DEPARTMENT OF DEFENSE
PERFORMANCE MANAGEMENT
AND APPRAISAL PROGRAM
TOOLKIT
THIS TOOLKIT SUPPLEMENTS DEPARTMENT OF DEFENSE INSTRUCTION 1400.25
VOLUME 431, “DOD CIVILIAN PERSONNEL MANAGEMENT SYSTEM:
PERFORMANCE MANAGEMENT AND APPRAISAL PROGRAM,” BY PROVIDING
COMPREHENSIVE INFORMATION, ADVICE, AND GUIDANCE FOR ADMINISTERING THE
PERFORMANCE MANAGEMENT AND APPRAISAL PROGRAM
APRIL 2016
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TABLE OF CONTENTS
INTRODUCTION ......................................................................................................................................................... 1
Purpose ...................................................................................................................................................................... 1
Coverage .................................................................................................................................................................... 1
Fact Sheets ................................................................................................................................................................. 1
Additional Assistance ................................................................................................................................................ 1
CHAPTER 1 - PERFORMANCE MANAGEMENT & APPRAISAL PROGRAM .................................................... 2
CHAPTER 2 - PLANNING PERFORMANCE ............................................................................................................ 5
Overview ................................................................................................................................................................... 5
Performance Plan ....................................................................................................................................................... 6
Linking Performance Plans to DoD Core Values and Organizational Goals ............................................................ 7
Performance Elements and Standards – Understanding the Difference .................................................................... 9
Communicating Performance Expectations ............................................................................................................. 12
Modifying the Plan During the Appraisal Cycle ..................................................................................................... 12
CHAPTER 3 - MONITORING PERFORMANCE ..................................................................................................... 14
Overview ................................................................................................................................................................. 14
Progress Discussions and Reviews .......................................................................................................................... 17
Performance Discussion and Progress Review Preparation for Employees ............................................................ 17
Performance Discussions Related to Less Than “Fully Successful” Performance .................................................. 18
Training or Developmental Opportunities ............................................................................................................... 19
Employee Engagement ............................................................................................................................................ 21
CHAPTER 4 - EVALUATING PERFORMANCE .................................................................................................... 22
Overview ................................................................................................................................................................. 22
Employee Input ....................................................................................................................................................... 23
Narrative Statement ................................................................................................................................................. 23
Performance Summary Levels ................................................................................................................................. 24
Deriving and Assigning a Rating of Record ............................................................................................................ 25
Final Performance Appraisal Discussion ................................................................................................................. 26
Communicating the Performance Appraisal ............................................................................................................ 27
Resolving Disagreements Over the Rating of Record ............................................................................................. 27
CHAPTER 5 - RECOGNIZING AND REWARDING PERFORMANCE ................................................................ 28
Overview ................................................................................................................................................................. 28
DoD Recognition and Reward Program .................................................................................................................. 28
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Achievable Recognition and Reward ...................................................................................................................... 29
CHAPTER 6 - PERSONNEL ACTIONS ................................................................................................................... 30
Overview ................................................................................................................................................................. 30
Promotion ................................................................................................................................................................ 30
Within-Grade Increases (WGI) ................................................................................................................................ 30
Quality Step Increases (QSI) ................................................................................................................................... 31
Probationary/Trial Period ........................................................................................................................................ 32
Probationary Period for Supervisors and Managers ................................................................................................ 33
CHAPTER 7 - SPECIALLY-SITUATED EMPLOYEES .......................................................................................... 34
Overview ................................................................................................................................................................. 34
Employees on Detail ................................................................................................................................................ 34
Matrixed Employees ................................................................................................................................................ 35
Employees Performing Representational Responsibilities ...................................................................................... 36
Extended Absence ................................................................................................................................................... 36
Out-of-Cycle Appraisals .......................................................................................................................................... 36
Employees Who Transfer or Supervisors Who Leave During the Appraisal Cycle ................................................ 37
CHAPTER 8 - ADDRESSING PERFORMANCE ISSUES ....................................................................................... 38
Overview ................................................................................................................................................................. 38
Communicating Expectations and Performance Deficiencies ................................................................................. 39
Addressing and Resolving Performance Deficiencies ............................................................................................. 39
Providing an Opportunity to Improve ...................................................................................................................... 40
Within Grade Increase (WGI) Delay or Denial ....................................................................................................... 41
Reassignment, Demotion, or Removal Based on “Unacceptable” Performance ..................................................... 42
CHAPTER 9 - MyPERFORMANCE .......................................................................................................................... 43
APPENDIX A: ALIGNING EMPLOYEE PERFORMANCE PLANS WITH ORGANIZATIONAL GOALS ....... 45
GLOSSARY: DEFINITIONS. .................................................................................................................................... 47
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INTRODUCTION
PURPOSE
This toolkit supplements Department of Defense Instruction 1400.25-V431, “DoD Civilian
Personnel Management System: Civilian Performance Management and Appraisal Program,” by
providing comprehensive information, advice, and guidance for administering the Performance
Management and Appraisal Program. It is designed to inform supervisors, human resources
personnel, and employees on the ongoing performance management process, including
planning, monitoring, evaluating, and recognizing and rewarding employee performance. It will
promote compliance with performance management policy, as well as consistent application of
performance culture principles across the Department. This toolkit includes details about
procedures of the DoD performance management cycle.
COVERAGE
The DoD Performance Management and Appraisal Program and this Toolkit apply to a majority
of DoD appropriated fund civilian employees, except: (1) employees excluded from coverage
under applicable laws and (2) employees covered by other performance programs as
established through applicable regulations. A complete list is available at Appendix 3A:
Exclusions from Coverage in the Department of Defense Instruction 1400.25-V431. The
Performance Management and Appraisal Program cultural principles of continuous
communication and shared understanding of performance expectations apply to any
performance management program.
FACT SHEETS
A variety of Fact Sheets cover topics such as how to prepare for a performance discussion, how
to write goals that are aligned to the organizational mission, and how to write effective
employee input and performance ratings are available on the Defense Civilian Personnel
Advisory Service, Labor and Employee Relations Division (DCPAS LERD), Performance
Management webpage at https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-
Employee-Relations/Pages/Home1.aspx.
ADDITIONAL ASSISTANCE
If you have questions about the information in this toolkit, contact your servicing Human
Resources Office or DCPAS LERD at dodhra.mc-alex.dcpas.mbx.hrop[email protected].
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CHAPTER 1 - PERFORMANCE MANAGEMENT & APPRAISAL
PROGRAM
The Department is committed to maintaining a high-performance culture through a fair,
credible, and transparent Performance Management and Appraisal Program that fosters timely
employee recognition and rewards. Effective efforts of supervisors and employees align with
organizational goals, promote consistency in performance review, and motivate employees to
perform at their best.
Performance management increases individual success and accountability, achieves agency and
organizational goals, and improves operational efficiency. An effective performance
management program helps supervisors recognize their employees’ full performance potential
by differentiating between high achievers and those requiring performance improvements,
thereby assisting the Department in meeting its mission and goals. Performance management
focuses on a continuous year long process of communication, development, and results rather
than waiting until the end of the performance period. The Performance Management and
Appraisal Program encourages active two-way communication between the supervisor and the
employee throughout the performance appraisal cycle.
Successful employee performance is essential to accomplishing mission goals. A successful
Performance Management and Appraisal Program ensures work performed by employees
accomplishes the goals and meets the mission of the team, Agency, and Department. Benefits
of a successfully implemented Performance Management and Appraisal Program include: an
organization that is directly aligned with its goals; a motivated workforce where every
employee understands his or her importance to mission success; and employees with a clear
understanding of what is expected of them.
WHAT YOU SHOULD KNOW:
● A culture of high performance focuses on employee engagement, development, and
accountability.
● Performance management is one of the most important aspects of Supervisory and
Managerial responsibilities.
● Benefits of a successfully implemented Performance Management and Appraisal Program
include an organization that is directly aligned with its goals as well as a motivated
workforce.
● Performance management is an on-going process that involves continuous feedback and
two-way communication between supervisors and employees.
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The Department’s Performance Management and Appraisal Program is intended to:
Focus on employee engagement, development, performance, and accountability.
Align individual employee goals with organizational mission goals by supporting alignment
and cascading of established organizational goals from executive to employee.
Create a culture of engagement by fostering ongoing feedback, constructive informal
interactions, and continuous learning for supervisors and employees at every level.
Emphasize the continuous nature of performance management while deemphasizing the
final performance appraisal discussion by:
- Providing continuous dialogue that allows for timely recognition and reward.
- Addressing technical and interpersonal development early and often.
Improve supervisory assessment, selection, development, and training.
The supervisor and employee are vital members of a continuously evolving process within the
Department of performance planning and monitoring to ensure mission accomplishment. The
Department and its’ leaders are responsible for providing a fair, credible, and transparent
Performance Management and Appraisal Program that encourages effective communication
between employees and supervisors and ensures that supervisors have the skills and time to
manage performance successfully. Supervisors are responsible for developing performance
expectations with employee participation; communicating throughout the performance
management cycle about employees' goals, performance, and development; recognizing
successful performance and coaching for improved performance; and ensuring that employees
have the tools, training, and resources needed to perform their duties successfully. Employees
at all levels are responsible for actively communicating with their supervisors about their
performance; taking an active role in planning their development; being accountable for their
actions; and continually striving for excellence in their performance in support of the
Department’s mission.
Performance management is a continuous process of:
planning work and setting expectations;
continually monitoring performance;
evaluating performance in a summary fashion; and
recognizing and rewarding good performance.
Supervisors should make adequate time to perform their supervisory
duties and carefully consider the time necessary to provide meaningful
ongoing performance feedback.
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Each step of the process represents a continuum with events that must occur at certain points
within the cycle and may occur throughout the cycle. For example, performance plans are
always developed at the beginning of the performance period, but may be updated at any point
in the cycle to reflect changes in the organizational mission, team priorities, or employee
duties. The performance management process is explained in detail later in this Toolkit.
\
Refer to DoDI 1400.25-V431, “DoD Civilian Personnel Management System: Performance
Management and Appraisal Program” for further program requirements.
DoD Performance Management and Appraisal Program Characteristics
● The performance appraisal cycle runs from April 1
through March 31 of the following calendar year, and
the rating of record will be effective June 1.
● A minimum of three documented performance discussions (performance planning, performance review,
final performance appraisal) is required, with emphasis on continuous two-way communication.
● A 3-level rating pattern (Outstanding, Fully Successful, Unacceptable).
● Clearly developed performance elements linked to organizational goals.
● Descriptive performance narratives reflecting distinctions in performance.
● Documented performance that may be linked to other personnel decisions.
● Continuous recognition and reward both monetary and non-monetary.
● Focus on fostering a culture of high performance.
● An automated performance appraisal tool (MyPerformance) to facilitate performance planning,
communications, and the appraisal cycle process.
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CHAPTER 2 - PLANNING PERFORMANCE
OVERVIEW
Planning performance is the first step in the performance management process and sets the
foundation for successful performance - essential for achieving and sustaining a culture of high-
performance. Performance Planning includes establishing performance expectations, two-way
communication to achieve mutual understanding of the performance expectations, and aligning
performance with organizational goals. Each employee performance plan will identify specific
performance expectations using performance standards and elements to which the employee
will be held accountable. Supervisors will communicate the final plan to the employee once it
has been approved in accordance with Component procedures.
In a performance-based culture where employee engagement and the role of supervisors are
emphasized, the value of involving employees in the planning process should not be
underestimated. Employees perform best when they feel their work is connected to the
accomplishment of the organization’s mission. Getting employees involved in the planning
process promotes understanding of how their contributions affect the organization’s mission
accomplishment, and leads to:
A better understanding of the organization goals and how to accomplish them.
Increased awareness of individual performance expectations, desired results, and their
importance in supporting organizational performance.
A sense of ownership in their performance plan which leads to improved performance.
What You Should Know:
● Supervisors and employees share responsibility for planning performance that is aligned
with the Department’s and organization’s mission.
●
Performance plans should be established, approved, and communicated to each employee
within 30 calendar days of the beginning of the appraisal cycle or within 30 calendar days
of employee’s assignment to the position or set of duties, whichever occurs later.
● The performance management and appraisal program emphasizes the importance of
supervisory responsibilities.
● Performance standards should use SMART criteria: Specific, Measurable, Achievable,
Relevant, and Timely.
● All performance elements are critical elements.
● Performance elements tell an employee what to do; performance standards tell an
employee how to accomplish performance elements.
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Employees:
As members of a high-performing organization, employees contribute to
the overall success of the DoD mission when they:
Take responsibility to continuously improve individual performance,
support mission and organizational goals, engage in professional
development, and perform at full potential.
Set high standards in the pursuit of excellence in carrying out
assigned duties.
Provide input to their performance plan.
Recommend changes in their performance plan for supervisory
consideration.
Ask questions to clarify their supervisor’s expectations.
PERFORMANCE PLAN
To perform well, employees need to know what is expected of them. Ensuring employee
position descriptions (PD) are up-to-date is a great place to start. Position descriptions describe
the essential functions, tasks, and responsibilities of the job and outline the general knowledge
and skill required of the employee to be successful in the job. When thinking about high quality
on-the-job performance, a range of expected job outcomes should be considered, such as:
What goods and services should the employee produce?
What impact does the work have on the organization?
How is the employee expected to interact with customers, colleagues, and leadership?
What are the organizational goals the employee supports?
What are the processes, methods, or means the employee is expected to use?
How will success be measured?
The performance plan consists
of performance standards and
elements which help
employees understand why the
job exists, where it fits in the
organization, and how the job's
responsibilities link to
Department and organization
goals. Performance standards
and elements serve as a
foundation for communicating
about performance throughout
the performance period and
the basis for reviewing employee performance. When a supervisor and employee set clear
expectations about the results to be achieved and the methods or approaches needed to
achieve them, they establish a path for success.
Employees are encouraged to actively participate in defining performance expectations and standards.
Employee involvement can improve the reliability, validity, fairness, and usefulness of performance
expectations and standards because employees have direct, first-hand knowledge of any constraints
that may impact their performance. Employee participation is essential for developing realistic
expectations and standards.
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Supervisors:
Identify organizational goals to which the employee will contribute.
Determine appropriate performance elements for each employee.
Identify measureable performance standards for each element.
Conduct a planning discussion with each employee and offer the
employee an opportunity to provide input into his or her plan.
Develop and clarify performance expectations with the employee.
Establish a coaching and mentoring relationship with employees.
Communicate the plan to the employee.
Provide a copy of the approved performance plan to the employee.
The supervisor is responsible for preparing the performance plan; however, performance plans
are more effective when accomplished as a joint effort between the supervisor and employee.
This should be accomplished by the employee and supervisor discussing and establishing
performance expectations and creating an individualized performance plan for the upcoming
performance period together (the employee may also provide comments on a draft
performance plan prepared by the supervisor) which includes:
Writing effective performance standards and elements clearly aligned to the organization
mission.
Developing performance elements and associated performance standards.
Defining roles, responsibilities, and establishing timelines.
Performance plans should be established, approved in accordance with organizational
procedures, and communicated to each employee within 30 calendar days of the beginning of
the appraisal cycle OR within 30 calendar days of employee’s assignment to the position or set
of duties, whichever occurs later.
Once the performance plan is
approved, the supervisor is
responsible for communicating
its contents to the employee to
ensure a shared understanding
of the employee’s expected
contributions towards mission
accomplishment. The
performance plan must contain
a minimum of one element
(maximum of 10, though three
to five are usually adequate)
and associated standard(s) that set forth expectations for the element(s).
LINKING PERFORMANCE PLANS TO DOD CORE VALUES AND ORGANIZATIONAL GOALS
Core values are foundational principles that guide business strategies of an organization, inform
employees of what activities are important to achieve mission success, and provide a
framework for accountability. In order to develop common awareness of the DoD Core Values
and to reinforce a culture of high performance, DoD Core Values should be discussed with each
employee at the beginning of each appraisal cycle and will be annotated on all performance
plans. The DoD Core Values of Leadership, Professionalism, and Technical Knowledge form
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the foundation of the DoD performance culture. When supervisors and employees discuss
these values as they relate to their work, it creates an increased awareness of the common
ground shared by all individuals within the DoD.
Strategic management is most effective when performance management programs link
individual and team performance to organizational goals for desired results. The Performance
Management and Appraisal Program encourages a close review of every job to align the work
with the strategies, goals, vision, and values of the Department. Helping employees understand
the link between their performance elements, organizational goals, and the Department’s
strategic priorities is essential to focusing employee efforts on the greatest contributions to
mission accomplishment. Thus, supervisors should become familiar with the Department’s
strategic goals to understand the “big picture.” At a minimum, this requires that supervisors
gather enough information to answer the following questions:
What are the strategic goals outlined in the Department’s Strategic Plan? To achieve its
mission, the DoD identifies several strategic goals. Each of these goals is supported by
objective, quantifiable, and measurable organizational performance goals, as required by the
Government Performance and Results Modernization Act of 2010. Reviewing and
understanding these strategic goals will provide managers the necessary framework to
develop work unit goals and create individual performance plans. Ultimately, each
organizational unit within the Department support one of the strategic goals, and managers
should be able to clearly identify the relationship of the work in their unit to one of the
Department’s strategic goals.
What is the specific performance goal(s) established for your program area as outlined in
the Department’s annual performance plan? Department’s annual performance plan
defines what will be accomplished and the goals within it describe the desired incremental
progress toward accomplishing the annual plan. These goals are usually more specific and
may be more output-oriented than the general goals found in the strategic plan. Since
performance plan goals should be used by managers as they direct and oversee their
programs, these are the goals to which employee performance plans should be linked.
What performance measures are already in place? Managers should be aware of the
measurement systems (both internal and external) that can be accessed for information on
performance, including measures for determining progress toward achieving goals such as
customer feedback surveys.
Appendix A: Aligning Employee Performance Plans with Organizational Goals provides an
effective approach for developing performance plans linked to the organizational mission. DoD
performance documents can be found at https://www.performance.gov/agency/department-
defense#overview
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PERFORMANCE ELEMENTS AND STANDARDS – UNDERSTANDING THE DIFFERENCE
Expectations of employee performance are established through the performance elements and
standards contained in employee performance plans. Performance elements tell employees
what to do; standards tell employees how to accomplish performance elements. Elements and
standards identify baselines for measuring performance results. Supervisors can provide
specific feedback to describe any gap between expected and actual performance based on
established performance elements and standards. Since performance elements are direct links
between an employee’s work, organization goals, and Department mission; elements force the
supervisor and employee to plan for results, not just activities. It is important to note that
performance elements must address work performance, not behavioral matters or use of sick
or family medical leave.
Table 1. Characteristics of Elements and Standards
ELEMENT
STANDARD
Broad scope that goes beyond day-to-
day measures.
Directly linked to daily responsibilities
contributing to job-task completion.
Clearly linked to helping the
Department & organization meet its
goals.
Details how to accomplish elements at
the “Fully Successful” level.
Expresses results an employee is
expected to produce during the appraisal
cycle.
Differentiates between acceptable and
“Unacceptable” results.
Future state of achievement that help
the organization succeed and create
value.
Informs characteristics of performance
such as quality, quantity, and timeliness.
PERFORMANCE ELEMENTS
Performance elements tell employees what to do. Performance elements describe the
required duties and responsibilities and should be clearly defined, stand-alone segments of an
employee’s responsibilities. All performance elements in the Performance Management and
Appraisal Program are critical elements and align with organizational goals. For tip sheets on
developing performance elements aligned with organizational goals visit the DoD Performance
Management webpage at https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-
Employee-Relations/Pages/Home1.aspx.
A performance element:
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Is an assignment or responsibility of such importance that “Unacceptable” performance in
that element would result in a determination that the employee's overall performance is
“Unacceptable”.
Is required for every performance plan; between three and five elements are appropriate for
most work situations.
Describes individual work assignments and responsibilities that are within the employee's
control. Elements for team performance will not be established.
Supervisory Elements
To reinforce the importance of supervisor roles and responsibilities, the number of supervisory
performance elements will equal or exceed the number of non-supervisory performance
elements in the performance plan. Whereby, reinforcing the importance of supervisory duties.
SMART PERFORMANCE STANDARDS
Performance standards tell employees how to accomplish performance elements. Performance
standards are the requirements or expectations provided for each performance element and
express the expected performance at the “Fully Successful” level. Supervisors may also
describe measures of success for the “Outstanding” level. Encourage employee participation in
developing standards, as with elements, and discuss the criteria for achieving and associated
method for evaluating performance at the “Fully Successful” level. Establish performance
standards for each key area of responsibility.
Performance standards should be written using the SMART criteria, which provides a
framework for developing effective expectations and results. Start by answering the following:
Specific – What needs to be accomplished? The performance standard should be stated as
simply, concisely, and explicitly as possible to answer questions such as how much, for
whom, for what, and how often?
Measurable – Where is the performance target? This is the gauge for quantifying the
accomplishment of the performance element and calls for criteria to measure progress
toward the goal. Writing measurable performance standards delivers an objective
evaluation.
Achievable – Can the element be accomplished with the resources, personnel, and time
available, and is it sufficiently challenging but not so complex as to be unrealistic?
Relevant – Why is the element important? This links the element to the organization and
Department mission.
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Absolute Standard Examples:
Respond to all emergency calls within 7 minutes.
Administer appropriate emergency medical care
based on assessing the patient’s condition; lift,
move, position, and otherwise handle the patient
to minimize discomfort and prevent further injury.
The examples above are among the very limited
circumstances in which an absolute standard is
appropriate.
Backward Standard:
“Employee should not perform work inaccurately.”
Under this backward standard, an employee could
potentially meet the standard while producing low-
quality work or even no work at all, so long as it did not
contain inaccuracies.
SMART Standard:
“By the end of this quarter, decrease the time to
respond to customer queries to 24 hours.”
This SMART standard specifically addresses customer
queries and sets both measurable and timely
parameters employee must meet in order to be
considered “Fully Successful.”
Timely – When will the element start, or be completed? If a multiple process project is being
evaluated, name the specific outcome expected for the current appraisal cycle.
Supervisors should strive to include all five of the SMART criterion as often as possible. For tips
on how to write SMART performance standards refer to the Performance Management
webpage at: https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-
Relations/Pages/Home1.aspx.
Absolute Standard: An absolute standard
requires employees to perform work
without error. In some cases, absolute
standards are appropriate. A single failure to
perform under an element could result in
serious injury, loss of life, breach of national
security, or great monetary loss. To
determine whether a standard is absolute,
ask:
How many times may the employee fail the standard and still be “Fully Successful”?
If the standard allows for no errors, is it valid according to the criteria listed above (i.e.,
serious injury, loss of life, breach of national security, or great monetary loss)?
Backward Standard: A backward standard
tells the employee what not to do rather
than what to do, therefore, should not be
used. Performance elements and
SMART standards within the
performance plan inform employees of
what and how to achieve “Fully Successful”
performance. To avoid drafting backward
standards, ask yourself “Does the standard
express the level of work necessary to
accomplish the mission?”
When putting it all together, performance
elements and standards should clearly
describe specific expectations of job performance required to achieve mission success. For tip
sheets on writing performance plans visit the DoD Performance Management webpage at
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https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-
Relations/Pages/Home1.aspx.
COMMUNICATING PERFORMANCE EXPECTATIONS
At the beginning of the appraisal cycle or the employee’s assignment to a new position,
normally within 30 calendar days, the supervisor and the employee meet to discuss
performance expectations for the coming appraisal cycle and how they link to organizational
goals. This meeting provides an opportunity for the supervisor and employee to achieve a
common understanding of the performance required for mission success. By proactively
communicating with employees, supervisors:
Reduce uncertainty and confusion – Open dialogue regarding the performance appraisal
program increases the employee’s understanding of the program and what it means to work
in a high-performing organization. Making time to explain how the performance appraisal
program benefits employees and helping them become familiar with its characteristics can
raise employee comfort level.
Provide Transparency – By openly communicating with employees and soliciting feedback,
supervisors have the opportunity to address employee concerns and provide fact-based
information that dispels any rumors and clarifies any misconceptions about the Performance
Management and Appraisal Program.
Increase confidence – Employees who understand where they fit in the big picture and what
they need to do to succeed are going to be more open to the process and are better engaged
in mission accomplishment. A common understanding and shared vision contribute to a
more efficient and effective work environment.
MODIFYING THE PLAN DURING THE APPRAISAL CYCLE
Although performance plans are initiated at the beginning of the appraisal cycle, they are
flexible, living documents and can be updated to meet the organizational needs. Any number
of events can take place during an appraisal cycle that would warrant changing a plan. For
example, plans may be changed to reflect:
New organizational goals or changes in mission requirements;
Change in assignment(s), position, or duties;
Employee requested, agency approved reasonable accommodation; example light duty in
accordance with applicable regulations.
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Updated goals when outside influences beyond an employee’s control make the original
goals unachievable; or
A change in assumptions about what can reasonably be achieved.
When necessary, the affected performance plans should be modified and annotated to reflect
the new goals and priorities, and communicated to employees. Just as with establishing
performance plans, changes should also be done with employee input. For those employees
requesting reasonable accommodation or light duty, check with your local Equal Employment
Opportunity and Human Resources Office.
As part of the performance planning process, supervisors should discuss employees’ short- and
long-term learning and developmental goals and may assist employees in creating an Individual
Development Plan (IDP). An IDP is a tool to assist employees in career and personal
development. Its primary purpose is to help employees reach short and long-term career goals,
as well as improve current job performance. An IDP is not a performance evaluation tool or a
one-time activity. It should be looked at as a partnership between the employee and the
supervisor. For more information on IDPs, contact your servicing Human Resources Office.
As a general rule, changes to performance plans should not be made during the last
90 calendar days of the appraisal cycle. However, if necessary, the supervisor may:
(1) Extend the appraisal cycle so the employee has an opportunity to work
under the changed performance plan for at least 90 calendar days;
(2) Delay the change until the next performance appraisal cycle begins; or
(3) Update the plan, and if the employee does not have an opportunity to
perform the new element(s) for the minimum 90 calendar-day period, do not
rate the revised element(s).
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Supervisors:
Continuously communicate with and provide encouragement,
constructive feedback, and recognition to employees.
Provide employees an opportunity to highlight their
accomplishments.
Review IDPs to identify training, on-the-job training, counseling,
coaching, and mentoring opportunities.
Be knowledgeable regarding each employee’s skills and
abilities and look for opportunities to help employees further
develop their skills.
Document performance discussions and progress reviews
completed.
Recognize and reward performance throughout the
performance appraisal cycle rather than waiting until the end of
the appraisal cycle.
CHAPTER 3 - MONITORING PERFORMANCE
OVERVIEW
To foster a culture of high performance, the performance management process focuses on
employee engagement, development, performance, and accountability at all levels. In a high-
performing organization, supervisors continually monitor assignments and projects consistently
to measure performance and provide ongoing feedback to employees and work groups on
progress toward reaching their
goals. In addition to providing
feedback whenever
exceptional or ineffective
performance is observed,
supervisors should provide
periodic feedback about day-
to-day accomplishments and
contributions, as this is very
valuable. Feedback is essential
in gaining the maximum
benefits from goal setting
because timely feedback
allows employees the
opportunity to adjust
accordingly.
WHAT YOU SHOULD KNOW:
Monitoring performance means measuring performance and providing ongoing, timely, and
constructive feedback to employees to:
● Foster communication through open exchanges between the supervisor and employee;
● Further enhance the employee’s understanding of the organization’s expectations regarding
his or her performance, including emphasis on the Department’s and organization’s core
values;
● Discuss progress on performance goals and address employee strengths or weaknesses;
● Provide an opportunity for the employee to convey his or her career goals and identify tools,
resources, and support he or she may need from the rater; and
● Provide timely recognition and reward for excellent performance.
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Employees:
Ask questions.
Remain engaged in self-development.
Keep their supervisor informed on the outcomes of their work.
Provide input about their accomplishments, relative to the
performance elements and standards, during the progress
reviews.
Identify work problems or circumstances which may affect
accomplishment of performance expectations and cooperate
with their supervisor to resolve them.
Complete training and developmental assignments to meet
current or future job performance needs.
During the Monitoring process, communication is the most important determinant of success of
the employee and supervisor. A two-way communication process and joint responsibility of
both supervisors and employees is necessary for the feedback process to work well. Either the
supervisor or employee can initiate a progress review at any time during the appraisal cycle.
Although supervisors are required to hold three documented performance discussions,
including at least one formal progress review, (communicating the performance plan, progress
review, and the annual appraisal) during the appraisal cycle, engaging employees in continuous
and timely performance feedback throughout the appraisal cycle is important. Continuous two-
way communication between supervisors and employees fosters strong working relationships.
This continuous engagement emphasizes the ongoing nature of performance management
while de-emphasizing performance management all at once at the end of the performance
period.
Meaningful employee
participation in the performance
management process increases
the quality and quantity of
performance information
shared, which leads to a more
accurate performance appraisal.
Time spent focusing on
employee engagement, actively
managing performance, and
providing feedback will pay off
for supervisors, employees, and
the organization as a whole.
Effective and timely feedback during the performance appraisal cycle provides employees with
an understanding of how well they are performing, what they are doing well, and if there are
areas which need improvement. Feedback can come from many different sources, such as
observation, measurement systems, peers, and input from customers. Feedback should be
specific, descriptive, timely, focused on results, and limited to one or two pieces of feedback.
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HOW TO PROVIDE FEEDBACK
Provide timely feedback.
To be effective, feedback should be given as soon after an event as possible. This
enables employees to act on feedback immediately. If employees need to improve their
performance, the sooner they find out about their deficiencies, the sooner they can
correct them. If employees have reached or exceeded a goal, the sooner they receive
positive feedback, the more motivating and rewarding the feedback would be.
Share both positive and constructive feedback.
Feedback should be given when performance fails to meet expectations and when
performance exceeds expectations.
Provide feedback that is constructive and substantive.
Without feedback, employees cannot make adjustments in job performance, nor do
they receive positive reinforcement for effective job performance. State factual
observations, not assumptions or interpretations.
Maintain a positive focus.
If an employee’s performance is “Fully Successful” or above, focus on the factors that
lead to success. If an employee’s performance is less than “Fully Successful,” focus on
problem solving rather than faultfinding.
Give balanced feedback.
Do not make the common error of glossing over an employee’s deficiencies and
focusing only on strengths. It is by understanding their weaknesses that employees can
take ownership of their performance and their role in the organization. When given the
support they need to make improvements in these areas, employees learn to take pride
in their work and are willing to take on new challenges with confidence.
Discuss performance on an ongoing basis.
When feedback is provided on a continual basis, it can be an effective tool for engaging
performance and avoiding potential performance issues. This is particularly serious in
the case of an employee who is performing below the “Fully Successful” level. In this
case, it may be necessary to provide additional written criteria on performance
expectations and/or schedule recurring performance discussions with the employee.
(For more information on dealing with performance issues, see Chapter 8.)
Document performance discussions and progress reviews.
Summarize performance discussions and progress reviews in writing and provide a copy
to the employee with the performance plan, both of which serve as valuable points of
reference for the supervisor’s expectations and the employee’s responsibilities.
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PROGRESS DISCUSSIONS AND REVIEWS
Ongoing communication and feedback are essential to a successful performance management
program. Progress reviews are initiated by the supervisor and provide an opportunity for a
constructive dialogue between supervisors and employees that focuses on performance – what
is working well and what are the opportunities for improvement. The goal of progress reviews
and other feedback is to ensure that employees understand the importance of their
performance goals and are aware of their progress. Without accurate feedback, it is virtually
impossible for the employee to know if he or she is meeting job expectations. Multiple
progress reviews throughout the appraisal cycle provide opportunities for supervisors and
employees to discuss and document any needed adjustments to performance plans.
Understanding how to prepare for and conduct performance discussions leads to productive
outcomes. For tip sheets on performance discussions and reviews visit the DoD Performance
Management webpage at https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-
Employee-Relations/Pages/Home1.aspx.
PERFORMANCE DISCUSSION AND PROGRESS REVIEW PREPARATION FOR EMPLOYEES
Performance discussions are an opportunity for two-way communication between a supervisor
and an employee. Employees are encouraged to proactively engage with their supervisor and
participate in meaningful performance discussions to foster positive and beneficial outcomes.
Following are tips for employees to consider in preparation for progress reviews:
Review the DoD Core Values: Leadership, Professionalism, and Technical Knowledge.
Periodically review your organizational mission and organization’s goals.
Remain familiar with your performance plan to ensure expectations are being met and
progress toward goals is being made.
Take the opportunity to provide your performance input. The employee input process
provides the chance to review and consider accomplishments, challenges, and performance
throughout the appraisal cycle from an employee’s perspective. Remain positive and open.
At the end of the Progress Review, both supervisor and employee should
be clear about:
The employee’s current performance;
Performance expectations for the remainder of the appraisal cycle; and
How the employee’s performance will be evaluated.
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Give constructive suggestions to your supervisor when it applies. When citing an area that
needs attention, offer suggestions for improvement. Identify barriers to meeting goals
outlined in the performance plan.
Make sufficient time to prepare for performance discussions and progress reviews. These
are your best opportunities to freely discuss your performance and your personal career
goals with your supervisor.
Consider the following questions:
- What is going well in the job? What do you feel needs more attention?
- Have any of your key responsibilities changed due to schedule, budget, or other resource
changes?
- What concerns should be addressed with your supervisor?
- Are there barriers that impede accomplishment of your work?
PERFORMANCE DISCUSSIONS RELATED TO LESS THAN “FULLY SUCCESSFUL” PERFORMANCE
The best way for a supervisor to handle less than “Fully Successful” performance is to address
issues in a timely manner. If at any time during the appraisal cycle an employee's performance
is found to be less than “Fully Successful,” the supervisor must take the necessary steps to
remedy the problem. During the Monitoring process, performance discussions, progress
reviews, and continuous two-way communication are essential to achieving a mutual
understanding of performance expectations and to addressing performance issues early.
Appropriate actions include formal or informal training, coaching or mentoring, and timely
recognition of desired performance levels.
Listening To and Receiving Feedback - Tips for Supervisors and
Employees:
Recognize that feedback can be difficult to receive, but be open to what
you are hearing.
Actively listen without comment until the speaker is finished and focus on
the words being used.
Feel free to take notes so you can capture what is being said and refer to
them later.
Ask for specific examples if you want clarification about a specific
critique or comment.
Allow yourself time to process the information and schedule a follow-up
meeting if necessary.
Taking these steps will assist both supervisors and employees to be more
prepared for the Monitoring process of the appraisal cycle.
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Prior to holding a discussion with an employee regarding less than “Fully Successful”
performance, a supervisor should ask:
What aspects of the employee’s performance are unsatisfactory?
Does the employee understand performance expectations?
What obstacles are there to meeting those expectations? Are extenuating circumstances
preventing the employee from doing his or her best?
Supervisors should address performance issues by:
Describing the performance problem(s) observed by comparing the employee’s current
performance to expectations.
Focusing on specific issues that need to be changed and provide specific examples to the
employee.
Keeping track of what the employee is doing right so you can build on their strengths during
performance discussions and progress reviews.
More guidance on improving deficient performance is outlined in Chapter 8 of this guide. For
tip sheets on how to prepare for and conduct performance discussions and reviews to address
deficient performance visit the DoD Performance Management webpage at
https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-
Relations/Pages/Home1.aspx.
TRAINING OR DEVELOPMENTAL OPPORTUNITIES
Supervisors are responsible for helping their employees succeed. During the Monitoring
process, coaching and mentoring are both important activities to undertake to help employees
maximize their performance, productivity, and growth. Effective coaching and mentoring can
improve job effectiveness and efficiency.
Coaching is a one-on-one relationship between the supervisor and an employee in which the
supervisor provides specific feedback to maximize the employee’s job performance. Coaching
is a short-term engagement primarily focused on helping employees achieve their performance
goals during the current performance appraisal cycle. As a coach, supervisors are responsible
for identifying any training or resources employees need. Supervisors should also let
employees know how they are performing throughout the performance period so employees
can adjust their performance as necessary, without having to wait for the final performance
appraisal discussion. Coaching is an opportunity to create positive, lasting change.
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What is the difference between supervisors who gain their employees’ commitment to high
performance and those who only settle for compliance with the minimum requirements?
Often, the answer is coaching. The most effective leaders are not just managers or supervisors
– they are coaches who motivate employees to gain new skills, achieve higher levels of
performance, improve productivity, and overcome performance difficulties.
Mentoring is a relationship between two employees, who may be inside or outside the
Department or organization, in which the mentor focuses on supporting and guiding the
mentee throughout his or her career, not just during a specific performance appraisal cycle.
Mentors can help mentees identify the training, resources, and relationships they need in the
short, intermediate, and long-term to further their careers. A mentoring relationship provides
both the mentor and mentee with an opportunity to learn and grow personally and
professionally. Mentoring is a positive way of helping newer employees settle in, navigate their
way, and understand the organization’s culture and professional expectations. Mentoring can
foster organizational development and cultural change by communicating the organization’s
values, vision, and mission. It is also valuable in developing leaders and supervisors because
guided practice with an experienced mentor is an effective way to acquire needed skills and
competencies.
Another way supervisors may encourage their employees to develop to their maximum
potential is by encouraging employees to take advantage of training opportunities. While
supervisors have significant influence over formal training, they have even greater impact on
informal employee development. Both formal and informal development can take a wide
variety of forms:
On-the-job training provides individualized advice and instruction.
Mentoring helps employees clarify career goals, understand the organization, analyze
strengths and developmental needs, build support networks, and deal with roadblocks.
Regular team meetings can help focus on sharing knowledge.
Job rotations and special assignments can challenge employees and broaden their
understanding of the organization.
Coaching and mentoring should continue throughout all process of the appraisal
cycle, not just the
Monitoring process. Effective supervisors continually review
each employee’s performance, give ongoing constructive feedback, and encourage
dialogue. By doing so,
coaching and mentoring, become a routine part of
effective performance management practices.
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EMPLOYEE ENGAGEMENT
Engaged employees provide information and feedback to supervisors whenever possible.
Engaged employees are part of a team and are motivated to share responsibility for
organizational success.
Employees share a responsibility for mission accomplishment with the supervisor by:
- Supporting team cohesion.
- Understanding the responsibilities of each team member and sharing this understanding
amongst the team.
- Identifying barriers to mission success.
- Providing a perspective on the team’s strengths, weaknesses, and the team’s most
difficult challenges.
Engaged employees provide input into how the work gets done and perceptions about the
organization’s performance through upward feedback by:
- Understanding the team’s long-term work goals.
- Understanding how the team carries out their shared responsibilities.
- Sharing in the discovery of strategies to find the best ways to achieve organizational
success.
- Teaching new skills, concepts, processes, or procedures to others.
- Providing supervisors with constructive feedback.
- Providing a perspective on organizational strengths and weaknesses in a productive
manner.
This collaborative engagement by employees has the potential to increase the effectiveness of
the supervisor and the productivity of the work unit. Supervisors who encourage and engage in
open feedback and discuss with employees how they plan to use this feedback can increase
engagement and team productivity, as employees will feel a sense of ownership in the
organization when they see that their input is valued and included in decision-making.
Coaching, mentoring, and engagement involve continuous and meaningful two-way
communication, and when used effectively and routinely, these strategies provide the
employee with clear performance feedback on his or her strengths and areas requiring
development.
This
means that the annual performance review is not a surprise, but rather a
summary
of
the discussions throughout the
performance period.
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Supervisors:
Request and consider employee input as provided.
Consider obstacles encountered and overcome by the
employee.
Prepare a written narrative and a rating on each performance
element on which the employee has had an opportunity to
perform.
Make meaningful distinctions among employees based on
performance; foster and reward excellent performance; and
timely address performance issues.
Once the ratings have been approved and finalized, clearly
communicate to the employee each performance element rating
that has been assigned, the reasons behind each performance
rating, and the overall rating of record.
CHAPTER 4 - EVALUATING PERFORMANCE
OVERVIEW
Within the context of formal performance appraisal requirements, evaluating performance
means rating employee performance against the elements and standards in an employee’s
performance plan and assigning a rating of record. The rating of record is based on work
performed during the appraisal cycle, and has a bearing on various other personnel actions,
including performance-based awards, within-grade pay increases, and determining additional
retention service credit in a reduction in force (RIF).
A written rating of record must
be given to each employee in the
final performance appraisal
discussion that occurs at the end
of the performance period; the
final rating of record effective
date is June 1. Supervisors are
required to rate each
performance element based on
an approved plan and provide a
rating of record for each
employee who has been under
an approved performance plan
for at least 90 calendar days
during the appraisal cycle.
WHAT YOU SHOULD KNOW:
● Supervisors are required to provide a record of rating for each employee who has been
under an approved and communicated performance plan for at least 90 calendar days
during the appraisal cycle.
● Rate employee performance against the elements and standards established in the
performance plan.
● Objectively assess employees using fair, credible, and transparent measures.
● Employee input is encouraged as a means for employees to document their
accomplishments and demonstrate their contributions to mission success.
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EMPLOYEES
Participation in the Evaluating Performance process is strongly
encouraged by:
Providing employee input.
Addressing each performance element.
Restating the understanding of their performance elements.
Highlighting all of the most significant achievements for the
appraisal cycle by including those related directly and indirectly to
the performance elements.
Making the connection between what was accomplished, what the
result was, and how it impacted the organization.
Annotating what challenges were faced, how they were resolved,
and how one might approach similar issues in the future.
EMPLOYEE INPUT
Employee input provides an employee with an opportunity to submit a written account of their
major accomplishments related to the performance elements and associated performance
standards provided in their performance plan. The employee can describe how their
contributions enabled mission accomplishment. Another element of employee input may be
achievements or recognition
achieved during the
performance period as well as
training and developmental
courses completed. Employee
input does not relieve the
supervisor of the
responsibility for writing a
performance narrative of
their employees’
contributions. It should serve
as a reminder to supervisors
about significant
accomplishments of their
employees and can provide an
opportunity for further
discussion between the employee and supervisor and about employee performance. In order to
effectively portray his or her accomplishments, an employee should:
Review the organizational mission statement, along with the organization’s goals.
Review the PD and performance plan to examine how elements and standards were met.
Take the opportunity to review the IDP, if applicable, assess any progress, and consider
updating the IDP, as appropriate.
Highlight contributions and significant achievements accomplished during the appraisal
cycle.
NARRATIVE STATEMENT
A narrative statement is a written appraisal or summary by the supervisor that accurately
details the employee’s significant performance achievement(s) or result(s) and observable
behaviors relative to the performance elements and standards for the appraisal cycle. It
provides the supervisor an opportunity to fully state the employee’s achievements and abilities
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or address specific performance deficiencies. The narrative statement justifies how an
employee’s ratings are achieved.
Each performance element that is evaluated at the “Outstanding” or “Unacceptable” level must
be accompanied by a narrative justification as to the employee’s accomplishment or lack of
accomplishment. While a narrative statement is not required for elements rated at the “Fully
Successful” level, supervisors are highly encouraged to use the narrative statement as another
means of providing feedback, to provide a written record of the employee’s accomplishments,
and to develop and motivate employees. Additionally, narrative statements may be utilized in
local awards programs, thereby increasing their value as a mechanism for recognizing employee
accomplishments.
For information on completing narrative statements within the DoD automated performance
appraisal tool (MyPerformance), please refer to the MyPerformance User Guide at
https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-
Relations/Pages/Home1.aspx.
PERFORMANCE SUMMARY LEVELS
The DoD Performance Management and Appraisal Program applies the following performance
summary levels: “Outstanding” – 5, “Fully Successful” – 3, and “Unacceptable” – 1.
“Outstanding”
The quality and quantity of the employee’s work substantially exceeds the standard with
minimal room for improvement.
The accuracy, thoroughness, and timeliness of the employee’s work on this element are
exceptionally reliable.
Application of technical knowledge and skills goes well beyond that expected for the
position.
The employee consistently and significantly improves the work processes and products for
which he or she is responsible.
The employee’s adherence to procedures and formats, as well as suggestions provided for
improvement in these areas increases the employee’s value to the organization and overall
mission accomplishment.
Work products rarely require even minor revisions.
The employee seeks additional work or special assignments at increasing levels of difficulty.
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“Fully Successful”
The quality and quantity of the employee’s work fully meets the requirements of the
performance element.
Major revisions are normally not necessary; most work only requires minor revision.
Projects are completed accurately, thoroughly, and timely.
Technical skills and knowledge are applied effectively to specific job tasks.
The employee adheres to procedures and format requirements.
Routine problems associated with completing assignments are resolved with minimum
supervision.
“Unacceptable”
The quality, quantity, and timeliness of the work are unsatisfactory.
Work products must be continually revised and edited; instructions must be reiterated.
The employee is unable to work reliably and independently without ongoing supervision.
Projects are incomplete or “Unacceptable”.
The employee fails to prioritize and apply routine knowledge and skills expected for this
position, contributing to inadequate work products.
Work is incomplete or unacceptably late because of the employee’s lack of realistic or logical
planning, compounded by their lack of attention to basic priorities or details.
The employee fails or is unable to adapt to changes in priorities, procedures, or program
directions.
DERIVING AND ASSIGNING A RATING OF RECORD
The supervisor appraises each employee’s performance based on a comparison of actual
performance with the established elements and standards in the employee’s performance plan.
The overall rating of record is derived from averaging the ratings of the employee’s
performance elements.
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Table 2. Deriving the Rating of Record
It is important to note:
Failure (“Unacceptable”) on any one element results in an overall rating of “Unacceptable”.
An “Unacceptable” rating of record must be reviewed and approved by a higher-level
reviewer (HLR).
An overall rating of record can only be calculated using performance elements that have
been rated.
FINAL PERFORMANCE APPRAISAL DISCUSSION
The final performance appraisal discussion should be a culmination of the continuous feedback
that occurred throughout the performance period. In other words, there should be no
surprises in the final performance appraisal discussion. During this meeting, supervisors should
discuss with employees their employee input, supervisor’s performance narrative, and rationale
for the evaluation given. If a higher level review of final ratings is required, the final rating can
be communicated to the employee after the HLR. If an HLR is not required, the supervisor may
still take time to establish the final performance rating and communicate it to the employee in
a follow on discussion.
Summary
Level
Summary Level Criteria
Outstanding
The average score of all element ratings is 4.3 or greater, resulting in
a rating of record that is a ‘5’ – “Outstanding”
Fully
Successful
The average score of all element ratings is less than 4.3, with no
element rated a ‘1’ - “Unacceptable”, resulting in a rating of record
that is a ‘3’ – “Fully Successful”
Unacceptable
Any element rated ‘1’ - “Unacceptable”
Each employee should receive a meaningful and accurate appraisal. The success
of the performance appraisal process depends on the supervisor’s willingness to
complete a constructive and objective appraisal and on the employee’s willingness
to respond to constructive suggestions and to work with the supervisor to reach
future goals
.
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COMMUNICATING THE PERFORMANCE APPRAISAL
All ratings of record must be reviewed, and where required, approved by the HLR, prior to
communicating the final appraisal to the employee. The supervisor should schedule the
meeting; inform the employee of the purpose, time, and location; and allow sufficient,
uninterrupted time for each employee. Supervisors and employees should discuss the
following when communicating the performance appraisal:
The employee’s input as it relates to the performance elements and standards;
The challenges the employee faced and how external factors may have impacted
performance;
The performance plan and compare the employee’s accomplishments and contributions as
they relate to organizational goals and mission; and
Any needed developmental opportunities or training programs that may assist the employee
with short- or long-term goals.
RESOLVING DISAGREEMENTS OVER THE RATING OF RECORD
An employee may not necessarily agree with the rating of record, but supervisors should strive
to help the employee understand how the rating was determined. Additionally, an employee’s
acknowledgment or signature on the final appraisal does not indicate agreement with the
rating of record, and the rating of record is official even if the employee does not acknowledge
it in the MyPerformance automated tool or sign it.
When possible, the employee and supervisor should informally attempt to resolve any
disagreements about the rating of record. If they cannot, non-bargaining unit employees may
raise issues related to the performance appraisal process through the administrative grievance
system (AGS) while bargaining unit employees must use the negotiated grievance procedure
(NGP) unless performance appraisals have been excluded from the NGP. Employees may also
have the right to appeal performance-based actions under Title 5, Code of Federal Regulations
(CFR) §432 and §752 to the Merit Systems Protection Board (MSPB). Bargaining unit employees
may use the NGP or the statutory procedures, but not both.
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CHAPTER 5 - RECOGNIZING AND REWARDING PERFORMANCE
OVERVIEW
Supervisors influence employee engagement and strengthen performance by recognizing and
rewarding employees for their contributions. Employees who understand the connection
between effort and outcomes are more likely to perform at a higher level than employees for
whom the connection is unclear. Awards acknowledge, motivate, and reward achievements or
contributions, and are an integral part of performance management. It is important to
recognize good performance and achievements throughout the appraisal cycle as they occur,
preferably, as closely as possible to the act(s) being recognized. Detailed information and
guidance on rewarding performance may be found in DoDI 1400.25-V451, “DoD Civilian
Personnel Management System: Awards” and Component specific policy and guidance.
DOD RECOGNITION AND REWARD PROGRAM
The DoD recognition and rewards program allows the flexibility to create Component-level
programs to suit the organizational differences across the Department. The following principles
embody the DoD Component recognition and reward programs:
The granting of awards is based on merit and contribution to the mission accomplishment, is
significant in nature, and goes above and beyond expectations.
Clear distinctions are made for different levels of performance and contribution.
Supervisors recognize similarly-situated employees with like performance and contribution
and reward them in a consistent manner.
WHAT YOU SHOULD KNOW:
● Recognizing and rewarding employees should occur throughout the performance
appraisal cycle for their performance and to acknowledge contributions to the agency’s
mission.
● Recognition and rewards programs should be fair, credible, and transparent.
● Recognition and rewards motivate employee performance and lead to organizational
mission success.
● Achievements or contributions should be significant in nature, related to organizational
mission and goals, and exceed expectations to qualify for formal recognition.
● Supervisors and employees should be aware of the types of recognition and rewards
available.
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Programs are routinely assessed to ensure achievement of organizational goals are aligned
with business-based criteria and are modified as necessary.
Transparency is built into all steps of the process by communicating the clearly defined
procedures and criteria for the available forms of recognition and rewards.
ACHIEVABLE RECOGNITION AND REWARD
Being recognized and rewarded should be achievable for all employees—not just the very top
performers and not just for the most visible contributions. If all employees believe they are
capable of receiving some type of recognition or reward, and the process is fair, credible, and
transparent, the program will meet its goals of motivating performance. Additionally,
supervisors should be trained in how to use the recognition and rewards program in
accordance with procedures in place to grant recognition and rewards. It is important that
recognition and rewards be granted in a timely manner—ideally, immediately after the
recognizable action. Otherwise, the reward can lose its relevance, and employees will not have
a clear sense of what behavior or accomplishment is rewarded. Honorary awards and time-off
awards should be used throughout the appraisal cycle.
Supervisors are encouraged to use non-monetary awards, especially when funds for monetary
awards are limited and restricted. Examples of non-monetary awards include time off, tokens
of appreciation (such as plaques), acknowledgement at staff meeting, or a certificate of
appreciation, etc. These should be administered in accordance with legal authorities and
Department and Component regulations.
Non-monetary forms of recognition have been shown to be highly effective. Current
DoD policy allows supervisors the flexibility and freedom to recognize employees
using a variety of non-monetary forms of recognition. Recognition, honorary
awards, and time off awards should be used throughout the appraisal cycle.
Executives, managers, supervisors, human resources professionals, and employees
should receive training and resources on recognition and reward programs, including
available forms of recognition and an understanding of how to use recognition to
acknowledge and motivate employees.
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CHAPTER 6 - PERSONNEL ACTIONS
OVERVIEW
The DoD Performance Management and Appraisal Program links employee recognition and
rewards with other performance-based actions to performance appraisals for employees. The
rating of record has a bearing on various other personnel actions, such as promotions, granting
within-grade pay increases, quality step increases and determining additional retention service
credit in a RIF. This chapter covers the link between ratings of record and how they may be
used as a basis for certain other personnel actions. One of the basic concepts of Federal
employment is that personnel decisions are based on merit. Appropriate consideration must
be given to each employee’s performance when making decisions on personnel actions.
PROMOTION
In considering an employee for promotion under competitive procedures, due weight will be
given to past performance appraisals and present performance. In order to be
noncompetitively promoted to a higher grade in a career ladder or equivalent program, an
employee must have a current rating of record of “Fully Successful” or better, in addition to
meeting other prescribed requirements. However, the fact that an employee is rated as “Fully
Successful” or higher at the time they are eligible for a promotion does not mean a promotion
is automatic.
WITHIN-GRADE INCREASES (WGI)
A Within Grade Increase (WGI) – also referred to as a periodic step increase or within range
increase - is intended to recognize “Fully Successful” job performance by advancing employees
to the next step in their grade. Whereby increasing their value in the organization and their
WHAT YOU SHOULD KNOW:
● Employee performance can have either positive or negative impact.
● Effective performance management practices build on the understanding that behavior is
influenced by both positive and negative outcomes.
● Positive results for high performance include recognition and rewards, promotions, within-
grade-increases, and other performance-based actions.
● Effects of performance issues include counseling, reassignment, reduction in grade, or
removal of the employee.
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salary. A WGI is not an entitlement; a supervisor may approve, delay or deny a WGI based on
employee performance. When considering delaying or denying a WGI based on poor
performance, supervisors should contact their servicing Human Resources or Labor and
Employee Relations Office. Additional information and guidance on WGI Delay or Denial
procedures is outlined in Chapter 8.
QUALITY STEP INCREASES (QSI)
A Quality Step Increase (QSI) is intended to provide appropriate incentive and recognition for
demonstrated excellence in performance by granting an accelerated periodic step increase with
the expectation that the exceptional performance will continue into the future. QSIs are based
on a level of exceptional, high-quality, sustained performance, examples include:
The quality and quantity of the employee’s work substantially exceed the “Fully Successful”
standard with minimal room for improvement.
The accuracy and thoroughness of the employee’s work on his or her elements are
consistent and exceptionally reliable. Work products rarely require even minor corrections.
Application of technical knowledge and skills goes beyond that expected for the position.
The employee significantly improves work processes and products for which they are
responsible.
The employee’s adherence to procedures and formats, as well as suggestions made for
improvement in these areas, increases the employee’s value to the organization.
The employee’s performance demonstrates that he or she understands the organization’s
overall mission as it relates to his or her individual work.
The employee develops contingency plans to handle potential problems and quickly adapts
to new priorities and changes in procedures without losing sight of long-term work goals.
The employee’s planning and adaptability result in early or timely completion of work under
all but the most extraordinary circumstances.
Complex issues are brought to the supervisor’s attention; however, the employee handles
most problems routinely and with exceptional skill.
The employee’s oral and written expression is exceptionally clear and effective, improves
cooperation among participants in the workplace, and prevents misunderstandings.
Complicated or controversial subjects are presented or explained effectively to a variety of
audiences so that desired outcomes are achieved.
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To be eligible for a QSI, an employee must:
Currently be paid below step 10 of his or her grade;
Have been rated “Outstanding” (or the highest level available if covered by another
performance program) on their most recent rating of record;
Have demonstrated sustained performance of exceptional, high quality; and
Have not received a QSI (or QSI-equivalent under a personnel system other than the
General Schedule) within the preceding 52 consecutive calendar weeks.
PROBATIONARY/TRIAL PERIOD
New employees are carefully observed during the probationary/trial period to determine
whether their conduct and performance on the job is as expected to become career Federal
employees. These performance discussions with employees should take place at strategic
points of their probationary period so that employees understand what performance standards
are required for retention in the Agency. Supervisors should provide at least one progress
review to ensure that these individuals have adequately demonstrated their qualifications and
fitness for the position, the Department, and the civil service. The effectiveness of the
probationary/trial period is enhanced when action is taken to prevent employees who perform
below the “Fully Successful” level from becoming career Federal employees. Without proper
use of the probationary/trial period to make such an appraisal, the probationary period
becomes meaningless.
If it is determined that a probationary employee is “Unacceptable” in either performance or
conduct, he or she may be terminated at any time during the probationary period, which must
be effective prior to the end of the probationary period. For supervisors, the probationary/trial
period should always be considered a key period for addressing and resolving performance
issues. The lapse of a probationary/trial period without proper appraisal of a new employee’s
performance may result in future performance problems. Employees should take every
opportunity to communicate to their supervisor any barriers to “Fully Successful” performance
during the probationary/trial period.
Employees’ performance during the probationary/trial period usually serves as
a good indicator of how well they will perform throughout their career.
Supervisors should provide periodic progress discussions and at least one
progress review to ensure probationers have adequately demonstrated their
qualifications and fitness for the position, the Department, and the civil service.
The probationary/trial period should always be considered a key period for
addressing and resolving performance issues.
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PROBATIONARY PERIOD FOR SUPERVISORS AND MANAGERS
Individuals serving a supervisory or managerial probationary period should be observed to
determine whether they perform supervisory or managerial duties in a “Fully Successful”
manner. New supervisors and managers who do not successfully complete the probationary
period may be returned to a position of the same grade and pay as previously held. Proper use
of coaching and mentoring during this period can ensure the supervisory employee has fully
demonstrated the qualifications and skills necessary for the supervisory or managerial position.
Emphasis on the importance of supervisory duties is reflected by the DoDI V431 requirement
for supervisory performance elements to equal or exceed non-supervisory performance
elements. Support should be provided to new supervisors in order to fulfill their supervisory
role during the probationary period and beyond.
The New Beginnings CAC enabled webpage (https://dodhrinfo.cpms.osd.mil/New-
Beginnings/Pages/Home1.aspx) offers additional tools and resources such as: the Hiring
Managers Toolkit and the DoD new Supervisor Training requirements Memorandum.
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CHAPTER 7 - SPECIALLY-SITUATED EMPLOYEES
OVERVIEW
There are a number of special circumstances that may affect an employee’s eligibility for a
performance rating. However, all employees who perform work under an approved
performance plan for at least 90 calendar days will be rated based on the period of
demonstrated performance and must receive a rating of record. This chapter outlines
procedures for addressing employee performance for employees who are detailed, matrixed,
on leave without pay (LWOP), transferred, and for other specially-situated employees. If
unsure of the appropriate course of action for any specially-situated employee, contact the
servicing Human Resources Office for further guidance and assistance.
EMPLOYEES ON DETAIL
A detailed employee is an employee on a temporary assignment to a different position or set of
duties for a specified period and is expected to return to his or her permanent position of
record at the end of the assignment. When employees are detailed to another supervisor for
less than 90 calendar days, it remains the responsibility of the supervisor of record (home
supervisor) to develop and discuss a performance plan for that employee and complete the
rating of record under the normal appraisal cycle. The supervisor of record is responsible for
conferring with the supervisor of the detail to obtain any input necessary to assess the
employee’s performance. It is important that every employee’s performance plan accurately
represents the work that is expected of that employee during the appraisal cycle.
Employees who are detailed for 90 calendar days or more must have a written performance
plan, which includes written narrative statements (not a numerical rating) of the employee’s
performance on the elements and standards from the supervisor of the detail, which reflects
work assignments and goals for the detailed position.
WHAT YOU SHOULD KNOW:
● Employees performing under an approved plan for 90 calendar days are eligible for a
rating of record.
● Supervisors of record for detailed and matrixed employees should coordinate and
continuously communicate with the supervisor of the detail or the on-site supervisor.
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MATRIXED EMPLOYEES
A matrixed employee is an employee assigned to an organization or location apart from his or
her permanent supervisor/organization of record and provides support to the on-site
organization. The matrixed employee generally reports to the on-site manager/supervisor for
day-to-day operations, but remains assigned to his or her permanent position of record and
reports to his or her permanent supervisor of record for functional responsibilities.
When employees are matrixed to another organization, it remains the responsibility of the
permanent supervisor of record to develop and discuss a performance plan for that employee
and complete the rating of record. It is important that every employee’s performance plan
accurately represents the work that is expected of that employee during the appraisal cycle.
The supervisor of record is responsible for conferring with the supervisor of the detail or on-site
supervisor of the matrix assignment to determine if any additional performance elements or
standards need to be included in the performance plan and to obtain any input necessary to
assess the employee’s performance.
Supervisors of Record (i.e., Rating Officials) for detailed or matrixed employees are responsible
for:
Conferring with the detail or matrix on-site supervisor to determine if any additional
performance elements and standards, related to the duties of the position, need to be added
to the employee’s performance plan.
Offering the employee an opportunity to provide input to any additional performance
elements or standards.
Requesting written narrative statements (not a numerical rating) of the employee’s
performance on the elements and standards relative to the detail or matrix assignment from
the supervisor of the detail or on-site supervisor.
Retaining employee input received for a detailed or matrixed employee as part of the
appraisal documentation in the Employee Performance File.
Completing the steps in the performance appraisal cycle to include progress reviews and
final rating of record.
Consulting with the detail or on-site matrix supervisor or others, as appropriate, for feedback
to be considered in appraising the employee’s performance on the elements and standards
relative to the position to which the employee was detailed or matrixed.
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Supervisors of detailed or matrixed employees are responsible for:
Conferring with the supervisor of record to provide input on any additional performance
elements or standards related to the project(s) that need to be added to the employee’s
performance plan.
Providing a written narrative summary (not a numerical rating) to the supervisor of record to
be considered in evaluating the employee’s performance.
Keeping the supervisor of record aware of any performance issues and providing input to use
during performance discussions.
Providing continuous feedback and encouraging two-way communication with the detailed
or matrixed employee.
EMPLOYEES PERFORMING REPRESENTATIONAL RESPONSIBILITIES
When an employee is engaged in union representation, time spent performing union
representation does not constitute ‘work of the agency’, and does not count toward the
minimum period of performance of 90 calendar days under an approved performance plan. If
an employee performs agency work to meet the 90 calendar day requirement under an
approved performance plan, employee is eligible to receive a rating.
EXTENDED ABSENCE
The length and dates of a period of LWOP, extended paid leave, or sabbatical, are significant
when determining employee eligibility for a rating of record. If an employee on LWOP or
extended absence worked under an approved performance plan for at least 90 calendar days
during the appraisal cycle, the employee is eligible for a rating. However, if an employee does
not meet the 90 calendar day requirement, then he or she is not eligible to receive a rating.
This guidance should be applied to any employee on extended absence for reasons including,
but not limited to, workers’ compensation, LWOP to follow Head of Household (Permanent
Change of Station), Long-term training, or LWOP as would be appropriate under the Family
Medical Leave Act (FMLA).
OUT-OF-CYCLE APPRAISALS
Ratings are normally given at the end of the appraisal cycle. However, there are instances when
a rating must be given outside of the normal appraisal cycle. Out-of-cycle ratings are used
when:
A supervisor has addressed performance problems with the employee, and the employee’s
performance has further deteriorated to “Unacceptable;”
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An employee’s performance improves for a minimum of 90 calendar days following the
employee’s receipt of an “Unacceptable” performance rating;
The current rating of record (e.g., “Fully Successful” or higher) does not support the
personnel action under consideration (e.g., WGI denial/delay); or
A supervisor has denied a WGI, and the employee has performed at an acceptable level of
competence for a minimum of 90 calendar days.
EMPLOYEES WHO TRANSFER OR SUPERVISORS WHO LEAVE DURING THE APPRAISAL CYCLE
The length of time employees serve under an approved performance plan determines whether
a narrative statement or rating of record is required when an employee transfers or a
supervisor leaves the organization.
A narrative statement is required when an employee has performed under an approved
performance plan for at least 90 calendar days and there are more than 90 calendar days left
in the appraisal cycle. This narrative statement will be considered by the incoming
supervisor.
A rating of record is required when an employee has performed under an approved
performance plan for 90 calendar days or more and the employee or supervisor leaves the
organization with fewer than 90 calendar days remaining in the appraisal cycle. If
circumstances preclude the departing supervisor from carrying out this responsibility, the
HLR may serve as the rating official, subject to local policy.
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Supervisors:
Communicate clear performance standards and expectations
to employees early and often.
Provide constructive feedback on performance.
Provide effective assistance, applicable training, and
coaching and mentoring.
Engaging in the above key strategies early in the process can
prevent a small issue from snowballing into a performance
deficiency that negatively impacts organizational
performance.
CHAPTER 8 - ADDRESSING PERFORMANCE ISSUES
OVERVIEW
Dealing with performance issues is a challenge for any supervisor, yet it is a key supervisory
responsibility. Effective and engaged supervisors keep employees informed of their
performance on a continuous basis in order to minimize instances where deficiencies become
serious performance problems. This chapter covers courses of action that may be taken at any
time during the appraisal cycle when deficiencies do occur.
Dealing with performance issues
effectively means, recognizing
employees’ training needs early,
identifying deficiencies that can
be corrected, and providing the
most effective assistance.
Although informal developmental
strategies may cost very little,
they have potentially big payoffs
in terms of improved individual
performance and organizational
productivity.
WHAT YOU SHOULD KNOW:
● Most performance problems can be resolved through effective communication between
supervisors and their employees.
● Addressing performance issues early has a positive effect throughout the organizational
unit.
● Employees have primary responsibility for improving performance.
● Supervisors play an essential role in improving deficient performance.
● Supervisors should not wait until repeated failures before taking remedial action. It is
easier to rectify one error than the accumulated effect of many mistakes.
● Encourage employee input in performance discussions. Obtain employee
recommendations for improvements to ensure a similar problem does not occur again.
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Employees:
Ask clarifying questions.
Ask for specific examples of “Fully Successful” performance.
Request additional job-related training or assistance.
Adhere to responsibilities outlined in the Performance
Improvement Plan (PIP) document; actively seek assistance
when needed.
The purpose of counseling is to let employees with performance
issues know that their performance is not meeting expectations
and to help them raise their performance to the expected level.
Counseling aims to assist, not punish, the employee.
COMMUNICATING EXPECTATIONS AND PERFORMANCE DEFICIENCIES
Through continuous monitoring and feedback, supervisors may identify work that does not
meet performance expectations. In these instances, the supervisor should engage the
employee to ensure both parties
have a shared understanding of
the performance expectations.
Continuous constructive, timely,
and meaningful dialogue assists
in identifying and reducing
instances of performance
deficiencies and prevents issues
from becoming serious
performance problems.
Although most employees work
hard and do their jobs well, there may be times when supervisors must counsel an employee
whose job performance is “Unacceptable”. Supervisors should address performance issues as
soon as there is a problem; do not wait until a scheduled progress review or the final
performance appraisal discussion. Performance issues rarely correct themselves without
action.
When counseling or feedback do not resolve the performance deficiencies, contact your
servicing Human Resources Office for further assistance and specific guidance on how to
address deficient performance.
ADDRESSING AND RESOLVING PERFORMANCE DEFICIENCIES
If, during the appraisal cycle, a supervisor becomes aware that an employee is performing at a
less than “Fully Successful” level, which means the employee is at risk of being assessed at an
“Unacceptable” level in one or more elements, there are several actions a supervisor should
take to address the deficiency as soon as it is noted:
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Make it clear to the employee that his or her current performance is “Unacceptable” and
provide specific examples of work that has not met expectations, as well as examples of
work that the employee has produced that does meet expectations.
Provide clear guidance as to what is needed in order for the employee to improve
performance and provide ideas of where the employee may go to obtain additional
assistance or training, if applicable.
Tell the employee what type(s) of assistance is available to help the employee meet
expectations.
More than one progress review may be necessary before the employee is able to
demonstrate “Fully Successful” performance.
PROVIDING AN OPPORTUNITY TO IMPROVE
If, despite the preventive steps taken, an employee’s performance is “Unacceptable” in one or
more elements, the supervisor should provide the employee with a formal opportunity to
demonstrate “Fully Successful” performance. As part of the performance improvement plan
(PIP), training and development may also become an essential component of demonstrating
assistance to employees who are not meeting performance requirements. Supervisors should
contact the servicing Human Resources Office for assistance as soon as problems with an
employee’s performance develop.
The PIP is a tool to provide struggling employees the opportunity to succeed while still holding
them accountable for past performance. The PIP clarifies the work performance that needs
improvement and how to improve. This opportunity period should represent a genuine effort
on management’s part to assist an employee based on that employee’s deficiencies. In the PIP
document, the supervisor must provide a written description of the deficient performance and
specific instances of “Unacceptable” performance. The PIP should:
Identify the element(s) in which performance is deficient and provide a description of the
“Unacceptable” performance.
Specify what the employee must do in order to demonstrate “Fully Successful” performance
(i.e., clear detail of what is expected from the employee and how management will measure
performance).
Indicate to the employee the time allowed for the opportunity to improve.
Explain what management will provide to assist the employee; such as indicating the point of
contact who will be responsible for helping the employee through the performance
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improvement period; and indicate how often the point of contact will meet with the
employee. (The point of contact tasked with guiding the employee is often the supervisor,
but it could be a team leader, co-worker, or other appropriate person.)
Explain to the employee that if he or she has questions or does not understand something,
the employee has the responsibility to notify the supervisor, team leader, or other
appropriate person and proactively ask for help.
Offer assistance to the employee to improve performance. Assistance may include but is not
limited to closer supervision and counseling, personal demonstration, supervisory or peer
coaching, frequent reporting, special assignments, and on-the-job training, if applicable.
Specify the possible consequences of failure to raise performance to the “Fully Successful”
level during the opportunity period.
It is vital that supervisors not only follow the PIP, but also continuously evaluate other
opportunities to assist and support the employee. Look for opportunities throughout the
improvement period to help the employee succeed and achieve mission goals rather than
passively monitor employee performance. Document the actions management has taken to
comply with the PIP, the employee’s performance, his or her progress, and continued
deficiencies, if applicable. The PIP is a formal commitment from the supervisor to help the
employee improve his or her performance. Once an employee has been afforded a reasonable
opportunity to demonstrate performance at the “Fully Successful” level, the supervisor may
propose an adverse action if the employee’s performance during or following the opportunity
to demonstrate “Fully Successful” performance remains “Unacceptable” in one or more of the
elements for which the employee was afforded opportunity to demonstrate “Fully Successful”
performance.
WITHIN GRADE INCREASE (WGI) DELAY OR DENIAL
A Within Grade Increase (WGI) – also referred to as a periodic step increase or within range
increase - is intended to recognize “Fully Successful” job performance by advancing employees
to the next step in their grade. Whereby increasing their value in the organization and their
salary. Supervisors often deal with delaying or denying a WGI while assisting an employee in
improving performance or in the process of taking a performance-based action. Supervisors
should be aware of the process required to delay or deny a WGI when an employee's
performance is not at the “Fully Successful” or “Outstanding” level. The situations in which this
applies include:
When the rating of record is "Unacceptable";
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When the employee failed to demonstrate “Fully Successful” performance during the PIP; or
When the most recent rating of record was “Fully Successful”, but performance has since
deteriorated to less than “Fully Successful” (Note: The supervisor must first issue an out-of-
cycle rating to formally reflect the “Unacceptable” rating of record to support withholding or
denying the WGI).
After a WGI has been withheld, if the supervisor determines the employee has demonstrated
sustained “Fully Successful” performance for a minimum of 90 calendar days, the supervisor
may prepare a new rating of record for the employee and grant the WGI in accordance with 5
CFR §531.411. When considering delaying or denying a WGI based on poor performance,
supervisors should contact their servicing Human Resources or Labor and Employee Relations
Office.
REASSIGNMENT, DEMOTION, OR REMOVAL BASED ON “UNACCEPTABLE” PERFORMANCE
The culture of a high-performing organization is one that fosters employee engagement and
personal accountability in maintaining high performance. However, there are times when
employee performance falls below the “Fully Successful” level. Supervisors should address
declining performance as it occurs to prevent performance problems from worsening. Some
performance issues cannot be avoided and where the employee’s performance is at an
“Unacceptable” level and the employee has been provided an opportunity to demonstrate
“Fully Successful” performance (Performance Improvement Period (PIP)), the employee may be
reassigned, reduced in grade, or removed from Federal service. Chapter 8, Improving Deficient
Performance, of this guide prescribes procedures for taking actions based on “Unacceptable”
performance.
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CHAPTER 9 - MYPERFORMANCE
MyPerformance is the only automated appraisal tool authorized for use in administering and
documenting activities under the Performance Management and Appraisal Program. The tool
provides a comprehensive automated platform to create, review, and approve performance
plans, assign ratings, as well as document changes to: performance plans, progress reviews,
employee input, and performance narratives. Information housed in MyPerformance will
populate the Department of Defense Performance Plan, Progress Review and Rating Form, DD
Form 2906. Supervisors and employees have important roles throughout the performance
period facilitated by MyPerformance as summarized in the chart below.
Table 3. MyPerformance Roles for Supervisors and Employees
Phase
Manager/Supervisor
Employee
Planning
Document employee and position
information.
Initiate the performance plan
process.
Set expectations by documenting
performance elements and
associated standards for employee
and supervisor.
Coordinate the performance plan
for approval.
Verify accuracy of the PD.
Verify employee and position
information.
May initiate the performance
plan process.
Participate in establishing the
performance plan, setting
performance elements, and
associated standards.
Acknowledge receipt of the
performance plan.
Monitoring
Document observed employee
accomplishments during progress
reviews.
Update, add, or delete
performance elements, as
required.
Document accomplishments for
each performance element via
employee input.
Suggest changes to performance
elements as appropriate.
Acknowledge progress reviews.
Evaluating
Document employee performance
appraisal.
Coordinate the approved final
rating.
Document the communication of
the rating to the employee.
Request employee input.
Complete and submits input.
Document performance
discussion with
manager/supervisor.
Acknowledge receipt of
performance appraisal.
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The DoD Components will develop processes for completing appraisals, using DD Form 2906,
where supervisors or employees do not have computer access. Please refer to the
MyPerformance User Guide for further instructions on the use of the automated tool.
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APPENDIX A: ALIGNING EMPLOYEE PERFORMANCE PLANS WITH ORGANIZATIONAL GOALS
STEP 1 - Look at the Overall Picture
Review organizational goals and performance measures already available. Determine which
goals and measures the employee’s work unit can affect.
STEP 2 - Determine Work Unit Accomplishments Using Any or All of the Following Methods
METHOD A: A Goal Cascading Method. Cascade the agency’s goals to the work unit level.
Determine the work unit’s accomplishment(s) that directly affect the organization’s goals.
METHOD B: A Customer-Focused Method. Determine the product(s) or service(s) that the
work unit provides to its customers.
METHOD C: A Work Flow Charting Method. Develop a work flow chart for the work unit,
establishing key steps(s) in the work process.
STEP 3 - Determine Individual Accomplishments That Support Work Unit Goals
Elements that address individual performance can be identified using a role-results matrix. List
the work unit accomplishments across the top of the matrix. List each member of the work unit
or each job position down the left side of the matrix. In each cell, list the accomplishment (i.e.,
performance element) that the member must produce or perform to support the work unit
accomplishment. All performance elements should be either quantifiable or verifiable.
STEP 4 - Convert Expected Accomplishments into Performance Elements, Indicating Type and
Priority
All employees must have at least one critical element. Critical elements must address individual
performance only.
STEP 5 - Determine Work Unit and Individual Measures
For each element, determine which general measures (i.e., quantity, quality, timeliness, or cost-
effectiveness) are important. Determine how to measure the quantity, quality, timeliness,
and/or cost-effectiveness for the element. If an accomplishment can be measured with
numbers, determine the unit of measurement to be used. If performance can only be
described (i.e., observed and verified), clarify who would appraise the work and what factors to
identify.
STEP 6 - Develop Work Unit and Individual Standards
A “Fully Successful” standard must be established for each performance element. If the
measure for the element is numeric, determine the range of numbers that would represent
“Fully Successful” performance. Establish a range of performance above which special
recognition may be warranted and below which a performance problem exists.
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If the measure for the element is descriptive, determine what the appraiser would see or report
that would verify that performance is “Fully Successful.” Determine what exceeding
expectations would look like for each performance element. Describe what the appraiser would
see happening when expectations are exceeded.
STEP 7 - Determine How to Monitor Performance
Determine what data to collect for each performance element, which source the data should
come from, and whether to collect all the data or just a sample. Determine when to collect the
data, who should collect it, and who should receive it. Review existing reports for possible use
as feedback reports. Create feedback tables or graphs where appropriate or necessary. Try to
design feedback processes that give employees feedback automatically.
STEP 8 - Check the Performance Plan Using the Following Guidelines
Are the critical elements truly critical? Failure on a critical element results in a
determination that the employee’s overall performance is “Unacceptable”.
Is the range of “Fully Successful” performance clear? Performance expectations should be
quantifiable, observable, and/or verifiable.
Are the standards attainable and expectations reasonable? Do the standards allow for some
margin of error?
Are the standards challenging? Does the work unit or employee need to exert a reasonable
amount of effort to reach a “Fully Successful” performance level?
Are the standards fair? Are they comparable to expectations for other employees in similar
positions?
Are the standards applicable? Can the appraiser(s) use the standards to appraise
performance? Can the appraiser(s) manage the data collected through the measurement
process?
Are the elements and standards flexible? Elements and standards should be able to be
adapted readily to changes in resources or mission.
Is the “Fully Successful” standard surpassable? Is it possible for a work unit’s or an
employee’s performance to exceed it?
Work units and employees should understand what is required.
The Office of Personnel Management’s handbook, “A Handbook for Measuring Employee
Performance: Aligning Employee Performance Plans with Organizational Goals,” is available at
https://www.opm.gov/policy-data-oversight/performance-
management/measuring/employee_performance_handbook.pdf.
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GLOSSARY: DEFINITIONS.
These terms and their definitions are for the purposes of this toolkit.
appraisal. The process by which performance is reviewed and evaluated.
appraisal cycle. A 1-year period (April 1 – March 31) established by the DoD Performance
Management and Appraisal Program in which an employee’s performance will normally be
reviewed, and a rating of record will be assigned.
approved performance plan. A performance plan written, reviewed, and approved in
accordance with DoD Component procedures, which communicates expectations and
requirements of employee performance for the appraisal cycle.
detail. A temporary assignment to a different position or a set of duties for a specified period.
The employee is expected to return to his or her permanent position of record at the end of the
assignment.
element. A type of performance element in which a work assignment or responsibility is of
such importance that “Unacceptable” performance on the element would result in a
determination that the employee’s overall performance is “Unacceptable”. All elements are
critical and only used to measure individual performance.
employee performance file. A record containing copies of employees’ performance ratings of
record, including the performance plans on which the ratings are based. It also includes all
performance-related records, such as forms or other documents, maintained as a system of
records within the meaning Section 552a of Title 5, U.S.C., also known as the “Privacy Act of
1974.”
HLR. A senior-level management official, normally above the level of a rating official.
matrixed employee. An employee hosted by an organization at a location apart from his or her
permanent supervisor or organization of record and who is performing work for his or her
organization of record. The employee may receive taskings from the host organization but he
or she remains under the authority, direction, and control of his or her organization of record.
minimum period of performance. The minimum appraisal cycle for the DoD Performance
Management and Appraisal Program is 90 calendar days on an approved performance plan.
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MyPerformance. The DoD automated appraisal tool authorized for use by both supervisors
and employees to document the performance management process of the DoD Performance
Management and Appraisal Program.
opportunity period to demonstrate acceptable performance. A reasonable period for the
employee whose performance has been determined to be “Unacceptable” in one or more
elements to demonstrate acceptable performance in the element(s) at issue.
performance. Accomplishment of work assignments or responsibilities.
performance discussion. Joint communication between the supervisor and employee about
the employee’s work performance and its link to organizational effectiveness. The discussions
may consist of verbal feedback sessions or formal progress reviews.
performance element rating. The written, or otherwise recorded, appraisal of performance
compared to the performance standards for each element on which there has been an
opportunity to perform for the minimum period of performance.
performance management. The integrated process by which an agency involves its employees
in improving organizational effectiveness in the accomplishment of agency mission and
strategic goals. Performance management consists of: performance planning, monitoring
employee performance, evaluating employee performance, and recognizing and rewarding
employee performance.
performance plan. All of the written, or otherwise recorded, performance elements and
standards that set expected performance. A plan must include performance elements and
standards.
performance rating level (also known as “summary level”). An ordered category of
performance from Level 1 through Level 5, with Level 1 as the lowest and Level 5 as the highest.
Level 1 is “Unacceptable”; Level 3 is “Fully Successful”; and Level 5 is “Outstanding”.
performance standard. The management-approved expression of the performance threshold,
requirement, and expectations that must be met to be appraised at a particular level of
performance. A performance standard may include, but is not limited to, quality, quantity,
timeliness, and manner of performance.
PIP. A strategy developed for an employee at any point in the appraisal cycle when
performance becomes “Unacceptable” in one or more elements. This plan affords an employee
PERFORMANCE MANAGEMENT &
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the opportunity to demonstrate acceptable performance and is developed with specific
guidance provided by the servicing human resources office.
progress review. A type of formal performance discussion in which the supervisor
communicates with the employee about the employee’s performance compared to his or her
performance standards. Supervisors are required to conduct at least one formal progress
review during the appraisal cycle.
promotion. A change of an employee, while serving continuously within the same agency,
either to a higher grade when both the old and the new positions are under the General
Schedule or under the same type graded wage schedule, or to a position with a higher rate of
pay when both the old and the new positions are under the same type of ungraded wage
schedule, or are in different pay method categories.
QSI. An increase in an employee’s rate of basic pay from one step or rate of the grade of his or
her position to the next higher step of that grade or next higher rate within the grade (as
defined in Section 531.403 of Title 5, CFR). Only an employee who receives a rating of record of
“Outstanding” or equivalent is eligible.
rating of record. The performance rating level assigned at the end of an appraisal cycle for
performance of agency-assigned duties over the entire cycle.
rating official. The person responsible for informing the employee of the duties of his or her
position, establishing performance standards, providing feedback, appraising performance, and
assigning the performance rating. Normally, this is the employees’ immediate supervisor.
reassignment. The change of an employee, while serving continuously within the same agency,
from one position to another without promotion or demotion.
reduction in grade. The involuntary assignment of an employee to a position at a lower
classification or job grading level. A reduction in grade is also referred to as a demotion.
removal. The involuntary separation of an employee from federal service.
SMART. An acronym for criteria that can be used in writing and evaluating performance
standards: specific, measurable, achievable, relevant, and timely.
supervisor (Civil Service Reform Act (CSRA)). Position meets the definition of “supervisor” in
Section 7103(a)(10) of Title 5, U.S.C., but does not meet the minimum requirements for
application of the General Schedule Supervisory Guide.
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unacceptable performance. Performance that fails to meet the established performance
standards in one or more elements of an employee’s position. It is referred to as a Level 1
rating under the DoD Performance Management and Appraisal Program.
WGI. A periodic step increase in an employee’s rate of basic pay from one-step of the grade of
his or her position to the next higher step within that grade. The employee’s rating of record
must be at the “Fully Successful” level to be eligible for a WGI.
