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