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Performance Management Handbook (Appraisal Section) Chapter 4

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Chapter 4. Roles and Responsibilities

Heads of Operating Units or Departmental Offices:

  • Ensure that the operating unit instructions on the Performance Management System are consistent with: current laws, applicable Office of Personnel Management rules and regulations, Departmental policies, this Handbook and valid collective bargaining agreements;
  • Ensure managers and supervisors receive training covering their duties and responsibilities;
  • Ensure covered employees are informed of their rights and responsibilities under the system;
  • Provide managers and supervisors with clear instructions on procedures for developing performance plans;
  • Communicate, in writing, overall missions, objectives, organizational strategic goals, and plans to all levels within the organization and ensure alignment of individual performance plans with organizational goals;
  • Ensure the opportunity exists for employee participation in the development of performance plans;
  • Ensure the maintenance of appropriate records and submit required data and reports on the operation of the Performance Management System;
  • Ensure that performance appraisal results are used by managers and supervisors in making personnel decisions regarding training, rewarding, reassigning, promoting, reducing in grade, retaining, and removing employees;
  • Ensure managers and supervisors meet appraisal deadlines and responsibilities;
  • encourage employee recognition to reward and motivate employees; and
  • Monitor and evaluate the effectiveness of the program and take corrective action as warranted.

Approving Officials:

  • Review critical elements and standards to ensure consistency with organizational strategic goals and plans;
  • Review, approve, sign, and date performance plans prepared by rating officials;
  • facilitate conflict resolution between rating officials and employees over the content of performance plans;
  • Review performance plans and final ratings to ensure that evaluation criteria are objective and job-related, and that actual accomplishments or deficiencies identified by the rating official support the rating including documenting reasons for changing ratings;
  • Approve, sign, and date final summary ratings;
  • Approve or recommend performance-related personnel actions, including awards.

Rating Officials:

  • Inform employees of the agency's mission and organizational strategic goals, plans, and activities of the work unit, and inform employees of their related duties and responsibilities;
  • Encourage employee participation in developing performance plans;
  • Provide employees with written performance plans which identify the critical elements and performance standards related to their specific duties, responsibilities, and expected levels of performance;
  • Engage in continuous dialogue with employees to ensure performance plan requirements are being met;
  • Conduct and document at least one formal progress review around the midpoint of the appraisal period and provide written feedback to employees;
  • Modify performance plans, as necessary;
  • Participate in the pre-appraisal meeting, if one is requested by the employee;
  • Complete appraisals which include determining and evaluating employees' actual performance;
  • Confer with approving officials about their organization's performance and obtain approval on the ratings they plan to assign their employees;
  • Obtain approving official's approval before discussing ratings with employees;
  • Document instances of unacceptable performance such as missed deadlines or poor quality work products;
  • Discuss the approved final appraisal with employees;
  • Sign and date performance plans, performance appraisals, and ratings;
  • Provide employees with a copy of the rating of record at the end of the appraisal cycle;
  • Recommend personnel actions (including awards), performance-based actions, and/or training based on employee performance in relation to performance standards; and
  • Submit the ratings assigned to each employee within 30 days of the end of the appraisal cycle to the servicing human resources office for entry into the automated employee record.

Employees:

  • Participate with supervisors in developing performance plans;
  • Perform duties and responsibilities in accordance with performance plans and position descriptions;
  • Document accomplishments against performance standards for both the progress review(s) and the final appraisals;
  • Participate in a scheduled progress review and request additional review(s), as necessary;
  • Schedule a pre-appraisal meeting with the rating official, if desired;
  • Participate in the appraisal process with the rating official;
  • Sign and date performance plans, performance appraisals, and ratings to acknowledge receipt;
  • Prepare written comments if desired; and
  • Personally identify and request developmental opportunities/training to enhance performance.

Human Resources Offices:

  • Communicate to supervisors, general workforce employees, and appropriate exclusive bargaining unit representatives the purpose and procedures of the appraisal system and its relationship to overall personnel management;
  • Provide instructions on how to develop critical elements and performance standards;
  • Ensure that critical elements are linked to organizational goals and objectives;
  • Provide training or orientation on the performance appraisal system;
  • Coordinate and submit required reports;
  • Participate in the development and implementation of a monitoring and evaluation program of the system;
  • Provide documentation on rating distributions and awards on an annual basis;
  • Provide rating and approving officials with appropriate advice when employee performance fails to meet performance expectations;
  • Enter ratings of record into the automated employee record (or database); and
  • Provide technical assistance to supervisors and managers in taking appropriate performance-based actions under 5 CFR 432 or 5 CFR 752, consulting with the Office of the General Counsel, as appropriate.



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