Example 2

Performance Appraisal Assessment Tool
Program Information. Sections 1 through 5 ask for basic background information about the
appraisal program. While this information does not address the effectiveness of the program, it
sets the stage for understanding how the program operates. Effectiveness questions are included
in sections 6 through 16.
1. Coverage
a. What department/agency does this appraisal program operate within?
Instruction: Use the highest level of your organization for this response. For example if
this appraisal program covers the employees of a
component/organization/!ureau/operative within a "epartment list the name of the
"epartment here.
!. What component/organization/!ureau/operative within the agency does this program operate
within?
Instruction: #ist the name of the component/organization/!ureau/operative here. For
example if this appraisal program covers the employees of the Federal $ighway
%dministration within the "epartment of &ransportation report the Federal $ighway
%dministration here.
If the appraisal program covers the same organization as was reported in 'a repeat the
name of the organization here. For example if the "epartment has one appraisal program
that covers all "epartmental employees (excluding )*)+ repeat the name of the
"epartment here.
c. $ow many total employees are covered !y this appraisal program (including supervisors+?
Instruction: Identify the total num!er of employees covered !y this program at the end of
the appraisal period. "o not include executives !ut do include managers and
supervisors. &he answer to this ,uestion will !e used when computing percentages of
employees in several of the following ,uestions in this tool. (&his data will not !e used
when computing percentages for the Federal $uman -apital )urvey ,uestions+.
d. $ow many managers and supervisors are covered !y this appraisal program?
Instruction: Identify the num!er of managers and supervisors (that is the num!er of
rating officials+ who are covered !y this appraisal program at the end of the appraisal
period. "o not include executives. &his document assumes that the managers and
supervisors are the rating officials who are responsi!le for the performance management
of su!ordinates.
e. What pay plan covers the employees who are covered !y this program that is .eneral
)chedule Wage .rade etc.?
Instruction: #ist the pay plan(s+ that apply to the employees covered !y this appraisal
program. &his could include .eneral )chedule (.)+ Wage .rade .)/e,uivalents
%dministratively "etermined (%"+ )enior #evel ()#+ or )cientific and 0rofessional
()&+ etc.
f. Who is excluded from this appraisal program?
Instruction: #ist all the positions or groups of positions that are excluded from this
appraisal program. &his includes any administrative exclusions as outlined in 1 -F2
"2%F& '
345.656c or specific agency exclusions approved !y 708 as outlined in 1 -F2
345.656d or any other exclusions that your appraisal program has esta!lished.
g. When was this appraisal program implemented? (8onth and 9ear+
Instruction: 2eport the month and year that this appraisal program was implemented. For
agencies covered !y 1 U.).-. 34 the month and year of the implementation of your
appraisal program is not necessarily the same month and year that 708 approved the
agency:s appraisal system. &he appraisal system approved !y 708 is generally an
;um!rella< system that esta!lishes very !road parameters for the operation of appraisal
programs within the agency. ()ee the .lossary.+ While an agency will have one appraisal
system approved !y 708 it may have several appraisal programs operating within that
system. For the purposes of answering this ,uestion report the month and year of the
implementation of the appraisal program not the agency:s system.
2. Appraisal Period
!. What is the length of the appraisal period?
Instruction: .enerally the length of an appraisal period is one year.
!. What are the !eginning and ending months and dates of the appraisal period?
Instruction: 2eport the dates of the cycle of the appraisal period. For example if the
appraisal period coincides with the fiscal year report that the appraisal period runs from
7cto!er ' through )eptem!er 45.
3. Minimum Appraisal Period
a. What is the minimum period of performance that must !e completed !efore a performance
rating can !e given (e.g. =5 days '65 days+? (>ote: if different groups under this program have
different minimum period lengths identify each group and the length of its minimum period.+
Instruction: .enerally most appraisal programs esta!lish one period of time for which
employees must wor? at a minimum !efore they can !e rated (that is the minimum
period+. @ut if your program has esta!lished different minimum periods for different
types of wor? such as A5 days for administrative support positions and '65 days for
professional or scientific positions report those different groups and applica!le minimum
periods here.
4. Summary evels
a. $ow many summary levels does the appraisal program use?
Instruction: For agencies covered !y 1 U.).-. 34 the num!er of summary levels you will
report will !e two three four or five. For example a ;pass/fail< program has two
summary levels for appraising performance.
!. #ist the pattern (ranging from patterns % through $ as descri!ed in 1 -F2 345 su!part @+.
Instruction: &he regulations at 1 -F2 345.65Bd include a matrix of the availa!le patterns
of summary levels ranging from two levels to five levels:
0attern
)ummary level
' 6 4 3 1
% C C
"2%F& 6
@ C C C
- C C C
" C C C
* C C C C
F C C C C
. C C C C
$ C C C C C
)elect and report the appropriate pattern. If your agency is not covered !y 1 U.).-. 34
and none of the patterns match your summary levels descri!e your summary ratings here.
c. #ist the names of the levels (e.g. 7utstanding *xceeds Fully )uccessful 8inimally
)uccessful Unaccepta!le+.
Instruction: If your program does not use descriptors as level names !ut instead uses
num!ers or letters list the num!ers or letters and explain the level of performance that
represents. For example if your program uses a ;'< to descri!e Unaccepta!le
performance list the num!er and explain that it denotes Unaccepta!le performance.
!. "lement Appraisal #"$pectations%
a. $ow many appraisal levels are re,uired for appraising elements?
Instruction: In order to determine a summary level each element (or expectation+ must
first !e rated. &his ,uestion is as?ing for the num!er of levels for which you rate
elements (or expectations+. In most cases elements are rated at the same num!er of
levels as the summary level uses. For example if the appraisal program summarizes
performance at five levels it will also appraise elements (or expectations+ at five levels.
2eport the num!er of levels here.
If you have some elements that are rated at different levels than other elements report
that here. For example if you have an element re,uired !y all employees that is rated at
only two levels !ut all other elements are rated at five levels report that here.
!. #ist the names of the levels (e.g. 7utstanding *xceeds Fully )uccessful 8inimally
)uccessful Unaccepta!le+.
Instruction: If your program does not use descriptors as level names !ut instead uses
num!ers or letters list the num!ers or letters and explain the level of performance that
represents. For example if your program uses a ;'< to descri!e Unaccepta!le
performance list the num!er and explain that it denotes Unaccepta!le performance.
C&aracteristics of an "ffective Appraisal Program
'. Alignment 1! points for design and implementation score"
a. "oes the program description re,uire that employee performance plans align with
organizational goals such as the specific goals identified in the organization:s annual
performance plan?
9es >o
Instruction: &o ensure that appraisal programs support organizational goal achievement
the program description should re,uire that employee performance plans align with
organizational goals. 2eview your program description to see if it includes this
re,uirement. If it is not a re,uirement your agency should consider revising the
program. $aving employee performance plans aligned to organizational goals is
necessary for effective performance management.
!. $ow many employees have performance plans that align with organizational goals?
Instruction: 0resent here the num!er of employees with plans that you have determined
"2%F& 4
align with organizational goals. )ee instructions for A!i !elow that define and explain
alignment.
i. "escri!e how many plans were reviewed how alignment was verified if sampling was
involved etc.
Instruction:
>7&*: 2eviewing performance plans is re,uired for answering ,uestions in )ections A
D and B of this tool. We suggest using the same performance plans for the reviews
re,uired for these three sections.
(ac)ground. *mployee performance plans should align with (i.e. support+
organizational goals and targets that are esta!lished in an organization:s annual
performance plan and/or that have !een included in the )enior *xecutive )ervice ()*)+
mem!ers: performance plans. %lignment should !e clear and transparent so that
employees can see how their performance plans support organizational goal
achievement. Ideally a person would !e a!le to map the responsi!ility for specific
organizational goals and o!Eectives through the performance plans of the chain of
authority (i.e. )*) mem!ers to managers to supervisors+ to the front/line employee.
8erely including a generic statement in performance plans that employees support
organizational goals is not ade,uate for communicating alignment.
%lignment in performance appraisal should !egin with )*) mem!er performance plans.
)*) plans should hold executives accounta!le for achieving !usiness results. @usiness
results should !e the goals esta!lished in the organization:s annual performance plan or
wor? plan. )imply restating organizational goals without also including the metrics for
determining performance against those goals is not ade,uate.
"$amples of Alignment. *mployee performance plans can show alignment in several
ways. $ere are some examples:
&he appraisal form includes a !loc? in which the supervisor and employee indicate
which of the organization:s annual performance goals or o!Eectives the results/focused
element aligns with. @e sure that organizational goals are not merely copied into
employee performance plans or referred to without the element also including the
specific results with metrics that the employee is to accomplish in order to support
that goal. (For information on metrics see the instructions for section B @alanced
-redi!le 8easures.+ In other words the element should directly relate to the
organizational goal and include clear credi!le measures of performance of ,uality
,uantity timeliness and/or cost/effectiveness.
&he language in the element explains which organizational goal and o!Eective the
element aligns with. For example ;In order for the @ureau to achieve its goal of
completing C during F951 the employee must complete an average of 9 each month
with 9 meeting the re,uirements outlined in the %gency:s 7perating 0rocedures.<
)ome agencies have !road strategic goals that can !e used in employee performance
plans as elements. For example if the agency has a !road strategic goal of customer
satisfaction the agency could transfer that goal into employee performance plans as a
critical element as long as the standard for that element holds the employee
accounta!le for a specific result has measures of performance and supports any other
specific targets that may !e found in an organization:s annual wor? plan.
"2%F& 3
7!servation: It is easier to align employee performance plans to organizational goals
when organizational goals are clear measura!le and include specific targets.
*evie+ Process. &he review should include a representative sample of performance
plans for positions across the organization. #ou do not have to review ever$ single
performance plan. 9ou can choose one of the following methods for determining how
many performance plans are aligned with organizational goals:
)elect the performance plans for your organization:s mission/critical occupations
and the plans for their chains of command. "etermine how many people are covered
!y those plans. If these plans show clear alignment and cover a significant portion
of the population covered !y the appraisal program you may !e a!le to infer that
most or all of the employees covered !y this program have performance plans that
are aligned with organizational goals.
2andomly sample several performance plans from each organizational unit covered
!y the appraisal program and include the plans for the chains of command. If most
of the plans you:ve selected from an organizational unit include good alignment you
can generally assume that all employee performance plans in that unit are aligned.
When answering this ,uestion !e sure to descri!e how many plans you
reviewed how you determined alignment and how you determined the num!er
of plans you are reporting in A! of this tool. @e sure that you have also reviewed
the chain of authority of the positions you have selected in order to determine
alignment.
While some agencies have had their managers and supervisors certify that the
performance plans of their su!ordinates align with organizational goals we
recommend validating that certification with a review of some of those plans !y
someone other than the supervisors who certified the alignment.
ii. If all your employees are not covered !y performance plans that are aligned with
organizational goals what is the agency doing to get those plans aligned with
organizational goals? "evelop a strategy for improvement and include a timeline for
actions. -onsider the results of Ac in your response.
Instruction: If greater than '5 percent of your employees are not covered !y
performance plans that are aligned with organizational goals your agency should
ma?e the alignment of their plans a priority !efore your next appraisal period
!egins or as appropriate. "evelop a strategy and plan for revising your appraisal
program and its employee performance plans so that they are aligned with
organizational goals and include other aspects that will !e mentioned in sections
D and B of this tool that is focusing on results and including credi!le measures
of performance. %lso consider the results identified in Ac and the o!servations in
Aci when developing your strategy.
c. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+
,uestion that addresses alignment? @e sure to consider survey results when developing
strategies for improving your appraisal program. %nclude this information if $ou are able to
isolate the data for onl$ those emplo$ees covered b$ this appraisal program. &therwise,
respond '()*+ for not available. %f $our organi,ation conducts its own emplo$ee surve$ and
"2%F& 1
has similar questions with results, include the applicable questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F65: I ?now how my wor? relates
to the agency:s goals and priorities.
Item F36: 8anagers communicate the
goals and priorities of the organization.
Item from agency survey (if applica!le+
Instruction: &he Federal $uman -apital )urvey (F$-)+ is a .overnmentwide survey
conducted periodically !y 708. &he most recent survey was administered in fiscal year
6553. &he F$-) is a tool that measures employeesG perceptions of whether and to what
extent conditions that characterize successful organizations are present in their agencies.
&he F$-) includes specific ,uestions that measure employees: perceptions regarding
performance culture. "ata from the F$-) can !e o!tained for an entire agency and
often for specific components/!ureaus/operatives within an agency. 9ou must contact
your -hief $uman -apital 7fficer to o!tain permission to loo? at F$-) data that covers
organizational units smaller than the entire agency.
While ,uestions F65 and F36 do not specifically as? a!out the alignment of performance
plans to organizational goals they do address employee perceptions of understanding
organizational goals and how they are communicated in the wor? unit. @e aware that
the responses to ,uestion F65 are generally favora!le across the .overnment. While
responses tend to !e favora!le the data relating specifically to the organization covered
!y this appraisal program can !e used as an indicator of how well the organization
communicates organizational goals to employees and how employees support those
goals. &he appraisal process is one way of communicating organizational goals and
lin?ing employees to the goals. &he designers of the appraisal program may want to
consider ways of improving the appraisal program so that it !etter communicates
organizational goals to employees and aligns employees to those goals.
If the responses to ,uestion F65 are relatively favora!le that is a large percentage of
employees responded )trongly %gree or %gree to the ,uestion and you have fewer than
'5 percent of performance plans that are not aligned with organizational goals you may
have no response to this ,uestion. If however a significant percentage of employees
responded unfavora!ly (that is responded "isagree or )trongly "isagree+ or responded
>either %gree or "isagree or "o >ot Hnow and if more than '5 percent of performance
plans are not aligned with organizational goals you may want to consider how this
information can help you formulate the answer to A!ii. If responses are unfavora!le
you may want to determine how your appraisal program can !est support the goal of
communicating organization goals to employees and showing employees how their wor?
supports those goals.
"2%F& A
/. *esults 1! points for design and implementation score"
a. "oes the program description re,uire that each employee:s performance plan include at least
one critical element (performance expectation+ that holds the employee accounta!le for
achieving results?
9es >o
Instruction: 0erformance appraisal programs should re,uire that employees are held
accounta!le through at least one critical element (or performance expectation+ for
achieving an accomplishment that supports organizational goals. If the program does not
re,uire this your agency should consider revising the program description.
!. $ow many employees have performance plans that hold them accounta!le for results?
Instruction: 0resent the num!er of plans here that you have determined include a critical
element that holds employees accounta!le for results.
i. "escri!e how many plans were reviewed how results/oriented critical elements were
identified etc.
Instruction:
(ac)ground. *mployees should !e held accounta!le for achieving expected results
through at least one critical element in their performance plans. -ritical elements that
focus on competencies (such as teamwor? or customer service for example+ can also !e
important and desira!le to include in plans !ut a results/oriented performance plan
should have at least one critical element (or performance expectation+ that holds an
employee accounta!le for achieving a result that directly supports organizational goal
achievement. If your appraisal program focuses solely on competencies or !ehaviors
without including an element that defines specific results to !e achieved with measures
of performance your agency should consider revising its employee performance plans.
"$ample of *esults01riented "lements. @elow are a few examples of results/oriented
elements and standards (or performance expectations+. >ote that the results !eing
measured are products or services not a competency !ehavior or activity.
% critical element and standard for a program manager responsi!le for an adult literacy
program with the intended outcome of improved literacy in adults might !e written as
;Within the C region during the fiscal year at least =1 percent of participating adults
passed a standard literacy test. &he program had less than a 6 percent drop/out rate.< &he
result is the literacy rate among participating adults in that region. It is aligned to an
organizational goal that specifies a certain percentage of adult literacy improvement.
% critical element and standard for a supervisor of a wor? unit that completes casewor?
might !e written as ;&he wor? unit reduces the case !ac?log !y 15 percent !y the end of
the fiscal year with at least =B percent accuracy in the cases completed.< &he result is a
reduced case !ac?log. It is aligned to an organizational goal of customer satisfaction that
specifies reducing the case !ac?log during the fiscal year.
% critical element and standard for an %dministrative 7fficer responsi!le for the !udget
of an organization might !e written as ;% !udget for C organization for the next fiscal
year is completed !y Iune '1. &he !udget contains well/Eustified descriptions of !udget
re,uests is accurate and meets all the specifications as outlined !y the -F7.< &he result
is a complete !udget document. It supports the organizational goal of operational
"2%F& D
excellence.
plans for positions across the organization. )ee the instructions for A!i a!ove for
determining which performance plans to review and for determining the num!er of plans
that have at least one results/oriented critical element. For reviewing results we
recommend using the same plans that you selected in A!i to review alignment so that
these reviews can !e made at the same time. 9ou should descri!e what plans you loo?ed
at how you determined that a critical element focused on results how many plans you
reviewed how you determined the total num!er and any other information that would
demonstrate the thoroughness of the review.
ii. If all your employees are not covered !y performance plans that include at least one
critical element that holds employees accounta!le for results what is the agency doing to
ensure that performance plans include a critical element that holds employees accounta!le for
achieving results? -onsider the results of Dc in your response. Include a timeline for actions.
Instruction: If your performance plans do not hold employees accounta!le for expected
results your agency should ma?e appropriate changes to the performance plans for the
next appraisal period or as appropriate. "evelop a strategy for revising your appraisal
program and its employee performance plans so that they are aligned with organizational
goals ()ection A+ focused on achieving results ()ection D+ and include credi!le measures
of performance ()ection B+. %lso consider the results identified in Dc and the
o!servations in Dci when developing your strategy.
c. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestions
that address !eing held accounta!le for achieving results? @e sure to consider survey results
when developing strategies for improving your appraisal program. %nclude this information if
$ou are able to isolate the data for onl$ those emplo$ees covered b$ this appraisal program.
&therwise, respond '()*+ for not available. %f $our organi,ation conducts its own emplo$ee
surve$ and has similar questions with results, include the applicable questions" and results
here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F6A: *mployees have a feeling of
personal empowerment with respect to
wor? processes.
Item F41: I am held accounta!le for
achieving results.
performance culture. "ata from the F$-) can !e o!tained for an entire agency and often
for specific components/!ureaus/operatives within an agency. 9ou must contact your
"2%F& B
-hief $uman -apital 7fficer to o!tain permission to loo? at F$-) data that covers
Juestions F6A and F41 address employee perceptions a!out !eing held accounta!le for
achieving results and whether they feel empowered in their wor? processes. When a
significant percentage of employees respond favora!ly to Item F41 that is when they
)trongly %gree or %gree it appears that employees feel that the appraisal process focuses
them on achieving results. 0ay close attention to how many employees "isagreed
)trongly "isagreed. #arge percentages of employees answering negatively to this
,uestion indicate a pro!lem with the appraisal program. %lso loo? at the num!er of
employees who >either %greed or "isagreed or "id >ot Hnow. If all the negative or
neutral responses outweigh the favora!le responses the agency needs to review its
appraisal program to see how it might !etter focus employees on achieving results. >ext
loo? to see if in general responses were favora!le to Item F41 !ut were unfavora!le to
Item F6A. If this occurred employees are saying that while they are held accounta!le for
achieving results they do not feel they are empowered to do what they need to do in
order to achieve the results. In this case you will want to loo? at your findings in section
'5 regarding employee involvement activities your program re,uires.
If a significant percentage of employees responded unfavora!ly to these ,uestions (that
is responded "isagree or )trongly "isagree+ and/or responded >either %gree or "isagree
or "o >ot Hnow and if more than '5 percent of performance plans do not have at least
one result/oriented critical element (or performance expectation+ you may want to
consider how this information can help you formulate the strategy you are developing for
D!ii. If a significant percentage of responses are unfavora!le you may want to determine
how your appraisal program and its performance plans can !etter support the goal of
focusing employees on achieving results.
2. Credi3le Measures
#Credi3le measures means t&at standards include descriptions of 4uality5 4uantity5
timeliness5 cost0effectiveness5 and6or manner of performance%
1! points for design and implementation score"
a. "oes the appraisal program re,uire that elements and standards (performance expectations+
include credi!le measures of performance that are o!serva!le measura!le and/or demonstra!le?
9es >o
Instruction: If the appraisal program does not re,uire that employee performance plans
include credi!le measures of performance your agency should revise its program to
include this re,uirement.
!. $ow many employees have performance plans that include credible measures of performance?
Instruction: 0resent the num!er of plans here that you have determined include credi!le
measures of performance.
i. "escri!e how many plans were reviewed how you determined that credi!le measures were
present the types of measures used how competencies were identified and descri!ed if they
are used etc.
Instruction:
"2%F& =
(ac)ground. *mployees should !e rated against elements and standards (or
performance expectations+ that include credi!le measures of performance. % results/
oriented appraisal program ensures that credi!le measures are included in all performance
plans. If the performance plans in your organization do not include measures of
performance your agency should consider improving those plans. .eneral measures of
performance include ,uality ,uantity timeliness and or cost effectiveness. )pecific
measure of ,uality ,uantity timeliness and or cost effectiveness re,uires supervisors and
employees to identify which measures are appropriate.
"$ample of Credi3le Measures of Performance. @elow are a few examples of results/
oriented elements and standards (or performance expectations+ that include credi!le
measures of performance. >ote that these are the same examples provided in the
instructions for section D. We are identifying the credi!le measures after the example.
% critical element and standard for a program manager responsi!le for an adult literacy
program with the intended outcome of improved literacy in adults might !e written as
;Within the C region during the fiscal year at least =1 percent of participating adults
passed a standard literacy test. &he program had less than a 6 percent drop/out rate.< &he
result is the literacy rate among participating adults in that region. It is aligned to an
organizational goal that specifies a certain percentage of adult literacy improvement. &he
credi!le measures used in this example are the percent of participating adults who passed
the test (,uality+ the percent drop/out rate (,uantity+ and the fiscal year (timeliness+.
Without using these measures the targets and standards could not !e esta!lished.
% critical element and standard for a supervisor of a wor? unit that completes casewor?
might !e written as ;&he wor? unit reduces the case !ac?log !y 15 percent !y the end of
the fiscal year with at least =B percent accuracy in the cases completed.< &he result is a
reduced case !ac?log. It is aligned to an organizational goal of customer satisfaction that
specifies reducing the case !ac?log during the fiscal year. &he measures of performance
are the percent of reduction of !ac?log (,uantity+ the accuracy rate (,uality+ and the
fiscal year (timeliness+.
% critical element and standard for an %dministrative 7fficer responsi!le for the !udget
of an organization might !e written as ;% !udget for C organization for the next fiscal
year is completed !y Iune '1. &he !udget contains well/Eustified descriptions of !udget
re,uests is accurate and meets all the specifications as outlined !y the -F7.< &he result
is a complete !udget document. It supports the organizational goal of operational
excellence. &he measures of performance are the deadline of Iune '1 (timeliness+ and
meeting all the specifications of the -F7 (,uality+.
plans for positions across the organization. )ee the instructions for A!i and D!i a!ove for
determining which performance plans to review and for determining the num!er of plans
that meet the criteria (in this case include credi!le measures of performance+. For
reviewing measures we recommend using the same plans that you selected in A!i and D!i
to review alignment and results so that these reviews can !e made at the same time. 9ou
should descri!e what plans you loo?ed at how you determined that a critical element
"2%F& '5
included credi!le measures how many plans you reviewed how you determined the total
num!er and any other information that would demonstrate the thoroughness of the
review.
ii. 0rovide examples of credi!le measures of performance used in employee performance
plans.
Instruction: 9ou need only include two or three examples of some elements and standards
that include credi!le measures of performance.
iii. If all your employees do not have performance plans that include credi!le measures of
performance what is the agency doing to ensure that those plans include credi!le measures
of performance in the future? -onsider the results of Be in your response. Include a timeline
for actions.
Instruction: If your performance plans do not hold employees accounta!le for expected
results using credi!le measures of performance your agency should ma?e appropriate
changes to the performance plans for the next appraisal period or as appropriate.
"evelop a strategy for revising your appraisal program and its employee performance
plans so that they are aligned with organizational goals ()ection A+ focused on achieving
results ()ection D+ and include credi!le measures of performance ()ection B+. %lso
consider the results identified in Be and the o!servations in Bei when developing your
strategy.
c. "oes the appraisal program re,uire that performance plans for supervisors ta?e into
consideration employee and customer perspective?
9es >o
Instruction: @alanced measures of !usiness results customer perspective and employee
perspective are re,uired for executive performance plans. In order to have supervisory
performance plans that align with organizational goals and executive plans these
measures of !usiness results customer perspective and employee perspective should also
!e included at the appropriate level in supervisory performance plans. If your appraisal
program does not re,uire this ?ind of alignment your agency should revise its program to
include these re,uirements.
d. $ow many supervisors have performance plans that ta?e into consideration employee and
customer perspectives?
Instruction: 0resent the num!er of supervisors here that you determined have
performance plans that ta?e into consideration employee and customer perspectives.
i. "escri!e how many plans were reviewed how you determined employee and customer
perspectives the types of measures used etc.
Instruction: 0erformance plans for supervisors should ta?e into account customer and
employee perspectives when the plans are aligned effectively with executive performance
plans. &he supervisory performance plans you review can !e the same plans you
reviewed for the chain of authority plans you selected in )ections A and D. @elow is a
discussion of customer and employee perspectives the types of measures these could
include and examples.
Customer Perspective. -ustomer perspective measures consider the organizationGs
performance through the eyes of its customers so that the organization retains a careful
focus on customer needs and satisfaction. &o achieve the !est in !usiness performance
agencies must incorporate reasona!le customer needs and wants consistent with the
"2%F& ''
agencyGs mission and must ta?e them into account as part of their performance planning.
&o do this Federal executives managers and employees must determine who their
customers are and what those customers expect from them in the context of the
employing agencyGs !usiness purpose and mission.
-ustomer perspective performance measures should not measure popularity.
)ometimes the interests of pu!lic groups or other agencies differ from or are
inconsistent with those of the agency that employs the executive or manager or conflict
with the employing agencyGs mission. %ll executives and managers are the agents of the
head of the employing agency. &herefore when an agency factors customer feed!ac?
into the performance rating process the appraising official ma?es the rating
determination not the customer.
For executives and managers of line organizations (i.e. an organization that directly
affects the agencyGs mission+ customers may include a wide variety of pu!lic groups
other agencies other governments and -ongress. *xamples of customer perspective
measures for line organizations could include:
Kisitors to a specific national par? had a satisfactory experience during their visit.
8ost patients on a specific ward in a hospital rate the nursing staff as exceptionally
competent and helpful.
%gencies respond that the regulations a policy wor? unit proposed are flexi!le easier to
read and follow and ta?e into account agenciesG previous comments.
)upport organizations such as a human resources office a !uilding services office or an
ac,uisitions office also will have goals and measures !ut most of the customers of
support organizations will li?ely !e employees who wor? for the same agency. *xamples
of customer perspective goals and measures for various support organizations could
include:
8ost managers of the agency !elieve they receive ade,uate assistance when they call
their human resources office.
*mployees are generally satisfied with the food service provider in their !uilding.
8anagers !elieve that the procurement office provides ade,uate instruction on new
procurement procedures.
"mployee Perspective. &he employee perspective focuses attention on the performance
of the ?ey internal processes that drive the organization including employee development
and retention. &his perspective directs attention to the !asis of all future success L the
organizationGs people and infrastructure. %de,uate investment in these areas is critical to
long/term success.
*mployee retention is especially critical and is something that executives and managers
can significantly affect. 2ecent studies in several private sector !usinesses and studies
conducted !y the .allup 7rganization found that poor supervisory !ehavior was the main
reason people ,uit their Eo!s. &hese studies verify that it is not so much opportunities for
raises or promotion through the ran?s that ?eep employees happy. &he length of an
employeeGs stay is determined largely !y the executive:s and managerGs s?ill at
customizing responsi!ilities fostering long/term learning opportunities and providing
plenty of informal feed!ac?.
"2%F& '6
8anagement often fears that employee perspective measures include measuring a
managerGs popularity with employees. &he employee perspective factor is not a
Mpopularity contest.M 2ather this factor focuses on providing a healthy wor? environment for
employees which includes how executives and managers lead and motivate their
employees and address development and training needs.
*xamples of employee perspective measures include determining the level of:
recognition employees receive for doing good wor?N
information employees receive from management on whatGs going on in the organizationN
and
training employees receive for their present Eo!s and the career development
opportunities they have for future positions.
ii. 0rovide examples of employee and customer perspectives that were incorporated in
supervisory plans.
Instruction: 9ou need only include two or three examples of some elements and standards
that incorporate customer and employee perspectives.
iii. If all your supervisors do not have performance plans that ta?e into account employee and
customer perspectives what is the agency doing to ensure that those plans incorporate
employee and customer perspectives in the future? Include a timeline for actions.
Instruction: If your supervisors: performance plans do incorporate customer and
employee perspectives your agency should ma?e appropriate changes to its supervisors:
performance plans for the next appraisal period or as appropriate. "evelop a strategy for
revising your appraisal program and its supervisors: performance plans so that they are
aligned with organizational goals ()ection A+ focused on achieving results ()ection D+
and include credi!le measures of performance with customer and employee perspectives
()ection B+. %lso consider the results identified in Dc and the o!servations in Dci when
developing your strategy.
e. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestions
that address customer perspective? @e sure to consider survey results when developing strategies
for improving your appraisal program. %nclude this information if $ou are able to isolate the
data for onl$ those emplo$ees covered b$ this appraisal program. &therwise, respond '()*+ for
not available. %f $our organi,ation conducts its own emplo$ee surve$ and has similar questions
with results, include the applicable questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F61: 0roducts and services in my
wor? unit are improved !ased on
customer/pu!lic input.
Item F6B: *mployees are rewarded for
providing high ,uality products and
services to customers.
"2%F& '4
>egative responses for Item F61 may !e improved if employee performance plans
included a focus on customer satisfaction. It may also !e helpful for you to !rea? down
the responses of Item F61 !y employees and !y supervisors especially in regards to
whether supervisory performance plans include customer perspectives. If supervisory
performance plans included a customer perspective supervisors: responses to Item F61
may !e more favora!le than otherwise.
If your appraisal program does not have credi!le measures of performance if supervisory
performance plans do not ta?e into consideration customer and employee perspectives
and if there are significant percentages of employees responding negatively to Item F6A
of the F$-) the agency may want to consider improving the appraisal program in this
particular area.
7. 8ifferentiate among various levels of performance 1! points for design and
implementation score"
a. For the latest appraisal period show the distri!ution of ratings:
"2%F& '3
Performance *ating
9um3er of "mployees *eceiving t&e rating
Performance *ating 9um3er of "mployees
*eceiving t&e rating
#evel 1
(i.e. 7utstanding or e,uivalent+
#evel 3
(i.e. *xceeds or e,uivalent+
#evel 4
(i.e. Fully )uccessful or e,uivalent+
#evel 6
(i.e. 8inimally )uccessful or e,uivalent+
#evel '
(i.e. Unaccepta!le+
>ot rated
T1TA:
: Total num3er of employees &ere s&ould matc& t&e total num3er of
employees covered 3y t&is program5 as reported in ;1c.
Instruction: 2atings of record information should !e availa!le through the operating
human resources office. 9ou should include the num!er of those not rated as well so
that the total num!er of employees rated and not rated e,uals the total num!er of
employees covered !y the program. If you have trou!le getting the num!ers to match it
may !e !ecause of employee turnover or some other reason. 8a?e a note in this section
regarding why the totals from =a and 'c do not match if that occurs. %lso if a summary
level is not availa!le in your program report in the appropriate space ;>/%< for not
availa!le.
!. -ompare the results identified in =! to the rating distri!ution reported in =a. In particular
how do the responses to Item F4' in =! support the rating distri!ution reported in =a?
Instruction: &he purpose of this ,uestion is to as? program evaluators to determine if the
appraisal program is successful at ma?ing distinctions in levels of performance. First
does the agency have a realistic rating distri!ution or for example do more than =5
percent of employees receive the top rating such as an 7utstanding rating? If most
employees are all rated at the same very high level the organization is not ma?ing
distinctions in levels of performance. 7ne solution to improving the process of ma?ing
distinctions in levels of performance is to develop results/oriented elements and
standards that include clear credi!le measures of performance with the Fully )uccessful
level incorporating a wide range of successful performanceLso that employees must
reach challenging and stretch goals in order to !e rated a!ove Fully )uccessful. 7nce
good standards are esta!lished the organization then needs to hold the rating officials
accounta!le for rating performance appropriately against those standards.
>ext loo? at the responses reported in =c. Is the rating distri!ution supported !y the
employees: perception that there are or are not distinctions in performance !eing made?
For example in an agency that rates over =5 percent of its employees as 7utstanding
the agency may have had a significant num!er of employees that answered "isagree or
)trongly "isagree to Item F4'. 2eview and compare the data in =a and =! to see if any
information can !e used to improve the appraisal program and how it operates.
"2%F& '1
!. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestion
that addresses differentiating levels of performance? @e sure to consider survey results when
developing strategies for improving your appraisal program. %nclude this information if $ou are
able to isolate the data for onl$ those emplo$ees covered b$ this appraisal program.
&therwise, respond '()*+ for not available. %f $our organi,ation conducts its own emplo$ee
surve$ and has similar questions with results, include the applicable questions" and results
here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F4': In my wor? unit differences
in performance are recognized in a
meaningful way.
performance culture. "ata from the F$-) can !e o!tained for an entire agency and
often for specific components/!ureaus/operatives within an agency. 9ou must contact
your -hief $uman -apital 7fficer to o!tain permission to loo? at F$-) data that covers

Juestions F4' and F6D address employee perceptions a!out how well the organization
addresses differentiation in performance particularly regarding top performers. When a
significant percentage of employees respond favora!ly to these ,uestions that is when
they )trongly %gree or %gree it appears that employees feel that the organization ma?es
distinctions in levels of performance and appropriately recognizes top performers. 0ay
close attention to how many employees "isagreed )trongly "isagreed >either %greed
or "isagreed or "id >ot Hnow. If those percentages outweigh the favora!le responses
the agency needs to review its appraisal program to see how it might !etter ma?e
distinctions in levels of performance that are clearly evident to employees.
1<. Conse4uences 3ased on performance 1! points for design and
implementation score"
a. CAS- A=A*8S O -rovide the following information for the last most recent" fiscal $ear or
calendar $ear, whichever is more appropriate for $our agenc$ appraisal and award c$cle.
-lease specif$ whether $ou used calendar or fiscal $ear." .or questions related to rating/
based awards, report the awards that were based on the ratings that were reported in 0a
above.

"2%F& 'A
9um3er and Cas& Amount
&otal num!er of cash awards given to
covered employees
&otal dollar amount of cash awards
given to covered employees
P>um!er of cash awards !ased on
assigned rating of record
2ated
#evel 1
2ated
#evel 3
2ated
#evel 4
2ated
#evel 6
2ated
#evel '
P%mount of cash awards !ased on
P>um!er of cash awards not !ased on
rating of record
P%mount of cash awards not !ased on
rating of record
PIf your agency no longer trac?s rating/!ased awards separately from other types of awards
respond ;>/%< for information not availa!le.
Instruction: 708 no longer re,uires that agencies report cash awards to its -entral
0ersonnel "ata File (-0"F+ !y identifying the reason for the award such as whether cash
was given as a performance award a special act award or an on/the/spot award.
%gencies are only as?ed to report cash awards given for individual recognition or group
recognition. If your agency does not trac? rating/!ased awards as a separate type of
award (i.e. performance awards that are !ased on a rating of record+ only complete the
first two ,uestions under this section that is report on the total num!er of cash awards
and total dollar amount of cash awards. If the agency trac?s whether the award is an
individual or a group cash award add them together to determine total cash awards. For
example if an agency gave '55 individual cash awards of Q'5 each and it gave 6 group
awards to a total of 65 people in each group and each individual in each group received
Q1 for the group award the agency would report the following:
&otal num!er of cash awards given to covered employees: '35
&otal dollar amount of cash awards given to covered employees Q'655
For reporting purposes for this ,uestion use the same designators as the -0"F uses for
reporting rating level that is:
#evel 1 R 7utstanding or e,uivalent
#evel 3 R *xceeds or e,uivalent
#evel 4 R Fully )uccessful or e,uivalent
#evel 6 R 8inimally )uccessful or e,uivalent
#evel ' R Unaccepta!le
>ote: "o not include )*) performance awards or ran? awards.
b. TIM" 1,, A=A*8S 0 -rovide the following information for the last most recent" fiscal
$ear or calendar $ear, whichever is more appropriate for $our agenc$ appraisal and award
c$cle. -lease specif$ whether $ou used calendar or fiscal $ear." .or questions related to
"2%F& 'D
rating/based awards, report the awards that were based on the ratings that were reported in
0a above
9um3er of a+ards and &ours
&otal num!er of time off awards granted
&otal num!er of hours of time off granted
P>um!er of time off awards !ased on
2ated
#evel 1
2ated
#evel 3
2ated
#evel 4
2ated
#evel 6
2ated
#evel '
P>um!er of hours of time off granted !ased
on assigned rating of record
P>um!er of time off awards not !ased on
rating of record
P>um!er of hours of time off granted not
!ased on rating of record
PIf your agency does not trac? rating/!ased time/off awards separately from other types of time/
off awards respond ;>/%< for information not availa!le.
Instruction: &ime/off awards can !e granted to employees to recognize a performance
rating or to recognize other types of performance such as a special act or service. If your
agency does not identify whether a time/off award was given as a rating/!ased award
only complete the first two items in this ta!le that is the total num!er of time/off awards
granted and the total num!er of hours of time off granted.
c. .>AIT? ST"P I9C*"AS"S #.SI+ O -rovide the following information for the last most
recent" fiscal $ear or calendar $ear, whichever is more appropriate for $our agenc$ appraisal
and award c$cle. -lease specif$ whether $ou used calendar or fiscal $ear."
9um3er of a+ards
&otal J)I awards given as a result of last rating of
record
2ated
#evel 1
2ated
#evel 3
2ated
#evel 4
2ated
#evel 6
2ated
#evel '
Instruction: J)Is are only to !e given to employees with 7utstanding or e,uivalent
ratings or if the appraisal program does not have an 7utstanding or e,uivalent rating
J)Is should only !e given !ased on a full Eustification !y the supervisor. %s a result if
you have a five/level program your data should show that all J)Is were given to
employees who received an 7utstanding rating of record that is a #evel 1 rating.
"2%F& 'B
i. %nalyze the results identified in '5a '5! and '5c and consider the survey results in '5d.
"oes your awards program support organizational goal achievement and ma?e distinctions in
levels of performance? Identify any findings relationships or other information that may !e
helpful for your organization when providing conse,uences for performance.
Instruction: &he purpose of this tool is not to evaluate your awards program !ut when
discussing conse,uences to performance awards and recognition are integral to the
discussion. &he purpose of this ,uestion is to as? program evaluators to determine if the
appraisal program and related awards programs provide conse,uences to performance.
First does it appear that the agency grants awards !ased on performance and employee
achievements? %re higher performers given higher cash or time/off awards? %nalyze
your data from '5a '5! and '5c and see what it is telling you. &hen compare that data to
the employee responses reported in '5d.
>ote: *ven though this tool is not designed for evaluating awards programs you should
consider evaluating your awards program to see how it supports creating a performance
culture. When evaluating your awards program analyze specific metrics from the data
that include average award amounts per rating and grade rate of awards per hundred
employees the percent of aggregate salary spent on awards and how the awards program
aligns to and supports organizational goals. %lso include the employee perception data
gathered in the F$-) and other employee surveys you may have conducted.
d. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestions
that address conse,uences of performance? @e sure to consider survey results when developing
isolate the data for onl$ those emplo$ees covered b$ this appraisal program. &therwise, respond
'()*+ for not available. %f $our organi,ation conducts its own emplo$ee surve$ and has similar
questions with results, include the applicable questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F6D: $igh/performing employees
in my wor? unit are recognized or
rewarded on a timely !asis.
Item F45: %wards in my wor? unit
depend on how well employees perform
their Eo!s.
Item FA': $ow satisfied are you with
the recognition you receive for doing a
good Eo!?
"2%F& '=
&he F$-) ,uestions in this section address awards and recognition programs. *ven
though these do not appear to apply specifically to your appraisal program they address
important aspects of performance culture and are related to the appraisal program through
the rating used for rating/!ased awards or through achievements identified through the
appraisal of employee performance. %ppraisal programs need to ma?e distinctions in
levels of performance so that rich performance information effectively feeds into the
organization:s recognition and awards programs. &he employee perceptions to these
,uestions can give program designers information for how employees perceive that
performance is ta?en into account when awards and recognition are determined.
e. >9ACC"PTA(" P"*,1*MA9C"
( unaccepta!le performance on a critical element+ -rovide the following information for the last
most recent" appraisal period. 1se the same time period used to answer section 0 above.
9um3er
*mployees rated ;Unaccepta!le<
*mployees placed on 0erformance
Improvement 0eriod as a result of
unaccepta!le performance
*mployees removed !ased on unaccepta!le
performance (i.e. a performance/!ased or
adverse action+
*mployees reassigned !ased on
unaccepta!le performance (i.e. a
performance/!ased or adverse action+
*mployees who were reduced in grade
!ased on unaccepta!le performance (i.e. a
performance/!ased or adverse action+
Instructions:
"mployees rated @>naccepta3leA. %lthough you have already provided answers in
section = regarding rating distri!ution and the num!er of employees rated at a specific
level repeat num!er rated ;Unaccepta!le< or #evel ' here. (We are as?ing you to repeat
this num!er !ecause it ma?es it easier to analyze unaccepta!le performance data when it
is all in one place.+
"mployees placed on Performance Improvement Period #PIP% as a result of
unaccepta3le performance. )upervisors can determine that employees are failing a
critical element (or performance expectation+ at any time during the appraisal period and
do not have to wait until the end of the appraisal period when a rating of record of
"2%F& 65
;Unaccepta!le< would !e assigned. When a supervisor determines an employee is
demonstrating unaccepta!le performance (that is when the employee is failing a critical
element+ !ut !efore the supervisor can ta?e a performance/!ased action the supervisor
must give the employee an opportunity to improve. &his opportunity to demonstrate
accepta!le performance is defined in 1 -F2 346.'54 and is commonly referred to a
performance improvement period or a 0I0. 2eport the num!er of employees placed on
0I0s here.
>ote: % performance/!ased action ta?en under 1 -F2 346 or an adverse action for
performance ta?en under 1 -F2 D16 can result in removal reassignment or reduction/in/
grade of the unaccepta!le performer. &he next three ,uestions as? for information
regarding performance/!ased actions or adverse actions !ased on performance.
"mployees removed 3ased on unaccepta3le performance (i.e. a performance/!ased or
adverse action+. 2eport the num!er of employees who have !een removed from their
positions !ecause of a performance/!ased action ta?en under 1 -F2 346 or D16.
"mployees reassigned 3ased on unaccepta3le performance (i.e. a performance/!ased
or adverse action+. 2eport the num!er of employees who were reassigned as a
performance/!ased action ta?en under 1 -F2 346 or D16.
"mployees +&o +ere reduced in grade 3ased on unaccepta3le performance (i.e. a
performance/!ased or adverse action+. 2eport the num!er of employees who were
reduced in grade as a performance !ased action ta?en under 1 -F2 346 or D16.
i. %nalyze the results identified in '5e and compare it to the survey responses in '5f. Identify
any findings relationships or other information that may !e helpful for your organization
when or if you revise your appraisal program and the efforts to address poor performance.
Instruction: -omparing the num!er of performance/!ased actions your organization has
ta?en to the F$-) data regarding employee perceptions of how the agency addresses poor
performers can help you formulate strategies for dealing with poor performers. When
poor performance occurs several things need to happen:
)upervisors need to address poor performance immediately to correct the pro!lem.
0oor performance should not !e ignored. &he longer the poor performance continues
the larger the pro!lem grows. *mployees in a wor? unit who have to ;cover< the
wor? of a poor performer resent the situation. If poor performance is ignored
everyone in the organization ?nows that performance is not important in that
organization. &his destroys a performance culture.
Upper/level management needs to support the supervisor in all actions necessary to
correct the performance pro!lem. If upper/level managers don:t want a front/line
supervisor to ;roc? the !oat< !y addressing performance pro!lems poor performance
will continue to occur. &he negative conse,uences to the supervisor for addressing
poor performance will ensure that that supervisor will never try to improve poor
performance again.
*mployees need to !e given the opportunity to improve. &his can include coaching
training and any other action needed to correct the pro!lem.
"2%F& 6'
When evaluating your appraisal program ma?e sure the design of the program includes
the steps necessary for addressing poor performance !ut also analyze the implementation
of the program to ensure that supervisors have the s?ills and support for addressing poor
performance.
f. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestion
that addresses conse,uences for poor performance? @e sure to consider survey results when
developing strategies for improving your appraisal program. %nclude this information if $ou are
able to isolate the data for onl$ those emplo$ees covered b$ this appraisal program. &therwise,
respond '()*+ for not available. %f $our organi,ation conducts its own emplo$ee surve$ and has
similar questions with results, include the applicable questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F63: In my wor? unit steps are
ta?en to deal with a poor performer who
cannot or will not improve.
Item F63 specifically deals with employee perceptions of how poor performance is
handled !y the agency. 0art of !uilding a performance culture means that performance is
important to the organization that top performers are recognized and that poor
performance is addressed.
11. "mployee Involvement 1! points for design and implementation score"
a. Was the appraisal program designed with input from employees and their representatives if
applica!le?
9es >o
i. If yes descri!e the process.
Instruction: 0erformance appraisal programs should !e designed with employee input.
When employees are covered !y a !argaining unit representatives of the !argaining unit
should !e involved. "escri!e here the process you used for designing the appraisal
program.
ii. If no descri!e why.
"2%F& 66
Instruction: *xplain why employees and/or their representatives were not involved in the
design process.
!. "oes the appraisal program re,uire employee involvement in the development of the
employee:s performance plan?
9es >o
i. If yes descri!e the process.
Instruction: 9our appraisal program should re,uire that employees !e involved in the
development of their performance plans. Include here the paragraph from your program
description that re,uires employee involvement in the plan development.
ii. If no, descri!e why.
Instruction: If your appraisal program does not re,uire employee involvement or input in
the development of performance plans we suggest you revise your appraisal program.
c. %re employees actually involved in the development of their performance plans?
9es >o
i. If yes, descri!e how this occurs.
Instruction: *mployees !etter understand the supervisor:s performance expectations if
they are involved in the development of their performance plans. While it is ultimately
the right of management to assign wor? it is desira!le to get employee input into the
development of their plans so that performance elements and standards (or performance
expectations+ are clear credi!le and transparent to !oth the rating official and the
employees !eing rated. 2eport here how employees are involved in the development of
performance plans.
ii. If no descri!e why.
Instruction: If employees are not involved in the development of their performance plans
explain why here.
iii. %nalyze the results identified in ''a ''! and ''c and compare it to the survey responses
in ''d. Identify any findings relationships or other information that may !e helpful for your
organization when or if you revise your appraisal program and the efforts of the organization
to involve employees in the performance appraisal process.
Instruction: If your appraisal program does not re,uire or encourage employee
involvement in the development of the program or the performance plans and if there are
significant percentages of employees responding negatively to Item F1= of the F$-) the
agency may want to consider improving the appraisal program in this particular area.
d. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestion
that addresses employee involvement? @e sure to consider survey results when developing
,-CS .uestion
Kery
)atisfied
)atisfied >either
)atisfied
nor
dissatisfied
"issatisfied Kery
"issatisfied
Item F1=: $ow satisfied are you with
your involvement in decisions that
affect your wor??
"2%F& 64
F$-) Item F1= gathers information a!out employee perceptions of their involvement in
the wor? processes which could include the involvement of developing their
performance expectations in their performance plans. )ignificant percentages of
employees responding "isagree or )trongly "isagree to this ,uestion could indicate that
employees feel helpless a!out or don:t ?now how they can affect wor? processes.
*nsuring that employees are involved in the development of their performance plans can
help improve feelings of personal empowerment with respect to wor? processes.
12. ,eed3ac) Process 1! points for design and implementation score"
a. "oes the appraisal program re,uire that employees receive a progress review on their
performance (that is feed!ac?+ at least once during the appraisal period?
9es >o
Instruction: @y regulatory re,uirement appraisal programs must re,uire that employees
receive a progress review during the appraisal period. % progress review means
communicating with the employee a!out performance compared to the performance
standards (or performance expectations+ esta!lished in their performance plans. If your
appraisal program does not re,uire a progress review your agency must revise the
program to include this.
!. %pproximately how many employees received a progress review?
Instruction: 0rovide the num!er of employees you have determined received a progress
review during the most recent appraisal period.
c. $ow do you trac? whether employees receive a progress review?
Instruction: "escri!e the process the agency uses to determine if progress reviews are
!eing done with employees.
i. %nalyze the results identified in '6! and '6c and compare it to the survey responses in '6d.
Identify any findings relationships or other information that may !e helpful for your
organization when or if you revise your appraisal program to ensure it provides for ade,uate
employee feed!ac?.
Instruction: -omparing employee perspectives to your information a!out whether
progress reviews are !eing done can give you an idea as to the effectiveness of the
progress reviews. If progress reviews are not !eing done the employee responses to Item
F43 may !e lower than they might !e if progress reviews were done as re,uired. If
progress reviews are occurring !ut employee responses are still negative to Items F43
and 15 the agency may want to focus on training supervisors on how to provide effective
"2%F& 63
feed!ac? to employees. Use this information to help you formulate your strategies for
improving your appraisal program.
d. What were the results to the 6553 Federal $uman -apital )urvey (F$-)+ regarding feed!ac?
discussions with supervisors? @e sure to consider survey results when developing strategies for
improving your appraisal program. %nclude this information if $ou are able to isolate the data
for onl$ those emplo$ees covered b$ this appraisal program. &therwise, respond '()*+ for not
available. %f $our organi,ation conducts its own emplo$ee surve$ and has similar questions with
results, include the applicable questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F43: "iscussions with my
supervisor/team leader a!out my
performance are worthwhile.
Item F15: )upervisors/team leaders
provide employees with constructive
suggestions to improve their Eo!
performance.
&he items from the F$-) used here address employee perspectives in regard to
communications with supervisors a!out performance which could include progress
reviews. &he responses to these ,uestions can indicate to the agency whether progress
reviews are successful in providing feed!ac? to employees.
13. Training and Competency 8evelopment 1! points for design and implementation score"
a. "oes the appraisal program description re,uire that supervisors receive training and retraining
on the re,uirements and operation of the performance appraisal program?
9es >o
Instruction: %ppraisal programs should re,uire that supervisors ?now how the appraisal
program operates. If your appraisal program does not re,uire supervisory training on the
program your agency should revise its program to incorporate this.
"2%F& 61
!. $as the agency conducted training for at least 15 percent of its supervisors on the performance
appraisal program sometime during the last 6 years?
9es >o
i. If yes descri!e the training how many attended the content of the course and any other
information that would show ade,uate training was provided.
Instruction: 9ou can insert a training plan curriculum a management competency model
upon which the training was !ased or any other documentation to explain the training.
ii. If fewer than 15 percent of supervisors were trained on performance management in the
last 6 years what is the agency doing to ensure that supervisors receive training in the future?
Include a timeline for actions.
Instruction: Include here a training plan for future training if fewer than 15 percent of
supervisors were trained during the last 6 years.
c. "oes the appraisal program description re,uire that employees receive training and retraining
on the re,uirements and operation of the performance appraisal program?
9es >o
Instruction: *mployees should understand how their appraisal program operates. &he
appraisal program should re,uire that employees are trained on the operation of the
program.
d. $as the agency conducted training for at least 15 percent of employees on the performance
appraisal program sometime during the last 6 years?
9es >o
i. If yes descri!e the training how many attended the content of the course and any other
information that would show ade,uate training was provided.
Instruction: 9ou can insert a training plan curriculum a management competency model
upon which the training was !ased or any other documentation to explain the training.
ii. If fewer than 15 percent of employees attended performance appraisal training in the last 6
years what is the agency doing to ensure that employees receive training in the future?
Instruction: Include here a training plan for future training if fewer than 15 percent of
employees were trained during the last 6 years.
e. When a supervisor performs poorly on the re,uired supervisory element (see 7versight and
%ccounta!ility section+ what action has the agency ta?en to improve the supervisor:s
performance management competencies (that is interpersonal communication leading people
setting goals performance measurement !usiness acumen appraising performance recognition+
Instruction: &he response to this ,uestion could include training provided coaching
mentoring actions during supervisory pro!ationary periods or performance/!ased
actions. "escri!e how your agency approaches poor performance in supervisory duties
and how it resolves those pro!lems.
f. "escri!e the agency:s competency development activities for supervisors.
Instruction: "escri!e your agency:s approach to developing its supervisors and for
improving their performance management s?ills. If your agency has developed a
competency model for its managers and supervisors provide a description here and how
that model guides training for supervisors.
g. What were the results of supervisors and managers responses to the following 6553 Federal
$uman -apital )urvey (F$-)+ ,uestions that address training and competency development? @e
sure to consider survey results when developing strategies for improving your appraisal program.
%nclude this information if $ou are able to isolate the data for onl$ those emplo$ees covered b$
this appraisal program. &therwise, respond '()*+ for not available. %f $our organi,ation
"2%F& 6A
conducts its own emplo$ee surve$ and has similar questions with results, include the applicable
questions" and results here."
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F6: I am given a real opportunity to
improve my s?ills in my organization.
Item F13: I receive the training I need to
perform my Eo!.
From the standpoint of evaluating the appraisal program you need to consider the s?ills
of the supervisors who are ?ey to the program:s effectiveness. &he supervisors:
perspectives captured when they answered Item:s F6 and F13 capture supervisors:
opinions on whether they feel they have they right s?ills to do their Eo!s effectively
which could include s?ills for managing the performance of su!ordinates. @y isolating
the way supervisors responded you may !e a!le to identify possi!le training needs of
supervisors and can follow up to see if those needs include training on the appraisal
program or s?ills necessary for operating the appraisal program effectively. %lso
consider employee perspectives on how well supervisors give feed!ac? which you can
review in section '6d.
%lso comparing your supervisors: perspectives to the training you have given them
regarding the appraisal program can give you an idea for future training needs. Use this
information to help you formulate your strategies for improving your appraisal program
and upcoming performance management training.
14. Assessment and Buidance 1! points for design and implementation score"
a. "oes the agency assess organizational unit performance?
9es >o
i. If yes explain how unit performance is assessed (e.g. using 0%2 0%2& or some other
assessment tool+. 0rovide an example of the assessment tool if applica!le.
7ne way agency performance is assessed and reported is through re,uirements of the
.overnment 0erformance and 2esults %ct. %gencies must report on their performance in
"2%F& 6D
achieving specific goals and o!Eectives that they esta!lish at the !eginning of the fiscal
year. 78@ also assesses program performance through its 0erformance %ssessment and
2eporting &ool (0%2&+. "escri!e how your organization assesses its performance.
ii. If yes explain how organizational unit performance was communicated throughout the
organization.
Instruction: If availa!le provide a copy of the memo or guidance that was issued.
iii. If no that is if the agency does not assess organizational unit performance what is the
agency doing to ensure that unit performance is assessed and communicated in the future?
Instruction: "evelop a plan for assessing organizational performance and for
communicating that performance throughout the organization.
!. "id an agency official provide guidance to rating officials a!out how unit performance should
!e considered when deciding ratings and awards?
9es >o
i. If yes either descri!e the guidance or provide a copy.
Instruction: If availa!le provide a copy of the memo or guidance that was issued.
ii. If no what is the agency doing to ensure that guidance is given a!out ratings and wor?
unit performance in the future? Include a timeline for actions.
Instruction: 2ating officials need to accurately assess individual performance while at the
same time consider the wor? unit:s performance as a whole. If the wor? unit exceeds its
annual goals the ratings of the mem!ers of the wor? unit would li?ely reflect successful
performance. 7n the other hand if a wor? unit:s performance is poor the rating official
must determine the reasons for the poor performance. If unit mem!ers were not
achieving the performance expectations esta!lished in their performance plans the rating
official must determine the reason. If the employees have the resources and training they
need to accomplish their goals !ut fail to do so and if the goals were clear credi!le and
o!taina!le the rating official needs to rate employee performance appropriately.
&he agency should have a communication process in place for communicating
organizational performance and providing guidance to rating officials regarding that
performance. &he guidance should advise rating officials regarding their wor? unit:s
performance and how that should !e considered when rating employees overall. If your
agency does not have this type of communication in place you should consider
esta!lishing one.
c. What were the results to the following 6553 Federal $uman -apital )urvey (F$-)+ ,uestion
that addresses organizational assessment? @e sure to consider survey results when developing
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F34: 8anagers review and evaluate
the organization:s progress toward
meeting its goals and o!Eectives.
"2%F& 6B
Item F34 addresses employee perspectives regarding how well the agency assesses its
performance. If employees ?now that performance is important in the organization their
perception of the performance culture is positive.
%lso comparing whether an organization ta?es actions to assess and communicate its
performance and the employees: perspectives of the importance of organizational
performance may give program evaluators insights for using the appraisal program to
help assess and communicate organizational performance in the future.
1!. 1versig&t and Accounta3ility 1! points for design and implementation score"
a. "o the performance plans of supervisors include a critical element (performance expectation+
that holds the supervisors accounta!le for the performance management of su!ordinates that is
the agency holds supervisors responsi!le for ensuring that su!ordinate performance plans are
aligned with organizational goals and for the degree of rigor the supervisor demonstrates in the
appraisal of su!ordinates?
9es >o
i. If yes how many supervisors have this element included in their performance plans?
Instruction: If your program has a re,uired element for all supervisors that holds them
accounta!le for the performance management of su!ordinates report that all supervisory
plans include this. &he num!er would !e the same num!er as reported in 'd a!ove.
ii. If no what is the agency doing to ensure that in the future all supervisors are held
accounta!le for the performance management of su!ordinates? Include a timeline for
actions.
Instruction: "evelop a plan for revising the performance plans of supervisors to
incorporate a critical element (or performance expectation+ that holds them accounta!le
for the performance management of su!ordinates.
!. Was this program approved !y the agency head or designee !efore it was implemented?
9es >o
Instruction: &he agency should have a process for approving programs that operate within
the agency. &he head of the agency or designee is often the approver of programs.
i. If yes provide the title of the designee if the agency head was not the approver.
Instruction: )elf explanatory.
ii. If no descri!e the process used for o!taining approval for implementing the program
within the agency.
"2%F& 6=
Instruction: "escri!e how this program was approved within your agency.
c. Is there a high/level agency official who has oversight of the results of appraisals and awards
under this program?
9es >o
Instruction: %gencies should have an official at head,uarters who has oversight
responsi!ilities for the appraisal program and its results. &his is the person who approves
the development of the strategy for improving the appraisal program as?ed for in )ection
'A.
i. If yes provide the title of the official.
Instruction: )elf explanatory.
ii. If no what is the agency doing to ensure that in the future a high/level agency official will
oversee the results of appraisals and awards under this program? Include a timeline for
actions.
Instruction: %s part of an oversight and accounta!ility program your agency should
ensure that an official has oversight of the appraisal program reviews the results of the
program and periodically evaluates the effectiveness and efficiency of the program.
d. $as this program !een evaluated !y the agency within the last 4 years to determine
compliance and effectiveness?
9es >o
Instruction: &he regulations at 1 -F2 345 re,uire that agencies evaluate their appraisal
programs periodically. 2eport if the program has !een evaluated or not.
i. If yes when?
Instruction: 2eport the month and year of the evaluation.
ii. If yes what were the results? (0rovide a copy of the report.+
Instructions: If the report is availa!le electronically and you are su!mitting your
responses to this tool electronically email the report with this tool. If you are su!mitting
your responses !y mail include a hard copy of the evaluation report.
iii. If no that is if the agency has not evaluated the appraisal program within the last 4 years
what is the agency doing to ensure that in the future regular evaluations of the program will
occur? Include a timeline for actions.
Instructions: @y using this tool you are evaluating your appraisal program. In the future
you may reevaluate your program as re,uired using this tool or other methods. %s part
of your accounta!ility system ensure that appraisal program evaluation is done
periodically.
e. "oes the rating distri!ution of employees reflect organizational unit performance that is is
there a relationship !etween the ratings of employees and the performance of the unit?
9es >o
Instruction: #oo?ing at the performance of the organization as a whole and the rating
distri!ution of its employees determine if there seems to !e a relationship. For example
ninety percent of employees should not !e rated 7utstanding if the organization has failed
to meet any of its goals. % significant num!er of employees rated at high levels may !e
appropriate if the organization has achieved all of its goals as reported to the 7ffice of
8anagement and @udget (78@+ and the -ongress or if the agency has programs that are
rated *ffective !y 78@.
i. If yes explain. Include a description of how organizational performance was assessed how
it was communicated throughout the agency and the instructions given to rating officials and
second/level reviewers on how to incorporate the organization:s performance into the review
"2%F& 45
process.
Instruction: If your organization has a rating form for organizational performance include
a copy of the form here. Include any other documents or a description of the process for
assessing organizational performance.
ii. If no what actions is the agency ta?ing to ensure that rating distri!utions in the future
reflect unit performance?
Instruction: &his answer should also !e included in the strategy developed in section 'A.
1'. Purpose of Performance Management 1!! points for strateg$ for improvement"
a. What were the results to the following 6553 Federal $uman -apital )urvey ,uestion that
addresses organizational assessment? @e sure to consider survey results when developing
,-CS .uestion
)trongly
%gree
%gree >either
agree or
disagree
"isagree )trongly
"isagree
"o not
?now
Item F44: 8y performance appraisal is a
fair reflection of my performance.
In many ways this ,uestion summarizes the appraisal process from the employees:
perspective. -onsider the results of this ,uestion when answering 'A!.
!. "o you feel this appraisal program helps the organization achieve its goals? (&he response to
all of 'A! is to !e approved !y the person that has oversight responsi!ility for the program as
identified in '1c.+
9es >o
i. If yes explain.
Instruction: &his ,uestion gives the agency the opportunity to review its appraisal
program and explain how its successful program has helped communicate organizational
goals ?eep employees focused on achieving results identify and recognize top
performers address poor performance and accomplish organizational goals. If the
agency has a good story to tell it should tell it here. &his answer is to !e approved !y the
"2%F& 4'
person identified in '1c.
ii. If no what is the agency doing to the design or operation of its program to improve
program effectiveness at helping employees achieve organizational goals? >ote: &his
answer should !e the summarizing plan for how the agency intends to improve its
performance appraisal program. Include all the answers from previous sections that address
improvement actions.
Instruction: &his ,uestion gives you the opportunity to review and summarize a complete
plan for addressing and improving the wea?nesses you may have found as identified in
other sections of this tool. %ll of the other sections as?ed you to develop a strategy for
improving the alignment results/focus measures of performance conse,uences
employee involvement feed!ac? training organizational assessment oversight and the
accounta!ility for in the appraisal program. &his ,uestion as?s you to pull all those
together into a plan with timelines for how you can improve your appraisal program
overall. (@e sure to capture your strategies identified in the cells of the tool that are
shaded !lue: A!ii Aci D!ii Dci Bciii Bdiii Bei =c '5di '5fi ''di '6di '4!ii '4dii
'4gi '3aiii '3!ii '3ci '1aii '1cii '1dii and '1eii.+ &his answer is to !e approved !y
the person identified in '1c.
"2%F& 46
Scoring S&eets
Score 1C 8esign and Implementation
@ecause the characteristics of effective appraisal programs that have !een assessed using this
tool are each as important as the others each characteristic has !een weighted the same for
scoring purposes here. )ections A through '1 are scored '5 points each. &he scoring scheme
follows:
C&aracteristics
of "ffective
Performance
Appraisal
Programs
.uestion
abbreviated"
Points Availa3le
2otal -oints
add to 1!!"
Alignment
Aa. 0rogram re,uires alignment. 6
A!. >um!er of employees with aligned plans. 4
A!i. "escri!e methodology and verification. 4
Ac. )urvey results 6
*esults0,ocused
Da. 0rogram re,uires results/focused elements. 6
D!. >um!er of employees with results/focused
plans.
4
D!i. "escri!e methodology and verification. 4
Dc. )urvey results. 6
(alanced5
Credi3le
Measures
Ba. 0rogram re,uires !alanced credi!le measures. '
B!. >um!er of employees plans including measures. '
B!i. "escri!e methodology and verification. '
B!ii. 0rovide examples. '
Bc. 0rogram re,uires supervisory plans include
measures of customer and employee perspective.
'
Bd. >um!er of supervisors that have
customer/employee perspectives in plans.
'
Bdi. "escri!e methodology and verification. '
Bdii. 0rovide examples. '
Be. )urvey results. 6
8istinctions in
levels of
performance
=a. 2ating distri!ution B
=c. )urvey results.
6
Conse4uences
'5a. -ash awards 6
'5!. &ime/off awards '
'5c. Juality step increases '
'5d. )urvey results 6
'5e. %ddressing unaccepta!le performance. 6
'5f. )urvey results. 6
"mployee
Involvement
''a. *mployees involved in program design. 4
''!. 0rogram re,uires employee involvement. 6
''c. *mployee involved in developing performance
plans.
4
"2%F& 44
''d.)urvey results. 6
,eed3ac)
'6a. 0rogram re,uires progress review. 6
'6!. >um!er of employees who received a progress
review.
4
'6c. &rac?ing progress reviews. 4
'6d. )urvey results. 6
Training
'4a. 0rogram re,uires training of supervisors. '
'4!.>um!er of supervisors trained on program. '
'4!i. "etails of training. '
'4c. 0rogram re,uires training of employees '
'4d. >um!er of employees trained on program. '
'4di. "etails of training. '
'4e. %ddressing poor supervisory performance '
'4f. )upervisory competency development '
'4g. )urvey results 6
1rganiDational
Assessment and
Buidance
'3a. %ssesses organizational unit performance. 6
'3ai. "escri!e the methodology for assessment. 6
'3aii. %ssessment results communicated to
employees.
'
'3!. .uidance provided to rating officials. 6
'3!i. "escri!e guidance. '
'3c. )urvey results. 6
1versig&t and
Accounta3ility
'1a. )upervisors held accounta!le for the
performance management of su!ordinates.
6
'1!. 0rogram approved !y agency head or designee. 6
'1c. 7fficial with oversight. 6
'1d. 0rogram previously evaluated. 6
'1e. 2ating distri!ution reflects organizational
performance.
6
Total Points '55
*atingC
*ating Point Total
*ffectiveness -haracteristics 0resentP B1/'55
*ffectiveness -haracteristics 0resent !ut
>ot as )trong as -ould @eP
D5/B3
-haracteristics %de,uately 0resent @ut
8any Wea?nesses IdentifiedP
15/A=
-haracteristics >ot %de,uately 0resent 5/3=
P&he program can !e scored at this level as long as each section scores at least 6 points.
If a section scores 5 points the program does not ade,uately meet re,uirements.
"2%F& 43
Score 2C Strategy for Improvement
)ection 'A as?s the agency to summarize and coordinate its plans for improving its appraisal
program. &his will include pulling together the responses from several ,uestions in )ections A
through '1. &he ,uestions to !e scored for strategy for improvement and the points availa!le for
each are:
C&aracteristics
of "ffective
Performance
Appraisal
Programs
.uestion
Points Availa3le
2otal -oints
add to 1!!"
Alignment
A!ii If all your employees are not covered !y
performance plans that are aligned with
organizational goals what is the agency doing to get
those plans aligned with organizational goals?
"evelop a strategy for improvement and include a
timeline for actions. -onsider the results of Ac in
your response.
3
*esults0,ocused
D!ii. If all your employees are not covered !y
performance plans that include at least one critical
element that holds employees accounta!le for
results what is the agency doing to ensure that
performance plans include a critical element that
holds employees accounta!le for achieving results?
-onsider the results of Dc in your response. Include
a timeline for actions.
3
(alanced5
Credi3le
Measures
Bciii. If all your employees do not have performance
plans that include credi!le measures of performance
what is the agency doing to ensure that those plans
include credi!le measures of performance in the
future? -onsider the results of Be in your response.
4
Bdiii. If all your supervisors do not have
performance plans that ta?e into account employee
and customer perspectives what is the agency doing
to ensure that those plans incorporate employee and
customer perspectives in the future? Include a
timeline for actions.
4
8istinctions in
levels of
performance
=!. -ompare the results identified in =! to the rating
distri!ution reported in =a. In particular how do the
responses to Item F4' in =! support the rating
distri!ution reported in =a?
6
Conse4uences '5ci. %nalyze the results identified in '5a '5! and
'5c and consider the survey results in '5d. "oes
your awards program support organizational goal
achievement and ma?e distinctions in levels of
performance? Identify any findings relationships
6
"2%F& 41
or other information that may !e helpful for your
organization when providing conse,uences for
performance.
'5ei. %nalyze the results identified in '5e and
compare it to the survey responses in '5f. Identify
any findings relationships or other information that
may !e helpful for your organization when or if you
revise your appraisal program and the efforts to
address poor performance.
6
"mployee
Involvement
''ci. %nalyze the results identified in ''a ''! and
''c and compare it to the survey responses in ''d.
Identify any findings relationships or other
information that may !e helpful for your
organization when or if you revise your appraisal
program and the efforts of the organization to
involve employees in the performance appraisal
process.
6
,eed3ac)
'6ci. %nalyze the results identified in '6! and '6c
and compare it to the survey responses in '6d.
Identify any findings relationships or other
information that may !e helpful for your
organization when or if you revise your appraisal
program to ensure it provides for ade,uate employee
feed!ac?.
6
Training
'4!ii. If fewer than 15 percent of supervisors were
trained on performance management in the last 6
years what is the agency doing to ensure that
supervisors receive training in the future? Include a
4
'4dii. If fewer than 15 percent of employees
attended training in the last 6 years what is the
agency doing to ensure that employees receive
training in the future? Include a timeline for actions.
4
1rganiDational
Assessment and
Buidance
'3aiii. If no that is if the agency does not assess
organizational unit performance what is the agency
doing to ensure that unit performance is assessed and
communicated in the future? Include a timeline for
actions.
4
'3!ii. If no what is the agency doing to ensure that
guidance is given a!out ratings and wor? unit
performance in the future? Include a timeline for
actions.
4
1versig&t and
Accounta3ility
'1aii. If no what is the agency doing to ensure that
in the future all supervisors are held accounta!le for
the performance management of su!ordinates?
6
'1cii. If no what is the agency doing to ensure that
in the future a high/level agency official will oversee
6
"2%F& 4A
the results of appraisals and awards under this
program? Include a timeline for actions.
'1dii. If no that is if the agency has not evaluated
the appraisal program within the last 4 years what is
the agency doing to ensure that in the future regular
evaluations of the program will occur? Include a
6
'1eii. If no what actions is the agency ta?ing to
ensure that rating distri!utions in the future reflect
unit performance?
6
1verall Strategy
for Improvement
'A!ii. If no what is the agency doing to the design
or operation of its program to improve program
effectiveness at helping employees achieve
organizational goals? >ote: &his answer should !e
the summarizing plan for how the agency intends to
improve its performance appraisal program. Include
all the answers from previous sections that address
improvement actions.
1A
Total Points '55
*atingC
*ating Point Total
*ffective )trategy B1/'55
*ffective )trategy !ut plans have some
wea?nesses
D5/B3
%de,uate )trategy 15/A=
Inade,uate )trategy 5/3=
"2%F& 4D

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Performance Appraisal Assessment Tool

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