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Article 14 Performance Management System
Posted On: Oct 29, 2013

Article 14

Performance Management System

Section 1. General

The Department will adhere to all applicable Government-wide rules and

regulations and the provisions in this Article in the administration of its

Performance Management System (“System”). Moreover, the Department shall

administer this Article in accordance with DPR 430, effective October 15, 2008, as

specified or except as provided herein. Any future changes to this regulation will

be handled in accordance with Articles 38 and 41.

Section 2. Introduction

In accordance with 5 CFR 430.102,

a. Performance management is a continuous, collaborative process by which

an Agency involves its employees, as individuals and members of a group,

in improving organizational effectiveness in the accomplishment of Agency

mission and goals.

b. Performance management integrates the processes an Agency uses to:

(1) Communicate and clarify organizational goals to employees;

(2) Identify individual and, where applicable, team accountability for

accomplishing organizational goals;

(3) Identify and address developmental needs for individuals and, where

applicable, teams;

(4) Assess and improve individual, team, and organizational


(5) Use appropriate measures of performance as the basis for

recognizing and rewarding accomplishments; and

(6) Use the results of performance appraisal as a basis for appropriate

personnel actions.

Section 3. Procedures for Developing Elements and Performance


a. Consistent with Management’s right to assign work, the performance

Elements must be consistent with the duties and responsibilities contained

in an employee’s Position Description.

b. In establishing Standards, due consideration will be given to employee


c. Employees are entitled to an explanation of the rationale for their Standards

and Elements.

d. The parties agree that the term "Results" as used in the Performance

Management System is synonymous with the term "Elements."

Section 4. Performance Standards

a. A Performance Standard will, to the maximum extent feasible, permit the

accurate evaluation of job performance on the basis of objective criteria

related to the job in question for each employee or position under the


b. A written performance Standard will indicate the performance level that will

meet or satisfy the requirements at the "Meets" level for an Element. There

will be one Standard per Element.

c. After receiving proposed Elements and Standards from the supervisor, the

employee will have the opportunity to meet and discuss these Standards

with the supervisor, and to provide his or her written comments.

d. When Performance Standards are developed that have more than one

criteria, employees will be advised as to the relative importance of the

criteria contained within the Standards.

e. Upon request, supervisors will inform employees orally about what is

expected in order to exceed a Standard.

Section 5. Annual Rating of Record

a. The rating may be completed thirty (30) days prior to its due date but not

later than 30 days after the due date.

b. The Rating Official must confer with the Reviewing Official and secure the

approval of the Reviewing Official of the tentative rating with the employee

before discussing the tentative rating with the employee. The supervisor

will discuss the rating of record with the employee to avoid

misunderstandings and possible inaccuracies. The Rating Official will confer

with the employee to review accomplishments, problems, and general

performance during the appraisal period and will discuss the tentative

conclusions regarding the rating with the employee. The discussion will

always be face-to-face to the extent practicable but may be by telephone.

c. The employee will have an opportunity to present his/her assessment of

work accomplishments, as well as to respond in writing to the rating.

Employees have up to five workdays in which to review, sign, or prepare

comments, as appropriate, on their ratings. Any written comments will be

forwarded to the Reviewing Official along with the tentative rating. After

the rating has been reviewed and approved, it will be discussed with the

employee by the Rating Official if any changes have been made in the

tentative rating. Such written response is to be considered by the Rating

Official or Reviewing Official, as appropriate, and attached to the

performance appraisal and will be maintained in the employee performance


Section 6. Feedback

The objectives of the Performance Management System are met through regular

feedback. As part of this feedback, a progress review must be held at least once

during the appraisal period no later than 120 days before the end of the rating

period. At a minimum, during this review, employees will be informed orally of

their performance by comparison with the elements and Standards in their

performance plans. Progress reviews may include a discussion on any proposed

training (which may be on-the-job training) and development of the employee.

The Rating Official will certify on the performance appraisal form that the progress

review was held with the employee.

Section 7. Improving Unacceptable Performance

As provided in 5 CFR 430.207, the supervisor should call to the employee’s

attention, as early as possible, areas of performance needing improvement, and

initiate steps to assist the employee to meet performance Standards. However, the

supervisor must initiate a Performance Improvement Plan (PIP) at any time once

he/she determines that performance in one or more Critical Elements is


Section 8. Performance Improvement Plan

a. When a supervisor decides to place an employee on a Performance

Improvement Plan (PIP), he/she shall first share a Draft of the PIP with the

employee for the employee’s input. The supervisor shall consider any

comments of the employee prior to the initiation of the PIP. The Plan will

be discussed between the immediate supervisor and the employee and put

into writing. This Plan will be geared toward efforts which must be initiated

by both employee and immediate supervisor and which are designed to

result in overall job performance at an acceptable level or above. At a

minimum, this Plan will include the following:

(1) an explanation of the Critical Elements and the related performance

Standards in which the employee’s performance fails to meet the


(2) specific goals in terms of time and results expected for levels of

progress against each performance Standard where performance

improvement is needed; also, advice about what the employee must

do to bring his or her performance up to an acceptable level, as well

as periodic counseling and reassessment by the supervisor during

this period; and

(3) training, if appropriate.

b. No performance-based action (5 CFR 432) will be proposed unless the

employee is given at least a 90-day period of time in which to correct any

deficiencies noted and a detailed explanation of the work to be

accomplished in the 90-day period to correct performance deficiencies. To

this end, the PIP will be utilized.

Section 9. Special Circumstances

Performance appraisals must take into account:

a. Factors or changes which affect performance and are beyond the control of

the employee; and

b. Authorized absences (including Official Time) during the course of working


Section 10. Grievability and Arbitrability of Job Elements and

Performance Standards

Performance Standards may only be grieved when they are applied in a rating of


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