INTERNATIONAL TRADE
ADMINISTRATION
Frequently Asked
Questions (FAQs):
PERFORMANCE
AND PERFORMANCE PLANS
1. Q:
How is an employee’s performance measured?
A: Performance is measured by the
results achieved in each Critical Element, e.g., what is to be accomplished,
and how it is accomplished. Standards are expressed in terms of quality,
quantity, timeliness, cost-effectiveness, or other relevant measures, rather
than tasks or specific duties.
2. Q:
When
must Performance
Plans for new employees be established?
A: When an employee enters a position or changes positions after the
start of the annual appraisal cycle, a plan must be established and approved
within 60 days of the effective date of the appointment to the new
position.
3. Q:
What
if an employee
disagrees with the content of the Performance Plan?
A: If a rating official and employee
disagree on the contents of the performance plan, the rating official and
employee should attempt to resolve the disagreement informally. However, the approving official must make
the final decision regarding the contents of the plan.
4. Q:
Are
Scheduled C
employees covered by the Performance Management System?
A: As authorized by 5 CFR Part
213.3301, Scheduled C employees are covered by this performance system and must
have performance plans in place, except that they are not afforded the rights required by 5 U.S.C. 4302(B_(6)
AND 4303.
5. Q:
What
is Unacceptable
Performance?
A: If at any time during the
performance cycle an employee's performance becomes Level 1 (unacceptable) in
one or more critical elements, rating officials will document the specific
performance deficiencies on the performance plan and afford the employee an
opportunity to demonstrate acceptable performance. This is done in the form of
a Performance Improvement Plan (PIP).
Supervisors/managers
should consult with their servicing human resources office for specific
guidance prior to the issuance of a PIP.
6. Q:
What happens if an employee’s performance is unacceptable?
A: Employees that
fail to meet the established performance standards in one or more critical
elements are considered to have unacceptable performance. Unacceptable performance is referred to as a Level 1 rating on the Department's 5-Level
rating scale. When employees have
unacceptable performance, supervisors will document the specific performance
deficiencies on the performance plan and afford the employee an opportunity to
demonstrate acceptable performance.
This is done in the form of a Performance Improvement Plan (PIP). Supervisors should consult with their servicing human resources office
for specific guidance on issuing a PIP.
7. Q:
If
an employee is
not satisfied with their summary rating, what recourse do they have to rebut and/or change the
final score?
A: Employees may ask
their supervisor for reconsideration on their final summary rating. Such reconsideration requests must be
processed under the appropriate negotiated grievance procedures or under the Department’s
administrative grievance procedure, whichever is applicable. Click here to see the process for reconsideration. .
8. Q:
Whom
can employees contact if they have questions about their performance plan or the new
5-Level appraisal system?
A: Employees should contact their
supervisor if they have any questions or concerns about their performance plan
or about the 5-level performance appraisal system. If supervisors have any questions regarding the performance
appraisal system, they should contact the Office of Human Resources Management.
9. Q: What form should
be used to create the Performance Management
Record (performance plan)?
A: Supervisors should use the Department’s Performance Management Record,
CD-430.
10. Q: What form should be used for Performance Awards?
A: Supervisors should use the Department’s CD-430 section (d) of the Performance Management Record form.
TRANSFERS FROM OTHER FEDERAL AGENCIES
11. Q:
What
happens if an employee
transfers from another agency?
A: If an employee has served in a
position for more than the minimum appraisal period in another federal agency, that
agency should provide an interim summary rating and forward it to the
Department’s employing office with the employee’s Official Personnel
Folder.
If
the employee transfers to the Department toward the end of the rating period
(i.e., where the time remaining in the appraisal cycle is less than the minimum
appraisal period), the employee’s interim rating (prepared when he or she
transferred) will become his or her rating of record for the appraisal
period.
If
no interim rating can be obtained fro the employee’s former agency, the
employee’s last rating of record becomes his or her current rating of
record. If no rating can be obtained,
then the employee will be considered unratable.
PROGRESS REVIEWS & PRE-APPRAISAL MEETINGS
12. Q: What
is the role of a Team Leader in the performance appraisal process?
A: While supervisors (rating officials) have the ultimate
responsibility in rating employees, Team Leaders assist rating officials by
providing feedback toward the evaluation of team members, and by drafting and
recommending summary ratings.
13. Q: Why is it important that employees keep a running list of their accomplishments throughout the rating period and
submit their accomplishments to their supervisor for the mid-term progress
review and for the end of year summary rating?
A: Prior to the progress review
meeting and summary rating meeting with his or her rating official, employees
are strongly encouraged to submit written documentation of his or her
accomplishments. Providing supervisors
with written accomplishments serves as a reminder to supervisors of specific
accomplishments by the employee. This
may be beneficial to the employee and help the supervisor in finalizing the
summary rating.
14.
Q: What is a Pre-appraisal meeting ?
A: Although not mandatory, employees may
request a meeting prior to the formal appraisal meeting with the rating official. During this meeting the
employee may: (1) present an assessment of his or her accomplishments during
the appraisal period; (2) cover aspects of his or her work of which the rating
official may not be aware; and (3) identify what he or she would like to
include in the next cycle's performance plan.
15. Q:
Are Rating Officials required to provide written feedback to employees
during mid-term appraisals?
A: Yes. Rating Officials should conduct and document at least one formal
progress review around the midpoint of the appraisal period and provide
written feedback to employees by utilizing the CD-430, Performance
Management Record, part (c) Progress Review.
Mid-Term Formal Progress Review – Click here to read the Department’s
requirement on providing written feedback to employees. Look under “Rating
Officials” role.
16. Q: If an employee refuses to sign a
Performance Plan, a Progress Review, or the Summary Rating at the end of the
performance period, what happens?
A: Employees sign and date performance related
documents to indicate that they have been discussed. If an employee refuses to sign, the rating official should note
this in the employee signature block. Employees are held
responsible for performing their duties as described in the performance plan,
even if they refuse to sign the plan.
Signature by the approving official places both the performance plan and
summary rating in effect. A copy of
these documents must be given to the employee.
17. Q: How are employees who are on Details evaluated?
A: Employees who are on detail for 120 days or less are appraised by the supervisor of record using feedback received from the supervisor overseeing the employee during the detail. The supervisor of record should solict feedback. The supervisor of record conducts the appraisal, i.e., mid-term or end-of-year summary rating.
18. Q:
How
are employees who serve on federally–sponsored programs, e.g., Intergovernmental Personnel Act, which call for the
employee’s return to the same or like position evaluated?
A: Employees who serve on
federally-sponsored programs continue to be covered by the Performance
Management system while on the assignment.
19. Q:
Is
an employees performance evaluated strictly on the content of their performance
plan?
A: No. Employees are also evaluated on the content of their Position Description (PD). Although not all the duties in an employees PD are captured in each critical element, employees are still held accountable for performing all the duties within their PD. The performance plan captures the “critical elements” of an employee’s duties and responsibilities which contributes toward accomplishing organizational goals and objectives , and which is of such importance that unacceptable performance on the element would result in unacceptable performance in the position.
20. Q: Can a Supervisor change the weighting or replace a Critical Element during the rating period?
A: Supervisors should ensure that
employees whose duties change significantly enough during the rating period are
reflected in their performance plans.
This means that supervisors should meet
with employees and discuss any changes in the performance plan and
provide the employee with expectations of performance and with a copy of the
edited plan.
21. Q:
What exactly is a Critical Element ?
A: A Critical Element is a component of an
employee's position consisting of one or more duties and responsibilities which
contributes toward accomplishing organizational goals and objectives, and which is of such importance that
unacceptable performance on the element would result in unacceptable
performance in the position.
22. Q:
In determining an employee’s final
Summary Rating score, why are the weights
assigned to each Critical Element important?
A: Critical Elements are weighted in order to indicate the relative importance
of each Critical Element within the employee’s scope of responsibilities.
Weights play an important roll in determining the final summary rating score. These weights should not be
assigned based on the percentage of time an employee spends working on that
element. Rather, the weight for each
element should reflect the significance of that task/program/project within the
framework of the goals to be achieved.
23. Q:
What happens if my supervisor leaves the Department with less than 120-days remaining in the appraisal period?
A: When a rating official changes positions or leaves the Department with less than 120-days remaining in the appraisal period, he/she
should complete a final summary rating for the employee, which may become the rating of record for the performance year. Performance
accomplishments that occur after the supervisor leaves will be considered by the new supervisor.
Q: If my supervisor leaves the organization or a new supervisor is assigned, can the new supervisor rate my performance?
A: Yes, there is no minimum required period that a supervisor must be in place before completing an employee's appraisal as long as the supervisor was in place on the last day of the rating cycle.
24. Q:
Does my Rating and Approving Official sign my Performance Plan and
my final Summary Rating?
A: Yes. The supervisor must first confer with the
approving official about the employee’s Performance Plan, and final Summary
Rating and receive approval including the approving official’s signature on the CD-430 of the employee’s rating. Once the approving official signs the
CD-430 conferring the employee’s rating, the rating official will then discuss
the final rating with the employee.
25. Q: When are rating officials
required to complete ratings?
A: Rating officials are required to complete summary ratings within
30 days of the end of the annual appraisal cycle (i.e., October 31st)
LEVELS, INTERIM AND SUMMARY RATINGS
26. Q: What happens if an employee is performing at Level 2, but not quite at an
unsatisfactory level of Level 1?
A: While a Level 2 rating does not require a
Performance Improvement Plan (PIP), it is recommended that the rating official
develop a written plan to assist the employee in improving performance to Level 3. In such a case, the
rating official must discuss the instances of deficient performance and outline
in writing what is required of the employee to bring his or her performance to
Level 3.
Rating
officials should consult with their servicing human resources office to
determine if this review should serve as the beginning of the formal
opportunity period to improve performance required by 5 U.S.C. 4302(b)(6).
27. Q: What happens if one of the critical elements is rated
at a Level 1
in the Summary Rating?
A: If a critical element is rated at a Level
1, that becomes the overall summary rating and the rating of record. For example, if an employee has four
critical elements in their performance plan and is rated Level 4 on three
elements and a Level 1 on one element, and the total score equals 330 points,
this score would normally be assigned to an overall summary rating of Level 3,
but because one of the critical elements received a rating of Level 1, then
this means that the overall Summary Rating Level will be Level 1.
28. Q: What is an Interim Rating and when are they required?
A: Interim ratings are prepared during the course of a rating period when an employee has spent the minimum appraisal period (120 days) in a covered position and then changes to another position, e.g. temporary promotions, details, reassignments, and transfer from DOC to another Federal Agency. This may happen more than once during the rating period. These ratings must be completed within 30 days of the change of position and are prepared in the same manner as a summary rating. In fact, the interim rating may become the summary rating when an employee changes positions toward the end of the rating period (i.e., where the time remaining in the appraisal cycle is less than 120 days).
29. Q: When must rating officials provide a
narrative in
the Summary Rating?
A: Rating officials must provide either an
overall narrative justification of the summary rating or a written
justification for each critical element.
They must do one or the other, and may do both. A written justification is required
for any element rated below Level 3.
30. Q: If an employee is dissatisfied with his
or her final performance summary rating, what can he or she do?
A: Employees dissatisfied with their final performance summary rating
may ask their supervisor for reconsideration.
31. Q: Are there established quotas or
ratios for
managers and supervisors to use when determining the rating levels of staff?
A: No. The Department does not prescribe a distribution of ratings and does not permit a distribution to be prescribed. The Department assures that only employees whose performance exceeds normal expectations are rated at the level above Level 3.
32. Q:
Are
there names for each Rating Level such as Outstanding, Commendable, and Fully Successful?
A: No. The Department’s 5-Level Performance Appraisal System requires only
numeric Levels, e.g., 5 (highest Level), 4, 3, 2 (signs of deficiency) and 1
(Unacceptable). Please note that
Level-5 is the highest Level that can be
achieved, Level 2 indicates deficiency in performance, and Level 1 is
unacceptable performance. Rating
officials should contact the Office of Human Resources if an employee’s
performance is at Level 2 or Level 1 for further guidance.
33. Q:
When is an employee Ratable?
A:
An employee is ratable if:
• he or she occupies a covered position
on the last day of the performance cycle; and
• he or she worked at least 120 days in one or more covered positions during the appraisal cycle.
34. Q:
When is an employee Unratable?
A:
An employee is unratable if one of the following applies:
• the employee did not work at least 120 days in one or more covered positions during the rating cycle; or
• the employee has been placed on a Performance Improvement Plan (PIP) because the rating official has determined that the employee’s performance is at Level 1 on one or more critical elements. A PIP is only developed when an employee’s performance is at Level 1. If an employee is unratable because he or she was on a PIP, the rating period will be extended for the duration of the PIP and the employee will be rated upon completion of the PIP.
35. Q: What if an employee has served
for the entire rating cycle on Detail to another agency, on an approved
federally-sponsored program or long-term training, and an appraisal of performance cannot be
obtained despite reasonable efforts?
A: The employee must be considered
unratable.
36. Q: What if an employee’s supervisor leaves the
Agency and no
other supervisor or acting supervisor can reasonable appraise the employee’s
performance?
A: The employee must be considered
unratable.
37. Q: If an employee has approved absences approved under 5
CFR 531.406 such as Leave without Pay (LWOP), Military Service etc., is he/she ratable?
A: No. Employees who fall into this category are considered
unratable.
38. Q:
Can
employees receive a Performance Award anytime during the rating period?
A: To qualify for a performance award,
an employee must occupy a position on the last day of the annual appraisal
cycle for which performance awards are being granted. When an employee changes positions within the last 120 days of
the appraisal period, the employee may receive an award based on his or
her interim rating (which becomes the rating of record at the end of the
appraisal period) for the position held immediately before the change in
position. For example, if the employee changes positions three months before
the end of the appraisal period, the award is based on the nine months of the
appraisal period preceding the change in position.
39. Q:
Can I receive a performance award if I
change positions 60 days before the end of the
appraisal period?
A: Yes. When an
employee changes positions within the last 120 days of the appraisal period,
the employee may receive an award based on his/her interim rating for the
position held immediately before the change in
position. For example, if the employee
changes positions two months before the end of the appraisal period, the award
is based on the ten months of the appraisal period preceding the change in
position.
40. Q: Is there a deadline for
submitting performance awards?
A: Yes. Approved
performance awards must be submitted to the Office of Human Resources
Management (OHRM) within the time frames specified in the each program area,
but no later than within 90 days of the end of the
appraisal cycle (i.e., Dec 31).
Ideally, when ever possible, rating officials should submit performance
awards by October 31 so that OHRM and Accounting can process these awards in a
timely manner.
41. Q:
Other than an employee’s
accomplishments, what other factors are
determined when a supervisor determines award amounts?
A: When determining the
appropriate performance award amount, supervisors should consider an employee’s
contributions to the achievement of the organization’s mission and goals.
42. Q: What percentage of my base pay can I receive for a performance award?
A: For a Level 5 rating employees may receive up to
10 percent, for a Level 4 rating up to a 6 percent, and for a Level 3
rating up to 3 percent of base pay including locality payments. Performance awards are budget driven.
43. Q:
If I leave the Department before the end of the rating cycle, am I eligible for a
performance award?
A: No. To qualify for a
performance award you must occupy a position, which is covered by the General
Workforce Performance Appraisal System, on the last day of the annual appraisal
cycle for which the performance awards are being granted.
44. Q: What dollar amount of a
performance award can my supervisor recommend?
A: Performance awards are linked directly to the employee’s final summary rating score. When determining the appropriate performance award amount, supervisors should consider an employee’s overall contributions to the achievement of the organization’s mission and goals. Click here to view ITA’s levels of signatory approvals for award amounts.
45. Q: Can political
appointees receive performance awards?
A: No. Political
appointees including Schedule C employees are not eligible for performance
awards.
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Employees should contact their supervisor if they have any questions or concerns about their performance plan or about the 5-level performance appraisal system