U.S. Department of Transportation
Federal Highway Administration
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Washington, DC 20590
202-366-4000
This document was canceled November 2, 2005
Order | ||
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Subject | ||
Personnel Management Manual: Performance Evaluation Performance Management System (PMS); Part 1, Chapter 5, Section 2 | ||
Classification Code | Date | |
M3000.1B | September 30, 1996 |
Par.
(1) at any time during the performance appraisal period an employee's performance falls below the Meets or Exceeds Requirements level (following the implementation of and evaluation under a Performance Improvement Plan); or
(2) at the end of the appraisal period the employee has completed the minimum appraisal period but not a full 12 months in his/her current position.
(1) Outstanding - this is a level of superior performance. Almost all aspects (at least 75 percent of the rating factors) of the employee's performance have clearly and significantly exceeded the documented expectations and performance standards for the "Meets or Exceeds Requirements" level to such an extent as to be truly unusual and noteworthy. Performance at this level has added value to the organization to an unusual degree, and has made significant contributions to mission accomplishment.
(2) Meets or Exceeds Requirements - this is a range of performance that meets or exceeds the expectations of the rating official. It describes good, sound performance and reflects the employee's positive response in accomplishing assignments. This is a wide range, where at the base level, the employee has made significant contributions, and performance is adequate to fully meet the requirements and expectations of the rating official. At the top of the range, performance is high-quality in most or all aspects (rating factors), exceeds expectations in major areas of the job, and adds value to the organization.
(3) Fails to Meet Requirements - the employee's performance and work products do not meet the minimum requirements and contain major deficiencies. Fails to Meet Requirements performance in any rating factor in Sections E and E-1 (except Factor 9 in Section E, Team Accomplishment) will result in an overall summary rating of Fails to Meet Requirements. A rating of Fails to Meet Requirements is the same as a rating of Unacceptable in the DOT Framework and 5 CFR 430 and 432. See paragraph 8e for specific instructions for dealing with performance that fails to meet requirements.
(1) Outstanding - at least 75% of the factors in Section E* (plus Section E-1 where appropriate) are rated Outstanding, and none are rated less than Meets or Exceeds Requirements.
(2) Meets or Exceeds Requirements - all factors rated in Section E* (plus Section E-1 where appropriate) are rated at least Meets or Exceeds Requirements.
(3) Fails to Meet Requirements - one or more factors in Section E* (plus Section E-1 where appropriate) are rated Fails to Meet Requirements. Before a rating of Fails to Meet Requirements is assigned, the employee will also have been provided a PIP, and failed to meet the specific requirements of the PIP for raising performance to at least the Meets or Exceeds Requirements level.
* An exception to these definitions is that Factor 9 in Section E, Team Accomplishment, may not be used to derive a rating of Fails to Meet Requirements. To the extent that Factor 9 is rated Meets or Exceeds Requirements or Outstanding, it is included in the definitions in paragraphs 8.c(1) and 8.c(2) in this directive.
Example of Summary Rating of Outstanding:
Rating Factor | Rating |
Section E: | |
|
Outstanding |
|
Outstanding |
|
Outstanding |
|
Outstanding |
|
Meets or Exceeds Requirements |
|
Meets or Exceeds Requirements |
|
Outstanding |
|
Outstanding |
Section E-1
Not Applicable for Non-Supervisory Employee
(6 of 8 Factors (75%) Rated Outstanding)
Since 75 percent or more of the individual rating factors were rated Outstanding, with no factor being rated lower than Meets or Exceeds Requirements, the employee's summary rating is Outstanding.
Example of Summary Rating of Meets or Exceeds Requirements:
Rating Factor | Rating |
Section E: | |
|
Outstanding |
|
Outstanding |
|
Meets or Exceeds Requirements |
|
Meets or Exceeds Requirements |
|
Outstanding |
|
Meets or Exceeds Requirements |
|
Outstanding |
|
Outstanding |
Section E-1
|
Meets or Exceeds Requirements |
|
Meets or Exceeds Requirements |
|
Outstanding |
|
Outstanding |
|
Meets or Exceeds Requirements |
(7 of 13 Factors (54%) Rated Outstanding)
Since less than 75 percent of the individual rating factors were rated Outstanding, with no factor being rated lower than Meets or Exceeds Requirements, the employee's summary rating is Meets or Exceeds Requirements.
Example of Summary Rating of Meets or Exceeds Requirements (Organization with a Total Team Emphasis):
Rating Factor | Rating |
Section E: | |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Does Not Apply |
|
Outstanding |
|
Meets or Exceeds Requirements |
Section E-1
Not Applicable for Non-Supervisory Employee
(1 of 2 Factors (50%) Rated Outstanding)
Since less than 75 percent of the rating factors actually rated were rated Outstanding, with no factor being rated lower than Meets or Exceeds Requirements, the employee's summary rating is Meets or Exceeds Requirements.
(1) Pre-Rating Performance Improvement Plan (PIP). If at any time during the performance appraisal period an employee's performance falls below the Meets or Exceeds Requirements level, the first-level supervisor should consult the servicing personnel office for assistance in developing a PIP. The identification of performance at the Fails to Meet Requirements level and the initiation of a PIP will trigger a separate, secondary process for evaluating performance, requiring the use of specific critical elements and job-specific performance standards for each critical element. Critical elements will be identified, developed, or consolidated from among the performance objectives as part of the PIP. Individual, job-specific performance standards for each critical element will also be developed as part of the PIP. The supervisor will present the PIP to the employee, explain the employee's performance deficiencies and steps to be taken to resolve the deficiencies, and provide the employee with critical elements and written performance standards describing the minimum level of performance needed to attain the Meets or Exceeds Requirements level for the key elements of the position.
(a) This period of intensified evaluation and assistance to the employee prior to the assignment of a final rating is the initial phase of the overall PIP process (herein referred to as the pre-rating PIP).
(b) The pre-rating PIP must be at least 90 days in duration to provide at least the minimum rating period under the critical elements and performance standards identified in the PIP.
(c) Rather than waiting until the end of the appraisal period, the supervisor should determine whether a pre-rating PIP is needed during the mid-year progress review, or even earlier if the employee's performance appears to have fallen below the Meets or Exceeds Requirements level.
(d) At the end of the pre-rating PIP, the supervisor will reevaluate the employee's performance and prepare a final rating, based upon the critical elements and performance standards in the PIP. After the final rating is determined under the PIP process, it may then be documented on the Performance Appraisal Form.
(2) "Fails to Meet Requirements" Performance. If performance under the pre-rating PIP is rated Fails to Meet Requirements, the employee must be given assistance and a reasonable period of time (at least 90 days) as an opportunity to demonstrate performance at the Meets or Exceeds Requirements level. This is the second phase of the PIP process (referred to as the post-rating PIP, or opportunity period). At the conclusion of the opportunity period, a determination will be made as to whether the employee's performance has improved to a higher level or remained at the Fails to Meet Requirements level. If the first- and second-level supervisors determine that the performance has remained at the Fails to Meet Requirements level at the conclusion of the opportunity period, the supervisor must initiate a reassignment, reduction-in-grade or removal action. The supervisor shall contact the servicing personnel office for assistance.
(3) Performance That is Raised to the Meets or Exceeds Requirements Level. If performance under the pre- rating PIP is rated Fails to Meet Requirements, but had improved to Meets or Exceeds Requirements during the required opportunity period to demonstrate acceptable performance, a new final rating of Meets or Exceeds Requirements must be assigned. The opportunity period is ended and the new appraisal period begins. At that point, the supervisor must decide for the new appraisal period whether to return the employee to a performance plan using the Performance Appraisal Form, with performance objectives and standardized rating factors, or to continue using a PIP for the next appraisal period. If the PIP is continued, with critical elements and specific standards, and performance again drops to the Fails to Meet Requirements level, a final rating can be given at that point, and a new opportunity period of at least 90 days in duration must be given to the employee before any performance-based action can be taken. If the employee is returned to a performance plan with performance objectives and standardized rating factors, and performance again drops to the Fails to Meet Requirements level, the entire PIP process must be started again by initiating a pre-rating PIP.
(4) Impact of "Fails to Meet Requirements" Performance on Pay and Other Personnel Decisions. In any instance where an employee is given a final rating of Fails to Meet Requirements, the employee is not eligible for a within-grade increase (WIG), Performance Award, or a career-ladder promotion to the next grade. When a WIG has been withheld, the supervisor, at any time thereafter (but not later than 52 calendar weeks following the original eligibility date for the WIG), may prepare a new rating of record for the employee and grant the WIG when the determination has been made that the employee has demonstrated performance at the Meets or Exceeds Requirements level. Warning of the possibility of such a WIG denial should be given at the first instance where performance is determined to require a PIP.