance Management Guide - Appendix 1

Appendix No. 1

(THIS LOG IS A SUGGESTED TOOL AND IS NOT MANDATED. LOCAL 12 DID NOT NEGOTIATE.)

PERFORMANCE LOG

____________________________________________________
ETA-Organization

NAME: _______________________________________________________________________
POSITION: ___________________________________________________________________
PERIOD: _____________________________________________________________________

Date: Description - Incidents of Performance

_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________
_______         __________________________________________________________________
                         __________________________________________________________________
                         __________________________________________________________________

* You may obtain a fopy of this form through ETA's Form Library.

	Page
*Preface*	iii
*The Performance Appraisal Process*	iii
*Chapter One*
Introduction	1
An Ongoing Process	1
A Tool to Guide Performance	2
The Purpose of the Performance Evaluation	2
*Chapter Two*
Developing and Writing Performance Elements and Standards	4
Establishing Performance Standards	5
Discussion of Performance Expectations	6
*Chapter Three*
Evaluating Work Habits Which Affect Overall Job Performance	8
Team Work	8
*Chapter Four*
Observing Performance	10
Documenting - Keeping a Log	11
Information Reviewed by the Supervisor	11
Preparing the Report	12
*Chapter Five*
The Performance Appraisal Discussion	13
Employee Input	14
The Performance Appraisal Discussion	15
Follow-Up After the Performance Appraisal Discussion	17
*Glossary*	18

EVALUATION DISCUSSION	A meeting with employee to discuss performance ratings and to develop goals for the coming year.
EVALUATION PERIOD	A period of time during which a supervisor observes and records/documents an employee's behaviors on the job.
ELEMENTS	A grouping of related tasks that describe what an employee is to do.
PERFORMANCE STANDARDS	A reasonable expectation of how a job should be performed and competencies required; statements of criteria by which behavior will be measured. Performance standards help the employee understand how a specific task will be done.
RATER	First level supervisor responsible for assigning tasks and observing employee's performance.

Indicate the extent to which you agree with each statement by placing a check mark in the appropriate box. You may include specific examples in your comments to explain your assessment.	Strongly disagree	Somewhat disagree	Neither agree nor disagree	Somewhat agree	Strongly agree
Attends and participates in team meetings, keeps self and Team informed of developments when meetings are missed.
Contributes to consensus decisionmaking within the Team.
Shares in the resolution of issues or conflict within the Team.
Accepts and completes Team assignments.
Comments:

Contractual and Regulatory Requirements of Performance Management and Appraisal System
Immediate Supervisior	Step 1 - Establishing Refrormance Standards (Contract-Article 12, Section 3 & 4(a)) * Consideration will be given to consistency with mission and function statements, agency goals, employee input, position descriptions, existing elements and elements for similar positions. * Performance Standard-the expectations or requirements established by Management for a critical or non-critical element at a particular rating level. * One standard per element-performance standard will indicate the performance level which will meet or satisfy the requirements at the meets level for an element. DLS Appendix B, 430-B2-2(a)(b) - * Performance Standards-prepared by the supervisor for each employee and reviewed by a higher level official and communicated to the employee at the beginning of each appraisal period (normally within 10-days) * Copy of the perf. standards will be given to the employee, original retained by supervisor. * Employees are encouraged to participate in developing the standards. Final authority for establishing standards rests with the supervising official. * Performance standards must be written at the satisfactory (meets) level for all critical and noncritical elements.	Step 3 - Appraisal period will begin (Contract-Article 12, Section 5(c) * When the supervisor gives the employee the approved written elements and related standards for his/her position.	Step 4 - Feedback to Employees. Done through regular, informal feedback. THE MID-YEAR PERFORMANCE REVIEW. (Contract-Article 12, Section 10a-b) * Feedback is provided by frequent communications between the employee and the supervisor. * A program review for each employee will be held approximately half-way through the rating period. The progress review will involve a discussion between the supervisor and the employee. DLS Appendix B, 430, B2-3(b) * Each DOL agency will establish a system which ensures that regular performance feedback is provided to each employee during the appraisal period. * A progress review will be held for each employee during the appraisal period. Such reviews should be held approximately half-way through the rating period, but no later than 120 days before the end of the rating period. Employees may be informed orally of their level of performance.	Step 5 - Annual Rating of Record. (Contract-Article 12, Section 7 a-c) * Employees will be appraised once a year and given a rating of record. An interim summary rating will be prepared when there is a significant change in the employees preformance plan as a result of a change of position, duties, and program objectives. * A period of observation shall be a requisite condition for preparing a performance appraisal. The perion may not be less than ninety days. DLS Appendix B, 430, B2-3(a) * The minimum appraisal period ninety (90) calendar days. Each DOL agency will have an assigned yearly fixed rating date. ach employee will receive an annual preformance rating within 30 days after the Agency's fixed rating date.

Contractual and Regulatory Requirements of Performance Management and Appraisal System
Employee's Responsibility	Step 2 - Initiating Appraisal Periods and Perf. Plans (Contract-Article 12, Sec. (b) * After receiving the tentative elements and standards from the supervisor, the employee will have a period not to exceed (10-workdays) within which to examine the material and to meet with the supervisor to discuss the elements and standards.		Step 7 - Contract-Article 12, Section 12b) * Employee has the right to respon in writing to the rating official concerning the content of the rating of record or the procedures used in determining the rating. Employee has up to (10-workdays) to review, sign, or prepare comments on their ratings.	Step 8 - Rating Certification. (Contract-Article 12, Section 12c) * Employee will acknowledge receipt of rating by signing and dating the final, written appraisal. * Employee can attach comments to their rating of record up to thirty (30) days after final signing by the reviewing official. When an employee refuses to sign or acknowledge the appraisal, the unsigned summary rating becomes the rating of record.
Reviewing Official		Step 6 - Communication of Summary Ratings to Employees (Contract-Article 12, Sec. 12a) * After higher level review, the supervisor will discuss the proposed rating of record with the employee informally to avoid misunderstandings and possible inaccuracies. * Changes may be made and discussed with the employee before forwarding it to the designated reviewing official. DLS Appendix B, 430, B2-3(4e) Communication of Summary Ratings to employees * the rating officials must confer with the reviewing official about the performance of the employee and secure the approval of the reviewing official of the the tentative rating before discussing the tentative rating with the employee. * After the rating has been reviewed and approved, a copy of the rating will be given to the employee.	Step 7a - Contract-Article 12, Section 13b) Determination of Reviewing Official * If the rating of record is changed by the reviewing official or Pay Deciding Official, those changes will be discussed by the immediate supervisor with the employee. * Determination of the reviewing official are final unless changed as a result of a grievance or complaint. After the rating of record has been approved by the reviewing official. A copy will be provided to the employee. DLS Appendix B, 430, B2-3(4)(d)(1) * Higher Level Review, ratings of record will be reviewed and approved by a person at a higher level in the organization than the rating official.

Performance Standards and Rating for Employees in the Local 12 Bargaining Unit	U.S. Department of Labor Office of the Assistant Secretary for Administration and Management
Instructions: Sections 1 through 6 and the first two parts of Section 8 will be completed by the supervisor after coordination with the employee, at the beginning of the appraisal period. Section 7 and the remainder of Section 8 and Sections 9 and 10, as appropriate, will be completed at the end of the appraisal period.

1. Name of Employee 2. Title and Grade	3. Organizational Location
5. Rating Due Date	4. Title of Pay Deciding Official
6. Establishment of Critical/Noncritical Elements and Performance Standards
a. Rater Certification After Discussion With the Employee Signature of Rater Date
b. Employee Response My supervisor has, has not discussed these standards and critical elements with me. I have, have not included written comments on these performance standards. Signature of Employee Date
c. Higher Level Review These elements and standards have been reviewed and are approved. Signature of Reviewer Date	d. Employee Receipt Signature of Employee Date
7. Summary Performance Rating
a. Appraisal Period From To	b. Type of Summary Rating (See explanation in item 9.) Rating of Record *Interim Rating
c. Summary Performance Rating (Check the definition which describes the employee's overall performance during the rating period and sign below.) Outstanding Performance - Performance exceeds the described level in the performance standards for all critical elements, and for 50 percent or more of the other elements. Performance does not fall below the standard for an element of the job. Highly Effective - Performance exceeds the described level in the performance standards for 50 percent or more of the all critical elements. Performance does not fall below the standard for any element. Fully Successful - Performance meets the described level in the performance standards for all critical elements. Minimally Satisfactory - Performance in one or more critical elements is slightly below standard. Unacceptable Performance - Performance fails to meet the described level in the performance standard for one or more critical elements of the job. * This annual rating of record does not include other performance information. If it does, see item 9 for explanation. ** If there is only one noncritical element, the percentage requirements does not apply. d. Signature of Rater Date

e. Employee Response My supervisor has, has not discussed this rating with me. I have, have not included written comment: Signature of Employee Date
c. Higher Level Reviewer I have reviewed and concur with this rating. Signature of Reviewer Date	g. Employee Receipt My signature on this form does not constitute agreement with the rating nor does it indicate that I will not grieve the rating. Signature of Employee Date
8. Performance Standards and Rating
(See DLS Appendix B to FPM 430 and Article 12 of the ODL/Local 12 Collective Bargaining Agreement for instructions on developing job elements, performance standards and making appraisals.) Each Performance Standard and Rating will be numbered consecutively and consist of the following: a. Element: List the major objectives or responsibilities of the job. b. Performance Standards: For each job element, describe the results expected when performance is at a satisfactory level in terms of quality, timeliness, and quantity, as appropriate. The methods of measurement should also be included, when practicable. c. Element Rating and Narrative: (1) Check the appropriate space as to whether the employee "Exceeds (E)," Meets (M)," "Needs to Improve (NI)," or "Fails to Meet (FM)" the standards for the element and (2) give a brief narrative description of results achieved, except when the element is rated at meets level. (A narrative is optional when the employee is rated "Meets.") Do not rate the employee on any elements on which he/she has not been assigned work and given the opportunity to perform.
(1) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM	(5) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM
(2) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM	(6) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM
(3) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM	(7) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM
(4) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM	(8) Check One: Critical Noncritical a. Element: b. Performance Standard: c. Element Rating and Narrative: E M NI FM
9. Consideration given Other Ratings in Rating of Record: Ratings of record are prepared annually. Any written performance information (including interim ratings and performance information on details or temporary reassignments/promotions) since the last rating of record in the current appraisal year will be taken into account in this rating of record. In considering this other performance information, take into consideration such factors as level of performance, nature and level of duties and responsibilities of the assignments, importance to accomplishment of organizational goals, and length of time spent. If these interim performance ratings or information change the overall rating of record, explain fully in this space.
10. Other Significant Accomplishments: Any significant work accomplishments not covered by an element/performance standard under item 8 should be described on an attachment.